Performance and Accountability Report Fiscal Year 2006
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

The USPTO will continue to 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 measure has been established to reflect the USPTO’s success and progress in meeting our Strategic Plan goals.

MEASURE: Patent Applications Filed Electronically

The USPTO pledged to 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. In response to input from the patent community, the Patent organization launched a web-based tool (EFS-Web) in FY 2006, which allows applicants to submit patent applications in a PDF. Acceptance of the new tool is reflected in the significant increase in applications filed electronically: in the last quarter of FY 2006, 28.7 percent of applications were filed electronically. The following performance measures have been established to reflect the USPTO’s success and progress in meeting the Strategic Plan goals.

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 2003	FY 2004	FY 2005	FY 2006
Target	2.0%	2.0%	4.0%	10.0%
Actual	1.3%	1.5%	2.2%	14.1%¹ met

Discussion: Target met. This measure indicates USPTO’s support of, and applicants’ willingness to operate in, an e-government environment and identifies the percentage of applications filed electronically.

1. This number is preliminary. Data is expected to be finalized by December 2006 and will be reported in the FY 2007 PAR. (back to text)

MEASURE: Patent Applications Managed Electronically

With implementation of the Image File Wrapper (IFW) system, the USPTO created a fully electronic patent application process, eliminating the movement of paper applications. All patent examiners, technical support staff, and adjunct users can access an electronic image of all patent applications. In 2006, the USPTO commenced the first phases of creation of a text-based process, which will facilitate increased automation of manual processes, improve accuracy, and support more refined electronic management of the patent process.

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 2003	FY 2004	FY 2005	FY 2006
Target	-	70.0%	90.0%	99.0%
Actual	-	88.0%	96.7%	99.9% 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 2003	FY 2004	FY 2005	FY 2006
Target	80.0%	65.0%	70.0%	80.0%
Actual	57.5%	73.0%	88.0%	93.8% 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. 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, improved functionality and enhancements, and financial incentives (lower fees) 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. Trademark's 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. Additional enhancements were made during FY 2005 and FY 2006 to improve the functionality and efficiency of the electronic system used by examining attorneys to manage their docket of pending work and take action on applications.

TRADEMARK APPLICATIONS MANAGED ELECTRONICALLY

DATA VALIDATION AND VERIFICATION

Data source: TRAM system and Trademark Image
Capture and Retrieval System database reports.

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 2003	FY 2004	FY 2005	FY 2006
Target	-	80.0%	99.0%	99.0%
Actual	-	98.0%	99.9%	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 USPTO’s Office of International Relations and 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 our 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 2003	FY 2004	FY 2005	FY 2006
Target	-	-	80	82
Actual	-	-	59	239

Discussion: Exceeded Target. The Office of External Affairs greatly exceeded the target for the Intellectual Property Technical Assistance in FY 2006 because it significantly expanded the technical assistance training programs provided to foreign government officials under the USPTO Global Intellectual Property Academy (GIPA). Attorney specialists from the Office of International Relations and the Office of Enforcement conducted GIPA programs both at the USPTO Headquarters and in several developing countries and countries in transition to a market economy. Furthermore, these Offices provided technical advice and assistance in the form of legal experts giving reviews of developing countries’ laws for the protection (patents, trademarks, copyrights, etc.) and enforcement (civil and administrative, provisional, border and criminal enforcement measures) of intellectual property in FY 2006. These reviews and advice on intellectual property laws occur in the context of accession to the World Trade Organization (WTO), in WTO Trade Policy Reviews, and in the context of administration of the “Special 301” provisions of the Trade Act of 1974, as amended. The reviews and legislative advice are aimed at improving deficiencies in the intellectual property laws of our trading partners.

Target and Actual Rates for Intellectual Property
Technical Assistance Countries Completed
	FY 2003	FY 2004	FY 2005	FY 2006
Target	-	-	75	77
Actual	-	-	142	102

Discussion: Target met.

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