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UNITED STATES PATENT AND TRADEMARK OFFICE OFFICE OF THE GENERAL COUNSEL October 9, 2014 VIA U.S. MAIL Ms. Kate Gaudry 5503 Charleote Road Bethesda, MD 20817 Re: Freedom of Information Act (FOIA) Request No. F-15-00004 Dear Ms. Gaudry: The United States Patent and Trademark Office (USPTO) FOIA Office received your e- mail dated October 2, 2014, in which you posed the following questions, under the provisions of the Freedom of Information Act, 5 U.S.C. § 552: 1) What are the currently identified potential SAWS subject matters (e.g,, subject matters of special interest for each technology center and coprs-wide potential SAWS subject matter); and 2) For applications determined to contain SAWS material, what is the protocol for review of the application? For example, who is involved in searching for prior art, identifying whether a rejection is to be made, determining whether an application is to be allowed, and/or reviewing a draft Act (c.g., Office Action or Notice of Allocance). Please be aware that the FOIA is a means by which members of the public can obtain Agency records in existence at the time of the request. It cannot provide answers to questions or create new records in order to respond to FOIA requests. See Hudgins v. Internal Revenue Serv., 620 F. Supp. 19, 21 (D.D.C. 1985) However, the USPTO has identified forty-three (43) pages of records that it believes are responsive to your request. A copy of this material is enclosed. Your request is considered complete with full disclosure. However, you have the right to appeal this initial determination to the General Counsel, United States Patent and Trademark Office, P.O. Box 1450, Alexandria, VA 22313-1450. An appeal must be received within 30 calendar days from the date of this letter. See 37 C.F.R. § 102.10(a. The appeal must be in writing. You must include a copy of your original request, this letter, and a statement of the reasons why this response is deficient. Both the letter and the envelope must be clearly marked “Freedom of Information Appeal.” ‘The cost of this request was less than $20.00 and is therefore waived. See 37 CFR. § 102.11(4)(4), Sincerely, Aetign Adil, Kathryn Siehndel USPTO FOIA Officer Office of General Law Enclosure Sensitive Application Warning System (SAWS) Project Charter ‘SAWS Strategic Planning Committee [ADC/PM on project: | John LeGuyader Kathleen Bragdon (7500), Pater Paras (1600), Palot Ryan (1700), il Warden (1700), Vincent Trane (2100), Rehan Peres (2100), Ensnarel Mosse (2400), Toa Swann (200), Danie Swerctow (2600), ren Pnar (2800), lane tse (2600), Tory Male (3800), Robert Welrarct 2600), “Thomas Hanes 0700), Janet Saxtor (9700), Grog Vidoch (3100), Henty Yuen (3700), Caron Veynar (2800), Gregory Morea (GRU) deliverables: Purpose: “Tho SAWS programe dodigned ae an informatah gaorG Momrimewoxigang | sjslam to aboise various areas of the PTO ofthe prosecution of patont appeatons that clade sersitve Subject mater Project scope: ‘This progror apples fal ponding patent applications Wat Seoleencne disclose potenat SAVYS subjct matter Wenifed by he TCs | ‘S being senative in nature, mouding Reoxams, Relves ‘nd sppizalons being fowarged to he BPA ‘Costbeneft: Project goals? Project timolino: ‘On-going program wih Blannual updates in the TCs Evaluation factors: heme [Seen eps Links to other rojecte: ‘Stakeholders: Technology Center 1600 ive Application Warning System (SAWS) UPDATED: Ja Sen: “The SAWS program is designed at an infomation pthering sytem o appt various res of the PTO ofthe posecaton of ptetepplicatiors that inclue enlive subject mater, THis emo reminds Teshnology Centr 1¢00 of te on-going SAWS program. The lowing {Tis pour applies ol ending patent applications hat carlos polenta SAWS subject tate ited below, inslding Rexam, Roots ad appcarions being forwarded fo the BPAL “Tee SAWS program i based upon a ered proces of ppicton idenieain. This apposeh ‘ttle: he udgzento the Examiner an ore SP in considering whether an lations sublattice, Examiners and mangers sould we thelr! and "Sencournged oe ieral (ering to ident eaher thar ot teen os © ‘wis rn an applesons contin poten SAWS mteral. A commonsense approach {ould be used to seize he generate of he nvertin, Be lia, le a ove igure Srdinwna, Upom agreement that ao appliction culd be considered ts 4 SAWS ication, the SAWS FOC i slerted a ary ia prosecution ss posible. Theat should aehshor etal othe SAWS POC bn yousre casting an appeation potently SAWS, Jnelaing shoe explanation o hy “With his ler, te appliaton ls entre nt # SAWS database and Nagged by the SAWS POC, Tering promeation, te sensitive nate e he applcavon bas change i. Applica elect ron-imative aabjest mater, Appian amend the claims t exclu tensive subject mate), {he SAWS POC canbe muied a smave the apenon am tbe SAWS databace od ating roesiion of SAWS apliations shoud proceed Justus with ay ther appietion where Feces) review ty pay, sanference with SPE sor cone svih QAS) Unless be aur oft aja mater spares snave he SAWS POC ara the SAWS QAS eed na particu consulted aout he prseetion ofthe appiation. When complete, the (rice ection shouldbe approved for counting in eR as ws Duc tothe Nagging procera allowance SU LIE (the lag ony prevents llawances from b ‘Aner ine alowsnce counted, the Team Leader will ern the allowapee tthe SAWS. ‘POC and vend nn accompanying emai alerting te posting. Allowances remain counted ‘bet aot soe (and not scuoned into ean} aatils SAWS report hasbeen completed abd ‘onaldred by appropriate arent ofthe PTO. Ifa allowance ofa SAWS applic SAWS application ‘Upon sllowanceafa SAWS application, a complete SAWS seport must be completed by the ‘oe SPE insaling an impact Sate and then forwarded ote SAWS FOC asa Word ‘leumentatnchenen A template afte raguied report ie saches herato an electole copy ‘an be obtained fom the SAWS POC, SAWS QAS, or va SharePoint, “The SAWS report competed bythe home SPE i then considered bythe SAWS POC who Lends the repr where neseray eco any aan! data rasan ano the ‘Shative nture of he subjestmater. Olen this amending process eques input from the home Sr, your imcliness in sponding o SAWS requests for inforoationspreay appreciated Foie the SAWS POC conte fe SAWS QAS ths process “The SAWS repo ithe considered by the Director befor tie forwarded ovis areas of the 70 for consicerlon/eonment. Any suesGonsconcerns ebout the sensitive subject mater nvr thepowsesion of thespian sre adreaed flr 1 naling the lowes ROLE OF THE EXAMINER, HOME SPE, AND SAWS TC REPS, 1, Examinr identifies potential SAWS aplication by noiying home SPE 2 Thine SPE considers suntv an prepares report when nes 3, SAWS POC and SAWS QAS teviows SAWS report rm te home SPE 4, Buctr lve review and forwarding areas of FTO 1. Examine lentication of Potential SAWS Application, In order 0 provide the broadest ecoguitan af apicson of iere, Examiner have been provided wi ais ‘bjet mote arcs tha ar consetared to be sontroversal andr newsworthy, ae dried 10 Specific ums of inte ac tached). Th at no exbaostve. Examiners should us thir Judement an ese alin hi es wheter erm) ‘xpleston cont pen SAWS rail, This nl (Geren bythe Exarnse ‘inded to at «broad et or ppenbon fiers. 2. Home SPE Review and SAWS Report Preparation The home SPE should disuse he Senshive tire of he apicnon sith he Fxamine. The SPE sold xe ic jadgment snd be Thera in : a {tuline sas. la eases whore the SPE sa not artsy fhe application encompases SAWS, $ijec matey, the SPE should consult the SAWS POC anor SAWS QAS. gon agement tht se applieation shoul be epori as SAWS, th Home SPE st compet he SAWS repr ine etl eguted by the nace tempate The Impact Semen Se prepared by perforning a Interne onch fo ed extra information indiesting he eniueyof he sbjert mater” One vay fo Jo hi syns Googe search ofthe invention, the Inventor and nero eign. Sechafornation may le but st iid i, {cay important subject mates (the sock of the inventions owner polity made? Have thor bots pees enue thou the inverson?), polly shueged subject mates, ar pojec, ‘aller which may rise legac eal ob ction. “As noted above, the hare SPE yell prepares the SAWS report atthe tne of slowanae Exception o this rl area flow + For appisation lining highly conovers brepared priorto fis actor. 1+ Forkccxans nesting te Inte SAWS criteria, he SAWS repr should be completed porto each new acon ith short ston added which oun the ejections faained or advances. "Ter should, however be fow SAWS Resxars inthe TC ecause most of thew are handled nthe Coral Reexam Un. + Foraplieations under Appel te ome SPE, QAS Appel Specialist nor the Inmererens Speci Should Sen potent SAWS aplentons ate cme of the [Abel or nerferenct Conference mith the Exaiiner. For bons pplication eau tr netng the SAWS ever, the SAWS report shoul be prepted bythe home SPE w {helime of ine Bnominer's answer ov interfrence papers (PT0.A80, lis rd ou 1 eject mater, he SAWS repr shouldbe 5. SAWS FOC and SAWS QAS Review, Once submited, the SAWS repo wll be teviewou bythe SAMS POC aod he SAWS QAS and ntened, where necessry, flu any ‘ltt dens of prosecution aor the vase nature ofthe subject matter, Note ht in Some inmances tiny be necessary toreview the seta apcton fe. However the intent it {Stminimae my dct ingot on the exsminwton process The SAWS repos then forwarded {oe Te Direc for subnet ston 4. __Direcor Review and Forwarding, The TC Directors review the SAWS repr. Any farther questions concerning the abject mater anor prosecution we freed, The Directors {hake te fn decison on forming the SAWS report ober areas ofthe PTO. Inthe even tiara SAWS report is ot forarded, fe fefonmation paved for future use. forward, any Fiber question fom oer ares of PTO concer the sues ater andlor proseution ‘tout arsed via the SAWS POC andlor SAWS QAS- 1. Arcsin acing secringly flows or ilo controversial subject rater ~ paying Spec enon tothe ile abuts and conte ening, 2. Subject nates curently generating extensive medi coverage: + AIDS vaccines andor methods a prevention + Haran fet cell or eal soe based avetins + Haman eanetes 1 Gormine gene heapy 2 Haman anton tan (ES) celle and methods af making and using the sue thls does pot clad al sem el jt ES ells) >» odoed pluripotent echnlogy iosluding eof fetal cll teat + Cla ier special dire wor encompassing Human Beings inctdg Fim Beings, ‘nich Meta of mating or cloning human Being or human emp, Metods ofr me gentc manipulation of ran Metods of recy ats nase via vio eatin (VE) or ther ‘methdolopes gene ap) > Methods ung ormunpusig human embryos or eses “+ Hunan partenogeness asexual ele reproduction) + Invitro feitation (VF) + Methods or composition or ronging ie or preventing ang Cellet ies fom indizenous peoples Naive plant, plan exter plarvanina! proves: indigenous theapcs,uaonal ‘medicine using ative plants + Plat ermiawortchnokey 1 Todeoo plan genetically enginvered for increased nicotine production + Synthetic wholly enginesred bacterial oval genomes 4+ Diagnosis screening, or testers limite by race o xii in pela exeason of faces (eg personalized edie) Treatments penance nagenoe + Products and/or metho of using controled substances (Schedule andl drs), such (sine, PCP, LSD, barbituris, anpheuies cps ad er devas 5 Appleton: having clams defining inventions wich ould endanger inci, the tone bar the sary of aur nation eaten public sty. + Procestes or product afl ar bolgieal weapons; detection or renment of same (ct stacked eur fom the Cor for Desa contzloulinng bolo] spentsinvelved in bowafore ar bsteronon. Biological ages involved in interrorim or bicrines ‘rom “Enering eens Denton, ar aCe Van ume Deemer 2007 Pathogens. ABaraTowm Daclusantrecir, Coxiella burnt Fanci arent. Gla lanbia HIN: Riekerta prowazelt ypu, Salmonella phir, Satmancta phi, Shigetio species, Shfonomar species, Sapo. Piro Shuoroe Vial eoptslides, Vital Remorhape fevers (Eto), Yellow fever is Yersinia eterocoice, Yersinia pestis. ‘Toxins: Botulinum, Chater erdotoin Diptera tox, Ri, Soak toxin, Suphylococea! entrotexin 5 Teodoro Antierop Agent ce bls, Rye em ms, Wheat sem rst 3. Applicwions slaiming the prevenan or cring of dsetes which were previously ‘omered imposible fo prevent or care. suo these nolmiting sample: ‘Aehsimers sare femal xardation HIV ifeston Technology Center 1700 Sensitive Application Warning System (SAWS) PURPOSE: ‘The SAWS prosrem is designed aban information gathering system to apprise vaout trses of the ®1O ofthe prosecution of patent appleatons that include eonsitve subject ‘matter Inie mame reminse Technology Center 1700 of tre ongoing SAWS program ‘The folowing overviow prosonts our cuter procedure nase forward this biannuel update to all staff, SPEs are raquired to discuss the ature of rd the process inars In hel ‘osting following recoipt of the undated SAWS materials, OPERATIONAL OVERVIEW: This pram appees tl pending patont application thet claclose potential SAWS {Uject mater sted below, Incuding Roxane, Roksues and sppicatons beng forwarded to the BPA ‘Ihe SAWS program is based upon a fered pracess af application identification, This {pproasn fet viacoe the judgment o tho Examiner nd home SPE inconsceting ‘hetheran eppfesion’s subject mater eensive. Examiners and managers shoud (ee the udgement and are encouraged t be hberal ering todonty raMor fan not) inthe tentneaton as to whether o” nol ah applestons contains potential SAWS Iratorial A Bommon aenee approach shouts be used to scr ze the general nature of the iventon, the claims and he tte, Upon agreement hat an application cout be {Considered ae @ SAVVS application, the SAWS POC is aeed uo ery in prosecution as posable. The alam snoulsbe a short emal othe SAWS FOC thet you ae considering, En application ae potently SAWS, eluding # shor expination of why, ROLE OF THE EXAMINER, HOME SPE, AND SAWS TC REPS: 4. Examine erties potemtal SAWS applications by noting home SPE 2. Homa SPe eoneidats vanatty and prepare report when Pecaesary 43. SANE POCe (Patiok Ryan I Varden) ana SAWS GAS (Greg Mls) ‘eviews SAWS report fram the Name SPE 4, Gioctr vel review an forwaiding to areas of PTO +. Examiner identification of Potontia! SAWS Applications. In order to provide the bioadestecopnion of mpeations of terest, Examiners Nave boon proved with et of euljct matter arens hat are considered tobe convoversal andlor newsworthy. Grave drocted to speotle lame of moras ove ataches) This ist ie non-exhaustive Examiners thet judament and are encouraged to be beral in test ‘Horfifeain a8 to whether ornol a7 epoteation iil SAWS material, TW Curent 01/91/2018 Technology Center 1700 Sensitive Application Warning System (SAWS) 2 Home SPE Review and SAWS Report Preparation and 3. SAWS POC and SAWS QAS Reviow. ‘he home SPE should discuss the sensitive nature of the appization wits the Examine. ‘The SPE chou veo inc udament snd be iherain SAWS application Kentfcaten, dseteen out casoe ioe ou In eases where the [SPE rot certain fhe appicaton encompasses SAWS subject matter, te SPE should Consul the SAWS POG andor SANS GAS. Ary spolcation containing subjact ‘hatter onthe T6-1700 SAWS iat should be cleoussod bythe home SPE and one othe ‘SAWS POCs, Potick Ryan or Jil Worden. as goon 20 t & dented, The alert can ‘nude a short emai tothe SAMS POC thal you are considering an appeation as potently SAWS, inetuding @ shor exclanation of wy. tis determined thatthe application contains sonst eubjact matter, willbe paced In tne-Te SAWS grouping which wl prevent a Notice af Alowence Inthe applstion from ooing maled and ine nome SPF wil complete a SA bythe attached emoiate ‘Asa general ule, the home SPE typically propares the SAWS report no later than the {me of alowanee. For some cases, saorer fs bees + For applications claiming highly ootroversiol subject matter, the SAWS roport should be prepared pior a fist action. + For Reexame mosting tne Intod SAWS extra, he SAWS report should be Completed prov fo each nev action wih a thor secon addea wre outtnes te {elections maintained or advanced. Thore svould, however, be few SAWS eexams i 5 ie88 iva + For apalcatons under Appeal, tha home SPE, QAS Appes! Specialist sndor he Interarenee Speciaist shoud identty ptontal SAWS applications atthe time of tne Appeal or nertorence Confeienca wit the Examine’ For those apphations ‘lentilag ae meeting he SAWS ertera, Ine SAWS report should be prepared by ihe Home OPE at he toe of ne Examnars ansiver oF nlaerence pagars (PTO 150 lars ard count, Prosecution of SAWS applications shoul proceed ust as wit any oer appication {is, wheve necessary review by primary. conferanco with SPE, andlor consult with G53)" Unieas tne nature ofthe subject mater parculaly sensitve, the SAWS POC ead not be portuiary eonsued about te prosecution Of the application. 2 current 018172013 Technology Center 1700 ‘Sensitive Application Warning System (SAWS) 1 durng prosecution, te tensive nature a he appiation changes (Le, Applicants ‘lect non senatve subject mater, Appears amen the aime ta exclude sensitive ‘Subject matte, the SAWS POG canbe netfed to remove the application fem the SAWS grouping. Itwould be a best practice the examiner, upon determination that the application isin Condition fr allowance, schedule a mecting wih the home SPE and iho SAWS POC, Grin thei absense, the SAWS GAS to cacuse ary remaining SAWS issues ‘once suomited the SAIS report wil be rviened by the SAWS POC and he SAWS QAg and amended, where necossory, lo elude ey eddiional deta of prosecution aioe the senetve ature ofthe suoject matter The SAWYS reports then forwarded to {he Te Drestrs for ary subsequent action. 4. _ Director Review and Forwarding. The TC Diectrs review the SAWS report. finy furor uostions soncetring the subject matter ender prosecution are acdressed “ng Dctora mae the final eaceion on forwarding tho SAWS fepor to cher areas ct {he PTO. in the overt that a SAWS ropert snot forwarded, te information ls eaved fr ftture uve onward, any fle questions trom ater areas of PTO concerning te Subject matter andlor prosecution would addressad via tha SAWS POC andlor SAWS ane. Ccuront 0115112013 4 Hemth or madicine reso patent applications auboct to extnaive “SENSITIVE APPLICATION WARNING SYSTEM (SAWS) TOPICS. "re's700 ‘Aapon wich not stay aerate uneanted ned coeape nen, Mons, -Appictons wih pioneering ope Aposcatansceimingivendonsveich seem iva, mundang, lous or examely bse sven as ermpes peanut be: analy sonawicnes, mtn f smining on = swing Inares, se, On tose. pay spoil stention othe le abetract and over drawing Room tomporature euporconauctors fanoor Baness "mas con esoan, oi ‘Etman ining of chore ‘Star Gal ar Gorn ina gore therapy Motes ar Macho tacs human He cule) [SSimingoreverson or curng of senses wh were provousyconaderes Mclor, Pome plant or tha device which is sttautainng (perpetual motion) or appears to ‘ostothe wa of exeneny orphrace ‘ois Fusion, nyeina escton, or magnesue" axon energy sutce of any ahr presucton Stexteas hel dude of inonn cnomay oF ahvles ‘A-Globl Waring devies or any ater vie operating a the lob sce Inventions hen wou endanger natvduas, he endscnmart harm he scart of eu aon or thaaton publ sate ‘Applicaton win lars ta computer programs or egotins wich have psn aoc Uindor38 U8 "05, Claes win compan programs algsehms show be evant by TC ‘SAS POC or Shin Cae botore he re Osos Acton Controversial aga! bjesionsia, or cagutny mbjact mater Examen neta ‘Sarjuane epee and pemograny Compound slams ony by neon! characterises Pe sete are ‘Tors Pay snkacur of patent prosecvion (at game, na s64aree, fo! Invent) us Un -Apptcaone related to patos presen bong gated “Aposctons wth long pendencis or multe continuation ging beck or mero (Booman ype appear) [SENSITIVE APPLICATION WARNING SYSTEM (SAWS) TOPICS. "re 1700 “+ Applications speclying ace nthe aims + eleanor a einai whch wou beetje 8 101 pon vine PTipatan roles tbo Supreme Cour 1 Lalpton wheres udgment ons paient was ater favorable or ntevorebe and sgh