Interview Practice - uspto.gov USPTO BM... · outstanding issues in an application and leads to a mutual ... 36.0% 2007/10 2008/04 2008 ... how to check for written

Interview Practice

Anita Coupe April 2, 2019

Objectives

We will cover: Interview policy guidelines Trends and examiner training recap AIR form Interview experience survey Internet authorization Resources

Business Methods Partnership Meeting 3

Interview policy guidelines


Interview policy guidelines

Interviews are an effective tool to resolve issues and shorten prosecution. An interview should be granted when the nature of the case is such that the interview serves to develop and clarify outstanding issues in an application and leads to a mutual understanding between the examiner and the applicant, and thereby advance the prosecution of the application. See MPEP 713.


Trends and examiner training recap


77,429

98,684

136,875 138,073

165,741

194,607

220,435

241,707254,618 258,794

260,815

0

50,000

100,000

150,000

200,000

250,000

Fiscal Year

Hour

s

2008 2009 2010 2011 2012 2013 2014 2015 2016 2017 2018

Interview time patent corpsFY08 FY18


Chart1

Fiscal YearFiscal YearFiscal YearFiscal YearFiscal YearFiscal YearFiscal YearFiscal YearFiscal YearFiscal YearFiscal Year

2008

2009

2010

2011

2012

2013

2014

2015

2016

2017

2018

Hours

77429

98683.75

136875

138073

165740.5

194606.5

220434.5

241707.25

254617.75

258794.25

260815

Backlog V1.1

200620062006

200720072007

200820082008

200920092009

201020102010

201120112011

201220122012

201320132013

201420142014

No Additional Funding Injection

$200M Funding Injection

Without Spending Cuts

End of Year Application Backlog

674333

674333

674333

737288

737288

737288

750596

750596

750596

752185

752185

741008

781397

748857

681585

815191

730003

578430

844658

700282

447423

875037

660180

316059

898798

609554

199260

Backlog V1

200620062006

200720072007

200820082008

200920092009

201020102010

201120112011

201220122012

201320132013

201420142014

Hiring level FY 10/11 - No Hires, No Overtime; FY 12/15 - 1,200 examiners, Full Overtime; FY 10/15 PCT not Funded

Hiring level FY 10/11 - 600 Examiners; FY 12/15 - 1,200 Examiners; FY10/15 Full Overtime, PCT Not Funded

Hiring level FY 09/12 - 1,200 Examiners; FY13 - 900 Examiners; FY14/15 - 600 Examiners; FY09/15 Full Overtime, PCT Fully Funded


674333

674333

674333

737288

737288

737288

750596

750596

750596

752185

752185

741008

781397

748857

681585

815191

730003

578430

844658

700282

447423

875037

660180

316059

898798

609554

199260

Data

Fiscal YearHrs Per Ex

20087742914.9592349304

200998683.7516.748769518

201013687522.4164755978

201113807321.1185377791

2012165740.524.362854623

2013194606.525.3658107404

2014220434.527.3254617578

2015241707.2528.4094087917

2016254617.7530.7212536197

2017258794.2531.2440239044

201826081532.0963573714

Backlog V2

200620062006

200720072007

200820082008

200920092009

201020102010

201120112011

201220122012

201320132013

201420142014

F/A -Total -

F/A -Total -

F/A -Total -

F/A -Total -

F/A -Total -

F/A -Total -

F/A -Total -

No Additional Funding Infusion

$200M Funding Infusion



674333

674333

674333

737288

737288

737288

750596

750596

750596

752185

741400

741008

781397

728600

681585

815191

691100

578430

844658

632500

447423

875037

559400

316059

898798

474000

199260

10

12

14

16

18

20

22

24

26

28

30

32

34

2008 2009 2010 2011 2012 2013 2014 2015 2016 2017 2018

Hou

rs P

er E

xam

iner

Fiscal Year

Interview time per examiner patent corps FY08 FY18


Chart1

2008

2009

2010

2011

2012

2013

2014

2015

2016

2017

2018

Hrs Per Ex.

Fiscal Year

Hours Per Examiner

14.9592349304

16.748769518

22.4164755978

21.1185377791

24.362854623

25.3658107404

27.3254617578

28.4094087917

30.7212536197

31.2440239044

32.0963573714

Backlog V1.1

200620062006

200720072007

200820082008

200920092009

201020102010

201120112011

201220122012

201320132013

201420142014





674333

674333

674333

737288

737288

737288

750596

750596

750596

752185

752185

741008

781397

748857

681585

815191

730003

578430

844658

700282

447423

875037

660180

316059

898798

609554

199260

Backlog V1

200620062006

200720072007

200820082008

200920092009

201020102010

201120112011

201220122012

201320132013

201420142014





674333

674333

674333

737288

737288

737288

750596

750596

750596

752185

752185

741008

781397

748857

681585

815191

730003

578430

844658

700282

447423

875037

660180

316059

898798

609554

199260

Data

Fiscal YearHrs Per Ex

20087742914.9592349304

200998683.7516.748769518

201013687522.4164755978

201113807321.1185377791

2012165740.524.362854623

2013194606.525.3658107404

2014220434.527.3254617578

2015241707.2528.4094087917

2016254617.7530.7212536197

2017258794.2531.2440239044

201826081532.0963573714

Backlog V2

200620062006

200720072007

200820082008

200920092009

201020102010

201120112011

201220122012

201320132013

201420142014

F/A -Total -

F/A -Total -

F/A -Total -

F/A -Total -

F/A -Total -

F/A -Total -

F/A -Total -





674333

674333

674333

737288

737288

737288

750596

750596

750596

752185

741400

741008

781397

728600

681585

815191

691100

578430

844658

632500

447423

875037

559400

316059

898798

474000

199260

Percent of serial disposals having at least one interview by month FY08 FY18


12.0%

14.0%

16.0%

18.0%

20.0%

22.0%

24.0%

26.0%

28.0%

30.0%

32.0%

34.0%

36.0%

2007

/10

2008

/04

2008

/10

2009

/04

2009

/10

2010

/04

2010

/10

2011

/04

2011

/10

2012

/04

2012

/10

2013

/04

2013

/10

2014

/04

2014

/10

2015

/04

2015

/10

2016

/04

2016

/10

2017

/04

2017

/10

2018

/04

Perc

ent

% of Serial Disposals Having at Least 1 Interview

33.7% of Serial Disposals completed in September 2018 had at least one interview.

Chart1

2007/10

2007/11

2007/12

2008/01

2008/02

2008/03

2008/04

2008/05

2008/06

2008/07

2008/08

2008/09

2008/10

2008/11

2008/12

2009/01

2009/02

2009/03

2009/04

2009/05

2009/06

2009/07

2009/08

2009/09

2009/10

2009/11

2009/12

2010/01

2010/02

2010/03

2010/04

2010/05

2010/06

2010/07

2010/08

2010/09

2010/10

2010/11

2010/12

2011/01

2011/02

2011/03

2011/04

2011/05

2011/06

2011/07

2011/08

2011/09

2011/10

2011/11

2011/12

2012/01

2012/02

2012/03

2012/04

2012/05

2012/06

2012/07

2012/08

2012/09

2012/10

2012/11

2012/12

2013/01

2013/02

2013/03

2013/04

2013/05

2013/06

2013/07

2013/08

2013/09

2013/10

2013/11

2013/12

2014/01

2014/02

2014/03

2014/04

2014/05

2014/06

2014/07

2014/08

2014/09

2014/10

2014/11

2014/12

2015/01

2015/02

2015/03

2015/04

2015/05

2015/06

2015/07

2015/08

2015/09

2015/10

2015/11

2015/12

2016/01

2016/02

2016/03

2016/04

2016/05

2016/06

2016/07

2016/08

2016/09

2016/10

2016/11

2016/12

2017/01

2017/02

2017/03

2017/04

2017/05

2017/06

2017/07

2017/08

2017/09

2017/10

2017/11

2017/12

2018/01

2018/02

2018/03

2018/04

2018/05

2018/06

2018/07

2018/08

2018/09

% of Serial Disposals Having at Least 1 Interview

Percent

0.1823469904

0.1910104012

0.1963103905

0.1852253473

0.1717828603

0.1772494044

0.1736493272

0.171282867

0.1740297077

0.1783545244

0.1735175533

0.1792040189

0.1717005233

0.1794057609

0.1739634561

0.1762310255

0.1844883177

0.1870657402

0.1805288932

0.1852533824

0.1898394826

0.1890827459

0.1899032454

0.2004763795

0.1958777491

0.2025656867

0.2088500564

0.1915427279

0.2114760529

0.2215957983

0.2307118764

0.2388159047

0.2449697604

0.2369437389

0.2481275039

0.2362353932

0.2368063501

0.2459453524

0.2301041179

0.2204221726

0.2308016433

0.2286580232

0.2185706634

0.2275843617

0.2190001779

0.2212262875

0.2411526046

0.2374287925

0.2358797096

0.2455215367

0.2328524863

0.2383827461

0.2406108277

0.2437919519

0.2387628734

0.2405983966

0.243228584

0.2535806461

0.2539498291

0.2525057826

0.263920288

0.2497007183

0.2540486836

0.2539144793

0.2544117183

0.243837068

0.2522255984

0.2400689701

0.2475110271

0.2647824161

0.2698605584

0.2684837952

0.2836972984

0.2763213024

0.2879008368

0.2698412698

0.2791514919

0.2772019208

0.293381595

0.2812137559

0.2889560424

0.3041219173

0.3139000817

0.3055713071

0.3055757711

0.3057080794

0.2945447056

0.2892754782

0.3050422426

0.3059328595

0.2973010114

0.2865960414

0.3060318893

0.3040485951

0.3110797906

0.3121530065

0.3046829022

0.3093257973

0.3116289696

0.3007065979

0.3133448375

0.3100208768

0.3068530876

0.3103519431

0.314955123

0.3123784008

0.3208115804

0.3224026883

0.3030032709

0.3283425076

0.3169127232

0.3275462097

0.3234431504

0.3190974596

0.3205337764

0.3269496634

0.3369194807

0.3313797974

0.3364198956

0.3326307394

0.3358239278

0.3310505568

0.3260411755

0.3286770544

0.3376386567

0.3265086816

0.3321740076

0.3413274905

0.33943483

0.3384972692

0.3405894652

0.3373287671

Backlog V1.1

200620062006

200720072007

200820082008

200920092009

201020102010

201120112011

201220122012

201320132013

201420142014





674333

674333

674333

737288

737288

737288

750596

750596

750596

752185

752185

741008

781397

748857

681585

815191

730003

578430

844658

700282

447423

875037

660180

316059

898798

609554

199260

Backlog V1

200620062006

200720072007

200820082008

200920092009

201020102010

201120112011

201220122012

201320132013

201420142014





674333

674333

674333

737288

737288

737288

750596

750596

750596

752185

752185

741008

781397

748857

681585

815191

730003

578430

844658

700282

447423

875037

660180

316059

898798

609554

199260

Data

YYYY/MMUPR Terminal Disposals with InterviewsUPR Terminal Disposals% of Serial Disposals Having at Least 1 Interview0.00.00.00.00.00.0

2007/1015816288418.2%

2007/1113460257119.1%19.018.218.017.617.016.0

2007/1212088237319.6%

2008/0114755273318.5%

2008/0218145311717.2%

2008/0321828386917.7%

2008/0424895432317.4%

2008/0521374366117.1%

2008/0620870363217.4%

2008/0722887408217.8%

2008/0820338352917.4%

2008/0923091413817.9%

2008/1024269416717.2%

2008/1122045395517.9%

2008/1225011435117.4%

2009/0121608380817.6%

2009/0222641417718.4%

2009/0329936560018.7%

2009/0425525460818.1%

2009/0524982462818.5%

2009/0629841566519.0%

2009/0725391480118.9%

2009/0828009531919.0%

2009/0930228606020.0%

2009/1028237553119.6%

2009/1127517557420.3%

2009/1231932666920.9%

2010/0128307542219.2%

2010/0228041593021.1%

2010/0333701746822.2%

2010/0428165649823.1%

2010/0528545681723.9%

2010/0634392842524.5%

2010/0728741681023.7%

2010/0834446854724.8%

2010/0928497673223.6%

2010/1027968662323.7%

2010/1131877784024.6%

2010/1227757638723.0%

2011/0129135642222.0%

2011/0228479657323.1%

2011/0335634814822.9%

2011/0426138571321.9%

2011/0529901680522.8%

2011/0628105615521.9%

2011/0725883572622.1%

2011/0833767814324.1%

2011/0928438675223.7%

2011/1028930682423.6%

2011/1132433796324.6%

2011/1228838671523.3%

2012/0133291793623.8%

2012/0228224679124.1%

2012/0330243737324.4%

2012/0431169744223.9%

2012/0536297873324.1%

2012/0629499717524.3%

2012/0735259894125.4%

2012/0831014787625.4%

2012/0931128786025.3%

2012/1035829945626.4%

2012/1130072750925.0%

2012/1230195767125.4%

2013/0135126891925.4%

2013/0231677805925.4%

2013/0332087782424.4%

2013/0437518946325.2%

2013/0530158724024.0%

2013/0631740785624.8%

2013/0736124956526.5%

2013/0832917888327.0%

2013/0932799880626.8%

2013/10409381161428.4%

2013/1133414923327.6%

2013/12384821107928.8%

2014/0129484795627.0%

2014/0231302873827.9%

2014/0334152946727.7%

2014/04417171223929.3%

2014/05370751042628.1%

2014/06357391032728.9%

2014/07402241223330.4%

2014/08354891114031.4%

2014/09423241293330.6%

2014/10357261091730.6%

2014/11331461013330.6%

2014/12388431144129.5%

2015/0130006868028.9%

2015/02334971021830.5%

2015/03426271304130.6%

2015/04363841081729.7%

2015/0533699965828.7%

2015/06398881220730.6%

2015/07334191016130.4%

2015/08347661081531.1%

2015/09425081326931.2%

2015/10356831087230.5%

2015/11371551149330.9%

2015/12393931227631.2%

2016/01335411008630.1%

2016/02347701089531.3%

2016/03431101336531.0%

2016/04377641158830.7%

2016/05436151353631.0%

2016/06343161080831.5%

2016/0731353979431.2%

2016/08421401351932.1%

2016/09357101151332.2%

2016/10369931120930.3%

2016/11408751342132.8%

2016/12329871045431.7%

2017/01400891313132.8%

2017/02351191135932.3%

2017/03380261213431.9%

2017/04373191196232.1%

2017/05441231442632.7%

2017/06355071196333.7%

2017/07332731102633.1%

2017/08433061456933.6%

2017/09351081167833.3%

2017/10443001487733.6%

2017/11347531150533.1%

2017/12318151037332.6%

2018/01403041324732.9%

2018/02329051111033.8%

2018/03353621154632.7%

2018/04368031222533.2%

2018/05419891433234.1%

2018/06330521121933.9%

2018/07391821326333.8%

2018/08349131189134.1%

2018/09297841004733.7%

Backlog V2

200620062006

200720072007

200820082008

200920092009

201020102010

201120112011

201220122012

201320132013

201420142014

F/A -Total -

F/A -Total -

F/A -Total -

F/A -Total -

F/A -Total -

F/A -Total -

F/A -Total -





674333

674333

674333

737288

737288

737288

750596

750596

750596

752185

741400

741008

781397

728600

681585

815191

691100

578430

844658

632500

447423

875037

559400

316059

898798

474000

199260

Interview practice training recap FY12-FY18


Fiscal Year Topic

FY18 Interview refresher materials covering AIR form, internet authorization, and webcam / video interview etiquette

FY17 Examiner interview practice training covering interview issue resolution strategies and styles

FY16 Covered FAQs including when to place an email in the file record; how to check for written authorization; entering papers marked "do not enter; as well as interview best practices

FY15 Covered interview policy guidelines and principles, survey results, oral/written authorization, AIR form, interview preparation and recordation, WebEx refresher, and Public Interview Room recap

FY14

Three-part training series on effective interview practice consisting of internal employee interview survey, training material discussion, and WebEx certification with Home SPE. Training material discussion covered WebEx refresher, Public Interview Room overview, and recap on Interview Practice Guidelines and Collaboration Tools

FY13 Covered Interview policy guidelines and introduced Examiner Interview Resource Website

FY12Effective Interview Practice discusses the use of an agenda, preparing for the interview, properly recording the interview to clarify the record, and steps that can be taken to properly follow through after the interview

AIR form


What is the AIR form?

The Automated Interview Request (AIR) form is an alternative electronic way for applicant to initially request an interview with examiner.

The AIR form itself is just a mechanism to initiate the conversation to schedule an interview, similar to applicant leaving a voicemail. Just like voicemail, the examiner is expected to follow up on the request within one (1) business day.


Where is the AIR form located?


The AIR form is found on our external USPTO website at:

www.uspto.gov/interviewpractice

Note: Applicant is also made aware of AIR form request in the conclusion form paragraph of an Office Action

http://www.uspto.gov/interviewpractice

Is applicant using the AIR form?


Yes, as of December 2018 we have over 72,600+ AIR form requests.

0500

100015002000250030003500

# A

IR R

EQU

ESTS

MONTH

Examiner will receive an email confirmation which includes the following information:

Application number and applicant contact information Proposes date(s) / time(s) for interview and preferred type of interview

Note: Examiner is not limited to applicants proposed date(s)/time(s)

Reminder to contact applicant within one (1) business day NEW - Clarifies next steps for examiner including applicants written

authorization selection NEW - Clarifies whether examiner can call and/or email applicant Reminder to contact SPE if interview is denied Reminder to complete Interview Experience Survey Provides QRG and contact info for further assistance if needed

Examiner AIR email confirmation


Applicant receives a similar email that contains the following information worth noting:

Confirmation that AIR form was submitted NEW - Clarifies applicant next step(s) for submitting written

authorization if needed NEW - Clarifies that written authorization cannot be accepted via email NEW - Clarifies that the examiner still has to grant / deny interview in

accordance with USPTO interview policy, practice, and procedure Reminder to complete Interview Experience Survey Encourages applicant to contact examiner within two (2) business days

if no communication was received from examiner

Applicant AIR email confirmation


Interview experience survey

USPTO has launched an Interview Experience Survey in response to applicants desire to share feedback on the interview experience.

The survey is given to applicants who used the AIR form to schedule their interview and to the examiner of record.

Feedback from both applicants and examiners are evaluated to determine future improvements.


Sample email to applicant

Link to survey

Questions? Email us.

Your name

Application Number


Applicants survey

Reservation / Scheduling

Overall Satisfaction


Applicants survey

Overall Satisfaction

Preparedness


Applicants survey

Effectiveness


Examiners survey

Similar to applicants survey Focus remains on:

Reservation Overall satisfaction Preparedness Effectiveness


Overall results FY18

Most satisfied 90% or higher Least satisfied

Applicant Examiner professionalism Level of preparation Adequate time

Discuss ways to overcome the rejection (75%)

Reach a resolution (50%)

Examiner Applicant professionalism Level of preparation Effectively explaining the

inventive concept Adequate time

Applicant explanation ofdifference with prior art (86%)

Discuss ways to overcome the rejection (84%)


Improvements made in 20181

2

AIR form modifications Time of request shortened from 7 to 5 days. Applicants can enter multiple dates (2 alternatives). Topics for Discussion box added. Applicants Registration number added. Application number restricted to include initial examination; re-exams are excluded

E-mail notifications Instructions on internet authorization added. Docket number included in e-mail to applicant.

3 TC interview specialists Set up low-satisfaction alert to intervene and resolve issues. Logging low-satisfaction alerts for follow-up.

4 Education and outreach Interviewer Practice Refresher Training to all examiners (Nov 2018) timing/protocol for responding to

AIR requests, clearing interview request dot in dashboard and video conference etiquette. Applicant outreach discussed survey at AIPLA, Directors Spring Videoconference, IPO annual meeting;

Commissioner discussed survey results during outreach activities.


Internet authorization


Internet authorization

Internet authorization is required for examiners to communicate via email with the applicant. Without a written authorization by applicant in place, the USPTO will not respond via internet email to any internet correspondence which contains information subject to the confidentiality requirement as set forth in 35 U.S.C. 122.


Sample authorization

Recognizing that Internet communications are not secure, I hereby authorize the USPTO to communicate with the undersigned and practitioners in accordance with 37 CFR 1.33 and 37 CFR 1.34 concerning any subject matter of this application by video conferencing, instant messaging, or electronic mail. I understand that a copy of these communications will be made of record in the application file.


Ways to properly submit Internet authorization EFS web* US Postal Service USPTO Customer Service Window Central fax One-Time oral authorization

*Recommended form


Oral/Internet authorization for video conferencing Change to Internet Usage Policy to permit oral authorization for video conferencing tools

The USPTO updated its policy to make it easier for patent applicants to authorize the use of video conferencing tools to conduct examiner interviews. The policy change supersedes-in-part MPEP 502.03 with respect to the requirement for applicant to file a written authorization before video conferencing tools can be used to conduct an examiner interview via the Internet.

Applicant or applicants representative(s) may verbally request and authorize a video conference interview in the same way they would request a telephone or in-person interview with the examiner, instead of submitting a written request.


Oral/Internet authorization for video conferencing Change to internet usage policy to permit oral authorization for video conferencing tools

The change is intended to make the interview process more efficient but it is important that the details of the authorization be noted on the record.

This authorization is limited to the video conference interview being arranged and conducted and does not extend to any other internet or e-mail communications regarding the application.


Resources


Contact a TC 3600 interview specialist

Interview specialists are subject matter experts in each Technology Center (TC) on interview practice and policy to assist both applicants and examiners in interviews, as needed, including facilitating interviews by assisting with technical issues which may arise (e.g. WebEx problems, public interview room setup) or helping to ensure that the interview goes smoothly.

Anita Coupe [email protected] Matthew Gart [email protected] Angela Ortiz [email protected] Sarah Monfeldt [email protected]


mailto:[email protected]:[email protected]:[email protected]:[email protected]

WebEx training

Applicants who are interested in more detailed WebEx training may request a one-on-one WebEx training session with an interview specialist. Please email your request to [email protected], with some possible dates and times, and we will accommodate your request. Please give at least one week notice.


mailto:[email protected]

Questions?


Slide Number 1Interview PracticeObjectivesInterview policy guidelinesInterview policy guidelinesTrends and examiner training recapInterview time patent corpsFY08 FY18Interview time per examiner patent corps FY08 FY18Percent of serial disposals having at least one interview by month FY08 FY18 Interview practice training recap FY12-FY18AIR formWhat is the AIR form?Where is the AIR form located?Is applicant using the AIR form?Examiner AIR email confirmationApplicant AIR email confirmationInterview experience surveySample email to applicantApplicants surveyApplicants surveyApplicants surveyExaminers surveyOverall results FY18Improvements made in 2018Internet authorizationInternet authorizationSample authorizationWays to properly submit Internet authorizationOral/Internet authorization for video conferencing Oral/Internet authorization for video conferencing ResourcesContact a TC 3600 interview specialistWebEx trainingQuestions?Slide Number 35

Documents

Interview Practice - uspto.gov USPTO BM... · outstanding issues in an application and leads to a mutual ... 36.0% 2007/10 2008/04 2008 ... how to check for written