Contents
Overview
- Patent prosecution involves collaboration between:
- Patent prosecutors
- Inventors
- In-house counsel
- However, patent quality also depends on the USPTO patent examiner’s work.
- The USPTO addressed this topic in its Patent Quality Chat (Nov. 14, 2017) titled:
- “How is an Examiner’s Work Product Reviewed?”
- The session included:
- 20-minute presentation by two USPTO Supervisors
- 40-minute Q&A with external stakeholders
- Slides and webinar video were made available on the USPTO website.
Two Main Examiner Review Processes
- Review within the examiner’s Technology Center (TC)
- Review by the Office of Patent Quality Assurance (OPQA)
Technology Center (TC) Review
- Each examiner has a Performance Appraisal Plan (PAP).
- Standards vary based on government scale (GS level).
- Examples of quality standards:
- Compliance with 35 U.S.C. §112 (GS 5–15)
- Proper rejection of all rejectable claims (GS 14–15)
- Proper allowance of claims (GS 14–15)
- Junior examiners’ actions must be signed by:
- A supervisor, or
- An authorized primary examiner.
- Additional TC reviews include:
- Quarterly PAP reviews
- Appeal and pre-appeal conferences
- Other internal quality initiatives
OPQA Review Process
- Conducts random compliance reviews.
- Sample size based on TC workload to ensure statistical significance.
- Each review takes approximately 4 hours.
- Uses a master review form to assess:
- Rejections made or omitted
- Search quality
- Restrictions and objections
- Focus is on the specific office action (not full prosecution history).
- Reviews may result in:
- Noncompliant
- For consideration
- Pass through
- “Accolade” (for exceptional work)
- Feedback includes:
- Best practices
- Areas for improvement
- Positive reinforcement
Key Takeaways
- Examiner work is subject to multiple internal review layers.
- USPTO encourages practitioners to:
- Contact supervisors when issues arise.
- Despite practitioner hesitation, the USPTO welcomes feedback to improve patent quality.
