[Federal Register Volume 75, Number 65 (Tuesday, April 6, 2010)]
[Notices]
[Pages 17380-17382]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2010-7577]


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DEPARTMENT OF COMMERCE

United States Patent and Trademark Office

[Docket No. PTO-P-2010-0012]


Patents Ombudsman Pilot Program

AGENCY: United States Patent and Trademark Office, Commerce.

ACTION: Notice.

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SUMMARY: The United States Patent and Trademark Office (USPTO) 
published a notice in the Federal Register seeking public comments on a 
proposed procedure for a Patents Ombudsman Pilot Program. The majority 
of the written comments from the patent community were positive and 
supported the implementation of such a program. After considering the 
written comments, the USPTO has decided to implement the Patents 
Ombudsman Pilot Program as set forth in this notice for a period of one 
year. The Patents Ombudsman Pilot Program is intended to provide patent 
applicants, attorneys and agents with assistance with application-
processing issues regarding concerns with advancement of prosecution 
(e.g., stalled applications). The Patents Ombudsman Pilot Program is 
not intended to circumvent normal communication between pro se 
applicants or applicants' representatives and examiners or Supervisory 
Patent Examiners, and it is not intended to supersede the authority of 
the examiners or Supervisory Patent Examiners. After the one-year 
period, the USPTO may extend the pilot program with appropriate 
modifications based on the feedback from the participants, the 
effectiveness of the pilot program and the availability of resources.

DATES: Effective Date: April 6, 2010.
    Duration: The Patents Ombudsman Pilot Program will run for twelve 
months from its effective date. Therefore, any request under the 
Patents Ombudsman Pilot Program must be submitted before April 6, 2011.

FOR FURTHER INFORMATION CONTACT: Mindy Fleisher, Special Programs 
Advisor, Technology Center (TC) 2400, at (571) 272-3365, or Pinchus M. 
Laufer, Legal Advisor, Office of Patent Legal Administration, Office of 
the Associate Commissioner for Patent Examination Policy, at (571) 272-
7726.
    Valencia Martin-Wallace, TC 2400 Director, available at (571) 272-
4020, will provide oversight of the Patents Ombudsman Pilot Program.

SUPPLEMENTARY INFORMATION: The majority of patent applications filed 
with the USPTO proceed through the examination process consistent with 
established USPTO procedure. However, some patent applicants, 
attorneys, and agents have expressed that their applications have not 
proceeded in accordance with established procedure. In some situations, 
the patent applicants, attorneys, and agents have felt that examination 
has stalled and that their efforts to move their applications forward 
through the normal channels have not been effective. Patent applicants, 
attorneys, and agents have suggested that there be a dedicated resource 
they can turn to in such instances. These suggestions led the USPTO to 
consider implementing a Patents Ombudsman Pilot Program and to publish 
a notice in the Federal Register seeking public comments on a proposed 
procedure. See Request for Comments on Patents Ombudsman Pilot Program, 
74 FR 55212 (Oct. 27, 2009), 1348 Off. Gaz. Pat. Office 418 (Nov. 24, 
2009). The USPTO received fifteen written comments from the public, 
which are available on the USPTO Web site at http://www.uspto.gov/patents/law/comments/ombudsmancomments.jsp. The majority of the written 
comments from the patent community were positive and supported the 
implementation of such a program. The USPTO considered the written 
comments and decided to implement the Patents Ombudsman Pilot Program 
as set forth in this notice for the duration of one year. After the 
one-year period, the USPTO may extend the pilot program with 
appropriate modifications based on feedback from the participants, the 
effectiveness of the pilot program and the availability of resources.
    The objectives for the Patents Ombudsman Pilot Program are: (1) To 
facilitate complaint-handling for pro se applicants and applicant's 
representatives whose applications have

[[Page 17381]]

stalled in the examination process; (2) to track complaints to ensure 
each is handled within ten business days; (3) to provide feedback and 
early warning alerts to USPTO management regarding training needs based 
on complaint trends; and (4) to build a database of frequently asked 
questions accessible to the public that tracks commonly seen problems 
and effective resolutions. The entire Patent Examining Corps and other 
Patents operation units (e.g., Office of Patent Application Processing) 
will be included in the program. While the USPTO realizes the role of 
the ombudsman in the Patents Ombudsman Pilot Program as set forth in 
this notice does not fall within the ``classic'' definition of the term 
``ombudsman,'' the USPTO notes that many Federal agencies have 
established ombudsman-like complaint-handling offices and this pilot 
program is in line with that type of office. Furthermore, the USPTO 
published a notice proposing a Patents Ombudsman Pilot Program and had 
many discussions with the stakeholders regarding the program. 
Therefore, the USPTO decided to continue to use the term ``ombudsman'' 
in the pilot program to avoid confusion. Additionally, the USPTO will 
continue to work with the Coalition of Federal Ombudsmen to ensure that 
the USPTO's program will meet the intended goals.
    The Patents Ombudsman Pilot Program is intended to provide patent 
applicants, attorneys and agents with assistance with application-
processing issues, particularly concerns with advancement of 
prosecution. The program is to be used by applicants who believe that 
their applications have stalled in the examination process. 
Specifically, the program is intended for those applications in which 
the normal process has gone awry, and after all other avenues have been 
used but failed to provide the needed assistance. The ombudsman may be 
contacted for an application-processing issue that applicant has been 
unable to resolve using USPTO's existing processes (e.g., the examiner 
that does not appear to address a new argument or amendment, and the 
applicant cannot reach the examiner and Supervisory Patent Examiner 
after a reasonable period of time). Other examples of situations where 
it is appropriate to contact an Ombudsman will be provided on the USPTO 
Web site at http://www.uspto.gov/patents/ombudsman.jsp.
    The Patents Ombudsman Pilot Program, however, cannot be used as an 
alternative forum for resolution of disagreements between the applicant 
and a USPTO official that are currently resolved via appeal, petition 
or other procedures (e.g., a request for pre-appeal brief conference). 
The program cannot be used to circumvent the examination process and 
normal communication between pro se applicants or applicants' 
representatives, and examiners, Supervisory Patent Examiners, or TC 
Directors, with respect to their applications. Furthermore, the program 
cannot be used to supersede the authority of the USPTO deciding 
official but rather to help ensure that applications proceed through 
the established process in a timely fashion. In particular, the role of 
the ombudsman will not usurp the function of the examiner, Supervisory 
Patent Examiner, or TC Director, such as participating in any 
interviews or any pre-appeal or appeal conferences.
    In addition, the USPTO has various customer services mechanisms 
already in place and the Patents Ombudsman Pilot Program is not 
intended to replace those mechanisms. Specifically, the program should 
not be used for routine status inquiries or other routine matters. 
Applicants are encouraged to check the status of their applications 
using the Private Patent Application Information Retrieval (PAIR) 
system, or contact the various help desks for assistance (e.g., the 
Patents Electronic Business Center (EBC) for any assistance on 
electronic filings), rather than contacting the ombudsman. See Manual 
of Patent Examining Procedure (MPEP) Sec.  203.08 for more information 
on status inquiries. Contact information for various organizations is 
available on the USPTO Web site at http://www.uspto.gov/patents/ombudsman.jsp. Applicants may receive faster assistance by going to the 
point of contact in the USPTO that routinely resolves the relevant 
issue.
    In order to participate in the Patents Ombudsman Pilot Program, pro 
se applicants or applicants' representatives must fill an electronic 
form on the USPTO Web site at http://www.uspto.gov/patents/ombudsman.jsp to provide their name and phone number and select the 
ombudsman for the patent organization (e.g., TC 2400) in which they are 
seeking assistance. Once a participant accesses the program via the 
USPTO Web site, the participant will immediately receive a system 
generated e-mail response noting that the inquiry was received. The 
participant should expect a telephone call from the ombudsman within 
one business day to proceed with the inquiry. A person seeking 
assistance in an application through the Patents Ombudsman Pilot 
Program must have the authority to represent the application. 
Therefore, third parties and individuals represented by a patent 
attorney or agent may not participate in the program.
    The ombudsman in the appropriate organization will call the pro se 
applicant or applicants' representative within one business day to 
obtain a full description of the issue. During the initial telephone 
call, the participant may request that the communication with the 
ombudsman not be forwarded to the deciding official (e.g., the 
Examiner). This will permit participants to provide feedback and early 
warning alerts to USPTO management regarding training needs based on 
complaint trends. Once the full description is obtained, the ombudsman 
will create a record in a database. The record in the database will be 
solely limited to the contact information and a general description of 
the issue at a generic level that does not require it to be made part 
of the application record.
    All requests for assistance made to the pilot program will be 
tracked in the database to: (1) Ensure that all requests for assistance 
are addressed; (2) identify and use trends to develop targeted training 
for employees as appropriate; and (3) enhance customer service. The 
ombudsman will be regularly monitoring the database to look for trends 
within his/her own area, and the senior management team managing the 
program will be looking at the database for overall trends. These 
trends will be reported to senior management and used to develop future 
initiatives as appropriate. The TC Director who is overseeing the 
Patents Ombudsman Pilot Program, Valencia Martin-Wallace, will also 
periodically review reports of the suggestions, comments and complaints 
to look for trends regarding similar issues and implement appropriate 
changes to resolve these issues.
    The Patents Ombudsman Pilot Program is staffed by senior 
supervisors and TC staff, including Supervisory Patent Examiners, 
Training Quality Assurance Specialists, and subject matter experts. 
Unless participant requests that the issue raised with the ombudsman 
not be forwarded to the deciding official, the ombudsman will forward 
the issue to an official in the appropriate organization that is best 
suited to resolve the issue (e.g., Technical Support Staff, Supervisory 
Patent Examiner, or TC Director) and ensure that the issue is 
appropriately addressed. The official in the appropriate organization 
will notify the participant of the resolution. Any written 
communication between the official in the appropriate organization and 
the participant, and any complete

[[Page 17382]]

written statement as to the substance of a telephone interview, with 
regard to the merits of an application will be made of record in the 
application (e.g., the examiner will complete an Interview Summary form 
PTOL-413 for any interview where a matter of substance has been 
discussed during the interview). See MPEP Sec.  713.04. Furthermore, 
any written communication received by the ombudsman regarding the 
merits of an application will be placed in the application file.
    The ombudsman will request that the official send a message back to 
the ombudsman when the issue has been treated and the participant has 
been notified of the resolution. In order to gauge the effectiveness of 
the program, the ombudsman may contact the participant for feedback. It 
is intended that all issues be considered and treated within ten 
business days. The ombudsman in each organization will regularly 
monitor the database to ensure that issues are being treated in a 
timely manner. In particular, the ombudsman will inquire into instances 
where five business days have elapsed and there is no indication that 
the issue has been closed out or is actively in the process of being 
treated.
    The USPTO will evaluate the success of the program by seeking 
feedback and comments from the participants. The satisfaction level of 
the participants will be monitored. If a participant is not satisfied 
with the program, the participant may contact TC 2400 Director, 
Valencia Martin-Wallace, who is overseeing the Patents Ombudsman Pilot 
Program. After the one-year period, the USPTO may extend the pilot 
program with appropriate modifications based on the feedback from the 
participants, the effectiveness of the pilot program and the 
availability of resources.

    Dated: March 29, 2010.
David J. Kappos,
Under Secretary of Commerce for Intellectual Property and Director of 
the United States Patent and Trademark Office.
[FR Doc. 2010-7577 Filed 4-5-10; 8:45 am]
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