Strategic Plan > Index to Action Papers > Certification of Knowledge, Skills, and Abilities of Examiners Before Promotion to GS-13

Action:

Upon promotion to GS-13, examiners are given acknowledgment of legal competency and a grant of negotiation authority.  In order to ensure that these examiners are able to produce the quality of work product that will warrant cursory reviews of their actions, there will be a certification before this promotion that each examiner has the requisite Knowledge, Skills and Abilities (KSAs) to perform to the standards of this grade level.

Background Information:

A GS-13 examiner’s work product, including interview summaries, is mostly subject to cursory review, until the examiner enters the temporary partial signatory review program, wherein the work product is subject to a detailed review by Supervisory Patent Examiners (SPEs) and/or Quality Assurance Staff, who have not directly participated in the training of that examiner.  If questions of legal competency or negotiation authority arise in that signatory review and permanent partial signatory authority is denied, the examiner usually remains at the GS-13 level, subject to counseling and retraining, before hopefully reentering the temporary partial signatory review program.  Due to changes in patent law, policy and practice during their training experience up through the GS-12 level, there would be benefit for examiners to confirm by demonstration that they have indeed achieved the current KSA to merit acknowledgement of legal competency and grant of negotiation authority prior to promotion to GS-13.

Options Considered:

Several methods could be used alone or in combination to certify necessary legal competence and negotiation authority before an examiner is promoted to GS-13.

Before promotion to GS-13, examiners may be expected to successfully complete listed training courses, such as Patent Law and Evidence.  The courses could be successfully completed as part of an ongoing in-house training program or as part of an accredited law school curriculum.  The current Patent Academy Introduction to Practice and Procedures (IP&P) program would be modified to include material to prepare examiners for an examination such as the patent agents exam currently given for patent agents and attorneys to practice before the Office by the Office of Enrollment and Discipline (OED).

Written tests on subjects of patent law, practice, and procedure, including interview practice, could be administered before the GS-13 promotion is approved.  These tests could be developed and administered inside the Technology Center level by a certified provider such as:  Quality Assurance Specialists or preferably outside the Technology Center by OGC, similar to the registration examination given by OED, by Office of Human Resources or by a contractor.  For example, Patents and OED could collaborate on the development of questions or the questions could be the same as those on the registration examination, while OHR could administer the test.  The tests could be web-based and the results would be available immediately, so that the results could be reported immediately to the examiner, the examiner’s supervisor, and any other record database.  Examiners who were hired after successfully completing the agent’s exam while they were on the outside could possibly waive out of this requirement to avoid duplication. 

Since one primary concern is whether the examiner has the KSAs necessary to pass the partial signatory review program, a mock signatory review program could take place for each GS-12 examiner at least three months before the due date of the promotion to ascertain whether the examiner presently exercises the level of legal competency to pass the program.  This review by SPEs and Quality Assurance Specialists, who were not directly involved in the training of the examiner, may surface areas of improvement necessary before the GS-13 promotion is granted.  

Prior to the grant of legal competency and negotiation authority, SPEs and/or Quality Assurance Specialists could review work product by way of an In-Process Review (IPR) and observe the oral communication, listening, and negotiation skills evidenced by the examiner in a series of personal and/or telephonic interviews.  Further, the adequacy of the written summary of selected interviews should be part of the IPR to see if they meet current standards.

Obviously, if the examiner passes the certification for GS-13 and is otherwise eligible (e.g., production and work flow expectancies met), the promotion should be granted.  If an examiner does not pass the GS-13 certification, promotion to that level should be delayed until the requisite improvements are evidenced.  Feedback to those training the examiner should be given about the improvements necessary. Thereafter, the examiner during the period of delay should be counseled as to improvements necessary, a training plan should be developed based on deficiencies discovered during the certification process, and after a suitable time has passed, the examiner may proceed to another round of certification for the GS-13 promotion.

USPTO Recommended Course of Action:

Implement all options.

Currently, a request for proposals (RFP) is being prepared for the development and delivery of a patent law and evidence course.  After the initial training start-up phase, the course would be mandatory for all GS-12s to successfully complete prior to their GS 13 promotion date.  The first two classes of this course are tentatively scheduled for delivery in September, 2003.

A Legal Competency Exam is being developed in coordination with a number of internal USPTO groups such as experts in the Technology Centers, Office of Enrollment and Discipline, Board of Patent Appeals and Interferences, Office of General Counsel and Office of Patent Legal Administration.  These groups are collaborating on the development of a number of potential exam questions.  While bargaining obligations are being completed, contractor assistance is being sought to validate a pool of exam questions.  At a later date, a web-based software system will be investigated. 

At least three months prior to the due date of the promotion, the work product of each GS-12 examiner is reviewed to ascertain whether the examiner presently exercises the level of legal competency to be granted that authority.  This review and feedback by SPEs and Quality Assurance Specialists, who were not directly involved in the training of the examiner, has been every well received by the examiners.  This program is being expanded throughout the Corps.

Return On Investment and Benefits:

There is a possibility that certified GS-13 examiners may not need a partial signatory review and may proceed instead to a full signatory review, saving about a year for the promotion to primary examiner.  Under consideration is a program that could be set up such that examiners would be able to enter the full signatory review process in a reduced period of time such as after only three months from passing the partial signatory review.  This will result in the granting of signatory authority in a shorter period of time for those examiners along with assurance that the work product is at an acceptable quality standard.  In summary, it is expected that certified GS-13 examiners will be competent with respect to current patent law, practice, and procedure.  Once the decision to implement the plan has been made, this portion could be deployed relatively early such as in late summer of 2003.

 

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