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The Examination The Examination Process Process By: By: Sheetal S. Patel Sheetal S. Patel
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The Examination Process By: Sheetal S. Patel. Overview 1.Initial Patent Examination 2.Art Unit 3.Patent Publication 4.Patent Examination 5.Office Action.

Mar 31, 2015

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Page 1: The Examination Process By: Sheetal S. Patel. Overview 1.Initial Patent Examination 2.Art Unit 3.Patent Publication 4.Patent Examination 5.Office Action.

The Examination ProcessThe Examination ProcessBy:By:

Sheetal S. PatelSheetal S. Patel

Page 2: The Examination Process By: Sheetal S. Patel. Overview 1.Initial Patent Examination 2.Art Unit 3.Patent Publication 4.Patent Examination 5.Office Action.

OverviewOverview

1.1. Initial Patent ExaminationInitial Patent Examination

2.2. Art UnitArt Unit

3.3. Patent PublicationPatent Publication

4.4. Patent ExaminationPatent Examination

5.5. Office ActionOffice Action

6.6. ResponseResponse

7. 7. Notice of AppealNotice of Appeal

8. Pre-Appeal8. Pre-Appeal

9. Appeal Brief9. Appeal Brief

10. Federal Circuit10. Federal Circuit

11. Allowance11. Allowance

12. Maintenance Fees12. Maintenance Fees

13. Patent Term Adjustment13. Patent Term Adjustment

14. Conclusion14. Conclusion

Page 3: The Examination Process By: Sheetal S. Patel. Overview 1.Initial Patent Examination 2.Art Unit 3.Patent Publication 4.Patent Examination 5.Office Action.

Overview (Continued…)Overview (Continued…)

The process begins with the filing of a patent application and (hopefully) The process begins with the filing of a patent application and (hopefully) ends with the issuance of a granted patentends with the issuance of a granted patent

The examination process generally takes between 2-5 years since the U.S. The examination process generally takes between 2-5 years since the U.S. Patent and Trademark Office (USPTO) has a considerable backlog of Patent and Trademark Office (USPTO) has a considerable backlog of pending patent applicationspending patent applications

Note: Some art units take less time than others, but biomedical, electrical Note: Some art units take less time than others, but biomedical, electrical and business method-related art units generally take the longest and business method-related art units generally take the longest

Page 4: The Examination Process By: Sheetal S. Patel. Overview 1.Initial Patent Examination 2.Art Unit 3.Patent Publication 4.Patent Examination 5.Office Action.

Office of Initial Patent Examination Office of Initial Patent Examination (OIPE)(OIPE)

The first place that a patent application is processed in the USPTO is the The first place that a patent application is processed in the USPTO is the OIPEOIPE

OIPE reviews the patent application for formalitiesOIPE reviews the patent application for formalities

If portions of the patent application are incomplete or improperly prepared, If portions of the patent application are incomplete or improperly prepared, the OIPE will request the proper information or components from the the OIPE will request the proper information or components from the applicantapplicant

The OIPE assigns the patent application a serial number and assigns an art The OIPE assigns the patent application a serial number and assigns an art unit to examine the applicationunit to examine the application

Page 5: The Examination Process By: Sheetal S. Patel. Overview 1.Initial Patent Examination 2.Art Unit 3.Patent Publication 4.Patent Examination 5.Office Action.

Art UnitArt Unit

Once the patent application has cleared the OIPE, the application is Once the patent application has cleared the OIPE, the application is assigned to an art unit depending on the technology to which the invention assigned to an art unit depending on the technology to which the invention pertainspertains

An art unit is a group of Examiners that are tasked with examining certain An art unit is a group of Examiners that are tasked with examining certain technologiestechnologies

The art unit assigns the application to an ExaminerThe art unit assigns the application to an Examiner

Page 6: The Examination Process By: Sheetal S. Patel. Overview 1.Initial Patent Examination 2.Art Unit 3.Patent Publication 4.Patent Examination 5.Office Action.

Patent PublicationPatent Publication

Patent applications are usually published within 18 months after filing unless Patent applications are usually published within 18 months after filing unless otherwise requested by the applicantotherwise requested by the applicant

For a fee, the publication can also be moved to either an earlier or later date For a fee, the publication can also be moved to either an earlier or later date depending on the preference of the applicantdepending on the preference of the applicant

Once the patent application is published, it is available to the public and can Once the patent application is published, it is available to the public and can also be used by Examiners as “prior art”also be used by Examiners as “prior art”

The public may search a database containing patent publications or use a The public may search a database containing patent publications or use a program called program called Public PAIRPublic PAIR (Patent Application Information Retrieval) that (Patent Application Information Retrieval) that allows users to track what happens to the application regardless of their allows users to track what happens to the application regardless of their association with the application, or lack thereofassociation with the application, or lack thereof

Page 7: The Examination Process By: Sheetal S. Patel. Overview 1.Initial Patent Examination 2.Art Unit 3.Patent Publication 4.Patent Examination 5.Office Action.

Patent Examination ProcessPatent Examination Process

The Examiner checks that there is only one distinct invention claimed in the The Examiner checks that there is only one distinct invention claimed in the applicationapplication

If more than one invention is claimed, the Examiner will issue a Restriction If more than one invention is claimed, the Examiner will issue a Restriction Requirement that requires the applicant to restrict examination to a group of Requirement that requires the applicant to restrict examination to a group of claims associated with a single inventionclaims associated with a single invention

The Examiner will then perform a search to determine whether the the The Examiner will then perform a search to determine whether the the claims are patentableclaims are patentable

If the Examiner believes that any of the claims are not patentable, the If the Examiner believes that any of the claims are not patentable, the Examiner will issue an Office Action rejecting such claimsExaminer will issue an Office Action rejecting such claims

If the Examiner believes that all of the claims are patentable, the Examiner If the Examiner believes that all of the claims are patentable, the Examiner will issue a Notice of Allowancewill issue a Notice of Allowance

Page 8: The Examination Process By: Sheetal S. Patel. Overview 1.Initial Patent Examination 2.Art Unit 3.Patent Publication 4.Patent Examination 5.Office Action.

Types of Office ActionsTypes of Office Actions

The Examiner will issue either (1) a non-final Office Action; or (2) a final The Examiner will issue either (1) a non-final Office Action; or (2) a final Office Action, depending on where the application is in prosecutionOffice Action, depending on where the application is in prosecution

The first Office Action is always non-finalThe first Office Action is always non-final

Any subsequent Office Action after the first Office Action in a case Any subsequent Office Action after the first Office Action in a case cancan, and , and usually will, be made final by the Examinerusually will, be made final by the Examiner

Page 9: The Examination Process By: Sheetal S. Patel. Overview 1.Initial Patent Examination 2.Art Unit 3.Patent Publication 4.Patent Examination 5.Office Action.

Contents of an Office ActionContents of an Office Action

Office Action Summary summarizing the status of each claim Office Action Summary summarizing the status of each claim (rejected/objected to/allowed); may also acknowledge or object to drawings (rejected/objected to/allowed); may also acknowledge or object to drawings and may acknowledge priority of a previous application that is claimed in the and may acknowledge priority of a previous application that is claimed in the present applicationpresent application

May include objections to the specification, claims and/or drawings, and May include objections to the specification, claims and/or drawings, and rejections under 35 U.S.C. rejections under 35 U.S.C. §§ 101 and 112§§ 101 and 112

May include rejections under 35 U.S.C. § 102 (anticipation), § 103 May include rejections under 35 U.S.C. § 102 (anticipation), § 103 (obviousness), and/or a double patenting rejection(obviousness), and/or a double patenting rejection

Response to the applicant’s previous arguments, if applicable (Response to the applicant’s previous arguments, if applicable (where the where the applicant traverses any rejection, the Examiner applicant traverses any rejection, the Examiner shouldshould, if he or she repeats , if he or she repeats the rejection, take note of the applicant's arguments and answer the the rejection, take note of the applicant's arguments and answer the substance thereof)substance thereof)

Page 10: The Examination Process By: Sheetal S. Patel. Overview 1.Initial Patent Examination 2.Art Unit 3.Patent Publication 4.Patent Examination 5.Office Action.

Final Office ActionFinal Office Action

Under current patent practice, any second or subsequent Office Action on Under current patent practice, any second or subsequent Office Action on the merits may be made final, the merits may be made final, exceptexcept where the Examiner introduces a new where the Examiner introduces a new ground of rejection that is ground of rejection that is neitherneither necessitated by applicant's amendment of necessitated by applicant's amendment of the claims, the claims, nornor based on information submitted in an Information Disclosure based on information submitted in an Information Disclosure Statement (IDS) filed during the period set forth in 37 C.F.R. Statement (IDS) filed during the period set forth in 37 C.F.R. §§ 1.97(c) with 1.97(c) with the fee set forth in 37 C.F.R. the fee set forth in 37 C.F.R. §§ 1.17(p) 1.17(p)

A final Office Action generally means that an applicant will not be entitled to A final Office Action generally means that an applicant will not be entitled to another Office Action without traversing the rejections, appealing or filing a another Office Action without traversing the rejections, appealing or filing a Request for Continued Examination (RCE)Request for Continued Examination (RCE)

Page 11: The Examination Process By: Sheetal S. Patel. Overview 1.Initial Patent Examination 2.Art Unit 3.Patent Publication 4.Patent Examination 5.Office Action.

Response to Office ActionResponse to Office Action

The applicant or the Applicant’s representative may respond to the Office The applicant or the Applicant’s representative may respond to the Office ActionAction

The applicant may (1) present arguments; and/or (2) amend the claims to The applicant may (1) present arguments; and/or (2) amend the claims to overcome the rejections presented in the Office Actionovercome the rejections presented in the Office Action

When responding to a final Office Action, Amendments to any When responding to a final Office Action, Amendments to any finallyfinally rejected claims or the addition of any claims in a Response to a final Office rejected claims or the addition of any claims in a Response to a final Office Action are not considered a matter of rightAction are not considered a matter of right

The The exceptionexception is where an amendment merely cancels claims, adopts is where an amendment merely cancels claims, adopts Examiner suggestions, removes issues for appeal, or in some other way Examiner suggestions, removes issues for appeal, or in some other way requires only a cursory review by the Examiner, in compliance with the requires only a cursory review by the Examiner, in compliance with the requirements of a showing under 37 C.F.R. requirements of a showing under 37 C.F.R. §§ 1.116(b)(3), which is expected 1.116(b)(3), which is expected in all amendments after final rejectionin all amendments after final rejection

Page 12: The Examination Process By: Sheetal S. Patel. Overview 1.Initial Patent Examination 2.Art Unit 3.Patent Publication 4.Patent Examination 5.Office Action.

Advisory ActionAdvisory Action

If the Examiner does not agree with the applicant’s arguments and/or the If the Examiner does not agree with the applicant’s arguments and/or the claim amendments raise new issues in a Response to a final Office claim amendments raise new issues in a Response to a final Office Action, the Examiner may issue an Advisory ActionAction, the Examiner may issue an Advisory Action

The Advisory Action contains reasons for the Examiner’s disagreementThe Advisory Action contains reasons for the Examiner’s disagreement

Applicant(s) may respond to Advisory Action by: Applicant(s) may respond to Advisory Action by:

1.1. Filing an RCE requesting entry of the Response;Filing an RCE requesting entry of the Response;

2.2. Filing an RCE and a Response;Filing an RCE and a Response;

3.3. Filing a Notice of Appeal and a Pre-Appeal Brief Request for Filing a Notice of Appeal and a Pre-Appeal Brief Request for Review;Review;

4.4. Filing a Notice of Appeal and subsequently an Appeal Brief; orFiling a Notice of Appeal and subsequently an Appeal Brief; or

5.5. Abandoning the application.Abandoning the application.

Page 13: The Examination Process By: Sheetal S. Patel. Overview 1.Initial Patent Examination 2.Art Unit 3.Patent Publication 4.Patent Examination 5.Office Action.

Notice of AppealNotice of Appeal

Applicants having one or more claims that have been twice rejected may Applicants having one or more claims that have been twice rejected may appeal the rejections to the Board of Patent Appeals and Interferences appeal the rejections to the Board of Patent Appeals and Interferences (BPAI) by filing a Notice of Appeal accompanied by the fee set forth in 37 (BPAI) by filing a Notice of Appeal accompanied by the fee set forth in 37 C.F.R. § 41.20(b)(1) within the time period provided under 37 C.F.R. § C.F.R. § 41.20(b)(1) within the time period provided under 37 C.F.R. § 1.1341.134

So long as the applicant has twice been denied a patent, an appeal may be So long as the applicant has twice been denied a patent, an appeal may be filedfiled

An appeal must be taken from the rejection of all claims under rejection that An appeal must be taken from the rejection of all claims under rejection that the applicant proposes to contest; questions relating to matters not affecting the applicant proposes to contest; questions relating to matters not affecting the merits of the invention may be required to be settled before an appeal the merits of the invention may be required to be settled before an appeal can be consideredcan be considered

The applicant must file an Appeal Brief within two (2) months from the date The applicant must file an Appeal Brief within two (2) months from the date of filing the notice of appeal or no longer than seven months (of filing the notice of appeal or no longer than seven months ( i.e.i.e. a 5 month a 5 month extension of time past the two month due date)extension of time past the two month due date)

Page 14: The Examination Process By: Sheetal S. Patel. Overview 1.Initial Patent Examination 2.Art Unit 3.Patent Publication 4.Patent Examination 5.Office Action.

Pre-Appeal Brief Request for Pre-Appeal Brief Request for Review (PABRFR)Review (PABRFR)

The applicant must file a Notice of Appeal in compliance with 37 C.F.R. § The applicant must file a Notice of Appeal in compliance with 37 C.F.R. § 41.3141.31

The applicant must file the PABRFR with the filing of a Notice of Appeal The applicant must file the PABRFR with the filing of a Notice of Appeal and before the filing of an Appeal Briefand before the filing of an Appeal Brief

Requirements for PABRFR:Requirements for PABRFR:1.1. File the PABRFR and accompanying arguments in a separate File the PABRFR and accompanying arguments in a separate

paper entitled "Pre-Appeal Brief Request for Review;”paper entitled "Pre-Appeal Brief Request for Review;”2.2. Show clear errors in all of the Examiner's rejections and/or show Show clear errors in all of the Examiner's rejections and/or show

the Examiner's omission of one or more essential elements the Examiner's omission of one or more essential elements needed for a needed for a prima facieprima facie rejection; rejection;

3.3. In five (5) or less total pages, provide a succinct, concise and In five (5) or less total pages, provide a succinct, concise and focused set of arguments for which the review is being requested; focused set of arguments for which the review is being requested; andand

4.4. No after-final or proposed amendments may accompany the No after-final or proposed amendments may accompany the requestrequest

Page 15: The Examination Process By: Sheetal S. Patel. Overview 1.Initial Patent Examination 2.Art Unit 3.Patent Publication 4.Patent Examination 5.Office Action.

PABRFR (Continued…)PABRFR (Continued…)

After a review of the PABRFR and arguments by the Examiner, his or her After a review of the PABRFR and arguments by the Examiner, his or her supervisor and an appeals specialist is complete, the USPTO will mail a supervisor and an appeals specialist is complete, the USPTO will mail a decision on the status of the application indicating one of the following:decision on the status of the application indicating one of the following:

1.1. The application remains under appeal because there is at least The application remains under appeal because there is at least one actual issue for appeal;one actual issue for appeal;

2.2. Prosecution on the merits is reopened and an appropriate Office Prosecution on the merits is reopened and an appropriate Office communication will follow in due course; in appropriate communication will follow in due course; in appropriate circumstances, a proposed amendment may accompany the circumstances, a proposed amendment may accompany the panel's decision proposing changes that, if accepted, may result panel's decision proposing changes that, if accepted, may result in an indication of allowability for the contested claim(s);in an indication of allowability for the contested claim(s);

3.3. The application is allowed on the existing claims and prosecution The application is allowed on the existing claims and prosecution remains closed; orremains closed; or

4.4. The request fails to comply with the submission requirements and The request fails to comply with the submission requirements and is dismissedis dismissed

Page 16: The Examination Process By: Sheetal S. Patel. Overview 1.Initial Patent Examination 2.Art Unit 3.Patent Publication 4.Patent Examination 5.Office Action.

Appeal BriefAppeal Brief

The appellant must file a an Appeal Brief under this section within two months from the date The appellant must file a an Appeal Brief under this section within two months from the date of filing a Notice of Appeal under 37 C.F.R. § 41.31of filing a Notice of Appeal under 37 C.F.R. § 41.31The Appeal Brief must be accompanied by the fee set forth in 37 C.F.R. § 41.20(b)(2)The Appeal Brief must be accompanied by the fee set forth in 37 C.F.R. § 41.20(b)(2)Contents of the Appeal Brief:Contents of the Appeal Brief:

1.1. Real party in interest;Real party in interest;2.2. Related appeals and interferences;Related appeals and interferences;3.3. Status of claims;Status of claims;4.4. Status of amendments;Status of amendments;5.5. Summary of claimed subject matter;Summary of claimed subject matter;6.6. Grounds of rejection to be reviewed on appeal;Grounds of rejection to be reviewed on appeal;7.7. Arguments;Arguments;8.8. Claims appendix;Claims appendix;9.9. Evidence appendix; andEvidence appendix; and10.10. Related proceedings appendixRelated proceedings appendix

If an Appeal Brief is filed that does not comply with all the requirements of 37 C.F.R. § If an Appeal Brief is filed that does not comply with all the requirements of 37 C.F.R. § 41.31(c), the appellant will be notified of the reasons for non-compliance and given a time 41.31(c), the appellant will be notified of the reasons for non-compliance and given a time period within which to file an amended brief; if an appellant does not file an amended Appeal period within which to file an amended brief; if an appellant does not file an amended Appeal Brief within the set time period, or files an amended Appeal Brief that does not overcome all Brief within the set time period, or files an amended Appeal Brief that does not overcome all the reasons for non-compliance stated in the notification, the appeal will be dismissedthe reasons for non-compliance stated in the notification, the appeal will be dismissedThe evidence and related proceedings sections must be included even if no evidence and/or The evidence and related proceedings sections must be included even if no evidence and/or related proceedings existrelated proceedings exist

Page 17: The Examination Process By: Sheetal S. Patel. Overview 1.Initial Patent Examination 2.Art Unit 3.Patent Publication 4.Patent Examination 5.Office Action.

Examiner’s Response to Appeal Examiner’s Response to Appeal BriefBrief

After an appeal brief under 37 C.F.R. § 41.37 has been filed and the After an appeal brief under 37 C.F.R. § 41.37 has been filed and the Examiner has considered the issues on appeal, the examiner may:Examiner has considered the issues on appeal, the examiner may:

1.1. Reopen prosecution to enter a new ground of rejection with Reopen prosecution to enter a new ground of rejection with approval from the Supervisory Patent Examiner, or SPE (see approval from the Supervisory Patent Examiner, or SPE (see MPEP § 1207.04);MPEP § 1207.04);

2.2. Withdraw the final rejection and allow the application if the Withdraw the final rejection and allow the application if the Examiner determines that the rejections have been overcome and Examiner determines that the rejections have been overcome and no new ground of rejection is appropriate; orno new ground of rejection is appropriate; or

3.3. Maintain the appeal by conducting an appeal conference (MPEP Maintain the appeal by conducting an appeal conference (MPEP § 1207.01) and draft an Examiner's Answer (MPEP § 1207.02); § 1207.01) and draft an Examiner's Answer (MPEP § 1207.02); Any Examiner's answer mailed on or after September 13, 2004 Any Examiner's answer mailed on or after September 13, 2004 may include a new ground of rejection (MPEP §  1207.03)may include a new ground of rejection (MPEP §  1207.03)

Page 18: The Examination Process By: Sheetal S. Patel. Overview 1.Initial Patent Examination 2.Art Unit 3.Patent Publication 4.Patent Examination 5.Office Action.

Examiner’s AnswerExaminer’s Answer

The primary Examiner may, within such time as may be directed by the The primary Examiner may, within such time as may be directed by the Director, furnish a written answer to the Appeal Brief, including such Director, furnish a written answer to the Appeal Brief, including such explanation of the claimed invention and of the references relied upon and explanation of the claimed invention and of the references relied upon and grounds of rejection as may be necessary, supplying a copy thereof to the grounds of rejection as may be necessary, supplying a copy thereof to the appellant. If the primary Examiner determines that the Appeal Brief does appellant. If the primary Examiner determines that the Appeal Brief does not comply with the provisions of 37 C.F.R. §§ 41.31 and 41.37, or that the not comply with the provisions of 37 C.F.R. §§ 41.31 and 41.37, or that the appeal does not relate to an appealable action, the primary Examiner shall appeal does not relate to an appealable action, the primary Examiner shall make such determination of recordmake such determination of record

An Examiner's Answer may include new grounds of rejectionAn Examiner's Answer may include new grounds of rejection

Page 19: The Examination Process By: Sheetal S. Patel. Overview 1.Initial Patent Examination 2.Art Unit 3.Patent Publication 4.Patent Examination 5.Office Action.

Actions in Response to Examiner’s Actions in Response to Examiner’s AnswerAnswer

If an Examiner's Answer contains a rejection that is designated as a new If an Examiner's Answer contains a rejection that is designated as a new ground of rejection, the appellant must, within two months from the date ground of rejection, the appellant must, within two months from the date of the Examiner's Answer, exercise one of the following two options to of the Examiner's Answer, exercise one of the following two options to avoid avoid sua spontesua sponte dismissal of the appeal as to the claims subject to the dismissal of the appeal as to the claims subject to the new ground of rejection:new ground of rejection:

1.1. Request that prosecution be reopened before the primary Examiner by Request that prosecution be reopened before the primary Examiner by filing a reply under 37 C.F.R. § 1.111 with or without amendment or filing a reply under 37 C.F.R. § 1.111 with or without amendment or submission of affidavits (37 C.F.R. §§ 1.130, 1.131 or 1.132) or other submission of affidavits (37 C.F.R. §§ 1.130, 1.131 or 1.132) or other evidence; any amendment or submission of affidavits or other evidence evidence; any amendment or submission of affidavits or other evidence must be relevant to the new ground of rejection; ormust be relevant to the new ground of rejection; or

2.2. Maintain the appealMaintain the appeal

Page 20: The Examination Process By: Sheetal S. Patel. Overview 1.Initial Patent Examination 2.Art Unit 3.Patent Publication 4.Patent Examination 5.Office Action.

Reply BriefReply Brief

The appellant may file a Reply Brief to an Examiner's Answer within two The appellant may file a Reply Brief to an Examiner's Answer within two months from the date of the Examiner's Answer; extensions of time under months from the date of the Examiner's Answer; extensions of time under 37 C.F.R. § 1.136(a) for patent applications are 37 C.F.R. § 1.136(a) for patent applications are notnot applicable to this time applicable to this time periodperiod

A Reply Brief shall A Reply Brief shall notnot include any new or non-admitted amendment, or any include any new or non-admitted amendment, or any new or non-admitted affidavit or other evidencenew or non-admitted affidavit or other evidence

The appellant will be notified if a Reply Brief is not in compliance with 37 The appellant will be notified if a Reply Brief is not in compliance with 37 C.F.R. § 41.41(a)C.F.R. § 41.41(a)

Page 21: The Examination Process By: Sheetal S. Patel. Overview 1.Initial Patent Examination 2.Art Unit 3.Patent Publication 4.Patent Examination 5.Office Action.

Examiner’s Response to Reply Examiner’s Response to Reply BriefBrief

After receipt of a Reply Brief in compliance with 37 C.F.R. § 41.41, the After receipt of a Reply Brief in compliance with 37 C.F.R. § 41.41, the primary Examiner must acknowledge receipt and entry of the Reply Brief; in primary Examiner must acknowledge receipt and entry of the Reply Brief; in addition, the primary Examiner may withdraw the final rejection and reopen addition, the primary Examiner may withdraw the final rejection and reopen prosecution or may furnish a supplemental Examiner's Answer responding prosecution or may furnish a supplemental Examiner's Answer responding to any new issue raised in the Reply Briefto any new issue raised in the Reply Brief

A supplemental Examiner's Answer responding to a Reply Brief may A supplemental Examiner's Answer responding to a Reply Brief may notnot include a new ground of rejectioninclude a new ground of rejection

The appellant may file another Reply Brief under 37 C.F.R. § 41.41 to any The appellant may file another Reply Brief under 37 C.F.R. § 41.41 to any supplemental Examiner's Answer within two months from the date of the supplemental Examiner's Answer within two months from the date of the supplemental Examiner's Answer; note that once again, extensions of time supplemental Examiner's Answer; note that once again, extensions of time under 37 C.F.R. § 1.136(a) are not applicable to this time periodunder 37 C.F.R. § 1.136(a) are not applicable to this time period

Page 22: The Examination Process By: Sheetal S. Patel. Overview 1.Initial Patent Examination 2.Art Unit 3.Patent Publication 4.Patent Examination 5.Office Action.

Oral HearingOral Hearing

An oral hearing should be requested only in those circumstances in which An oral hearing should be requested only in those circumstances in which the appellant considers such a hearing necessary or desirable for a proper the appellant considers such a hearing necessary or desirable for a proper presentation of the appealpresentation of the appeal

If the appellant desires an oral hearing, the appellant must file, as a If the appellant desires an oral hearing, the appellant must file, as a separate paper captioned "REQUEST FOR ORAL HEARING“, a written separate paper captioned "REQUEST FOR ORAL HEARING“, a written request for such hearing accompanied by the fee set forth in 37 C.F.R. § request for such hearing accompanied by the fee set forth in 37 C.F.R. § 41.20(b)(3) 41.20(b)(3) withinwithin two months from the date of the Examiner's Answer or two months from the date of the Examiner's Answer or supplemental Examiner's Answersupplemental Examiner's Answer

If no request and fee for oral hearing have been timely filed by the appellant If no request and fee for oral hearing have been timely filed by the appellant as required by 37 C.F.R. § 41.47(b), the appeal will be assigned for as required by 37 C.F.R. § 41.47(b), the appeal will be assigned for consideration and decision on the briefs without an oral hearingconsideration and decision on the briefs without an oral hearing

If the appellant has complied with all of the requirements of 37 C.F.R. § If the appellant has complied with all of the requirements of 37 C.F.R. § 41.47(b), a date for the oral hearing will be set, and due notice thereof will 41.47(b), a date for the oral hearing will be set, and due notice thereof will be given to the appellantbe given to the appellant

Page 23: The Examination Process By: Sheetal S. Patel. Overview 1.Initial Patent Examination 2.Art Unit 3.Patent Publication 4.Patent Examination 5.Office Action.

Decision by BPAIDecision by BPAI

The BPAI may affirm or reverse the decision of the Examiner in whole or in The BPAI may affirm or reverse the decision of the Examiner in whole or in part on the grounds and on the claims specified by the Examinerpart on the grounds and on the claims specified by the Examiner

The affirmance of the rejection of a claim on any of the grounds specified The affirmance of the rejection of a claim on any of the grounds specified constitutes a general affirmance of the decision of the Examiner on that constitutes a general affirmance of the decision of the Examiner on that claim, except as to any ground specifically reversedclaim, except as to any ground specifically reversed

The BPAI may also remand an application to the ExaminerThe BPAI may also remand an application to the Examiner

If the appellant disagrees with any of the decisions made by the BPAI, such If the appellant disagrees with any of the decisions made by the BPAI, such decisions may be appealed to the Court of Appeals for the Federal Circuit decisions may be appealed to the Court of Appeals for the Federal Circuit (CAFC)(CAFC)

Page 24: The Examination Process By: Sheetal S. Patel. Overview 1.Initial Patent Examination 2.Art Unit 3.Patent Publication 4.Patent Examination 5.Office Action.

Allowance of Patent ApplicationAllowance of Patent Application

Allowance of the patent application, indicated by a Notice of Allowance, Allowance of the patent application, indicated by a Notice of Allowance, means that the patent application is accepted, and in due time will become means that the patent application is accepted, and in due time will become a granted patent with payment of the associated feesa granted patent with payment of the associated fees

The application will The application will notnot issue as a granted patent until an issue fee is paid, issue as a granted patent until an issue fee is paid, and even then it may take six months before the USPTO officially issues the and even then it may take six months before the USPTO officially issues the patentpatent

Page 25: The Examination Process By: Sheetal S. Patel. Overview 1.Initial Patent Examination 2.Art Unit 3.Patent Publication 4.Patent Examination 5.Office Action.

Patent Term AdjustmentPatent Term Adjustment

Due to the backlog of pending patent applications at the USPTO, a patent Due to the backlog of pending patent applications at the USPTO, a patent application will normally not be reviewed for at least a year, and usually not application will normally not be reviewed for at least a year, and usually not for considerably longerfor considerably longer

Some art units, such as those involved with electronics, biomedical, and Some art units, such as those involved with electronics, biomedical, and business technologies, are averaging close to a five year wait before an business technologies, are averaging close to a five year wait before an Examiner reviews a patent applicationExaminer reviews a patent application

If the patent office takes longer than three years to examine and grant a If the patent office takes longer than three years to examine and grant a patent, the term of the patent may be adjusted accordinglypatent, the term of the patent may be adjusted accordingly

Page 26: The Examination Process By: Sheetal S. Patel. Overview 1.Initial Patent Examination 2.Art Unit 3.Patent Publication 4.Patent Examination 5.Office Action.

Patent TermPatent Term

The patent term is 20 years The patent term is 20 years after the filing date of the patent application, after the filing date of the patent application, adjusted for delays in prosecution by the USPTOadjusted for delays in prosecution by the USPTO

Before 1995, the term of a patent was 17 years from the issue date of the Before 1995, the term of a patent was 17 years from the issue date of the patentpatent

Page 27: The Examination Process By: Sheetal S. Patel. Overview 1.Initial Patent Examination 2.Art Unit 3.Patent Publication 4.Patent Examination 5.Office Action.

Maintenance FeesMaintenance Fees

A patent owner must also pay periodic maintenance fees in order to keep an A patent owner must also pay periodic maintenance fees in order to keep an issued patent aliveissued patent alive

Maintenance fees are currently due before the fourth year, the eighth year, Maintenance fees are currently due before the fourth year, the eighth year, and the twelfth year after the patent is grantedand the twelfth year after the patent is granted

Maintenance fees are subject to change every year, so it is important to Maintenance fees are subject to change every year, so it is important to keep yourself apprised of the fee schedule provided by the USPTOkeep yourself apprised of the fee schedule provided by the USPTO

Page 28: The Examination Process By: Sheetal S. Patel. Overview 1.Initial Patent Examination 2.Art Unit 3.Patent Publication 4.Patent Examination 5.Office Action.

ConclusionConclusion

The patent prosecution process at the USPTO begins with filing a non-The patent prosecution process at the USPTO begins with filing a non-provisional patent application and ends with either the issuance of a patent provisional patent application and ends with either the issuance of a patent or an abandonment of the applicationor an abandonment of the application

The examination process for a patent application is quite complex and The examination process for a patent application is quite complex and involves many stages and strategiesinvolves many stages and strategies

It is advisable for applicants who are not well-versed with the system to It is advisable for applicants who are not well-versed with the system to seek the assistance of expert patent counselseek the assistance of expert patent counsel