The United States Patent and Trademark Office

1. The United States Patent and Trademark Office BCP Customer Partnership Meeting March 15, 2005

2. Contact Information • John Doll Deputy Commissioner for Patent Planning and Resources john.doll@uspto.gov 571-272- 8250

3. Contact Information • Peggy Focarino Deputy Commissioner for Patent Operations margaret.focarino@uspto.gov • Joe Rolla Deputy Commissioner for Patent Policy joseph.rolla@uspto.gov 571-272-8800

4. Nicholas P. Godici Commissioner for Patents To Retire March 29th

5. Star Search Wanted: Commissioner for Patents Jon.Dudas@uspto.gov

6. Jon’s New Initiatives Reexamination • Special Dispatch

7. Jon’s New Initiatives Reexamination • Special Dispatch • PCT • Timeliness of Actions

8. Jon’s New Initiatives Reexamination • Special Dispatch • PCT • Timeliness of Actions • BPAI Appeals • 60% never make it

9. Jon’s New Initiatives • Search Quality • Search Grids • Search Recordation • Search QR

10. Jon’s New Initiatives • Search Quality • Search Grids • Search Recordation • Search QR • Patentability Conferences • Quality & Training

11. Jon’s New Initiatives • Search Quality • Search Grids • Search Recordation • Search QR • Patentability Conferences • Quality & Training • 2nd Pair of Eyes • Redefine

12. Jon’s New Initiatives Accelerated Examination Initiative • 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

13. UPR Applications Filed 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 UPR1 Applications Filed 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 Pendency 1“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 Pendency (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. * 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 Pendency 1“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 Pendency (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.

19. TC 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.

20. Inventory by Art Examples *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 Examples *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 Analysis “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).

23. TC 1600 Rework* Statistics *Rework first actions are those actions that are in a Continuing, CPA or RCE application.

24. Restriction/Divisionals in 1600

25. Patents Issued in TC 1600

26. TC 1st 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. Anexaminer receives both a first action count and a disposal count for first action allowances.

27. Quality of Products 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.

28. Hires and Attritions *Includes hires on board and confirmed and pending offers

29. 1600 New Examiner Hiring

30. Patents 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.