EXPERT INSIGHTS: How to Understand Feedback from the Patent Office
A Guide for Inventors

Andrew Stentiford
Patent Attorney at Lightbringer
When you need to protect your invention using the patent process, you may enter into a discussion with a patent examiner before a patent application can be granted. The patent application undergoes an assessment by a patent examiner to check whether it is patentable. It is the patent examiner's role to make sure that only concepts that are new and not obvious are afforded patent protection. The patent examiner has a duty to ensure that applicants do not obtain invalid patents.
During the patenting process, the patent examiner will provide their comments and opinions as to their assessment of whether the invention as described in the patent application is novel and inventive. The patent examiner usually does this by first issuing a written report. This report has different terms. This report is called different things in different countries, but is also known as an office action, an examination report or a notice.
Andrew Stentiford, Patent Attorney & Founding Member of Lightbringer.
What to look out for in an office action
The office action sets a deadline (usually between 3 to 6 months) for responding to the patent examiner or addressing the issues raised by the patent examiner. It is reasonably common that the initial assessment of a patent examiner is that the patent is not allowable.
This does not mean that the patent applicant will not get a patent. Instead, this is the start of a negotiation process between the applicant and the patent examiner which is normally done by a patent attorney. The term that patent attorneys use to describe this process is “prosecution”. (This is not to be confused with criminal law)
During prosecution of a patent application, the patent attorney may submit arguments as to why the patent examiner's assessment is incorrect and / or they may amend the claims to address the issues raised by the examiner. The object of patent prosecution is to move the patent application towards a conclusion - hopefully a granted patent!
Decoding the feedback
Part of the patent examiner assessment is conducting a search of earlier patent documents. The search report will provide a list of earlier patent documents with different levels of relevance which will form the basis of the assessment. The coding of these documents indicates what the patent examiner thinks. An X indicates that the patent examiner thinks that the earlier document is relevant for novelty. In other words, the claim is not new. A Y indicates that the patent examiner considers that the earlier document is relevant for the purposes of inventive step. Often the patent examiner considers that the invention set out in a claim is obvious when considering two earlier documents in combination. An A indicates that the patent examiner considers the earlier document is only relevant for background purposes.
Looking at the codes that the patent examiner gives to the earlier documents will give an understanding of how difficult it may be to secure a notice of allowance. For example, one or two X or Y codes may mean that a patent application may be granted with some argumentation and claim amendments. The patent examiner may also think that there are other issues with the claims or description. For example, the patent examiner may think that one or more terms in the claims are unclear. This may require changing the term or providing further description as to what a specific term means. A patent examiner may also require some formal amendments, which can be easily addressed by a patent attorney when responding to the patent examiner.
Is it all bad news?
No! Often, in the patent examiner's assessment, there may be an indication whether one or more claims are allowable. Perhaps the examiner considers a dependent claim is allowable. This would mean that if you were to include the subject matter of the allowable dependent claim into the independent claim, you would be granted the patent.
It may be desirable to accept an amendment using an allowable dependent claim because this can speed up the granting process. However, consideration should be given as to whether the patent examiner's assessment is correct. Perhaps there are other better options available than accepting the patent examiner’s initial assessment.
Is the patent examiner always right?
Often, the patent examiner's assessment is subjective and can be argued depending on the facts of the case and the understanding of the technology. This is particularly the case when discussing inventive step or obviousness with a patent examiner. For instance, an inventor may have a better understanding of how an earlier document should be interpreted and whether it is indeed relevant or not.
In order to move the patent prosecution forward, usually a written response is submitted to the Patent Office before the deadline. Normally, this will require comments relating to the earlier documents and sometimes amendments to the claims.
What should I focus on as an inventor?
An inventor can help this process by reading the prior art documents mentioned in the office action. In particular, focus on the patent documents the patent examiner discusses in reference to independent claim 1. The patent examiner may make reference to passages in the earlier patent documents - focus on these parts. Consider if features of your invention are actually shown in the earlier document. Perhaps the examiner has interpreted a term incorrectly or misunderstood something. Provide your comments to your patent attorney as to why an earlier document is not relevant. Good inventor comments can make a response to the patent examiner far more compelling and likely to persuade the patent examiner that a patent application isallowable.

ANDREW STENTIFORD
Patent Attorney and Founding Member of Lightbringer