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An Overview of
USPTO Operations
David J. Kappos
Under Secretary of Commerce for Intellectual Property and Director of the U.S. Patent and Trademark Office
America Invents Act (AIA) 12 Month Timeline
2 4/3/2012
Implemented Provisions (Effective on September 16, 2011 or within 60 days)
AIA Provision Implementation Documents
1 Change in inter partes
reexamination standard
Revision of Standard for Granting an Inter Partes Reexamination Request, 76 Fed. Reg.
59055 (Sept. 23, 2011)
2 Tax strategies are deemed
within the prior art
Memo to Examiners, Sept. 20, 2011
3 Best mode Memo to Examiners, Sept. 20, 2011
4 Human organism prohibition Memo to Examiners, Sept. 20, 2011
5 Prioritized examination
Changes to Implement Prioritized Examination Track (Track I) of the Enhanced
Examination Timing Control Procedures Under the Leahy-Smith America Invents Act, 76
Fed. Reg. 59050 (Sept. 23, 2011)
6 15% transition surcharge
Notice of Availability of Patent Fee Changes Under the Leahy-Smith America Invents Act,
76 Fed. Reg. 59115 (Sept. 23, 2011)
7 Electronic filing incentive
Notice of Availability of Patent Fee Changes Under the Leahy-Smith America Invents Act,
76 Fed. Reg. 59115 (Sept. 23, 2011); and Fee for Filing a Patent Application Other than
by the Electronic System, 79 Fed. Reg. 70651 (Nov. 15, 2011)
3 4/3/2012
4
Track I Statistics
Petitions
Filed
Days to
Petition
Decision
% Petitions
Granted
Days from
Petition to first
Office action
Number of
Track I
Applications
2,124 44.6 99% 36
Examination
Status
First Action
on Merits
mailed
Final
Dispositions
mailed
Allowances
Mailed
Number of Track I
applications 991 3 59
4/3/2012
Proposed Rules in Progress (12 Month timeline)
4/3/2012 5
NPRMs Published as of
January 25, 2012
NPRMs Published
Last Week
Inventor’s oath / declaration Inter partes review
Third party submission of prior art
in a patent application
Post grant review
Citation of prior art in a patent file Transitional program for covered
business method patents
OED Statute of Limitations Derivation
Supplemental examination
AIA Micro-Site
6 http://www.uspto.gov/AmericaInventsAct
USPTO’s website devoted to America Invents Act legislation
• One-stop shopping for all America Invents Act information
• Full text of bill and summary documents, including legislative
history
• Implementation plans
• Announcements
• Points of contact
4/3/2012
Fee Setting 17 Month Timeline
4/3/2012 7
AIA Roadshows and Hearings www.uspto.gov/AmericaInventsAct
4/3/2012 8
Elijah J. McCoy Satellite Office
Detroit, MI
• Scheduled: July 2012
• 100 ‘IP Experienced’ Patent
Examiners to be hired in first
year of operation
• Office will have a Board of
Patent Appeals Presence
• 1 of 3 planned Satellite Offices
4/3/2012 9
Applications Awaiting First Action
FY 2009 – FY 2012 (through January)
610,000
620,000
630,000
640,000
650,000
660,000
670,000
680,000
690,000
700,000
710,000
720,000
730,000
740,000
750,000
760,000
770,000
Applic
atio
ns A
waiti
ng F
irst A
ctio
n
Backlog
Preliminary FY 2012 Target:
621,800
658,647 as of February 6th.
4/3/2012 10
0
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
2001 2002 2003 2004 2005 2006 2007 2008 2009 2010 2011 2012
Ap
plicati
on
s
Fiscal Year
Total UPR and RCE Filings
FY 2001 – FY 2012 (projections)
Preliminary FY 2012 Target:
533,300
FY 12 data are
projections.
4/3/2012 11
RCE Backlog
FY 2010 – FY 2012 (through January)
0
10,000
20,000
30,000
40,000
50,000
60,000
70,000
80,000
RC
E A
pplic
atio
ns A
waiti
ng N
ext
Actio
n
RCE Backlog
RCE Backlog 80,608 as of February 6th.
4/3/2012 12
First Action Pendency &Total Pendency
FY 2009 – FY 2012 (through January)
10.0
12.0
14.0
16.0
18.0
20.0
22.0
24.0
26.0
28.0
30.0
32.0
34.0
36.0
38.0
40.0
10/0
8
11/0
8
12/0
8
01/0
9
02/0
9
03/0
9
04/0
9
05/0
9
06/0
9
07/0
9
08/0
9
09/0
9
10/0
9
11/0
9
12/0
9
01/1
0
02/1
0
03/1
0
04/1
0
05/1
0
06/1
0
07/1
0
08/1
0
09/1
0
10/1
0
11/1
0
12/1
0
01/1
1
02/1
1
03/1
1
04/1
1
05/1
1
06/1
1
07/1
1
08/1
1
09/1
1
10/1
1
11/1
1
12/1
1
01/1
2
Mo
nth
s
First Action Pendency Total Pendency
Preliminary FY 2012 First action Target:
22.5 Months
Preliminary FY 2012 Total Pendency Target:
34.7 Months
4/3/2012 13
10.0
12.0
14.0
16.0
18.0
20.0
22.0
24.0
26.0
28.0
30.0
32.0
10/0
8
11/0
8
12/0
8
01/0
9
02/0
9
03/0
9
04/0
9
05/0
9
06/0
9
07/0
9
08/0
9
09/0
9
10/0
9
11/0
9
12/0
9
01/1
0
02/1
0
03/1
0
04/1
0
05/1
0
06/1
0
07/1
0
08/1
0
09/1
0
10/1
0
11/1
0
12/1
0
01/1
1
02/1
1
03/1
1
04/1
1
05/1
1
06/1
1
07/1
1
08/1
1
09/1
1
10/1
1
11/1
1
12/1
1
Mo
nth
sForward Looking First Action Pendency
FY 2009 – FY 2012 (through January)
Forward Looking Pendency represents an estimate of the average number of months it would take to complete a first
Office action under current and projected workload and resource levels for an application filed at the given date.
4/3/2012 14
Interview Time
FY 2008 – FY 2012 (through December)
43,486 hours as of January 14th, 2012, compared with 38,531 hours as of January 14th, 2011.
0
10,000
20,000
30,000
40,000
50,000
60,000
70,000
80,000
90,000
100,000
110,000
120,000
130,000
140,000
150,000
160,000
170,000
October November December January February March April May June July August September
Ho
urs
2008 2009 2010 2011 2012
4/3/2012 15
0
1,000
2,000
3,000
4,000
5,000
6,000
7,000
8,000
9,000
10,000
11,000
12,000
13,000
14,000
15,000
16,000
17,000
18,000
19,000
20,000
21,000
22,000
23,000
24,000
25,000
13
15
17
19
21
23
25
27
29
31
33
35
37
39
41
43
45
47
49
51
53
55
57
59
Nu
mb
er
of
Ap
pli
ca
tio
ns
Months
Distribution of Corps Backlog (Tail)
Tail Cases Remaining Tail Cases Worked
FY 2012 COPA Backlog (Tail): Applications with filing dates on or before September 1st, 2010 (304,000 on Oct. 1, 2011)
FY 2012 Goal: Reduce COPA Backlog (Tail) by 260,000 applications
207,206
Total Tail Cases
Remaining
FY2012 Goal:
260,000 Cases
96,794
Tail Cases
Worked
163,206 Tail Cases
Needed for Goal
Clearing the Oldest Patent Applications
COPA 2.0 - FY 2012 (through January)
4/3/2012 16
Actions Per Disposal Target Sustained decrease in actions per disposal is a positive indicator – issues are being resolved efficiently.
12 Month Rolling Average Actions Per Disposal, by
Bi-Week FY 2009 – FY 2012 (through January 28th)
1.8
1.9
2.0
2.1
2.2
2.3
2.4
2.5
2.6
2.7
2.8
2.9
3.0
10
/11
/200
8
11
/8/2
008
12
/6/2
008
1/3
/200
9
1/3
1/2
009
2/2
8/2
009
3/2
8/2
009
4/2
5/2
009
5/2
3/2
009
6/2
0/2
009
7/1
8/2
009
8/1
5/2
009
9/1
2/2
009
10
/10
/200
9
11
/7/2
009
12
/5/2
009
1/2
/201
0
1/3
0/2
010
2/2
7/2
010
3/2
7/2
010
4/2
4/2
010
5/2
2/2
010
6/1
9/2
010
7/1
7/2
010
8/1
4/2
010
9/1
1/2
010
10
/9/2
010
11
/6/2
010
12
/4/2
010
1/1
/201
1
1/2
9/2
011
2/2
6/2
011
3/2
6/2
011
4/2
3/2
011
5/2
1/2
011
6/1
8/2
011
7/1
6/2
011
8/1
3/2
011
9/1
0/2
011
10
/8/2
011
11
/5/2
011
12
/3/2
011
12
/31
/201
1
01
/28
//1
2
4/3/2012 17
Sustained increase in allowance rate is a positive indicator – it shows increased efficiency of the workforce.
12 Month Rolling Average Allowance Rate, by Bi-
Week FY 2009 – FY 2012 (through January 28th)
40.0%
41.0%
42.0%
43.0%
44.0%
45.0%
46.0%
47.0%
48.0%
49.0%
50.0%
10/1
1/2
008
11/8
/2008
12/6
/2008
1/3
/2009
1/3
1/2
009
2/2
8/2
009
3/2
8/2
009
4/2
5/2
009
5/2
3/2
009
6/2
0/2
009
7/1
8/2
009
8/1
5/2
009
9/1
2/2
009
10/1
0/2
009
11/7
/2009
12/5
/2009
1/2
/2010
1/3
0/2
010
2/2
7/2
010
3/2
7/2
010
4/2
4/2
010
5/2
2/2
010
6/1
9/2
010
7/1
7/2
010
8/1
4/2
010
9/1
1/2
010
10/9
/2010
11/6
/2010
12/4
/2010
1/1
/2011
1/2
9/2
011
2/2
6/2
011
3/2
6/2
011
4/2
3/2
011
5/2
1/2
011
6/1
8/2
011
0716/1
1
8/1
3/2
011
9/1
0/2
011
10/8
/2011
11/5
/2011
12/3
/2011
12/3
1/2
011
Allowance Rate
4/3/2012 18
Central Re-examination Unit (CRU)
4/3/2012 19
10
15
20
25
30
35
40
0
200
400
600
800
1000
1200
Mo
nth
s
To
tal R
ee
xa
m F
ilin
gs
Reexam Filings and Time to Certificate
Total Reexam Filings
Time From Filing to Cert (Avg Months, last Qtr of FY)
• Significant decline in pendency: Increased staffing; Pilot program for waiving
the statement period; Streamlined process for handling petitions and
publication of certificates
Board of Patent Appeals &
Interferences
4/3/2012 20
*Aggressive
hiring to tackle
BPAI backlog
80.0%
81.0%
82.0%
83.0%
84.0%
85.0%
86.0%
87.0%
88.0%
89.0%
90.0%
91.0%
92.0%
93.0%
94.0%
95.0%
96.0%
97.0%
98.0%
99.0%
100.0%
FY09Q1 FY09Q2 FY09Q3 FY09Q4 FY10Q1 FY10Q2 FY10Q3 FY10Q4 FY11Q1 FY11Q2 FY11Q3 FY11Q4 FY12-Nov
FY12-Dec
FY12-Jan
Pe
rce
nt
Final Disposition Compliance Rate In-Process Compliance Rate Quality Index Reporting
Quality Measures
Final Disposition, In-Process and QIR
12 Month Rolling Average
FY 2009 – FY 2012 (through January)
2012 Final Disposition Compliance Rate Target Range
(95.6% - 96.7%). Actual as of January: 95.9%
2012 In-Process Compliance Rate Target Range
(94.6% - 96.0%). Actual as of January: 96.3%
2012 Quality Index Reporting Target Range
(88.3% - 91.60%). Actual as of January: 89.5%
4/3/2012 21
Quality Measures
4/3/2012 22
0255075
100125150175200225250275300325350375400425450475500525550
12/0901/1002/1003/1004/1005/1006/1007/1008/1009/1010/1011/1012/1001/1102/1103/1104/1105/1106/1107/1108/1109/1110/1111/1112/11 1/12
Awaiting Decision Requests Granted Requests Dismissed Requests Denied Petitions Received
R e que st S umma ry 12 /0 9 1/10 2 /10 3 /10 4 /10 0 5 /10 0 6 /10 0 7 /10 0 8 /10 0 9 /10 10 /10 11/10 12 /10 0 1/11 0 2 /11 0 3 /11 0 4 /11 0 5 /11 0 6 /11 0 7 /11 0 8 /11 0 9 /11 10 /11 11/11 12 /11 1/12 Tot a l
P e t it ions R e c e ive d 3 2 5 3 5 1 12 4 7 6 6 7 7 2 2 3 4 13 3 9 5 8 6 3 2 16 6 3 4 0 2 8 7 16 5 5 4 8 15 0 2 7 6 2 16 16 2 15 1 14 5 2 9 1 2 0 2 2 0 1 2 0 2 5 ,3 6 4
Await ing Dec ision (by month) 316 541 138 68 58 77 147 42 42 56 51 107 256 220 224 310 327 285 272 282 244 252 325 357 345 382
Requests Granted (by month) 2 12 209 67 45 38 98 180 65 48 26 81 122 222 117 263 86 237 167 116 206 111 156 128 308 134 3,244
Requests Denied (by month) 7 0 2 29 18 7 30 28 14 11 6 1 0 10 9 23 14 14 9 0 3 0 7 0 11 4 257
Requests Dismissed (by month) 0 121 316 43 14 8 36 30 16 13 5 28 69 91 35 176 33 67 53 41 65 32 55 42 65 27 1,481
G re e n Te c hnolog ie s P ilo t
Green Technologies Pilot
December 2009 – January 31st, 2012
Average time from petition grant to final
disposition: 271 days
Shortest time from petition grant to final
disposition: 57 days
Longest time from petition grant to final
disposition: 683 days
4/3/2012 23
Current Patent Prosecution Highway (PPH)
Programs
Japan (JPO)
Korea (KIPO)
China (SIPO)
European Patent Office (EPO)
Germany (DPMA)
Australia (IPAU)
Canada (CIPO)
United Kingdom (UKIPO)
Denmark (DKPTO)
Iceland (IPO)
Norway (NIPO)
Nordic Patent Institute (NPI)
Finland (NBPR)
Sweden (PRV)
Russia (Rospatent)
Israel (ILPO)
Taiwan (TIPO)
Hungary (HPO)
Spain (SPTO)
Austria (APO)
Singapore (IPOS)
Mexico (IMPI)
4/3/2012 24
PPH Requests at USPTO
• USPTO goal for PPH requests in calendar year 2011: 8,000
• Status as of January 31:
Paris-PPH 6,537
PCT-PPH 2,800
Total 9,337
Paris-PPH PCT-PPH All Cases
Grant Rate
(Allowances/Total
Number of Disposals)
89% 96% 47%
Actions per Disposal 2.13 1.61 2.49
• PPH results compared with all cases:
4/3/2012 25
Cooperative Patent
Classification (CPC)
CPC Milestone Timeframe
Introduction to CPC for all examiners. 2012
Develop Examiner Training with EPO. 2012-2014
Contractors apply CPC symbols to PGPUB pipeline documents. January 1, 2013
USPC and CPC symbols will be searchable in EAST/WEST, while
routing remains based on USPC.
2013
CPC symbols will propagate from PGPUB to Grants 2013
Examiners will begin to add CPC symbols as needed on issued
applications, with voluntary search capability of CPC symbols in
EAST/WEST.
2013-2014
Final stage of CPC implementation. 2015
4/3/2012 26
Trademark Performance:
Application Filings
• FY 2010: 368,939
classes
• FY 2011: 398,667
classes
• FY 2012 : projected
413,000 classes
-
50,000
100,000
150,000
200,000
250,000
300,000
350,000
400,000
450,000
FY
200
2
FY
200
3
FY
200
4
FY
200
5
FY
200
6
FY
200
7
FY
200
8
FY
200
9
FY
201
0
FY
201
1
FY
201
2
4/3/2012 27
Trademark Performance:
Quality
FIRST ACTION COMPLIANCE In-process review evaluation of the statutory bases for
which the Office raises issues and or refuses marks for
registration based on the first office action.
95.5% 94.1%*
FINAL ACTION COMPLIANCE In-process review evaluation of the statutory bases for
which the Office raises issues and or refuses marks for
registration based on the examiner’s approval or denial
of the application.
97.0% 96.4%*
EXCELLENT OFFICE ACTION New measure for FY 2011 indicating the comprehensive
quality of the first Office action search, evidence, writing
and decision making.
20.0% 22.1%
FY 2011
Trademark Performance Measures
FY 2012
Targets
FY 2012
Q1
Results
*Preliminary Numbers
4/3/2012 28
New TM Performance Measure:
Excellent Office Actions
Criteria for Excellence*
1. Correctness in decision making
2. Quality of the search
3. Quality and relevance of evidence
4. Clarity of the written Office Action
*Office action must meet all 4 criteria to be
considered excellent
4/3/2012 29
Trademarks Next Generation
30
Patents End-to-End (PE2E)
• IT Overhaul for the 21st Century
• Dynamic views of drawings, claims, and annotations
• Greater Examination & Agency Efficiency
4/3/2012 32
MPEP
TMEP
IdeaScale Links
4/3/2012 34
eP
eti
tio
ns
http://www.uspto.gov/patents/process/file/efs/guidance/epetition-info.jsp
35
Thank You