1. Worksharing Robert A. Clarke Director, Office of Patent Legal Administration United States Patent and Trademark Office

2. 8/17/20152 Topics Topics  Overview  Worksharing Initiatives  Patent Prosecution Highway (PPH)  New Route  Strategic Handling of Applications for Rapid Examination (SHARE)  TriWay  PCT Partnerships

3. 8/17/20153 Resources Resources  Information on these Programs may be found on dedicated web pages accessible from the Patents Main Page http://www.uspto.gov/main/patents.htm  Triway http://www.uspto.gov/web/patents/triwaypilot.html  New Route http://www.uspto.gov/web/patents/pph/newroute_jp o.html  PPH – individual pages for each agreement

4. 8/17/20154 Overview Overview  Programs in which the Office receives additional information that assists the examiner in determining patentability  Implementation of alternatives to traditional prosecution  About half of all applications in USPTO are filed by non-residents. Foreign residency is a strong indicator of second filings.

5. 8/17/20155 Overview Overview  Because of JPO’s request for examination system, the percentage of applications where the JPO, as the Office of First Filing (OFF), could provide its search results to the USPTO is less than 10%. 1307 Off. Gaz. Pat. Office 61 (June 13, 2006)  PPH “Provides applicants at JPO with incentive to file a request for examination at an earlier time and to obtain search & examination results early from the JPO”

6. 8/17/20156 Overview Overview  Office-to-Office Worksharing and related activities are critical to any long-term, viable solution to escalating workloads.  SHARE is designed to reduce or eliminate the timing imbalances that are preventing our offices from leveraging work done by another office to the maximum extent practicable. –Opening Remarks of Jon W. Dudas, Under Secretary of Commerce for Intellectual Property and Director of the United States Patent and Trademark Office, to the Trilateral Users Conference, November 8, 2007

7. 8/17/20157 Overview Overview  Need for Sharing Work Based on Information Sharing is Driven by Globalization of IP Distribution & Protection  Work Sharing contributes to efficiency in patent examination. –Presentation of M. Koezuka, Commissioner of the JPO to the Trilateral Users Conference, November 8, 2007 (Koezuka Presentation)

8. 8/17/20158 Duplication of Effort Duplication of Effort Presentation of Hiroki Naito, Managing Director, Japanese Intellectual Property Association, Nov. 8, 2007

9. 8/17/20159 Work Sharing Based on Information Sharing Work Sharing Based on Information Sharing Koezuka Presentation

10. 8/17/201510 Workload Distribution Workload Distribution Presentation of Ruud Peters, CEO, Intellectual Property & Standards, Koninklijke Philips Electronic N.V., to Trilateral Conference November 8, 2007

11. 8/17/201511 Workload Distribution Workload Distribution Presentation of Ruud Peters, CEO, Intellectual Property & Standards, Koninklijke Philips Electronic N.V., to Trilateral Conference November 8, 2007

12. 8/17/201512 Perceived Industry Needs  Patent protection in more countries  Predictable patent systems for efficient, timely issuance of enforceable quality patents at reasonable cost  Uniformity across geographic boundaries – “whether we can sell our products and not where we can sell” Presentation

13. 8/17/201513 USPTO Worksharing Initiatives  Patent Prosecution Highway  Full Implementation  New Pilots  New Route  SHARE  TriWay  PCT Partnerships

14. 8/17/201514 Patent Prosecution Highway  Concept  Allows an applicant to fast-track prosecution in second office when first office finds one or more claims allowable in the corresponding application  Benefits  Second office gets search and examination results from first Office before conducting its own examination. Applicant gets results faster with higher quality.

15. 8/17/201515  The USPTO and the Japan Patent Office (JPO) worked together to establish the PPH Program. –See Patent Prosecution Highway Pilot Program between the United States patent and trademark Office and the Japan Patent Office, 1307 Off. Gaz. Pat. Office 61 (June 13, 2006); and –Revised Requirements for Requesting Participation in the Patent Prosecution Highway Pilot Program in the USPTO, 1314 Off. Gaz. Pat. Office 1398 (Jan. 30, 2007). –Revised Requirements for Requesting Participation in the Patent Prosecution Highway Pilot Program in the USPTO, 1319 Off. Gaz. Pat. Office 63 (June 12, 2007). –Notice Regarding Full Implementation of Patent Prosecution Highway Program between the USPTO and the JPO, 1328 Off. Gaz. Pat. Office 44 (March 4, 2008). Patent Prosecution Highway

16. 8/17/201516  The USPTO and the United Kingdom Intellectual Property Office (UKIPO) launched a PPH Pilot Program. –See Patent Prosecution Highway Pilot Program between the United States Patent and Trademark Office and the United Kingdom Intellectual Property Office, 1322 Off. Gaz. Pat. Office 258 (Sept. 25, 2007). –Revised Requirements for Requesting Participation in the Patent Prosecution Highway Pilot Program in the USPTO (Between the USPTO and the UKIPO), 1327 Off. Gaz. Pat. Office 54 (Feb. 5, 2008).  This pilot program has been extended “until further notice” –Extension of the Patent Prosecution Highway Pilot Program Between the USPTO and the UKIPO, 1336 Off. Gaz. Pat. Office 149 (Nov. 18, 2008). Patent Prosecution Highway

17. 8/17/201517  The USPTO and the Canadian Intellectual Property Office (CIPO) launched a PPH Pilot Program. –See Patent Prosecution Highway Pilot Program between the United States Patent and Trademark Office and the Canadian Intellectual Property Office, 1327 Off. Gaz. Pat. Office 45 (Feb. 5, 2008). –Pilot Extended until January 28, 2011. See 1338 OG 99 (Jan. 13, 2009).  The USPTO and the Korean Intellectual Property Office (KIPO) have fully implemented PPH Program. –See Patent Prosecution Highway Pilot Program between the United States Patent and Trademark Office and the Korean Intellectual Property Office, 1327 Off. Gaz. Pat. Office 49 (Feb. 5, 2008). –See Notice Regarding Full Implementation of Patent Prosecution Highway Program between the USPTO and the KIPO, (signed Jan. 28, 2009). Patent Prosecution Highway

18. 8/17/201518  The USPTO and the IP Australia launched a PPH Pilot Program. –See Patent Prosecution Highway Pilot Program between the United States Patent and Trademark Office and the IP Australia, 1329 Off. Gaz. Pat. Office 165 (April 22, 2008).  This pilot commenced April 14, 2008 and is scheduled to expire April 14, 2009. Patent Prosecution Highway

19. 8/17/201519  The USPTO and the European Patent Office (EPO) launched a PPH Pilot Program. –See Patent Prosecution Highway Pilot Program between the United States Patent and Trademark Office and the European Patent Office, 1355 Off. Gaz. Pat. Office 196 (Oct. 21, 2008). –Revised Requirements for Requesting Participation in the Patent Prosecution Highway Pilot Program in the USPTO (Between the USPTO and the EPO), 1338 Off. Gaz. Pat. Office 48 (Jan. 6, 2009).  This pilot commenced Sep. 29, 2008 and is scheduled to expire Sep. 29, 2009. Patent Prosecution Highway

20. 8/17/201520  The USPTO and the Danish Patent and Trademark Office (DKPO) launched a PPH Pilot Program. –See Patent Prosecution Highway Pilot Program between the United States Patent and Trademark Office and the Danish Patent and Trademark Office, 1336 Off. Gaz. Pat. Office 150 (Nov. 18, 2008).  This pilot commenced Nov. 3, 2008 and is scheduled to expire Nov. 3, 2009. Patent Prosecution Highway

21. 8/17/201521  The USPTO and the Intellectual Property Office of Singapore launched a PPH Pilot Program. –See Patent Prosecution Highway Pilot Program between the United States Patent and Trademark Office and the Intellectual Property Office of Singapore, (signed Jan. 29, 2009) available at: –http://www.uspto.gov/web/offices/pac/dapp/opla /preognotice/sing_pph_20090129.pdf  This pilot commenced Feb. 2, 2008 and is scheduled to expire Feb. 2, 2009. Patent Prosecution Highway

22. 8/17/201522  Applicants whose claim(s) is determined to be patentable in the office of first filing (OFF) may request that the corresponding application filed in the office of second filing (OSF) be advanced out of turn for examination, provided certain conditions are satisfied.  The OSF gives priority to the examination of the corresponding application.  The corresponding application receives a complete examination in the OSF because of differences in the patent laws, including what qualifies as prior art (101, 112, 102(e), claim interpretation, etc.). Patent Prosecution Highway

23. 8/17/201523  The office of second filing would be able to exploit the search and examination results of the office of first filing.  Applicant may be able to obtain a patent on the corresponding application filed in the office of second filing faster.  If the USPTO is the OFF and the U.S. application contains claims that are determined to be allowable, applicants may request to have the corresponding application filed in the OSF or advanced out of turn for examination in the OSF. Patent Prosecution Highway

24. 8/17/201524  If the JPO, UKIPO, CIPO, KIPO, DKPTO, IPAU, IPOS or is the OFF and the application contains claims that are determined to be allowable, applicant may petition to make the U.S. application special under the PPH program.  The programs maintain consistency to the extent possible with each other to avoid creating burdens on applicants and Offices, an to ensure maximum worksharing potential. Patent Prosecution Highway

25. 8/17/201525  The procedures and requirements for filing a request for participation in the fully implemented JPO PPH program are available from: –The JPO web site at: http://www.jpo.go.jp/  The procedures and requirements for filing a request for participation in the UKIPO, CIPO, or KIPO PPH programs are available from: –The UKIPO web site at: http://www.ipo.gov.uk/home.htm –The CIPO web site at: http://www.cipo.ic.gc.ch/pph/ –The KIPO web site at: http://www.kipo.go.kr/kpo2/user.tdf?a=user.english.html.HtmlApp&c=6062 2&catmenu=ek60600 Patent Prosecution Highway

26. 8/17/201526 Patent Prosecution Highway Pilot Program - Requirements Requirements:  The U.S. utility application filed under 35 U.S.C. 111(a) must claim foreign priority to the OFF application under 35 U.S.C. 119(a)-(d) and §1.55 or through a PCT.  The OFF application must contain at least one claim that was determined by the OFF to be allowable.  All the claims in the U.S. application (including any subsequently amended or added claims) must sufficiently correspond to the allowable claims in the OFF application. –The claims must have the same or similar scope. –They could have differences due to translations and claim format requirements.

27. 8/17/201527 Patent Prosecution Highway Pilot Program – Requirements - Requirements (continued) - Applicant must file:  A request for participation in the PPH program, and a petition to make special accompanied by the petition fee under § 1.17(h) (see PTO/SB/20xx) prior to the first Office action on the merits;  A copy of all OFF Office actions (excluding “Decision to Grant a Patent”). If not in English, an English translation thereof, and a statement that the English translation is accurate;  An information disclosure statement (IDS) under §§ 1.97 and 1.98 listing the documents cited by the OFF examiner; and  A copy of the allowable claims in the OFF application. If not in English, an English translation thereof and a statement that the English translation is accurate.

28. 8/17/201528 Patent Prosecution Highway Pilot Program - Requirements Requirements (continued):  Applicant must submit a claims correspondence table in English to indicate how all of the claims in the U.S. application correspond to the allowable claims in the OFF application (see PTO/SB/20xx). –Updated claims correspondence table may be required for an amendment to the claims. –More information regarding the PPH program is available at http://www.uspto.gov/web/patents/pph/pph_index.html  Inquiries on the pilot program should be directed to Magdalen Greenlief at 571-272-8800 or via e-mail addressed to magdalen.greenlief@uspto.gov

29. 8/17/201529 Patent Prosecution Highway Full Implementation Differences Patent Prosecution Highway Full Implementation Differences  Papers must be filed through EFS-Web.  Only a copy of the JPO Office action just prior to the “Decision to Grant a Patent” (e.g., the latest “Notification of Reasons for Refusal”) along with an English translation thereof, and a statement that the English translation is accurate need be submitted.  If there was no “Refusal” then applicant should indicate on the request form that no JPO action is submitted since the JPO application was allowed on first action.

30. 8/17/201530  Outcome  Accelerated examination in OSF  Faster patentability determination in OSF  Work-sharing benefit  All PPH submissions must be filed via EFS- Web  Number of Countries implementing Bilateral PPH agreements between their Intellectual Property Protection Organizations continues to grow. Patent Prosecution Highway

31. 8/17/201531  Empirical Observations by US Examiners –Claim sets narrower than in a typical US case –Fewer claims than in a typical US case –Focused US search on non-Japanese language art  Anecdotal Feedback of Advantages –Narrower field of search –Fewer claims = faster processing –Better base of prior art (from which to start)  But there are Issues –Search History documentation –Reasons for Allowance would be helpful Patent Prosecution Highway

32. 8/17/201532 Patent Prosecution Highway Program Data and Status PPH Partner TypeStart DateEnd DateRequests Received (12/31/08) JPOpilot03 Jul. 200603 Jan. 2008274 JPOFull Implementation04 Jan. 2008n/a520 UKIPOpilot04 Sept. 2007Extended, as pilot, until further notice 50 KIPOpilot28 Jan. 200828 Jan. 2009125 KIPOFull Implementation28 Jan. 2009n/a CIPOpilot28 Jan. 2008Extended, as pilot, until 28 Jan. 2011 6 IPAUpilot14 Apr. 200814 Apr. 20094 EPOpilot29 Sept. 200829 Sept. 20091 DKPTOpilot03 Nov. 200803 Nov. 20090 IPOSPilot02 Feb. 200902 Feb. 2010n/a

33. 8/17/201533  As of 12/31/08, the Office has received a total of 980 requests. – TC 1600 – 41 – TC 1700 – 132 – TC 2100 – 171 – TC 2400 – 17 – TC 2600 – 316 – TC 2800 – 171 – TC 3600 – 69 – TC 3700 – 63 Patent Prosecution Highway Program Data

34. 8/17/201534  Overall allowance rate is 94% (more than double the patent examining corps overall allowance rate).  Average actions per disposal is about 1.7.  Average period from grant of request to first action is about 3 months if the application is ready for examination when request is granted. Patent Prosecution Highway Program Data

35. 8/17/201535 New Route  Concept  Similar to PCT, but with less administrative overhead and costs  Filing in one member office is deemed a filing in all member offices  30-month processing and 18 month publication by first office

36. 8/17/201536 New Route  Benefits  All designated second offices get search and examination results from first Office prior to “national stage” examination  Applicants save money, get higher quality patents  New Route Pilot Project between the United States Patent and Trademark Office and the Japan Patent Office 1332 Off. Gaz. Pat Office 422 (July 29, 2008) (signed 24 Jan. 2008) http://www.uspto.gov/web/offices/pac/dapp/opla/preognotice/new_rou te_pilot_012008.pdf

37. New Route – USPTO & JPO OFF OSF a) Using domestic priority b) Using PCT priority Domestic Application First Office Action 0-26 months from priority date Only 1 Priority PCT ISR, WOSA International Publication Entry into National Phase First Office Action Filing Date 12 months18 months30 months OFF OSF Entering National Phase First Office Action 0-28 months from priority date PCT ISR, WOSA International Publication Entry into National Phase First Office Action Filing Date 18 months30 months

38. 8/17/201538 New Route New Route  Information regarding the New Route pilot project is available at http://www.uspto.gov/web/patents/pph/newroute_jp o.html  Information regarding the New Route pilot project is also available from the JPO website at http://www.jpo.go/jp/torikumi/t_torikumo/japan_usa _newroute_e.htm (English).

39. 8/17/201539 Strategic Handling of Applications for Rapid Examination - SHARE  SHARE is a proposal to implement a policy of prioritizing search and examination of first filings, with the stated goal of leveraging the work of the Office of First Filing (OFF) to enhance the throughput and quality at the Office of Second Filing (OSF).  The SHARE proposal would prioritize examination of applications by giving precedence in examination of applications filed with the OFF.  SHARE has a goal of leveraging worksharing to the maximum extent possible consistent with appropriate examination under each Office’s statutory framework.

40. 8/17/201540 TriWay TriWay  The USPTO, the EPO, and the JPO launched a Triway Pilot Program. –See “Triway” Pilot Program among the United States Patent and Trademark Office, the European Patent Office, and the Japan Patent Office, 1333 Off. Gaz. Pat. Office 50 (Aug. 5, 2008).  The program commenced July 28, 2008, and is scheduled to run through July 28, 2009 or the acceptance of 100 requests submitted to the USPTO as OFF, whichever occurs first.

41. 8/17/201541 TriWay TriWay  Concept  USPTO initiative to leverage the expertise of each Office in searching its own documentation and/or documentation in its native language (e.g., Japanese documentation searched by JPO)  Each Office searches corresponding application and provides results to other offices for use in examination  Benefits  Higher quality search and examination

42. 8/17/201542 TriWay TriWay  Information regarding the Triway pilot program is also available: – from the EPO Web site at http://www.epo.org/patents/law/legal- texts/InformationEPO/archiveinfo/20080716.html –from the JPO Web site at http://www.jpo.go.jp/torikumi_e/t_torikumi_e/triway_e.htm

43. 8/17/201543 PCT Partnership PCT Partnership  Concept  Outsourcing PCT Chapter I by contract  Designating alternative ISAs for US applicants filing in RO/US or RO/IB – AU, EP & KR  Benefit  Frees up USPTO examining resources by having other entities do PCT Chapter I work  Reduces Pendency of National Applications

44. 8/17/2015 44 Outsourcing of Chapter I PCTs Outsourcing of Chapter I PCTs  Approximately 95% of USPTO Chapter I work is outsourced  Work is outsourced via two contracts  Two private contractors  All outsourced work is reviewed by USPTO personnel prior to mailing

45. 8/17/201545 Choice of ISA for International Applications filed in RO/US ISA/USISA/EPISA/KRISA/AU* FY200755%40%5%N/A FY200843%41%17%N/A Oct 200838.2%38.4%23.4%N/A Nov 200837.7%38.4%23.7%0.2% Dec 200833.6%43.2%23.1%0.1% Jan 200935.5%37.6%26.9%0% Search Fee (as of 01 Feb 2009) : ISA/US:$2080, ISA/AU:$1091, ISA/EP:$2410, ISA/KR:$609 *ISA/AU available as of 01 Nov 2008

46. Contact Information Robert Clarke robert.clarke@uspto.gov (571) 272-7735

47. 8/17/201547 Thank You!