TAKEAWAY: While the USPTO Application Assistance Unit (AAU) can assist with a variety of patent process questions, many patent issues are better directed to other dedicated units at the USPTO for specialized assistance and quicker resolution.
When encountering issues during the patent application process, many practitioners and applicants’ first point of contact for help from the USPTO is the Application Assistance Unit (AAU). The AAU deals with issues across the gamut and faces a regularly high call volume, which can lead to long waiting times for callers. But there are many other, more specialized assistance units at the USPTO, that many practitioners are unaware of or unfamiliar with.
Read on below to learn more about whom you may consider contacting for help at the USPTO, based on the nature of your issue.
Resolving Issues with USPTO Processing
The USPTO’s Office of Patent Examination Support Services (OPESS), also known as the Case Resolution Team, can help with technical, administrative, and clerical issues in the patent application process.
If you believe there’s been an issue with the USPTO’s processing of patent application documents, you may call the OPESS for assistance. For example, if a document filed with the patent application appears in Patent Center but doesn’t appear on the examiner’s docket, the OPESS can forward the document to the examiner’s docket, figure out why the error occurred, and make suggestions for how to avoid the error in the future, among other things.
If you’re dealing with a complicated procedural issue with the patent application and you need a more specialized review from the USPTO to deal with the issue, you can contact the OPESS for help with escalating your issue to the appropriate team.
OPESS Phone Number: (571) 272-1720
Resolving Issues During Prosecution
The USPTO’s Patents Ombuds Office (POO) can help with both process issues and substantive issues on the merits, including claim objections, after-final practice, claim rejections, restrictions, and more.
The POO is made up of a small number of highly experienced and effective USPTO employees who maintain strong relationships across the various art units and departments. The POO can act as a mediator or facilitator to build rapport between examiners and practitioners, and to help figure out the best next step for a patent application which has stalled out. The POO can also help practitioners understand and respond to formal notices, and deal with process issues.
If you feel like the patent application you are handling has stalled, either because you have reached an impasse with an examiner, or because you cannot figure out how to move the application forward from a procedural standpoint, you may consider calling the POO.
Despite being a small department, the POO is generally known to be highly responsive. You may try calling the POO before emailing, and if you can’t wait on hold they offer the opportunity to request a callback.
POO Phone Number: (571) 272-5555
Resolving Issues in a PCT Application
If you’re having issues relating to an international PCT application filed with the USPTO as the Receiving Office, or a PCT application listing the USPTO as the International Searching Authority, the USPTO PCT Helpdesk may be able to assist.
The PCT Helpdesk can assist with issues relating to a PCT application even if a Receiving Officer has been assigned to your particular application. You may consider calling the PCT Helpdesk before calling a Receiving Officer, as they can internally escalate your request to the Receiving Officer via email. This is particularly helpful in cases where the Receiving Officer may be out of office or on leave, as it allows others to assist you in a timely manner.
The PCT Helpdesk can also assist with issues relating to a U.S. national stage entry of a PCT application under some circumstances. Notably, once you receive a Notification of Acceptance of Application (Form PCT/DO/EO/903), the US patent application may move out of the PCT Helpdesk’s domain depending on the issue. But even so, you may call the PCT Helpdesk before you call the AAU—and they can tell you whether they are able to help you directly, or they can direct you to the unit best suited to help deal with your issue.
Call volumes at the PCT Helpdesk are generally known to not be as high as the AAU, and the unit has relatively more employees than other units discussed here, so waiting times are generally less. If you call before or after their business hours, they recommend you leave a voicemail—and expect a return call.
PCT Helpdesk Phone Number: (571) 272-4300
Resolving Issues in Patent Center
The USPTO’s Patent Electronic Business Center (EBC) offers in-depth technical support to external users of the USPTO’s Patent Electronic System, Patent Center. The EBC offers one-on-one support, online electronic filing information, instructional material, and more. The EBC is available to assist users during its normal business hours.
If you’re running into a technical issue with Patent Center — whether it’s a problem submitting a filing, trouble viewing application data, an issue with your digital certificate, or something not working as expected on the site — the EBC may be able to assist. If you are having a problem with a system on the website, you are experiencing a problem after regular USPTO business hours, or you are unsure what is wrong, the EBC’s staff of highly trained customer support specialists can help you identify the root problem, assist you in addressing the problem, direct you to the appropriate call center, or escalate your issue to a specialized group as needed.
Note that the hours of operation of the EBC are Monday through Friday, 9 a.m. – 8 p.m. (ET), which is a wider window than most other USPTO units.
EBC Phone Number: (571) 272-4100
Resolving Issues with Sequence Listings
If your patent application discloses nucleotide or amino acid sequences, you may be dealing with sequence listing compliance requirements, and those can get complicated, especially with the transition to WIPO Standard ST.26 XML format.
The USPTO’s Sequence Listing Help Desk responds to all questions or concerns, from both inside and outside the USPTO, related to computer readable format sequence listing submissions. If you’re having trouble generating a compliant sequence listing, you’ve received a notification to comply with the sequence rules, or you have questions about the format and content requirements for your submission, the Sequence Listing Help Desk may be the best suited to assist.
For questions specifically about the rules and policy around sequence listings, as opposed to technical or formatting issues, you can also try contacting the USPTO’s Office of Patent Legal Administration (OPLA). OPLA assists with questions regarding 37 CFR 1.821 to 1.825, and 1.831 to 1.835 (sequence rules), and the use of WIPO Sequence, PatentIn, or Checker software. One important caveat relates to PCT and national-phase sequence issues, which the USPTO directs applicants to contact the PCT help desk for assistance.
Sequence Listing Help Desk Phone Number: (571) 272-2510
Office of Patent Legal Administration: (571) 272-7701
Resolving Issues with Recordation of Assignments
All documents and cover sheets submitted for recording are examined for formal requirements in the USPTO’s Assignment Recordation Branch (ARB), in order to separate documents which are recordable from those which are not recordable. Documents and cover sheets that are considered not to be recordable are returned to the sender by the ARB with an explanation.
The ARB also helps customers with transferring ownership or changing the name on their patent or trademark registration using Assignment Center. It also provides information relating to pending patent or trademark assignments, and answers questions about assignments, liens on patents, and filing assignments recordation forms.
If you need to record an assignment, request a change of name, or other document affecting title to a patent or patent application, and you’re running into issues with the process or have questions about what’s required, calling the ARB may be helpful. The ARB can help you with questions about cover sheet requirements, the status of a pending assignment recordation, or issues you’ve encountered when filing through Assignment Center. If your documents have been returned as non-recordable, the ARB can help you understand why and how to fix the issue.
ARB Phone Number: (571) 272-3350
Checking Status of Filings and Resolving Miscellaneous Issues
The USPTO’s Application Assistance Unit (AAU) is often the first call for most patent practitioners, and accordingly, the AAU handles a wide variety of issues. But they also deal with some of the highest call volumes across the USPTO’s patent assistance units, leading to the longest wait times. While there is a callback request feature to avoid waiting on hold, some practitioners report that their callback requests seem to get lost in the shuffle.
If you have an issue falling into one of the categories mentioned above, you may consider calling units other than the AAU for a quicker resolution and specialized attention.
If you need to check on the status of an application or a filing, help understanding formal notices, or help figuring out which unit would be best suited for your particular issue, you can call the AAU for guidance. Also, if you submitted a petition and a request for expedited review of your petition, you can ask the AAU to help ensure your request for expedited review is reviewed as soon as possible, so your petition can be promptly reviewed.
AAU Phone Number: (571) 272-4000