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2/10/2016

Patent Quality Chat:First Inventor to File (FITF) Patent ProsecutionPatent Quality ChatWebinar Series 2016 (2 of 11)February 9, 2016

2/10/2016

To send in questions or comments during the webinar, please email:

PatentQualityEventParticipationBox@uspto.gov

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2/10/2016

Patent Quality Chat:First Inventor to File (FITF) Patent ProsecutionTom HughesSupervisor, Office of Patent Quality Assurance (OPQA), USPTO

Kathleen Kahler FondaSenior Legal Advisor, Office of Patent Legal Administration (OPLA), USPTO

2/10/2016

Agenda

Email questions to PatentQualityEventParticipationBox@uspto.gov 7

• Overview of the First Inventor to File (FITF) Provision of the America Invents Act (AIA)

• FITF Statistics

• AIA (FITF) Status and Indicator Tips for identifying and correcting errors

• Prior Art Rejections under FITF Tips for prosecuting

AIA Provisions and Effective Dates

Reexamination transition for threshold

Tax strategies are deemed within prior art

Best mode

Human organism prohibition

OED statute of limitations

Day of EnactmentSept 16, 2011

Prioritized Examination

15% transition Surcharge

10 DaysSept 26, 2011

Reserve Fund

Electronic filing incentive

Inventor’s oath/declaration

Preissuance submission

Supplemental examination

Citation of prior art in a patent file

Inter partes review

Post-grant review

Covered business method review

First-inventor-to-file

Derivation proceedings

Repeal of statutory invention registration

New patent fees

Micro entity discount

15 daysOct 1, 2011

60 DaysNov 15, 2011

12 MonthsSept 16, 2012

18 MonthsMar 2013

AIA Provisions and Effective Dates

Email questions to PatentQualityEventParticipationBox@uspto.gov

2/10/2016

First Inventor to File (FITF) STATISTICS

Pre-AIA vs. AIA: Percent of Pending Applications*

2014 2015 November 2015

Fiscal YearPre-AIA Application AIA Application

*excluding Design applications

FY 2014 FY 2016 (thru Nov)FY 2015

2/10/2016

Pre-AIA vs. AIA: Percent of Applications* Filed

2013 (Mar 16 - Sep 30) 2014 2015 2016 (through Nov)

Fiscal Year

Pre-AIA Application AIA Application

FY 2014 FY 2016(thru Nov)

FY 2015FY 2013 (Mar 16-Sep 30)

AIA First Actions Completed by Tech Center

1600 1700 2100 2400 2600 2800 2900 3600 3700

Percent AIA

TechnologyCenter

FY 2013 (Mar 16 ‐ Sep 30) FY 2014 FY 2015 FY 2016 (through Nov)

2/10/2016

Pre-AIA vs. AIA: Percent of Allowed Applications*

2013 (Mar 16 - Sep 30) 2014 2015 2016

Fiscal Year

Pre-AIA Application AIA Application

FY 2014 FY 2016(thru Nov)

FY 2015FY 2013 (Mar 16-Sep 30)

First Inventor to File (FITF) AIA STATUS and INDICATOR

2/10/2016

AIA First Inventor To File Status

• What is the AIA status of my application as shown in PAIR?

• Do I consider this AIA status to be correct?• If not, why is it wrong and how can I fix it?

AIA (FITF) Status Indicator in PAIR

Possible Values- Yes if FITF- No if not FITF- “---” (hyphen) not ready for examination

2/10/2016

AIA (FITF) Application Types

Filed on or after March 16, 2013, without a priority or benefit to an

application filed before March 16, 2013

A transition application is an application that contains benefit or

priority claims to an application filed before March 16, 2013.

A statement under 37 CFR 1.55 or 1.78 may be needed (unless provided in a

parent application).

transitionapplication

“pure” AIA FITF

application

Considering a “Wrong” AIA Status Indicator• Is my domestic benefit/foreign priority information

accurately reflected on my filing receipt?– No → why not?– Yes → next question

• What was the AIA (FITF) status of the parent application?

• Did I make a statement under 1.55 or 1.78?

2/10/2016

Correcting the AIA Status Indicator• Update my domestic benefit/foreign priority information

– Submit a properly marked up (i.e., with respect to the latest filing receipt) and signed Corrected Application Data Sheet (ADS)

– Include an accompanying petition for late claim, if necessary– Request a corrected filing receipt

• Confirm that the AIA (FITF) indicator status of the parent application was correct. If not, fix the parent application and monitor the status of the child application

• Make or rescind a statement under 37 CFR 1.55 or 1.78 as necessary

BEST PRACTICE: Monitor PAIR for change in AIA (FITF) status indicator. If no change in AIA (FITF ) status indicator, call the examiner.

First Inventor to File (FITF) PRIOR ART REJECTIONS

2/10/2016

AIA Statutory Framework

Prior Art 35 U.S.C. 102(a)(Basis for Rejection)

Exceptions35 U.S.C. 102(b)

(Not Basis for Rejection)

102(a)(1)Disclosure with Prior

Public Availability Date

102(b)(1)

(A)Grace Period Disclosure by Inventor or

Obtained from Inventor

(B)Grace Period Intervening Disclosure by

Third Party

102(a)(2)U.S. Patent,

Published U.S. Patent Application, and Published PCT

Application with Prior Filing Date

102(b)(2)

(A)Disclosure Obtained from Inventor

(B)Intervening Disclosure by Third Party

(C)Commonly Owned Disclosures

AIA Statutory Framework Chart

102(a)(1) potential prior art includes public disclosures that have a public availability date before the effective filing date of the claimed invention and are:

• patented;

• described in a printed publication;

• in public use;

• on sale; or

• otherwise available to the public.

102(a)(1) date(the public availability date of the disclosure)

effective filing date (EFD) of claimed

invention

Prior Art under 35 U.S.C. 102(a)(1)

Prior Art

2/10/2016

102(a)(2) potential prior art includes issued or published U.S. patent documents that name another inventor and have an effectively filed date before the effective filing date of the claimed invention:

• U.S. Patent;• U.S. Patent Application Publication; or• WIPO published PCT (international) application that designates the United States

Prior Art under 35 U.S.C. 102(a)(2)

102(a)(2) date(the effectively filed date of

U.S. patent document)

effective filing date (EFD) of

claimed invention

Prior Art

Establishing an Exception • The potential prior art disclosure can unambiguously

be attributed to the application’s inventor• 37 CFR 1.77(b)(6) statement in the specification• 37 CFR 1.130 declarations of attribution or prior

public disclosure• A statement of common ownership

– available for 102(a)(2) art only

2/10/2016

Declarations under 37 CFR 1.130(a)

for 102(b)(1)(A)

and 102(b)(2)(A) exceptions

Declarations under 37 CFR 1.130(b)

for 102(b)(1)(B)

and 102(b)(2)(B) exceptions

2/10/2016

Help to Ensure Proper Assessment of Your Evidentiary Declaration

RULE FOR SUBMISSION OF DECLARATION

DOCUMENT DESCRIPTION IN IFW DOC CODE

130(a) Affidavit-Rule 130(a)-AIA (FITF) ONLY AF/D.130A

130(b) Affidavit-Rule 130(b)-AIA (FITF) ONLY AF/D.130B

131(a) or 131(c) Affidavit-Rule 131-pre-AIA (FTI) ONLY AF/D.131

132 Affidavit-traversing rejectns or objectns rule 132 AF/D.132

Not Covered by a Specific Rule Affidavit-not covered under specific rule AF/D.OTHER

First Inventor to File (FITF) RESOURCES

2/10/2016

How Do I Get Help?

• AIA Contact Center 855-HELP-AIA [855-435-7242]– HELPAIA@uspto.gov

• OPLA HelpLine 571-272-7701– PatentPractice@uspto.gov

• Your examiner– TC AIA Specialists– Lead POCs on AIA FITF

SCROLL

2/10/2016

Let’s Chat aboutFirst Inventor to File (FITF) Patent ProsecutionTom HughesSupervisor, Office of Patent Quality Assurance (OPQA), USPTO

Kathleen Kahler FondaSenior Legal Advisor, Office of Patent Legal Administration (OPLA), USPTO

Thank youfor joining us today!Patent Quality ChatWebinar Series 2016 (2 of 11)February 9, 2016

2/10/2016

Next Patent Quality Chat:Tuesday, March 8thThe Latest on the Cooperative Patent Classification (CPC) System

To send in questions or comments related to the USPTO’s Enhanced Patent Quality Initiative, please email :

WorldClassPatentQuality@uspto.gov

2/10/2016

Patent Quality Chat: First Inventor to File (FITF) Patent ... · Fund Electronic filing incentive...

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