USPTO Releases Five-Year Strategic Plan

Written by Samuel Vincent | 7/11/23 8:58 PM

In June, the USPTO issued its 2022-2026 Strategic Plan. The plan outlines five major mission-focused strategic goals they hope to accomplish within the next three years.

Each goal, in turn, contains three components:

Objectives: measurable, specific initiatives that the USPTO will take to accomplish a goal
Strategies: specific activities USPTO teams will perform to accomplish an objective
Key performance indicators (KPIs): change indicators that allow the USPTO to measure its progress toward each objective objectively

In addition to setting out the USPTO’s priorities, it unveils a new mission statement: “Drive U.S. innovation, inclusive capitalism, and global competitiveness.” The USPTO aims to achieve that mission statement by “unleashing America’s potential for long-term economic growth, supply chain resiliency, human prosperity, and national security.” According to the plan, the ultimate goal is to drive innovation, entrepreneurship, and creativity.

The USPTO crafted the plan following the Foundations for Evidence-Based Policymaking Act of 2018, which requires agencies to develop systematic, data-backed strategies for identifying and addressing policy questions.

Goal 1: Drive inclusive innovation and global competitiveness

Goal 1 ensures that all Americans can participate fully in the innovation and entrepreneurial ecosystems that drive economic growth. Expanding the inventor pool will accelerate the development of technologies to improve health and wellness, combat climate change, and advance America’s competitiveness in emerging technologies. The USPTO also estimates that adding more women and African Americans in the initial stages of the innovation process could boost GDP by 0.6% to 4.4%.

Objective 1.1: Enhance the U.S.’s role as a global innovation leader

Objective1.1 focuses on accelerating American innovation in key technologies, particularly those related to economic independence (i.e., manufacturing), responding to future pandemics, and bolstering climate resiliency. It will deliver IP-related educational programming, particularly to those historically underrepresented in the IP ecosystem. It also plans to expedite IP protection by reducing application and appeal pendency for innovations and new brands in the identified key technology areas.

Strategies

1. 1. Work with federal partners to identify key technologies on which the USPTO should focus and to support innovation and IP protection in those areas
  2. Develop incentives and programs to encourage innovation in key technology areas, including climate, health, manufacturing, and other critical and emerging technologies
  3. Work to ensure the government funds U.S. innovation, and companies are safeguarded with IP protection
  4. Work with other nations on capacity building, training, and policy development to streamline the path and reduce times to global protection for U.S. inventions

KPIs

1. 1. U.S. innovation, especially in key technology areas, as measured by patent data
  2. U.S. innovation and entrepreneurship as measured by new business starts, amount of public and private investment in early-stage innovators, startup job creation, startup survival rate, and the percentage of new entrepreneurs who launched out of opportunity (or available proxy measures)
  3. Global data and studies of innovation by nation
  4. Innovation incentive program data
  5. Trademark registration rates, including by new or small businesses

Objective 1.2: Promote inclusive innovation through active engagement and widespread, ready access to ip resources and tools

Objective 1.2 aims to increase participation in the IP ecosystem. It plans to do this by improving the dissemination and usefulness of IP information to first-time users, non-English speakers, and socially and economically disadvantaged individuals. The USPTO recognizes that the process of applying for a patent or trademark can be confusing for many applicants, so a vital focus of this objective is updating all of its written materials — including educational webpages, instructional text in application filings systems, and official correspondence with applicants — to clear and plain language.

Strategies

1. 1. Execute multi-faceted outreach campaigns to incentives innovation and IP protection
  2. Maximize the development, availability, and accessibility of innovation and IP educational materials, programs, and training
  3. Expand and promote the availability and benefits of our patent pro bono and IP law school clinic programs
  4. Enable expanded opportunities for pro se services through enhanced support and training HERE
  5. Apply federal plain language guidelines to written materials to ensure those who are motivated to acquire IP protection can understand our processes and requirements

KPIs

1. 1. Outreach and impact data
  2. Geographic and socioeconomic innovation and IP data
  3. Participation rates in pro bono programs for patents and trademarks
  4. Participation rates in law school clinics for patents and trademarks
  5. Geographic and socioeconomic diversity data about the individuals reached through pro bono and law school clinic programs

Objective 1.3: Foster an innovation mindset in more Americans, starting with our youth

Objective 1.3 focuses on IP education in the K-12 setting. The USPTO plans to continue working with the National Inventors Hall of Fame on its Camp Innovation summer programs, Club Invention after-school programs, and the National Science and Technology Council Committee on STEM Education. At the secondary level, the USPTO will focus on its National Summer Teacher Institute and its work with community colleges. At the college level, it will work with the National Academy of Inventors to offer a mentoring program to connect students with academic inventors on campus.

Strategies

1. 1. Enhance innovation and IP educational programs and resources and get them into the hands of more Americans
  2. Integrate innovation and IP training and courses into educational and learning institutions across the country, including in areas with underrepresented IP stakeholders
  3. Expand paid, work-based learning and internship opportunities to high school, college, and law school students
  4. Work across government to establish a volunteer-based community outreach program for IP education and innovation
  5. Develop online resources, computer programs, and advanced technology to promote innovation and provide broad access to the same

KPIs

1. 1. Data related to our engagements with educational, learning, and other institutions and organizations that offer innovation and IP training
  2. Geographic and socioeconomic diversity data about the individuals reached through our educational programs
  3. Data related to the USPTO’s collaborators for outreach and information exchange

Goal 2: Promote the efficient delivery of reliable IP rights

Goal 2 is about improving the USPTO’s technology, practices, policies, and rules to more reliably deliver services that provide the most robust IP protection possible.

Objective 2.1: Issue and maintain robust and reliable patents that incentivize and protect innovation

Objective 2.1 aims to increase cooperation between the patent workforce and the Patent Trial and Appeal Board Workforce and provide continuing education to examiners on emerging technologies. The USPTO’s newly enhanced efforts at collaboration with the Food and Drug Administration also fall under this objective. That effort aims to ensure that the patent prosecution process does not unnecessarily delay generic or biosimilar competition and that patent examiners can access the FDA’s technical databases.

Strategies

1. 1. Better ensure the Patents and PTAB workforces have the needed expertise, guidance, and support to assess patentability
  2. Optimize the strategic integration of AI and robotic process automation into the patent application system when proven effective to achieve greater efficiency in examination, including enhanced and more efficient access to prior art
  3. Strengthen the feedback loop between Patents and the PTAB
  4. Enhance application readiness by promulgating rules and working with patent application filers to improve training and tools for patent prosecution
  5. Continuously enhance training programs to keep pace with emerging issues and challenges
  6. Enhance collaboration between art units to address applications where technologies converge
  7. Support and improve expedited examination processes in key technology areas
  8. Explore changes to USPTO procedures to protect and promote U.S. innovation while advancing competition

KPIs

1. 1. Patent statutory compliance, all statutes
  2. Patent applicants’ net promoter score on overall patent examination quality (i.e., applicant survey data)

Objective 2.2: Issue and maintain accurate and reliable trademark registrations that protect brands and investments

Objective 2.2 seeks to streamline the trademark prosecution process, deter trademark scams and improve the work product of trademark examining attorneys.

Strategies

1. 1. Optimize the strategic integration of AI and RPA into the trademark application system where technology is proven to achieve greater efficiency in examination
  2. Expand the use of non-lawyers, e.g., paralegals or analysts, to handle duties that are not core elements of the trademark examination process
  3. Continuously enhance training programs to keep pace with changing fling demands and with emerging issues and challenges
  4. Improve processing and streamline procedures for existing trademark registrants

KPIs

1. 1. Percentage of applications that employ some combination of AI and RPA during the examination process
  2. Average processing time for trademark applications
  3. Work conducted by non-lawyers in the examination process
  4. Application quality as measured by total quality review data
  5. Average processing time for registration renewals

Objective 2.3: Improve patent application pendency

According to data from Juristat Analytics, the average time to disposition at the USPTO is 26.5 months, while the average time to allowance is 25 months. The USPTO wants to reduce average patent application tendency by identifying policies, process changes, and technologies to speed up the process.

Strategies

1. 1. Align examination resources with projected workloads
  2. Reimagine patent examination processes to maximize available efficiencies and take advantage of greater automation and technology solutions
  3. Provide additional application processing (prosecution) options for applicants

KPIs

1. 1. Percentage of mailed actions compliant with required patent review timeframes
  2. Percentage of remaining inventory compliant with required patent review timeframes

Objective 2.4: Improve trademark application pendency

Objective 2.4 seeks to accomplish a similar goal as Objective 2.3, only for the trademark side of the USPTO’s operations. The USPTO explains that this is necessary due to several years of robust and sustained increases in the number of trademark filings it receives, creating an examination backlog.

Strategies

1. 1. Better align trademark resources with incoming and forecasted workload
  2. Reimagine trademark work processes to maximize available efficiencies and take advantage of greater automation and technology solutions

KPIs

1. 1. Average processing time for trademark applications (first action pendency and total pendency)
  2. Average age of pending application classes before first office action or awaiting examination

Objective 2.5: Optimize patent and trademark application processes to enable efficiencies for applicants and other stakeholders

Objective 2.5 focuses on improving the customer experience at the USPTO, primarily by streamlining processes, implementing user-friendly tools, increasing its use of plain language, and expanding end-to-end electronic filing.

Strategies

1. 1. Provide external patent and trademark user interfaces that enhance and modernize the customer experience
  2. Enhance tools to support end-to-end electronic services for patent and trademark applicants, holders, registrants, and appellants
  3. Develop multiple options for stakeholders to access information and online tools for patent and trademark filing and maintenance
  4. Adopt knowledge management best practices to become an organization with adaptive learning and innovation focus on enabling future growth and efficiencies
  5. Deploy procedures or information technology improvements that will allow the efficient pursuit of appeals and trial cases
  6. Apply plain language best practices
  7. to make information and processes more apparent to applicants, which will reduce applicant errors and administrative burden on the USPTO

KPIs

1. 1. Efficiency gains via the use of technology
  2. Percentage of applicants satisfied with the patent and trademark application user experience

Goal 3: Promote the protection of IP against new and persistent threats

Goal 3 is protecting patent and trademark owners and applicants from fraud, theft, and abuse from those who steal their IP assets. IP theft has become a hot-button topic in recent years as the U.S.’s trade war with China deepens, with allegations that Chinese IP theft costs the U.S. hundreds of billions of dollars every year. To protect American IP, the office will implement risk awareness campaigns and partner with various other government agencies, including the Department of Commerce Office of the Inspector General, the Department of Justice, the Federal Trade Commission, and the United States Postal Inspection Service.

Objective 3.1: Protect patents from fraudulent and abusive behaviors

Objective 3.1 states that the USPTO will identify and address scams, suspicious activities, and behavior that thwarts its mission. It will proactively search and identify scams or abuse in the patent application process as part of that effort. This objective also includes reining what the USPTO calls “inefficiency and gamesmanship” at the PTAB by issuing precedential and informative decisions about PTAB practice designed to provide clarity. This likely refers to the proposed sweeping changes to PTAB practice the USPTO announced in April 2023.

Strategies

1. 1. Analyze fling behavior, including micro or small entity designations, to detect and curb any abuses
  2. Clarify, revise, and formalize appropriate use of discretion in America Invents Act (AIA) trial proceedings to address and deter process abuse and promote alignment with the USPTO’s mission and the intent of the AIA
  3. Deliver educational resources, outreach, and training to inform and educate IP stakeholders on PTAB proceedings

KPIs

1. 1. Policy (guidance, precedent, rulemaking) or decisions issued to address abusive patent behaviors and corresponding training

Objective 3.2: Protect the integrity of the trademark register

The USPTO will invest in new or enhanced policies, procedures, and technologies to identify and mitigate threats to the trademark register’s integrity, including by adopting some of the updated tools provided for in the Trademark Modernization Act.

Strategies

1. 1. Increase the USPTO’s capacity to fight trademark scams
  2. Promote the nonuse cancellation remedies available under the TMA
  3. Evolve the trademark identify verification processes, where necessary

KPIs

1. 1. Policy (e.g., guidance, precedent, rulemaking) or decisions to address abusive trademark behaviors
  2. Frequency of use of register protection tools

Objective 3.3: Improve domestic IP enforcement and reduce domestic IP crime and infringement

While the USPTO is not tasked with IP enforcement, it nonetheless sees itself as part of a “whole-of-government” approach to combat IP-related crime, including piracy, counterfeiting, and trade secret theft. To that end, it will facilitate information exchange across various law enforcement agencies and educate IP owners on their IP enforcement options.

Strategies

1. 1. Collaborate across the federal government to conduct awareness-raising programs in the United States about the dangers of piracy, counterfeiting, and theft of trade secrets
  2. Provide impactful advice to the President, through the Secretary of Commerce, and federal agencies on IP issues
  3. Partner with domestic law enforcement agencies to provide training on IP enforcement

KPIs

1. 1. Data related to efforts undertaken with other agencies to address IP enforcement
  2. Impact of USPTO-led awareness-raising programs (net promoter score)

Objective 3.4: Improve global IP enforcement and reduce global IP crime and infringement

Similar to Objective 3.3, the USPTO will combat international IP crime and infringement through a variety of efforts, including training through the Global Intellectual Property Academy, exchanging ideas with international partners in the Trademark Five, supporting STOPfakes.gov and the “Go for Real” campaign, and conducting a China IP Road Show series.

Strategies

1. 1. Provide training and technical assistance to foreign government and law enforcement officials to enhance IP protection and enforcement systems
  2. Conduct awareness-raising programs in collaboration with international partners about the dangers of piracy, counterfeiting, and theft of trade secrets

KPIs

1. 1. Percentage of foreign law enforcement officials who report satisfaction with the USPTO’s enforcement training and technical assistance programs
  2. Number of countries whose officials participate in USPTO programs on piracy and anti-counterfeiting

Objective 3.5: Support the development and enforcement of clear IP laws

With Objective 3.5, the USPTO aims to influence the development of IP laws and policies by working with federal, state, and local officials and stakeholder groups. It will also provide data, insights, and technical expertise to the relevant authorities to ensure that proposed laws, policies, and practices take into account their downstream impacts on the IP system.

Strategies

1. 1. Implement, defend, and support legal and policy positions where rule changes or additional consistency and clarity would better incentivize and protect innovation, especially in key and emerging technologies
  2. Monitor and continue engagement on dynamic IP issues in Congress and the courts
  3. Engage other U.S. government agencies and non-governmental stakeholders on policy and legislation that improves the IP system

KPIs

1. 1. Impact of USPTO-led actions to enhance legal clarity through legislation or court action
  2. Issuance of guidance, rules, and decisions to increase clarity and openness

Objective 3.6: Work with and on behalf of stakeholders to enable them to protect their IP better

Objective 3.6 is about what happens after the USPTO issues a patent or trademark. With this objective, the USPTO aims to help IP owners protect and enforce their rights post-issuance as they shift from idea to execution. It also claims that it is interested in studying the feasibility of establishing a small claims court for patent and trademark enforcement as a possible remedy to the high cost of traditional IP litigation. The USPTO will collect and analyze public comments on this issue and then present a report to Congress that will address whether there is a need for small claims court, the feasibility and potential structure of each court, and the relevant legal, policy, and practical considerations in establishing a small claims court for either patents, trademarks, or both. This initiative is likely a response to the Copyright Claims Board, which began hearing cases in 2022 and is limited to claims of up to $30,000.

Strategies

1. 1. Equip new IP owners with information on how to efficiently and effectively protect their IP
  2. Work with online sellers and others on more efficient and effective ways for IP holders to protect their IP
  3. Investigate small claims courts for patent enforcement
  4. Investigate small claims courts for trademark enforcement

KPIs

1. 1. Number of IP stakeholders reached with information on enforcement best practices
  2. Number of IP stakeholders reached with ways to make IP protection more effective and efficient
  3. Status of the congressional report on small claims courts for patents and trademarks

Goal 4: Bring innovation to impact the public good

Goal 4 focuses on driving innovation for long-term economic growth, supply chain resiliency, prosperity, and national security. The USPTO refers to these as the “public good,” it states that it will expand on its offerings and partnerships to help innovators identify funding sources to bring their innovations to market. It will also incentivize innovations in high-impact sectors such as healthcare, manufacturing, and climate protection.

Objective 4.1: Help innovators, entrepreneurs, and creators identify available funding sources

One of the most significant barriers to entry for small businesses and first-time patent applicants is access to capital such as grants, loans, tax incentives, and investments. Access to funding is necessary for many innovators to enter the innovation ecosystem, which harms the country in the long run. With Objective 4.1, the USPTO will work with other federal agencies and private-sector partners to connect potential innovators, entrepreneurs, and creators with financial resources.

Strategies

1. 1. Partner with other federal agencies and private sector entities to connect inventors, creators, entrepreneurs, and brand owners to IP information and tools
  2. Offer targeted outreach and networking resources to link potential applicants, emerging innovators, and entrepreneurs with potential funders and licensees
  3. Help critical domestic industries better understand how to enable maximum competition and deliver products to the marketplace

KPIs

1. 1. Data related to connecting inventors, creators, entrepreneurs, and brand owners to IP resources, including cross-government collaboration

Objective 4.2: Promote the protection and domestic deployment of federally funded innovations

The President’s budget for fiscal year 2022 proposed $171.26 billion (a 9% increase over 2021) in total R&D access across the federal government. Much of the innovations produced by that R&D spending may warrant IP protection. The USPTO will thus advocate for the protection and domestic deployment of federally funded IP by partnering with R&D-heavy entities, such as the Department of Defense, the National Science Foundation, and the National Institutes of Health.

Strategies

1. 1. Strengthen partnerships with federal R&D and grant-making agencies to encourage and develop IP protection for federally-funded innovations
  2. Establish education and outreach strategies about the value of IP protections for federally funded innovations

KPIs

1. 1. Number of federal R&D and grant-making agencies that the USPTO has engaged in enhanced IP protection
  2. Patent applications fled to protect IP developed with government funding

Objective 4.3: Provide leadership to foster domestic and global ecosystems that support innovation

Objective 4.3 commits the USPTO to use its leadership position within the domestic and global innovation ecosystems to promote innovation. It will advocate across the U.S. government and in Congress for IP studies to identify best practices in the interest of the public good, including the impacts of IP on innovation, competition, employment, public health, and the U.S. economy. Globally, it will continue to engage with its international partners, including the World Intellectual Property Organization and international standards-governing bodies.

Strategies

1. 1. Promote the development of policies that improve the IP system, including working with Congress, other U.S. government agencies, and other institutional stakeholders
  2. Support the Administration in negotiating robust IP provisions in trade and other agreements and monitor compliance
  3. Increase international work-sharing efforts and promote harmonization of procedural processes between foreign IP offices
  4. Conduct economic studies on the intersection of IP and competition, employment, public health, and the U.S. economy to better inform IP policymaking

KPIs

1. 1. Percentage of prioritized countries for which IP country teams have made progress on at least three of the four performance criteria specified in Strategic Objective 1.5, Strategy 4 in the DOC Strategic Plan 2022–2026
  2. Data related to international IP-related capacity building, support, and training

Goal 5: Generate impactful employee and customer experiences by maximizing agency operations

Goal 5 is inwardly focused on improving the USPTO’s operations. It aims to support its workforce’s professional development by providing training and opportunities to increase health, wellness, community, and innovation. It will also equip employees with the tools, training, equipment, and knowledge they need to succeed in their careers. The USPTO believes that internal improvements like these will allow it better to serve its employees, applicants, and rights holders.

Objective 5.1: Create employee experiences that balance productivity, wellness, inclusion, and community connectedness

Objective 5.1 focuses on professional development and recruiting. The USPTO places a heavy emphasis on helping employees achieve work-life balance. Accordingly, it will continue to offer the flexible work arrangements it implemented during the COVID-19 pandemic. It will also provide its workforce with career development options such as online training, mentoring, and temporary work opportunities. Another central element of its human resources efforts is optimizing its diversity, equity, inclusion, and accessibility programs to build a more diverse workforce. These initiatives and others aim to make the USPTO an “employer of choice.”

Strategies

1. 1. Provide employees equitable time, training, and tools needed to perform their jobs successfully and meet the demands of the future
  2. Establish strategies and processes to support thoughtful leadership succession planning and upward career mobility via employee skill development, feedback, coaching, and mentorship
  3. Adopt wellness and community engagement policies, practices, and programming to position the USPTO as a federal government leader for employee wellness, safety, and community connectedness
  4. Invest in programming and accessible technology that promotes engagement and belonging while enabling employees to form meaningful connections
  5. Foster agency-wide DEIA learning and commitment through ongoing management and leadership training and accessible, inclusive, and engaging employee events and awareness campaigns
  6. Create engaging and inclusive campaigns for employment opportunities, including paid internships, externships, and fellowships, that will nurture a diverse pipeline of new talent into the USPTO
  7. Engage the Chief DEIA Officer and DEIA Ambassadors & Advisors Council to support and sustain inclusive and equitable hiring, development, and advancement practices for all USPTO talent

KPIs

1. 1. Annual voluntary, non-retirement employee separation data and exit survey results
  2. Employee engagement and satisfaction data
  3. Employee survey data related to career development, mentoring, and coaching programs
  4. Data and feedback from enrollees in paid internships and externships
  5. DEIA engagement and other training programs and participation rates for supervisors and managers
  6. Annual employee representation trends by level, disaggregated by demographics where available

Objective 5.2: Equitably deliver exceptional customer experiences

While most of the focus of Goal 5 concerns the USPTO itself, the USPTO recognizes that internal improvements can also result in better customer experience. As a designated “high impact service provider” of federal government services, the USPTO conducts annual customer experience assessments and service improvement action planning and publishes customer satisfaction and trust data. The USPTO plans to expand those activities through new customer engagement tools and outreach to more diverse stakeholders.

Strategies

1. 1. Incorporate customer experience best practices into the design and delivery of Patents and Trademarks, products, and services
  2. Enhance the USPTO’s customer experience capacity and commitment to equitable customer experience
  3. Use customer experience surveys to collect insights about USPTO processes from diverse and varied customers
  4. Train employees to use plain language to communicate clearly and enhance engagement with customers throughout the application process and beyond

KPIs

1. 1. Customer satisfaction and feedback data
  2. Data related to training and implementation of customer experience principles and plain language practices

Objective 5.3: Develop modern IT infrastructure and applications

Objective 5.3 concerns improvements to the USPTO’s IT infrastructure, including harnessing emerging technologies, increasing its IT workforce’s skill sets and capacity, and shifting its culture to prioritize security and risk mitigation.

Strategies

1. 1. Leverage cost-effective, modern cloud technology to deliver secure and resilient systems
  2. Invest in our IT workforce’s technical knowledge, skills, and abilities
  3. Use automation and AI to enhance business processes
  4. Use emerging technologies to improve business capabilities
  5. Integrate cybersecurity throughout the product life cycle
  6. Follow usability and plain language best practices in designing and maintaining IT systems

KPIs

1. 1. Percentage of internal and external users satisfied with business capabilities provided by IT systems, as measured by surveys
  2. Percentage of IT workforce trained in development, security, and operations principles and practices
  3. Percentage of critical security incidents resolved within a prescribed service level agreement
  4. Percentage of eligible products using cloud technology

Objective 5.4: Expand opportunity, discovery, and accountability through greater data maturity

Objective 5.4 aims to improve the USPTO’s collection and use of data. That data includes metrics on human capital trends in hiring, retention, and engagement to benchmark pendency, quality, and financial management. The USPTO believes that maturing data fluency and skills will bolster an evidence-based culture characterized by sound decision-making and efficient use of resources.

Strategies

1. 1. Establish shared data management practices across the enterprise
  2. Enable efficient and secure data access
  3. Improve data collaboration, fluency, and skills

KPIs

1. 1. Percentage of Federal Data Strategy practices deployed
  2. Percentage of employees who have completed at least one data skills training
  3. Percentage of employees satisfied with access to data required to perform official duties

Objective 5.5: Resource mission success

“Resource mission success” is government-speak for “budgeting.” As a fully user-fee-funded agency, the USPTO has to be more careful with its money than other government agencies. It aims to be a good steward of its fee-setting authority, which it first obtained in 2011 and expires in 2026 unless it is extended or made permanent. The USPTO will thus continue to balance revenues with spending strategies and incorporate data-driven practices to ensure sound financial decisions.

Strategies

1. 1. Strategically balance revenues and costs to optimize mission return and mitigate financial and operational risks
  2. Enable sound, data-driven, enterprise financial management decisions
  3. Demonstrate sound stewardship of fee-setting authority
  4. Prioritize operational innovations in resource allocation decisions

KPIs

1. 1. Operating reserve balances for patents and trademarks

Change is always around the corner at the USPTO — don’t be caught off-guard. Learn more about how you can take the uncertainty out of your patent practice by scheduling a free demo of Juristat today.

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