1. Dana Stangel
April, 2014
Fast Examination
An Overview of Current USPTO Programs

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Past & Current Programs
• Past USPTO Programs & Initiatives
• Current USPTO Programs & Initiatives
• Other ways of influencing prosecution rate

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Past USPTO Programs & Initiatives:
Expired programs:
• Project Exchange – Patent Backlog
Reduction (2009-2011)
• Green Technology (2006-2012)
• Peer-to-Patent (2007-2011)
• Older versions of current programs

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Current USPTO Programs & Initiatives:
• Prioritized Examination - Track 1
• Petition to Make Special
• Accelerated Examination
• First Action Interview
• Patent Prosecution Highway

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USPTO Initiatives

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Track 1
• Fee: $4000 ($2000
small entity)
• No missing parts
• Claim limit: 4
independent / 30 total
• No extensions of time

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Petition to Make Special & Accelerated Exam
• Age or health – No fee
– Age ≥ 65
– Health: evidence ex-statement from a doctor
• Note: Consider filing under MPEP 724.02 to keep medical information private
• Other Grounds – Accelerated Examination
– $140 fee
– Requires search disclosure
– Examination Support Document (AESD)
– Claims: 3 independent 20 total
– Interview may be required
– 1 month shortened response time

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First Action Interview
• File Request
• Claims: 3 independent, 20 total
• Examiner will issue a Pre-interview
Communication (PTOL-413FP) setting a one
month (+1 mo. extension) time period to
request or decline an interview

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Patent Prosecution Highway (PPH)
PPH - Bilateral Agreements
Allowable claims in the Office of First Filing
(OFF), could then be used to expedite a US
case (OSF-Office of Second Filing) with
corresponding claims & no FOAM.
PPH 2.0 / Mottainai
Allowable claims in selected foreign offices
can expedite a US case with corresponding
claims & no FOAM.
Consider DIV if favorable to some claims.
PCT-PPH
Favorably treated claims in ISR/WO can
expedite a US case with corresponding
claims & no FOAM.
Consider DIV if favorable to some claims.
もったいない
Trivia – Mottainai is a Japanese term
meaning: A sense of regret concerning
waste when the intrinsic value of an
object or resource is not properly utilized.

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Other Ways to Influence Prosecution Speed
• Effect of RCE on examination process
• After Final Consideration Program (AFCP 2.0
– expiring 9/30/14)
• Rule 496 – finding of patentability by ISA-US
• Use of Interviews
• Ombudsman Program

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Comparison of Current Programs
• Factors to consider:
– Cost
– Speed
– Limits on number or scope of claims
– Timing for request or petition

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Cost of Program
• Track 1
– Fee: $4000/2000
– Docketing shortened response
• Accelerated Exam
– Fee: $140
– Search & AESD preparation time
– Potential estoppel issues
– Docketing shortened response
• First Action Interview
– Docketing shortened response
• Petition to make Special, PCT-PPH, PPH 2.0,
– No cost

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Speed & Effectiveness
• Track 1 – 12 months
• Accelerated Exam – 12 months
• PPH – Out of turn examination
• Petition to Make Special – Out of turn
• First Action Interview – Shortened
response

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Claim Limits
• Track 1
– 4 independent / 30 total
• Accelerated Exam
– 3 independent / 20 total
• Petition to Make Special (Age/Health)
– none
• Patent Prosecution Highway
– Must correspond to favorably treated claims
• First Action Interview
– 3 independent / 20 total

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Timing of Request/Petition to Participate
• Track 1
– When filing
• Accelerated Exam
– when filing
• Petition to Make Special (Age/Health)
– Anytime
• Patent Prosecution Highway
– Before First Office Action on the Merits (FOAM)
• First Action Interview
– Before First Office Action on the Merits (FOAM)

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Track One (Prioritized
Examination)
Accelerated
Examination
Full First Action
Interview Pilot
Patent Prosecution
Highway (PPH 2.0)
PCT Patent Prosecution
Highway (PCT PPH 2.0)
Program Start Date
2011 (AIA) 2006 2009 2006 2010
Surcharge / Fee
Yes - $4000/$2000
Yes - $140 (unless
qualifying: environment
, energy, or terrorism) No No No
Claim Number Limit(s) Yes - 4 Indep., 30 total
claims
Yes- 3 Indep., 20 total
claims
Yes- 3 Indep., 20 total
claims No No
Shortened Prosecution
Time
Yes – goal is 12 months
Yes – goal is 12 months.
Non-extendable 1
month response time
until final rejection or
allowance.
Yes – due to shortened
response period(s)
Yes – due to earlier
FAOM
Yes - Out of turn
examination
Special Status
Until final disposition Until final disposition No Until final disposition Yes
Examination Support
Document No Yes No No No
Shortened / Non-
extendable Response
Times
Yes - Track 1 status
revoked if extentions
are filed Yes Yes No No
Interview Required
No
Yes - unless claims are
initially allowable Yes No No
Continuation
Applications & RCEs
Eligible for Program Yes
Yes - only at the time of
filing
Yes (only CONs & DIVS
before FOAM, not RCEs)
Yes - only CONs & DIVS
before FOAM, not RCEs
Yes - must request
before FOAM in each
application
Duration or Application
Limit 10,000 per year Unlimited, no expiration
Unlimited, Extended
beyond 11/16/12 Unlimited, no expirationExpires 01/28/14
Status of Program
Pilot Permanent Pilot Permanent Pilot

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Resources
• http://www.uspto.gov/patents/init_events/patapp-initiatives-timeline.jsp
• http://www.uspto.gov/patents/init_events/patapp-initiatives-prior.jsp
• http://www.uspto.gov/patents/ombudsman.jsp
• http://www.uspto.gov/patents/law/notices/pph_2-0_ni.pdf
• http://www.uspto.gov/patents/law/notices/2013.jsp

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Thank you!