# Presentation: 393251

##  Introduction to the USPTO

**Andrew Faile **
**Director**
**Technology Center 2600**** **

## Introduction to the USPTO

**Alexandria Campus**
**USPTO Organizational Chart**
**Application Flow **
**Office of Initial Patent Examination (OIPE) to Office of Patent Publication (PUBS)**
**Electronic filing with EFS Web**
**Search and Examination**
**Role of the Supervisory Patent Examiner (SPE)**
**Examiner’s Performance Appraisal Plan (PAP) and Rating**

##   “A country without a patent office is just a crab, and couldn’t travel any way but sideways or backways”
					-  Mark Twain

**	****	****	****	****	****-  ****Mark Twain**

**Introduction to the USPTO**

## Introduction to the USPTO

**The campus in Alexandria, VA**
**Five main buildings**
**Madison**
**Jefferson**
**Remsen**
**Knox **
**Randolph**
**South Tower – Crystal City**
**OIPE**
**PUBS**
**PCT**

## USPTO Organizational Structure

## Commissioner for Patents

**Commissioner for Patents – John Doll**
**Deputy Commissioner for Patent Examination Policy – John Love**
- International Liaison Staff
- Manual of Patent Examining Procedures Staff
- Office of Patent Legal Administration
- Office of PCT Legal Administration
- Inventor Assistance Center
- PCT Legal Affairs
- PCT Special Programs
- Office of Petitions
**Deputy Commissioner for Patent Operations** – **Margaret Focarino**
- Patent Examining Groups (Technology Centers)
- Design Patents
- Plant Patents
- Office of Patent Publication
**Deputy Commissioner for Patent Resources and Planning** **- Vacant**
- Office of Patent Planning and Capacity Analysis
- Office of Patent Resource Administration
- Office of Search and Information Resources Administration
- Office of Patent Automation
- Office of Patent Classification
- Scientific and Technical Information Center

## Application Flow

**Application flow from OIPE through PUBS**
**Paper world versus electronic world**

## Application Flow

**Notes:**
One of these files was your Patent Application 5 years ago!

Continued growth in USPTO workload could not be effectively managed in the former paper-based system
Patents scan and index over 2 million pages a week
Challenges:
Data entry and errors lessen the quality and timeliness of the patent application processing
Expense of processing paper
Difficulty in providing application status
Delayed responses to customers
Previous electronic solutions were client-based software
At best, they achieved 2% adoption vs. paper filings

## Process:  Newly Filed Application From OIPE to the Technology Centers

**Paper application comes into OIPE; Application is indexed and scanned into IFW**

**SPE assigned to that mailbox determines to whom the the Application should be assigned and forwards the message to the New Case Processing mailbox**

**The message is then forwarded to the 9999Assignment mailbox with the classification information in the text of the message**

**Application undergoes pre-exam formalities review**
**An IFW Message is generated and sent to the ExamClass mailbox**

**SPE assigned to that mailbox opens the message, reviews the application, and determines the proper classification**

**LIE dockets the Application in PALM and the Application appears on the Examiner’s Docket**

## Process:  Follow-On Paper From OIPE to the Technology Centers

**Paper comes into OIPE; document is indexed and scanned into IFW**

**Fee sheet and other outgoing documents printed and sent for indexing and scanning**

**LIE reviews the document in IFW, checks document code, checks fees, 1449/IDS, completes a U.S. References capture, if necessary**

**An IFW auto-Message is generated upon scanning and sent to the LIE  mailbox of the assigned examiner**

**Team Leader assigns the message to an LIE **

**LIE performs correct PALM transactions; if After Final, 312, or other special document required,  message is sent to Examiner’s exam- ination mailbox**

## Process:  Examination

**Examiner selects application from PALM docket in eDAN**

**Office action is forwarded to mailing contractor and mailed to applicant**

**Office action is forwarded for review and signature (if necessary) then routed to TSS for recording in PALM**

**Examiner reviews application, formulates search strategy, and performs prior art search**

**Examiner reviews prior art, applies art to application, and authors office action**

**Office action is indexed and scanned into IFW**

## Process:  Post Examination

**Notice of Allowance is mailed in application and IFW message is sent to Publication Division**

**Printer queries (if required) are handled by IFW messaging**

**IFW message sent to publications contractor that fee has been received**

**Application is exported to publication contractor**

**Issue fee is received from applicant  and PTO85B is indexed and scanned**

**Patent grant prepared, published and mailed to applicant**

## Electronic Filing 

**EFS Web Overview**

## EFS-Web Benefits

**Improved Quality and Timeliness**
**Speeds filing process by eliminating paper and delays caused by manual handling**
**Provides immediate Acknowledgement Receipt for Customers and dramatically improves ability of practitioners to track status of applications through PAIR**
**Automatic integration with USPTO internal systems**
**Ability to file anytime and anywhere with an Internet connection**
**Facilitates collaboration and workflow management**
**Safe, simple, and secure**

## Online submission of:
PDF files of patent applications and documents
ASCII text files
Verifies and validates PDF files and data before submission
Online payment of patent application and document filling fees
Allows application to be saved and submitted later
Provides a valid acknowledgement receipt that is equivalent to the postcard receipt

**PDF files of patent applications and documents**
**ASCII text files**
**Verifies and validates PDF files and data **_**before**_** submission**
**Online payment of patent application and document filling fees**
**Allows application to be saved and submitted later**
**Provides a valid acknowledgement receipt that is equivalent to the postcard receipt**

**EFS-Web Functionality**

## What Can Be Filed?

**New Applications**
**New Utility; Provisional; Design with Color Drawings; 371 National Stage**
**International applications for filing in the U.S. Receiving Office**
**Existing Applications**
**Follow-on papers**
**Pre-Grant Publication Requests under 37 CFR 1.211-1.221**
**Petition to Accept Unintentionally Delayed Payment of Maintenance Fees in an Expired Patent (37 CFR 1.378 (c))**
**Request for Continued Examination (RCE)**
**Document Description List**
**Nearly 200 document descriptions – Amendments, Petitions, Application Data Sheet, Information Disclosure Statement, PCT, Non-Patent Literature, Foreign References Cited, PG-Pubs, Board of Appeals documents, etc**
**Numerous Fees**
**Almost the complete Patent Fee Schedule**

## What Cannot be Filed Using EFS-Web?

**What Cannot be Filed Using EFS-Web?**

**Credit Card Authorization Form - PTO-2038**
**Assignments**
**Maintenance Fees**
**Certified Copies (Ribbon Copies)**
**Secrecy Order Applications and/or Documents **
**New Plant Applications or Color Plant Drawings **
**Documents related to Registration Practice and Disciplinary Proceedings**
**Reexamination and Reissue (this includes new and follow-on papers)**
**Contested Cases at the Board of Appeal and Interferences**
**Protests under 37 CFR 1.291**
**Third party papers under 37 CFR 1.99**
**Public use hearing papers under 37 CFR 1.292**

## EFS-Web 1.1 released October 14, 2006
Text files
Sequence listings
Mega tables
Computer listings
“Auto-Grant” Petition to Accept Unintentionally Delayed Payment of Maintenance Fee in an Expired Patent (37 CFR 1.378(c))
International application for filing in the US receiving office (PCT)

**Text files**
**Sequence listings**
**Mega tables**
**Computer listings**
**“****Auto-Grant” Petition to Accept Unintentionally Delayed Payment of Maintenance Fee in an Expired Patent (37 CFR 1.378(c))**
**International application for filing in the US receiving office (PCT)**

**EFS-Web Enhancements**

## Future EFS-Web Enhancements

- Requested enhancements:
- Integration with document management systems
- Integration with assignments
- Fillable issue fee forms
- Fillable petition forms
- Automated provisional cover sheets
- Dual payment options (e.g., pay with credit card and allow for charges to deposit account on one screen)
- Additional copies of patents
- Dual Customer Number
- Admin PKI

## How EFS-Web Works

## Search and Examination Process

**Classification Search**
**Text Search**
**Sequence Search**
**Examiner’s Search Tools**
**EAST**
**WEST**
**NPL**
**Foreign patents**

## Search and Examination Process

**New Case Docket**
**Amended Case docket**
**Specials**
**Timeframes – PAP driven**

## Supervisory Patent Examiners

**SPEs:**
**Manage an “art unit” of typically 13 –20 examiners**
**Skill level from junior to senior examiners**
**Responsible for the quality, productivity and timeliness of the examiners’ work**
**Manage personnel issues – conduct and performance**
**Work on special projects for the Technology Center and/or Corps**

## SPE Management Awards

**SPE Award Components**
**PAP rating**
**Quality (reopening rate) **
**4-month amended cases and BPAI decisions**
**Leadership activities and initiatives **
**Productivity**
**Movement of New Applications (New Date Case Goals)**

## Examiner PAP and Rating

**Examiner’s Performance Appraisal Plan (PAP)**
**Quality (dependent on grade level)**
**Patent Examining Functions**
**Action Taking**
**Patentability Determination**
**Productivity**
**Timeliness**
**Two month amendments **
**After final amendments**
**Specials**
**Customer Service**

## Examiner PAP and Rating

**Examiners range from GS-5 to GS-14 (or GS-15)**
**As examiners are promoted through the structure:**
**Productivity increases**
**Independently responsible for more quality elements**
**Less oversight by the SPE/primary examiner**
**Full and Partial Signatory Authority **
**New examiner probationary addendum**
**Federal Career Intern Program (FCIP)**

## Examiner PAP and Rating

**SPEs rate their examiners at the end of each FY**
**Outstanding**
**Commendable**
**Fully Successful**
**Marginal**
**Unacceptable**
**Measures for each element in the examiner PAP**

## Quality Assurance

**Office of Patent Quality Assurance (OPQA) role**
**Reopening rate**
**Corps target is 4%**
**In-process Review Rate (IPR)**
**By Technology Center**

## What Do We Measure?  

**Production ****– Overall output (number of applications processed)**
**Productivity**** – The measure of an examiner’s production during a given period of time**
**Varies by technology - complex areas get more time**** **
**Quality – ****Compliance with statutes, regulations & practice**
**Reviewed throughout the process **
**Timeliness**
**How long before an application is examined?**
**How long before an application completes all processing?**

## Why Do We Measure?

**USPTO is a performance-based organization**
**Standards are precise**
**Quality is critical**
**Production is important**
**Timeliness (turn-around time) is key**