Attachment 21 - Post Allowance Processes.pdf

Contractor function review Data Capture (IDC) Co nt ra ct or

PT

O F un ct io n

O th er co nt ra ct or s

TC Mail notice of allowance

Retrieve electronic file from server and load into Contractor systems

Sets flag in system‐ PTO systems build IFW electronic export file place on server

(PALM Data, automated file creation) Possibly three attempts over 3 days for successful export prior to corrective action

PTO updates PALM with FIDC date (batched once a week)SCORE Electronic file export generated from matches and loaded to server (automated)

Generate PALM report and compare to SCORE content

Generate PALM report and compare to Comp. Readable

Formats (CRF) content entries (automated)

CRF Electronic file export generated and loaded to server

Record PALM contents entry (EIDC) that application was exported (weekly updated after the fact)

IFW export file exports every work day except Thursday.

Other reports generated daily (work day)

Start data capture and initiate FMF workflow processes Load success?

Data problems? May occur anytime during data capture

Yes

Report problem to

PTO

Investigate issue

No

Retrievable? Yes

No

Complete data capture and wait for fee payment

Report application numbers that have completed data capture No

Contractor correct?

Yes

CorrectYes

Applicant correction?

Prepare and mail NTF and deliver to IFW and report to

PTO

No

Yes

Examiner correction?

Examiner completes action to complete printer rush and delivers to IFW

Yes

No

No

PTO identifies artifacts for allowed applications (Palm report) Reviewed and sorted manually)

Send list to POSS contractor (Email)

POSS retrieves folders (hard copy) and prepares for pick‐up

Pick‐up artifact folders

Missing artifacts?

(Lost internally)

No

Notify ODM of missing artifacts Yes

Notify PTO

PTO investigates and resolves or provides direction

Input from

FMF

This process “end to end” should take less that five weeks for any individual application

Export successful? Yes

Problem is investigated and resolved

No

Placed on failed export report

Approximately 4% of applications combined IDC and FDC require applicant correction. Applicant has 2 months to respond to NTF and can purchase additional 2 month extension – Patents cannot abandon the case until 4 months have elapsed‐average time of completion is 30 days

Average 12 days for resolution

Prepare printer rush and deliver to IFW and report to PTO

Notify PTO for examiner action

After two notifications of missing artifacts ODM contacts applicant or examiner.

Some applications (32% or more combined from IDC and FDC) may have data issues which contractor has instructions within the data capture manuals for methods of resolution: contract can correct, applicant must correct or examiner must correct

(approx 1% require both an applicant and examiner correction)

Up to 10% combined from IDC and FDC may have data issues that require return to examiner

Approximately 19% combined from IDC and FDC may have data issues that the contractor can resolve

Contractor function review File Maintenance nt ra ct or

PT

O F un ct io n

Provide daily list of all papers loaded into IFW the previous day Placed on the server

Retrieve paper list from server

Load into workflow system

NTF response or Other submission?

Printer rush response?

Applicant submission

Printer rush Response resolve original issue?

Additional information submitted?

No Outgoing mailing required?Yes No

Yes

No

Yes

NTF

Other

Examiner consideration Yes

Outgoing mailing required?

No

Yes

Contractor reviews submission and takes action as appropriate

No

PTO Submission

Yes

No

Prepare and mail response and load to IFW

Is this the third query for same issue?

No

ODM prepares and sends email to examiner/SPE/

Director (1 hour)

Yes Notify ODM “other” includes: Issue fee, IDS, 312 amendment, FRPR etc….

Other PTO consideration

No

Send email or IFW message to PTO Yes

Is IDC complete? Yes All requirements met?

Including issue fee

Dispatch to FDC (Palm transaction and send daily list to

PTO)

Yes

Return to IDC Hold for receipt of documents or expiration of response period

(to IDC)

No No

This is a “just in time” process that occurs as needed/triggered via grouping and post allowance requirements etc...

TC resolves printer rush

(8 hours)

Loaded into

IFW

Prepare new printer rush and deliver to

IFW

Examiner completes action to complete printer rush and delivers to IFW

Average 12 days for resolutionNotify PTO for examiner action

FDC query?

No

Return to FDCYes

Return from abandonment review

Approximately 10% of applications have post allowance papers the must be returned to examiner for consideration

Approximately one‐third of applications have post allowance papers in addition to the issue fee payment.

Contractor function review Abandonment nt ra to r

PT

O F un ct io n

Time period for applicant response to PTO notice/ requirement has expired

Create and Load abandonment notice into

IFW

Prepare paper notification

Deliver to PTO for mailing

Mail paper notification

Review application to insure no response received

Timely , bona fide response received

No

Return to FMF

Contractor function review Final Data Capture nt ra ct or

PT

O F un ct io n

O th er c on tr ac to rs

Receive email list from Contractor of applications ready for FDC export

Retrieve electronic file from server and load into Contractor systems

PTO systems build IFW electronic FDC export file place on server

(CIO)

Start final data capture Load success? Data problems?Yes

Report problem to

PTO

Investigate issue

No

Retrievable?

Yes

No

Complete final data capture

Assign Patent number and issue date and load issue build (email and server)

No

Contractor correct?

Yes

CorrectYes

Applicant correction?

Prepare and mail NTF and deliver to IFW

No

Yes

Examiner correction?

Yes

No

No

IFW export file exports every work day

ODM Send list to POSS contractor

POSS retrieves folders (hard copy) and prepares for pick‐up

Pick‐up artifact folders

Missing artifacts?

No

Notify ODM of missing artifacts Yes

Notify PTO

PTO retrieves Patent issue list from server

Palm calculates PTA/ PTE for each application

ODM retrieve PTA/ PTE list

ODM verifies PTA/ PTE list and makes adjustments as necessary

Provide PTA/PTE list with adjustments to Contractor (email)

Capture PTA/PTE data

Update Palm with Patent number issue date and status and exception list generated

Exceptions with issue date load/ Patent number?

Issue Close ‐ Correct problem?

Yes

Yes

No

No

Withdraw applications and Email created with withdrawal numbers and send to Contractor

Prepare deliverables (Postscript file, red and yellow book files, CPC extract, eOG file, etc…)

Contractor completes issue build

Contrator withdraws application from build

Send postscipt file to designated contractor

Place all other files on servers for PTO

Print B/W and color ledger copies and soft copies

Soft copies placed in envelopes and delivered to PTO mail room

Send ledger copies to Review and Assembly process

Contractor in PTO mail room applies postage and mails

Retrieve files (30 min)

Validated?

Email to Contractor for correction

No

Make available on issue date (weekly)

Load to internal and External PTO systems

(CIO)

Yes

Send artifacts to warehouse file repository

Contractor receives and stores artifacts

Determine Patent number and issue date for plants

Create and apply headers to plant drawings Send to PTO

PTO creates delivery order and sends to printing contractor

Printing Contractor print proofs and send to PTO

PTO approves

No

Print plant color drawingsYes

Send to review and assembly process

Hold plant patents until assigned issue date build (Approximately 6 weeks for printing process)

Palm generates text file for label creation and placed on server

Palm generates issue notification for non exceptions (automated)

Issue notifications are loaded into IFW

(automated)

Production control prints non‐ electronic notifications and send email to ODM that job is complete and ready for pick up

Send labels to review and assembly process

Contractor retrieve text file and prints issue labels

Pick up non‐ electronic notifications and stuff into envelopes

Deliver to PTO mail room

Record PALM contents entry that application was exported to FDC (Weekly – CIO)

Approximately 4% of applications combined IDC and FDC. Applicant has 2 months to respond to NTF and can purchase additional 2 month extension

– Patents cannot abandon the case until 4 months have elapsed‐ average time of completion is 30 days

PTO investigates and resolves or provides direction

Examiner completes action to complete printer rush and delivers to IFW

Average 12 days for resolutionNotify PTO for examiner action

Prepare printer rush and deliver to IFW and report to PTO

Some labels must be manually created due to issue build exceptions

Some applications (32% or more combined from IDC and FDC) may still have data issues which contractor has instructions within the data capture manuals for methods of resolution: contract can correct, applicant must correct or examiner must correct (approx 1% require both an applicant and examiner correction)

Up to 10% combined from IDC and FDC may have data issues that require return to examiner

Approximately 19% combined from IDC and FDC may have data issues that the contractor can resolve

Contrator function review Re‐exam and PTAB O th er c on tr ac to rs

Co nt ra ct or

PT

O F un ct io n

Mail NIRC (Notice of intent to issue re‐exam certificate) or for PTAB Mail

Trial.cert

PTO systems build IFW electronic export file place on server

ODM receives email from CRU and ODM forwards to Contractor

Retrieve electronic file from server and load into Contractor systems

Load success?

Report problem to

PTO

No

Retrievable? Yes

Investigate issue Part of FDC process

Receive email and compare email contents to electronic file

Contents match? Yes

No

Start data capture Data problems? Complete data captureNo

Contractor correct?

Yes

CorrectYes

No

Examiner correction? Yes

No

Notify PTO

Assign “certificate” number based on re‐exam type and issue date and email ODM daily

ODM performs PALM transactions to update status and issue date

(30 min/day)

Prepare deliverables (PDF, yellow book files, daily eOG etc…)

Place all other files on servers for PTO and other contractor

Retrieve days certificate file and print

Place in envelopes and deliver to PTO mail center

Apply postage and mail

Retrieve files (30 min)

Loadable file?

Email to Contractor for correction

Make available on issue date (daily)

Load to internal and External PTO systems

(CIO)

Yes

No

Create and print mailing labels using

PALM data

For supplemental exams the issue date is the date of publication in IFW

Record PALM contents entry that application was exported to

Contractor

IFW export file exports every work day

As a part of the F‐Export

PTO investigates and resolves or provides direction (1 – 8 hours)

Process happens daily when re‐exams are present

Examiner completes action to complete printer rush and delivers to IFW

Average 11 days for resolution

Prepare printer rush and deliver to IFW and report to PTO

Notify PTO for examiner action

Contractor function review‐ Assembly of patent grants nt ra ct or

PT

O F un ct io n

O th er c on tr ac to rs

Print B/W and color ledger copies and plant color drawings and send to Contractor

Receive B/W and color ledger copies and plant color drawings

Quality check satisfactory?

Assemble into grant covers

Apply mailing data/ labels from FDC process to envelopes and place assembled patent grant into envelopes

Remove any withdrawals

Deliver to PTO mailroom on issue date

Apply postage and mail

Yes

Notify PTO of defective/missing grants

No

Notify printing contractor to reprint missing/ defective pages/ grants

Report to PTO any grants not sent to mail room on issue date

Create issue date exception report with reason for not being mailed and send to PTO (status of inventor’s copy report)

Regular or exception? Regular

Record PALM PGM contents entry and sent to mailroom

Exception

PTO deletes a PALM PGM contents entry

Information for tracking

PTO supplies grant covers.

Contractor and PTO are in weekly communication regarding grant cover needs

Contractor function review Notice to file nt ra ct or

PT

O F un ct io n

O th er c on tr ac to rs

Determine Notice to file needed

Mailing transaction in PALM (generates

PTOL90)

If paper notification Print copy and deliver to mail room

Create detailed notice

Deliver notice and PTOL 90 to IFW

E‐notification generated from IFW and PALM notifies

Applicant

Mailroom mails notice

Contractor uses internal DB to track notices and waiting for response

Responses to notices are processed in FMF process

Contractor function review eOG nt ra ct or

PT

O F un ct io n

ODM Receive electronic notices (word documents) from all over Patents/Trademarks etc.

Verify formatted correctly ‐ Send email files to Contractor (24 docs avg)

Contractor incorporates notices into weekly eOG publication

Create page layout screens/indexing with current weeks data

1 min

Accept?

Send files/screens to ODM for review (shared drive)

1‐ 2 days

No

Send email with okay to post to web services group to post (files are on shared drive)

Targeted review based on reviewers experience

(24 docs average)

Web services group posts on issue date

Contractor function review Withdrawal O th er c on tr ac to rs

Co nt ra ct or

PT

O F un ct io n

ODM receives request to withdraw application from issue via email or PALM report

Perform PALM transactions to update status to withdrawn and removes patent number and issue date from PALM (5 min per app)

Update internal database and creates withdrawal notice

(15 min/app)

ODM Sends email notices to

Contractor and DMB group and others

Receives email

Update workflow system with withdrawn application data

5 min

Notify Review and Assembly of withdrawals

1 min

Withdrawn application data is removed from PTO search systems

(CIO)

webservices receives data on Monday and Thursday. If they get data Thursday they prevent those applications from being posted on Tuesday. If they get data on Monday, they remove withdrawn data.

End

Notify ODM of withdrawals and create notification for webservices to update eOG

Web services updates eOG

ODM Review eOG withdrawals/late withdrawals twice a week

Not correct

Correct

50 apps/week on average

2‐3 days Thursdays and Mondays due to batching

System updates are sent to Review and Assembly as soon as received from PTO

Electronics Information and products division issues lists and notices of non issue to outside/inside entities (ODM/ webservices)

Tuesday notification