Attachment 05c- QA of EFS Web Submissions Error Categories and Historical Volumes.xlsx

XLSX spreadsheet 828 KB Posted Feb 11, 2020

Attached to: Patent Data and Document Management Federal contract opportunity
Solicitation number: ACQ-20-0057
Issued by: Department of Commerce US Patent and Trademark Office

About this file

Written by GovTribe AI · Dec 27, 2023

This document contains historical quality review data for electronic patent application submissions to the United States Patent and Trademark Office from fiscal years 2009 through 2018. It provides the volume of errors encountered annually by category for various filing types, including utility, provisional, design, and international applications as well as follow-ons and national stage submissions. The related federal contract opportunity is seeking proposals for patent data and document management services. Key requirements include indexing and scanning paper submissions, quality review of electronic filings, conversion and composition of application data for pre-grant publication and post-allowance processing, and composition of certificates and notices. The contractor must meet production schedules and statutory requirements for application publication and patent issuance. The contract would provide deliverables in image and text formats to support patent examination and administration functions within the established quality standards.

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Attachment 17e - (dtd) -ExportTOC1.txt	TXT text file	Feb 11, 2020
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Attachment 04 - Crosswalk of CLINs to SOW and Historical Volumes.xlsx	XLSX spreadsheet	Feb 11, 2020
Attachment 35b - PE2E-eDRS-IFW-Messages_QRG.pdf	PDF	Feb 11, 2020
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Attachment 26 - DCB 2019-01 (14).docx	DOCX document	Feb 11, 2020
Attachment 27a - Link to USPTO PG Pub and Grant Red Book Instructions.docx	DOCX document	Feb 11, 2020
Attachment 26 - DCB 2019-01 (3).docx	DOCX document	Feb 11, 2020

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Sheet1

Sum of CATEGORY COUNT	Column Labels
Row Labels	FY 2009	FY 2010	FY 2011	FY 2012	FY 2013	FY 2014	FY 2015	FY 2016	Grand Total
P	220962	570225	637287	745677	834405	832621	881725	622395	5345297
U	901872	2293586	2633308	3037215	3290667	3390385	3564096	2527834	21638963
D	49647	138090	151523	174698	208601	230550	260331	198290	1411730
I	137229	329279	360845	414967	433924	495100	466567	324407	2962318
PCT	304711	813429	913850	1060126	1138205	1263485	1453547	1053191	8000544
FI	20151	51081	54584	59821	66188	72046	68975	47704	440550
F	3108539	7696880	8654883	9356935	10191108	10963573	11691930	8536661	70200509
DI							370	567	937
DIF							14	181	195
Grand Total	4743111	11892570	13406280	14849439	16163098	17247760	18387555	13311230	110001043

COUNT	Column Labels
Row Labels	FY 2009	FY 2010	FY 2011	FY 2012	FY 2013	FY 2014	FY 2015	FY 2016	Grand Total
P	220962	570225	637287	745677	834405	832621	881725	622395	5345297
U	901872	2293586	2633308	3037215	3290667	3390385	3564096	2527834	21638963
D	49647	138090	151523	174698	208601	230550	260331	198290	1411730
I	137229	329279	360845	414967	433924	495100	466567	324407	2962318
PCT	304711	813429	913850	1060126	1138205	1263485	1453547	1053191	8000544
FI	20151	51081	54584	59821	66188	72046	68975	47704	440550
F	3108539	7696880	8654883	9356935	10191108	10963573	11691930	8536661	70200509
DI							370	567	937
DIF							14	181	195
Grand Total	4743111	11892570	13406280	14849439	16163098	17247760	18387555	13311230	110001043

Err Categories by Filing Type EFS Web QC Errors

#	Description
1	Doc code is incorrect
2	Doc code needs to be split
3	Doc codes need to be merged and codes are in consecutive order
4	Doc codes need to be merged and codes are not in consecutive order
5	Transfer Request
6	Duplicate documents
7	Different application number
8	Image problem
9	Test / Reexam serial number
10	Doc. codes that are not supposed to be in IFW (Fee Address, Credit Card Form, Original Assignee Recordation etc.)
11	Miscellaneous (Issue that doesn't fit in any other categories)
12	SPEC (Doc code needs to be changed to SPEC - for new application only)
13	OCR problem

FISCAL YEAR/ FILING TYPE	1	2	3	4	5	7	8	9	10	11	12	13	Row Grand Total
Provisional	20,654	26,322	11,004	39	2	6	1,973		34	340	3,182	67	63,623
Design	2,729	6,538	1,588	12		13	195		31	58	784	3,264	15,212
UPR	37,610	80,863	15,261	171	1,273	167	2,004	87,903	357	1,394	6,399	82,441	315,843
National Satge	52,886	37,990	22,492	13	57	8	800		180	393	11,574	24,459	150,852
Follow On	463,736	457,108	29,739	62	500	2,378	3,447	1	19,460	26,597	167	104,941	1,108,136
PCT	4,059	6,831	1,170	22	1	6	557	11	7	21,405	128	14,588	48,785
PCT Follow On	8,707	1,990	265			7	49		11	9,522	24	260	20,835
FY 2010	590,381	617,642	81,519	319	1,833	2,585	9,025	87,915	20,080	59,709	22,258	230,020	1,723,286
Provisional	24,101	29,993	12,472	21	2	24	2,624		37	498	4,592		74,364
Design	3,002	6,655	1,623	14		12	199		19	71	1,055	4,500	17,150
UPR	47,037	82,385	15,402	330	1,438	205	2,979	105,627	239	1,182	10,632	110,002	377,458
National Satge	60,178	31,411	24,931	21	63	3	783		186	558	18,559	34,164	170,857
Follow On	491,918	458,657	30,579	136	536	2,830	4,334	1	24,852	50,256	245	142,757	1,207,101
PCT	4,984	7,513	864	37	2	2	233	1	4	11,022	220	19,349	44,231
PCT Follow On	8,827	1,912	213	2		9	62		16	10,457	24	406	21,928
FY 2011	640,047	618,526	86,084	561	2,041	3,085	11,214	105,629	25,353	74,044	35,327	311,178	1,913,089
Provisional	27,465	36,849	14,865	22		7	3,115		61	400	5,409		88,193
Design	4,033	6,218	2,262	109		25	282		39	91	1,246	4,044	18,349
UPR	69,900	28,863	18,491	1,909	1,434	212	3,642	111,815	277	1,260	12,407	98,864	349,074
National Satge	79,416	15,577	24,143	115	48	9	760		100	792	20,447	29,191	170,598
Follow On	544,173	269,510	34,316	533	397	3,825	5,565		23,648	76,877	105	134,543	1,093,492
PCT	6,037	8,530	1,258	32		4	382		9	5,011	242	18,333	39,838
PCT Follow On	10,322	1,826	369			11	70		4	9,888	20	487	22,997
FY 2012	741,346	367,373	95,704	2,720	1,879	4,093	13,816	111,815	24,138	94,319	39,876	285,462	1,782,541
Provisional	26,548	40,274	14,326	42	1	15	4,363		86	310	5,606		91,571
Design	5,182	7,564	2,153	221		20	398		75	150	1,105		16,868
UPR	70,915	31,065	17,599	1,304	1,248	395	4,970	112,526	777	660	11,112		252,571
National Satge	72,233	15,829	22,426	265	66	14	1,012		124	214	19,934		132,117
Follow On	617,414	313,956	37,639	768	420	5,787	7,983		26,388	61,751	56		1,072,162
PCT	6,169	8,678	1,541	35	1	16	584		5	1,664	244		18,937
PCT Follow On	10,943	1,937	450		1	15	71		6	9,787	6		23,216
FY 2013	809,404	419,303	96,134	2,635	1,737	6,262	19,381	112,526	27,461	74,536	38,063		1,607,442
Provisional	26,087	41,342	13,869	34		23	4,313		138	257	5,426		91,489
Design	6,660	9,531	2,536	89		76	678		57	143	1,066		20,836
UPR	91,812	40,917	18,410	584	1,343	653	6,011	82,380	475	912	11,658		255,155
National Satge	75,343	18,110	25,170	97	68	43	1,162		133	293	22,588		143,007
Follow On	725,590	329,059	41,963	397	445	5,827	9,419	17	26,425	59,410	40		1,198,592
PCT	7,822	9,056	1,928	58	1	12	542		4	190	318		19,931
PCT Follow On	13,820	2,221	309			20	109		9	9,170			25,658
FY 2014	947,134	450,236	104,185	1,259	1,857	6,654	22,234	82,397	27,241	70,375	41,096		1,754,668
Provisional	26,886	40,974	14,517	13	3	25	4,363		157	374	5,496		92,808
Design	6,077	10,374	4,128	48		33	807		28	211	1,164		22,870
UPR	80,833	42,496	39,768	715	1,300	820	7,852	68,099	272	1,410	9,935		253,500
National Satge	84,498	22,242	39,087	35	64	39	2,100		57	555	21,483		170,160
Follow On	778,768	362,809	107,600	217	437	5,772	16,173		16,723	49,095	59		1,337,653
PCT	7,471	8,325	1,241	53	2	15	584		3	961	299		18,954
PCT Follow On	11,967	2,050	212	2		6	72		14	12,334			26,657
Design International (Hague)	28	1	19				5			1			54
Design International (Hague) Follow On	2						1						3
FY 2015	996,530	489,271	206,572	1,083	1,806	6,710	31,957	68,099	17,254	64,941	38,436		1,922,659
Provisional	28,984	41,372	13,147	15	10	32	4,031		122	283			87,996
Design	6,899	11,171	4,155	125		42	1,110		37	284			23,823
UPR	82,200	50,034	41,842	1,005	1,190	678	10,919	38,498	152	1,564			228,082
National Satge	89,710	43,111	46,077	57	46	48	4,859		52	576			184,536
Follow On	770,292	368,066	125,828	454	334	6,495	42,000	2	12,837	36,004			1,362,312
PCT	6,215	8,313	1,408	92		12	529		5	1,921			18,495
PCT Follow On	11,096	1,832	254	3		4	59		1	14,976			28,225
Design International (Hague)	70	11	47				11			1			140
Design International (Hague) Follow On	133	78	10							3			224
FY 2016	995,599	523,988	232,768	1,751	1,580	7,311	63,518	38,500	13,206	55,612			1,933,833
Provisional	29,628	41,716	14,091	26	1	27	3,972		154	410			90,025
Design	7,280	12,238	3,809	160		59	935		71	221			24,773
UPR	83,048	49,620	40,179	1,606	1,153	543	8,300	27,148	153	2,160			213,910
National Satge	95,964	46,302	47,087	139	57	40	3,178	1	45	261			193,074
Follow On	780,919	365,601	129,770	839	288	6,642	27,528		11,204	33,264			1,356,055
PCT	5,653	7,899	1,174	215		18	573		5	2,660			18,197
PCT Follow On	10,690	1,449	215	47		2	70		3	15,853			28,329
Design International (Hague)	61	16	43				6			2			128
Design International (Hague) Follow On	1,022	606	83	7		6	18		1	38			1,781
FY 2017	1,014,265	525,447	236,451	3,039	1,499	7,337	44,580	27,149	11,636	54,869			1,926,272
Provisional	28,921	40,719	15,370	82	1	45	3,673		150	608			89,569
Design	7,744	12,795	3,537	123		115	1,041		191	137			25,683
UPR	82,925	48,177	36,042	1,496	1,014	1,350	7,681	20,765	164	1,766			201,380
National Satge	95,818	46,478	49,012	131	69	106	2,695		42	1,378			195,729
Follow On	695,318	344,956	119,145	887	241	6,075	22,806		7,936	34,671			1,232,035
PCT	5,205	7,517	1,393	111		16	431		26	447			15,146
PCT Follow On	10,940	1,330	213	9		9	258		21	13,573			26,353
Design International (Hague)	37	7	20			1	5		2				72
Design International (Hague) Follow On	1,201	1,041	170	4			50		4	22			2,492
FY 2018	928,109	503,020	224,902	2,843	1,325	7,717	38,640	20,765	8,536	52,602			1,788,459
Column Grand Total	7,662,815	4,514,806	1,364,319	16,210	15,557	51,754	254,365	654,795	174,905	601,007	215,056	826,660	16,352,249

Categories Description

		EFS production coding description
Filing Type		Description
	U	New Utility
	P	New Provisional
	D	New Design
	DI	Designe International
	DIF	Designe International Follow On
	PCT	New National Stage
	F	US Follow-On documents
	I	New International
	FI	International Follow-on

Category	1	Doc code is incorrect
	2	Doc code needs to be split
	3	Doc codes need to be merged and codes are in consecutive order
	4	Doc codes need to be merged and codes are not in consecutive order
	5	Transfer Request
	6	Duplicate documents --> Obselete
	7	Different application number
	8	Image problem
	9	Test / Reexam serial number
	10	Doc. codes that are not supposed to be in IFW (Fee Address, Credit Card Form, Original Assignee Recordation etc.)
	11	Miscellaneous (Issue that doesn't fit in any other categories)
	12	SPEC (Doc code needs to be changed to SPEC - for new application only) --> Obsolete
	13	OCR problem --> Obsolete

File details come from the government source that posted it. Updated Feb 11, 2020.