Accelerated Examination Green Technology Petition Pilot Program Robert W. Bahr Acting Associate Commissioner for Patent Examination Policy

2 Discussion Points 1. Accelerated Examination (AE) 2. Green Technology Pilot Program

3 Accelerated Examination: Authority 37 CFR § and MPEP § VIII Effective August 25, 2006  Petitions prior to this date are not included See Changes to Practice for Petitions in Patent Applications to Make Special and for Accelerated Examination, 71 FR (June 26, 2006), 1308 Off. Gaz. Pat. Office 106 (July 18, 2006). AE information on the USPTO web site: ex.jsp

4 Accelerated Examination: Overview “Special” status: advances an application out of turn for examination GOAL: achieve a final decision by the Examiner within 12 months from the filing date Applies to all petitions to make special, except those related to:  Age and Health  Patent Prosecution Highway  Green Technology Pilot  Backlog Reduction Stimulus Plan

5 Accelerated Examination: Filing Requirements 1. Electronically Filed 2.Complete at filing 3.< 3/20 claims directed to a single invention 4.No multiple dependent claim(s) 5.Fee: 37 CFR § 1.17 (h)  or a statement that the claimed subject matter relates to environmental quality, energy or anti-terrorism 6.Petition to make special  use USPTO Form PTO/SB/28

6 Accelerated Examination: Common Filing Errors Improper Filing: e.g., contains a preliminary amendment Not In Condition for Examination: e.g., contains a a 37 CFR § 1.47 petition for a non-signing inventor Untimely Filing: e.g., filed during mid-prosecution Incomplete Filing  unexecuted oath  missing or defective drawings  missing or non-compliant sequence listings

7 Accelerated Examination: Filing Tips Satisfy the Filing Requirements 1. For a Filing Date: Provide a specification, at least one claim and any required drawing - §§ 1.81(a) and For a Complete Filing: Include the basic filing fee an oath or declaration pursuant to § 1.63 a correspondence address - § 1.33(a) Avoid:  37 CFR § 1.16(f) surcharge  Notice To File Missing Parts to address the above deficiencies See MPEP § (a) ; 37 CFR § 1.53

8 Accelerated Examination: Filing Tips (Cont.) Use an application data sheet (ADS) in lieu of oath for foreign or domestic benefit claims to effect cross-reference (37 CFR § 1.78) For non-English specifications, timely provide English language translation under 37 CFR § 1.52(d), an accuracy statement and the fee Include necessary Sequence Listing (if applicable)

9 Accelerated Examination: Petition Requirements Petition must be accompanied by: 1. Pre-Examination Search 2. Accelerated Examination Support Document (AESD) Statements that the applicant will: 1. Make election w/o traverse in a telephonic interview 2. Agree to have an interview when requested by the examiner 3. Not separately argue any dependent claim on appeal  See: Form PTO/SB/28, Petition to Make Special Under Accelerated Examination Program at:

10 Accelerated Examination: Pre-Exam Search Must include a search of: U.S. Patents Patent application publications Foreign patent documents Non-patent literature  Search directed to the claimed invention giving claims their broadest reasonable interpretation  Include a classification search and text search

11 Accelerated Examination: Deficient Pre-Exam Search Petition Dismissed: if partially deficient Will include specifics regarding deficiency with suggestions to remedy Example: Missing or Incomplete Search Missing: point out that search is required Incomplete: guidance directed at improving the search will be given in the decision

12 Accelerated Examination: Common Search Errors Incomplete Search:  substantive: does not address key claim limitations  procedural: does not include foreign patent search - does not document USPAT search terms

13 Accelerated Examination: Search Tips Search the claimed invention search must be commensurate in scope with the claims Search should include U.S. Patents and publications, foreign patents and publications, and non-patent literature Provide the text search logic a listing of terms will not suffice

14 Accelerated Examination: Examination Support Document (AESD) Requirements AESD must include: 1. An information disclosure statement (IDS) citing each reference deemed most closely related to the claims 2. An identification of where each limitation disclosed in each reference is found Refer to specific paragraphs or drawing elements 3.A detailed explanation of how each claim is patentable over each reference Be specific – general statements are not sufficient

15 AE: AESD Requirements (Cont.) AESD must also include: 4. A concise statement of utility of the invention. 5. A showing of support for each claim limitation in specification Point to page and line numbers or drawing elements 6. An identification of any cited references that may be disqualified as prior art under 35 U.S.C. § 103(c)

16 Accelerated Examination: Common AESD Errors Form PTO/SB/08 (formerly PTO-1449) fails to include reference(s) discussed in the AESD Fail to apply reference(s) to claim limitations Fail to provide a detailed explanation of how each claim is patentable over each reference

17 Accelerated Examination: AESD Tips Clearly point out by specific claim language how each claim is patentable over each reference Each reference discussed must be presented in an IDS  Show support in the specification and/or drawings for each limitation of each claim. Be specific Clearly and specifically identify the limitations in each claim  A chart is a clear, convenient format

18 Accelerated Examination: Petition Review Denied if: Fails to meet filing requirements Ineligible (plant, reissue, reexamination proceeding, national stage application under 35 U.S.C. § 371) Dismissed if it is defective Defects are specifically noted One (1) chance to cure Ultimately Denied if: Applicant is unable to timely cure defect(s)

19 Accelerated Examination: Applicant’s Reply Shorter Statutory Periods (SSP) for applicant reply: 1-month (or 30 days) for any action except final rejection or allowance No time extensions under 37 CFR § 1.136(a) – only § 1.136(b) Reply must be electronically filed via EFS-Web If response includes either amended or newly-added claims: An updated search will be required if claims are not encompassed by the pre-examination search An updated AESD will be required if claims are not encompassed by original AESD

20 Accelerated Examination: Non-Responsive Reply An amendment (including after-final and RCE submissions) is non-responsive (not entered) if it: Exceeds the 3/20 claim limit; Presents claims to a non-elected invention; Presents claims not encompassed by the pre- examination search, or an updated search; or Presents claims requiring an updated AE support document, which is not submitted.

21 Accelerated Examination: Non-Responsive Reply (Cont.) Must respond timely:  Examiner may provide one month (or 30 days) to supply the omission or a fully responsive reply for a bona-fide response to FAOM only  No extensions under 37 CFR § 1.136(a)  Abandoned if not timely cured

22 Accelerated Examination: Withdrawal From Special Status No AE provision for “withdrawal” from special status An RCE will not effect “withdrawal” Can abandon in favor of a “continuation” which is not special unless a new AE petition is filed with the continuation application and granted

23 Accelerated Examination: Statistics Overview * As of 1/7/10 (Statistics are calculated on a quarterly basis.)

24 Accelerated Examination: Statistics Overview

25 Accelerated Examination: Statistics Overview Cumulative AE Petitions Decided on Merits or Pending (Applications filed through 12/31/09, N=2811) Status as of 1/7/10

26 Accelerated Examination: Benefits Final patentability determination in 12 months Good for inventions with a short lifespan Patent may be granted at the peak of the technology’s life Benefits inventions in very competitive markets Information provided more quickly to those seeking to avoid infringement Can be used to accelerate prolonged prosecution Claim drafting is more focused and clear Earlier and extended interaction between applicant and examiner

27  AE Home Page:  AE Federal Register Notice:  Sample AE Petition Form SB/2B:  Sample AE Pre-Examination Search Document:  Sample AE Support Document:  FAQs: Accelerated Examination Information Links

28 Green Technology Pilot Program Discussion Points 1. Authority and Overview: resources/overview 2.Petition Requirement: common errors and tips 3.Petition Review: process, statistics, examples 4.Future

29 Green Technology: Authority See Pilot Program for Green Technologies Including Greenhouse Gas Reduction, 74 FR (Dec. 8, 2009), 1349 Off. Gaz. Pat. Office 362 (Dec. 29, 2009). Pilot was announced by Secretary Locke in Washington, DC – coinciding with the start of UN’s Climate Change Conference in Copenhagen, Denmark Part of the Obama Administration’s effort to spur innovation and create jobs Green Tech Information on the USPTO web site:

30 Green Technology: Overview Pilot will run for twelve months from its effective date of December 8, 2009 Limited to specific areas of green technology — Environmental quality — Energy conservation — Development of renewable energy resources — Greenhouse gas emission reduction — Must meet USPC requirements set forth in the Federal Register Notice Limited to the first 3,000 petitions granted by USPTO “Special” status — Advances an application out of turn for initial examination — Accorded special status in any appeal to the BPAI and in the patent publication process

31 Green Technology: Filing Requirements 1. Non-reissue, non-provisional utility application filed under 35 USC § 111(a) or a 35 USC § 371 application 2. Application must have been filed prior to December 8, 2009 or be a 35 USC § 371 filing based on an international application filed prior to December 8, Filed electronically via EFS-Web 4. Filed at least one day prior to the date that a first Office action appears in PAIR 5. Include a request for early publication in compliance with 37 CFR § and the publication fee pursuant to 37 CFR § 1.18(d). Note that payment is required even if the application has already published

32 Green Technology: Filing Requirements (Cont.) 6. ≤3/20 claims directed to a single invention having no multiple dependent claims 7. State basis for special status and include a statement explaining how the materiality standard is met 8. Include a statement that the applicant agrees to make a telephonic election without traverse if a restriction requirement is made by the examiner 9. Application must be classified in one of the U.S. patent classifications (USPCs) set forth in the Federal Register Notice

33 Green Technology: Filing Requirements (Cont.) USPC requirement includes subclasses in 58 distinct classification classes and encompasses seven TCs Eligible classifications cover a wide range of green technologies — Some examples include: Biofuel (USPC 44/589, 605) Solar energy (USPC 126/ ; 320/101) Hybrid-powered vehicles (USPC 180/ ; 73/ , , A, ) USPC requirement is purposefully narrow in order for the USPTO to balance the workload The USPTO recognizes that many technologies could be considered “green” but are not included in the pilot

34 Green Technology: Common Filing Errors USPC requirement not met — Accounts for >80% of dismissals to-date Petition is missing the materiality statement Petition does not include publication fee Application filed after December 8, 2009

35 Green Technology: Filing Tips Use of USPTO Form PTO/SB/420, Petition to Make Special Under the Green Technology Pilot Program, is strongly encouraged Ensure that the USPC requirements are met — Contact SPE/examiner to correct erroneous USPC’s prior to filing petition Include payment of publication fee — Must be paid even if application has been published

36 Green Technology: Petition Review The Technology Centers are currently deciding all Green Technology petitions Current goal is for an initial decision to be rendered within two weeks of petition receipt date Applications must be in a docket-ready status, i.e., released by Office of Patent Application Processing (OPAP), in order for a decision to be rendered A single request for reconsideration may be filed within 30 days of a decision dismissing the petition Applicant may amend the claims and suggest a new USPC to overcome any initial USPC defect

37 Green Tech: Statistics

38 Green Tech: Future USPTO may extend the pilot program (with or without modifications) to extend longer than twelve months and/or include more than 3,000 granted petitions Any extension will be announced by the USPTO via a written notice, i.e. a Federal Register or OG Notice. Future suggestions regarding the Green Tech Petition Pilot should be directed to Pinchus Laufer and Blaine Copenheaver

39 Thank You!