Patent Quality Assurance Program

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Patent Quality Assurance Program
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Office of Patent Quality Assurance (OPQA)
Commissioner for Patents
Deputy Commissioner for Patent Operations
Office of Patent Quality Assurance
Chemical Disciplines Supervisory Quality
Assurance Specialists
Mechanical Disciplines Designs Supervisory
Quality Assurance Specialists
Electrical Disciplines Supervisory Quality
Assurance Specialists
Review Quality Assurance Specialists
Review Quality Assurance Specialists
Review Quality Assurance Specialists
Technology Center 2100 Computer Architecture
Software Information Security
Technology Center 3600 Transportation,
Construction,Electronic Commerce Agriculture,Natio
nal Security Licensing Review
Technology Center 1600 Biotechnology Organic
Chemistry
Technology Center 2600 Communications
Technology Center 3700 Mechanical Engineering,
Manufacturing, Products Designs
Technology Center 1700 Chemical Materials
Engineering
Technology Center 2800 Semiconductor, Electrical,
Optical Systems Components
Technology Center 2900 Designs
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Office of Patent Quality Assurance

• Independent office reporting to the Deputy
  Commissioner for Patent Operations
• Examination quality review staff is comprised of
  38 Review Quality Assurance Specialists (RQAS)
  and 7 Supervisory Review Quality Assurance
  Specialists (SRQAS)
• OPQA staff is organized by discipline (Chemical,
  Electrical and Mechanical) RQASs review patent
  applications in the general subject matter area
  of their own examining expertise
• All RQAS and SRQAS have Full Signatory Authority
  and substantial patent examining experience in
  their area of expertise many have served as
  Supervisory Patent Examiners for at least several
  years

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Role of the Office of Patent Quality Assurance

• Quality Review
• U.S. Patent Application Quality Review
• End Process Reviews
• In-Process Reviews
• PCT Quality Reviews
• Technical Support Staff Quality Review
• Training and feedback to examining Corps

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U.S. Patent Application Quality Review

• Allowance Reviews
• Initiated in 1974 when USPTO established a
  separate office dedicated to reviewing patent
  quality
• Review of 5901 randomly selected applications
  conducted after the mailing of the Notice of
  Allowance but prior to patent grant
• Provide a Corps-wide estimate of quality within a
  /- 0.5 sample error margin
• Allowance is considered to be in error if one or
  more claims are deemed to be unpatentable over
  prior art or other statutes
• Error rate is the percentage of reviewed allowed
  applications that contain at least one
  unpatentable claim

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U.S. Patent Application Quality Review

• In-Process Reviews (IPRs)
• Initiated formally in 2003 as part of the USPTO
  21st Century Strategic Plan quality initiatives
• Review of 4625 randomly selected applications
  with Office actions issued prior to allowance or
  appeal
• Provide a Corps-wide estimate of quality within a
  /- 1.0 sample error margin
• Evaluate whether the application examination has
  been conducted to conform with current law and
  Office procedure
• Assess whether rejections are proper
• Assess whether examiner failed to make proper
  rejection
• Evaluate search quality
• Application is considered to be in error if
  examiner made an improper rejection or failed to
  make a proper rejection
• Error rate is the percentage of reviewed
  applications that contain such an error

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Training and Feedback

• Utilization of RQAS expertise through the sharing
  of best practices with the Technology Centers in
  an effort to improve the quality of examiners'
  work product.
• RQASs assist with training and quality
  initiatives in the Patent Examining Corps
• Analyze trends and provide reports to Technology
  Center Managers
• Develop and deliver training at TC, Work Group,
  Art Unit and individual examiner level
• Perform in-depth reviews of individual Art Units
  and develop training tailored to specific needs
• Perform special projects based on individual
  Technology Center requirements

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• Anthony Caputa, Quality Lead 571-272-0829
• Kay Kim, RQAS 571-272-0983
• Gerald Leffers, RQAS 571-272-0772
• Susan Loring, RQAS 571-272-0984
• Johnny Railey, RQAS 571-272-0985

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TC1600 Quality Program
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Refresher Training Course

• Joint project between TC1600 and OPQA
• Small, interactive classes
• 3-5 week course (39 hours) on major examining
  topics
• Claim interpretation and searching
• Action writing
• 35 U.S.C. 101 utility and double patenting
• Restriction
• 35 U.S.C. 112 first paragraph enablement and
  written description
• New matter and priority
• Art rejections
• Responding to arguments including Affidavit and
  interview practice
• 35 U.S.C. 112, sixth paragraph

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Art Unit Rolling Reviews

• Joint project between TC1600 and OPQA
• Review the work for an individual art unit for a
  set period of time
• Provide feedback from the reviews in an art unit
  meeting
• Common issues/informalities
• Examples discussed in depth
• SPE provides detailed feedback from the reviews
  to each examiner individually

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Second Pair of Eyes Reviews

• Focused internal review of allowances
• Benefit
• Allows a comparison for judging progress against
  our quality targets
• Identifies problems that can be addressed by
  training
• Provides feedback to individual examiners on a
  case-by-case basis

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Examination Conferences

• Patentability
• Confer with 2 SPEs or SPE and primary prior to
  allowance
• Mandatory for junior examiners voluntary for
  primaries
• Appeal
• Mandatory in all cases with appeal brief filed
• Confer with 2 SPEs
• Pre-Appeal
• Upon request
• Confer with 2 SPEs

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Examiner Resources

• Mentor Meetings
• Brown Bag Seminars
• Web Resources

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Examiner Resources-Technical Skills Enhancement

• Technology Fair
• Biotechnology Chemistry Pharmacology Partnership
  Lecture Series
• Examiner Education Program

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WEPAC-Workgroup Examination Practice Advisory
Committee

• Examiner representatives from each Art Unit.
• Purpose to identify patent problematic issues
• Goal to increase consistency and efficiency
  throughout the TC

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Quality Matrix

• Oversight and management of Review Processes and
  Quality Initiatives
• Consultation on practice and procedural questions
• Facilitate Resolution of errors alleged by OPQA
• Coordination of cases between the BPAI and TC1600
• Current Staff
• Yvonne Eyler 571-272-0871
• Chris Low 571-272-0951
• Dave Nguyen 571-272-0731
• Jean Witz (Appeals) 571-272-0927