| *********Guiding               the USPTO towards performance excellence***** |
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                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    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| **  Quality               & Perf. Mgt. <2001               Customer Satisfaction Survey**

  

********2001                 Customer Satisfaction Report*********[PDF]*

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**2001               Customer Satisfaction Report *[**text]*** Table               of Contents-  **Letter                 from the Director**
-  **Customer                 Service Standards**
-  **Measuring                 Customer Satisfaction**
-  **Building                 on Improved Customer Service Delivery**
-  Success                 Stories
- **APPENDIX                 A�**
- **APPENDIX                 B**
- **APPENDIX                 C**

**�����**
Letter               from the Director
We at the USPTO               understand the importance of our leadership role in intellectual               property rights, and remain dedicated to providing our customers               with the highest level of quality products and services. As the               new Director of the USPTO, I am firmly committed to improving the               quality and minimizing the processing time of patents and trademarks,               as well as strengthening enforcement of intellectual property protection               worldwide. 

In an effort               to continue to update you on our customer service activities, I               am pleased to present our 2001 Customer Satisfaction Report. This               report serves as one tool to communicate with you on improvement               initiatives. Included in this report are customer satisfaction survey               results, initiatives that have been implemented during fiscal year               2001 to improve customer service, and information about USPTO's               transition to e-Government.

The Patent               Organization was successful this year in achieving many of its performance               goals and implementing numerous customer service initiatives. Overall               customer satisfaction remained constant at 64% in 2000 and 2001.               The most notable increase from 2000 relates to "prompt and               helpful service," which increased from 59% to 67% .

Additionally,               the Patent Organization published its first set of patent applications               under the American Inventors Protection Act, and implemented a Root               Cause Analysis Database to monitor the Customer Service Centers'               performance and workload. The patent web database was expanded to               include United States patents issued since 1790. 

In the Trademarks               Organization, there were numerous initiatives implemented resulting               in improvements in customer satisfaction. Overall satisfaction increased               from 65% in 2000 to 70% in 2001. Customer satisfaction with courtesy               increased to 88%. Notable improvement initiatives included revisions               to the Identification of Goods and Services Manual, and the restructuring               of the Trademark Assistance Center (TAC). Staff was added to the               TAC to provide more responsive service to our customers.

We continue               efforts to increase electronic communications with our customers.               This year, we improved patent and trademark electronic services               by reorganizing our website. The Patent Organization initiated full               production of its Patents Electronic Filing System (EFS). The level               of trademark applications filed electronically increased from 14%               to nearly 25% by the end of the fiscal year. The USPTO is committed               to e-Government, and we believe the comprehensive array of patent               and trademark information and services we offer online translates               into savings in time and money for both the agency and our customers.

Although the               past year has brought many changes and improvements, the USPTO faces               many new challenges this fiscal year. We will continue building               on the tremendous accomplishments made in FY 2001. We welcome your               comments. You may contact us at: 

              United States Patent and Trademark Office              Center for Quality Services (PK1-812)              2011Crystal Drive              Washington, DC 20231

Phone: 703-305-4217              Fax: 703-305-8002

              James E. Rogan              Under Secretary of Commerce for              Intellectual Property and Director of the              United States Patent and Trademark Office

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Customer               Service StandardsSince our first             customer service standards were published in 1994, we have validated             these standards using annual customer satisfaction surveys. We continue             to review and update the standards to help ensure that your needs             and expectations are accurately reflected. 
Our current               standards are:

**USPTO-Wide               Service Standards** We will ensure               that our written communications clearly set forth the technical,               procedural, and legal position of patent examiners and trademark               examining attorneys. 
We will treat                 you with courtesy each time you contact us and, where applicable,                 we will direct you promptly to the proper office or person.                We will widely disseminate information about changes in practice                 and procedures to ensure that both you and the USPTO employees                 know about changes prior to their effective date.
We will ensure                 calls to unavailable employees are returned by the next day or,                 if you request, an alternate point of contact will be provided.
We will respond                 to your status letters within 30 days from the date received in                 the USPTO.

**Patent Service               Standards**

We will deliver                 fax transmissions of properly addressed papers marked "Informal"                 or "Draft" to examiners within one business day of receipt.                 
We will match                 properly addressed fax transmissions of Formal Amendments with                 the file and deliver to the examiner within three business days                 of receipt.
We will mail                 accurate filing notices for complete, standard applications.
We will mail                 filing notices for complete, standard applications within 30 days                 of receipt of application.
We will conduct                 a thorough search during the patent examination process of relevant                 U.S. patents, foreign patent literature and non-patent literature                 contained in USPTO search files and, where appropriate, a reasonable                 search of other non-patent literature.
We will respond                 within 30 days to papers filed after the examiner allows the application                 and up to time of receipt of issue fee payment.
We will provide                 first action within 14 months of filing.
We will respond                 to amendments within four months of receipt.
We will mail                 patent grant within four months of issue fee payment.
We will provide                 patent grant within 36 months of filing.

**Trademark               Service Standards**
 We will                 provide a first action regarding registrability within 3 months                 of filing.
We will provide                 a final determination regarding registrability within 13 months                 of filing.
We will mail                 the applicant's return postcard within 3 days of filing.
We will mail                 notices published by the USPTO within established times:

**Filing                   Receipts**-                  14 days after receipt of application in the USPTO

**Notices                   of Publication -**                  30 days after file is approved for publication

**Certificates                   of Registration -**                  7 days after date of registration

**Notices                   of Abandonment -**                  45 days after date of abandonment

We will respond                 to correspondence received from the applicant within established                 times:

**Law                   Offices' Service Standards:**                  Response to Amendments -                  35 days from mailroom receipt date

**Intent                   to use:**                  Request to Divide, Statement of Use, and Extension Request -                  30 days from mailroom receipt date

**Post                   Registration:**                  Section 7, 8, and 9 Requests -                  30 days from mail room receipt date

We will issue                 USPTO products (Filing Receipts, Notices of Allowance, Official                 Gazette, Certificates of Registration, Notices of Abandonment)                 with correct information.
We will resolve                 problems experienced by customers in the processing of trademark                 applications or registrations within 7 days of notification.
We will provide                 clear and accurate answers to questions regarding the trademark                 application process through the Trademark Assistance Center.
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Measuring                 Customer Satisfaction
Communicating               With Our Customers
              In FY 2001, the USPTO made considerable improvements in how we communicate               with our customers. The Office continued to build upon prior accomplishments               in e-Government and customer outreach by reorganizing its web site,               hosting partnership meetings and coordinating technology fairs.               
On April                 25, 2001, a new design for the award winning USPTO web site was                 unveiled. The new design was developed with direct input from                 the public through focus groups, design sessions, and web surveys.                 The new web site layout addresses our customers' requirements                 and emphasizes USPTO's commitment to electronic commerce. The                 USPTO web site, www.uspto.gov, continues to receive almost 5 million                 requests each month. The web site's searchable databases of patents                 and trademarks received approximately 353 million requests in                 2001. The web site continues to service a large volume of inquiries                 and requests from the public for patent and trademark general                 information. In addition to web site requests, over one million                 telephone calls were serviced during the last year and an additional                 43,000 customers were assisted through e-mail, letters, or in                 person.
Since our                 first technology fair approximately two years ago, over 100 corporations,                 law firms, and independent inventors have voluntarily lectured                 and demonstrated their inventions and related products to patent                 examiners and technical support personnel.                The technology fair presentations are designed to provide cutting                 edge technical training to our employees leading to better service                 for our customers and improvements in the quality of examination.                 In the past year, Technology Centers 1600 (Biotechnology and Chemical-Pharmaceutical),                 1700 (Chemical and Materials Engineering), 2900 (Design), 2600                 (Communications), 3600 (Transportation, Construction, Agriculture,                 National Security & Licensing and Review), and 3700 (Mechanical                 Engineering) all held Technology Fairs. Technology Center 2600                 (Communications) held its first annual technology fair. On March                 1, 2001, Technology Center 2100 (Business Methods) held its Inaugural                 Business Methods Partnership Meeting and hosted nearly 90 representatives                 from the business and legal community, as well as trade associations                 and academia. Technology Centers 1600, 2100, and 2800 held Partnership                 Meetings in FY 2001. The Partnership Meetings provide a forum                 for our customers to learn about recent policy changes and process                 improvements as well as an opportunity for customers to voice                 their concerns.
Additionally,                 the USPTO hosted the Sixth Annual Independent Inventors Conference.                 The conference was visited by over 180 independent inventors seeking                 guidance on subjects ranging from patent application preparation,                 claim construction, and trademark registration to marketing, licensing                 and obtaining funds for the development of their inventions.
Also in March                 2001, the USPTO published the first Official Gazette (Trademarks)                 through the Trademark In-house Proofing System (TIPS). The trademark                 operation sends a post script file directly to the Government                 Printing Office for publication of the hard copy Official Gazette.                 Furthermore, the weekly Official Gazette now appears in an "online"                 PDF searchable format on the USPTO Web site, at www.uspto.gov/web/trademarks/tmog.
**Customer                 Surveys**                We continue to use surveys to obtain information from our customers                 about our key products and services. This is the sixth time we                 have surveyed Patent and Trademark customers for feedback relating                 to the quality of our products and services. For the fourth year,                 customer satisfaction data was gathered and reported by patent                 industry technology areas. 
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Building                 on Improved Customer Service Delivery
The USPTO                 made steady improvement in achieving many of its performance goals                 in 2001, while implementing several customer service initiatives                 in the patent and trademark areas. 
**Patents**                Patent application filings increased 11% above the previous year.                 Over the past five years, filings have increased annually. This                 trend has resulted in a 50% increase in patent application filings                 since 1996.
On March                 15, 2001, the Office published its first set of patent applications                 under the American Inventors Protection Act, a 1999 law making                 far-reaching changes to the U.S. patent system. Publication of                 patent applications before a patent is granted is one of the most                 fundamentally significant changes to the U.S. patent system in                 over 100 years. Forty-seven applications were published in a variety                 of technical fields including surgical devices, chemical processes,                 and business methods. The published patent applications may be                 viewed as images or text searched at http://www.uspto.gov/patft/index.html.                 New applications are published every Thursday. 
Publication                 of patent applications is now required for the vast majority of                 applications filed on or after November 29, 2000. Publication                 occurs after expiration of an 18-month period following the earliest                 effective filing date. An important procedure under the new law                 allows an inventor to request early publication of an application.                 By requesting voluntary publication, the applicant will enjoy                 the potential benefit of provisional rights to reasonable royalties                 from others who make, use, sell, or import the invention during                 the period between the time the patent application is published                 and the patent is granted.
Also, the                 USPTO expanded its 2 million patent web database to include United                 States patents back to 1790, a total of more than 6.5 million                 documents. The database now offers the public an additional 1.7                 terabytes of full-page images for the 4,204,863 U.S. patents issued                 from 1790 through 1975. Patents issued from 1790 through 1975                 are searchable by patent number and current U.S. patent classification.                 Patents issued from 1976 to the most recent issue week are searchable                 by full-text fields that now include current U.S. classification                 data. To facilitate database searches, the USPTO's Manual of Classification                 has been enhanced to help users find all patents in a particular                 category of invention. The USPTO has also added two additional                 database web servers and has doubled the available Internet bandwidth                 to accommodate ever-increasing public use of the patent database.                 In addition, the USPTO added two terabytes of additional disk                 storage to the two terabytes previously allocated for Patent Images                 on the Web. This is another way that the USPTO has improved access                 for its customers. For more information, see the patent database                 web page at http://www.uspto.gov/patft/.
During the                 past year, a Root Cause Analysis Database (RCA) was implemented.                 Information in the database can be used to monitor our Customer                 Service Centers' performance, identify repeat problems, and help                 determine Customer Service Centers' workloads. With the goal of                 eliminating the most common problems, using the RCA database allows                 customer service representatives to answer routine status inquiries,                 analyze the types of problems encountered, discover the frequency                 of their occurrence, and determine the best resolution.
The USPTO                 recently installed server software that enables us to automatically                 receive facsimile transmissions and route them to the appropriate                 groups. No special equipment is needed by our customers to use                 this system. In addition, the Customer Service Centers in each                 Technology Center can answer your general application status questions.                 (See Appendix C for Customer Service Center phone numbers).                The ability to transact business electronically with the USPTO                 has been enhanced during the past year. The USPTO accepts assignment-related                 documents via the Internet and copies of office records may be                 ordered from the USPTO Web site. This year the payment options                 for Internet customers have been enhanced and the electronic submission                 capabilities were expanded to include patent assignment transactions                 that are not associated with patent applications. (See Appendix                 A for more details on this initiative).**Trademarks**                The Trademark Organization made significant progress towards the                 achievement of fiscal year 2001 goals. The number of new applications                 filed for the registration of a trademark was less than originally                 projected, resulting in reduced backlogs of unexamined work. Application                 filings dropped for the first time in nine years, reversing a                 pattern of continuous growth. In the previous two years, there                 was a back-to-back annual growth of 27 percent. The slowdown in                 filings, new programs, greater use of electronic filing and systems                 have allowed the Trademark Organization to make considerable gains                 in improving pendency and exceeding its first action goals.
To improve                 on the identification of goods and services, and to reflect current                 developments and changes in the law, extensive revisions were                 made to the Trademark Acceptable Identification of Goods and Services                 Manual. Enhancements include a more thorough listing of acceptable                 terms within the identification of goods and services. The revised                 Manual is now available electronically in a searchable format                 for examiners within the Office and for our customers. It can                 be accessed on the USPTO Internet web page at http://www.uspto.gov/web/offices/tac/doc/gsmanual/.                 
Additionally,                 changes were made to the Trademark Manual of Examining Procedure                 (TMEP). The Office issued a new expanded edition of the TMEP.                 The new edition incorporates all changes in substantive trademark                 law and Office practice procedure since the 1997 edition. There                 are new chapters on general information and resources available                 to the public, intent-to-use applications and related documents,                 application filing dates, and public inquiries. The new edition                 has expanded sections discussing application filing basis, amendments                 to change the filing basis, petition procedure, fee processing,                 letters of protest, and many other aspects of Office practice                 and procedure. The new TMEP is now available to customers on the                 Office's web site at: <http://www.uspto.gov/web/offices/tac/tmep/>.
In FY 2001,                 the Trademark Assistance Center (TAC) successfully reduced customer                 inquiry response times, and improved resolution of customer complaints                 and inquiries over prior year results. The TAC service level,                 a measure indicating the percent of calls responded to within                 20 seconds, improved from 23% at the beginning of the fiscal year                 to 64% by fiscal year end. By adding staff, the TAC is able to                 respond more quickly to simple requests and inquiries, while diverting                 more complex requests to a representative trained to handle issues                 pertaining to trademark processes and examination New software                 was also purchased that enables customer service representatives                 to record and monitor resolution of complaints and inquiries.                 These combined initiatives have resulted in more efficient performance                 in the TAC, and increased satisfaction for Trademark customers.
Based on                 FY 2000 Customer Satisfaction Results, the Trademark Organization                 took a proactive approach to improving customer service. Approximately                 630 trademark employees received training through the Customer                 Service Excellence Program. The program was designed to ensure                 that all Trademark employees gained an awareness of customer needs                 and expectations. The training sessions were developed as a refresher                 for incumbent employees and as an overview for new employees.                 
The Trademark                 Organization continued its efforts in minimizing processing time                 for FY 2001. Overall pendency reduced to its lowest level since                 1988. First action pendency fell from a high of 6.2 months to                 2.7 months by the end of the year. This is the first time in eight                 years first action pendency has been within the goal of three                 months of filing. Other areas of Trademarks recorded significant                 improvements in processing times also. Post Registration pendency                 for processing affidavits of continued use fell from a high of                 99 days at the start of the fiscal year to 9 days by the end of                 the year. Pendency for renewals of registrations fell from a high                 of 225 days to 81 days. 
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Success                 Stories 
On June                 25, 2001, the USPTO hosted a ceremony to recognize the receipt                 of the 100,000th electronically filed trademark application under                 the Trademark Electronic Application System (e-TEAS). The application                 was filed by the General Electric Company. The 100,000th filing                 is a significant milestone in creation of an e-Government operation                 and confirmation of customer acceptance for filing trademark applications.
Furthermore,                 the USPTO received recognition for many of its customer service                 initiatives. In August 2001, the USPTO received the Commuter Connections                 Employer Recognition Award for its Trademark Work@Home telecommuting                 program. The award, sponsored by the Metropolitan Washington Council                 of Governments recognized the Trademark Organization as one of                 four employers who have created a workplace where telecommuting                 produces a "smarter way to work."
In March                 2001, the e-TEAS program was awarded the Finalist prize in the                 Government category for the 2001 RIT/USA TODAY Quality Cup Competition,                 recognizing teams who have made significant contributions to the                 improvement of quality in their organization. The competition                 was conducted as a cooperative academic-industry effort between                 Rochester Institute of Technology's College of Business and USA                 TODAY. 
Also this                 year, the USPTO web site (www.uspto.gov) was named to Entrepreneur                 Magazine's Third Annual "Top 100 Best Sites." USPTO's                 web site was one of only seven government sites recognized. The                 sites were recognized for the money and time saving they offer                 to those who own their own businesses. The USPTO's award-winning                 site was featured in the April 2001 issue of Entreprenuer Magazine.
In October                 2000, judges for the 2000 Government Technology Leadership Awards                 selected TEAS as one of its winners. For the last eight years,                 the Government Technology Leadership Awards program has celebrated                 successful U.S. government initiatives. By honoring meritorious                 projects and the teams responsible for them, the awards have sought                 to encourage innovation. The awards salute projects, large and                 small, that have directly aided the missions of their organizations                 by boosting efficiency and effectiveness, lowering costs, and/or                 improving service to the public through original uses of technology.
In addition,                 feedback from our customer surveys and 2001 Independent Inventor's                 Conference includes the following:
**Comments                 from Customer Survey:**                "I'm satisfied by the work my invention examiner did, and                 I want to thank him for his patience and professional performance."
"I am                 a novice at the patent process, and was particularly pleased with                 the helpful advice I received from the patent examiner. I am sure                 I would not have received a patent without his help."
"My                 examiner had a very deep understanding of the specific area of                 database technology pertaining to my invention, and was able to                 understand and comment knowledgeably about the specifications                 and claims."
"Both                 "help lines" and examiners have been quite responsive                 and cooperative. Issues have been handled courteously and quickly                 by telephone."
"Your                 website is excellent, one of the best websites on the internet."
"I have                 been extremely pleased with both PRINTEAS and E-TEAS. I think                 they have made the process much simpler and reduced the likelihood                 of me or my paralegal making a mistake."
**Comments                 made by attendees of the 6th Annual Independent Inventor's Conference.**                "Outstanding conference presented by professional, dedicated                 PTO employees with first hand knowledge of the subject. I really                 appreciated the opportunity to attend and learn. I feel it has                 saved me money and increased my chances for success in my patent                 application."
"In                 academia and industry, I have attended many conferences. I can't                 recall having attended such an interesting, well-serviced conference.                 I'm really glad I came."
"This                 conference is a superb idea. It is extremely educational and helpful,                 especially for the new inventor. Also very inspiring."
"I have                 learned much about how to prepare and present a patent application.                 I have learned how the PTO operates and have had the good fortune                 to meet several PTO employees that have treated my fellow inventors                 and me extremely well."
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Appendix                 A 
**Transitioning                 from Paper-Based Processing to e-Government**                The concept of electronic filing in the USPTO originated approximately                 20 years ago. This idea was believed to have the greatest potential                 for reducing or eliminating numerous processing activities in                 the production process, thereby improving customer service, quality,                 and timeliness. In the early 1980s, former commissioner of the                 USPTO, Gerald J. Mossinghoff, recognized the need for change and                 proposed a goal for the USPTO to become a paperless office. Since                 then, the USPTO has been committed to this proposal, and is on                 a steady course to transition from paper-based processing to electronic-based                 processing and examination. 
During the                 fiscal year, several forums to promote electronic filing and communication                 were jointly sponsored by law firms, associations, and universities                 in the metropolitan area and major cities in cooperation with                 USPTO. The forums provided a unique collaboration between the                 USPTO, senior law firms, and practitioners to share information                 and ideas with the goal of ensuring that business needs are met                 as the USPTO continues its transition to a new e-commerce environment.
The emergence                 of the Internet and the acceptance of the World Wide Web as a                 method of business communication gave the USPTO the proper tools                 to integrate its business practices into e-Government. Anyone                 with Internet access can file a patent or trademark application                 online through USPTO's EFS or E-TEAS at www.uspto.gov. 
**E-TEAS                 provides:**

1. A dramatic                   increase in the speed with which applications can be filed.                  2. The ability to file virtually 24 hours a day, seven days                   a week; permitting filing on days the USPTO is officially closed.                  3. Online help screens and an automated validation function                   to ensure submission of applications that meet USPTO requirements.                  4. Filing receipt and serial number for an initial application                   via e-mail in a very short turnaround time.                  5. More accurate filing receipt information because data is                   transferred directly to USPTO databases.

**The EFS:**

1. Supports                   filing 24 hours a day, and seven days a week.                  2. Provides immediate electronic Acknowledgement Receipt. There                   is no delay while waiting for a Postcard. Also, you can use                   application number for same day paper filings.                  3. Provides expanded client service.

                Also accessible from the USPTO web-site, are the: Patent Electronic                 Business Center, Patent Application Information Retrieval Systems,                 Trademark Electronic Business Center, Trademark Electronic Search                 System, Trademark Application Registration Retrieval, Trademark                 Electronic Application System, and Trademark Information Capture                 and Retrieval System. Significant improvements to the EFS, E-TEAS,                 and other USPTO e-Government systems are discussed below.
**Patent                 Electronic Business Center (EBC)**                The Electronic Business Center is the patents e-Commerce home                 for the USPTO. This site provides links to the systems that will                 enable you to do business with the USPTO electronically, including:                Ÿ Submitting a patent application.                Ÿ Checking the status of a patent application.                Ÿ Registering to conduct business with the USPTO securely.
You can visit                 the EBC site at (www.uspto.gov/ebc/index.html). 
**Patent                 Electronic Filing System (EFS)**                The Electronic Filing System (EFS) was introduced to the public                 in FY 2001. Now, customers can file an application for a new invention                 with the USPTO using the Internet. Several types of submissions                 can be filed with EFS. 
Also, the                 USPTO's Electronic Business Center web site supports EFS because                 it provides customers with EFS software information, and directions                 on how to write and file applications using the Internet. The                 EFS software ePAVE, assembles all application components, calculates                 fees, validates application content, compresses, encrypts, and                 transmits the filing to USPTO.
The USPTO                 is increasing its use of electronic commerce in order to provide                 faster and more reliable service to its customers. Filing your                 application electronically provides immediate time savings and                 convenience. 
**Patent                 Application Information Retrieval System (PAIR)**                The Patent Application Information Retrieval system provides secure                 access for our customers (applicants or designated agents and                 attorneys) who want to view current patent application status                 and paper entry information electronically. This system provides                 world-class service to USPTO customers 24 hours a day, 7 days                 a week, via the World Wide Web.
**Trademark                 Electronic Business Center (TEBC)**                The Trademark Electronic Business Center is a site that allows                 customers to locate all the different electronic search systems                 and methods of doing Trademark business. It is your one-stop source                 for all on-line Trademark searching, filing and follow-up. The                 TEBC showcases several Trademark Electronic Business Systems,                 each of which is supported by their own set of HELP screens and                 contact points. You can visit the TEBC site at: http://www.uspto.gov/web/menu/tmebc/index.html
**Trademark                 Electronic Search System (TESS)**                The Trademark Electronic Search System (TESS) supports the USPTO's                 approach to e-Government by providing greater access and information                 resources to those who need it. TESS allows anyone the ability                 to search and retrieve over 3 million pending, registered, abandoned,                 cancelled or expired trademark records for free via the Internet.                 TESS, the database and search systems used by USPTO's trademark                 examining attorneys for making decisions regarding the registrability                 of a mark, is now available to the public. Access to this database                 is leading to increased electronic communications with trademark                 customers, and is a critical component for achieving the goal                 of e-Government. TESS is available at: http://www.uspto.gov/web/menu/tmebc/index.html                 
**Trademark                 Application Registration Retrieval (TARR)**                Trademark Application Registration Retrieval (TARR) is a web-based                 system providing information on pending and registered trademarks                 for free to the public. TARR represents the USPTO's continuing                 commitment to maximize implementation of                 e-Government initiatives. USPTO customers can access the Internet,                 as well as phone status and help lines to monitor current status                 of their filings. 
Also, the                 TTAB Board Information System Index (BISX) was added as a web                 site resource to search proceedings of the Trademark Trial and                 Appeal Board. This system supplements status information available                 from TARR. Both TARR and BISX are available from http://www.uspto.gov/web/menu/tmebc/index.html.                 
**Trademark                 Electronic Application System (E-TEAS)**                The Trademark Organization continued to build on improving the                 content and offerings available through its web-based site that                 has driven much of its e-Government success in increasing use                 of electronic filing. Since its debut three years ago, the Trademark                 Electronic Application System, e-TEAS, has generated an unprecedented                 level of filings. In its first year of operation, e-TEAS received                 more than 20,600 application filings. In FY00, the second year                 of operation, application filings through e-TEAS more than doubled                 to over 44,100 filings. In FY01, USPTO received nearly 58,000                 applications, including more than 61,000 classes for the registration                 of a trademark electronically. To foster continuous improvement                 of this important e-Government initiative, additional trademark                 forms were added in FY01. The impact of making more forms as well                 as trademark related information available via the Internet improves                 our ability to provide useful information for all our customers.
The number                 of electronically filed applications submitted through e-TEAS                 accounted for 24 percent of all new applications filed; short                 of our goal to achieve 30 percent of our filings electronically.                 While pro se applicants and corporations were initially the primary                 users of e-TEAS, by the end of the fiscal year, applications submitted                 by attorneys had risen to nearly 50 percent. 
The ability                 to accept applications electronically is a critical success factor                 to meet the Trademark goal for conducting nearly all business                 electronically by FY03, as well as providing access to those who                 otherwise would not have filed for trademark registration. Over                 the past year, the Trademark Organization continued to take steps                 to make e-TEAS the cornerstone of the overall transformation of                 the Trademark Organization into an effective e-Government operation.                 We focused on two specific strategies: first, to increase the                 number of applications filed electronically; and second, to increase                 the number of applicants adopting electronic filing as their preferred                 business choice. Of our largest customers, 521 used e-TEAS as                 the exclusive method for filing applications in FY01, filing 11                 percent of the total number that were received electronically.
The USPTO                 has continued to support our customer needs and promote the benefits                 of using E-TEAS to increase use of electronic filing. Additional                 enhancements were made throughout the fiscal year. The most significant                 being the introduction of new simplified methods for obtaining                 signatures from clients¾one allowing for direct e-mail                 of a completed form for signature. The other, a method whereby                 a completed form could be mailed or faxed for a conventional pen-and-ink                 signature; followed by creation of an image file of the signed                 declaration for attachment to the electronic form. The Trademark                 Organization is committed to enhancing e-TEAS as well as encouraging                 greater acceptance and use for the benefit of all those who use                 trademark information.
**Trademark                 Information Capture and Retrieval System(TICRS)**                The Trademark Information Capture and Retrieval System is the                 first step towards creating a fully electronic file and eventually                 an electronic file management system. All incoming applications                 filed since FY99, whether filed electronically or on paper, are                 captured and stored electronically through TICRS. Electronic images                 of applications have replaced the need for generating paper copies                 or for microfilming new applications. In the past year, TICRS                 was made available to all Trademark employees at their desktop                 computers, as well as to search terminals in our public search                 library. Examiners are now able to conduct their initial examination                 of the application from the TICRS image. In FY02 we will implement                 the process of having all incoming and outgoing correspondence                 on TICRS. At some point in the future, TICRS will also be available                 from our web site, accessible by everyone from any location.
**E-Commerce                 Law Office**                The Trademark Organization dedicated a third law office to the                 growing number of Trademark law offices whose work is dedicated                 solely to the processing of applications received electronically.                 Through the Internet, Trademark customers are opting in increasing                 numbers to file applications for registration of a trademark electronically.                 Electronic filing provides Trademark customers with the capability                 to submit their applications electronically while enabling the                 Organization to process increasing numbers of applications with                 greater efficiency. In keeping with the increased level of applications                 filed electronically-a level that increased from 14% in FY00 to                 more than 24% in FY01-we expanded the number of law offices dedicated                 to the receipt, processing and examination of electronically filed                 applications.
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Appendix                 B 
**Overview                 of Search Quality Improvements at the USPTO**
Each Spring,                 the U.S. Patent and Trademark Office mails out customer satisfaction                 surveys to numerous applicants who received a patent grant during                 the prior year. The results of this annual survey drives quality                 improvement initiatives for the forthcoming year. The findings                 provide a benchmark for how the USPTO is serving its customers                 on a number of specific issues.
As the results                 of the survey indicated, there is an opportunity to improve customer                 satisfaction with search. In late FY99, the USPTO began implementing                 focus sessions by Technology Center (TC).

The Goals                 of the Search Focus Sessions were two-fold:

1. To determine                   what customers perceived to be a high quality search                  2. To identify what areas of improvement USPTO should consider                   in performing the SEARCH function

The sessions                 were designed specifically to learn the customers' definition,                 perception and ideas with regard to the "quality" of                 search. The information gathered over the past two years is being                 employed by each Technology Center to design strategies to improve                 the quality of USPTO search efforts.
The questions                 that were asked during each of the focus sessions included:

What are                   the characteristics or attributes of a good quality search?                  Where do you see opportunities to improve search at the USTPO?

**Attributes**                Attributes or characteristics of a good quality search as identified                 by USPTO customers included searching other than U.S. patent references.                 This attribute collectively received the most responses from customers.                 It is clear that the presence of non-patent literature (NPL) and/or                 foreign patent citations are inherently linked to quality.
Next, search                 competence appeared as the second most important attribute or                characteristic of good quality searches. Concepts such as "nonlinear                 searching" and demonstrating a "comprehensive understanding                 of the art and the invention", were expressed in all of the                 focus sessions.
Finally, indicating                 the search or rather search strategy such as "identification                 of what was searched" and "listing scope of search"                 were considered very important to quality for the customer. 
**Opportunities**                Time constraints and collaborative searching were equally important                 to customers in identifying areas where the USPTO needed to improve                 its search efforts. Ideas such as "providing more time and                 incentives to do more comprehensive searching," and "encouraging                 discussion of search results with other experienced persons to                 determine more relevant references" as well as many other                 good suggestions were provided.
Training strategies                 such as "training for expert searches," "emphasizing                 technical training in certain art areas," and "increased                 training time for automated tools and refresher training"                 were indicated as areas for improvement.
**Next Steps**                The Search Focus Sessions helped the USPTO get a big picture of                 where they need to go to provide the best quality SEARCH to customers.                 Since the data indicated that the citations (or lack thereof)                 of NPL appeared to significantly influence the perception of the                 quality of search performed; an on-going dialog about NPL with                 examiners and customers has been initiated by the USPTO. This                 is being done in part through creation of NPL Resource Selection                 Guides. The guides identify appropriate resources and include                 the most relevant NPL databases by art area listed in the order                 of frequency of use. The guides are available via the USPTO website.                 The Technology Centers will consider suggestions from customers                 regarding additional relevant search resources.
The USPTO                 and applicants must develop a shared vision of what is a "thorough                 search of the prior art" within the examination process.                 This understanding will enable the USPTO to realize its goals                 of customer satisfaction with the search. The USPTO understands                 that it is imperative to continue to share what it is doing with                 regard to search through lectures, demonstrations, and information                 flyers. In response, the USPTO hopes to elicit customer feedback                 as to how these efforts do or do not meet their needs/perspective.
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Appendix                 C 

GENERAL                       INFORMATION

Patent                       Assistance Center General Information: �� ����������� 1-800-PTO-9199

Trademark                       Assistance Center�������������� ������������������                       ��������� 703-308-9000

 

**Technology                       Center Customer Service Numbers (703 area code):**

1600                       Receptionist 308-1234

2600                       Customer Service 306-0382

1600                       Customer Service 308-0198

2800                       Receptionist 308-0956

1700                       Receptionist 308-0661

2800                       Customer Service 306-3329

1700                       Customer Service 306-5665

3600                       Receptionist 308-1113

2100                       Receptionist 305-3900

3600                       Customer Service 306-5771

2100                       Customer Service 306-5631

3700                       Receptionist 308-1148

2600                       Receptionist 305-3900

3700/2900                       Customer Svc. 306-5648

 

**General                       Customer Service� Numbers:(703 area code):**

Electronic                       Business Center�������                       (�������� EFS and PAIR programs)
305-3028
Petitions����������������������������������                                             (Petitions listed in MPEP section 1000)
305-9282��������                     
Publications�����������������������������                                             ������� (Applications that are in the publication cycle)
305-8497�
SIRA��������������������������������������                                             (Patent Business in Information Resource Issue) 306-3104��������                     
PCT                       Help Desk�����������������������                       (Application filed under the Paris Convention)
305-3257��������                     
 

 

 

 

 

 

 
**This Organization:**
**At this Number:***(703 area code)***Provides Information on:**Assignment                       Branch308-9723                                              USPTO recordation of assignmentsBoard                       of Patent Appeals & Interference308-9797                       Status                       of pending appeals & oral hearing requestsCD-Rom                       Sales 306-2600                       Sales                       of Patent and Trademark informationCertificates                       of Correction 305-8309                       How                       to correct a patentCertification                       308-9726                       Obtaining                       certified copies of patentsDeposit                       Accounts 305-4631                       How                       to set up an account, account statusDrawing                       Corrections 305-8404                       How                       to correct drawings Enrollment                       & Discipline                       306-4097 The                       Patent Agent�s exam, registrationFiles                       Information Unit 308-2733                       Inspecting                       and copying publicly available filesFiling                       Receipts 308-1202                       Status,                       corrections, copies of filing receiptsFinance,                       Office of 305-8051                       Fee                       payment informationForeign                       Filing License 306-4187                       Filing in a foreign country Foreign                       Patent Copies 308-1076                       How                       to order copies of foreign PatentsFreedom                       of Information Act 305-9035                       Solicitor�s                       office- Questions about FOIAIndependent                       Inventor Programs 306-5568                       Events,                       publications for the independent inventorLegislative                       & International Affairs 305-9300                       Pending                       legislation/treaties affecting USPTO Licensing                       & Review 306-4187                       Applications                       relating to national security Maintenance                       Fee Information 308-5068                       Payment                       of maintenance feesPublic                       Search Room 305-4463                       Search                       resources available to the public Refunds                       (Off. Of Finance) 305-4229                       How                       to get a refundPatent                       & Trademark Copy Sales ***800-972-6382***How                       to order patent or trademark copiesPress-related                       Questions                       308-8341                       Public Affairs- handles all media questionsTTY                       Questions 305-7785                       Teletype                       services for the hearing impaired 
 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

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