Our objective was to determine whether USPTO’s patent application classification and routing processes were effective. Specifically, we determined whether (1) USPTO adequately ensured that classification contractors were providing quality patent classification and reclassification services; (2) USPTO examiners properly challenged claim indicator (known as “C-star” or C*) classifications and whether USPTO properly resolved challenges; and (3) USPTO effectively designed and implemented Cooperative Patent Classification (CPC) system-based routing. We found that USPTO’s patent classification and routing processes were not effective. Specifically, we found that:I. USPTO did not ensure effective contract oversight for classification services. II. USPTO lacked adequate controls to ensure that classification challenges were efficiently and effectively submitted and adjudicated. III. USPTO did not effectively design and implement CPC-based routing.
Report File
Date Issued
Submitting OIG
Department of Commerce OIG
Other Participating OIGs
Department of Commerce OIG
Agencies Reviewed/Investigated
Department of Commerce
Components
U.S. Patent and Trademark Office
Report Number
OIG-23-026-A
Report Description
Report Type
Audit
Agency Wide
Yes
Number of Recommendations
7
Questioned Costs
$0
Funds for Better Use
$0
Open Recommendations
This report has 1 open recommendations.
| Recommendation Number | Significant Recommendation | Recommended Questioned Costs | Recommended Funds for Better Use | Additional Details | |
|---|---|---|---|---|---|
| 5 | Yes | $0 | $0 | ||
| 5. We recommend that the Under Secretary of Commerce for Intellectual Property and Director of the United States Patent and Trademark Office direct the Commissioner for Patents to develop controls, such as edit checks in the Classification Allocation Tool tool, to ensure that examiners and reviewers enter comments for classification challenges. | |||||
