The United States Patent and Trademark Office
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Transcript of The United States Patent and Trademark Office
The United States The United States Patent and Trademark OfficePatent and Trademark Office
March 15, 2005March 15, 2005
BCP Customer Partnership Meeting
2
Contact InformationContact Information
John Doll
Deputy Commissioner for Patent Planning and Resources
571-272- 8250
3
Contact InformationContact Information
Peggy Focarino
Deputy Commissioner for Patent Operations
Joe Rolla
Deputy Commissioner for Patent Policy
571-272-8800
4
Commissioner for Patents
Nicholas P. Godici
To Retire March 29th
6
Jon’s New Initiatives Jon’s New Initiatives
Reexamination Special Dispatch
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Jon’s New Initiatives Jon’s New Initiatives
Reexamination Special Dispatch
PCT Timeliness of Actions
8
Jon’s New Initiatives Jon’s New Initiatives
Reexamination Special Dispatch
PCT Timeliness of Actions
BPAI Appeals 60% never make it
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Jon’s New Initiatives Jon’s New Initiatives
Search Quality Search Grids Search Recordation Search QR
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Jon’s New Initiatives Jon’s New Initiatives
Search Quality Search Grids Search Recordation Search QR
Patentability Conferences Quality & Training
11
Jon’s New Initiatives Jon’s New Initiatives
Search Quality Search Grids Search Recordation Search QR
Patentability Conferences Quality & Training
2nd Pair of Eyes Redefine
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Jon’s New InitiativesJon’s New Initiatives
e-filing probably in XML tagged format All follow on papers must be e-filed
Limited number of claims 2 – 3 independent / 20 – 30 dependent
Patentability search With explanation of each reference with respect to claims
Mandatory telephone restriction elections
Mandatory interview either before or right after first action
2 month shortened statutory time for response With no extensions
Mandatory appeal
Accelerated Examination InitiativeAccelerated Examination Initiative
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UPR Applications FiledUPR Applications Filed
0
50000
100000
150000
200000
250000
300000
350000
400000
1995
1996
1997
1998
1999
2000
2001
2002
2003
2004
2005
FY 04 355,527
6.6% above FY 03
FY 05 plan 375,080 (5.5% above FY 04)
118,235 as of 1/28
Current projection102.6% over plan
14
FY 04 UPRFY 04 UPR1 Applications Filed Applications Filed
Technology Center FY 04 FY 03 to FY04 Growth Rate
1600 - Biotechnology and Organic Chemistry 38,164 -1.2%
1700 - Chemical and Materials Engineering 49,334 -0.5%
2100 - Computer Architecture Software and Information Security 34,653 17.9%
2600 - Communications 48,210 16.1%
2800 - Semiconductor, Electrical, Optical Systems 81,144 7.6%
3600 - Transportation, Construction, Electronic Commerce 47,489 4.8%
3700 - Mechanical Engineering, Manufacturing and Products 56,533 5.5%
UPR Total 355,527 6.6%
1 “UPR” = Utility, Plant, and Reissue Applications
FY 05 TC filings not yet available. Initial processing imposes a two to four month delay in assignment to a TC.
15
FY 04 Patent PendencyFY 04 Patent Pendency
Technology CenterAverage 1st Action
Pendency1 (months)
Average Total Pendency 2
(months)
1600 - Biotechnology and Organic Chemistry 19.2 29.9
1700 - Chemical and Materials Engineering 17.9 27.6
2100 - Computer Architecture Software and Information Security 33.3 41.1
2600 - Communications 31.4 40.5
2800 - Semiconductor, Electrical, Optical Systems 14.0 23.9
3600 - Transportation, Construction, Electronic Commerce 15.6 24.1
3700 - Mechanical Engineering, Manufacturing and Products 15.2 24.1
UPR Total 20.2 27.61 “Average 1st action pendency” is the average age from filing to first action for a newly filed application,
completed during 4th quarter FY 2004.2 “Average total pendency” is the average age from filing to issue or abandonment of a newly filed
application, completed during 4th quarter FY 2004.
16
FY 05 Patent PendencyFY 05 Patent Pendency (as of 12/31/04) (as of 12/31/04)
Technology CenterAverage 1st Action
Pendency (months)1Average Total
Pendency (months)2
1600 - Biotechnology and Organic Chemistry 20.2 29.7
1700 - Chemical and Materials Engineering 18.1 28.2
2100 - Computer Architecture Software and Information Security 34.2 41.9
2600 – Communications 31.2 40.8
2800 - Semiconductor, Electrical, Optical Systems 14.3 23.9
3600 - Transportation, Construction, Electronic Commerce 16.6 24.8
3700 - Mechanical Engineering, Manufacturing and Products 15.6 24.2
UPR Total (as of 12/31/2004) 20.7 26.8
FY 05 Target 20.7* 31.0
1 “Average 1st action pendency” is the average age from filing to first action for a newly filed application, completed during 1st quarter FY 2005.
2 “Average total pendency” is the average age from filing to issue or abandonment of a newly filed application, completed during 1st quarter FY 2005.
* Assuming current input and output estimates, the agency should achieve first action pendency of 21.3 monthsby the end of FY 2005.
17
FY 04 Patent PendencyFY 04 Patent Pendency
Technology CenterAverage 1st Action
Pendency1 (months)
Average Total Pendency 2
(months)
1610 – Organic Compounds: Bioaffecting, Body Treating, Drug Delivery, Steroids, Herbicides, Pesticides, Cosmetics and Drugs
18 28.2
1620 – Organic Chemistry 13.6 24.3
1630 – Molecular Biology, Bioinformatics, Recombinant DNA/RNA, Gene Regulation, Nucleic Acid Amplification
23.3 34.5
1640 – Immunology, Receptor/Ligands, Cytokines, Recombinant Hormones, Molecular Biology
23.5 36.2
1650 – Fermentation, Microbiology, Proteins/Enzymes 20.7 32.4
1660 - Plants 6.6 15.8
UPR Total 19.2 29.91 “Average 1st action pendency” is the average age from filing to first action for a newly filed application,
completed during 4th quarter FY 2004.2 “Average total pendency” is the average age from filing to issue or abandonment of a newly filed
application, completed during 4th quarter FY 2004.
18
FY 05 Patent PendencyFY 05 Patent Pendency (as of 12/31/04) (as of 12/31/04)
1 “Average 1st action pendency” is the average age from filing to first action for a newly filed application,
completed during 1st quarter FY 2005.2 “Average total pendency” is the average age from filing to issue or abandonment of a newly filed
application, completed during 1st quarter FY 2005.
Technology CenterAverage 1st Action
Pendency1 (months)
Average Total Pendency 2
(months)
1610 – Organic Compounds: Bioaffecting, Body Treating, Drug Delivery, Steroids, Herbicides, Pesticides, Cosmetics and Drugs
19.8 26.9
1620 – Organic Chemistry 14.3 24.3
1630 – Molecular Biology, Bioinformatics, Recombinant DNA/RNA, Gene Regulation, Nucleic Acid Amplification
24.2 35.1
1640 – Immunology, Receptor/Ligands, Cytokines, Recombinant Hormones, Molecular Biology
23.9 35.8
1650 – Fermentation, Microbiology, Proteins/Enzymes 19.6 31.9
1660 - Plants 7.5 15.7
UPR Total 20.2 29.7
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1600 1700 2100 2600 2800 3600 3700 Total* Design
New Applications1 9/30/2003
43,358 52,388 66,645 85,917 57,528 45,622 50,280 457,254 11,704
New Applications1
9/30/200455,402 63,923 71,778 97,380 77,651 56,738 65,005 508,878 18,451
Overall Pending Applications2
9/30/200382,827 92,412 88,387 121,558 118,899 87,153 91,170 737,944 22,533
Overall Pending Applications2
9/30/200495,006 105,447 102,440 138,822 137,458 101,097 108,039 809,323 27,599
TC Application InventoryTC Application Inventory
1 “New Application inventory” is the number of new applications designated or assigned to a technology center awaiting a first action.
2 “Overall Pending Application inventory” is the total number of applications designated or assigned to a technology center in an active status. Includes new applications; rejected awaiting response; amended; under appeal or interference; suspended; reexams and allowed applications awaiting grant publication.
* Total inventory includes approximately 55,000 applications awaiting processing 9/30/2003, and approximately 22,000 applications awaiting processing 9/30/2004.
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Inventory by Art ExamplesInventory by Art Examples
High Inventory Art AreasMonths of Inventory*
Low Inventory Art Areas Months of Inventory*
1614, 1615, and 1617 – Drugs, Bio-affecting and Body Treatment
47 – 53 1620 – Organic Chemistry 17
1743 – Chemical Analysis 371734 – Adhesive Bonding and Coating Apparatus
11
2127 – Computer Task Management 622125 – Manufacturing Control Systems and Chemical/ Mechanical/Electrical Control
14
2611 – Interactive Video Distribution 722651, 2653 – Information Storage and Retrieval
17
2836 – Control Circuits 44 2831 – Electrical Conductors 9
3620 – Business Methods 34 – 106 3651 – Conveying 9
3731 and 3737 – Medical Instruments, Diagnostic Equipment
46 – 543742 – Thermal and Combustion Technology
10
*The number of months it would take to reach a first action on the merits (e.g., an action addressing patentability issues) on a new application filed as of Jan 2005 at today’s production rate. Today’s production rate means that there are no changes in production due to hiring, attrition, changes to examination processing or examination efficiencies, and that applications are taken up in the order of filing in the given art unit/area. Of course, USPTO is taking aggressive steps to ensure changes that will significantly lower the inventory rates in high-inventory art areas.
21
Inventory by Art ExamplesInventory by Art Examples
Art Areas Months of Inventory*
1614, 1615, and 1617 – Drugs, Bio-affecting and Body Treatment 47 – 53
1616 – Steroids, Herbicides, Pesticides 26
1620 – Organic Chemistry 17
1631 – Bioinformatics 20
1632-1639 – Molecular Biology, Nucleic Acids, Recombinant DNA/RNA, Gene Regulation, Gene Therapy, Animals and Recombinant Plants, Combinatorial/Computational Chemistry
34
1640 – Immunology, Receptor/Ligands, Cytokines, Recombinant Hormones, Molecular Biology
36
1650 – Fermentation, Microbiology, Isolated and Recombinant Proteins/Enzymes 23
1660 – Plants 9
*The number of months it would take to reach a first action on the merits (e.g., an action addressing patentability issues) on a new application filed as of Jan 2005 at today’s production rate. Today’s production rate means that there are no changes in production due to hiring, attrition, changes to examination processing or examination efficiencies, and that applications are taken up in the order of filing in the given art unit/area. Of course, USPTO is taking aggressive steps to ensure changes that will significantly lower the inventory rates in high-inventory art areas.
22
1600 Workload Analysis1600 Workload Analysis
Filings FAOMsPCT
Production
FY 02 41,641 29,727 5,938
FY 03 38,613 27,875 10,021
FY 04 38,164 26,510 10,183“FAOM” = First Action on the Merits – first action count by an examiner after the filing of an application
(does not include restrictions or other miscellaneous actions).
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TC 1600 Rework* StatisticsTC 1600 Rework* Statistics
*Rework first actions are those actions that are in a Continuing, CPA or RCE application.
TC GroupFY 2000
% Rework of FAOMs
FY 2001% Rework of FAOMs
FY 2002% Rework of FAOMs
FY 2003% Rework of FAOMs
FY 2004% Rework of FAOMs
1610 32.2% 34.2% 39.1% 47.0% 45.5%1620 27.1% 26.8% 26.6% 28.8% 26.6%1630 36.9% 41.2% 46.2% 46.9% 47.5%1640 41.4% 41.7% 44.6% 48.6% 53.1%1650 32.4% 35.7% 35.0% 38.3% 39.3%1660 5.9% 2.2% 3.8% 4.1% 4.3%
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Restriction/Divisionals in 1600Restriction/Divisionals in 1600
Written Restrictions Divisionals Filed
FY 00 9,267 3,326
FY 01 11,435 3,832
FY 02 13,193 3,988
FY 03 11,899 3,918
FY 04 11,415 3,489
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Patents Issued in TC 1600Patents Issued in TC 1600
TC Group 2002 2003 2004
1610 3,434 3,395 2,3071620 5,664 5,338 4,2561630 1,872 2,413 2,1761640 2,075 2,069 2,0181650 2,604 2,005 1,6861660 930 1,196 1,013
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1600 1700 2100 2600 2800 3600 3700 Corps
FY 04 % First Action Allowances 13.0% 17.8% 10.3% 13.5% 27.1% 12.1% 17.9% 17.4%
FY 05 % First Action Allowances
Through 1/11/0512.5% 15.7% 9.7% 13.6% 28.8% 14.1% 17.0% 17.5%
TC 1TC 1stst Action Allowances* Action Allowances*
* TC First Action Allowances are calculated from first action counts received by an examiner. A first action restriction performed by an examiner is not a ‘first action count’ and thus an allowance following a first action restriction is included as a first action allowance count. A first action allowance following the filing of an RCE is included. An examiner receives both a first action count and a disposal count for first action allowances.
27
Quality of ProductsQuality of Products
Fiscal Year 2004
1600 1700 2100 2600 2800 3600 3700 DesignFY 04 Total
FY 05 Target
Application In-Process
Review Compliance
Rate1
76.4% 83.1% 88.3% 74.2% 86.8% 79.6% 81.7% 90.4% 82.0% 84%
Patent Allowance Error Rate2
4.40% 8.03% 3.05% 2.53% 3.39% 7.54% 9.01% 3.28% 5.32% 4.0%
1Compliance is the percent of office actions reviewed and found to be free of any in-process examination deficiency (an error that has significant adverse impact on patent prosecution).
2Patent allowance error rate is the percent of allowed applications reviewed having at least one claim which is considered unpatentable on a basis for which a court would hold a patent invalid. “Allowance” occurs before a patent is issued, so these errors are caught before any patent is actually granted.
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Hires and AttritionsHires and Attritions
1600 1700 2100 2600 2800 3600 3700 Corps Design
FY 04 Hires 75 35 115 116 31 26 45 443 15
FY 04 Attritions 30 26 58 82 58 43 39 336 4
FY 05 BOY Examiner Staff
417 440 563 658 742 422 439 3681 72
FY 05 Hiring Goal 100 35 200 150 160 90 125 860 20
FY 05 Hiring Summary (2/7/05)*
26 16 42 46 68 18 13 229 0
New Hire Percentage of Total
24% 8% 36% 23% 22% 21% 28% 23% 28%
*Includes hires on board and confirmed and pending offers
29
1600 New Examiner Hiring1600 New Examiner Hiring
Workgroup Number Hiring
1610 16
1620 4
1630 35
1640 30
1650 15
30
Patents e-Government InitiativesPatents e-Government Initiatives
EFS Web Interface pdf1 application submission
Tri-lateral Dossier Access with EPO
Priority Document Exchange
Patent’s File Wrapper (PFW) - Moving from electronic image based applications (IFW) to electronic text based applications (PFW)
1 “pdf” is an internationally accepted standard format for electronic documents.