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Collage showing images with one-word descriptors from the U S P T O Fiscal Year 2009 Performance and Accountability Report cover that reinforces the report’s tagline of Today’s Challenges – Tomorrow’s Solutions.
Performance and Accountability Report Fiscal Year 2009
Management's Discussion and Analysis

Table of Contents | Management | Financial | Auditor | IG | Other

USPTO Strategic Plan

In FY 2009, the USPTO continued to implement the 2007-2012 Strategic Plan that was formally released in March of 2007. The 2007-2012 Strategic Plan, along with an annual performance plan and report that are integrated with the annual budget request, meet the requirements of the Government Performance and Results Act (GPRA). These documents can be found at http://www.uspto.gov/about/stratplan/index.jsp.

In support of the DOC’s strategic objective to “protect intellectual property and improve the patent and trademark systems,” the USPTO established three strategic goals and a management goal to guide its policies and operations. Together they accomplish the mission of fostering innovation and competitiveness. These goals and the related objectives, initiatives, and performance measures were established with a focus on four guiding principles:

  • QUALITY—accurate and consistent results in examination
  • TIMELINES—processing applications without undue delay
  • COST-EFFECTIVENESS—efficiency, accountability, and a focus on results
  • TRANSPARENCY—impartiality, fairness, accessibility, availability, and a public-service mentality

The 2007-2012 Strategic Plan is an ever-changing document with the USPTO continually reviewing, refining, and updating it to adjust to changing conditions, and to incorporate the best thinking of the IP community and beyond. However, changes have been limited to a refinement of the performance measures, as noted later in this report, and minor changes to initiatives have been made. The overall framework, including the mission, vision, strategic goals and objectives, has proven successful and continues to drive the Agency in exceeding its statutory obligations. The USPTO’s budget and performance plan, submitted to the Congress each year, document key measurements and yearly milestones to justify the funding for the USPTO to achieve its strategic goals.

Information related to achieving the Agency’s objectives for each of the goals is described in the following sections of this report. Detailed information about the performance measures for each of the three strategic goals, including data verification and validation, is included in the “Accompanying Information on USPTO Performance” section of this report.

2007-2012 USPTO Strategic Plan

To foster innovation and competitiveness by:

  • Providing high quality and timely examination of patent and trademark applications
  • Guiding domestic and international intellectual property policy
  • Delivering intellectual property information and education worldwide
USPTO: Leading the World in Intellectual Property Protection and Policy
Strategic Goal #1 Strategic Goal #2 Strategic Goal #3 Management Goal
Optimize Patent Quality and Timeliness Optimize Trademark Quality and Timeliness Improve Intellectual Property Protection and Enforcement Domestically and Abroad Achieve Organizational Excellence
Objectives Objectives Objectives Objectives
  • Provide high quality examination of patent applications
  • Improve and integrate existing electronic systems to promote full electronic patent application processing; implement better/more secure systems
  • Improve the quality and timeliness of patent examination by exploring a range of approaches to examining applications
  • Achieve and maintain three-month first action pendency, and reduce average total pendency excluding suspended and inter partes cases
  • Improve quality of examination by ensuring consistency and quality of searching and examination, and provide internal on-line tools
  • Provide electronic file management and workflow
  • Develop interactive on-line electronic filing capabilities and upgrade e-tools
  • Support efforts and initiatives aimed at strengthening IP protection and curbing theft of IP
  • Continue efforts to develop unified standards for international IP practice
  • Provide policy guidance on domestic IP issues
  • Foster innovation and competitiveness by delivering IP information and education worldwide
  • Function as true business partners across the organization to achieve superior enterprise performance and provide strategic leadership
  • Ensure operational excellence in enterprise-wide management processes
  • Dramatically simplify on-line access to, and availability of, USPTO information and data
Performance Measures by Goal
Goal #1 Measures Goal #2 Measures Goal #3 Measures
  • Patent allowance compliance rate
  • Patent in-process examination compliance rate
  • Patent average first action pendency
  • Patent average total pendency
  • Patent applications filed electronically
  • Trademark final compliance rate
  • Trademark first action compliance rate
  • Trademark average first action pendency
  • Trademark average total pendency
  • Trademark applications processed electronically
  • Percentage of countries on the United States Trade Representative (USTR) 301 list, awaiting World Trade Organization (WTO) accession, or targeted by Office of Intellectual Property Policy and Enforcement (OIPPE) for improvements that have positively amended or improved their IP systems
  • Number of countries that implement at least 75% of action steps which improve IP protections in the joint cooperation, action or work plans
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