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A R AD E M A RK Customer Satisfaction Report IT UN RI CA PAT E T T ND IC E FF O N 1998 ED E STA M TES OF A U.S. Department of Commerce Patent and Trademark Office Washington, DC 20231 U.S. Patent and Trademark Office U.S. Patent and Trademark Office 1998 Customer Satisfaction Report Issued April 1999 U.S. Department of Commerce Patent and Trademark Office Table of Contents Letter from Q. Todd Dickinson, ...................................... 1 Acting Assistant Secretary of Commerce and Acting Commissioner of Patents and Trademarks Customer Service Standards ........................................... 2 Measuring Customer Satisfaction .................................. 5 1995, 1996 and 1998 Results– ...................................... 6 Customer Satisfaction Survey Improvement in Customer Service Delivery..................12 Success Stories...............................................................14 Providing high quality services to our customers continues to be one of the top priorities of the Patent and Trademark Office. Having myself been a customer of the Patent and Trademark Office for over 20 years, I am firmly committed to issuing quality patents, registering quality trademarks and providing high quality customer service. Each of our major business areas, which include Patents, Trademarks, and Information Dissemination, has established customer service standards based on input from our customers. We continue to evaluate our progress against these standards by regularly contacting and interacting with our customers. This year, for the third time, we are publishing our Customer Satisfaction Report which outlines our standards and the results of our performance against these standards. This year we are also reporting the results of surveys for the key products and services of our Information Dissemination Organization which had very favorable overall satisfaction rates. While the overall satisfaction of our patent and trademark customers has remained basically unchanged since our last survey was conducted in 1996, there have been significant improvements in some of the key areas that were previously identified as being important to our customers. For example, in Patents, customer satisfaction with the “written communications of examiners” increased by 15%, and satisfaction with examiners “conducting a thorough search” increased by 11%. Both of these items relate directly to the quality of patent examination and are key drivers for our customers of overall satisfaction with the patent process. It is important to note that these are two of the key customer service standards the Patent area has focused on for the last year. Similarly, in Trademarks, satisfaction with the “clear written communications on the position of the examining attorney” increased by 6%, as did the “quality of the status information provided.” Also in Trademarks, the satisfaction of those customers, who when they contacted the Office were being directed “promptly to the proper office or person” reflected a 10% increase. I believe it is also noteworthy, that in both the Patent and Trademark areas, our customers feel very strongly that they are being treated with courtesy when they work with our staff. In Patents, we found that 80% of our customers are satisfied that they are being treated courteously, and 85% of Trademark customers are satisfied with how they are treated. As most of you are probably aware, filings in both Patent and Trademark areas continue to increase substantially. In response to increased workloads, PTO has hired over 700 new patent examiners and over 100 new trademark examining attorneys. These new hires have already begun to have a positive impact on some of the timeliness issues raised by our customers. Also, the PTO now allows trademark applicants to submit their applications electronically, an improvement that will ultimately have a positive impact on overall trademark cycle time as the organization continues to work toward the long term goal of leveraging automation to the benefit of our customers. Page 12 of this report outlines several initiatives which were developed based on results from our last customer surveys as well as from feedback received from our customers through focus groups, roundtables, discussions, open houses and other sources. PTO Customers: Inventors Applicants Owners Attorneys Agents Researchers Academia The purpose of this report is to continue communicating with you on our service delivery issues. We continually seek to improve our listening and learning techniques, and we welcome your comments. You may contact us at: United States Patent and Trademark Office Center for Quality Services (PK1-812) 2011 Crystal Drive Washington, DC 20231 Phone: 703-305-4217 Fax: 703-305-8002 Q. Todd Dickinson Acting Assistant Secretary of Commerce and Acting Commissioner of Patents and Trademarks 1 Customer Service Standards Our first customer service standards for the patent and trademark processes were published in 1994. These standards were developed based on input provided by customers in over 20 focus sessions throughout the United States (over 400 customers participated in these sessions). We validated these standards through customer satisfaction surveys in 1995, 1996 and most recently in 1998. In 1996, we published service standards for our key information dissemination products and services. Again, focus groups were used to obtain customer input on those characteristics of the products and services which are most important. In 1997, surveys representing the major products and services of the Information Dissemination Organization were distributed to obtain input on our performance and to validate key service attributes. We continually review and update all standards to ensure that they reflect your needs and expectations. For a comparison of how we are performing against our established standards for Patents and Trademarks over the past four years, see the charts under the Measuring Customer Satisfaction section. Additionally, for the first time, data for the Information Dissemination Organization standards is included. PTO-Wide 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, if appropriate, 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 PTO employees know about changes prior to their effective date. If a PTO employee being called is not available, they will return your call by the next business day or, if you 2 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 PTO. Patents Your facsimile transmissions of properly addressed formal amendments will be matched with the appropriate files and delivered to the examiner within three business days of receipt. We will deliver your facsimile transmissions of properly addressed papers marked “Informal” or “Draft” to the examiner within one business day. We will conduct a thorough search of relevant U.S. patents, foreign patent literature and non-patent literature contained in PTO search files and, where appropriate, a reasonable search of other non-patent literature during the patent examination process. We will respond within 30 days from date received in the PTO to papers filed after the examiner allows the application and up to the time PTO receives payment of the issue fee. We will correctly generate and mail a notice indicating the application number, date of filing and the title of invention for complete, standard applications. These notices will be mailed within 30 days of receipt of the application in the PTO. Trademarks The determination of registrability will be accurately and clearly set forth in office actions. The examination of procedural issues is accurate and office actions promote efficient and effective prosecution. We will provide a first action regarding registrability within three 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 three days of filing. We will mail notices published by PTO within established times: Filing Receipts 14 days (after receipt of application in the PTO) Information Dissemination Programs Search Services - Patents Notices of Publication 30 days (after file is approved for publication) We will maintain a Patent Search Room where: Certificates of Registration seven days (after date of registration) • You will have access to paper documents that are accurately filed in a timely manner: Notices of Abandonment 45 days (after date of abandonment) We will respond to correspondence received from the applicant within established times: Law Offices: Response to Amendments 35 days from mail room receipt date Intent to use: Request to Divide 30 days from mail room receipt date Statements of Use 30 days from mail room receipt date Extension Requests 30 days from mail room receipt date Post Registration: Section 7 Requests 30 days from mail room receipt date Section 8 Requests 30 days from mail room receipt date Section 9 Requests 30 days from mail room receipt date Unclassified paper copies of the drawing pages of trademark applications will be delivered to the Trademark Search Library within three days of filing and classified copies will be delivered within 11 days of filing. PTO products will be issued with correct information: (Filing Receipts, Notices of Allowance, Official Gazette, Certificates of Registration, Notices of Abandonment) We will resolve problems experienced by customers in the processing of trademark applications or registrations within (seven) days of notification. We will provide clear and accurate answers to questions regarding the trademark application process through the Trademark Assistance Center. The Official Gazette - Patents and the numeric set of issued patents will be available to you on issue day. The location information for classes and subclasses will be posted for your use within 24 hours from the time the class/subclass is relocated. • You will have timely access to the automated search systems; • You will have access to equipment for making quality copies of documents; and • You will be provided with effective assistance in using Search Room resources. Search Services Trademarks • You will have access to paper documents that are properly categorized and accurately filed in a timely manner: The Official Gazette Trademarks will be available to you on issue day. Bound volumes will be stamped within five days from receipt of the information in the Trademark Search Library. A happy PTO customer obtaining a pass to use the Patent Search Facilities • You will have timely access to the automated search systems; • You will have access to equipment for making quality copies and documents; and • You will receive effective assistance in using Search Library resources. 3 Regional Search Services We will enter into full partnerships with libraries to make patent and trademark information widely available to you throughout regions of the United States. We will enable the Patent and Trademark Depository Libraries to serve as our partners in disseminating intellectual property information to you. General Information Services We will provide you with accurate, timely general information about the patent and trademark processes, products and services, as well as information about the Patent and Trademark Office itself. Copies of the general information booklets and forms will be mailed to you within two days of receipt of your request. Electronic Information Products We will provide you with quality patent and trademark electronic information products according to a published delivery schedule. We will provide you advance notice of product, price, and schedule changes. We will develop new patent and trademark electronic information products to enable Patent and Trademark Depository Libraries to disseminate intellectual property information to you. We will seek your suggestions for product and service improvements and will respond to you within one month. Patent and Trademark Copy Sales We will fulfill requests for patent and trademark copies completely and accurately within: • Two days of receipt for orders placed at the PTO’s local Public Service Window or sent via facsimile transmission; • Five days of receipt for orders mailed to PTO on a coupon; • Eight days of receipt for orders mailed to the PTO in a letter; 4 • Three days of receipt for orders placed via PTO’s Electronic Ordering Service; or • 24 hours of receipt for expedited service if requested, fees paid, and the order is placed at the PTO’s local Public Service Window or sent via facsimile transmission. We will provide missing copies or replacement copies free within 24 hours of customer request. Assignment Recordation Services We will accurately record patent and trademark assignments within 20 days of receipt and mail recorded assignment documents within 34 days of receipt. Certification Services We will fulfill orders for certified copies of patent and trademark documents completely and accurately within: • 14 days of receipt for trademark registrations or within five days of receipt if expedited service is requested and fees paid; • 17 days of receipt for patent and trademark applications-as-filed or within seven days of receipt if expedited service is requested and fees paid; • 25 days of receipt for patent and trademark file-wrappers and contents; or • 10 days of receipt for certified copies of patents. If we cannot fulfill your order on time, we will contact you by phone or fax early in the process cycle and explain in detail why your order may be delayed. Updates to Patent Records We will process changes to automated records of patented cases and file the related papers in file wrappers within 30 days. Measuring Customer Satisfaction Communicating With Our Customers As the PTO continues to change and grow into the next century, and as new products and services are introduced, we will continue to invite our customers to attend focus sessions and roundtable discussions in order to provide input into our plans or to changes we envision. Additionally, the traditional hearings and conferences sponsored by PTO also encourage two way conversations with our customers. During these sessions, we frequently obtain customer input on satisfaction with particular products and services. We have also established direct lines of communication with a number of specific consumer groups through the use of newsletters and monthly/ quarterly meetings. Quarterly Biotechnology Customer Partnership meetings and the annual Independent Inventors Conference are examples of regular opportunities available for our customers to provide input to PTO. Listings of events open to the public that are sponsored by PTO can be found on the PTO web site (http://www.uspto.com and ftp.uspto.gov) under the heading “PTO Conversations with America.” The PTO web site contains information of interest to the intellectual property community such as: publications containing general information about patents and trademarks, press releases, announcements of proposed changes in PTO rules, forms relating to patent and Patent Cooperation Treaty applications, trademark application forms, trademark electronic filing information and current job announcements. Users can access a searchable database containing patent bibliographic data and abstracts for all U.S. patents granted since 1976. Another searchable database contains the full text and full images of patents relating to AIDS research. Patents relating to AIDS from the European Patent Office and Japanese Patent Office are also included, as are the text and images of trademarks. The PTO continues to communicate with our customers through the more formal and traditional publications such as the Official Gazette, the Patent and Trademark Office Review, and our annual report. Additionally, we frequently provide speakers for conferences and annual meetings to many of our major customer groups. We provide training on specific issues, share important information on rule changes and introduce new products and services. Our customers may also use the PTO Assistance Centers to communicate with us. Both the Patent and Trademark business areas have established “hotlines” to address customer questions and to provide assistance. The individuals who staff these centers are responsible for answering technical questions and recommending actions to systematically improve processes. The General Information Help Line administered by the Information Dissemination Organization provides customer assistance as do the Help Desks for customers of PTO records and electronic products. Customer Surveys Several established survey efforts are in place. In 1997, customers of the key products and services of the Information Dissemination Organization were surveyed. This year, for the third time since 1995, major surveys of our Patent and Trademark customers were conducted. Also this year, for the first time, customer satisfaction data was gathered and reported by patent industry technology area. In addition, we have begun a series of telephone surveys called “in process reviews” designed to gather the opinions of patent attorneys on the quality of patent examiner office actions. In Trademarks, a telephone survey designed to help measure the effectiveness of the Trademark Flexiplace Pilot Program was conducted with 200 trademark attorneys. Responses to these survey efforts are used to guide action planning for the three business areas: Patents, Trademarks and Information Dissemination. The tables on the following pages compare the 1995 and 1996 survey results with this year’s results for Patents and Trademarks. Also included is overall satisfaction data for the seven industry technology areas as well as for the major Information Dissemination products and services. We continue to use a variety of approaches to obtain reliable and timely information from our customers: Focus sessions Roundtable discussions Written surveys Telephone surveys Assistance Centers Interviews Meetings Conferences The number for the Patent Assistance Center is (1-800-PTO-9199) The number for the Trademark Assistance Center is (703-308-9000) The number for Public Records is (703-308-9726 or 1-800-972-6382) The number for Electronic Products Help Desk is (703-306-2600) This year for the first time in Patents, customer satisfaction data will be gathered and reported by the industry technology area. 5 1995, 1996 and 1998 Results– Customer Satisfaction Survey From 1995 to 1996, our customer satisfaction survey response rates in both Patents and Trademarks had decreased somewhat from 37% to 35% in Patents and from 51% to 43% in Trademarks. In 1998, we increased the number of Patent surveys mailed to 6,370 in order to have valid sample sizes for each of the seven technology areas, and we mailed 1,004 surveys to Trademark customers. Response rates increased in both Patents and Trademarks from the 1996 rates. The Patent response rate increased 7 percentage points to 42%, and Trademarks increased 8 percentage points to 51%. The response rate for the Information Dissemination Office was 42%. Overall, 1998 satisfaction results changed very little from the previous two surveys for both Patents and Trademarks. Patents increased very slightly from 50% to 52% and Trademarks decreased very slightly from 64% to 63%. In Patents, however, there were some differences in the overall satisfaction levels with each of the technology areas as indicated in the chart on page 10 of this section. Comparison of 1995, ‘96 & ‘98 Patent Satisfaction Levels With PTO’s Performance Against Customer Standards (Five point scale, no neutral midpoint) Patent Satisfaction Against Customer Standards (Percent satisfied) Patent standards Treat you with courtesy each time you contact us 1995 72.8 1996 71.4 1998 79.8 Direct you promptly to the proper office or person 52.7 51.0 60.9 Return telephone calls within one business day or provide another contact 57.3 54.9 56.5 Set forth clearly in written communications, the technical, procedural, and legal position of examiners Provide legible correspondence that is of good print quality 54.0 50.1 64.8 74.1 75.2 82.1 58.3 53.7 45.2 62.5 66.4 67.2 63.7 57.3 55.7 62.6 58.9 51.0 56.1 58.2 50.9 56.4 30.4 67.1 Respond to letters within 30 days of receipt Widely disseminate information on changes in practices and procedures before their effective date Deliver fax transmissions of properly addressed papers marked “Draft” to examiners in one business day Match properly addressed fax of Formal Amendments after final rejection with the file; deliver to examiner within three days Mail correct filing notices for complete, standard applications within 19 days of receipt of application Conduct thorough search of all information Respond within 30 days to papers filed after the examiner allows the application and up to the time of receipt of issue fee payment 65.8 62.4 63.3 The most notable increases from 1996 relate to examination quality. There was a 15% increase in “clear written communications of examiners” and an 11% increase in “conduct a thorough search.” The major declines from 1996 include a 21% decrease in “mailing correct filing notices within 19 days of receipt”* and a 9% decrease in “responding to status letters within 30 days of receipt.” *Note: During the time period immediately before and during the distribution of this survey, filing receipts were taking as long as 130 days to be mailed. Current filing receipts are being mailed in 30 days. 6