The proposed IDS rule changes is expected to reduce the number of references submitted to the patent office with each patent application. Although not yet public, the rules are expected to include, inter alia, a 20 reference barrier. If more than 20 references are submitted, they must be accompanied with an extensive explanation. [More details] The patent office can point to several patents as examples of why, in its view, a rule is needed. Ronald A. Katz’s Patent No. 6,678,360 is a prime example. That patent cites over 1,500 references.
Using a group of 80,000 patents issued in 2006, I looked at how the rules might impact the various art units and the PTO as a whole.
From my sample, 25.1% of issued patents list more than 20 references. Patents listing more than 20 references have an average of 28 references. Some of these references may be cited by the PTO — However, the vast majority of references in patents citing 20+ are cited by the applicant. Running the numbers — this means that the PTO could review 720,000 fewer references next year. (Assuming that the new rules eliminated 8 reference from each application citing 20+ references and that the PTO again examined 360,000+ applications).
The rules will almost certainly have a disparate impact on various art units within the PTO because some art units typically receive more cited references than others. Semiconductor patents, for instance, rarely have 20+ references, while most molecular biology patents cite 20+ references. There is also some correlation with the number of references cited and the expected examination delay within the PTO. The following table provides more detail.
|
Art Unit Description |
Art Unit (Mod) |
Expected Delay to OA (Months) |
Count of Pats in Sample |
Percent of Patents with >20 Refs |
Avg +20 Refs |
Average Number of Refs |
|
Semiconductor, electrical, optical |
2890 |
20.4 |
36 |
8.3% |
2.4 |
11.9 |
|
Machine elements and power |
3680 |
24 |
1389 |
14.8% |
2.4 |
13.6 |
|
Semiconductors and electrical circuits |
2810 |
19.2 |
6878 |
14.8% |
4.2 |
13.9 |
|
Miscellaneous computer applications |
2190 |
35.9 |
65 |
20.0% |
2.3 |
14.3 |
|
Power generation and distribution |
2830 |
19.4 |
5488 |
15.3% |
4.4 |
14.8 |
|
Computer architecture |
2110 |
26.6 |
351 |
18.8% |
3.9 |
15.6 |
|
Computerized vehicle controls |
3660 |
20.4 |
1421 |
21.6% |
4.4 |
16.0 |
|
Liquid crystals, optical elements |
2870 |
19.1 |
5505 |
18.7% |
5.6 |
16.3 |
|
Thermal and combustion technology |
3740 |
19.6 |
5016 |
18.8% |
4.7 |
16.3 |
|
Material and article handling |
3650 |
22.2 |
1548 |
20.2% |
4.4 |
16.6 |
|
Computer architecture |
2180 |
26.9 |
1659 |
17.4% |
6.1 |
16.9 |
|
Fluid handling and dispensing |
3750 |
22 |
2167 |
19.5% |
5.3 |
17.0 |
|
Plants |
1660 |
16.8 |
19 |
26.3% |
3.9 |
17.2 |
|
Surface transportation |
3610 |
19.9 |
2543 |
24.8% |
4.1 |
17.2 |
|
Semiconductors and electrical circuits |
2820 |
19.7 |
4853 |
20.4% |
7.2 |
18.0 |
|
Chemical products and processes |
1750 |
23.1 |
3000 |
26.2% |
6.1 |
18.3 |
|
Miscellaneous computer applications |
2120 |
28.5 |
1146 |
24.2% |
6.2 |
18.6 |
|
Packages and containers |
3720 |
20 |
4169 |
23.4% |
6.0 |
18.6 |
|
Aeronautics, agriculture, fishing |
3640 |
17.8 |
1279 |
26.7% |
5.4 |
18.9 |
|
Static structures, supports |
3630 |
22.8 |
2110 |
24.5% |
5.6 |
19.0 |
|
Food technology, petroleum processing |
1760 |
28.9 |
2229 |
27.2% |
7.0 |
19.6 |
|
Metallurgy, electrochemistry |
1740 |
30.2 |
2752 |
25.0% |
7.7 |
19.8 |
|
Cryptography, security |
2130 |
36.4 |
790 |
21.9% |
8.1 |
19.8 |
|
Amusement and education devices |
3710 |
23.5 |
1237 |
27.1% |
7.1 |
20.1 |
|
Stock materials |
1770 |
22.2 |
1940 |
27.9% |
7.9 |
20.5 |
|
Graphical user interface, data bases |
2160 |
35 |
258 |
29.1% |
7.0 |
20.6 |
|
Fluid separation and agitation, |
1720 |
21.9 |
2220 |
30.5% |
7.3 |
20.7 |
|
Glass and paper making, tobacco |
1730 |
16 |
1630 |
27.1% |
8.2 |
21.0 |
|
Synthetic resins |
1710 |
23.5 |
2740 |
30.0% |
8.8 |
21.8 |
|
Electronic commerce |
3620 |
45.4 |
835 |
31.0% |
9.3 |
23.1 |
|
Wells, earth boring/moving/working |
3670 |
19.2 |
2447 |
29.1% |
9.4 |
23.3 |
|
Organic chemistry |
1620 |
24.1 |
3146 |
33.1% |
11.5 |
24.1 |
|
Body treatment, kinestherapy |
3760 |
24.8 |
2211 |
31.7% |
12.6 |
25.7 |
|
Computer networks |
2140 |
40 |
186 |
41.9% |
13.5 |
27.8 |
|
Organic compounds |
1610 |
29.9 |
1761 |
41.0% |
16.8 |
30.4 |
|
Fermentation, microbiology, |
1650 |
22.8 |
1292 |
43.3% |
19.1 |
32.9 |
|
Medical instruments, diagnostic |
3730 |
28.5 |
2550 |
40.9% |
21.6 |
35.7 |
|
Immunology |
1640 |
27.5 |
1294 |
56.3% |
25.9 |
41.5 |
|
Molecular biology, bioinformatics |
1630 |
25.9 |
1383 |
54.8% |
29.3 |
44.2 |
|
Totals |
|
|
83543 |
25.1% |
8.0 |
20.1 |