1 PPAC Patents Operations Update June 18th, 2009.
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Transcript of 1 PPAC Patents Operations Update June 18th, 2009.
1
PPACPatents Operations Update
June 18th, 2009
2
Filings, First Actions, & Backlog
471,382528,685
611,114
701,147760,924 771,529 760,795
200,000
300,000
400,000
500,000
600,000
700,000
800,000
900,000
2003 2004 2005 2006 2007 2008 2009Filings First Actions Backlog
FY08•Backlog
increased 1.4%•Filings increased
6.1%•1st Actions
increased 16.6%
•As of 5/31/09
3
Backlog Projections
558,420
177,300
722,400
0
100,000
200,000
300,000
400,000
500,000
600,000
700,000
800,000
2009 2010 2011 2012 2013 2014 2015
Hiring level FY 09/10: 600 examiners; FY 11/15: 1,200 examiners
Hiring level FY 09: 600 examiners; FY 10/14: 1,500 examiners; FY 15: 600 examiners
Hiring level FY 09/15: 600 examiners
4
Total Pendency Projections
32.3
21.7
36.4
0
5
10
15
20
25
30
35
40
2009 2010 2011 2012 2013 2014 2015
Hiring level FY 09/10: 600 examiners; FY 11/15: 1,200 examiners
Hiring level FY 09: 600 examiners; FY 10/14: 1,500 examiners; FY 15: 600 examiners
Hiring level FY 09/15: 600 examiners
5
RCE and Continuations Percentage of Total UPR Filings
RCE and Continuations Percentage of Total UPR Filings *as of March 31, 2009
6.1%6.7%
7.8% 7.9% 7.9% 8.0% 7.8% 7.6% 7.8%
6.3%
11.0% 10.7% 10.4%
12.6% 13.0%14.4%
17.8%
19.7%
24.1%
28.5%
0%
5%
10%
15%
20%
25%
30%
FY 2000 FY 2001 FY 2002 FY 2003 FY 2004 FY 2005 FY 2006 FY 2007 FY 2008 FY 2009*
CON/ Total UPR Filings RCE&CPA&R129/ Total UPR Filings
6
Patent Pendency – FY 2008 and FY 2009
Technology Center Average 1st Action
Pendency (months)1 4th Quarter
FY08
Average 1st Action
Pendency (months)1
2nd Quarter FY09
Average Total Pendency (months)2
4th Quarter FY08
Average Total Pendency (months)2
2nd Quarter FY09
1600 - Biotechnology and Organic Chemistry 19.9 24.3 34.8 34.8
1700 - Chemical and Materials Engineering 27.5 27.3 36.3 37.3
2100 - Computer Architecture Software 30.8 30.0 42.4 41.0
2400 - Networking, Multiplexing, Cable, and Security
36.0 48.3
2600 – Communications 32.5 34.1 43.6 42.6
2800 - Semiconductor, Electrical, Optical Systems
19.5 20.6 28.2 29.1
3600 - Transportation, Construction, Electronic Commerce
24.3 25.1 34.8 34.5
3700 - Mechanical Engineering, Manufacturing and Products
24.7 25.9 32.7 34.7
UPR Total 4th Quarter FY 2008 25.6 26.9 32.2 33.71 “Average 1st action pendency” is the average age from filing to first action for a newly filed application.2 “Average total pendency” is the average age from filing to issue or abandonment of a newly filed application.
7
Hires and Attritions
Staff includes UPR Examiners, SPEs and academy trainers.
1600 1700 2100 2400 2600 2800 3600 3700 4100 Corps
FY 08 Hiring 33 209 183 294 132 173 187 1211
FY 08 Attrits 42 58 105 135 86 69 88 583
FY 08 EOY Staff 540 597 622 531 770 1011 694 644 1008 6417
FY 09 Hires As of April 09
33 63 76 43 85 45 61 77 483
8
End-of-Year Statistics (FY 2008)
468,669 UPR applications filed 28,217 design applications filed 6.1% filing growth over 2007 9.5% attrition (9.9% in FY07, 10.6% in FY06) Patents Staff is composed of the following:
• 6,055 examiners• 414 Supervisory Patent Examiners• 101 Quality Assurance Specialists• 48 SPE/trainers for Patent Training Academy
9
Quality Results
Improving Quality is our Highest Priority.2004
Result2005 Result
2006 Result
2007 Result
2008 Result
5.3% allowance
error
4.6% allowance
error
3.5% allowance
error
3.5% allowance
error
3.7% allowance
error
82% in-process
compliance
86.2% in-process
compliance
90% in-process
compliance
92.2% in-process
compliance
92.5% in-process
compliance
10
Allowance Error Rate
0.0
1.0
2.0
3.0
4.0
5.0
6.0
7.0
8.0
1975 1978 1981 1984 1987 1990 1993 1996 1999 2002 2005 2008
Fiscal Year
11
Allowance Rate
30.0
35.0
40.0
45.0
50.0
55.0
60.0
65.0
70.0
75.0
1975 1978 1981 1984 1987 1990 1993 1996 1999 2002 2005 2008
Fiscal Year
41%Mid Year2009
12
Performance Measures FY02-08
40%
50%
60%
70%
80%
90%
100%
2002 2003 2004 2005 2006 2007 2008 2009*
Allowance Compliance Rate IPER Compliance RateBPAI Affirmance/AIP Pre App. Brief - proceed to appeal
*As of May 2009
13
Appeal Conference Effects Actions in Response to Appeal
Brief
58.3%
52.7%
47.0%
40.8%39.3% 39.9% 40.1%
42.8%
51.2%
58.6%61.3%
26.8%
11.4%
0%
10%
20%
30%
40%
50%
60%
70%
FY 98 FY 99 FY 00 FY 01 FY 02 FY 03 FY 04 FY 05 FY 06 FY 07 FY 08
Examiner's Answers Reopens Allowances Other Actions
14
Actions Per Disposal
2.34 2.38 2.40 2.32 2.26 2.27
2.602.76 2.85 2.91 2.91
0.00
0.50
1.00
1.50
2.00
2.50
3.00
3.50
1999 2000 2001 2002 2003 2004 2005 2006 2007 2008 2009(MY)
Actions Per Office Disposal
15
Affirmance Rate* at BPAI by TC
Technology Center
FY 06 FY 07 FY 08 FY 09 (May 09)
1600 Biotech 54% 73% 70% 73%
1700 Chemical Eng.
77% 81% 80% 81%
2100 Computers 60% 68% 76% 79%
2600 Communications
62% 80% 74% 77%
2800 Electrical 70% 74% 77% 77%
3600 Mechanical 50% 63% 70% 74%
3700 Mechanical Eng.
56% 73% 73% 74%
Corps. Total 62% 72% 74% 77%* Affirmed and Affirmed in Part
16
Patents’ Initiatives And
Projects
Present and Future - Issues and Solutions
17
A Sample of the Strategic Plan Initiatives
Enhance Recruitment & Retention EffortsImplement University Style Patent Training AcademyExpand telework initiativesExplore the development of alternative approaches to examination in collaboration with stakeholders
Pilot Peer Review of Published ApplicationsImplement Accelerated Examination InitiativePilot First Action InterviewContinue increase of e-filingStudy/Pilot/Implement Worksharing amongst IP Offices
18
Hiring & Recruitment
Hiring Efforts• FY 2008:1211 Examiners hired
Recruiting• Targeted TV, print, radio, and Internet
banner advertising: “Examine the Possibilities”
• Increased career and job fair participation• Recruitment incentives• Partnerships with universities
19
Training Academy
Eight month university style training academy
•Begun in FY 2006•Have begun 30 classes; graduated 22
o Nearly 2,289 new examiners graduated into the corps to date
•Facilitate more efficient training of large numbers of new hires; reduce early attritions
Foreign Examiners In Residence (FEIR)Chief Scientist / Academy Professor Position
20
Outreach Programs
University Outreach– Educating students on intellectual property
» Ensuring that students are thinking about protecting their own innovations
» Ensuring that students understand the impacts of piracy and other forms of intellectual property theft
» Ensuring USPTO name recognition » Ensuring that students know the advantages of a career at
the USPTO
– Creating a pool of potential hires who have a foundation of patent examination knowledge
» Engaged with universities on hosting IP programs in their engineering and business schools
– Leveraging university resources to train examiners» Webster University providing advanced legal training to
senior examiners » 3 part course on how patent litigators use prosecution
history in infringement proceedings (enhances examiners understanding of the importance of file history accuracy and clarity)
21
Retention
Initiatives to develop USPTO as an “employer of choice”
“Maximum Opportunity” & “Maximum Flexibility”:• Telework• Hoteling• Flexible work hours• Retention bonuses• Higher general pay
22
Patents Hoteling Programs
Patent Examiner Hoteling Program•Over 1,500 Patent Examiners participating in the Patents Hoteling Program, since initiated in 2006•Program allows examiners to work from home 4 days per week with USPTO electronic tools•Will add additional 500 examiners to program in FY 2009
TSS Hoteling Program•Piloted from September 2006 to September 2007•Currently, 87 TSS hoteling•Survey indicated high levels of satisfaction with pilot and desire to continue
23
Patents Teleworking & Laptop Programs
Over 2300 laptops distributed through PELP
Both Hoteling and Laptop programs show production gains in line with increase in total examination time, as well as improved morale and job satisfaction
24
Worksharing
Number of initiatives underway to promote examination efficiencies in participating IP offices.Patent Prosecution Highway (PPH)
•An initiative which leverages fast-track patent examination procedures available in Partnering Offices to obtain patents faster and more efficiently. •It permits Partnering Offices to benefit from work previously done by the other office, in turn reducing examination workload and improve patent quality.•Full implementation (January 4, 2008) - JPO•Pilot – UK IPO, CIPO (Canada), EPO, IPAU (Australia) and KIPO (Korea)
25
Worksharing - Foundation Projects
Common documentation database (EPO): Assemble a common set of relevant patent and non-patent literature from around the world to assist patent examiners in their prior art searches
Common approach for a hybrid classification (EPO): Enable joint and efficient updating of patent classification and facilitate reuse of work among the patent offices
Common application format (JPO): Facilitate the filing procedure of each office by using a common application format and an electronic or digitized patent application filing (in XML) and subsequent processing and publication in XML
Common access to search & examination results (JPO): Enable examiners to find one-stop references in the dossier information of other offices, such as search and examination results, and conduct priority document exchange (PDX) to reduce costs of ordering copies of priority documents for applicants and administrative costs of electronic processing for offices
Common training policy (KIPO): Standardize the training of patent examiners at each office, helping examiners to produce equivalent results of search and examination at the five offices
Mutual machine translation (KIPO): Help offices overcome the language barrier of patent information and allow greater access to each other's patent information
Common rules for examination practice & quality control (SIPO): Execute patent examinations at a similar standard and quality through common rules of examination practice and quality control
Common statistical parameter system for examination (SIPO): Establish a system of common statistical parameters for all examinations at the five offices; and conduct statistical tasks and exchange information on examination practices under common rules and parameters, building on work of the Trilateral statistical working group
Common approach to sharing & documenting search strategies (PTO): Promote re-utilization by enabling patent examiners of each office to understand each other's search strategy
Common search & examination support tools (PTO): Establish system of common search and examination tools to facilitate work-sharing
26
PPH Statistics
PPH Partner Type Start Date End date Requests Received (4/1/09)
JPO pilot 7/3/06 1/3/08 274
JPO Full 1/4/08 520
UKIPO pilot 9/4/07 9/4/08 (extended until further notice)
50
KIPO (Korea) pilot 1/28/08 1/28/09 125
CIPO (Canada) pilot 1/28/08 1/28/09 6
IPAU (Australia) pilot 4/14/08 4/14/09 4
EPO pilot 9/29/08 9/29/09 4
DKPTO (Denmark)
pilot 11/3/08 11/3/09 0
IPOS (Singapore) pilot 2/2/09 2/2/10 0
27
Peer Review Pilot
For members of the public to submit prior art with commentary, using Internet peer review techniques, in volunteered published applications to a public website (www.peertopatent.org) – 143 applications volunteered – TC 2100 and 3600 Business Methods technology only – 10 pieces of prior art max per application (avg. was 4)
56 applications have received at least a first action on the merits – 7 received a rejection using peer found prior art – 10 others received a rejection using art found by both the examiner and the
peers – 39 art found by examiner
Pilot extended 1 year to include Business Methods – Class 705 – Encourage more participation – Technology heavy with Non-patent literature
Over 22,000 letters from the USPTO were mailed out in applications that may be eligible for the pilot, 52 consent forms were filed as a direct result of this mailing
28
Accelerated Examination
Change in practice effective August 25, 2006.
Opportunity for final determination in 12 months.
Participation requires:• Applicants provide greater information up
front – pre-examination search and accelerated examination support document
• File application using electronic fling system • Agree to interviews• Limited number of claims
29
Accelerated Examination Current Statistics
As of May 2009:• 914 applications allowed
o On average, 197 days to complete prosecutiono Minimum number of days to complete prosecution: 18
69.7% Allowance Rate for FY08 80.3% Allowance Rate for FY09 (as of May 09)
Participants’ response & comments positive• Not only faster, but high quality
30
Accelerated Examination Current Statistics
AE Petitions filed per month
11
37 3624
4049 54 56
78 76 7971
4935
110
7489
99 94
172
192201
167
241
172158
120
97
136
88
4049
0
50
100
150
200
250
300
Aug-0
6
Sep-0
6
Oct-
06
Nov-0
6
Dec-0
6
Jan-
07
Feb-0
7
Mar
-07
Apr-0
7
May
-07
Jun-
07
Jul-0
7
Aug-0
7
Sep-0
7
Oct-
07
Nov-0
7
Dec-0
7
Jan-
08
Feb-0
8
Mar
-08
Apr-0
8
May
-08
Jun-
08
Jul-0
8
Aug-0
8
Sep-0
8
Oct-
08
Nov-0
8
Dec-0
8
Jan-
09
Feb-0
9
Mar
-09
31
First Action Interview Pilot
Applicant requests to participate, 493 applicants had joined the pilotApplication is NOT taken out of turn “Preliminary office action” is prepared and mailed to applicant – condensed version of typical first action on the merits After interview applicant receives copy of action or allowance with entry of proposed amendmentPiloted in two workgroups of TC 2100
32
FAI Statistics as of May 4, 2009
493 Applicants have joined the pilot program370 Pre-interview Communications (PFA OA)
have been mailed263 Interviews have been conducted226 First Action Interview Office Actions have
been mailed84 Allowances
– 44 allowed after pre-interview communication but before FAI office action
– 15 allowed after the FAI office action– 25 allowed without/before pre-interview
communication
33
FAI Expansion
– POPA Exec Committee agrees to selection of proposed areas for expansion. » These areas are – 1610, 1795, 2160 (in
original pilot), 2440&50 (in original pilot), 2617, 2811+, 3670 and 3760.
– Pilot process changes– PALM tracking changes– EFS and EDAN changes– Applicant survey
34
Electronic Filing
New EFS-Web system launched March 2006: Allows PDF-based submissions Replaced XML-based system
2005 result: 2.2% of applications filed electronically.2008 result: 71.6% of applications filed electronically.2009 Goal: 80%
As of Dec 14, 2008, 147,640,728 pages have been filed using EFS