By Donald Zuhn

The following is part of a continuing series on how to address the
very real problems facing the U.S. Patent and Trademark Office.

Uspto_seal
A day after the day of rejoicing for inventors, patent practitioners,
examiners, and seemingly all of civilization, fair-minded people will
concede that the U.S. Patent and Trademark Office faces a daunting
task.  After years of neglect – from Congress raiding the users’ fees,
an inadequate number of examiners, technology-driven increases in the
number of applications filed, and a "count" system that has not
rewarded a style of examination that encourages prosecution to a
definitive end point – the Office is facing a massive backlog of
applications without sufficient resources to process them in a timely
manner.

If the patent bar is gladdened by District Court Judge Cacheris’
decision enjoining implementation of the new rules – representing an
attempt, albeit a misguided one, on the part of the Office to address
the pendency and backlog problems – it behooves us to propose
alternatives.  Patent Docs
will be posting a series of such proposals, and we invite our readers
to provide their own ideas.  As they used to say in the days of the
counterculture, "if you are not part of the solution, you are part of
the problem."  Patent Office management clearly thinks the patent bar
is part of the problem; it would be satisfying to prove them wrong.

Regional Patent Offices

Yesterday, we reported on U.S. Patent and Trademark Office Deputy Director Margaret Peterlin’s appearance before a Senate Subcommittee hearing on teleworking.  The Deputy Director spoke about the USPTO’s Patent Hoteling program, a telecommuting program in which "hoteling" examiners spend most of their workweek at home and share offices called "hotels" when on the USPTO campus, and the Virtual Art Unit pilot program, in which the production of 13 hoteling patent examiners was found to compare favorably with that of 37 non-participating examiners on the Office’s Alexandria campus.

More interesting, however, was Deputy Director Peterlin’s statement that teleworking USPTO employees reside in Pennsylvania, New York, Illinois, North Carolina, South Carolina, Georgia, Colorado, Texas, West Virginia, and Delaware.  Since telecommuting USPTO employees are already spending the majority of their workweek in states as far west of the Alexandria campus as Illinois, Texas, and Colorado, one wonders why the Patent Office has been reluctant to take the next step and establish a number of regional patent offices.

By establishing regional patent offices, the USPTO could expand its pool of qualified examiner candidates to include individuals not living in or willing to relocate to the Washington, D.C. area.  And by expanding the pool of qualified examiner candidates, the USPTO could more readily accomplish its stated goal to ensure examination quality by "hiring the people who make the best patent and trademark examiners" (see "The 21st Century Strategic Plan").

While the Patent Office’s 21st Century Strategic Plan contemplates further expansion of its teleworking programs, it does not address the establishment of regional offices.  However, because teleworking employees residing outside of Virginia are still required to report to the Alexandria campus at least once a week "to maintain the official duty station at USPTO headquarters," regional offices might also provide teleworking employees with a more proximate duty station (Patent Docs readers having more knowledge about this aspect of USPTO operations are invited to submit comments explaining why the Office must "maintain the official duty station at USPTO headquarters").

Deputy Director Peterlin, however, did provide clues about one alternative to regional offices during her testimony before the Senate.  In particular, the Deputy Director noted that the Patent Office has sought Congressional approval for a pilot program to allow teleworking employees to maintain their homes as official duty stations.  Thus, instead of establishing a handful of regional patent offices, the USPTO could effectively establish thousands of patent "offices" in which solo examiners go about the business of examining applications.  Either alternative would enable the Patent Office to attack the growing application backlog with the only weapon we know will work: an expanded corps of qualified examiners.

For additional articles in the "Post-GSK" series, please see:

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8 responses to “Post-GSK: Where Do We Go from Here? – Regional Patent Offices”

  1. NIPRA anonymous Avatar

    In one sense there is a synergism (not unlike that at law firm) which develops when a number of patent Examiners are grouped together and share experience and learning.
    In the legal profession, it is the rare lawyer that has the motivation, knowledge, and background to operate effectively as a “solo”, and I suspect it will be the same for “solo” Examiners. And unfortunately, with patents, the “lag” time in determining whether a poor job has been performed is often several years.
    Regional Offices in areas that are facing or will face technological downturns (such as Toledo, Boise, Philadelphia/New Jersey, Colorado, Silicon Valley, Huntsville) would open a number of hiring options for the PTO. These regional Offices could even be technology-specific (machinery in Toledo, pharma in New Jersey, computers in Boise, etc.) so that a pool of qualified and desired applicants stands ready at the location of the new Office. Additionally, technology-specific regional Offices could make the personal interview process easier for patent applicants.

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  2. NIPRA anonymous Avatar

    Plus, for technologies having regional Offices, perhaps the applicant could be given the option to request (not demand) regional Office or main Office (Alexandria) examination… a “free market” of sorts. Perhaps such a free market would take care of (or at least expose) mismanagement issues in a hurry, in the case where one regional Office were better managed (or better staffed) than the others.

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  3. EG Avatar
    EG

    Once more throwing my “hat in the ring” on proposals for improving the PTO, at least the patent side thereof:
    1. Appoint qualified Director and Deputy Director having credibility with patent bar and examining corps. The Director and Deputy Director must have true patent credentials (see 35 USC 3). Stop using the PTO as a “dumping ground” for political patronage.
    2. Revamp PTO hierarchy to improve credibility and trust. In revamped hierarchy, need to include mix of PTO “lifers” and outside people with true patent credentials committed to remedying problems, not posturing or politicking.
    3. Slow down PTO rulemaking in patent area. Right now, rulemaking is obscuring the problems, not solving them. Our current examining process is becoming more complicated and less able to handle number of applications filed, efficient and effective examination thereof, etc. We need to move to a simpler, less-cluttered examining process that reflects and deals fairly and responsibly with concerns of both of the patent bar and Examining Corps.
    4. Slow down patent reform legislation (for minimum of 2 years), other than that relating to fee diversion and possibly optional deferred examination. The Examining Corps (as well as the patent bar) is having difficulty keeping up with existing rules, laws and procedures. Adding further patent laws for Examining Corps and patent bar to deal with (including accompanying rule making) is counterproductive at this time (see proposal 3 above). Only legislation that relates to reversing fee diversion, and possibly permitting optional deferred examination should be pushed now as potentially helping improve the examination process.
    5. Pay good Examiners appropriately, hire qualified new Examiners accordingly, and make patent examining a career, not just a job. If you want retain good Examiners, you must pay them appropriately, and you must hire new qualified Examiners who have the “right stuff”. You must also make patent examining a career, not just a job.
    6. Train and supervise new Examiners appropriately, including using the experienced patent bar. With the current experience level of the Examining Corps generally decreasing, we currently have an examining system of “blind leading the blind.” We need to have the experienced patent bar involved in the training process.
    7. Create current and realistic goals for Examining corps to strive for that encourage retention and long term desire to remain with PTO. The current system based on “counts” has to be revised to reflect current realities, that allowance rate isn’t equivalent to quality, and to reflect the differing nature of the various art units.
    8. Be patient. The problem of Examiner turnover, application backlog, problems created by fee diversion and excessive rulemaking, etc., didn’t happen overnight. Expect that the solution(s) will take time (probably upwards of 4-5 years minimum).
    Again, may be a “pipedream” but it’s my 2 cents for what it’s worth.

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  4. Anonymous Avatar
    Anonymous

    Higher pay for Examiners to attract qualified people, and an incentive scheme to retain Examiners. Without a good examining corps, no amount of rule changes are going to do much good. Also, look at it this way: the USPTO can only do so much to change the behavior or attorneys, agents and inventors, but the USPTO has almost complete control over the examining corps. Thus, the USPTO should make the changes where they have the most influence and expectation of success. More money would be needed, but that can be done by, for example, adding, say, a $200 or $300 surcharge for each continuation over one (no fees for divisionals or CIPs; surcharges cumulative so fourth continuation would be filing fee + 3xsurcharge), double or triple the excess claim fees for total claims over 25, and other such actions that would not substantively harm or substantively limit inventor rights. Similarly, second and subsequent RCEs can carry surcharges of, say $200 per RCE such that, by the fourth RCE there is a $600 surcharge along with the RCE fee. The point of all this is to try and run the USPTO like a service corporation. When customer demand for services is high, don’t “fire” the customers. Instead, raise the fees for services (the supply/demand phenomenon) and expand your business. It doesn’t comport with any model of business whatsoever to contract your business when demand is high. Of course, for individual inventors and small entities, these fees should either not be supplied or substantially reduced (less than 50%) fees. Just some thoughts on the matter.

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  5. Joe Avatar
    Joe

    The regional offices idea would also promote more in-person Applicant/Examiner interviews, if for example, you could request a region in which you live to have examine your application, and then traveling to the patent office would not require (for the most of us) a $1,000 trip to DC, but rather maybe a 30 minute drive to your local PTO.

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  6. Bob Lelkes Avatar
    Bob Lelkes

    I’ve read several comments regarding a proposal to institute a system of deferred examination. Yet I wonder how many applicants make use of deferred examination under 37 CFR 1.103(d). Does anyone have access to statistics on how often suspension of proceedings is requested by the applicant? Is this rule used by the pharma industry?

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  7. X-Solo Avatar
    X-Solo

    I have been lobbying for a west coast regional patent office for some time now. Based on the USPTO’s own data, California generates nearly 3 times the number of patent applications compared to the next closest state and on a per capita basis, is well underserved. (Albeit, so is everyone else.) I suspect the “west of the Mississippi,” alluded to by PTO management means Texas based on political motivations but such a move would prove to further alienate the patent bar and the USPTO (if that is all possible at this juncture.)

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  8. anon Avatar
    anon

    I’m not intimately familiar with the PTO’s training program, but I seem to recall hearing that it takes several months of in-house training before an Examiner is able to actually examine, and then only with specialized training supervision. Arguably, such training may be far more efficient in person.
    Under that assumption, hoteling Examiners must be those who have demonstrated consistent competence. Thus, the idea of having thousands of official duty stations presupposes that the Examiners working in them have spent a significant amount of time in Alexandria being trained.
    Rather than having a revolving door for at least training in Alexandria, it makes much more sense to provide regional offices – training offices, at the least.

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