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Patent Office Denies High Percentages Of Chinese, Asian Examiners: Study Shows Tilt Of Up To 85%
By  Search EzineArticles.com 

Patent Office Denies High Percentages Of Chinese, Asian Examiners: Study Shows Tilt Of Up To 85%
By  Search EzineArticles.com 

Mouthing a litany of diversity and equal employment opportunity platitudes, the U.S. Patent and Trademark Office (PTO) is at a loss to explain the heavy tilt among its patent examiners in favor of various Asian ethnicities, disclosed by this reporter in an article entitled, "Asian Tilt at Patent Office Raises Cause for Concern," published in The Justicegate News-Messenger (see reference 1).

Table 1. Table of Contents for Article

1. Asian dominance of multiple PTO art units doing the same work
2. Distribution of Asian tilt pronounced among 261 PTO technology art units
3. How the study was conducted
4. PTO and White House officials failing to explain Asian tilt
5. Security risks identified
6. Present-day Chinese espionage approaches exposed
7. Chinese woman FBI informant charged as a Chinese double agent in Los Angeles
8. Motivations for the PTO's general Asian tilt and pronounced Asian dominance of sensitive art units
9. Study raises added concern for background checks' thoroughness
10. PTO bonus program has created a virtual feudal system, contributing to fraud, waste, and abuse
11. PTO Corruption: False patents ordered in exchange for bonuses

Now, a detailed October 2003 review by this reporter of 3,761 patent examiners in 261 technology art units of the patent office confirms a peculiar, verifiable tilt in favor of various Asian ethnicities, as depicted in Table 2, below, and in Table 3, post.

For example, 11 percent (28 art units) of the 261 patent examination units reviewed have from 43% to 85% of their patent-examiner employees who are of Chinese, Vietnamese, Korean, and other Asian ethnicities; and fully a third of the 261 art units employ examiners of from 28% to 85% Asian ethnicity.

Table 2. High Percentages of Asian Patent Examiners in Sensitive Technology Areas

(Technology Area, followed by Percentage of Examiners Who Are Asian)

• 2818-Static memory/Semiconductors85%
• 2685-Radio Communications80%
• 2861-Recorders and Printing78%
• 2821-Electronic Circuits72%
• 3729-Packages, Containers, Manufacturing Devices & Processes, Machine Tools & Hand Tools67%
• 2172-Data Base and File Management65%
• 2814-Semiconductors/Manufacturing63%
• 2824-Static memory/Semiconductors61%
• 2816-Electronic Circuits 59%
• 2632-General Electrical Communication58%
• 2871-Liquid Crystals58%
• 2682-Radio Communications57%
• 2819-Digital Logic56%
• 2634-Digital Communication55%
• 2643-Video Conferencing, Wired Telephone, Audio55%
• 3748-Thermal & Combustion Technology, Motive and Fluid Power Systems, Textile Manufacturing & Apparel54%
• 2665-Multiplex Communication and Internet Telephone53%
• 2663-Multiplex Communication and Internet Telephone50%
• 2811-Semiconductors50%
• 1641-Specific Binding Assays and Apparatus50%
• 2174-Graphical User Interfaces, Operator Interface50%
• 3637-Static structures50%
• 2674-Digitizers, CRT/Flat Panel/Computer Display, User Interface47%
• 2624-Printing, Facsimile, Enhancement or Restoration of Image. Gray Level to Binary Conversion46%
• 2636-[Not identified]46%
• 2642-Wired Telephone46%
• 2176-Document Processing46%
• 2876-[Data] Registers45%
• 2631-Digital Communication44%
• 2878-Radiant Energy44%
• 2142-Computer Networks & Plural Computers43%
• 2186-Computers: Memory Access & Control43%

Table 2, above, shows the 32 technology art units having the highest percentages of Asian patent examiners working at the PTO.

Of greater concern, the particular art units with the highest percentages of Chinese, Vietnamese, Korean, and other Asian ethnicities are the units that examine patents in the sensitive areas of:

• Electronic devices,
• Communications,
• Semiconductors,
• Electronic circuits,
• Radio communications,
• Digital logic,
• Computer networks,
• Computer memories,
• Thermal and combustion technology, and
• Others equally sensitive.

1. Asian dominance of multiple PTO art units doing the same work

Examining the technology art units among the 32 category identification stubs in Table 2 discloses that the Asian dominance is redundant in other art units that do the same work in the same technology area.

The reasons for multiple art units examining the same technology arise from the combined effects of the volume of patent applications in a particular technology area - necessitating more examiners - and the maximum supervisory span of control for examiners being about 15 employees in a unit.

Note the following pairs of art units that do patent examinations in the same technology areas:

.  Static memory/semiconductors: 
- 2818 - 85 % Asian, and
- 2824 - 61 % Asian
.  Radio Communications: 
- 2685 - 80 % Asian, and
- 2682 - 57 % Asian
.  Electronic Circuits: 
- 2821 - 72 % Asian, and
- 2816 - 59 % Asian
.  Digital Communication: 
- 2634 - 55 % Asian, and
- 2631 - 44 % Asian
.  Multiplex Communications and Internet Telephone: 
- 2665 - 53 % Asian, and
- 2663 - 50 % Asian 

This redundancy of Asian domination in similar art units that process patent applications in the same technological areas dispels the idea that the staffing of these art units is the result of either equal employment opportunity, or diversity, or adherence to Office of Personnel Management hiring guidelines, or random chance.

2. Distribution of Asian tilt pronounced among 261 PTO technology art units

The detailed October 2003 review disclosed the distribution of the Asian tilt among patent examiners at lower organization levels, reported previously only as summary percentages in the August 2003 issue of The Justicegate News-Messenger (reference 1).

Table 3 shows the broad distribution of Asian ethnicity throughout the patent examiners in the patent office side of the U.S. Patent and Trademark Office. The study identified 855 employees of Asian ethnicities out of 3,761 patent examiners, or a mean average of 22.7 percent.

The study results have been confirmed as valid by PTO sources wishing to remain anonymous.

Table 3. Pronounced Asian Tilt Disclosed at the Patent Office

Percentage of Asian Examiners in     Number of Art UnitsEach of 261 PTO Art Units            by Category
0%                              33
5%                                      0
10%                              42
15%                              35
20%                              36
25%                              23
30%                              18
35%                              20
40%                              17
45%                              10
50%                              10
55%                               4
60%                               5
65%                               3
70%                               1
75%                               1
80%                               2
85%                               1
90%                               0
95%                               0
100%                               0

The mean (average) of the distribution is 22.73%.

3. How the study was conducted

Lists of the patent office personnel working in each of 261 art units of the PTO were obtained from the internet, showing by full name each person working in each art unit, with the total number of patent examiners employed in each art unit stated.

The lists are believed to be complete and cover 3,761 patent examiners, exclusive of administrative, managerial, and quality assurance personnel.

The process of the review consisted of identifying whether each full name was deemed to be Asian in ethnicity. Names that did not appear clearly to be Asian were deemed not to be in the Asian category.

While it is acknowledged there may be some possible shortcomings to this approach, there appear to be offsetting exclusions-such as an Asian woman married to a man with a non-Asian surname, who would not have been counted as Asian unless her two or three other names clearly denoted Asian descent.

The totals of thus-identified Asian personnel were gathered for each art unit and divided by the total personnel complement of that art unit to arrive at a fraction that was then converted to a percentage.

The results of the study are considered to be sufficiently reliable for the purposes of justifying a detailed counterintelligence investigation.

4. PTO and White House officials failing to explain Asian tilt

Although PTO Director James E. Rogan stated in a backdated Sep. 5, 2003, letter to this reporter that "The USPTO, in line with Administration policy, is committed to recruiting and retaining a diverse workforce drawn from all segments of society" - the facts remain:

Highly sensitive patent technology areas are dominated by Chinese, Vietnamese, Koreans, and other Asian ethnicities to a degree that goes far beyond any possible explanation of diversity or equal employment opportunity.

And, in

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the highly Asian-dominated areas, the great preponderance of Asian workers are of Chinese and Vietnamese ethnicities.

An 85 percent concentration of Asians in a PTO art unit is not diversity.

Everyday Americans, Korean era veterans, and Viet Nam era veterans are justifiably curious why there are such high percentages of Chinese, Vietnamese, Koreans, and other Asian ethnicities working in highly sensitive technology areas of the patent office.

Such inexplicable concentrations of Asians in highly sensitive technology areas provide good cover for foreign commercial or military intelligence operatives.

When this reporter sent the earlier report of the Asian tilt at the patent office to Mr. John H. Marburger, III, director of the White House's Office of Science and Technology Policy, the resulting response on October 2, 2003 (signed by Mr. Marburger), was a "thank you for your letter regarding the need for counterintelligence and counterespionage mea-sures at the United States Patent and Trademark Office (USPTO) to avert or mitigate a possible intelligence threat posed by employees at the USPTO."

Mr. Marburger continued in his letter, stating that: "Given the USPTO's expertise on such matters, it is the appropriate agency to have responded substantively to your concerns."

However, PTO Director Rogan's backdated letter, of Sep. 5, 2003, was not a substantive response, in that it failed to discuss why there were such high percentages of Asian ethnicities working as patent examiners, but was merely a self-serving declaration proclaiming adherence to equal employment opportunity principles.

Mr. Rogan's Sep. 5 letter requested if there was "any specific knowledge of a security breach at the USPTO, please contact our Office of Security" and "a security investigation will be initiated immediately."

5. Security risks identified

In a Sep. 5, 2003, article entitled, "Patented, Secret Technology May be at Risk to Spies" (see reference 2), the September issue of The Justicegate News-Messenger laid out and detailed particulars of six identified PTO security risk areas:

1. Physical Access Security
2. Document Security
3. Computer Access Control
4. Non-U.S. Citizen Workers
5. Security Background Investigations
6. Dial-in Computer Access.

The patent office source unidentified in the Sep. 5 article called the patent office "a fertile environment ripe for exploitation" by foreign powers, foreign companies, and spies.

While the PTO has been trying to mask the Asian tilt in the patent office among patent examiners, it is difficult to understand how anyone could argue 43% to 85% of the patent examiners in sensitive technology areas being Asian was a consequence of seeking diversity. As reported previously in the Sep. 5 article, government-contractor personnel provide administrative support and perform various routine administrative chores for the PTO.

Such chores include filing, transporting both unclassified and classified patent application files and patent files, copying, mail distribution, computer and technical support, and the like.

The source revealed previously that not all of these contractor personnel are U.S. citizens. Some are "green card" alien workers.

It has not been possible to obtain data on the ethnic makeup of these contractor employees.

"A concern associated with this Asian tilt at the PTO may be the safety of our country's technology in classified areas such as nuclear weapons, bio-technology, radar, guidance systems, computers, communications, and ordnance, among other technologies," according to the Aug. 5, 2003, Justicegate News-Messenger (reference 1).

The PTO has not denied the risks identified in the Sep. 5, 2003, article.

6. Present-day Chinese espionage approaches exposed

Press reports in August 2003 detailed facts of two Chinese students who admitted acquiring details of a metal specially created for the Navy, having application in weapons and sensors, and then sending those details to Chinese military intelligence.

Two other Chinese students were reported to have forwarded submarine-related technology to the Chinese military.

A Pentagon report summarized in The Washington Times, of August 5, 2003, disclosed: "China is using students and scientists to develop its military technologies. 'Husband-wife teams' also are employed."

The same PTO source has revealed that it is not unusual to have a Chinese (or other Asian) husband and wife working as patent examiners in the same patent office art unit or in two art units (n.b., an art unit focuses on a particular grouping of technology).

The PTO source elaborated to say that the nepotism extends to other Chinese, Vietnamese, or other Asian family members- brothers, sisters, cousins, and the like-working at the patent office.

The logic is inescapable: If the Pentagon is correct-that the Chinese are infiltrating agents into centers of technology within the United States-and the patent office is a massive repository of modern technology, then it follows that the Chinese (and, undoubtedly, other Asian countries) must be trying to infiltrate the patent office and most probably already have done so.

In that the USPTO represents the major repository of the best and most-advanced technology in the world, there is no place better than the PTO in which to garner U.S. technology.

7. Chinese woman FBI informant charged as a Chinese double agent in Los Angeles

The disclosure earlier in Spring 2003 of a Chinese woman FBI informer-alleged to have been a double agent for 20 years-who was involved sexually with two FBI counterintelligence section chiefs in the FBI's Los Angeles and San Francisco field offices must raise the sensitivity in our government to potential intelligence threats by Chinese and other Asian countries against the U.S.

8. Motivations for the PTO's general Asian tilt and pronounced Asian dominance of sensitive art units

The general Asian tilt of the patent office and the pronounced Asian dominance of particular sensitive technology classes and art units are ascribed by the PTO source to one or more of six motivations:

1. Gaining technology forecasting information for relay to foreign principals;
2. Gaining market entry/market exit timing information for securities' trading by foreign principals;
3. Granting patents that ought not be granted;
4. Providing preferential employment treatment of other Asians;
5. Facilitating foreign technology companies' startups; and
6. Providing an environment conducive to commercial or military intelligence gathering in favor of Asian principals.

The source foresees the long-term results of the pronounced Asian tilt at the patent office as growing Asian dominance over particular sensitive technology classes and art units.

Already a large and growing number of PTO supervisory, managerial, and technical (e.g., quality assurance) personnel are of Asian ethnicities, according to the source.

".some PTO supervisory personnel have issued directives to examiners for the examiner to grant particular applicants' patents, regardless of the worthiness of the patent application." -- PTO Sources

9. Study raises added concern for background checks' thoroughness

Once the PTO source was shown the results of the October 2003 study, the source expressed more strongly a previously-reported concern about the adequacy of the background checks done on Asian patent examiners.

"Many of the Asians at the patent office are naturalized American citizens-rather than citizens who were born in the United States-and may still owe allegiance to their homelands.

A few may even be intentionally-planted, covert, intelligence agents," the source said.

The source expressed concern that false, or forged, foreign academic degrees and enhanced work-history credentials could have escaped notice in PTO background checking.

Also, the source expressed concern for the functional language abilities of some foreign PTO employees, who do not have a proficiency in the English language.

"Some private patent attorneys have contacted the patent office and complained that certain Asian patent examiners could not speak English adequately to communicate effectively with either the patent applicants or their attorneys," the source said.

Of even greater concern-given the high percentages of Asians disclosed by the October 2003 study-is the possibility of infiltration by covert intelligence agents having manufactured cover identities.

10. PTO bonus program has created a virtual feudal system, contributing to fraud, waste, and abuse

Two sources at the patent office, who requested anonymity, disclosed that the PTO bonus system is abused currently by supervisory and management personnel, with achievements over 100 percent of production quotas-leading to bonuses-often being reached through abusive means.

Earlier this year, the PTO's bonus program for patent examiners, supervisory patent examiners, and art center directors began to be applied differently than in the past, in that the length of patent examiner dockets were slashed by about 90 percent and the pending cases were transferred to supervisors' dockets, the source disclosed.

Subtleties in how the bonus program operates are subject to abuse.

The apparent effect of this reapplied bonus program has been the creation of a virtual patent-office feudal system, complete with fiefdoms-with the "liege lord" of the fief dispensing benefits to his or her "retainers"-through facilitating the surpassing of quotas and achievement of bonuses for those favored, and loyal, "liegemen" examiners, according to the source.

11. PTO Corruption: False patents ordered in exchange for bonuses

The bonus program and the fulfillment of its quotas by abusive means--including, among others, the directed granting of patents that ought not be granted --has resulted in improper benefits being received by the particular patent applicants and improper bonuses being paid to PTO employees and supervisors.

It is said that some PTO supervisory personnel have issued directives to examiners for the examiner to grant particular applicants' patents, regardless of the worthiness of the patent application.

A second source at the patent office, who has come forward and who also has asked to remain anonymous for fear of reprisals, has stated to this reporter that he or she was offered bonuses and career advancement in exchange for giving preferential treatment to the patent applications of a particular applicant, including to grant patents to applications that ought not receive patents. This particular patent examiner refused the offer.

It is said that many other examiners have acquiesced to this type of corruption.

The sources raised the question: "In that the PTO bonus system fosters the improper granting of patents, could it also be facilitating the sale or conversion of technological details or market-timing information to foreign recipients or the cover-up of foreign commercial or military intelligence gathering?"

References:

1. "Asian Tilt at Patent Office Raises Cause for Concern," originally published Aug. 5, 2003, in The Justicegate News-Messenger, referred to above. Please see EzineArticles, accession number ?id=57272 to review.

2. "Patented, Secret Technology May be at Risk to Spies," published Sep. 5, 2003, in The Justicegate News-Messenger, referred to above. Please see EzineArticles, accession number ?id=57289 to review.

Reprinted from The Justicegate News-Messenger; used with permission. This article published originally on Nov. 3, 2003. Free license granted to reprint and redistribute.

Ken Breedlove, Investigative Writer
The Justicegate News-Messenger
This is the third of a series of articles on the U.S. Patent and Trademark Office.

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