Dana Stangel

April, 2014

Fast Examination An Overview of Current USPTO Programs

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Past & Current Programs

• Past USPTO Programs & Initiatives

• Current USPTO Programs & Initiatives

 • Other ways of influencing prosecution rate

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Past USPTO Programs & Initiatives:

Expired programs:• Project Exchange – Patent Backlog

Reduction (2009-2011)• Green Technology (2006-2012)• Peer-to-Patent (2007-2011)• Older versions of current programs

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Current USPTO Programs & Initiatives:

• Prioritized Examination - Track 1• Petition to Make Special• Accelerated Examination• First Action Interview • Patent Prosecution Highway

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USPTO Initiatives

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Track 1

• Fee: $4000 ($2000 small entity)

• No missing parts• Claim limit: 4

independent / 30 total

• No extensions of time

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Petition to Make Special & Accelerated Exam

• Age or health – No fee– Age ≥ 65– Health: evidence ex-statement from a doctor

• Note: Consider filing under MPEP 724.02 to keep medical information private

• Other Grounds – Accelerated Examination– $140 fee– Requires search disclosure– Examination Support Document (AESD)– Claims: 3 independent 20 total– Interview may be required– 1 month shortened response time

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First Action Interview

• File Request• Claims: 3 independent, 20 total • Examiner will issue a Pre-interview

Communication (PTOL-413FP) setting a one month (+1 mo. extension) time period to request or decline an interview

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Patent Prosecution Highway (PPH)

PPH - Bilateral AgreementsAllowable claims in the Office of First Filing (OFF), could then be used to expedite a US case (OSF-Office of Second Filing) with corresponding claims & no FOAM.

PPH 2.0 / MottainaiAllowable claims in selected foreign offices can expedite a US case with corresponding claims & no FOAM.

Consider DIV if favorable to some claims.

PCT-PPHFavorably treated claims in ISR/WO can expedite a US case with corresponding claims & no FOAM.

Consider DIV if favorable to some claims.

もったいないTrivia – Mottainai is a Japanese term meaning: A sense of regret concerning waste when the intrinsic value of an object or resource is not properly utilized.

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Other Ways to Influence Prosecution Speed

• Effect of RCE on examination process• After Final Consideration Program (AFCP 2.0

– expiring 9/30/14)• Rule 496 – finding of patentability by ISA-US• Use of Interviews• Ombudsman Program

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 Comparison of Current Programs

• Factors to consider:– Cost– Speed– Limits on number or scope of claims– Timing for request or petition

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Cost of Program

• Track 1– Fee: $4000/2000– Docketing shortened response

• Accelerated Exam– Fee: $140– Search & AESD preparation time– Potential estoppel issues– Docketing shortened response

• First Action Interview – Docketing shortened response

• Petition to make Special, PCT-PPH, PPH 2.0,– No cost

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Speed & Effectiveness

• Track 1 – 12 months

• Accelerated Exam – 12 months

• PPH – Out of turn examination

• Petition to Make Special – Out of turn

• First Action Interview – Shortened response

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Claim Limits

• Track 1 – 4 independent / 30 total

• Accelerated Exam– 3 independent / 20 total

• Petition to Make Special (Age/Health)– none

• Patent Prosecution Highway– Must correspond to favorably treated claims

• First Action Interview– 3 independent / 20 total

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Timing of Request/Petition to Participate

• Track 1 – When filing

• Accelerated Exam– when filing

• Petition to Make Special (Age/Health)– Anytime

• Patent Prosecution Highway– Before First Office Action on the Merits (FOAM)

• First Action Interview– Before First Office Action on the Merits (FOAM)

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Track One (Prioritized Examination)

Accelerated Examination

Full First Action Interview Pilot

Patent Prosecution Highway (PPH 2.0)

PCT Patent Prosecution Highway (PCT PPH 2.0)

Program Start Date2011 (AIA) 2006 2009 2006 2010

Surcharge / Fee

Yes - $4000/$2000

Yes - $140 (unless qualifying: environment , energy, or terrorism) No No No

Claim Number Limit(s) Yes - 4 Indep., 30 total claims

Yes- 3 Indep., 20 total claims

Yes- 3 Indep., 20 total claims No No

Shortened Prosecution Time

Yes – goal is 12 months

Yes – goal is 12 months. Non-extendable 1 month response time until final rejection or allowance.

Yes – due to shortened response period(s)

Yes – due to earlier FAOM

Yes - Out of turn examination

Special StatusUntil final disposition Until final disposition No Until final disposition Yes

Examination Support Document No Yes No No No

Shortened / Non- extendable Response

Times

Yes - Track 1 status revoked if extentions are filed Yes Yes No No

Interview RequiredNo

Yes - unless claims are initially allowable Yes No No

Continuation Applications & RCEs Eligible for Program Yes

Yes - only at the time of filing

Yes (only CONs & DIVS before FOAM, not RCEs)

Yes - only CONs & DIVS before FOAM, not RCEs

Yes - must request before FOAM in each application

Duration or Application Limit 10,000 per year Unlimited, no expiration

Unlimited, Extended beyond 11/16/12 Unlimited, no expiration Expires 01/28/14

Status of ProgramPilot Permanent Pilot Permanent Pilot

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Resources

• http://www.uspto.gov/patents/init_events/patapp-initiatives-timeline.jsp• http://www.uspto.gov/patents/init_events/patapp-initiatives-prior.jsp• http://www.uspto.gov/patents/ombudsman.jsp• http://www.uspto.gov/patents/law/notices/pph_2-0_ni.pdf• http://www.uspto.gov/patents/law/notices/2013.jsp

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Thank you!