Action:
Supervisory Patent Examiners (SPEs) have the primary responsibilities
for training patent examiners in an Art Unit and performing performance management
activities with respect to the approval of work for all non-Full Signatory
Authority examiners and the performance assessments for all examiners. The
selection process and training provided to these individuals needs to reflect
the unique combinations of skills required to effectively perform in that
position.
Background Information:
SPEs have the primary responsibility for training examiners in an Art
Unit and performing performance management activities with respect to the
approval
of work for all non-Full Signatory Authority examiners and the performance
assessments for all examiners. Although the SPE is a Primary Examiner and,
therefore, should be subject to the same considerations of the Knowledge,
Skills and Abilities (KSAs) required for that position, the SPE performs
additional duties with respect to training and the review of work products
that directly affect the quality of the patent process. In addition to being
competent to perform all of the examining functions required of a patent
examiner, the SPE must be able to effectively train examiners, review work
products submitted for approval, make decisions on hiring, retention, and
promotion of junior examiners, conduct the requisite performance management
activities associated with the rating, recognition, and potential adverse
actions, and provide mentoring to ensure the development of the examiners
in the assigned Art Unit. Most of these additional duties are learned through
management training for the SPE. However, the attributes that are required
of a highly qualified Primary Examiner do not ensure that an individual will
perform successfully as a SPE. Effective interpersonal skills and other
management qualifications are necessary for an individual to perform effectively
as a SPE. The selection process for these uniquely trained and qualified
individuals must reflect these prerequisites.
Options Considered:
Option 1
- Employ the same KSAs for the Primary Examiner as the legal
and technical KSAs for the SPE position, but prepare new KSAs with respect
to the management aspects of the SPE position.
Option 2
- Develop a training program to implement the SPE KSAs and
require certification of those elements within the probationary period
for the SPE.
Option 3
- Develop a work product review program, similar to the
Signatory Authority Program, to review the quality of the work products
signed for other examiners, as a prerequisite for the SPE position.
Option 4
- Preclude the participation in special projects by new
SPEs for the first two years in the position to allow full concentration
on the effective transition to the SPE position.
Option 5
- Include a review of work products signed by the new SPE
and external feedback from applicants/attorneys as part of the probationary
period evaluation of the SPE.
Option 6
- Develop a SPE interview process that includes persons
outside the supervisory chain for the position and mandatory questions
with respect to supervisory qualifications related to training and employee
mentoring
and feedback.
Option 7
- Develop a training program for critical job skills directed
to the current SPE population that includes skills building/reinforcement
with a certification process.
USPTO Recommended Course of Action:
Adopt
a combination of Options 1 through 7 above to ensure that the best-suited
candidates are selected for the SPE position and then given the requisite
training to provide the greatest opportunity for success.
Initially
there must be a selection and interview process that includes several
perspectives on each candidate and interview questions that address their
supervisory
aptitude. The selected SPE candidates must then complete a mandatory supervisory
training program, which includes a certification process within the probationary
period and would last for about one week. The training program must include
both skills training to develop job knowledge and also hands-on training
and feedback with respect to the practical performance of the critical
job functions. Input from Office of Human Resources, Labor Relations,
and Office of General Counsel has been obtained as to the
type and content of classes to be included in any training program. Classes will cover management development topics
such as ethics, reasonable accommodations, performance appraisal and incentive
awards, hiring, Equal Employment Opportunity, labor management relations,
and employee relation topics such as, the prevention of sexual harassment. While
some of these classes may currently be offered through contractors, an
internally developed program is being considered to more
readily address the special knowledge that USPTO supervisors should have
(such as knowledge of collective bargaining agreements).
Return
on Investment:
Estimated benefits: Improved supervision of the work of all examiners
and resulting improvement in the quality of the work products.
=online
business system 
=fees 
=forms
=help 
=laws/regulations 