The USPTO launched an Ombudsman Program on April 6, 2010 “to provide patent applicants with more assistance in handling application-processing problems if the normal channels have not been successful.” More specifically, this program establishes a dedicated resource which provides an Applicant with application-specific prosecution assistance when the Applicant has been unable to move an application forward through the normal channels.
Background
Director Kappos of the USPTO has indicated that, “this program is a direct response to feedback we’ve received from members of the patent community who have told us that they need a dedicated resource they can turn to when they have concerns about the prosecution of their application….”
Prior to utilizing this program, the Applicant should first contact the Examiner and Supervisory Patent Examiner (SPE) ( “normal channels”). Furthermore, the program is not intended to supersede the authority of the Examiner or SPE as it was created to ensure that a patent application moves through the established process in a timely manner
The Ombudsman should not be contacted regarding: general questions not related to a specific pending patent application or for matters which are routine (e.g., status inquiries). For the aforementioned scenarios, the Applicant should utilize PAIR or other USPTO help desks. Finally, this program is not intended to be an alternative forum for resolving a dispute which is being presently resolved via appeal, petition or other procedure (e.g., pre-appeal).
The program is open to Applicants, Attorneys, and Agents who have application-processing concerns regarding specific patent applications. However, if an Applicant is represented by an Attorney or Agent, they cannot separately contact the Ombudsman as dual correspondence is not allowed.
Each Technology Center (TC) is assigned an Ombudsman representative (and a backup) which is primarily tasked with addressing Applicants concerns related to the advancement of patent prosecution. The Federal Registrar Notice states (in a single specific example) that the Ombudsman may be contacted when the Examiner does not appear to address a new amendment or argument and the Applicant cannot reach the Examiner/SPE after a reasonable amount of time. Further, the Notice states that other instances when the Ombudsman may be contacted will be provided at: http://www.uspto.gov/patents/ombudsman.jsp
Process
To utilize the program, the Applicant must first complete an Electronic Form on the USPTO website (http://www.uspto.gov/patents/ombudsman.jsp) which requires their name, contact phone number, and selection of the appropriate TC Ombudsman. After submitting the Electronic Form, the Applicant will receive a call within one business day from the Ombudsman to discuss the issue more extensively.
During this phone call, the Applicant may request that their issue be kept confidential so that it is not forwarded to the deciding Official (e.g., the Examiner, etc.). However, if a confidentiality request is made, the Ombudsman will take no further action regarding the Applicant’s issue and will only log the complaint into a database. The database will be reviewed periodically to observe trends, issues, etc.
If the Applicant does not request confidentiality, then the Ombudsman may take action on the Applicant’s issue by forwarding the issue to the appropriate Official (e.g., SPE, TC Director, etc.) for resolution. At the conclusion of the phone call, the Ombudsman will enter the complaint information into the database for review purposes (as indicated previously).
It should be noted that any written communication between the Official in the appropriate patent organization and the Applicant will be made of record in the file, and additionally, “any written communication received by the ombudsman regarding the merits of an application will be placed in the application file.”
Finally, the program is intended to resolve all issues within ten business days.
Conclusion
The Federal Registrar indicates that the program is effective for one-year; however, may be extended with appropriate modification based upon participant feedback and overall effectiveness.
Further Information:
USPTO Press Release: http://www.uspto.gov/news/pr/2010/10_11.jsp
USPTO: http://www.uspto.gov/patents/ombudsman.jsp
USPTO FAQS: http://www.uspto.gov/patents/ombudsman_faqs.jsp
USPTO Phone Numbers/
Ombudsman TC Contact Page: http://www.uspto.gov/patents/ombudsman.jsp
Federal Registrar Notice: http://www.uspto.gov/patents/law/notices/75fr17380.pdf
