Action:
Primary examiners must maintain
the necessary knowledge, skills, and abilities (KSAs) in current patent
law, practice, and procedure. Regular training, similar to continued legal
education (CLE) requirements, will be
provided to maintain KSAs of primary examiners and they should pass tests
to prove that they understand the content of the training. An expanded
review of current work product will show evidence of the
application of KSAs necessary to maintain full signatory authority.
Background:
Primary examiners
are certified as full signatory examiners, only once, as they pass the
full signatory review program. However, due to changes in patent law,
policy and practice, there would be a benefit for formal confirmation that
primary examiners have maintained the KSAs necessary to enhance the quality
of current decisions they make as full signatory examiners. Training programs
are in place to bring to the attention of the primary examiners any changes
in patent law, practices, and procedures. Training is also provided in
the automated tools that help the examiners convey their decisions on the
record. Actions in some patent applications assigned to a primary examiner
in a given fiscal year are reviewed by a Supervisory Patent Examiner (SPE). Sometimes,
this results in a thorough SPE review of only four allowances per fiscal
year for a primary examiner. However, this scale of review may not provide
evidence that the primary examiner has maintained all necessary current
KSAs for full signatory authority, such as by incorporating knowledge from
recent training into the current work product.
Options Considered:
· Continue to train all primary examiners
on the current state of the patent law, practice and procedure as well as
automation tools to
maintain necessary KSAs for full signatory authority.
· Review an expanded sample of work
product signed by primary examiners to ascertain whether current patent law,
practice, and procedure
(necessary KSAs) are being applied in current official actions taken
by primary examiners.
USPTO Recommended
Course of Action:
A determination of the current,
necessary KSAs required for the position of primary examiner have
been derived from existing performance standards, positions descriptions,
performance appraisal plans and other guideline documents. These documented KSAs will be reviewed on
a regular basis at several levels within the USPTO, both inside and outside
of the Technology Centers (TCs). This determination could be validated by cooperation
with the patent practitioners and those organizations representing our customers. Necessary
training needs are
being identified
to build or reinforce necessary KSAs and tests are being developed
to ensure that the primary examiners taking the training understand
its content. Identification of instruments
necessary to evaluate the necessary KSAs for primary examiners has begun. Such instruments include an
expanded review of work product, such as an In-Process Review (IPR)
of actions at all stages of prosecution and "second
pair of eyes" review of allowances to evaluate KSAs of each primary examiner. This effort involving the evaluation
of an expanded
number of actions
per year for each primary examiner is being implemented in the TCs. Employees
in the non-bargaining unit GS-15 examiner/trainer positions will
also take part in a certification program as part of the appointment
process
and would be subjected to re-certification with opportunity for future
quality awards.
Regular,
continued training events for primary patent examiners in patent
law, practice, and procedure as well as automation tools necessary for action-taking
on the record and continuous quality initiatives in
the TCs are
being established. Training similar
to CLE programs with the expectancy that a certain number of hours
of required training are taken every year is being implemented. Tests
are being developed to ensure that primary examiners who take the
training prove that they
understand the content of the training.
In addition
to the training requirements above, an expanded review
of the work product of each primary examiner on a yearly basis to ascertain
whether the necessary KSAs, such as that reinforced by recent training,
is applied in the examination of the work product. Review teams of Quality
Assurance Specialists (QASs), or
SPEs will review actions at
all stages
of prosecution. Additionally, all TCs are implementing "second
pair of eyes" reviews of allowances as needed. (See Quality 1 (P-17)). First office actions, finals, allowances,
appeals, and abandonments could be used to evaluate KSAs of each primary
examiner. Results of these reviews showing either unsatisfactory
work or work well done, will be
reported to the SPE, the Group
Director and the
involved examiner. If unsatisfactory work is found to be at an unacceptable
percentage, the examiner will be afforded conventional improvement period(s).
Proof of Concept
Current USPTO quality reviews generate organizational
measures, but do not provide measures that can be used to identify the
quality needs of an individual examiner. The major goal of the expansion of IPRs
is to identify quality trends and individual primary examiners with significant
quality concerns and to provide sufficient help to address those concerns. This
concept of quality improvement will be tested in all TCs with
an enhanced number
of reviews. The TC with
the greatest quality concerns based on the current USPTO quality reviews will
be provided sufficient resources to independently review an enhanced number of applications
for every primary examiner in the TC. The
key measurement for this project will be the level of improvement during
subsequent IPRs for examiners where significant quality concerns were identified
and help was provided to address those concerns. The milestones for the
first year will be the performance of the IPRs, the identification of quality
concerns, and the addressing of those concerns.
In addition to the project to independently review actions
in an expanded number
of applications
for every primary examiner, the SPEs of each work group will implement
a project to review allowances of primary examiners. The
major goal, key measurement, and milestones of this work group review
program are the same as for the independent review program with the additional
goal
of keeping the SPEs highly involved in the quality improvement process.
Timing:
§ Determination
of KSAs necessary for primary examiners is in the final stages.
§ Development
of tests for training courses is being implemented.
§ Increased
review of work product of primary examiners has begun.
Benefits:
Increased respect and recognition
for those primary examiners retaining full signatory authority as well as
respect and recognition for the quality of their work product.
Implementation Schedule
| Work Breakdown Structure | Task Name | Start | Finish | Project Lead |
|---|
| 10 | Transformation 9/Quality 2: P-20 - Recertification of KSA of Primary Examiners | 06/03/02 | 10/31/03 | J. Chambers, A. MacDonald |
| 10.1 | Identify key steps in recertification program (P-20) | 06/03/02 | 07/01/02 | |
| 10.2 | Identify and address labor relations issues and timeline: (P-20) | 07/10/02 | 12/24/02 | |
| 10.2.1 | Notice to POPA of intended changes (P-20) | 07/10/02 | 07/10/02 | |
| 10.2.2 | POPA requested meeting for clarification of changes (P-20) | 07/17/02 | 07/17/02 | |
| 10.2.3 | Clarification meeting held to discuss proposed changes (P-20) | 08/13/02 | 08/13/02 | |
| 10.2.4 | POPA requests to bargain and submits counters to our change (P-20) | 08/27/02 | 08/27/02 | |
| 10.2.5 | PTO requests explanation of POPA's counters (P-20) | 09/03/02 | 09/03/02 | |
| 10.2.6 | Clarification meeting held to discuss POPA's counters (P-20) | 09/10/02 | 09/10/02 | |
| 10.2.7 | Management counter proposals submitted (P-20) | 09/11/02 | 09/11/02 | |
| 10.2.8 | Begin bargaining (P-20) | 09/11/02 | 09/11/02 | |
| 10.2.9 | End bargaining, impasse declared by either party (P-20) | 10/29/02 | 10/29/02 | |
| 10.2.10 | POPA to request FMCS assistance or PTO can implement without further bargaining (P-20) | 11/05/02 | 11/05/02 | |
| 10.2.11 | Begin mediations (P-20) | 12/03/02 | 12/03/02 | |
| 10.2.12 | End mediations (P-20) | 12/17/02 | 12/17/02 | |
| 10.2.13 | POPA must request assistance from FSIP or PTO can implement last offer (P-20) | 12/24/02 | 12/24/02 | |
| 10.3 | Continuing Education (CE) of primary examiners (P-20) | 11/01/02 | 06/30/03 | |
| 10.3.1 | Provide new 102(e) training without testing (P-20) | 11/01/02 | 12/31/02 | |
| 10.3.2 | Provide case law update (P-20) | 03/03/03 | 04/30/03 | |
| 10.3.3 | Provide claim analysis (w/testing) (P-20) | 02/03/03 | 06/30/03 | |
| 10.3.4 | Identify 4th CE topic (w/testing) (P-20) | 02/03/03 | 05/01/03 | |
| 10.4 | Design expanded work sample program (P-20) | 07/22/02 | 09/30/02 | |
| 10.4.1 | Develop expanded review process (P-20) | 07/22/02 | 09/30/02 | |
| 10.5 | Implement expanded work review program (P-20) | 10/01/02 | 10/31/03 | |
| 10.5.1 | Evaluate program and determine if changes need to be applied (P-20) | 10/01/02 | 10/31/03 | |
| 10.6 | Establish means for recognizing and rewarding those who pass recertification (P-20) | 01/30/03 | 09/30/03 | |
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