Skip Navigation

Appendix C: Performance Measures Definitions

 

STRATEGIC OBJECTIVE 2.2

Protect intellectual property and improve the patent and trademark system

PERFORMANCE OUTCOME: Optimize patent quality and timeliness (USPTO)

Performance Measure:
  • Patent allowance compliance rate

This measure assesses product quality as measured by the internal quality review processes. The quality of patent examination decisions are measured by the reopening rate or similar internal quality measures.

Data Verification and Validation Summary
Data source Office of Patent Quality Review Report
Frequency Daily input, monthly reporting
Data storage Automated systems, reports
Internal Controls Manual reports and analysis
Data Limitations None
Actions to be Taken N/A


Performance Measure:
  • Patent in-process examination compliance rate

This measure assesses patent examination process quality by the internal quality review of office actions from first action on the merits to issue or abandonment. The quality of patent examination decisions will be measured by the ratio of office actions that do not include a deficiency that has a significant impact on the ability of the applicant to advance the prosecution on the merits of the application, to the total number of office actions reviewed. The results of these reviews will be used as part of a continuous quality improvement program to identify problem areas and determine appropriate training needs and other corrective actions.

Data Verification and Validation Summary
Data source Office of Patent Quality Review Report
Frequency Daily input, monthly reporting
Data storage Automated systems, reports
Internal Controls Manual reports and analysis
Data Limitations None
Actions to be Taken N/A


Performance Measures:
  • Patent average first action pendency (months)
  • Patent average total pendency (months)

These two measures reflect the time it takes to grant a patent. The first measure tracks the timeliness of first office actions on patent applications. It measures the time from the application filing date to the date of mailing the first office actions. The second measure identifies the timeliness related to issuance of the patent or abandonment of the application. It measures the average time from the application filing date to the date of issue or abandonment.

Data Verification and Validation Summary
Data source PALM system
Frequency Daily input, monthly reporting
Data storage PALM, automated systems, reports
Internal Controls Accuracy of supporting data is controlled through internal program edits in the PALM system. Final test for reasonableness is performed internally by patent examiners, supervisors, and program management analysts.
Data Limitations None
Actions to be Taken N/A


Performance Measure:
  • Patent efficiency (cost per patent production unit)

The labor productivity measure is generally defined as production output divided by labor input. It measures the overall effectiveness of labor deployment at the U.S. Patent and Trademark Office (USPTO) in terms of patent production. The measure is in the form of a ratio so that production output relative to labor input can be tracked and analyzed. It is designed to incorporate the widest possible labor input from USPTO employees in all work areas, both directly and indirectly supporting the Patent organization, and from contractor staff on the same basis.

Indirect labor is assigned to patent support on the basis of cost accounting distributions. All labor hours include actual work hours, excluding annual leave, sick leave, and holidays. In addition, contractor labor for significant one-time projects, such as space acquisition, is excluded. Production is measured in terms of production units. The productivity measure viewed over time serves to provide a helpful insight into changes in the effectiveness of labor deployment throughout USPTO.

Data Verification and Validation Summary
Data source PALM system
Frequency Daily input, monthly reporting
Data storage PALM, Data Warehouse, Activity Based Management (ABM) system
Internal Controls Accuracy of supporting data is controlled through internal program edits in the PALM, Momentum, and ABM system. Quality control review of data by Activity Based Cost Accounting (ABC) system and program business teams.
Data Limitations None
Actions to be Taken N/A


Performance Measures:
  • Patent applications filed electronically
  • Patent applications managed electronically

These two measures show USPTO’s progress in moving toward operating in a fully electronic environment. Applications filed electronically indicate USPTO’s support of, and applicants’ willingness to operate in, an e-government environment and identifies the percent of basic applications filed electronically. USPTO has instituted an aggressive outreach program to hopefully see significant growth in the number of patent applications filed electronically over the next few years. Applications managed electronically reflect how all incoming and outgoing paper documents are captured electronically in the system and any remaining pending paper applications were scanned into the system by the end of the first quarter of FY 2005, with the electronic version of an application now considered the official file.

Data Verification and Validation Summary
Data source PALM system
Frequency Daily input, weekly reporting
Data storage PALM and automated systems
Internal Controls Accuracy of supporting data is controlled through internal program edits in the PALM system and cross checks against other automated systems.
Data Limitations None
Actions to be Taken N/A

 

PERFORMANCE OUTCOME: Optimize trademark quality and timeliness (USPTO)

Performance Measure:
  • Trademark first action compliance rate

This measure assesses product quality as measured by the internal quality review processes. The quality of trademark examination decisions will be measured by the reopening rate or similar internal quality measures.

Data Verification and Validation Summary
Data source Office of Trademark Quality Review Report
Frequency Daily input, monthly reporting
Data storage Automated systems, reports
Internal Controls Manual reports and analysis
Data Limitations None
Actions to be Taken N/A


Performance Measure:
  • Trademark final action compliance rate

This measure assesses trademark examination process quality by the internal quality review of office actions from first action on the merits to issue or abandonment. The quality of patent examination decisions will be measured by the ratio of office actions that do not include a deficiency that has a significant impact on the ability of the applicant to advance the prosecution on the merits of the application, to the total number of office actions reviewed. The results of these reviews will be used as part of a continuous quality improvement program to identify problem areas and determine appropriate training needs and other corrective actions.

Data Verification and Validation Summary
Data source Office of Trademark Quality Review Report
Frequency Daily input, monthly reporting
Data storage Automated systems, reports
Internal Controls Manual reports and analysis
Data Limitations None
Actions to be Taken N/A


Performance Measure:
  • Trademark efficiency (cost per trademark production unit)

The labor productivity measure is generally defined as production output divided by labor input. It measures the overall effectiveness of labor deployment at USPTO in terms of trademark production. The measure is in the form of a ratio so that production output relative to labor input can be tracked and analyzed. It is designed to incorporate the widest possible labor input from USPTO employees in all work areas, both directly and indirectly supporting the Trademark organization, and from contractor staff on the same basis.

Indirect labor is assigned to trademark support on the basis of cost accounting distributions. All labor hours include actual work hours, excluding annual leave, sick leave, and holidays. In addition, contractor labor for significant one-time projects, such as space acquisition, is excluded. Production is measured by disposals. The productivity measure viewed over time serves to provide a helpful insight into changes in the effectiveness of labor deployment throughout USPTO.

Data Verification and Validation Summary
Data source TRAM system, Momentum, ABM system
Frequency Daily input, quarterly reporting
Data storage TRAM, Data Warehouse, ABM system
Internal Controls Accuracy of supporting data is controlled through internal program edits in the TRAM, Momentum, and ABM system. Quality control review of data done by ABC system and program organization teams.
Data Limitations None
Actions to be Taken N/A


Performance Measures:
  • Trademark average first action pendency (months)
  • Trademark average total pendency (months)
  • Trademark average pendency excluding suspended and inter partes cases (months)

These three measures reflect the time it takes to grant a trademark. The first measure determines the timeliness of Trademark first office actions. It measures the time from the application filing date to the date of mailing the first office actions. The second measure identifies the timeliness related to office disposals. It measures the average time from the application filing date to the date of registration, notice of allowance, or abandonment.

Data Verification and Validation Summary
Data source TRAM system
Frequency Daily input, monthly reporting
Data storage TRAM, automated systems, reports
Internal Controls Accuracy of supporting data is controlled through internal program edits in the TRAM system. Program management performs final test for reasonableness.
Data Limitations None
Actions to be Taken N/A


Performance Measures:
  • Trademark applications filed electronically
  • Trademark applications managed electronically

These two measures show USPTO’s progress in moving toward operating in a fully electronic environment. The first measure indicates the USPTO’s support of and applicants’ willingness to operate in an e-government environment and is measured by the percent of initial applications for the registration of trademarks that are filed electronically. The second measure reflects the extent to which USPTO is fully automated in the trademark area. Trademarks now has a complete text and image file record that includes the initial application, and applicant and office correspondence for more than 500,000 pending applications.

Data Verification and Validation Summary
Data source TRAM system and Trademark Image Capture and Retrieval system database reports
Frequency Daily input, weekly reporting
Data storage TRAM and automated systems
Internal Controls Accuracy of supporting data is controlled through internal program edits in the TRAM system and cross checks against other automated systems.
Data Limitations None
Actions to be Taken N/A

 

PERFORMANCE OUTCOME: Improve intellectual property and enforcement domestically and abroad (USPTO)

Performance Measures:
  • Number of instances in which External Affairs (EA) experts review intellectual property (IP) policies/standards
  • Improving worldwide IP expertise for U.S. government interests
  • Plans of actions, mechanisms, and support programs initiated or implemented in developing countries

These three measures reflect the work USPTO is conducting in the area of IP enforcement. The first measure tracks the work that EA experts do by providing advice and guidance to other countries and organizations to improve IP practices by reviewing and commenting various policies, laws, etc. The second measure represents the number of placements USPTO has made in other countries as well as an estimate of other assistance provided in terms of full time equivalents. The third measure tracks the actual agreements, provisions, and procedures that are implemented in those countries and regions by the attachés that promote and enforce IP rights.

Data Verification and Validation Summary
Data source EA reports and databases
Frequency Monthly input and reporting
Data storage Reports
Internal Controls Manual reports and analysis
Data Limitations None
Actions to be Taken N/A

 
Previous Page | Next Page