I forget if I posted reference to this before but for easier reading I just OCR'd this into text (had to edit the less than perfect OCR so may still be some minor errors). This is the infamous USPTO-SAWS memo. I'll attach the original PDF also which shows the official page stamp. :
"UNITED STATES PATENT AND TRADEMARK OFFICE
DATE: March 27, 2006
TO: TC 2800 managers
FROM: Janice A. Falcone, Group Director
Sharon Gibson, Group Director
Robert Oberleitner, Group Director
Richard K. Seidel, Group Director
Arthur Grimley, Acting Group Director
Commissioner for Patents
United States Patent and Trademark Ofï€ce
P.O. Box 1450
Alexandria, VA 22313-1450
SUBJECT: Reminder on TC 2800 Guidelines for Sensitive Application Warning System
- - (SAWS) Program Reminder
This is to remind our personnel that Technology Center 2800 has in place a SAWS program
based on the following guidelines. All TC 2800 managers must remind their examiners of this
program and its implementation.
T Attached is the updated TC 2800 SAWS program. Please review and disseminate.
UNITED STATES PATENT AND TRADEMARK OFFICE
Commissioner for Patents
United States Patent and Trademark Ofï€ce
P0 BOX 1450
Alexandria, VA 22313-1450
www.uspto.govSPECIAL APPLICATION WARNING SYSTEM
(SAWS)
Technology Center 2800
March 27, 2006
I. PROGRAM OVERVIEW:
The SAWS program was designed to assist in processing of patent applications identified as
claiming subject matter of special interest that, if issued, would potentially generate high
publicity or would potentially have a strong impact in the patent community. It is also an
information gathering system to apprise various segments ofthe USPTO ofthese patent
applications.
This program applies to all pending applications and reexamination proceedings (reexams).
' As a program to assist in processing of patent applications and patents undergoing
reexamination, it is intended to ensure that the examination standards and guidelines are applied
properly to such applications and reexams that include sensitive or noteworthy subject matter.
As an information gathering system, the SAWS program should identify applications and
reexams that, if issued as a patent or reexamination certificate, would be controversial or
. noteworthy. A '
The initial identiï€cation of SAWS applications/reexams is performed by the examiners (may
also include managers and classiï€ers). Therefore, it is important that examiners stay informed
about this program and the identiï€cation criteria. '
Independent of the SAWS program, examiners are encouraged to bring to their
supervisor's attention any application/reexam that raises issues that they are uncertain
how to handle. Supervisors are responsible for determining which applications/reexams
proceed through the SAWS program versus those applications/reexams having other issues ~
which are normally addressed by existing examination procedures and established
examination/re-examination guidelines. '
11. OPERATIONAL OVERVIEW:
TC 2800 handles the SAWS program based upon a tiered process-of application/reexams
identiï€cation. This process relies on Examiners and SPEs to identify these applications/reexams, _
and a SAWS screening committee to verify their status. The SAWS screening committee
comprises the home SPE, at least one of the following managers in the TC 2800 Quality Center:
Management Guidelines for Sensitive Application Warning System (SAWS) Program
. - 2 -
Cassandra Spyrou, Clayton LaBalle and Hien H. Phan, and another TC 2800 management
ofï€cial.
Applications/Reexams which have been identiï€ed and veriï€ed as containing SAWS material are
reported the TC Directors, and as needed, a SAWS memorandum is forwarded to the Deputy
Commissioner for Patent Operations and the Deputy Commissioner for Patent Examination
Policy prior to allowance or forwarded to the Board of Patent Appeals and Interferences (BPAI)
when an appeal is forwarded to the jurisdiction of the BPAI.
A. Technology Center 2800 Practice:
1. Examiners are the ï€rst line of review since they are the most knowledgeable about the
pending claims and application/reexamination issues. Examiners will report potential SAWS
applications/reexams to their SPE. Upon approval of the SPE, the case will be brought by the
SPE to Clayton LaBalle, Cassandra Spyrou or Hien H. Phan for entering the SAWS
l application/reexam number into the TC 28 00 tracking system.
2. Flagging an identiï€ed SAWS application/reexam in PALM to ensure that the
application/reexam cannot be allowed or an NIRC issued until the ag has been removed.
3. TC 2800 has established a screening mechanism to remove non—SAWS applications/reexams
from their SAWS designation. This screening mechanism permits a second review and will
result in a recommendation as to whether the application/reexam contains SAWS subject A
matter. The SAWS screening committee will perform the second screening review.
4. Applications/reexams that have been through the TC screening mechanism and have been
identiï€ed as SAWS applications/reexams will be brought to the attention of the TC
Directors. The TC Director will bring them to the attention of the Deputy Commissioner for
Patent Operations and the Deputy Commissioner. for Patent Examination Policy.
5. For uniformity and process improvements, a SPRE, QAS, or a SAWS TC-screening
committee must be utilized. A SPRE, QAS, or a ‘SAWS TC-screening committee will be
tasked to periodically review the SAWS processing guidelines and criteria to continually
update and revise the program as needed.
6. Placing a PALM Flag on subject classes, which encompass sensitive subject matter until a
review ofthese cases is performed upon allowance (such as business methods, class 705).
7. A reminder and a11 updated SAWS criteria list will be distributed, at least semi-annually, to
examiners to stress the importance of SAWS application identification. All newly hired
examiners should be made aware of this TC 2800 SAWS program
Management Guidelines for Sensitive Application Warning System (SAWS) Program
B. Subject matter of special interest in TC 2800:
1. Perpetual motion machines; classes 310 and 290
2. Anti-gravity devices
3. Room temperature superconductivity; class 310
4. Free energy — Tachyons, etc.
5. Gain-Assisted Superluminal Light Propagation (faster than the speed of light); class 702, 359
6. Other matters that violate the general laws of physics; classes 73, 290.
7. Applications containing claims to subject matter which, if issued, would generate
unfavorable publicity for the USPTO, class 84, 702.
8. Reexamination proceedings involving patents in litigation and:
The court decision/verdict is subject to review by the Supreme Court
The court decision includes high monetary awards .
The technology and companies involved would likely generate high publicity
C. Corps-wide Potential SAWS"subject Matter ~
1. Applications with a very old effective fling date (pre-Gatt -- before June 8, 1995) with
broad claim scope.
2. Application with pioneering scope.
3. Applications dealing with inventions that, if issued, would potentially generate extensive
publicity.
4. Applications with objectionable or derogatory subject matter,
5. Applications with inventions that would harm people or the environment, compromise
national security or public safety.
6. Directors Ordered reexams except those ordered due to failure to considered timely ï€led
prior art or due to prior art citation under 37 CPR §1.50 1."
