The United States Patent and Trademark Office (USPTO) is the federal agency responsible for granting patents and registering trademarks. As an inventor or trademark owner, you may deal with several key personnel during the application process. This article provides an overview of the major job roles at the USPTO—what they do, and how likely you are to interact with them.
1. Director of the USPTO
What They Do:
- The Director oversees the entire USPTO, setting agency strategy, policy, and direction.
- Acts as the top-level executive responsible for administering U.S. patent and trademark laws.
- The USPTO is part of the Department of Commerce, so ultimately the Director’s “boss” (even though the Director is senate-confirmed) is the Secretary of Commerce (who is turn reports to the President).
Likelihood of Interaction:
- Very low for a typical inventor. Most interactions happen further down the chain.
- The Director may, however, review certain decisions from internal boards in special circumstances (particularly after the Supreme Court’s Arthrex decision for PTAB matters).
- The director has significant power to set rules and guidance for the USPTO, so while your personal interaction with the Director is likely to be nil, the impact of the Director is huge.
2. Deputy Directors
What They Do:
- Deputy Directors assist the Director in managing the overall operations of the USPTO.
- They might take on particular agency-wide initiatives or special programs related to patents or trademarks.
Likelihood of Interaction:
- Very low for individual inventors. These positions deal mostly with agency administration rather than direct applicant contact.
3. Commissioner for Patents
What They Do:
- The Commissioner for Patents oversees the entire patent side of the USPTO, including patent examination policy, procedures, and operations.
- Manages the activities of patent examiners and ensures that patent laws are interpreted and applied consistently.
Likelihood of Interaction:
- Low. You’re more likely to work with patent examiners or supervisors than with the Commissioner directly. However, the Commissioner can be involved in high-level appeals or petitions.
4. Commissioner for Trademarks
What They Do:
- The Commissioner for Trademarks oversees trademark-related operations and policies.
- Supervises the examining attorneys and ensures that trademark regulations are properly enforced.
Likelihood of Interaction:
- Also low. Most trademark applicants only interact with individual trademark examining attorneys or through online filing systems. In exceptional cases (like petitions), the Commissioner’s office may be involved.
5. Patent Examiners
What They Do:
- Patent examiners evaluate patent applications by reviewing prior art (existing technology, publications) and comparing it to the claims of the application.
- Decide whether an invention is novel, non-obvious, and meets all other statutory requirements.
- Issue Office Actions detailing their reasons for acceptance or rejection.
Likelihood of Interaction:
- High. An inventor (or their attorney/agent) communicates with the assigned patent examiner to address any rejections or formal issues. Examiners are the primary point of contact during prosecution of a patent application.
6. Supervisory Patent Examiners (SPEs)
What They Do:
- SPEs manage teams of patent examiners.
- Provide guidance, mentoring, and ensure consistency and quality in the examination process.
- May get involved if the inventor or attorney requests an interview or if there’s a disagreement with the examiner’s approach.
- In my experience, my patent lawyer once got a call from the patent examiner saying (paraphrasing) “I can’t figure out any prior art to your invention, but my SPE has told me that under no circumstances can I issue this patent, so I’m going to send you a rejection and you’ll simply need to appeal”. SPEs can sometimes play a semi-political role in this way.
Likelihood of Interaction:
- Moderate. If you appeal or escalate concerns about your examiner’s findings, you might speak with a SPE. Otherwise, direct interaction is less common.
7. Trademark Examining Attorneys
What They Do:
- Trademark examining attorneys review trademark applications to ensure they meet statutory requirements, are not confusingly similar to existing marks, and comply with USPTO guidelines.
- They issue Office Actions if there are any legal issues, such as likelihood of confusion or descriptiveness.
Likelihood of Interaction:
- High for trademark applicants. Similar to patent examiners for patents, trademark examining attorneys are your main contact on the trademark side.
8. Patent Trial and Appeal Board (PTAB) Judges
What They Do:
- Administrative Patent Judges (APJs) on the PTAB handle appeals from adverse examiner decisions on patent applications, as well as post-grant proceedings (e.g., Inter Partes Review).
- They conduct trials, review evidence, and issue written decisions on patentability disputes.
- Many (probably the majority) work remotely, most of those geographically quite distant from the USPTO, so “back to the office” rules being pushed at the outset of the Trump administration may have the effect of dropping the number of PTAB judges significantly.
Likelihood of Interaction:
- Moderate. If you appeal an examiner’s final rejection, or if your granted patent is challenged, you may have your case heard by the PTAB.
- Direct interaction is usually through written submissions and oral hearings, not casual conversation.
9. Trademark Trial and Appeal Board (TTAB) Judges
What They Do:
- Administrative Trademark Judges hear and decide trademark disputes, including ex parte appeals from refusals and inter partes proceedings like oppositions and cancellations.
- Issue rulings on registrability and legal questions involving trademarks.
Likelihood of Interaction:
- Moderate for trademark applicants facing final rejections or for parties involved in trademark disputes (oppositions and cancellations).
- As with the PTAB, interaction is mostly via written proceedings or oral arguments.
10. Technology Center Directors
What They Do:
- Oversee groups of examiners within specific technology areas (biotech, software, mechanical, etc.).
- Ensure consistent patent examination practices, allocate resources, and handle management issues.
Likelihood of Interaction:
- Low. They handle administrative and policy functions rather than direct applicant communications. However, they may be involved in escalated disputes or interviews.
11. Office of the Solicitor (USPTO Solicitor’s Office)
What They Do:
- Represents the USPTO in court proceedings, typically in appeals to the Federal Circuit or the Supreme Court.
- Advises the agency on legal and policy matters.
Likelihood of Interaction:
- Very low unless you’re involved in a federal court appeal where the USPTO is a party. Most inventors never have direct dealings with the Solicitor’s Office.
12. Office of Enrollment and Discipline (OED)
What They Do:
- Regulates and disciplines patent practitioners (patent attorneys and agents).
- Handles registration exams, investigations of practitioner misconduct, and related administrative proceedings.
Likelihood of Interaction:
- Very low for the average inventor. You might encounter OED only if you have concerns about your patent attorney or agent, or if you’re applying to become a registered patent agent/attorney.
13. Administrative Staff and Customer Support
What They Do:
- Provide general guidance on procedural questions and help with forms or filing system queries.
- Answer calls and emails regarding the status of applications.
Likelihood of Interaction:
- Moderate. If you have simple administrative questions or need technical help with e-filing, you’ll likely speak to support staff rather than an examiner or supervisor.
Conclusion
The USPTO is a sizable organization with a hierarchical structure to handle everything from examining patent and trademark applications to resolving disputes. As a typical inventor or trademark applicant, your most frequent interactions will be with Patent Examiners, Trademark Examining Attorneys, or occasionally Supervisory Patent Examiners. Higher-level officials like the Commissioners or Director primarily focus on policy, management, and oversight, leaving day-to-day applicant interactions to front-line examiners and staff.
By understanding who does what at the USPTO, you can better navigate the process, know where to direct questions or concerns, and make the most of your experience in securing intellectual property protection.
About Innovation Cafe: Innovation Cafe is an intellectual property and innovation blog providing insights into patents, trademarks, and best practices for protecting your ideas. Stay tuned for more articles to help you navigate the complex world of IP.
Disclaimer: This article is for informational purposes only and does not constitute legal advice. For specific guidance, consult with a qualified attorney.