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GAO-10-946R 1 (2010-09-24)

handle is hein.gao/gaobaceqc0001 and id is 1 raw text is: GA ~GAO Accountability Integrity I Reliabliity United States Government Accountability Office Washington, DC 20548 September 24, 2010 The Honorable Barbara A. Mikulski Chairwoman The Honorable Richard C. Shelby Ranking Member Subcommittee on Commerce, Justice, Science and Related Agencies Committee on Appropriations United States Senate Subject: U.S. Patent and Trademark Office: Performance Management Processes The Department of Commerce's U.S. Patent and Trademark Office (USPTO) grants patents that protect innovations ranging from new treatments for diseases to new wireless technology applications. Over the last several years, increases in both the volume and complexity of patent applications have lengthened the time between when an application is submitted and when a final decision is made-referred to as patent pendency-and resulted in a current backlog of over 700,000 applications. For several years, concerns have existed about USPTO's ability to recruit and retain enough qualified patent examiners to reduce this backlog. In 2005 and again in 2007, we identified numerous challenges related to USPTO's ability to modernize its human capital management system and hire and retain a qualified and well-trained patent examination workforce.' Recently, USPTO management has also recognized the need for changes in its performance management system and additional training for its employees and managers. In this context, you asked us to obtain additional information on the performance management of USPTO's patent examination workforce.2 Specifically, you asked us to describe (1) USPTO's processes for evaluating the performance of supervisory patent examiners (SPE) and patent examiners, and the actions that the agency takes when performance is at an unacceptable level; (2) USPTO's process for promoting patent examiners to the SPE level; and (3) how newly promoted SPEs are assigned to various units and the training they receive throughout their career. 1GAO, Intellectual Property: USPTO Has Made Progress in Hiring Examiners, but Challenges to Retention Remain, GAO-05-720 (Washington, D.C.: June 17, 2005) and U.S. Patent and Trademark Office: Hiring Efforts Are Not Sufficient to Reduce the Patent Application Backlog, GAO-07-1102 (Washington, D.C.: Sept. 4, 2007). 'According to USPTO, performance management is the process by which an agency involves its employees in improving organizational effectiveness in the accomplishment of the agency's mission and consists of performance planning, monitoring, and evaluation as well as employee development and recognition. GAO-10-946R USPTO Performance Management Processes Page I

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