Patent Quality Assurance Program

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

3 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

4 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

5 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

6 U.S. Patent Application Quality Review In-Process Reviews (IPRs) — Initiated formally in 2003 as part of the USPTO 21 st 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

7 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. — RQAS’s 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

8 Anthony Caputa, Quality Lead Kay Kim, RQAS Gerald Leffers, RQAS Susan Loring, RQAS Johnny Railey, RQAS

TC1600 Quality Program

10 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

11 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

12 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

13 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

14 Examiner Resources Mentor Meetings Brown Bag Seminars Web Resources

15 Examiner Resources- Technical Skills Enhancement Technology Fair Biotechnology Chemistry Pharmacology Partnership Lecture Series Examiner Education Program

16 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

17 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 — Chris Low — Dave Nguyen — Jean Witz (Appeals)