1. Daphne C. Lainson dclainson@smart-biggar.ca Smart & Biggar/Fetherstonhaugh Overview of USPTO Patent Statistics

2. Main Source of USPTO statistics USPTO Statistics can be found at http://www.uspto.gov/about/stats/index.jsp Includes: Data Visualization Center – Patents Dashboard – monthly summaries of various statistics Calendar Year Patent Statistics Fiscal Year Patent Statistics Statistics are generated by the Patent Technology Monitoring Team (PTMT) Four Office Statistics Report 2010 (FOSR) can be found at http://www.trilateral.net/statistics.html Cooperation of the USPTO, EPO, JPO and KIPO 2

3. Pendencies (as of October 2011) 3 N.B. These averages are calculated over a three month period First Office Action Pendency – average time from the filing date to the date a First Office Action is mailed by the USPTO Current: 26.9 months USPTO target: 10 months by 2015 Total Pendency – average time from filing date to final disposition (i.e. issued or abandoned). Abandonment for the filing of an RCE is treated as a disposition and stops the pendency clock Current: 33.9 months USPTO target: 20 months by 2015 Total Pendency including RCEs – average time from filing date to final disposition, irrespective of any intermediate abandonments due to the filing of a RCE Current: 41 months No target stated

4. Pendencies (as of October 2011) 4 N.B. These averages are calculated over a one month period Total Pendency excluding non RCEs – average time from filing date to ultimate disposal for only those applications for which one or more RCEs were filed. Does not include applications with a Continuation, Continuation- in-part or Divisional in the chain Current: 63.1 months No target stated Pendency from RCE to next Office Action – average time from RCE filing to the mailing of next office action Current: 4.5 months No target stated

5. Pendencies (as of October 2011) 5 Pendency from filing to Board Decision – average time from filing of application until a decision date of the BPAI. Only includes application for which there was an appeal to the BPAI Current: 81.8 months No target stated Pendency of Continuations – average time from filing of earliest parent application to disposal of the last continuation application. Does not include continuation-in- part, divisional or applications with an RCE Current: 80.5 months No target stated Pendency of Divisionals – average time from filing date of earliest parent application to disposal of last application in the chain Current: 81.3 months No target stated N.B. First average is calculated over a three month period. The last two averages are calculated over a one month period

6. Pendency trends (as of October 2011) 6

7. Pendencies by technology center (as of September 2011) 1 st Office Action Pendency (months) Total Pendency (months) 1600 – Biotechnology and Organic Chemistry23.833.6 1700 – Chemical and Materials Engineering26.034.6 2100 – Computer Architecture, Software, and Information Security30.939.6 2400 – Computer Networks, Multiplex communication, Video Distribution, and Security 33.640.7 2600 – Communications31.440.8 2800 – Semiconductors, Electrical and Optical Systems and Components 26.529.3 3600 – Transportation, Construction, Electronic, Commerce, Agriculture, National Security and License & Review 26.033.6 3700 – Mechanical Engineering, Manufacturing, Products29.637.4 7

8. Pendency trends (as of September 2011) 8

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10. Miscellaneous USPTO Statistics 10 October 2010October 2011 Patent Examiners on Staff6,2926,664 Average No. of Actions per Disposal (Total actions divided by total disposals including abandonment for purpose of RCE for fiscal year) 2.342.49 Application Backlog (applications awaiting First Office Action)716,428671,409 Allowance rate (number of applications divided by number of disposals – including abandonment for RCE as disposal) 40.5%46.7% Allowance rate excluding RCEs (does not include the abandonment for RCEs as a disposal) 60.0%64.7%

11. Number of Utility Patents Granted at the USPTO in 2010 11 N.B. Country of origin is based on first named inventor. Population data based on July 2011 estimates obtained from the CIA World Factbook at https://www.cia.gov/library/publications/the-world-factbook

12. Number of Applications for Utility Patents filed at the USPTO in 2010 12 N.B. Country of origin is based on first named inventor. Population data based on July 2011 estimates obtained from the CIA World Factbook at https://www.cia.gov/library/publications/the-world-factbook

13. Four Office Statistics Report - Highlights At the end of the year 2009, 85 percent of the 7.3 million patents in force worldwide, were valid in the Four Offices jurisdictions. 13

14. Four Office Statistics Report - Highlights Higher number of entries into national phase at the EPO can be partially explained by the unique structure of the EPC and a large number of member states 14

15. Four Office Statistics Report - Highlights The value next to the name of each bloc is the proportion of the overall number of distinct referenced priorities for the bloc that generated families using the PCT i.e. it represents the use of the PCT route to generate families at home. The value next to the arrows shows the share of total patent family flows that used the PCT system i.e. it represents the use of the PCT system to generate patent families abroad. 15

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