The 411 on Patenting It Yourself NCET2 Webinar

Elizabeth Dougherty Director of Inventor Education,

Outreach, and Recognition July 31, 2013

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425,000

450,000

475,000

500,000

525,000

550,000

575,000

2002 2003 2004 2005 2006 2007 2008 2009 2010 2011 2012 2013(projected

filings basedon 2014 PB)

2013 (actualfilings

received)

Appl

icatio

ns

Fiscal Year

Total Serialized and RCE Filings FY 2002 – FY 2013 (through June 4)

FY 2013 Target based on FY 14 President’s Budget model (5% Projected Growth over FY 2012). Serialized filings in FY 2013 are projected to grow 7.2% over FY 2012. RCE filings are projected to have negative growth of -0.8%, compared to FY 2012.

FY 2012 Results: 5.2% total UPR growth rate over FY 2011. Serialized filings grew 6% over FY 2011. RCE filings grew 3.3% over FY 2011.

385,162 as of June 4, 2013.

Unexamined Patent Application Backlog FY 2009 – FY 2013 (through June 18th)

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500,000

520,000

540,000

560,000

580,000

600,000

620,000

640,000

660,000

680,000

700,000

720,000

740,000

760,000

780,000

FY08

-Q4

FY09

-Q1

FY09

-Q2

FY09

-Q3

FY09

-Q4

FY10

-Q1

FY10

-Q2

FY10

-Q3

FY10

-Q4

FY11

-Q1

FY11

-Q2

FY11

-Q3

FY11

-Q4

FY12

-Q1

FY12

-Q2

FY12

-Q3

FY12

-Q4

FY13

-Q1

FY13

-Q2

06/0

5/13

6/18

/201

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Appl

icat

ions

Awa

iting

Firs

t Act

ion

586,025 Unexamined Applications as of June 18, 2013.

End of Fiscal Year 2012 backlog was 608,283.

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First Action Pendency and Total Pendency FY 2009 – FY 2013 (through May)

Average Total Pendency FY 2012 Target: 34.7 months. Actual result: 32.4 months. Average First Action Pendency FY 2012 Target: 22.5 months. Actual result: 21.9 months. FY 2013 Targets: Average First Action Pendency: 17.3 months. Average Total Pendency: 29.6 Months.

10.012.014.016.018.020.022.024.026.028.030.032.034.036.038.040.0

10/0

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01/0

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07/0

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Mon

ths

First Action Pendency Total Pendency

Total Pendency as of May 31, 2013: 30.2 months.

First Action Pendency as of May 31, 2013: 18.5 months.

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12-Month Rolling Average Allowance Rate, by Bi-Week

FY 2009 – FY 2013 (through June 1)

40.0%

41.0%

42.0%

43.0%

44.0%

45.0%

46.0%

47.0%

48.0%

49.0%

50.0%

51.0%

52.0%

53.0%

54.0%

55.0%

10/1

1/20

08

12/2

0/20

08

2/28

/200

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5/9/

2009

7/18

/200

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9/30

/200

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12/5

/200

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2/13

/201

0

4/24

/201

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7/3/

2010

9/11

/201

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11/2

0/20

10

1/29

/201

1

4/9/

2011

6/18

/201

1

8/27

/201

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11/5

/201

1

1/14

/201

2

3/24

/201

2

06/0

2/12

08/1

1/12

10/2

0/12

12/2

9/12

03/0

9/13

05/1

8/13

Allowance Rate

12-Month Rolling Average Allowance Rate as of June 1, 2013: 52.4%

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0%

1%

2%

3%

4%

5%

6%

7%

8%

9%

10%

11%

12%

2001

2002

2003

2004

2005

2006

2007

2008

2009

2010

2011

2012

12-Mth

Avg T

hru Oc

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12-Mth

Avg T

hru No

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hru De

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hru Ap

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12-Mth

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hru Ma

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Attrition Rate Less Transfers and Retirees Overall Attrition Rate

12-Month Rolling Average UPR Examiner Attrition Rate Less Transfers and Retirees and Overall Attrition Rate

FY 2001 – FY2013 (through May)

Attrition Rate Less Transfers and Retirees: 3.60% as of May FY 13.

Overall Attrition Rate: 4.41% as of May FY 13.

The oval represents when monthly data begins.

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Patent Staffing

• 9,582 total Patents Employees (as of 6/1/13)

• 7,861 UPRD Patent Examiners on Board (as of 6/18/13)

• 3,762 Patent Employees Hoteling full time (as of 6/7/13)

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Best Places to Work in the Federal Government

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Patent Examination Overview

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Technology Centers

• 1600 Biotechnology and Organic Chemistry • 1700 Chemical Engineering/Inorganic Chemistry • 2100 Electrical, Data Processing, Computers • 2600 Electrical, Communications • 2800 Semiconductors, Circuits, Optics • 2900 Designs • 3600 Mechanical: Construction, Transportation • 3700 Mechanical: Games, Guns, and Tools

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Role of the Patent Examiner

• To safeguard the public interest with respect to intellectual property

• To provide direct service and assistance to customers of the office (e.g., applicants and their attorneys or agents, public searchers)

• To assist inventors in obtaining patents on new and useful inventions in a timely manner, thereby serving the public through the disclosure of new technologies.

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Duties of the Patent Examiner

• Locate the most relevant prior art • Determine the patentability of the claimed

invention under the conditions for patentability defined by Title 35 of the United States Code

• Determine if the application meets other formal requirements established by the Office

• Clearly communicate the results of the examination to the applicant

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Patentability Determinations Made by Examiners

• Utility (35 USC 101): The claimed invention must be useful. • Novelty (35 USC 102): The claimed invention must not have

been done before. • Non-obviousness (35 USC 103): The claimed invention

must not only be different from the prior art, the differences between the claimed invention and the prior art can’t be obvious.

• Enablement/written description (35 USC 112(a)): The specification must adequately describe the invention.

• Definiteness (35 USC 112(b)): The claims must be clear. • Double patenting (judicially created doctrine): Only one

patent per different invention, unless a TD is filed.

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Application undergoes Pre-Exam

Processing

Abandonments

Examiner

Classification determines home for examination

Initial Review

Applicant Response

Second Action

Applicant Response

Advisory Action

Applicant Appeal Brief

Examiner’s Answer

Board of Patent Appeals and Interferences

Examiner

Courts

Notice of Allowance Sent

Applicant Response

Issue Fee Paid

Patent Printed and Issued

Examination Processing

Post-Examination Processing

Pre-Examination Processing First Action Allowance

Rejection

Rejection (May be Final)

Allowance

Allowance

Allowance

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The Goal – U.S. Patent Grant

Patent Initiatives for Applicants

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Micro Entity Discount

• Entitled to a 75% discount on fees for “filing, searching, examining, issuing, appealing, and maintaining” patent applications/patents

• 2 ways to be eligible: – Limited income and limited number of patent filings; or – Employment or assignment to institution of higher

education • Must certify micro entity eligibility before paying a fee in the

micro entity amount • 1,485 UPR applications have claimed micro entity status as of

May 24, 2013

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Interview Time FY 2008 – FY 2013 (through May)

115,498 hours in FY 2013, compared with 104,818 hours in FY 2012, over the same period.

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October November December January February March April May June July August September

Ho

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2008 2009 2010 2011 2012 2013

First Action Interview Pilot

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First Action Interview Pilot Program

Application Requirements: • Must be a non-reissue, non-provisional utility application

under 35 USC 111(a) or national stage application under 35 USC 371

• Must contain three or fewer independent claims and twenty

or fewer total claims • Must not contain any multiple dependent claims

• Must claim only a single invention • Must not have a first Office action on the merits as of the

date Applicant requests participation in program

• Available for utility, plant, and continuing patent applications and requests for continued examination – Not available for international, design, reissue, or provisional

applications or in reexamination proceedings • Requirements:

– no more than 4 independent claims, 30 total claims, and no multiple dependent claims; and

– electronically file(utility application); and – pay fee

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Fee Prior to March 19, 2013 Current Fees

$ 4,800/$2,400

$ 4,000/$2,000/$1,000

Prioritized Examination (Track One)

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Prioritized Examination (Track One) Total Pendency vs. Traditional Total Pendency

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Prosecution Time with Office

Time Awaiting First Action

Prosecution Time with Applicant

6.7

2.6

2.9 1.3

2.9

Terminal Disposals FY 2012

23.8

Track One Terminal Disposals FY 2012

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Prioritized Examination (Track One) Statistics (through May 16, 2013)

Petitions Filed

% of Decided

Petitions Granted

Average Days from Petition grant to first Office action

Average Days from Petition Grant to Final

Disposition

10,085 94% 59 176

First Action Completed

Final Dispositions Allowances

Percent of Petitions

From Small

Entities

Number of Micro Entity Applications

7,004 4,749 2,354 45% 18

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Track One Statistics (through June 5, 2013)

First Patent Issued on January 10, 2012 from a September 30, 2011 Prioritized Examination filing

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Prioritized Examination (Track One) Filings by Workgroup

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Track One Filings by Workgroup

Track One Filings by WG

1620: Organic Chemistry

1770: Separation, Purification, Petroleum & Processing

2170: Graphical User Interface

2440: Computer Networks

2650: Videophones & Telephonic Communications

2830: Circuits/Measuring

3620: Data Processing: Financial Business Practice

3730: Medical Instruments, Diagnostic Equipment

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•What is PPH?

• When claims are determined to be allowable in the Office of First Filing or earlier examination, a corresponding application with corresponding claims filed in another PPH office is fast-tracked for examination

•What is the purpose of PPH?

• Second office can leverage the search and examination results of the first thereby avoiding duplication of work and expediting the examination process

Patent Prosecution Highway (PPH)

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• Benefits of PPH • Provides a useful tool to expedite

prosecutions of claims toward patentability

• Decreases costs of prosecution • Provides quicker patentability

determinations • May be particularly attractive to rapidly

evolving industries

Patent Prosecution Highway (PPH)

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• Current U.S. PPH Programs Australia Japan Austria Korea Canada Mexico China Columbia Norway Czech Republic Denmark Nordic Patent Inst. Russia EPO Finland Singapore Germany Spain Hungary Sweden Iceland Taiwan Israel United Kingdom

Patent Prosecution Highway (PPH)

Ombudsman

• Enhances the USPTO's ability to assist applicants or their representatives with issues that arise during patent application prosecution.

Contact an Ombudsman by: http://www.uspto.gov/patents/ombudsman.jsp

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• AIA requires a Patent Ombudsman Program to provide patent filing support and services to small business and independent inventors

• Resource for applicants that facilitates complaint-handling

when applications have stalled in the examination process

• Tracks complaints to ensure each is handled expeditiously

Patent Ombudsman Program

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• 1579 inquiries received in FY 2012

• Inquiries related to:

• After Final • Customer Service • Petitions • Certificates of Correction • Application Prosecution Concerns

Patent Ombudsman Program

Ombudsman Year in Review

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Ombudsman Inquiries by Type

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Useful Tools

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www.uspto.gov

Inventor’s Assistance

IP Assessment Tool

Data Visualization Center

First Office Action Estimator Patent Search

AIA Micro site

IP Assessment Tool

Useful Tools

Pro Bono Program

Pro Bono Program

• Minnesota, Colorado, California, Washington DC, and Texas programs are currently up and running.

• Upcoming programs (dates listed are subject to change): o Massachusetts/VT/New Hampshire/Maine/Northeast NY – last quarter 2013 o New York City metropolitan area – 4th quarter 2013 o Eastern PA/Southern New Jersey/Delaware – summer 2013 o Eastern Ohio/Western PA/West Virginia/Northern Kentucky – early fall 2013 o Michigan/Western Ohio/Eastern Indiana – 4th quarter 2013 o Northern Illinois/Western Indiana/Wisconsin – 4th quarter 2013 o North Carolina/Eastern Tennessee/Southern Virginia – 1st quarter 2014 o Georgia/South Carolina/Central Tennessee – 1st quarter 2014 o Washington state/Northern Idaho/Western Montana – 1st quarter 2014 o Utah/Western Colorado/Western Wyoming/Southern Idaho – late 2014 o Florida – late 2014 o Additional areas of country 2nd/3rd quarter 2014

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Satellite Office Program

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• 72 patent examiners

• 10 PTAB Judges

• Temporary Space Open

• 4 PTAB Judges

• Byron G. Rogers Building

• Temporary space Open

• 5 PTAB Judges

• Temporary Space Open

• Michelle Lee, Director

• 4 PTAB Judges

Contact Us

• Office of Innovation Development www.uspto.gov/inventors 571.272.8877 independentinventor@uspto.gov

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THANK YOU!