Performance and Accountability Report Fiscal Year 2005
Management's Discussion and Analysis

e-Government and intellectual property performance

PERFORMANCE GOAL: Create a more flexible organization through transitioning patent and trademark processes to e-Government operations and participating in intellectual property development worldwide.

Under the 21st Century Strategic Plan, the USPTO will work with our intellectual property partners to improve the efficiency of our processing systems by increasing the number of applications and communications received and processed electronically, create more coordinated and streamlined work processes, and best position the USPTO for the globalization that characterizes the 21st century economy. The following performance measures have been established to reflect the USPTO’s success and progress in meeting the Strategic Plan goals.

MEASURE: Patent Applications Filed Electronically

PATENT APPLICATIONS FILED ELECTRONICALLY

DATA VALIDATION AND VERIFICATION

Data source: PALM system.

Frequency: Daily input, weekly reporting.

Data storage: PALM and automated systems.

Verification: Accuracy of supporting data is controlled through internal program edits in the PALM system and cross checks against other automated systems.

Data Limitations: None.

Target and Actual Rates for Patent Applications
Filed Electronically for the Last 4 Fiscal Years
	FY 2002	FY 2003	FY 2004	FY 2005
Target	-	2.0%	2.0%	4.0%
Actual	-	1.3%	1.5%	2.2%¹ not met

Discussion: Target not met. This measure indicates USPTO's support of, and applicants' willingness to operate in, an e-government environment and identifies the percent of patent applications filed electronically. In FY 2005, the agency held multiple forums to identify specific components of patent applicants' reluctance to file electronically. Customer needs and concerns were translated to system requirements, resulting in the design of a web-based system with PDF attachments, which ill be piloted in December 2005.

For next year's target we are implementing user community suggested changes to increase acceptance of our electroniuc filing system.

1. This number is preliminary. Data should be finalized by December 2005 and will be reported in the FY 2006 PAR. (back to text)

MEASURE: Patent Applications Managed Electronically

The USPTO has eliminated the movement of paper patent applications by creating an electronic image of all patent applications. The IFW system is used by all patent examiners, technical support staff, and adjunct users. Although the patent application process is fully electronic with the IFW system, the USPTO will be deploying a text-based process in FY 2006. The text-based process will allow the USPTO to provide more automation of manual processes, will improve accuracy and reliability, and will allow greater electronic management of the patent system.

PATENT APPLICATIONS MANAGED ELECTRONICALLY

DATA VALIDATION AND VERIFICATION

Data source: PALM system.

Frequency: Daily input, weekly reporting.

Data storage: PALM and automated systems.

Verification: Accuracy of supporting data is controlled through internal program edits in the PALM system and cross checks against other automated systems.

Data Limitations: None.

Target and Actual Rates for Patent Applications
Managed Electronically for the Last 4 Fiscal Years
	FY 2002	FY 2003	FY 2004	FY 2005
Target	-	-	70%	90%
Actual	-	-	88%	96.7% met

Discussion: Target met.

MEASURE: Trademark Applications Filed Electronically

TRADEMARK APPLICATIONS FILED ELECTRONICALLY

DATA VALIDATION AND VERIFICATION

Data source: TRAM system.

Frequency: Daily input, weekly reporting.

Data storage: TRAM and automated systems.

Verification: Accuracy of supporting data is controlled through internal program edits in the TRAM system and crosschecks against other automated systems.

Data Limitations: None.

Target and Actual Rates for Trademark Applications
Filed Electronically for the Last 4 Fiscal Years
	FY 2002	FY 2003	FY 2004	FY 2005
Target	50%	80%	65%	70%
Actual	38%	57.5%	73%	88% met

Discussion: Target met. The measure indicates USPTO’s support of and applicants’ willingness to operate in an e-government environment and identifies the percent of basic trademark applications filed electronically. Total electronic filings increased by nearly 21 percent over FY 2004 results. The rate of filing trademark applications has progressed steadily over the years as a result of promotional events, increased number and type of applications and documents that may be filed electronically, and improved functionality and enhancements that have been made to appeal to more customers.

MEASURE: Trademark Applications Managed Electronically

This measure was introduced in FY 2004 to demonstrate the progress the Trademark organization has made to examine and process applications in a completely electronic environment. The Trademark organization has captured nearly 100 percent of the application inventory as an electronic file record that includes text and image of the initial application and subsequent applicant and office correspondence for nearly 500,000 pending applications. Examining attorneys have been using the electronic record of the initial application to conduct their first office actions since July 2003 through a system that manages the workflow and their transactions. In July 2004 second and subsequent actions were added eliminating the need to use paper files to process and examine applications for the core examination function. In January 2005 the contents were accessible to the public with the introduction of the TDR System.

TRADEMARK APPLICATIONS MANAGED ELECTRONICALLY

DATA VALIDATION AND VERIFICATION

Data source: TRAM system.

Frequency: Daily input, weekly reporting.

Data storage: TRAM and automated systems.

Verification: Accuracy of supporting data is controlled through internal program edits in the TRAM system and crosschecks against other automated systems.

Data Limitations: None.

Target and Actual Rates for Trademark Applications
Managed Electronically for the Last 4 Fiscal Years
	FY 2002	FY 2003	FY 2004	FY 2005
Target	-	-	80%	99.0%
Actual	-	-	98%	99.9% met

Discussion: Target met. The measure indicates the USPTO's progress towards conducting business in an e-government environment.

Measure: Intellectual Property Technical Assistance Activities/Countries Completed

This measure was introduced in FY 2005 to demonstrate the number and variety of training and technical assistance activities provided to the intellectual property offices and staff of countries with developing economies in need of strengthening the protection of intellectual property rights as part of their economic and trade development. Attorney specialists from the Office of International Relations and the Office of Enforcement provide country specific review of intellectual property laws, and recommend strengthened enforcement provisions along with training of judges, prosecutors, customs officials, and intellectual property office technical staff. Broader multilateral training programs, such as the intellectual property Enforcement Academy and the Visiting Scholars Program, are offered to representatives of a variety of countries throughout the year.

INTELLECTUAL PROPERTY TECHNICAL ASSISTANCE ACTIVITIES/COUNTRIES COMPLETED

Graph summarizing the target and actual rates for intellectual property technical assistance activities completed for the last four fiscal years

Graph summarizing the target and actual rates for intellectual property technical assistance countries completed the last four fiscal years.

DATA VALIDATION AND VERIFICATION

Data source: Office of Congressional Relations, International Relations and Enforcement Activity Report.

Frequency: Weekly input, monthly reporting.

Data storage: Automated systems, reports.

Verification: Manual reports and analysis.

Data Limitations: None.

Target and Actual Rates for Intellectual Property
Technical Assistance Activities Completed
	FY 2002	FY 2003	FY 2004	FY 2005
Target	-	-	-	80
Actual	-	-	-	59 not met

Discussion: Target not met. Technical assistance is, generally, a demand driven activity. While the raw number of activities extracted for this measure was lower than the target, many activities were regional or consolidated, involving multiple countries. This multiplier effect is evidenced by the fact that the number of countries involved greatly exceeded that target.

We plan on meeting our goal next year by offering technical advice and assistance in the form of our technical experts providing a review of developing countries intellectual property laws and legal system (patents, trademarks, copyrights, enforcement of IP rights through criminal penalties, customs requirements and prosecutorial and judicial training) for compliance with the international trade standard of the World Trade Organization (WTO) Trade Related Aspects of Intellectual Property (TRIPS). Membership in the WTO takes place through a lengthy accession process. A developing country wishing to join and take advantage of the trading privileges of membership might shorten the accession process by several years by having their country's laws in compliance with WTO's requirements. We believe this proactive technical assistance will help us achieve our goal.

Target and Actual Rates for Intellectual Property
Technical Assistance Countries Completed
	FY 2002	FY 2003	FY 2004	FY 2005
Target	-	-	-	75
Actual	-	-	-	142 met

Discussion: Target met.

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