Annual Technical Report 2002 on Industrial Design Information Activities submitted by United States of America (SCIT/ATR/ID/2002/US)
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The expression "industrial designs" covers industrial designs and models. Offices which issue design patents should report their design patent information activities in this series of Annual Technical Reports.
I. Evolution of registration activities
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In calendar year (CY) 2002, the USPTO granted 15,451 design patents, a reduction of 8 percent from the number granted in CY 2001. The share of grants having foreign origin, as determined by the residence of the first-named inventor, was 39.6 percent for CY 2002, up from 38.7 percent for CY 2001. The top patenting organizations receiving design patents in CY 2002 were Sony Corporation (167 design patents), Hon Hai Precision Ind. Co., Ltd. (117 design patents), Masco Corp. of Indiana (90 design patents), Goodyear Tire and Rubber Company (88 design patents), Black and Decker Inc. (70 design patents), and Nike, Inc. (68 design patents).
There were 20,904 design patent applications filed at the USPTO in CY 2002, up 14 percent from CY 2001. The CY 2002 share of applications having foreign origin, as determined by the residence of the first-named inventor, is 37.8 percent, down from 39.0 percent for CY 2001.
Trends or areas experiencing rapid changes with respect to the previous year
Among the highly active design patent areas for calendar year (CY) 2002, the number of design patent grants in ' Recording, Communication, or Information Retrieval Equipment' increased by 43 percent, the number of design patent grants in ' Equipment for Production, Distribution, or Transformation of Energy' increased by 15 percent, and the number of design patents in ' Building Units and Construction Elements' increased by 8 percent over the number of grants for CY 2001.
II. Matters concerning the generation, reproduction, and distribution of industrial design documents and of secondary sources of industrial design information, i.e., official gazettes
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All design patents that were issued in 2002 include both a US Patent Classification designation and a Locarno International Classification designation. The EAST and WEST search systems available within the USPTO and at selected Patent and Trademark Depository Libraries provide the capacity for searching for US Patent documents with either a US or a Locarno classification designation.
The USPTO maintains a concordance between the United States Patent Classification System and the Locarno International Classification System. This concordance is updated to reflect new subclasses established in the design patent search file as part of the reclassification of US design patent documents.
Formal definitions have been published for all mainline subclasses and will be published for any newly established subclasses in design classes. The purpose of formal definitions is to clarify the type and scope of subject matter contained in a class or subclass. Formal definitions may include search notes that aid in locating additional areas in the USPC system pertinent to specific subject matter. Classification definitions are available at the URL below:
http://www.uspto.gov/web/offices/ac/ido/oeip/taf/def/index.htm
Further information about the use of the US Patent Classification System is available at:
http://www.uspto.gov/web/menu/pats.html
Bibliographic data and processing for search purposes
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Concurrent with the publication of each new Design Patent in the Official Gazette, copies are added to the electronic search files.
Also, see File Building, above.
Storage, including mass storage media
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Gazette type publications of design registrations from over 37 nations or international organizations are available to examiners. These publications are generally maintained in the Design Library or the USPTO Scientific and Technical Information Center (STIC).
A collection of non-patent literature is available to examiners in the Design Library and the main STIC facility. Non-patent literature includes commercial publications, catalogs, magazines, advertising fliers, technical publications and other information pertinent to the 33 classes for industrial designs in the United States Patent Classification system. Additionally, the Scientific and Technical Information Center provides complete library services that include links to libraries nation-wide, literature acquisition as requested, and cataloging of literature received. The literature in the collection can be searched via an on-line catalog maintained by the STIC.
V. Activities in the field of computerized search systems for industrial designs
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Patents Location and Monitoring System (PALM) Migration
USPTO continued the phased subsystem delivery with successful delivery of the first subsystem (Infrastructure) in October 1998. The second subsystem (File Ordering) was delivered in October 1999. The third subsystem (Pre-examination system) was delivered in February 2000. The PALM project schedule has been impacted by implementation of the American Inventors Protection Act. All PALM related systems went through a major upgrade to support Legislation for the Pre Grant Publication of Application (PG Pub). This release was deployed throughout the USPTO on 29 November 2000. Exam Post-Exam (EXPO) is the project name for the final migration of the PALM system from the A-16 computer. EXPO encompasses the functionality of Examination, Post Examination and Patent Term Adjustment and was deployed in Fall 2001.
PALM on PTOnet
All Patent Examiners have been provided further access to the current Management Information System on their desktop PC via barcode readers and a web browser interface. This system has been found to provide increased case tracking accuracy. No future enhancements are planned until PALM Migration is completed.
Equipment used (hardware, including the types of terminal and network used, and software), data carriers used
PTOnet has an architecture consisting of a campus wide Gigabit Ethernet switched backbone with edge device switches providing switched Ethernet connection for individual workstations. Currently, PTOnet users have dedicated 100 Mbps switched Ethernet connections.
PTOnet provides examiners and other staff with access to the Internet through dual-redundant firewalls. Access zones implemented via firewalls and proxy servers have been implemented to provide a limited amount of controlled access to PTOnet resources for external users. Additional external access capabilities are being developed through implementation of a variety of access control mechanisms including digital certificate based authentication supported by a full Public Key Infrastructure (PKI).
VI. Administration of industrial design services available to the public (relating to facilities, e.g., for lodging applications, registering designs, assisting clients with search procedures, obtaining official publications and registry extracts
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Copies of Design patents continue to be provided to the 86 libraries in the USPTO’s Patent and Trademark Depository Library (PTDL) Program in optical disc formats. Online access to Design patents is made available to the 28 PTDLs that have access to WEST, and the three Partnership PTDLs that have access to EAST and WEST. The Partnership PTDLs also offer additional fee-based services. All PTDLs also provide public access to the USPTO web site which contains a searchable database of Design patents. A list of current PTDLs can be found at the PTDLP Web site located at: http://www.uspto.gov/go/ptdl . The Web site includes information about the Program’s mission, history, background, services, and core collections, as well as links to the Program’s publications, materials, and reference tools. Each of the 86 PTDLs is linked from the PTDL List available from the Web site.
Automated Information in Patent and Trademark Depository Libraries
Web-based online searching for the patent text and image database is available at the 28 PTDLs that have access to WEST.
The USPTO continues to provide a number of optical disc products to PTDLs for direct public use. This includes all Cassis optical disc products; Patents BIB, Patents CLASS, Patents ASSIST, Patents & Trademarks ASSIGN, Trademarks BIB, Trademarks ASSIST, USAPat, USAApp, and USAMark.
Partnership PTDLs in Sunnyvale, California, College Station, Texas and Detroit, Michigan offer fee-based access to selected USPTO’s in-house automated systems. These systems include WEST, EAST, and X-Search. Other PTDL Partnership services include electronic ordering of US and foreign patent documents, on-site and videoconference practitioner and public seminars, local filing of Disclosure Documents, and a secure videoconferencing capability between patent examiners and inventors and/or attorneys.
Automated Information in Patent Public Search Facilities
In 2002, public access continued to be offered via the Universal Public Workstation (UPWS), a secured access computer providing a single platform and consistent interface to all databases. The patent examiner search systems EAST and WEST, and document image print WALK-UP are the heaviest used applications provided on UPWS. Other patent applications on UPWS are the DVD-ROM Cassis titles (added September 2001), Patent Application Locator (PatAppLoc, added November 2001), Patent Maintenance Fees (PatFees, added November 2001), and Paper Classified File Locator (PatPapLoc added November 2001). Two additional applications became available in 2002. Assignments Historical Database (AHD) was added February 2002 and Patent Assignment Information Retrieval (PAIR) was added in March 2002. Both EAST and WEST retrieve all US patent images and word search the text contained in US patents granted since 1971. They also provide text searching of English language patent abstracts from the European Patent Office and Japan Patent Office, and a set of foreign patent images formerly available only from CD-ROM. Public access to these search systems continues to grow. Use increased from 8,970 hours in January 2002 to 13,538 hours in January 2003. An average of 573 unique customers used the systems monthly, with a high of 871 users in August 2002. There were an average of 11,679 sessions monthly. This averages 531 patent sessions per day in the patent search facilities.
The number of workstations has increased significantly in the Patent Search Room, from 6 in 1999, to 95 in December 2002. In addition there are 23 UPWS workstations in a special ergonomic Patent Search and Image Retrieval Facility, for a total of 118 UPWS workstations for patent searching. Session fees were suspended in October 1999 to encourage electronic searching; however, print fees are collected at the UPWS workstations via on-line accounts. With the increased number of workstations and availability from 8 AM to 8 PM Monday through Friday, there are no wait lines at this time.
An 8-hour training course for novice or first time patent users is available to the public on the WEST system. A 4-hour course for advanced users is available on the EAST system. Courses are scheduled once a month for a nominal fee, or more often as needed. Special one-page guides and Helpful Hints are available in the on-line search areas. Individual assistance is always available from staff.
The Re-examination file system REPS was introduced into the Patent Search Room in February 2000. Re-exam files may be browsed and images printed from a stand-alone REPS workstation and printer. 400,550 pages from 302 files were printed in 2002. As CD-ROM titles have migrated to wider access of UPWS, the number of workstations accessing the public CD-ROM Local Area Network in the Patent Search Room has been reduced to 3. These provide access to all USPTO’s archival CD-ROM image retrieval products USAPAT, USAMARK, and Assignments, and to the Cassis2 titles.
Automated Products Provided to the Public
The USPTO’s Information Dissemination Services continues to provide patent information products and services to the public in a variety of formats. The Products and Services Catalog, produced biennially, describes USPTO products and services, and contains details on how to obtain them. The Catalog is also available for viewing at the USPTO Web site.
The following CD-ROM products are available for purchase by the public:
Patents BIB: Selected Bibliographic Information from US Patents Issued 1969 to Present
This Cassis DVD-ROM contains bibliographic information for utility patents issued from 1969 to the present, and for other types of patent documents issued from 1977 to the present. It includes date of issue, inventor names and addresses (if unassigned at time of issue), assignee at time of issue, status (i.e., withdrawn, corrected, expired for failure to pay maintenance fees, reexamined or term extended), current classifications, patent title, and patent abstracts from September 1988 to date. Patents BIB also refers to patent image locations on USAPat, described below. This DVD-ROM product is updated every two months.
Patents CLASS: Current Classifications of US Patents Issued 1790 to Present
This Cassis DVD-ROM contains current classification information for all utility, design, plant, reissue and X-numbered patents, as well as defensive publications and statutory invention registrations issued from 1790 to the present (over 6 million documents). Indexing of classification information has been optimized for rapid retrieval. This DVD-ROM product is updated every two months.
Patents and Trademarks ASSIGN: US Patents and Trademarks Assignments Recorded at the USPTO 1980 August to Present
This Cassis DVD-ROM includes data derived from assignment deeds for issued patents and registered trademarks, which were recorded at the Patent and Trademark Office after August 1980 for patents, and since 1955 for trademarks. The disc includes assignments recorded before and after the patent issued. This DVD-ROM product is updated every two months. This product is the combination of two previous titles, Patents ASSIGN and Trademarks ASSIGN, now no longer published.
Patents ASSIST: Full Text of Patent Search Tools
This Cassis DVD-ROM is a compilation of many patent search tools including the following: Manual of Classification, Index to the US Patent Classification, Manual of Patent Examining Procedure, IPC - USPC Concordance, and Attorneys and Agents Registered to Practice Before the US Patent and Trademark Office. In addition, Classification Definitions, a Patentee-Assignee Index, and a Classification Orders Index are included. The Patentee-Assignee Index shows ownership at time of issue for utility patents 1969 to present; for other patent types 1977 to present; and inventor names 1975 to present. The Classification Orders Index is a list of classifications abolished and established since 1976 with corresponding Classification Order number and effective date. This DVD- ROM product is updated every three months.
Manual of Patent Examining Procedure (MPEP)
This Manual is published to provide US Patent and Trademark Office patent examiners, applicants, attorneys, agents, and representatives of applicants with a reference work on the practices and procedures relative to the prosecution of patent applications before the Patent and Trademark Office. The MPEP is available in electronic form as an ASCII text file downloadable (no charge) from the USPTO Web site on the Internet at http://www.uspto.gov/, and as a searchable text file on the Patents ASSIST DVD-ROM product which includes many other useful files. Each revision is fully incorporated into the base edition and republished as a whole.
USAPat: Facsimile Images of United States Patents
This Cassis DVD-ROM product contains facsimile images of US patents. An “image” is an actual page of the patent, including all drawings, and looks just like the original printed document. The purpose of USAPat is to serve as a document delivery system, not as a search system. Retrieval is by document number only from a cumulative index. Excellent printed copies of actual documents can be obtained directly from a laser printer. Over 150 discs are published each year (three to four discs per week). Delivery of weekly discs is usually within 15 days from issue date.
USAApp: Facsimile Images of United States Patent Application Publications
USAApp contains facsimile images of the U.S. patent application publications filed on or after November 29, 2000. A new law effective November 29, 1999, requires publication of patent applications approximately 18 months after the effective filing date. All utility and plant patent applications will be published unless the application is not filed in another country and the applicant expressly requests that the application not be published, or the patent has been granted. Design patent applications will not be published. An "image" looks like an actual page of the application, including all drawings. USAApp is a document delivery system, not a search system. Retrieval is by document number only from a cumulative index. Excellent printed copies can be obtained directly from a laser printer.
Trademarks BIB: Bibliographic Information from Abandoned, Canceled, Expired, Pending, and Registered US Trademarks
This Cassis DVD-ROM contains the text of all abandoned, canceled, expired, pending, and registered trademarks from 1884 to present with 30 searchable fields. This DVD-ROM product is updated every two months. This product is the combination of two previous titles, Trademarks PENDING and Trademarks REGISTERED, now no longer published, with the addition of abandoned, canceled, and expired marks. Trademarks BIB also refers to trademark image locations on USAMark, described below.
Trademarks ASSIST: Full Text of Trademark Search Tools
This Cassis DVD-ROM includes the searchable text of the Trademark Manual of Examining Procedure, the Goods and Services Manual, the Trademark Trial and Appeal Board Manual of Procedure, the Trademark Statute and Rules (Trademark Act of 1946 and the Rules of Practice), the Trademark Telephone Index, and the PTO Products and Services Catalog. It is updated on an irregular basis.
USAMark: Facsimile Images of United States Trademark Registrations
This Cassis CD-ROM contains facsimile images of U.S. trademark registration certificates issued from 1870 to the present. An “image” is an actual page of the trademark, including renewals and modifications, and looks just like the original printed document. USAMark is a document delivery system, not a search system. Retrieval is by document number only from a cumulative index that covers all issued discs. Excellent printed copies of actual documents can be obtained directly from a laser printer. USAMark consists of 168 discs including registrations through July 2003. USAMark is published monthly.
Electronic Official Gazette of the U.S. Patent and Trademark Office – Patents (eOG:P)
The eOG:P began publication in July 2002 on both the USPTO Web site (free) and on CD-ROM (subscription). In September 2002, the eOG:P replaced the paper Official Gazette that had been published since 1872. The eOG:P contains the OG record, including exemplary claim and a representative image (if applicable). Indexes by type of patent (e.g., utility, design), patentee name (both inventor and assignee), geographical location of the first listed inventor (U.S. state or country), and classification are provided. The eOG:P is available each Tuesday.
The USPTO maintains World Wide Web (WWW) and File Transfer Protocol (ftp) sites on the Internet, which allow the public free access to selected information related to patents and trademarks.
The USPTO Web site at http://www.uspto.gov/ contains information about the office and information about patents and trademarks. It also provides access to searchable databases of patent and trademark information, and to tools that assist users in obtaining information.
In August 1998, the USPTO began providing free access to a searchable trademark database. It consists of bibliographic data and full-text of over one million registered trademarks and pending applications which date back to 1870. Currently, the text portion of the database is updated on a two-month cycle, and images are updated weekly.
A new version of the trademark searchable database was recently added. It includes enhanced searching capabilities and is updated on the same schedule as the searchable database used internally by the Trademark Examiners.
In October 1998, the USPTO began accepting Trademark applications electronically from a web-based application. The USPTO currently receives approximately 15% of all Trademark applications from this site. A similar pilot project for Patents is currently underway.
Patent and Trademark application status information are both available from the USPTO website. Both of these databases are searchable and are updated on a daily basis.
In November 1995, the USPTO began providing access to patent bibliographic information and abstract text on its Web Site. The PatBib database contained the data back to January 1976, and was updated on a weekly basis, usually on issue day (each Tuesday). While the PatBib database has been discontinued due to the availability of searchable full patent text on the USPTO Web Site, the patent bibliographic raw data continues to be made available for FTP downloading with updates occurring, usually on issue day, for each new patent issue In November 1998, the USPTO began providing access to the searchable, full text of US patents granted from January 1976 to the present. The database is updated weekly, usually on issue day.
VII. Matters concerning mutual exchange of industrial design documentation and information
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The USPTO maintains exchange agreements with many intellectual property offices for the exchange of industrial design registrations and gazettes and continually seeks to expand the number of such exchanges.
Intellectual property offices have access to the US patent documents, including design patents, on USAPat DVD-ROM. The USPTO began distributing its Official Gazette for Patents only in electronic format (eOG:P) on CD-ROM and on its website (see above for details) in 2002. Design patents are included in the Official Gazette for Patents.
Exchange of machine-readable information, e.g., data contained on CD-ROM or magnetic tape
CD/DVD-ROM products including, but not limited to, design patent images and information are sent to 114 intellectual property offices (see descriptions of the products above).
The USPTO currently exchanges patent images and information on magnetic computer tapes with the EPO and JPO as part of a Trilateral Agreement.
VIII. Matters concerning education and training including technical assistance to developing countries
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The USPTO provides technical training relevant to intellectual property law and patent and trademark practice for all attorneys and patent examiners. Additionally, a variety of technical classes are available dealing with search techniques on the USPTO automated system and methods of using a variety of custom computer software to assist in the examination process.
The Office of Training participates in a two week Visiting Scholars Program. Here the USPTO hosts patent professionals from offices worldwide and presents them with training on patents, trademarks, copyrights, and related procedural and operational issues.
The Office of Training also operates a televideo-conference facility. This has been used to broadcast live meetings and lectures with officials in foreign countries.
Assistance to developing countries (sending consultants and experts, receiving trainees from developing countries, etc.)
The USPTO offers various programs to provide technical assistance to developing countries and to countries moving to a market economy. Programs focus on establishing adequate systems in these countries for the protection of intellectual property rights. They also provide intellectual protection enforcement training. With the exception of the Visiting Scholars Program, the USPTO programs usually last one week. The goal of the programs is to provide advice and expertise to these countries with the desired outcome being the reduction of losses resulting from piracy of U.S. intellectual property.
The Visiting Scholars and Enforcement Programs for FY 2002 provided participants from Mexico, Nigeria, Eritrea, Korea, Cyprus, Guatemala, Romania, Bulgaria, Czech Republic, Dominican Republic, Ecuador, Egypt, Guyana, Hong Kong, Indonesia, Jordan, Kenya, Nicaragua, Philippines, Russia, Slovakia, Trinidad and Tobago, Zambia, Albania, Croatia, Macedonia, St. Lucia, Serbia, Thailand, Tanzania, and Vietnam with classroom and hands on study of various aspects of the administration of intellectual property law, patent and trademark examination and copyright protection, enforcement of intellectual property laws, and an opportunity to gain an understanding of the important role of intellectual property protection as a tool for economic development. Other highlights for the year included an increased emphasis on enforcement of intellectual property rights in China. This focus included a two month detail of USG staff to China to directly work with the Chinese government in this area.
IX. Other relevant matters