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Where URLs are requested below, it is preferred that either URLs which a= re likely to remain stable over time (three years or more) are provided, or= home (main) page URLs are provided with a short explanation of how to acce= ss the corresponding information.
The term "patent" covers utility models and Supplementary Protection Cer= tificates (SPCs). Offices which issue design patents should report their de= sign patent information activities in their Annual Technical Reports on Ind= ustrial Design Information Activities.
In calendar year (CY) 2006, the United States Patent and Trademark Offic=
e (USPTO) granted 173,771 utility patents, an increase of 20.8 percent over=
the number of grants for CY 2005. The share of grants having foreign origi=
n, as determined by the residence of the first-named inventor, was 48.3 per=
cent for CY 2006, up from 48.1 percent for CY 2005. The top four patenting =
organizations for CY 2006 are International Business Machines Corporation r=
eceiving 3,621 utility patents, Samsung Electronics Co., Ltd. receiving 2,4=
51 utility patents, Canon Kabushiki Kaisha receiving 2,366 utility patents,=
and Matsushita Electric Industrial Co., Ltd. receiving 2,229 utility paten=
ts.
There were 425,967 non-provisional utility patent applications filed at th=
e USPTO in CY 2006, a 9.0 percent increase as compared to CY 2005. The shar=
e of non-provisional utility patent applications having foreign origin, as =
determined by the residence of the first-named inventor, was 47.9 percent, =
up from 46.8 percent for CY 2005.
In calendar year 2006, the following active technology areas showed larg=
e increases in utility patent activity as compared to CY 2005:
Telecommunications (up 78 percent), Registers (up 70 percent), Image Analy=
sis (up 69 percent), Electrical Computers and Digital Processing Systems: S=
upport (up 68 percent), Data Processing: Financial, Business Practice, Mana=
gement, or Cost/Price Determination (up 63 percent), Dynamic Information St=
orage or Retrieval (up 62 percent).
The USPTO has made a business decision to emphasize on-line ordering and=
delivery of information products and services without abandoning the tradi=
tional delivery methods that include: paper copies, fulfilling fax and tele=
phone requests, maintaining on campus search facilities, supporting the nat=
ionwide network of Patent and Trademark Depository Libraries (PTDLs), and p=
roviding information to private companies that are value added resellers re=
aching thousands of their own customers.
The USPTO is transferring all data to and from the Patent Data Capture Con=
tractor using electronic data transfer. This is a result of implementing th=
e Image File Wrapper. The office has phased out conventional paper applicat=
ions.
For its image products of Patent Application (Pre-Grant) documents, Patent=
(Grant) documents, Certificates of Correction, and Reexamination Certifica=
tes, the USPTO uses CCITT Group 4 facsimile images enclosed in TIFF headers=
.
Since the beginning of calendar year 2006, the USPTO searchable products o=
f Patent Application (Pre-Grant) documents and Patent (Grant) documents are=
based on the International Common Elements as opposed to WIPO Standard ST.=
32.
A wide variety of announcements and notices are provided on-line in the =
weekly Official Gazette of the USPTO. PCT information, notices of maintenan=
ce fees payable, notices of expiration of patents due to failure to pay mai=
ntenance fees, lists of patents for which Certificates of Correction issued=
, lists of reexamination requests filed, and lists of reissue applications =
filed are among the notices provided on a weekly basis.
The USPTO also provides for the on-line browsing and searching of all noti=
ces published in the Official Gazette from January 3, 1995, through the pre=
sent, as well as the on-line browsing and searching of a consolidated listi=
ng of the more important notices and rule changes that were published in th=
e Official Gazette from July 1, 1964, through December 31, 1998.
In 1998, the USPTO established an Internet database with access to the f=
ull-text and images of granted patents from 1976 forward, consisting of two=
terabytes of full-page images and 120GB of searchable full-text. In 2000, =
the USPTO acquired an additional 2 terabytes of storage and added images of=
all US patents from 1790 through 1975. Presently, almost four terabytes of=
full-page image data for all patents from 1790 to the present is stored on=
these devices at the USPTO and accessible from the Internet, along with a =
200GB file consisting of patent numbers and current US classifications for =
all patents from 1790 through 1975, as well as searchable full-text for all=
patents from 1976 to the present. In addition, 4.5 terabytes of storage ha=
ve been deployed for published patent application from March 15, 2001 forwa=
rd. The published patent applications storage meets legislative mandates is=
sued in 1998, in the American Inventor Protection Act (AIPA), which require=
s the timely granting of patents and the early publication of applications.=
Each year the USPTO produces nearly 200 Cassis optical disc masters contai=
ning a wide variety of patent and trademark information. Production include=
s four patent text products, two patent image products, one consolidated tr=
ademark text product, and one trademark image product. Over 76,000 discs pe=
r year are sold to the public, distributed at no charge to intellectual pro=
perty offices around the world, to PTDLs, and to the USPTO search facilitie=
s. An additional 56,000 discs are distributed each year to Federal Deposito=
ry Libraries directly from the Government Printing Office.
Exchange data products for other IP Offices and commercial customers consi=
st of image data and XML files. The Data Dissemination Branch (DDB) oversee=
s the creation and dissemination of over 250 data files each week. These da=
ta files are provided via File Transfer Protocol (FTP) and Digital Linear T=
ape to approximately 50 external customers worldwide.
Office Action Correspondence Subsystem (OACS)
The Office Action Correspondence Subsystem (OACS) is used by patent examin=
ers and technical support staff to facilitate creation of written correspon=
dence for both domestic and international applications. In calendar year 20=
06, OACS was modified to support soft scanning of a limited number of forms=
directly into the Image File Wrapper (IFW) thereby eliminating the need fo=
r printing, routing and hard scanning of a physical document. This innovati=
on made it no longer necessary for workers to be co-located with or deliver=
work to a scanning system, allowing the initiation of a successful work-at=
-home program for some of the USPTO technical support staff.
In addition, the OACS development team spent much of 2006 in planning and =
preparation for release of the Electronic Red Folder (ERF), the first step =
in the implementation of the Patent File Wrapper (PFW), an integrated docum=
ent management, work flow and image view and manipulation system. Scheduled=
to be deployed in late calendar 2007, ERF will automatically route work th=
at has been completed by patent examiners to the appropriate reviewing offi=
cials and ultimately soft scan approved office actions into IFW. Electronic=
notification of office action preparation to at least some applicants is a=
lso expected to be part of the early implementation of PFW.
Patent Application Security System (PASS)
In 2003, PASS was introduced to support initial formalities review of dome=
stic applications (replacing the earlier Patent Application Capture and Rev=
iew System (PACR)).
PASS allows users to view documents that have been scanned into the Image =
File Wrapper (IFW) and, in conjunction with the PALM system, prepare corres=
pondence related to formalities issues.
PASS also includes the web-based Classification Security Review (CSR) and =
Licensing and Review System (LARS) modules in support of, respectively, ini=
tial classification of new applications according to the US Patent Classifi=
cation system and all stages of national security review of new application=
s stored in IFW.
CSR streamlines the initial classification and first-level security review=
processes into one new user interface. The LARS system provides the images=
of applications identified during first level security screening to Licens=
ing and Review examiners who perform second-level security review. LARS all=
ows the examiners to clear an application for foreign filing license or ref=
er it to a defense agency for third-level security review. PASS writes appl=
ications referred for third-level security review to a CD-R which is subseq=
uently made available to the appropriate agencies. CSR and LARS both use ne=
w PALM services which support real time updating of the security or classif=
ication status of an application in the PALM database.
PASS also performs the patent application exporting services. PASS extract=
s IFW images and transmits the content to contractors in support of Early D=
ata Capture (EDC), Pre-Grant Publication (PG-Pub), and Grant and Pre-Grant =
Classification (PGCLASS).
PASS4.4.1 was deployed in February 2007. This release integrated the initi=
al examination processing of international (PCT) applications and US applic=
ations into the same workflow.
PCT Operations Workflow and Electronic Review (POWER)
POWER supports the administrative processing of PCT applications and relat=
ed documents by the staff of PCT Operations. In October 2006, the USPTO aba=
ndoned POIS, a scanning and image storage system that was dedicated solely =
to international applications, in favor of merging international applicatio=
ns into the same process flow as that employed for domestic applications (s=
ee IFW, below). At the same time, the USPTO began accepting electronically =
filed international applications via the same system (EFS-Web) that is used=
for electronic receipt of domestic applications. The images of documents s=
o submitted are directly loaded into the Image File Wrapper (IFW) system. I=
f the applicant used PCT EASY to author the request form, then this bibliog=
raphic data can be attached to the electronic submission and directly loade=
d into a database for ultimate use by POWER. Otherwise, typists transcribe =
bibliographic data from the scanned image of the request form.
Also in 2006, POWER began automatically transmitting bibliographic data in=
text form to the International Bureau as a first step towards electronic t=
ransmission of Record Copies and later submitted sheets (which is planned t=
o start in 2007).
POWER conducts automated formalities reviews based on this bibliographic d=
ata, prepares drafts of necessary correspondence and electronically routes =
the application to the next available formalities officer. Via a number of =
user interface screens, the formalities officer confirms or rejects the sys=
tem indication of errors and completes any necessary correspondence. Based =
on pre-programmed business rules, the system automatically routes the elect=
ronic file to the next work step. If the applicant has requested that the U=
SPTO prepare a certified copy of the priority document, an order is forward=
ed to the OEMS system at the appropriate time. POWER also updates PALM with=
any data changes, provides management reporting, and allows for exception =
processing as needed. All new international applications and follow-on docu=
ments are processed by the POWER system.
Image File Wrapper (IFW)
In 2006, the focus of the USPTO was to minimize the amount of hard scannin=
g that was required in order to capture document images within the Image Fi=
le Wrapper (IFW) system. To this end, the USPTO enthusiastically promoted u=
se of its web based Electronic Filing System (EFS-Web, q.v.) through which =
documents created by the applicant could be directly loaded. Further, subst=
antial work was done in 2006 to prepare for soft scanning outgoing correspo=
ndence prepared by patent examiners, formalities reviewers and other staff =
directly into IFW. We expect to implement these features in 2007.
Further, the USPTO implemented a new interface to its IFW system that allo=
ws the images and metadata contained on Communication on Request CDs from t=
he International Bureau to be directly uploaded. Previously, these document=
s, which pertain to international applications entering national stage in t=
he USPTO, had to be printed and hard scanned.
Also in 2006, the USPTO replaced its original document scanning system, an=
adaptation of the EPO EPOScan system. The new system was developed by RTIS=
, the contractor responsible for conducting the scans, and supports the fun=
ctions of:
1. Document image and metadata capture
2. Document titling (assignment of the appropriate document code (=E2=80=
=9CDoc Code=E2=80=9D))
3. Quality control
4. Delivery of document images and document metadata to IFW or SCORE via t=
he EAI Hub, and
5. Delivery of application status or other management information to PALM =
or other USPTO systems.
In addition to being used for all domestic applications, this new scanning=
system also replaced POIS, the scanning and image storage system that had =
been dedicated to processing international applications. Coupled with the m=
igration of images from the POIS database for international applications fi=
led on or after 01 January 2004, this change completed the incorporation of=
international application images into the USPTO general image storage syst=
em, IFW. This permits applicants to monitor the progress of their internati=
onal applications through Private PAIR as well as making published internat=
ional applications generally available through Public PAIR.
During 2006 modifications and improvements were made to the IFW examiner i=
nterface (eDAN) to provide added user capabilities. These included enhanced=
OCR capability and File Wrapper Access (FWA) to office actions and other a=
pplication documents for published applications from the JPO. FWA with the =
EPO was established in 2005.
Patent File Wrapper (PFW)
As part of the USPTO Patent File Wrapper (PFW) efforts, studies were condu=
cted and a multi-year strategy was developed for replacing the current Imag=
e-based file wrapper system (IFW) with the next generation, text-based file=
wrapper system (PFW). PFW will enable smart text handling of all patent ap=
plication documents. PFW will also incorporate document management and work=
flow control. This will result in significant improvements in efficiency an=
d file integrity.
In 2006, substantial effort was expended to document the as-is process and=
develop the to-be process for the PFW environment. Electronic Red Folder (=
ERF) will be the first step in the implementation of the PFW. Scheduled to =
be deployed in late calendar 2007, ERF will automatically route work that h=
as been completed by patent examiners to the appropriate reviewing official=
s and ultimately soft scan approved office actions into IFW. Electronic not=
ification of office action preparation to at least some applicants is also =
expected to be part of the early implementation of PFW.
Patent Training Academy (PTA or Academy)
On January 23, 2006 the first 128 patent examiners began an enhanced eight=
-month program at the new USPTO Patent Training Academy. In making the anno=
uncement, Commissioner for Patents John Doll noted that, to address our hir=
ing goal of 1,000 new examiners a year for the next five years, we can no l=
onger rely on our traditional methods of training examiners. Our completely=
redesigned training academy will approach examiner training in a much more=
comprehensive manner than ever before thereby providing new examiners in t=
he art units with higher examination skill levels. This redesigned training=
will provide the new examiners with a strong foundation and support system=
that will last their entire careers.
In a specially designed environment equipped with state-of-the-art instruc=
tional and office automation hardware and software, new examiners receive e=
xtensive training in the following areas:
1.The patent process, including the impact of patents on the U.S. economy;=
2. All aspects of patent examining functions and responsibilities;
3. Communications skills, including technical writing, legal writing, and =
oral communication through mock interview experiences;
4. Automation tools available to examiners, including search tools and the=
Microsoft Office Suite; and
5. The state of technologies in the areas in which they will examine.
=
In addition to extensive lecture and lab training, those attending classes=
will spend considerable time learning their jobs through the examination o=
f real patent applications in a setting that will provide immediate assista=
nce when it is needed.
The Academy also developed an IDP System in FY 06. The IDP System stores r=
esumes on each new examiner, which are used to determine into which organiz=
ational area (i.e., art unit) graduating examiners should be placed. The ID=
P System provides the training materials and schedules to each examiner wor=
kstation. This also allows the examiner to review training materials when n=
eeded. The system provides testing and immediate test results to the examin=
er and trainer. Also, this system allows examiners to provide feedback and =
evaluation on the training,
All in-coming examiners are provided with training on electronic communica=
tion, such as Microsoft Office packages and Collaboration tools. The Academ=
y also uses electronic communication tools to communicate with Trainers and=
Examiners.
The Academy researched SynchronEyes and purchased it in calendar year 2006=
. The first workstation installation is targeted to for January 2007. It al=
lows instructors to view the workstations of the students and vice versa fo=
r training purposes which calls for "hands-on" instruction during class. Th=
e instructor can monitor student progress. The trainer workstation can be p=
rojected on the screen in the front of the classroom so they can follow alo=
ng and do hands-on training on their own workstations simultaneously. The i=
nstructor can also do one-on-one training with a student and send questions=
back a forth from the workstations.
Search Systems
Examiners have access to two search clients, both of which provide text an=
d image search and display capabilities. One is a browser-based client call=
ed WEST (Web-based Examiner Search Tool); the other is a coded client calle=
d EAST (Examiner Automated Search Tool). WEST is designed for ease of use a=
nd rapid deployment of new functionality. EAST has a more complex interface=
, designed for greater user customization, more rapid retrieval of images, =
and greater use of the keyboard. Through these search clients, all USPTO pa=
tent examiners have access to full U.S. patent images from 1790 and full U.=
S. patent text search from 1920. The 1920-1970 segment of the U.S. database=
is the U.S. Patents OCR database. Access to another segment of the U.S. Pa=
tents OCR database covering the period from 1790 to 1919 was planned for 20=
05. Since the introduction of U.S. Published Applications in March 2001, th=
e full text and images of these documents have been made available. Also av=
ailable are the contents of the First Page DataBase (FPDB) project, IBM Tec=
hnical Disclosure Bulletins, and the Derwent World Patents Index (WPI). The=
FPDB consists of the English-language Patent Abstracts of Japan (PAJ) from=
1976, and five European Patent Office (EPO) member states (EP patent docum=
ents, France, Germany, Great Britain and Switzerland), and WIPO patent docu=
ments (PCT Publications), from 1978. Additionally, examiners have access to=
full patent document images from 1920 for these same intellectual property=
authoring countries and organizations. The addition of full English-langua=
ge text of EPO documents and full patent document images for additional int=
ellectual property countries and organizations is planned.
In 2006, the full text search databases for US Patents and Published Appli=
cations migrated to using the International Common Element (ICE) Red Book f=
or Patent Grant Data/XML and Patent Application Data/XML publication format=
as the input source content. See http://www.uspto.gov/web/offices/ac/ido/o=
eip/sgml/st32/redbook/rb2004/rb2004.html for more information. Both search =
clients were updated to facilitate search and display of additional data co=
ntent.
International Patent Classification (IPC) Reform was implemented for both =
newly issuing US Patents and newly publishing US Published Applications eff=
ective January 1, 2006. Additionally, IPC Reform data was applied to existi=
ng US Patents and US Published Applications to supplement the IPC data exis=
ting at the time of their original dissemination. Both search clients were =
updated to present both the old and new IPC data.
The USPTO Internet Patent search web site (http://www.uspto.gov/patft/inde=
x.html) was transitioned to being hosted on the USPTO campus.
The Public Search Facility at the USPTO campus was provided access to the =
USPTO internal Derwent World Patents Index (WPI) text searchable database p=
reviously provided only to examiners.
Automated Biotechnology Search System (ABSS)
The USPTO relies heavily on nucleic acid (i.e., DNA, RNA) and amino acid (=
i.e., protein) sequence information supplied in biotechnology patent applic=
ations. This information is used to assess whether the claimed invention co=
mplies with the statutory requirements of utility, novelty, non-obviousness=
, and provides an enabling disclosure of the technology behind the inventio=
n. As well as internal USPTO databases, claimed sequences are searched agai=
nst publicly available nucleotide and amino acid databases for relevant pri=
or art and other information. The USPTO keeps pace with the rapid expansion=
in sequence information filings by continuing to enhance the ABSS system. =
The ABSS system comprises a network of Sun Microsystems hardware and Biocce=
leration Bioaccelerators, which utilize the Smith-Waterman algorithm. Datab=
ases included in searches performed by the ABSS system are: EMBL, GenBank, =
Geneseq, Swiss-Prot, PIR, and SPTREMBL, as well as Pending, Published, and =
Issued.
STIC searching staff, and biotechnology examiners can access the ABSS syst=
em 24 hours per day, seven days per week. The searching staff is available =
to perform searches on behalf of the more than 400 examiners from Technolog=
y Centers 1600 and 1700.
Supplementary Complex Repository for Examiners (SCORE/PSIPS)
SCORE, the Supplemental Complex Repository for Examiners, was deployed in =
August 2005 to provide Examiner and public access to supplemental file wrap=
per data through the electronic Desktop Application Navigator (eDAN) and th=
e Patent Application Information Retrieval (PAIR) system. As of spring 2006=
, the repository is expected to comprise the entire biosequence database, b=
iosequence search results back to June 2005, and other selected supplementa=
l file wrapper information.
SCORE stores and displays Sequence Listings, design drawings, color drawin=
gs, sequence search results files, query-by-example search results files, 3=
-D protein crystal tables, mega tables, mathematical equations, computer so=
urce code, and other supplemental file information or mega sections of appl=
ications in the native electronic formats. SCORE allows specialized viewing=
software to be applied to application data, if necessary.
PatentIn and Checker
Since October 1990, the USPTO has made available to customers a set of sof=
tware tools for creating biosequence listings: PatentIn and Checker. Patent=
In and Checker provide customers with an efficient means to create and vali=
date the Sequence Listing that must accompany, in paper form, or approved p=
aper equivalent, and computer readable form (CRF), each biotechnology paten=
t application that contains biological sequence information.
PatentIn, designed and developed in-house by the USPTO, is used by over 60=
percent of customers who submit Sequence Listings. Several modifications a=
nd improvements to make PatentIn compatible for international use have occu=
rred since 1990. Particularly, in 1996, the USPTO and the EPO began a coope=
rative effort to develop a Microsoft Windows-based version of PatentIn that=
would satisfy WIPO Standard ST.25. As a result of these efforts PatentIn 2=
.0 was released in 1998.
PatentIn 3.4 was released in December 2006 and included a variety of small=
improvements such as ensuring compliance with section 508 of the Disabilit=
ies Act and dropping support for Windows 95, 98, ME, NT, Win2000.
Checker, also designed and developed in-house by USPTO, is a module of the=
validation and data entry system used by STIC technicians to check and loa=
d Sequence Listings into the in-house USPTO sequence database. The software=
allows public users to check completed Sequence Listings before submitting=
them to the USPTO. Use of Checker prior to filing Sequence Listings has re=
sulted in fewer Sequence Listing errors discovered by USPTO, therefore fewe=
r Sequence Listings returned to Applicants for correction. Several releases=
, the last being Checker 4.4.4, deployed in December 2006 corrected a varie=
ty of small errors or annoyances.
There are no new developments to report for calendar year 2006.
The Scientific and Technical Information Center (STIC) does not abstract=
technical information from patent documents.
The STIC translators and translation contractors provide full or partial E=
nglish-language versions of patent documents upon request by USPTO staff. T=
he annual workload in FY2006 was over twenty-one million written words, the=
majority of which were in the Japanese, German, and French languages. In a=
ddition, the translation staff reviews with examiners the general contents =
of patent documents and provides partial oral translations prior to or in p=
lace of written translations. Human-edited machine-assisted translations fo=
r Japanese patents issued since 1993 are being provided to examiners as a m=
ethod of improving translation turnaround time and controlling costs. USPTO=
also began making use of the KIPO machine translations of Korean patents a=
nd the EPO German machine translation tool.
In 2006, approximately 25,425 patent documents were reclassified and 263=
new subclasses were established in 7 classes in the US Patent Classificati=
on (USPC) system. Of this total 1,827 were Pre Grant Publications and appro=
ximately 23,598 were United States patent original or cross-reference class=
ifications.
The Classification Data Systems automated classification desktop tool was =
deployed to additional classifiers and examiners in 2005. Classifiers and e=
xaminers use the system to create new classification schemes and associated=
reference materials for the USPC, and to reclassify patent documents into =
the new scheme.
The Office of Patent Classification coordinated with other USPTO automated=
internal systems to update as needed in preparation for IPC reform impleme=
ntation and continued to maintain a concordance between the United States P=
atent Classification System and the International Patent Classification (IP=
C 8) system. USPTO also implemented an IPC8 valid symbols file and a new US=
to IPC8 concordance to PALM for proper IPC symbol assignment for documents=
published since January 2006.
Foreign Patent Classification (FPC) - The USPTO continued to develop autom=
ated systems and processes to assist with the classification of non-US pate=
nt documents by USPC. In association with unilateral, bilateral and/or tril=
ateral classification harmonization projects, USPTO has developed a process=
for assigning USPC codes to unique non-US patent documents. This process w=
ill be expanded for incorporation with IPC Reform. The USPTO continues to i=
nvestigate linguistic tools, namely, the USPTO text search engine and query=
-by-example (QBE) technology to further assist with the classification of t=
he documents. Non-US patent documents that have USPC codes can be retrieved=
by those classifications using the Examiner electronic search systems EAST=
and WEST.
All utility patents issued from 2002 on include both a US Patent Classific=
ation designation and an International Patent Classification designation. T=
he electronic search systems EAST and WEST available within the USPTO and a=
t selected Patent and Trademark Depository Libraries provide the capacity f=
or searching US Patent documents with either a US or IPC classification des=
ignation.
Further information about the use of the US Patent Classification System i=
s available at:
http://www.uspto.gov/main/patents.htm
No new activities have been initiated under this topic.
No new activities have been initiated under this topic.
Patent search capabilities provide text search of US Patent Applications=
(PGPub), US Patents, JPO and EPO abstracts, the Derwent World Patent Index=
Database, IBM Technical Disclosure Bulletins, and OCR text of US Patents i=
ssued between 1920 and 1971. For the OCR file, examiners identify relevant =
documents by text searching the OCR file and use the document images to det=
ermine applicability to applications under review.
Trilateral Document Access: File Wrapper Access (TDA:FWA) facilitates acce=
ss by US patent examiners to the content of particular patent applications =
stored in participating foreign IP office application file wrapper systems =
that correspond to US applications. The first phase of TDA, File Wrapper Ac=
cess, was implemented with the European Patent Office (EPO) in 2005 to allo=
w US examiners to view EPO application document images for published applic=
ations using the examiner eDAN examination tool. In 2006, USPTO added File =
Wrapper Access with the JPO and examiners of both offices will be able to a=
ccess the selected application documents in the file wrappers of the other =
office.
The Examiners' Search File is continually updated to ensure that the fil=
e is complete and current. The US patent documents granted each week are pr=
ocessed and added to the Search File. In 2006, an average of 3,374 US paten=
ts issued each week and were added to the Search file; an average of 13,628=
original and cross reference codes associated with those documents were ad=
ditionally added to the Search File each week. Also, the Pre Grant Publicat=
ions are processed each week and added to the Search File. In 2006, an aver=
age 5,664 Pre Grant Publications issued each week and an average of 10,632 =
primary and secondary classification codes associated with those documents =
were added to the Search File each week.
OCR File
The USPTO has used OCR software to convert images of approximately 166,000=
US patents issued between 1970 and 1976 missing from the current text file=
. It has also converted the US Patent backfile from 1970 to 1790, which is =
approximately 3.9 million additional documents. Work has been completed to =
load the converted text into the USPTO search engine, BRS/Search, for acces=
s via the search clients EAST and WEST. The load of the U.S. Patent OCR dat=
abase is being implemented in two segments. One segment covers the time per=
iod 1790 to 1919, while the other segment covers the time period 1920 to 19=
71. As of January 2002, examiner access was provided through both EAST and =
WEST search clients to the 1920 to 1970 data. USPTO embellished these text =
records by obtaining and processing an electronic source of titles and inve=
ntor names. Providing access to the segment for the time period 1790 to 191=
9 is being planned in conjunction with the implementation of enhanced syste=
m architecture in 2005.
NPL
USPTO examiners have desktop access to over 17,000 journals in electronic =
format as well as nearly 6,000 electronic books. Such Internet-based servic=
es as the IEEE/IEE Xplore, Proquest, ScienceDirect, and the ACM Digital Lib=
rary are also widely used by examiners.
Development of a database of examiner-identified NPL continued. The databa=
se currently contains NPL on business methods, telecommunications, computer=
software, nanotechnology, designs, and other technology areas. The types o=
f documents submitted by examiners include journal articles, portions of bo=
oks, Internet documents, press releases, images, and standards. The databas=
e contains bibliographic and full text information.
Non-US Patents
The USPTO has undertaken a goal of providing real-time access to patent do=
cuments of international Intellectual Property Offices to the Examining Cor=
ps, Partnership Patent and Trademark Depository Libraries, and Public Searc=
h Room users. Because of the volume of global patent documents, priority ha=
s been given to providing access to PCT Minimum (PCT Article 34) patent doc=
uments first.
JPO and EPO patent full images commensurate with the text searchable files=
associated with the Trilateral First Page Database Project have been loade=
d to magnetic storage devices and made available to examiners through EAST =
and WEST. Additional JPO and EPO patent full images have been loaded to mag=
netic storage devices and made available through FPAS (Foreign Patent Acces=
s System) and the Foreign Document Retrieval capabilities of WEST.
The Electronic Search File is continually updated to ensure that the fil=
e is complete and current. The US patent documents granted each week are pr=
ocessed and added to the database, along with associated classification inf=
ormation. In 2006, an average of 9,038 US patent documents (US patents and =
Pre Grant publications) were published each week and an average of 3,374 cl=
assification codes associated with these documents were added to the databa=
se each week. Every other month, USPC classification information for all re=
cords, US and non-US, is updated to account for reclassification projects a=
nd miscellaneous transfer requests of examiners.
During 2001, the Index to the US Patent Classification system was expanded=
to include several hundred new terms relating to US classes and subclasses=
for business method technologies.
The USPTO Data Maintenance Branch and staff perform the data loading and m=
aintenance of both text and image data for the following domestic databases=
:
Patent Image Retrieval System (PIRS), Patent Images on the Web (PIW), Appl=
ication Image Retrieval System (AIRS), Application Images on the Web (AIW),=
Bibliographic Retrieval Service (BRS) Patent Grant and Application Text Da=
tabase, Publication Site for Issued and Published Sequences (PSIPS), Patent=
Application Location and Monitoring (PALM - Tape Creation Process), Patent=
Application Services and Security (PASS Grants and Application - Tape Crea=
tion Process), Electronic Filing System (EFS - Tape Creation Process), CD-R=
om Reference Library System and the Trademark Image Capture and Retrieval S=
ystem.
In FY 1997 and FY 1998, the USPTO installed 42 terabytes of Redundant Ar= rays of Independent Disk (RAID) magnetic disk storage systems to process pa= tent, trademark, and other business data electronically. In FY 1999 through= FY 2001 additional capacity was acquired that doubled the amount of online= magnetic storage available. The USPTO is continuing its partnership with E= MC Corporation for server attached and Storage Area Network (SAN) storage d= evices. With a long-term lease agreement, the USPTO had acquired over 400 T= B of raw disk capacity at the end of FY 2004. Managing this storage will re= quire continued vendor support, and implementation of storage management to= ols. In FY 2004 and FY 2005 the USPTO extended the SAN to support the agenc= y move to Carlyle and to enhance disaster recovery capabilities.
The US Patent and Trademark Office receives, by means of exchange agreem=
ents, the patent documents of most countries of the World. The European Pat=
ent Office (EPO) provides the predominant number of patent documents for th=
e majority of countries in accordance with WIPO exchange standards (WIPO ST=
.33 and ST.40). The USPTO has implemented production software to load these=
patent documents in electronic form to magnetic storage devices. Other cou=
ntries, which provide independent exchange of documents in electronic form =
to the USPTO in compliance with the noted WIPO exchange standards, are also=
loaded to magnetic storage devices. These patent documents are available o=
n the USPTO network through examiner search tools EAST and WEST. A number o=
f countries, which provide independent exchange to the USPTO on CD-ROMs and=
/or DVD-ROMs but not in compliance with the WIPO exchange standards, are av=
ailable in the Scientific and Technical Information Center (STIC) at a stan=
d-alone workstation utilizing the source countries software for viewing and=
printing the patent documents when requested. STIC staff is making increas=
ing use of the Internet sites created and maintained by national patent off=
ices and multinational patent organizations. Access to Internet sites creat=
ed and maintained by a number of national and multinational patent organiza=
tions is also publicly accessible in the STIC Main Branch.
The USPTO has undertaken an effort to assign USPC classifications to forei=
gn patent documents, thereby facilitating electronic retrieval of the full =
document facsimile images through classified search techniques. A unique pr=
eferred foreign patent document from each patent family will be identified =
for inclusion in the foreign patent electronic database for retrieval using=
USPTO search tools. The initial phase of this project added the capability=
to search foreign patents by USPC to the examiner search tools, and loaded=
over five million foreign patent USPC legacy records. Subsequent phases cu=
rrently being planned involve the use of patent family information to elimi=
nate the retrieval of duplicates when searching multiple electronic patent =
databases, and automated language translation capability.
The USPTO Data Maintenance operation and staff is responsible for all text=
and image data load processes and maintenance of both domestic and foreign=
patent data. The staff performs the data loading and maintenance of both t=
ext and image data for the following foreign databases: Derwent WPI Data Lo=
ad, Foreign Image Data Load (EPO/JPO Full Image Data, DOCDB, ECLA, JPO FI-D=
ata File, JPO F-Term Data File, JPO IPC Converted and Concordance File, Can=
adian Mimosa and Australian Mimosa).
The Examiners Automated Search Tool (EAST) provides examiner search and =
retrieval capabilities from the desktop using a dedicated client applicatio=
n. It provides a single user interface that can be used to search for prior=
art of any type and integrates with other activities performed by patent e=
xaminers in order to reduce the time required to examine applications. EAST=
provides access to full text data, full image data, and clipped image data=
. EAST offers full text and abstract text data search and retrieval on the =
following databases, using the Bibliographic Retrieval System (BRS) search =
engine: U.S. Patent Office (USPAT), U.S. Pre-Grant Publications (US-PGPubs)=
, Optical Character Recognition scanned US patents (USOCR), Japanese Patent=
Office (JPO), European Patent Office (EPO), Derwent World Patents Index, a=
nd the IBM Technical Disclosure Bulletin (IBM TDB) database.
The Web-based Examiner Search Tool (WEST) allows US patent examiners to us=
e an Internet Explorer 6 browser on their workstations to perform patent se=
arch and retrieve in the following databases: the Derwent World Parent Inde=
x (DWPI), US Patents Full Text (USPT), US Pre-Grant Publications (PGPubs), =
Optical Character Recognition scanned US patents (USOCR), Japanese Patent O=
ffice Abstracts (JPAB), European Patent Office Abstracts (EPAB), IBM Techni=
cal Disclosure Bulletins (TDB), and Foreign Image Data Load (FIDL).
The Automated Biotechnology Sequence Search (ABSS) system is the database,=
retrieval, and search system for the electronic form (CRF) of the bioseque=
nce submissions that are required of applicants who cite DNA, RNA, or prote=
in sequences in patent applications. The ABSS system utilizes the Smith-Wat=
erman algorithm to search public and internal USPTO databases, including: G=
ENESEQ, GenBank/EMBL/DDBJ, UniProt, Pending, Published, and Issued.
Patent Document Image Retrieval System
Examiners have access to the text and images of US, JPO, and EPO patents, =
Derwent abstracts, US published applications and IBM technical disclosure b=
ulletins through a browser-based client called WEST and a coded client call=
ed EAST. WEST is designed for ease of use, and rapid deployment of new func=
tionality. EAST has a more complex interface, designed for greater user cus=
tomization, more rapid retrieval of images, and greater use of the keyboard=
. WEST was deployed in May 1998, and EAST was deployed in August of 1999. <=
br>
EAST was upgraded several times in FY 2000 to provide rapid improvements a=
nd increased functionality in order to ease the transition of examiners fro=
m the legacy Messenger-based tools. In FY 2001, PGPub data was deployed and=
in FY 2003, the OCR back file was deployed. Future enhancements to EAST wi=
ll provide increased access to foreign patent images. Continuing system per=
formance upgrades and integration with other examiner-automated systems are=
also planned for future releases of EAST.
In June 2000, WEST 2.0 was deployed; offering foreign patent searching by =
USPC, patent classification searching in Manual of Classification order, cu=
stomizable display formats and a host of other enhancements. In 2002-2003 W=
EST was enhanced to include the OCR back file to support to browsers other =
than Netscape, and to provide automated classification search query buildin=
g from the Manual and Index of U.S. patent classifications. Future planned =
enhancements include performance upgrades and integration with other examin=
er automation tools.
In October 2000, the patent database on the Web was expanded to include ad=
ditional U.S. patent image data back to 1790 and other ancillary documents.=
The patent image data can be accessed by a class/subclass search or by pat=
ent number. In FY 2001, the Internet began electronically publishing for Pr=
e-Grant Publication (PGPub) patent applications. Biosequence repository dat=
a will be available in FY 2002. In FY 2003, assignment data will be added t=
o the website. Beginning in FY 2004 and completing in FY 2008, perfection o=
f backfile data will be accomplished and placed on the web.
Approximately 80% of the examiners use EAST as their primary search tool, =
with the remainder using WEST. EAST users also use WEST for retrieving fore=
ign patent images. A future enhancement to EAST will provide this capabilit=
y in EAST itself.
Telecommuting Program (PHP or Hoteling)
PHP is a flexible telecommuting program that allows eligible USPTO employe=
es to perform their official duties at an alternative work site, predominat=
ely at home. The Patents organization launched a telework pilot in FY2005 a=
s a precursor to initiating PHP in January 2006. By December 2007, the USPT=
O expects to have more than 1000 active PHP employee participants. An addit=
ional 500 employees are planned to be added each year through 2011 bringing=
the total number of PHP participants to over 3000.
Major PHP elements include remote online access to all relevant USPTO pate=
nt business systems, collaborative communication technologies, and a hoteli=
ng component to reserve office space on the USPTO campus.
PHP incorporates a hoteling component whereby telecommuting participants r=
eserve time in an office suite physically located at the USPTO headquarters=
one day per week. This year the USPTO reduced the hoteling component offic=
e suite availability from the initial one suite per three telecommuters (1:=
3) ratio, to one suite per five telecommuters (1:5 ratio), to one suite per=
ten telecommuters (1:10) ratio of office space allocated to the hotelers. =
This significant reduction in hoteling space realized a savings of office s=
pace lease cost avoidance. The suites are outfitted with computers, printer=
s, phones, and administrative resources for hoteling participants use durin=
g their on-campus time. PHP participants can reserve suites via an automate=
d desk reservation system remotely accessible through the USPTO Intranet si=
te.
The USPTO responds often to telecommuting program inquires from the follow=
ing external groups:
1. Federal Reserve
2. Government Services Administration (GSA)
3. Canadian Patent Office (CIPO)
4. Department of Transportation
5. Department Of Interior - Fish & Wildlife
6. Library of Congress
7. Internal Revenue Service
8. Department of Justice
9. Department of Treasury - Treasury Inspector General Tax Administration =
(TIGDA)
10. Loudoun County Government
11. Congressional Aides
12. United States Senate Staff
13. National Institutes of Health
14. European Patent Office (EPO)
15. Japanese Delegates for the Center for Advanced Study and Research in I=
ntellectual Property (CASRIP)
USPTO patent examiners and trademark attorneys have access to over 1,000=
commercially available databases including those provided by STN, Questel/=
Orbit, and Dialog
The content of the Derwent World Patent Index file has been brought in-hou=
se and is available via WEST and EAST. STIC searchers and patent examiners =
in the biotechnology field also have access to several public and commercia=
l biosequence databases, including: EMBL, GenBank, Genseq, Swiss-Prot, PIR,=
and SPTREMBL, as well as the in-house Pending, Published, and Issued datab=
ases.
USPTO examiners have desktop access to over 17,000 journals in electronic =
format as well as nearly 6,000 electronic books. Such Internet-based servic=
es as the IEEE/IEE Xplore, Proquest, ScienceDirect, and the ACM Digital Lib=
rary are also widely used by examiners.
Patents Location and Monitoring System (PALM) Migration
PALM continues to constitute the backbone for management information throu=
ghout the USPTO. Throughout 2006, the main emphasis was on making changes t=
o provide services to other projects such as TDA:PDX.
PALM on PTOnet
All Patent Examiners have been provided further access to the current Mana=
gement Information System on their desktop PC via barcode readers and a web=
browser interface. This system has been found to provide increased case tr=
acking accuracy.
PTOnet has an architecture consisting of a campus-wide Gigabit Ethernet =
switched backbone with closet switches providing switched Ethernet connecti=
on to individual workstations. Currently, PTOnet users have dedicated 100 M=
bps switched Ethernet connections.
PTOnet
Since desktop applications require increasingly more network bandwidth (th=
rough the backbone server attachments) in 2002 PTOnet was upgraded to keep =
ahead of the requirements. Prior to the most recent network upgrade, PTOnet=
users had access to a 10 Mbps Ethernet segment. Currently, PTOnet users ha=
ve dedicated 100 Mbps connections; industry analysis indicates this will be=
more than sufficient for any forecast client application.
PTOnet provides examiners and other staff with access to the Internet thro=
ugh dual-redundant firewalls. Access zones implemented via firewalls and pr=
oxy servers have been implemented to provide a limited amount of controlled=
access to PTOnet resources for external users. Additional external access =
capabilities are being developed through the implementation of a variety of=
access control mechanisms including digital certificate-based authenticati=
on supported by a full Public Key Infrastructure (PKI).
Access to external databases
External databases are primarily accessed using software such as STN Expre=
ss or DialogLink loaded on PTONet. Examiners also use secure communications=
and servers to search these services via the Internet. VPNs with STN and D=
ialog allow for fast, secure searching. Examiners establish connections to =
the external databases through sessions that are set up after logging into =
the PTO firewall. The PTO Internet access line bandwidth has been upgraded =
to two full T-3 connections and two full OC-3 connections (a total of 390 M=
bps).
Both of the Search Systems, EAST and WEST, have the Assignee Thesaurus a= nd a general technical thesaurus from the US Defense Technical Information = Center (DTIC).
Planning and Administration
The Scientific and Technical Information Center (STIC) is organizationally=
part of the USPTO Search and Information Resources Administration. Althoug=
h providing a number of services to the public, the primary mission of the =
STIC is to serve the examining and professional staff of the USPTO. STIC is=
composed of four divisions including the Centralized Services Division, th=
e Electronic Information Center Division, the Digital Resources Division, a=
nd the Search and Automation Support Division.
The Digital Resources Division manages access to commercial databases and =
also manages the STIC NPL intranet pages. The Information Access and Manage=
ment Division, which provides acquisition, cataloging, and NPL web page man=
agement is part of this division.
The Centralized Services Division is responsible for assisting examiners a=
nd the general public in the use of the USPTO extensive collection of forei=
gn patents as well as the scientific literature collections of the informat=
ion center main branch. The Lutrelle F. Parker, Sr. Memorial Law Library pr=
ovides access to legal information for examiners, USPTO staff, and the gene=
ral public. The division also provides copies of foreign patent documents t=
o the public for a fee. The staff maintains the USPTO collection of print a=
nd microform foreign patent documents. The Centralized Services Division is=
also composed of the Reference Delivery branch, which provides articles, b=
ooks, and documents to examiners on request. The Translations Branch, which=
provides examiners with both oral and written English-language translation=
s of foreign patent documents and technical articles, is also part of the D=
ivision.
The mission of the Search and Automation Support Division is to enhance pa=
tent examiner use of automation tools by providing training and one-on-one =
support. The training is focused on in-house and commercial tools that supp=
ort patent search and examination.
Automation
STIC utilizes an automated library system accessible to examiners at the d=
esktop. The catalog includes the post-1977 non-patent literature collection=
and the most active portion of the pre-1977 collection. The catalog allows=
searchers to hyperlink to electronic journals and books in the STIC collec=
tions.
STIC develops and maintains intranet pages providing access to Internet NP=
L tools and STIC services by art area. A Web page for each technology cente=
r presents links to databases, electronic books and journals, reference too=
ls, and Web resources useful to examiners covering those arts. Specialized =
pages have also been developed in emerging areas of patent interest includi=
ng business methods, traditional knowledge, and nanotechnology.
Security, Buildings
The main STIC print and microformat collection is housed in commercially o=
wned buildings along with other USPTO offices. All STIC facilities are acce=
ssible to USPTO employees 24 hours a day via a ID card reader system, as ar=
e STIC-provided electronic tools and resources. Two STIC libraries are open=
to the general public during regular business hours, Monday through Friday=
. STIC takes various security measures to ensure the integrity of the STIC =
collection, including issuing USPTO security passes to all STIC employees a=
nd utilization of a book detection system.
STIC has the mission of identifying, acquiring and maintaining non-paten=
t literature (NPL) in electronic and print formats, devoting special emphas=
is to literature for new and emerging technologies. The NPL resources acqui=
red focus on the applied science and technology fields, with special emphas=
is on creating special collections or systems for rapidly developing techno=
logies, e.g. computer software, business methods, nanotechnology, and biote=
chnology. Staff also identify, evaluate and monitor expenditures for online=
commercial databases. In addition, STIC manages a support contract for the=
USPTO, which covers library services, facilities management, and informati=
on management functions.
The Centralized Services Division processes and distributes all foreign pa=
tent documents and journals received at the USPTO. The majority of foreign =
documents are now received in CD-ROM format.
The majority of the collections is in electronic form. Those portions of= the collection maintained in Main STIC and the Lutrelle F. Parker Sr. Memo= rial Law Library are open to the public. In accordance with the Patent Coop= eration Treaty (PCT), STIC meets minimum documentation requirements for for= eign patent documents and non-patent literature and makes these documents a= vailable to the public.
Interlibrary Loans
The STIC Reference Delivery Branch was established to expeditiously provid=
e the Examining Corps with non-patent literature references. After an exami=
ner requests a non-patent literature reference, the Branch locates the refe=
rence and requests document delivery from a vendor/supplier. This work is i=
ncreasingly accomplished electronically via fax, Internet, Ariel, CARL/Unco=
ver, and other services. The staff uses OCLC (a national on-line shared cat=
aloging and interlibrary loan system) and an in-house CUADRA Star database =
as location tools and Dialog and STN for citation verification.
Reference and Copy Services
STIC provides reference assistance to examiners in the main facility, the =
Electronic Information Centers, Main STIC Library, and the Parker Law Libra=
ry during regular business hours. Reference service for examiners includes =
assistance with technical and reference materials, commercial online databa=
ses searches, document delivery, and sequence searches on the STIC internal=
automated biotechnology search system. With appropriate USPTO user passes,=
the public may gain access to the main facility and the Parker Law Library=
and use the collections (on-site), public copiers, and microfilm readers. =
The STIC foreign patent staff provides assistance with the foreign patent =
collection to USPTO staff and to the public. Computer searches on commercia=
lly available databases such as Questel/Orbit and INPADOC are provided for =
USPTO staff only. As part of the public services available, the foreign pat=
ent staff will help the public locate foreign patent information by providi=
ng advice regarding searching, databases, and collections. Public users can=
make their own copies of foreign documents, or remotely, can request copie=
s of foreign patents from the extensive STIC collections. The copy services=
are available both directly from the USPTO and as a component of the speci=
al service mix at Patent Depository Regional Libraries.
Resource Sharing
STIC, a participant of the OCLC shared cataloging and interlibrary loan sy=
stem, is a non-supplier for interlibrary loans. STIC is also participating =
with research networks via the Internet to complement the existing shared c=
ataloging and interlibrary loan system.
Network of Patent and Trademark Depository Libraries (PTDLs)
The USPTO Patent and Trademark Depository Library Program (PTDLP) consists=
of 85 academic, public, state and special libraries, referred to as PTDLs,=
located in 47 states, the District of Columbia, and Puerto Rico. A list of=
PTDLs may be viewed at the USPTO web site.
The 29th Annual PTDL Training Seminar held in Arlington, Virginia from Apr=
il 2-7, 2006 hosted 85 registrants. Eighty librarians representing 70 PTDLs=
and representatives from the State Intellectual Property Office of the Peo=
ples Republic of China were present.
The PTDL Program was involved in a number of outreach activities during 20=
06. PTDLP sponsored and staffed exhibit booths at the American Library Asso=
ciation Annual Conference in New Orleans, LA. and the Special Libraries Ass=
ociation Annual Conference in Baltimore, MD. Public seminars and staff trai=
ning were also conducted at a number of PTDLs throughout the year. Numerous=
briefings on the PTDL Program were also provided to international visitors=
and to various USPTO Technology Centers.
Information on the Patent and Trademark Depository Library (PTDL) Program =
is available from the PTDLP Web site located at: located at www.uspto.gov/g=
o/ptdl. The Web site includes information about the Program mission, histor=
y, background, services, and core collections, as well as links to Program =
publications, materials, and reference tools. Each of the 85 PTDLs is linke=
d to the USPTO web site PTDL List.
Automated Information in Patent and Trademark Depository Libraries
Web-based online searching for the patent text and image database via Pub =
West is available at all 85 PTDLs. All PTDLs also provide public access to =
the USPTO web site.
The USPTO continues to provide optical disc products to PTDLs for direct p=
ublic use. This includes all Cassis optical disc products; Patents BIB, Pat=
ents CLASS, Patents ASSIST, Patents & Trademarks ASSIGN, Trademarks BIB=
, USAPat, USAApp, USAMark and the Patents (eOG:P).
Automated Patent Information in Public Search Facilities
The USPTO Public Search Facility provides public users with access to over=
20 types of software applications that provide full-text search and/or doc=
ument retrieval. When logged onto one of the over 300 Universal Public Work=
stations located in the Public Search Facility users search multiple source=
s of patent information using common interfaces. The primary information de=
livery channel in the Public Search Facility is the Universal Public Workst=
ation (UPWS).
The Universal Public Workstation (UPWS) is a secured access computer provi=
ding a single platform and consistent interface to all databases. Public ve=
rsions of the patent examiner search systems EAST and WEST, and document im=
age print WALK-UP are the heaviest used applications provided on UPWS. Othe=
r patent applications on UPWS include the USPTO Web site, DVD-ROM Cassis ti=
tles, Assignments Historical Database (AHD) and Patent Assignment Informati=
on Retrieval (PAIR). Both EAST and WEST retrieve all U.S. patent images and=
word search the text contained in U.S. patents granted since 1971. The Opt=
ical Character Recognition application allows searching of U.S. patents bot=
h text and images back to 1920. EAST and WEST also provide text searching o=
f English language patent abstracts from the European Patent Office and Jap=
an Patent Office, and a set of foreign patent images formerly available onl=
y on CD-ROM. Public users search Re-exam file information by logging onto t=
he UPWS Patent Assignment Information Retrieval (PAIR) application.
UPWS now provides access to World Patents Index (WPI), a proprietary datab=
ase that is also available to USPTO patent examiners. This search tool is a=
ccessed through PubEAST. UPWS users also access new text search indexes to =
retrieve U.S. patents and U.S. published applications associated with Inter=
national Patent Classification (IPC) data in accordance with IPC reform.
The Public Search Facility recently became one of the USPTO wireless hot s=
pots whereby facility customers may use their personal computers or communi=
cation devices in the facility to access Internet resources. This capabilit=
y allows users to supplement or expand their intellectual property research=
ing activities as they search/retrieve information using the Universal Publ=
ic Workstation.
Online search/retrieval system use during FY05 totaled over 196,000 hours.=
An eight-hour training course for novice or first time patent users is ava=
ilable to the public on the WEST system. A four-hour course for advanced us=
ers is available on the EAST system. Courses are scheduled once a month for=
a nominal fee, or more often as needed. Special one-page guides and Helpfu=
l Hints are available in the on-line search areas. Individual assistance is=
always available from staff.
Public users have opportunities throughout the year to participate in Beta=
testing of updated versions of software applications. Public users provide=
comments on how to improve access to patent information by making changes =
to software applications.
Automated Products Provided to the Public
The USPTO Electronic Information Products Division continues to provide pa=
tent information products and services to the public in a variety of format=
s. The Products and Services Catalog on the USPTO website describes USPTO p=
roducts and services, and contains details on how to obtain them.
The following DVD-ROM products are available for purchase by the public: <=
br>
Patents BIB: Selected Bibliographic Information from US Patents Issued 196=
9 to Present
This Cassis DVD-ROM contains bibliographic information for utility patents=
issued from 1969 to the present, and for other types of patent documents i=
ssued from 1977 to the present. It includes inventor names and addresses (i=
f unassigned at time of issue), assignee at time of issue, status (i.e., wi=
thdrawn, corrected, expired for failure to pay maintenance fees, reexamined=
or term extended), current classifications, patent title, and patent abstr=
acts from September 1988 to date. Patents BIB also refers to patent image l=
ocations on USAPat, described below. This DVD-ROM product is updated every =
two months.
This Cassis DVD-ROM contains current classification information for all ut=
ility, design, plant, reissue and X-numbered patents, as well as defensive =
publications and statutory invention registrations issued from 1790 to the =
present (over 6 million documents). Indexing of classification information =
has been optimized for rapid retrieval. This DVD-ROM product is updated eve=
ry two months.
Patents and Trademarks ASSIGN: US Patents and Trademarks Assignments Recor=
ded at the USPTO 1980 August to Present
This Cassis DVD-ROM includes data derived from assignment deeds for issued=
patents and registered trademarks, which were recorded at the Patent and T=
rademark Office after August 1980 for patents, and since 1955 for trademark=
s. The disc includes assignments recorded before and after the patent issue=
d. This DVD-ROM product is updated every two months. This product is the co=
mbination of two previous titles, Patents ASSIGN and Trademarks ASSIGN, now=
no longer published.
Patents ASSIST: Full Text of Patent Search Tools
This Cassis DVD-ROM is a compilation of many patent search tools including=
the following: Manual of Classification, Index to the US Patent Classifica=
tion, Manual of Patent Examining Procedure, IPC - USPC Concordance, and Att=
orneys and Agents Registered to Practice Before the US Patent and Trademark=
Office. In addition, Classification Definitions, a Patentee-Assignee Index=
, and a Classification Orders Index are included. The Patentee-Assignee Ind=
ex shows ownership at time of issue for utility patents 1969 to present; fo=
r other patent types 1977 to present; and inventor names 1975 to present. T=
he Classification Orders Index is a list of classifications abolished and e=
stablished since 1976 with corresponding Classification Order number and ef=
fective date. This DVD- ROM product is updated every three months.
Manual of Patent Examining Procedure (MPEP)
This Manual is published to provide US Patent and Trademark Office patent =
examiners, applicants, attorneys, agents, and representatives of applicants=
with a reference work on the practices and procedures relative to the pros=
ecution of patent applications before the Patent and Trademark Office. The =
MPEP is available in electronic form as an ASCII text file downloadable (no=
charge) from the USPTO Web site on the Internet at http://www.uspto.gov/, =
and as a searchable text file on the Patents ASSIST DVD-ROM product, which =
includes many other useful files. Each revision is fully incorporated into =
the base edition and republished as a whole.
USAPat: Facsimile Images of United States Patents
This Cassis DVD-ROM product contains facsimile images of US patents from 1=
790 to present. An image is an actual page of the patent, including all dra=
wings, and looks just like the original printed document. The purpose of US=
APat is to serve as a document delivery system, not as a search system. Ret=
rieval is by document number only from a cumulative index. Excellent printe=
d copies of actual documents can be obtained directly from a laser printer.=
Delivery of weekly discs is usually within 15 days from issue date.
USAApp: Facsimile Images of United States Patent Application Publications =
USAApp contains facsimile images of the U.S. patent application publicatio=
ns filed on or after November 29, 2000 and published weekly beginning March=
15, 2001. A law effective November 29, 1999, requires publication of paten=
t applications approximately 18 months after the effective filing date. All=
utility and plant patent applications will be published unless the applica=
tion is not filed in another country and the applicant expressly requests t=
hat the application not be published, or the patent has been granted. Desig=
n patent applications will not be published. An "image" looks like an actua=
l page of the application, including all drawings. USAApp is a document del=
ivery system, not a search system. Retrieval is by document number only fro=
m a cumulative index. Excellent printed copies can be obtained directly fro=
m a laser printer.
Trademarks BIB : Bibliographic Information from Abandoned, Canceled, Expir=
ed, Pending, and Registered US TradeMarks
This Cassis DVD-ROM contains the text of all abandoned, canceled, expired,=
pending, and registered trademarks from 1884 to present with 30 searchable=
fields. This DVD-ROM product is updated every two months. Trademarks BIB a=
lso refers to trademark image locations on USAMark, described below.
USAMark: Facsimile Images of United States Trademark Registrations
This Cassis CD-ROM contains facsimile images of U.S. trademark registratio=
n certificates issued from 1870 to the present. An image is an actual page =
of the trademark, including renewals and modifications, and looks just like=
the original printed document. USAMark is a document delivery system, not =
a search system. Retrieval is by document number only from a cumulative ind=
ex that covers all issued discs. Excellent printed copies of actual documen=
ts can be obtained directly from a laser printer. USAMark is published mont=
hly.
Electronic Official Gazette of the U.S. Patent and Trademark Office =E2=80=
=93 Patents (eOG:P)
The eOG:P began publication in July 2002 on both the USPTO Web site (free)=
and on CD-ROM (subscription). In September 2002, the eOG:P replaced the pa=
per Official Gazette that had been published since 1872. The eOG:P contains=
the OG record, including an exemplary claim and a representative image (if=
applicable). Indexes by type of patent (e.g., utility, design), patentee n=
ame (both inventor and assignee), geographical location of the first listed=
inventor (U.S. state or country), and classification are provided. The eOG=
:P is available each Tuesday.
The USPTO maintains World Wide Web (WWW) and File Transfer Protocol (ftp) =
sites on the Internet, which permit the public free access to selected info=
rmation related to patents and trademarks.
Patent document exchanges are maintained with substantially all patent-i=
ssuing intellectual property offices. US patents images and information are=
provided to 104 intellectual property offices on optical disc products (mo=
stly in DVD-ROM format - see descriptions of the products above). Copies of=
US plant patents are provided in paper form to 18 intellectual property of=
fices.
The USPTO has been involved in a variety of discussions concerning the exc=
hange of patent documentation and information. Principally, these efforts h=
ave taken place in the context of the Trilateral Partnership consisting of =
the European Patent Office (EPO), the Japan Patent Office (JPO) and the USP=
TO. The Trilateral Partners continue to work with WIPO on a number of paten=
t-related matters, e.g., developing and updating standards related to stora=
ge of patent data on electronic media, etc.
Trilateral Document Access: File Wrapper Access
In June 2006, Trilateral Document Access: File Wrapper Access (TDA:FWA) wa=
s established between USPTO and JPO. TDA:FWA facilitates access by patent e=
xaminers to the content of particular patent applications stored in partici=
pating foreign IP office application file wrapper systems. In particular, T=
DA:FWA allows a US examiner to review office actions and search results dev=
eloped by an examiner in another IP office who worked on an application cor=
responding to a US application. The USPTO implemented a first phase of File=
Wrapper Access in March 2005 with the European Patent Office (EPO) to allo=
w US examiners to view EPO application document images for published applic=
ations using the examiner eDAN examination tool. Similar access to US files=
was granted to EPO examiners. The new connection with the JPO operates in =
a similar fashion. The JPO has been making robust use of FWA linkages to US=
applications with over 6,000 sessions per month. US examiners use FWA seve=
ral thousand times per month to gain access to EPO or JPO applications.
Trilateral Document Access: Priority Document Exchange
Throughout 2006, the USPTO and EPO worked to establish direct electronic o=
ffice-to-office exchange of priority documents using Trilateral Document Ac=
cess: Priority Document Exchange (TDA:PDX) culminating with deployment in J=
anuary 2007. This system allows an Office of Second Filing to request the O=
ffice of First Filing to deliver of a certified copy of an application to w=
hich priority has been claimed. The images of the priority documents retrie=
ved from the EPO are loaded directly into IFW eliminating the need to handl=
e any paper. These documents typically are not yet published but the system=
operates over TRINET thereby ensuring a secure connection. Further, the sy=
stem was constructed in compliance with the latest version of the TDA Speci=
fication, which provides for the exchange of numerous error, fault and stat=
us messages that allow both the sender and the receiver to monitor the succ=
ess of the transmission. TDA:PDX is proving popular with applicants who are=
exempted from any charge for the service.
Bibliographic Data Delivery to IB
In late fall 2006, the US receiving Office (RO/US) began delivering the bi=
bliographic data for international applications to the International Bureau=
(IB) in machine readable form. In particular, information authored by the =
applicants using PCT EASY or transcribed by typists within the USPTO (for t=
hose applications not accompanied by PCT EASY data) is now delivered electr=
onically upon completion of record copy examination. The system relies on a=
n EDI connection between the USPTO and IB with the data structured in accor=
dance with the minimal specification requirements of Annex F. In 2007, the =
USPTO will begin sending images data to the IB, in particular record copies=
and certified copies of US applications (priority documents) to which prio=
rity is claimed in an international application filed in the RO/US.
In 2003 USPTO began to provide certified copies for priority documents o=
n CD-R media accompanied by a paper certification sheet when the size of th=
e document exceeds 400 paper pages. Patent applicants now have the ability =
to order either certified or uncertified unpublished patent applications, i=
f they are entitled, via Private PAIR (Patent Application Information Retri=
eval) on the web.
In January 2007, the USPTO implemented electronic priority document exchan=
ge with the EPO (TDA:PDX, q.v.). Using the secure TriNet network connection=
, the images of applications-as-filed could be delivered from one office to=
the other and directly loaded into the image database.
Electronic Filing System (EFS)
In October 2006, EFS-Web began accepting International Applications (PCTs)=
at the US Receiving Office. In addition to PCTs, EFS-Web began accepting: =
1. text files for bio-sequence listings, mega tables, and computer program=
listings;
2. Pre-Grant publications;
3. the Petition to Accept Unintentionally Delayed Payment of Maintenance F=
ee in an Expired Patent (automatically granted via EFS-Web); and
4. PCT-EASY .zip files.
Prior to the release of EFS-Web, electronically filed utility applications=
remained below 2% of all utility applications filed. In 2006, the EFS-Web =
goal was to receive 10% of the patent applications electronically. EFS-Web =
exceeded that goal and received 14% of the patent applications electronical=
ly. Projections indicate that EFS-Web will receive 215, 000 new utility pat=
ent applications by the end of FY07. If these projections are realized, EFS=
-Web would have reached the Presidential Goal of capturing 50% of new utili=
ty applications electronically for FY07.
Continued outreach efforts have been ongoing to ensure customer education =
and familiarity with the benefits of filing electronically through EFS-Web.=
Patent Application Information Retrievel (PAIR)
The Patent Application Information Retrieval (PAIR) system was deployed in=
1998, then was upgraded in 2000 when the USPTO database was ported to Orac=
le. PAIR displays a subset of data maintained in the internal Patent Applic=
ation Location and Monitoring (PALM) system to Internet users via the USPTO=
web site. The PAIR site is securely isolated from the internal database an=
d other internal systems. There are two versions of PAIR, Public and Privat=
e. Private PAIR displays status information for all USPTO applications whet=
her they are pending, published or abandoned. Private PAIR uses the Public =
Key Infrastructure (PKI) to provide strong authentication and browser-indep=
endent session encryption when displaying pending patent application data. =
Public PAIR displays status information for published applications and iss=
ued patents. Public PAIR only had two maintenance releases during 2005, 2.2=
in April and 2.4 in May. These releases fixed known problems related to th=
e listing of documents from the Information File Wrapper (IFW) database, th=
e listing of customer correspondence addresses, display of parent continuit=
y data, registered practitioner=E2=80=99s listings, and the display of USPT=
O publications.
In 2006, substantial planning and preparation work was undertaken to suppo=
rt the business process changes and technical requirements for Electronic O=
ffice Action. This new concept, scheduled to be deployed in late 2007, will=
enable electronic delivery of outgoing correspondence to the applicant. Fu=
rther in 2006, the addition of international applications to the IFW databa=
se allowed Private PAIR users to view information on applications filed in =
RO/US.
The USPTO began providing copies of its granted patent documents on the =
USAPat CD-ROM product (see description above) to all of its international e=
xchange partners in 1994. The product is now provided on DVD-ROM. Productio=
n and distribution of USAApp, facsimile images of patent application public=
ations, began on schedule in March 2001. Copying of the entire USAPat back =
file, 1790 through 1999, onto DVD-ROM was completed in October 2002 and dis=
tributed to exchange partners.
Offices currently receiving paper copies of color plant patents will conti=
nue to receive them until plant patents are available in color on a suitabl=
e electronic media.
In a related development, the USPTO began distributing its Official Gazett=
e for Patents only in electronic format (eOG:P) on CD-ROM and on its websit=
e (see above for details) in 2002.
The USPTO provides technical training relevant to intellectual property =
law and patent and trademark practice for all attorneys and patent examiner=
s. Additionally, a variety of technical classes are available dealing with =
search techniques on the USPTO automated system and methods of using a vari=
ety of custom computer software to assist in the examination process.
<=
br>
The Office of Patent Training also operates a televideo-conference facilit=
y. This has been used to broadcast live meetings and lectures with official=
s in foreign countries.
The USPTO offers various programs to provide technical assistance to dev=
eloping countries and to countries moving to a market economy. Programs foc=
us on establishing adequate systems in these countries for the protection o=
f intellectual property rights. They also provide intellectual protection e=
nforcement training. The goal of the various programs is to provide advice =
and expertise to these countries with the desired outcome being the reducti=
on of losses resulting from piracy of U.S. Intellectual Property.
A Global Intellectual Property Academy (GIPA) was created allowing the USP=
TO to increase its training and capacity building initiatives on intellectu=
al property protection and enforcement. This Academy also encompasses the U=
SPTO Visiting Scholars Program that was created in 1985 and provides partic=
ipants from foreign countries with classroom and hands-on study of the Unit=
ed States system for protecting intellectual property. Through GIPA, USPTO =
brings foreign government officials including judges, prosecutors, police, =
customs officials, patent, trademark, and copyright officials and policy ma=
kers to the U.S. to learn, discuss, and strategize about global IPR protect=
ion and enforcement. The goals of the program are to foster a better unders=
tanding of international intellectual property obligations and norms; to ex=
pose participants to at least one method of providing TRIPs level protectio=
n for a variety of intellectual property disciplines, and to promote discus=
sion of intellectual property issues in a friendly and supportive environme=
nt.
In FY 2006, the USPTO conducted 17 GIPA programs for foreign officials at =
its headquarters. One of these included an additional four-city study tour =
for 21 judges and prosecutors from seven different countries in the Middle =
East and Northern Africa that highlighted U.S. government and private indus=
try/rights holder initiatives to combat IPR theft and infringement. The pro=
gram also provided the participants the opportunity to interact with U.S. j=
udges, prosecutors, and private rights holders to learn more about the harm=
caused by IPR infringement. Another initiative, with 19 Middle Eastern and=
Northern Africa librarians and legal advisors participating, continued its=
program by touring seven U.S. cities where participants were provided info=
rmation on how to modernize their libraries and implement library informati=
on management in their countries while balancing the needs for stronger int=
ellectual property protection and enforcement to stimulate research and edu=
cation.
The USPTO partnered with numerous international and non-governmental organ=
izations in designing and delivering technical assistance programs includin=
g the Association of South East Asian Nations (ASEAN), United Nations Econo=
mic Commission for Europe (UNECE), International Intellectual Property Inst=
itute (IIPI), World Intellectual Property Organization (WIPO), Asia-Pacific=
Economic Cooperation (APEC), Secretariat for Central American Integration =
(SIECA), Bureau for International Narcotics and Law Enforcement (INL), and =
carried out a range of capacity-building programs under the auspices of the=
Middle East Partnership Initiative (MEPI).
The USPTO conducted programs in Europe and central Asia including: UNECE I=
ntellectual Property Advisory Group consultations with Romania and Turkey; =
Commercial Law Development Program Workshop on the Implementation and Coord=
ination of IP Border Enforcement for 35 customs officials from Russia and U=
kraine; Intellectual Property Enforcement program for government officials =
in Lithuania; Intellectual Property Enforcement program for government offi=
cials from new EU member states on copyright infringement in the digital en=
vironment in Estonia; and a joint USPTO-Patent Office of the United Kingdom=
-Slovenian Intellectual Property Office workshop on IPR border and market e=
nforcement in Slovenia.
In Asia, the USPTO conducted intellectual property protection and enforcem=
ent programs that included: ASEAN-USPTO Workshop on Optical Media Regulatio=
n and Enforcement; Bangkok, Thailand; International Association for the Pro=
tection of Intellectual Property Japan IPR Enforcement Symposia on Anti-Cou=
nterfeiting , Tokyo and Fukuoka, Japan; US-Vietnam Trade Council Program in=
Ho Chi Minh City, Vietnam; Combating Internet Piracy, Taipei, Taiwan; Inte=
llectual Property Enforcement Program for 28 judges from Vietnam in Ho Chi =
Minh City, Vietnam; USPTO/ASEAN Workshop on IP Office Administration and En=
forcement for 88 government officials from 12 countries in the Asian region=
in Bangkok, Thailand; IP training program for the Thai IP Court in Bangkok=
, Thailand; IPR Enforcement Program in Phnom Penh, Cambodia; a training pro=
gram on IPR Enforcement for 29 government officials in Jakarta, Indonesia; =
International IP Enforcement training event in Delhi, India; four IP enforc=
ement training seminars throughout India; and intellectual property protect=
ion and enforcement workshops and public awareness seminars in Ulaan Baatar=
, Mongolia.
In addition, the USPTO participated in the following programs: IP Judicial=
Education Program for 36 judges from four Asian countries in Bangkok, Thai=
land; meeting and training with Government of Vietnam officials regarding a=
mending intellectual property enforcement laws in Vietnam; ASEAN Regional W=
orkshop on IP Enforcement for prosecutors in Kuala Lumpur, Malaysia; ASEAN =
Workshop on IP Enforcement on Optical Media Piracy for 85 regional governme=
nt officials in the Philippines; U.S.-Malaysia Roundtable event on IPR enfo=
rcement with government officials and business in Malaysia; and Judicial Ed=
ucation Workshop on IP Law and Civil Procedures with USAID for 70 judges in=
Vietnam.
Through partnership with MEPI, programs were provided that focused on a va=
riety of enforcement issues including: IPR Enforcement Seminar for Kuwaiti =
officials in Kuwait; Workshop on IP Enforcement for 70 enforcement official=
s in Kuwait; USPTO/MEPI Border Enforcement seminar for over 20 Moroccan Cus=
toms officials in Casablanca; and USPTO/MEPI IPR Enforcement program for co=
pyright officials in Rabat, Morocco. The USPTO also participated in the fol=
lowing programs: USPTO/MEPI regional judicial workshop for judges on IP Enf=
orcement in Dubai, United Arab Emirates; USPTO/MEPI regional workshop for p=
rosecutors on IP Enforcement in Oman; and MEPI regional customs program for=
43 government officials in Bahrain. In addition, a special program and stu=
dy tour was conducted for Middle Eastern librarians and information legal a=
dvisors on copyright protection and library management in the digital envir=
onment.
Technical assistance programs were offered in Africa including a USPTO-IIP=
I Botswana program on Making IP Work for Development.
In the Americas and Caribbean, the USPTO organized and/or participated in =
intellectual property protection and enforcement programs that included: a =
program on the Enforcement of Intellectual Property Rights at the border fo=
r customs officials in Lima, Peru; USPTO/SIECA intellectual property traini=
ng for judges and prosecutors from seven regional countries in Antigua, Gua=
temala; a conference for police and prosecutors in San Pedro Sula, Honduras=
; and a conference for Honduran diplomats in Tegucigalpa, Honduras focusing=
on intellectual property enforcement obligations under DR-CAFTA.
Several enforcement programs were conducted in the Washington D.C. area fo=
r foreign officials including: USPTO Enforcement Academies; the USPTO-WIPO =
Academy for the Judiciary on the Enforcement of Intellectual Property Right=
s ; a week-long Enforcement seminar followed by a study tour of the United =
States for 21 judges and prosecutors from countries throughout the Middle E=
ast and North Africa; and Global Intellectual Property Academy (GIPA) train=
ing and seminars on intellectual property enforcement including those for t=
he MEPI region and for DR-CAFTA countries plus Belize and Panama.
The USPTO continued technical assistance offered in China, with a focus on=
providing the provinces with capacity-building programs related to civil, =
criminal, and border enforcement. In addition to enforcement programs, the =
USPTO hosted various seminars on substantive intellectual property rights i=
ssues, including a seminar on the protection of geographic indications thro=
ugh use of a trademark system in Beijing and Xiamen and a seminar on Tradit=
ional Knowledge and Genetic Resources with the China State Intellectual Pro=
perty Office (SIPO) in Beijing and Kunming.
The USPTO hosted various delegations from China, both from Beijing and fro=
m the provinces. The visitors have included Chinese officials from Shanghai=
and Guangzhou, as well as intellectual property officials from Guangdong, =
Hubei, and Zhejiang provinces. These officials visited the USPTO to learn a=
bout our legal system, the administrative procedures followed by the USPTO,=
how IPRs are protected and enforced in the U.S., and the functions and res=
ponsibilities of the USPTO and other government intellectual property relat=
ed agencies.
The USPTO maintains the Technology Assessment and Forecast (TAF) databas=
e, which allows selected patent bibliographic information to be accessed, r=
etrieved, and analyzed in a variety of ways. Time-series information by cou=
ntry, company, and technology may be obtained and used to identify trends. =
Specific information, such as patent titles and independent inventor names =
and addresses, is also available. A variety of prepared TAF database statis=
tical reports containing calendar year data are available to the public.
Many TAF database calendar year statistical reports displaying overall tre=
nds by country, state, type of patentee (e.g., corporate, individual, or go=
vernment), and patentee organization are available free of charge while oth=
er prepared reports are available for a nominal charge. Some reports presen=
t profiles of patenting activity in selected new and active technologies su=
ch as for the Internet, Semiconductors, and Telecommunications; other repor=
ts profile regional US patenting by state and locality; still other reports=
display trends by specific patenting group (e.g., US universities, US wome=
n). Many profile reports are updated once or twice annually, and new report=
s are added as necessary. In addition, customized patent trend reports may =
be obtained for a fee, subject to available resources. Many of the TAF data=
base general statistical reports may be accessed at the USPTO Internet Web =
site; some reports are available only at the Internet Web site. These repor=
ts include several produced with support from The National Science Foundati=
on.
The USPTO closely cooperates with its exchange partners and provides det= ailed responses to requests for information regarding use of its USAPat CD/= DVD-ROM products as replacement for paper or microfilm patent documents.
See: http://www.uspto.gov
1. | Classification is=
allotting one or more classification symbols (e.g., IPC symbols) to a pate=
nt application, either before or during search and examination, which symbo=
ls are then published with the patent application.
|
2. | Preclassification=
is allotting an initial broad classification symbol (e.g., IPC class or su=
bclass, or administrative unit) to a patent application, using human or aut=
omated means for internal administrative purposes (e.g., routing an applica=
tion to the appropriate examiner). Usually preclassification is appli=
ed by the administration of an office.
|
3. | Reclassification =
is the reconsideration and usually the replacement of one or more previousl=
y allotted classification symbols to a patent document, following a revisio=
n and the entry into force of a new version of the Classification system (e=
.g., the IPC). The new symbols are available on patent databases. &= nbsp; |