Download - The 411 on Patenting It Yourself - NIST
The 411 on Patenting It Yourself NCET2 Webinar
Elizabeth Dougherty Director of Inventor Education,
Outreach, and Recognition July 31, 2013
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25,000
50,000
75,000
100,000
125,000
150,000
175,000
200,000
225,000
250,000
275,000
300,000
325,000
350,000
375,000
400,000
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
8
01/0
9
04/0
9
07/0
9
10/0
9
01/1
0
04/1
0
07/1
0
10/1
0
01/1
1
04/1
1
07/1
1
10/1
1
01/1
2
04/1
2
07/1
2
10/1
2
01/1
3
04/1
3
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
9
5/9/
2009
7/18
/200
9
9/30
/200
9
12/5
/200
9
2/13
/201
0
4/24
/201
0
7/3/
2010
9/11
/201
0
11/2
0/20
10
1/29
/201
1
4/9/
2011
6/18
/201
1
8/27
/201
1
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
t
12-Mth
Avg T
hru No
v
12-Mth
Avg T
hru De
c
12-Mth
Avg T
hru Ja
n
12-Mth
Avg T
hru Fe
b
12-Mth
Avg T
hru Ma
r
12-Mth
Avg T
hru Ap
r
12-Mth
Avg T
hru Ma
y
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
urs
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
0
5
10
15
20
25
30
35
Mon
ths
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
0
50
100
150
200
250
300
350
400
450
500
1610
1620
1630
1640
1650
1710
1720
1730
1740
1750
1760
1770
1780
1790
2110
2120
2140
2150
2160
2170
2180
2190
2400
2410
2420
2430
2440
2450
2460
2470
2480
2490
2610
2620
2630
2640
2650
2660
2670
2680
2690
2810
2820
2830
2840
2850
2860
2870
2880
2890
3610
3620
3630
3640
3650
3660
3670
3680
3690
3710
3720
3730
3740
3750
3760
3770
3780
App
licat
ions
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 [email protected]
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THANK YOU!