1. USPTO 2000 Patent Customer Satisfaction Survey P-1 Content of the Report Background  Methodology (page P-4)  Sampling and Weighting (page P-8) Quantitative Results  Demographic Profile of Participants (page P-12)  Absolute View of Results (page P-20)  Comparison with 1999 Results (page P-31)  What Did the Survey Measure? Summary of Factor Analysis Results (page P-36)  A Review of Results by the 5 Factors (page P-45)  Examination Process (page P-46)  Customer Service (page P-57)  Timeliness (page P-60)  Problem Resolution (page P-65)  Most Frequently Encountered Problems (page P-74)  Change in Service (page P-80)  How Do Changes in Experience Compare to 1999? (page P-83)

2. USPTO 2000 Patent Customer Satisfaction Survey P-2 Content of the Report (cont.) Quantitative Results (cont.)  Questions Pertaining to the Overall Patent Process – Overall Questions (page P-93)  How Do the Five Factors Relate to Overall Questions? (page P-98)  Key Drivers (page P-101)  Identification of Key Drivers Separately for Service Standards and Patent Process Items (All Respondents) (page P-103)  Identification of Key Drivers Separately for Service Standards and Patent Process/ Problem Handling Items (Respondents Experiencing Problems) (page P-111)  Moving Customers From Neutral to Satisfied in Overall Satisfaction (page P-114)  Demographic Differences (page P-119)  Results by Technology Area (page P-130) Qualitative Results  Summary of Open-Ended Comments (page P-140)  Use of Internet-Based Survey (page P-168)

3. USPTO 2000 Patent Customer Satisfaction Survey P-3 Content of the Report (cont.) Conclusions  Overall Summary (page P-171)  Conclusions (page P-175) Appendices  Appendix A:Procedures and Methodology  Appendix B:Sampling and Weighting Procedures  Appendix C:Description of Analytic Techniques  Appendix D:2000 Patent Survey Instrument  Appendix E:Crosswalk of 2000 Survey with 1999 Survey  Appendix F:Question-by-Question Frequencies for 2000 Data  Appendix G:Trend Data Comparing 2000, 1999, 1998, 1996, and 1995 Volume II  Appendix H:Verbatim Qualitative Comments by Category  Appendix I:Respondent Inquiries Report

4. Methodology P-4

5. USPTO 2000 Patent Customer Satisfaction Survey P-5 Methodology * Purposes: Assess satisfaction with USPTO processes and standards. Survey Items:Redesign was purposely kept minimal to maintain comparability with previous survey questions. Summary of Changes in 2000 Survey: Some items that were not used in the 1999 analysis or were difficult for respondents to understand were deleted from the survey. New items were added. Respondents could select only one affiliation in Question A1 – What is your affiliation? See crosswalk of 1999 and 2000 surveys – Appendix E. Nonrespondent Analysis: Conducted a nonrespondent analysis in 1999 and found that the following could be affecting response rates:  Respondents are too busy.  Survey is too long.  Too many surveys were sent.  Summer data collection is a bad time of year.  Respondents did not think results would be used by USPTO. * Appendix A describes the methodology in more detail.

6. USPTO 2000 Patent Customer Satisfaction Survey P-6 Methodology * (cont.) Conducted Experiment: Conducted an experiment to determine if reminder postcard and timing of second survey mailing affect response rate. 3 groups:  PC = sent postcard 2 weeks after initial mailing and second survey 4 weeks after initial mailing (response rate = 38%).  NPC2 = did not get postcard and sent second survey 2 weeks after initial mailing (response rate = 36%).  NPC4 = did not get postcard and sent second survey 4 weeks after initial mailing (response rate = 36%). Changes to Methodology: Sent only one survey to each respondent regardless of number of technology affiliations. Sampling methodology changed from surveying establishments to surveying individuals. Shorter field period – Closed data collection about one and a half weeks earlier than in 1999 so that reports could be produced sooner.

7. USPTO 2000 Patent Customer Satisfaction Survey P-7 Methodology (cont.) Survey Administration: From May 1, 2000 to July 6, 2000 4 mailings: Advance letter – May 1, 2000 Initial survey packet (cover letter, survey return envelope) – May 15, 2000 Reminder Postcard – May 31, 2000 Second mailing to nonrespondents (cover letter, survey, return envelope) – May 31, 2000 and June 13, 2000 Closed data collection – July 6, 2000 Response7,333 Surveys mailed Rates: 2,545* Surveys returned complete 37%Overall patent response rate Results: Weighted percents are used throughout this report Unweighted N’s are provided for some selected analyses ___________________________ * Of the 2,545 completed surveys, 201 were returned after the close of data collection. Those data are included in the above response rate calculations but are not included in the data analysis.

8. Sampling and Weighting P-8

9. USPTO 2000 Patent Customer Satisfaction Survey P-9 Sampling and Weighting * Sampling Files:7 separate files (one for each technology area) were pulled from the Patent Application Locator & Monitoring System (PALM). File Cleaning:Duplicate records were deleted to get one record per person at an establishment across all technology areas. Records with incomplete address information were deleted. SamplingIn 1998 and 1999, respondents were sampled by Methodology:establishment. In 2000, respondents were selected by individual name and address. The sampling plan was changed to lower respondent burden by reducing the likelihood of a respondent receiving a survey from year to year. ___________________ *Appendix B presents more detail regarding the sampling and weighting procedures employed.

10. USPTO 2000 Patent Customer Satisfaction Survey P-10 Sampling and Weighting * (cont.) SampleGoal was to sample approximately 1,000 Selection:respondents in each technology area. Targeted number of completed surveys in each technology area was 400-450. Technology Patent Filer Mail-Out Number of Sample Sizes: Area Population Size Completes Biotech. & Organic Chem.(1600)15,6991,163353 Chem. & Mtrls. Eng. (1700)26,0371,048342 Communications & Info. Proc. (2700)24,648 1,044302 Physics, Optics, Semiconductors, etc. (2800)33,062 986304 Designs (2900)14,354 1,019350 Transport., Construction, Agr., etc. (3600)19,4721,041351 Mech. Eng., Mfg, & Products (3700)27,9451,032394 ___________________ *Appendix B presents more detail regarding the sampling and weighting procedures employed.

11. USPTO 2000 Patent Customer Satisfaction Survey P-11 Sampling and Weighting (cont.) Weighting: Each respondent was assigned a weight based on sampling rate and nonresponse adjustment. This procedure replaced the use of a small telephone nonresponse follow-up and minimized errors resulting from nonresponse differences:  Between technology areas, and  Between rare, occasional, and frequent patent filers. Weighted survey results provide unbiased estimates for:  Entire patent filer population, and  Each technology area.

12. Who Were the Respondents? A Demographic Profile of Participants P-12

13. USPTO 2000 Patent Customer Satisfaction Survey P-13 A1. What is your affiliation? 20001999199819961995 %*%*%*%* Federal government agency (n=34)** 2 2 2 1 1 University or college (n=10) 0 1 1 1 3 Large business (n=458) 1816183034 Small business (n=109) 4 7 6 1 2 Law firm (n=1,471) 6864674839 Individual inventor (n=170) 611 81831 Other (Specify) (n=63) 2 5 3 6 6 _______________________ * Percents from 1995 to 1999 may sum to more than 100% because more than one response could be chosen. In 2000, respondents could only choose one affiliation. ** Response categories changed from 1995/1996 to 1998/1999. The question is still comparable from year to year. Affiliation results are quite similar to the 1999 profile, although there are slightly fewer individual inventors this year. Law firms continue to make up about two-thirds of the survey population.

14. USPTO 2000 Patent Customer Satisfaction Survey P-14 A2.How often did you contact the USPTO for products or services over the past year? Over three-fourths of customers continue to contact the USPTO often during the year. Contact frequency is quite similar to the 1999 profile. 2000 1999 1998 1996 1995 %%% Never (n=47) 22246 Only once (n=42) 12254 Rarely (n=102) 44345 Occasionally (n=406) 1619131617 Often (n=1,725) 7873807168

15. USPTO 2000 Patent Customer Satisfaction Survey P-15 Frequency of Contact During the Year, by Affiliation Ranked by Most Frequent Contact (A2) %%% Affiliation (A1)*OftenOccasionallyRarelyOnly OnceNever Law Firm8512 2 0 1 Large Business7916 3 0 1 Federal Government Agency7914 0 7 0 Small Business4537 8 5 5 Individual Inventor1937161414 Other**5433 9 2 2 _________________ * Affiliations accounting for less than 1% of respondents are not shown. ** Other affiliations specified most frequently were Patent Agents and Sole Practitioners. Most of the respondents from law firms, large businesses, and federal government agencies had frequent contact with the USPTO during the year. Respondents from small businesses had frequent or occasional contact.

16. USPTO 2000 Patent Customer Satisfaction Survey P-16 A3. What is your relationship with the USPTO? Most of the respondents are continuous customers of the USPTO. 2000 1999 1998 1996 1995 %%% A continuous customer (n=1,945) 8783907674 A frequent, but not continuous customer (n=133) 57357 An occasional customer (n=163) 6651010 A one-time customer (n=58) 13255 A former customer (n=16) 11022 Not a customer*--0022 _____________________ * The option “not a customer” was removed from the survey in 2000.

17. USPTO 2000 Patent Customer Satisfaction Survey P-17 C8. What is your job title? Most of the respondents to the survey identified themselves as patent agents/attorneys. % in CategoryJob Categories 80Patent Agent/Attorney 6Executive 4Patent Administrator 3Professional 2Paralegal 2Support Staff 1Inventor 2Other (Retail, Artist, Mom, Shareholder, Retired – no title, etc.)

18. USPTO 2000 Patent Customer Satisfaction Survey P-18 Affiliation (A1) by Job Title (C8) Of the respondents affiliated with federal government agencies, 19% are paralegals. Of those affiliated with small businesses, 42% are executives.

19. USPTO 2000 Patent Customer Satisfaction Survey P-19 Demographic Profile – In Summary Over two-thirds of the respondents are affiliated with law firms and 18% represented large businesses. Individual inventors made up 6% of the survey population, down slightly from the 1999 level. Over three-quarters of the respondents contacted the USPTO often during the year. Contact frequency is similar to 1999 results. Close to 90% of the respondents said they are continuous customers. There was a 4 percentage-point increase in the number of continuous customers from 1999 to 2000. Most of the respondents completing the survey identified themselves as patent agents/attorneys.

20. Absolute View of Results P-20

21. USPTO 2000 Patent Customer Satisfaction Survey P-21 A Review of Results By: Most and Least Satisfied Questions Most Dissatisfied Questions Major Changes from 1999 Data Questions Grouped into Five Factors Questions Pertaining to the Overall Patent Process Questions That Have the Strongest Relationship with Overall Satisfaction (Key Drivers) Demographic Differences Results by Technology Areas

22. Most and Least Satisfied Questions P-22

23. USPTO 2000 Patent Customer Satisfaction Survey P-23 What Respondents Are Most Satisfied With B1. Treat with courtesy each time you contact us C1AP2. Clarity of application instructions C1AP3.Use of telephone for examination issues C1AP1.Amount of time needed to submit required information C1OP1. Outcome met your objectives C4c.Overall courteousness (handling of problems) Survey Item # Satisfied

24. USPTO 2000 Patent Customer Satisfaction Survey P-24 What Respondents Are Most Satisfied With (cont.) B14. Respond to amendments within 4 months of receipt B2.Direct you promptly to the proper office or person C1OP2.Fairness of the final decision B6.Widely disseminate information on changes in practices before effective date C1SR1.Assistance at a time convenient to you Respondents reported they are most satisfied with staff courtesy, the application process, the use of telephone for examination issues, and the outcome of the process. Survey Item # Satisfied

25. USPTO 2000 Patent Customer Satisfaction Survey P-25 What Respondents Are Least Satisfied With C4a. Handling of delays C4b. Handling of mistakes C4d.The way your problem or difficulty was handled B5.Respond to status letters within 30 days of receipt B8.Match properly addressed faxes of Formal Amendments with file and deliver to examiner within 3 days C1AP4.Consistency of examinations B10.Mail filing notices within 30 days of receipt Survey Item # Satisfied

26. USPTO 2000 Patent Customer Satisfaction Survey P-26 What Respondents Are Least Satisfied With (cont.) B7. Deliver “Informal” faxes to examiners within 1 business day of receipt C1P1.USPTO fees for patent applications C1P2.Good value for the amount of fees paid Survey Item # Respondents are least satisfied with the handling of problems and the consistency of examinations, as well as certain process time standards (status letters, faxes, and filing notices). Satisfied

27. Most Dissatisfied Questions P-27

28. USPTO 2000 Patent Customer Satisfaction Survey P-28 What Respondents Are Most Dissatisfied With C4a.Handling of delays C4b.Handling of mistakes C4d.The way your problem or difficulty was handled B5.Respond to status letters within 30 days of receipt C1AP4.Consistency of examinations B9.Mail accurate filing notices B10.Mail filing notices within 30 days of receipt B15.Mail patent grant within 4 months of issue of fee payment Survey Item # Respondents are most dissatisfied with problem resolution, examination consistency, mailing filing notices accurately, and certain timeliness standards. Dissatisfied

29. USPTO 2000 Patent Customer Satisfaction Survey P-29 Absolute View of Results – In Summary Most Satisfied Courteous service The application process Use of telephone for examination issues Outcome of the process Least Satisfied Problem resolution Consistency of examinations Process time standards  Respond to status letters  Internal standards on fax transmissions  Filing notices

30. USPTO 2000 Patent Customer Satisfaction Survey P-30 Absolute View of Results – In Summary (cont.) Most Dissatisfied Problem resolution Consistency of examinations Meeting process standards  Mailing patent grant  Status letters  Filing notices

31. Comparison with 1999 Results P-31

32. USPTO 2000 Patent Customer Satisfaction Survey P-32 Major Improvements from 1999 (6 percentage points or more) Ranked by % Change B6.Widely disseminate information on changes in practices before effective date C7.Overall satisfaction with patent process C1OP1.Outcome met your objectives B2.Direct you promptly to the proper office or person B7.Deliver faxes to examiners marked informal/draft within 1 business day Change in % Satisfied from 1999 +10* +7* +6* Survey Item # __________________ * Change in percent satisfied from 1999 to 2000 is statistically significant. Statistically significant improvements are seen in the dissemination of information on changes before effective date, overall customer satisfaction, patent process outcome, directing customers promptly, and fax delivery.

33. USPTO 2000 Patent Customer Satisfaction Survey P-33 Trends 1998 to 1999 (29 comparable items - differences in % satisfied) DeclinedImproved Responses to 27 of 29 items improved from 1998 to 1999. Only one item declined and one remained the same. The majority of improvements are in the 6-10 percentage-point range. >10 6 - 101 - 56 - 10>10 1 - 50 Percentage-Point Change

34. USPTO 2000 Patent Customer Satisfaction Survey P-34 Trends 1999 to 2000 (27 comparable items - differences in % satisfied) Declined Improved Responses to 21 of the 27 comparable items improved from 1999 to 2000. Percentage-Point Change

35. USPTO 2000 Patent Customer Satisfaction Survey P-35 Major Changes from 1999 – In Summary Statistically significant improvements in percent satisfied from 1999 include:  Widely disseminating changes before effective date (+10 points)  Overall satisfaction (+7 points)  Outcome met your objectives (+7 points)  Direct you promptly to proper person/office (+6 points)  Deliver faxes to examiner within 1 business day (+6 points) Most of the items improved by 1 to 5 percentage points. There are no statistically significant declines. Of the 4 items that declined, 2 declined by 3 percentage points, and 2 declined by 1 percentage point:  Handling of delays (-3 points)  Thorough patent search (-3 points)

36. What Did the Survey Measure? A Summary of the Factor Analysis Results* * Appendix C provides a description of the analytic procedures. P-36

37. USPTO 2000 Patent Customer Satisfaction Survey P-37 The Five Factors Examination Process Customer Service Timeliness Problem Resolution Change in Service

38. USPTO 2000 Patent Customer Satisfaction Survey P-38 Examination Process B4Clear written communications of position of examiners B11Conduct a thorough search during patent examination process C1AP1Amount of time needed to submit required information C1AP2Clarity of the application instructions C1AP3Use of the telephone for examination issues C1AP4Consistency of examination C1OP1Outcome met your objectives C1OP2Fairness of the final decision C1OP3Efficiency of the examination process Survey Item #

39. USPTO 2000 Patent Customer Satisfaction Survey P-39 Customer Service B1Treat you with courtesy each time you contact us B2Direct you promptly to the proper office/person B3Return calls within 1 business day C1SC1Ability to provide accurate answers to questions C1SC2Genuinely committed to providing the best possible service C1SR1Assistance at a time convenient to you C1SR2Prompt and helpful service C1SR3Flexibility in trying to address your needs C4COverall courteousness (handling of problems) Survey Item #

40. USPTO 2000 Patent Customer Satisfaction Survey P-40 Timeliness B5Respond to status letters within 30 days of receipt B6Disseminate information on changes in practices and procedures before effective date B7Deliver Informal faxes to examiners within 1 business day of receipt B8Match properly addressed faxes of Formal Amendments with file and deliver to examiner within 3 days B9Mail accurate filing notices B10Mail filing notices within 30 days of receipt Survey Item #

41. USPTO 2000 Patent Customer Satisfaction Survey P-41 Timeliness (cont.) B12Respond within 30 days to papers filed B13Provide first action within 14 months of filing B14Respond to amendments within 4 months of receipt B15Mail patent grant within 4 months of issue fee payment B16Provide patent grant within 36 months of filing Survey Item #

42. USPTO 2000 Patent Customer Satisfaction Survey P-42 Problem Resolution* C4aHandling of delays C4bHandling of mistakes C4dThe way your problem or difficulty was handled Additional Relevant Questions** C2Have you experienced any problems or difficulties with USPTO services over the past year? C3Was your problem resolved? ________________ * Includes only customers who experienced a problem or difficulty over the past year (n=1,433). ** These questions were not included in factor analysis because they do not specifically ask about satisfaction. Survey Item #

43. USPTO 2000 Patent Customer Satisfaction Survey P-43 Change in Service Compared to Previous Filing C6aHandling of problems/complaints C6bQuality of patent search C6cWritten communications C6dProactive individualized service C6eTimely filing receipts C6fAccurate filing receipts C6gPhone calls returned within 1 day C6hDirected promptly to proper person C6i Examiners receive faxes within 1 business day Survey Item #

44. USPTO 2000 Patent Customer Satisfaction Survey P-44 How Well Did USPTO Do On Each Factor? Examination Process Customer Service Timeliness Problem Resolution Change in Service (Average of % Better) The Examination Process and Customer Service factors are the most positive, whereas the Problem Resolution and Change in Service factors are the least positive. Average Percent Satisfied or Better* __________________ *For each respondent, average percent satisfied is calculated by summing the number of items in each sector for which a person responded 4 (satisfied) or 5 (very satisfied) then dividing by the total number of items answered and multiplying by 100. For the change in service factor, a 4 or 5 indicated a response of better or much better, respectively.

45. A Review of Results by the 5 Factors P-45

46. Examination Process P-46

47. USPTO 2000 Patent Customer Satisfaction Survey P-47 Examination Process Ranked by % Satisfied C1AP2. Clarity of the application instructions C1AP3.Use of telephone for examination issues C1AP1. Amount of time needed to submit required information C1OP1.Outcome met your objectives C1OP2.Fairness of the final decision B4.Clear written communications of position of examiners Change in % Satisfied from 1999 +2 ** +7* +1 0 Survey Item # ________________ * Change in percent satisfied from 1999 to 2000 is statistically significant. ** New question for 2000.

48. USPTO 2000 Patent Customer Satisfaction Survey P-48 Examination Process (cont.) Ranked by % Satisfied B11. Conduct a thorough search during patent examination process C1OP3.Efficiency of the examination process C1AP4.Consistency of examinations Change in % Satisfied from 1999 -3 +2 ** Respondents are positive about the application submission process and aspects of examination quality, including the fairness of the final decision, and the use of the telephone for examination issues. Consistency of the examinations was the only area showing a low level of satisfaction, with close to one-third of respondents dissatisfied. Survey Item # _________________ ** New question for 2000.

49. Analyzing Consistency in the Examination Process P-49

50. USPTO 2000 Patent Customer Satisfaction Survey P-50 Consistency of Examinations 1. Examination Consistency by Affiliation* Consistency of Examinations (C1AP4) SatisfiedNeutralDissatisfied Individual Inventor65%16%19% Small Business64%18%18% Law Firm44%25%31% Large Business36%27%37% Federal Government Agency31%21%48% Since only 44% of respondents are satisfied with examination consistency (C1AP4) and there were numerous write-in comments about the lack of consistency in the examination process, we analyzed the data to better understand consistency and its relationship with other key drivers. ___________________ * Affiliations accounting for less than 1% of respondents are not shown. Federal government agencies, large businesses, and law firms are the least satisfied about consistency of examinations.

51. USPTO 2000 Patent Customer Satisfaction Survey P-51 Consistency of Examinations Satisfied B4C1OP2C1OP3 ClearB11FairnessEfficiencyC7 C1AP4.Consistency ofwrittenThoroughofofOverall examinationspositionsearchdecisionprocesssatisfaction Satisfied87%84%90%81%86% Neutral58%52%61%39%61% Dissatisfied32%34%41%22%35% Perceptions about consistency are strongly related to perceptions about examination quality and overall satisfaction. 2.Consistency of examinations by selected examination issues.

52. USPTO 2000 Patent Customer Satisfaction Survey P-52 Consistency of Examinations C2. Have you experienced problems over the past year Yes, C1AP4.Consistency ofcontacted USPTO not No, no examinationsUSPTO contacted problems Satisfied46% 6%48% Neutral60% 9%31% Dissatisfied66%15%20% Eighty-one percent of those dissatisfied with consistency experienced problems over the past year, compared to 52% of those satisfied with consistency. 3.Consistency of examinations by experience with problems.

53. USPTO 2000 Patent Customer Satisfaction Survey P-53 Satisfied C7.Overall Satisfaction C1AP4 with Patent ServicesConsistency of examinations Satisfied60% Neutral20% Dissatisfied14% Respondents who are either neutral or dissatisfied overall with the patent process gave much lower ratings to consistency of examinations compared to those who are satisfied with overall patent services. Consistency of Examinations 4.Overall satisfaction by consistency of examinations.

54. USPTO 2000 Patent Customer Satisfaction Survey P-54 Examples of Comments About Consistency of Examinations “Inconsistencies in examinations, especially in the use of 112 rejections. One examiner will allow while another may give numerous rejections.” “The examiners are very, very inconsistent—even with continuations and divisionals having the same specifications and similar claims. Primary examiners should be required to be more involved with the new examiners.” “The examiners appear to take different policy positions in key examination issues, making it difficult to get consistent examinations of multiple applications having similar, if not related, subject matter.” “I am troubled by the lack of consistency in the biotech examining corps with respect to section 101, 112, 103 rejections.” “Inconsistency in critique of drawings from one examiner to another.” “Inconsistent application of drawing requirements.” “Inconsistency in applying U.S. law to PCT law, i.e., require abstract in examination when one was filed on PCT application.”

55. USPTO 2000 Patent Customer Satisfaction Survey P-55 Examination Process – In Summary Customers continue to have a high level of satisfaction with the application submission process. Over two-thirds of the respondents reported satisfaction with the fairness of the final decision, and close to three-quarters indicated that the outcome met their objectives (a statistically significant increase of 7 percentage points from the 1999 level). Examination quality (B4 and B11) shows satisfaction ratings of over 60%. However, satisfaction with conducting a thorough search declined slightly from 1999. Respondents are quite satisfied (78%) with the use of the telephone for examination issues. Just over one-half are satisfied with the efficiency of the examination process.

56. USPTO 2000 Patent Customer Satisfaction Survey P-56 Examination Process – In Summary (cont.) The only weak area appears to be consistency of examinations, with about one-third of respondents dissatisfied (new question in 2000).  Perceptions about consistency are related to perceptions about all aspects of examination quality.  Respondents who are neutral/dissatisfied overall with the patent process tend to give low ratings to consistency.  Most of the respondents giving low ratings to consistency expressed and reported problems during the past year.

57. Customer Service P-57

58. USPTO 2000 Patent Customer Satisfaction Survey P-58 Customer Service Ranked by % Satisfied B1.Treat you with courtesy each time you contact us C4c.Overall courteousness (handling of problems) B2.Direct you promptly to the proper office/person C1SR1.Assistance at a time convenient to you B3.Return telephone calls within 1 business day C1SR2.Prompt and helpful service C1SC1.Ability to provide accurate answers to questions C1SR3.Flexibility in trying to address your needs C1SC2.Genuinely committed to providing the best possible service Change in % Satisfied from 1999 +3* +2 +6* +2 +3 +4* 0 +2 Courtesy to customers and directing customers promptly to the proper office/ person have the highest levels of satisfaction. Survey Item # * Change in percent satisfied from 1999 to 2000 is statistically significant.

59. USPTO 2000 Patent Customer Satisfaction Survey P-59 Customer Service – In Summary All areas of customer service, except ability to provide accurate answers, showed improvement in satisfaction levels over 1999 levels. Directing customers promptly to the proper office/person had the highest increase in percent satisfied, with a 6 point increase. This increase is statistically significant. Courtesy by the USPTO staff continues at high levels of satisfaction and shows a statistically significant improvement. About two-thirds of respondents reported that assistance is provided at a time convenient to the customer and that they are being directed promptly to the proper office/person. While certain aspects of customer service (ability to provide accurate answers to questions, prompt and helpful service, flexibility, and genuine commitment) continue to have satisfaction levels under 60%, dissatisfaction rates are under 20%. Further, satisfaction with prompt and helpful service increased significantly over 1999 rates.

60. Timeliness P-60

61. USPTO 2000 Patent Customer Satisfaction Survey P-61 Timeliness Ranked by % Satisfied B14.Respond to amendments within 4 months of receipt B6.Disseminate information on changes in practices and procedures before effective date B16.Provide patent grant within 36 months of filing B12.Respond within 30 days to papers filed after examiner allows the application B15.Mail patent grant within 4 months of issue fee payment B13.Provide first action within 14 months of filing Change in % Satisfied from 1999 ** +10* ** +1 ** Survey Item # ____________________ * Change in percent satisfied from 1999 to 2000 is statistically significant. ** New question for 2000.

62. USPTO 2000 Patent Customer Satisfaction Survey P-62 Timeliness (cont.) Ranked by % Satisfied B9.Mail accurate filing notices B10.Mail filing notices within 30 days of receipt B7.Deliver informal faxes to examiners within 1 business day of receipt B8.Match properly addressed faxes of Formal Amendments with file and deliver to the examiner within 3 days B5.Respond to status letters within 30 days of receipt Change in % Satisfied from 1999 ** +6* +3 +1 Survey Item # ____________________ * Change in percent satisfied from 1999 to 2000 is statistically significant. ** New question for 2000. Responding to amendments within 4 months of receipt, disseminating information about procedural changes, and providing patent grant within 36 months are the most favorable items in this factor. Responding to status letters within 30 days and the timely delivery of faxes are the least favorable items.

63. USPTO 2000 Patent Customer Satisfaction Survey P-63 Timeliness – In Summary Responding to amendments within 4 months of receipt and disseminating information on changes before the effective date were the only timeliness items with satisfaction levels over 60%. About one-quarter or more of the respondents are dissatisfied with mailing patent grants within 4 months of issue fee payment, mailing filing notices within 30 days of receipt, responding to status letters within 30 days of receipt, and mailing accurate filing notices for complete standard application. As an overall measure of timeliness, providing patent grants within 36 months of filing had a satisfaction level of 58%, with a 14% dissatisfaction level. There are significant increases from 1999 levels in the percentage of respondents satisfied with information on changes being disseminated before their effective date and delivery of informal faxes to examiners.

64. USPTO 2000 Patent Customer Satisfaction Survey P-64 Timeliness – In Summary (cont.) For the 2000 survey, the 1999 item on filing receipts was divided into two items: one dealing with accuracy and the other dealing with timeliness of filing receipts. On the 1999 survey, the filing receipt question shows 41% satisfied. This year, 52% were satisfied with filing notice accuracy and 46% were satisfied with timeliness. Both items show higher levels of satisfaction and lower levels of dissatisfaction compared to 1999.

65. Problem Resolution P-65

66. USPTO 2000 Patent Customer Satisfaction Survey P-66 Problem Resolution Change in % 20001999from 1999 C2.Have you experienced any problems with USPTO services over the past year? Yes, and I contacted someone at the USPTO55%61%-6* Yes, but I did not contact the USPTO10%10%0 No, I did not experience a problem35%29%+6* C3.Was your problem resolved? Yes, and it was handled quickly24%24%0 Yes, but it was not handled quickly46%45%1 No, problem was not resolved30%31%-1 About two-thirds of the respondents had problems with USPTO services over the past year, down significantly from 1999. However, 30% continue to indicate that their problems were not resolved. ________________ * The change in percent from 1999 to 2000 is statistically significant.

67. USPTO 2000 Patent Customer Satisfaction Survey P-67 Problem Resolution Ranked by % Satisfied For those who had a problem… C4d. The way your problem or difficulty was handled C4b. Satisfaction with handling of mistakes C4a. Satisfaction with handling of delays Change in % Satisfied from 1999 +1 -3 All aspects of problem resolution have relatively low levels of satisfaction. For example, only 32% of the respondents were satisfied with the way their problem was handled. Satisfaction with handling of delays declined by 3 percentage points from 1999. Survey Item #

68. USPTO 2000 Patent Customer Satisfaction Survey P-68 The Relationship Between Time to Resolve Problem and Perceptions About Overall Problem Handling (1) Yes, and handled quickly52%69%80% (2) Yes, but not handled quickly11%18%20% (3) No, problem not resolved13%16%10% The way a problem was resolved is strongly related to respondent’s satisfaction with the way the problem was handled. Respondents have higher satisfaction ratings when a problem is handled quickly than when it is not handled quickly or not resolved at all. In fact, satisfaction ratings for not handling problems quickly are similar to satisfaction ratings for not having the problem resolved at all. C4. Handling of Problems (a)(b)(d) HandlingHandlingThe way problem C3.Was Problemof delaysof mistakeswas handled Resolved?SatisfiedSatisfiedSatisfied Of those who had a problem...

69. USPTO 2000 Patent Customer Satisfaction Survey P-69 Relationship of Problem Handling with Overall Satisfaction C2.Have you experienced a problem over the past year? C3.Was problem resolved? C7. Overall Satisfaction Satisfied Yes, but did not contact USPTO 10% Respondents who had a problem, contacted the USPTO about it, and had it handled quickly had an overall satisfaction rating of 80%, compared to respondents who had a problem, contacted the USPTO about it, and did not have it handled quickly (47%) or respondents who did not get their problem resolved at all (42%). Yes, and contacted USPTO 55% No, I did not experience a problem 35% 85% 45% 80% 47% 42% Yes, and handled quickly (27%) Yes, but not handled quickly (48%) No, problem not resolved (26%)

70. USPTO 2000 Patent Customer Satisfaction Survey P-70 Is Having Problems Related to Perceptions About Overall Customer Service? Satisfied B2 Direct youC1SC2C1SR1C1SR2 C2.Have you experiencedpromptly GenuinelyAssistancePrompt any problems withthe propercommittedat timeand USPTO servicesoffice/to providingconvenienthelpful over the past year?personbest serviceto youservice (1)Yes, and I contacted USPTO63%45%58%50% (2)Yes, but did not contact USPTO59%32%52%42% (3)No, no problem82%71%81%78% Having problems is negatively related to perceptions about customer service. Note the higher levels of satisfaction for those respondents not experiencing problems.

71. USPTO 2000 Patent Customer Satisfaction Survey P-71 Relationship of Handling Problems Quickly with Perceptions About Staff Responsiveness Satisfied C1SR1C1SR2 Assistance at timePrompt and C3.Was your problem resolved?convenient to youhelpful service (1)Yes, and it was handled quickly81%74% (2)Yes, but it was not handled quickly50%43% (3)No, problem was not resolved48%37% Handling/not handling problems quickly is related to perceptions about responsive customer service.

72. USPTO 2000 Patent Customer Satisfaction Survey P-72 Relationship of Handling of Problems with Perceptions About Customer Service Satisfied C1SC2C1SR1 GenuinelyAssistanceC1SR2C1SR3 committedat a timePromptFlexibility C4d.Satisfaction withto providingconvenientand helpfulin trying to Handling of Problem best serviceto you serviceaddress needs Satisfied68%84%81%71% Neutral37%50%41%33% Dissatisfied26%39%28%24% Satisfaction with handling of problems is positively related to perceptions about customer service. Of those who are satisfied with problem handling, 81% are satisfied with receiving prompt and helpful service; only 28% of those dissatisfied with the handling of problems are satisfied with prompt and helpful service. Of those who had a problem...

73. USPTO 2000 Patent Customer Satisfaction Survey P-73 Problems/Difficulties with USPTO Services Over Past Year by Affiliation C2(1)C2(2)C2(3) Yes, andYes, but didNo, did not contactednot contactexperience Affiliationsomeonesomeoneproblem Federal Agency51% 8%41% University/College24% 0%76% Large Business55% 9%36% Small Business39% 6%55% Law Firm59%10%31% Individual Inventor27% 7%66% About 70% of law firm respondents experienced problems during the past year. Fewer than 40% of individual inventor respondents experienced problems.

74. What Are the Most Frequent Problems That Customers Encounter? (Write-In Comments) P-74

75. USPTO 2000 Patent Customer Satisfaction Survey P-75 C5.What are your most frequently encountered problems? Respondents were asked to comment on their most frequently encountered problems. These responses were coded under the following categories. Percent in Category*Problem Category 28Lost or Misplaced Files, Papers, and Other Documents 22Filing Receipt and Other Document Errors 21Patent Examiner/Examination Issues 17Delays and Problems After Allowance and Payment of Issue Fee/Petitions 13Administrative Staff and Process/Paperwork Management 8Telephone Service/Employee Accessibility and Responsiveness 8General Processing Delays 8Correction of Errors/Problem Resolution 7Delays and Problems in Office Actions ________________ * Percents do not add up to 100% because comments were often coded under more than one category.

76. USPTO 2000 Patent Customer Satisfaction Survey P-76 C5.What are your most frequently encountered problems? (continued) Percent in Category*Problem Category 6Status Inquiries and Notification 5Mail Problems/Fax Delivery 4Problems with Fees/Deposit Accounts 4Abandonment Because of USPTO Errors 4Miscellaneous 3Communication Skills 2Reexaminations and Appeals 1Drafting/Drawings 1Systems and Technology 1Patent Cooperation Treaty ________________ * Percents do not add up to 100% because comments were often coded under more than one category.

77. USPTO 2000 Patent Customer Satisfaction Survey P-77 C5.What are your most frequently encountered problems?— Some Verbatim Comments “Delays in examination due to cases being lost, responses not being matched to case, or office action for a different application being sent to me.” “Time delays due to “losing” or misrouting papers and files in the PTO, both within the examination group and during the issue process.” “Applications in the same family being assigned to different examiners resulting in inconsistent patentability examination.” “Errors in issued patents. Amendments not entered correctly. Typographical error in the cover page (title, inventor name). Unacceptable delay in responding to petitions. Inconsistent and incorrect restriction requirements.” “Inconsistency of examination between examiners and between applications; failure to apply or consider governing legal standards; occasional adversarial stance taken by some examiners beyond what is required to properly discharge responsibilities; delays, particularly when files are not in the hands of the examiner.” “Erroneous filing receipts, amendments submitted with the issue fee to conform the specification to formal drawings that never make it into the issued patent, even though the amendment is approved.” “Abandonments that were not the fault of the applicant and most often are due to the loss of papers by the PTO.”

78. USPTO 2000 Patent Customer Satisfaction Survey P-78 “Lost documents by the PTO (particularly IDS references); wrongful abandonment of applications.” “Lost files or file parts (e.g., some drawings omitted at publication)—unexplained delays in publication after payment of issue fee, or inability or unwillingness to ascertain why delays have occurred in the process.” “It was impossible to get a filing receipt corrected. After four re-submissions for correction, I gave up.” “Delay in receiving patents (over 6 months after paying the fee); examiner gives overly expansive scope to marginally relevant prior art; need better searches.” “Unable to correct data in patent office computer records, e.g., incorrect inventors, incorrect filing dates, continuing application data, etc.” “Papers not matched to files timely or accurately; examiners frequently ask me to use informal fax numbers to assure they will get the papers in a reasonable time.” “Delays in issuing office actions; delays in acting on responses; delays in acting on cases remanded by the board; examiners merely word processing office actions.” C5.What are your most frequently encountered problems?— Some Verbatim Comments (cont.)

79. USPTO 2000 Patent Customer Satisfaction Survey P-79 Problem Resolution – In Summary The problem resolution process continues to be an area for improvement. About two-thirds of the respondents experienced problems/ difficulties with USPTO services over the past year (a statistically significant decline of 6 percentage points from 1999). Only 10% of respondents with a problem did not contact USPTO about it (the same level as in 1999). The handling of delays, mistakes, and problems continues to have relatively high levels of dissatisfaction.  The handling of delays has a satisfaction level of 21% (a 3 percentage-point decline from 1999). Handling a problem quickly has a strong positive relationship with customer satisfaction and perceptions about responsive customer service. It should be noted that 30% of the respondents who contacted USPTO about a problem did not have it resolved. The most frequently encountered problems appear to be lost/misplaced files and documents, errors in filing receipts, and examination issues.

80. Change in Service P-80

81. USPTO 2000 Patent Customer Satisfaction Survey P-81 C6d.Proactive individualized service compared to previous filings C6a.Handling of problems/ complaints compared to previous filings C6e. Timely filing receipts compared to previous filings C6c.Clear written communications of position of examiners compared to previous filings C6i.Examiners receive faxes within 1 business day Change in Service Ranked by % Better Survey Item # ____________________ * Change in percent better from 1999 to 2000 is statistically significant. ** Not asked in 1999.

82. USPTO 2000 Patent Customer Satisfaction Survey P-82 C6g.Phone calls returned within 1 business day compared to previous filings C6h.Directed promptly to proper person compared to previous filings C6b.Quality of patent search compared to previous filings C6f.Accurate filing receipts compared to previous filings Survey Item # Over one-third of respondents report better services in proactive individualized service and handling of problems/complaints compared to previous filings. For the most part, respondents are more likely to indicate that service was better compared to service in previous filings than they were to indicate that service was worse. The only exception was the accuracy of filing receipts. Change in Service (cont.) Ranked by % Better

83. How Do Changes in Most Recent Experience Compare with Satisfaction Results from 1999? P-83

84. USPTO 2000 Patent Customer Satisfaction Survey P-84 Change in Handling of Problems/Complaints Comparison with Problem Resolution Questions C6a.Handling of problems/ complaints compared to previous filings Reports of better overall handling of problems/complaints in most recent filings compared with previous filings were over 5 times as great (36%) as reports that overall handling of problems/complaints was worse (7%). Satisfaction levels for problem resolution items show no significant improvement over 1999 levels. Handling of Problems/Complaints Change in % Satisfied from 1999 to 2000 C4a.Handling of delays-3 C4b.Handling of mistakes+1 C4d.The way your problem or difficulty was handled-1

85. USPTO 2000 Patent Customer Satisfaction Survey P-85 Change in Quality of Patent Search Comparison with Search Questions C6b.Quality of patent search compared to previous filings Quality of Patent Search Change in % Satisfied from 1999 to 2000 B4.Clear written communications of position of examiners0 B11.Conduct a thorough search during patent examination process-3 C1OP2.Fairness of the final decision+1 Reports that the quality of the patent search was better for most recent filings clearly outnumber reports that the quality was worse (23% vs. 8%). Quality of examination shows no significant change from 1999, and over two-thirds felt that quality of search is about the same as in previous filings.

86. USPTO 2000 Patent Customer Satisfaction Survey P-86 Change in Written Communications Comparison with Written Communications Questions C6c.Clearly written communications for position of examiners compared to previous filings Written Communications Change in % Satisfied from 1999 to 2000 B4.Clearly written communications of position of examiners0 While clearly written communications of position of examiners has the same level of satisfaction as in 1999, close to three times as many respondents reported that written communications were better than did respondents who said they were worse.

87. USPTO 2000 Patent Customer Satisfaction Survey P-87 Change in Proactive Individualized Service Comparison with Service Questions C6d.Proactive individualized service compared to previous filings Change in % Satisfied from 1999 to 2000 C1AP3.Use of telephone for examination issues** C1SR1.Assistance at a time convenient to you+2 C1SR2.Prompt and helpful service+4* C1SR3.Flexibility in trying to address your needs+2 C1SC2.Genuinely committed to providing the best possible service+2 Over one-third of respondents believe proactive individualized service was better compared to previous filings, and prompt and helpful service shows significant improvement in satisfaction compared to the 1999 level. Proactive Individualized Service ________________ * Change in percent satisfied from 1999 to 2000 is statistically significant. ** Not asked in 1999.

88. USPTO 2000 Patent Customer Satisfaction Survey P-88 Change in Timely Filing Receipts Comparison with Filing Receipt Questions C6e.Timely filing receipts compared to previous filings Timely Filing Receipts Change in % Satisfied from 1999 to 2000 B10.Mail filing notices within 30 days of receipt** Almost one-third of the respondents believe filing receipts in their most recent filing were more timely compared to previous filings. Fourteen percent believe timeliness was worse. _____________________ ** Not asked in 1999.

89. USPTO 2000 Patent Customer Satisfaction Survey P-89 Change in Accurate Filing Receipts Comparison with Filing Receipt Questions C6f.Accurate filing receipts compared to previous filings Accurate Filing Receipts Change in % Satisfied from 1999 to 2000 B9.Mail accurate filing notices** Accuracy of filing receipts continues to be a concern, with more respondents reporting that accuracy was worse than reporting that it was better compared to previous filings. _____________________ ** Not asked in 1999.

90. USPTO 2000 Patent Customer Satisfaction Survey P-90 Change in Returned Phone Calls Comparison with Returned Phone Calls Questions C6g.Phone calls returned within 1 business day compared to previous filings Returned Phone Calls Change in % Satisfied from 1999 to 2000 B3.Return phone calls within 1 business day+3 Close to one-third of the respondents reported that returning phone calls within 1 business day was better compared to previous filings, and the satisfaction level improved by 3 percentage points compared to 1999.

91. USPTO 2000 Patent Customer Satisfaction Survey P-91 Change in Directing Customers Promptly Comparison with Directing Customers Promptly Questions C6h.Being directed promptly to proper person compared to previous filings Directing Customers Promptly Change in % Satisfied from 1999 to 2000 B2.Direct you promptly to the proper office or person+6* Satisfaction with being directed promptly to proper office/person improved significantly compared to 1999, with three times as many respondents reporting it was better compared to previous filings as those who reported it was worse. ________________ * Change in percent satisfied from 1999 to 2000 is statistically significant.

92. USPTO 2000 Patent Customer Satisfaction Survey P-92 Change In Service – In Summary Overall, respondents were more likely to indicate that aspects of service were better compared to previous filings than they were to indicate that aspects of service were worse. The items with the highest levels of percent better include proactive individualized service and handling of problems. Satisfaction with prompt and helpful service showed a significant improvement from 1999. The items with the lowest levels of percent better include quality of patent search and accurate filing receipts. Accurate filing receipts also has the highest level of percent worse. Satisfaction levels with handling of problems remain low and show no significant improvement from 1999.

93. Questions Pertaining to the Overall Patent Process (Overall Questions) P-93

94. USPTO 2000 Patent Customer Satisfaction Survey P-94 Overall Questions C7Overall satisfaction C1P1USPTO fees for patent application C1P2Good value for USPTO fees paid Survey Item #

95. USPTO 2000 Patent Customer Satisfaction Survey P-95 Overall Question - Overall Satisfaction C7.Considering all of your experiences with the USPTO patent process, how satisfied are you OVERALL? Change in % from 1999 to 2000 +7* -3 -4* Overall satisfaction increased significantly compared to 1999. Only 13% of the respondents are dissatisfied, down significantly from 1999. ________________ * Change in percent from 1999 to 2000 is statistically significant.

96. USPTO 2000 Patent Customer Satisfaction Survey P-96 Overall Questions - Fees and Value C1P1. USPTO fees for patent application** C1P2. Good value for the amount of USPTO fees paid** There were improvements in satisfaction levels. There were also statistically significant reductions in dissatisfaction levels for fees paid and good value for the amount of fees paid compared to 1999 levels. ________________ * Change in percent from 1999 to 2000 is statistically significant. ** In 1999 and 2000, the term “fees” was used instead of “costs” which was used in 1998. Change in % from 1999 to 2000 +2 +3 -5* Change in % from 1999 to 2000 +3 +3* -6*

97. USPTO 2000 Patent Customer Satisfaction Survey P-97 Overall Questions – In Summary Overall satisfaction improved by 7 percentage points compared to 1999 levels—a significant increase. Dissatisfaction is down to 13%. Satisfaction with fees for patent application and value for the amount of fees paid is about 50%. While these levels are still fairly low, they continue to improve from 1999 levels. There are positive trends in all three overall questions. In addition, dissatisfaction levels are less than 20%.

98. How Do the Five Factors Relate to the Overall Questions? P-98

99. Ranking of How Factors Relate to Overall Questions Factors Customer Service1** Timeliness 4** Change in Service 3** Examination Process2** Single Item Problem or Difficulty Over Past Year 5** R 2 ***.517 USPTO 2000 Patent Customer Satisfaction Survey C7 Overall VariablesSatisfaction P-99 ____________________ *Numbers indicate rankings, with 1 being the strongest predictor and 5 being the weakest predictor of the outcome measure. **Statistically significant at the p <.05 level. ***R 2 is the proportion of the variance in each overall question accounted for by all variables in the model. As an example:.517, or 51.7%, of the variance in overall satisfaction is accounted for by all the variables in the model. (An R 2 value less than.30 indicates the variables, as a group, have low explanatory power, that is, they do not do a very good job of predicting that question.)

100. USPTO 2000 Patent Customer Satisfaction Survey P-100 Impact of the Five Factors on Overall Questions – In Summary The four factors and the single item, as a group, are good predictors of overall satisfaction. They help to explain differences in overall satisfaction levels. The Customer Service and Examination Process factors are the strongest predictors of overall satisfaction.

101. Key Drivers: Questions That Have the Strongest Relationship with Overall Satisfaction P-101

102. USPTO 2000 Patent Customer Satisfaction Survey P-102 Key Driver Analysis Two key driver analyses were performed: Identification of key drivers was done separately for Service Standards and Patent Process items covering all respondents. Because only those respondents who experienced problems in the past year answered questions about problem resolution, a separate identification of key drivers was done based on respondents who stated they had had a problem in the past year. The purpose of this second analysis was to see if any of the problem resolution items are key drivers of overall satisfaction. The first analysis did not include items on problem resolution. ______________ Note: All key drivers listed for each of the two analyses are strongly related to overall customer satisfaction. The key drivers are listed in the order they appear in the survey.

103. Identification of Key Drivers Separately for Service Standards and Patent Process Items (All Respondents) P-103

104. USPTO 2000 Patent Customer Satisfaction Survey P-104 Key Drivers of Overall Satisfaction – By Service Standards and Patent Process* (Excluding Problem Handling Item) Service StandardsSatisfied B2.Direct you promptly to69% proper office or person B3.Return phone calls within61% one business day B4.Clear written communications63% of position of examiners B9.Mail accurate filing notices**52% B11.Conduct a thorough search61% during patent examination process B16.Provide patent grant within 36 months**58% Patent ProcessSatisfied C1AP4.Consistency of examinations44% C1OP1.Outcome met your objectives74% C1OP3.Efficiency of the examination53% process C1SC2.Genuinely committed to53% providing the best possible service C1SR2.Prompt and helpful service59% C1SR3.Flexibility in trying to53% address your needs Search quality, telephone service, filing receipts, outcome of the process, and commitment to customer service represent areas strongly related to customer satisfaction. ________________ * Respondents who did not experience problems during the past year did not answer survey items on problem handling. Therefore, these problem handling items are not included in this analysis. ** Not asked in 1999 and is a new key driver in 2000.

105. USPTO 2000 Patent Customer Satisfaction Survey P-105 1999 2000 1999 Key Drivers2000 ComparisonNew This Year B4.Clear written communicationsB4.Key DriverB16.Provide patent grant of position of examinerswithin 36 months B8.Match properly addressedB8.Not a Key Driver faxes with file and deliver within 3 days B2.Direct you promptly toB2.Key Driver proper office or person B9.Mail correct filing noticesB9.Key Driver* within 30 days of receipt B10.Conduct a thorough searchB11.Key Driver during patent examination process B3.Return phone calls withinB3.Key Driver one business day Comparison of 2000 Key Drivers to 1999 Key Drivers – Service Standards ________________ * In 2000, the question reads “Mail accurate filing notices for complete, standard application.” ** Not asked in 1999 and is a new key driver in 2000. Delivery of faxes is no longer identified as a key driver. Providing patent grant within 36 months is a new key driver not asked on the 1999 survey.

106. USPTO 2000 Patent Customer Satisfaction Survey P-106 1999 2000 1999 Key Drivers2000 ComparisonNew This Year C3SR3.Flexibility in trying toC1SR3.Key DriverC1AP4.Consistency of address your needsexaminations** C3OP3.Efficiency of theC1OP3.Key Driver examination process C3OP1.Outcome met yourC1OP1.Key Driver objectives C2SC2.Genuinely committed C1SC2.Key Driver to providing best possible service C3AP1.Length of the application* process C3SR2.Prompt and helpfulC1SR2.Key Driver service Comparison of 2000 Key Drivers to 1999 Key Drivers – Patent Process ________________ * Not asked in 2000. ** Not asked in 1999. Key drivers remain the same, with the addition of a new question on examination consistency.

107. USPTO 2000 Patent Customer Satisfaction Survey P-107 Example:Relationship of Key Driver Timeliness Items with Overall Satisfaction and Customer Service Satisfied C1SC2. Genuinely C7. committed to Key Driver Overall best service satisfaction possible B16.Provide patent grant Satisfied80%63% within 36 monthsDissatisfied29%30% B2.Direct you promptly to Satisfied77%64% proper office or personDissatisfied22%18% B3.Return phone calls withinSatisfied77%67% one business dayDissatisfied33%23% Satisfaction vs. dissatisfaction with timeliness key drivers reflect large differences in overall satisfaction levels. For example, 80% of those satisfied with providing patent grant within 36 months are satisfied overall, compared with a 29% overall rating for those who are dissatisfied with timeliness of patent grants.

108. USPTO 2000 Patent Customer Satisfaction Survey P-108 Example:Relationship of Examination Process Items with Overall Satisfaction and Customer Service Satisfied C1SC2. Genuinely C7. committed to Key Driver Overall best service satisfaction possible B4.Clear written communicationsSatisfied80%63% of position of examinersDissatisfied21%23% B11.Conduct a thorough searchSatisfied79%64% during patent examinationDissatisfied30%32% process C1OP3.Efficiency of the examinationSatisfied86%72% processDissatisfied22%21% C1AP4.Consistency of examinationsSatisfied86%71% Dissatisfied35%28% C1OP1.Outcome met your objectivesSatisfied78%63% Dissatisfied10%12% Satisfaction vs. dissatisfaction with examination key drivers also show large differences in levels of overall satisfaction.

109. USPTO 2000 Patent Customer Satisfaction Survey P-109 Key Drivers – Separately by Service Standards and Patent Process – In Summary (All Respondents) For the Service Standards, the following are the key drivers:  Direct you promptly to proper office or person  Return phone calls within one business day  Clear written communications of position of examiners  Mail accurate filing notices  Conduct a thorough search during patent examination process  Provide patent grant within 36 months For the Patent Process, the following are the key drivers:  Consistency of examinations  Outcome met your objectives  Efficiency of the examination process  Genuinely committed to providing the best possible service  Prompt and helpful service  Flexibility in trying to address your needs

110. USPTO 2000 Patent Customer Satisfaction Survey P-110 Key Drivers – Separately by Service Standards and Patent Process – In Summary (cont.) (All Respondents) Key drivers that are well below the 60% satisfied level include:  Mailing accurate filing notices  Consistency of examinations  Efficiency of the examination process  Flexibility in addressing needs  Genuinely committed to providing the best service Providing patent grant within 36 months and prompt/helpful service are just below the 60% satisfied level.

111. Identification of Key Drivers Separately for Service Standards and Patent Process/Problem Handling Items (Respondents Experiencing Problems During the Past Year) P-111

112. USPTO 2000 Patent Customer Satisfaction Survey P-112 Key Drivers of Overall Satisfaction – By Service Standards and Patent Process/Problem Resolution* Service StandardsSat. B2.Direct you promptly to the proper office/ person69% B3.Return phone calls within 1 business day61% B4.Clearly written position of examiner63% B11.Conduct a thorough search61% B12.Respond within 30 days to papers filed after application allowed55% B15.Provide patent grant within 4 months of issue fee payment58% Patent ProcessSat. C1AP4.Consistency of examinations44% C1OP1.Outcome met your objectives74% C1OP3.Efficiency of the examination process53% C1SC2.Genuinely committed to best possible service53% C1SR1.Assistance at time convenient to you65% C1SR2.Prompt and helpful service59% Problem ResolutionSat. C4a.Handling of delays21% C4d.The way your problem/ difficulty was handled32% __________________ * Covers those respondents experiencing problems during the past year. Quite similar to the first set of key drivers. Additional items include responding within 30 days to papers filed after application allowed, assistance at a time convenient to you, and the handling of delays/problems.

113. USPTO 2000 Patent Customer Satisfaction Survey P-113 Key Drivers for Those Experiencing Problems – In Summary The key drivers for those experiencing problems are quite similar to the key drivers for all respondents. However, there are some items that are different: New Key Drivers B12Respond within 30 days to papers filed after application is allowed C1SR1Assistance at a time convenient to you C4aHandling of delays C4dThe way your problem/difficulty was handled B15Provide patent grant within 4 months of issue fee payment Key Drivers Not Included B9Mail accurate filing receipts C1SR3Flexibility in trying to address your needs Handling of delays and the way your problem was handled have low levels of satisfaction. In addition, responding within 30 days to papers filed after application allowed has a satisfaction level of 55%.

114. Moving Customers From Neutral to Satisfied in Overall Satisfaction P-114

115. USPTO 2000 Patent Customer Satisfaction Survey P-115 Moving Customers From Neutral to Satisfied in Overall Satisfaction Since it is often easier to move customers from neutral to satisfied than from dissatisfied to satisfied, we analyzed the data for customers who reported they were neutral in overall satisfaction (C7)—23%. We examined how those responding neutral to the overall satisfaction question responded to the key driver items compared to how those responding satisfied to the overall satisfaction questions responded to the key driver items.

116. USPTO 2000 Patent Customer Satisfaction Survey P-116 Comparing Neutral and Satisfied Groups (% Difference)* % Satisfied SatisfiedNeutral OverallOverallDifference in Question(C7)(C7)Satisfaction C1OP3.Efficiency of the examination process702446 C1SC2.Genuinely committed to providing the best possible service712645 C1SR2.Prompt and helpful service783345 C1SR3.Flexibility in trying to address your needs712843 C1AP4.Consistency of examinations602040 C1OP1.Outcome met your objectives905040 B11.Conduct a thorough search763739 B4.Clear written position of examiners784137 Examination quality, efficiency, and responsive customer service are key areas to increasing overall satisfaction. ________________ * Shows largest differences.

117. USPTO 2000 Patent Customer Satisfaction Survey P-117 Experiencing Problems by Overall Satisfaction C2C4d ExperiencedSatisfied with way a problemproblem was handled C7.Neutral Overall80%14% C7.Satisfied Overall53%52% Of those responding neutral to C7, 80% experienced a problem. Only 14% were satisfied with the way the problem was handled.

118. USPTO 2000 Patent Customer Satisfaction Survey P-118 Moving Customers From Neutral to Satisfied in Overall Satisfaction – In Summary Examination quality and responsive customer service, especially when reporting problems, are the key areas to focus on in moving customers who are neutral overall to satisfied overall with patent services. Key driver items in which the neutral group had the lowest percent overall satisfaction include:  Consistency of examinations  Efficiency of the examination process  Genuinely committed to providing the best possible service  Flexibility in trying to address your needs

119. Demographic Differences P-119

120. USPTO 2000 Patent Customer Satisfaction Survey P-120 Overall Satisfaction – Differences by Demographics* (Ranked by % Satisfied) A1.Affiliation Small Business (n=107) Individual Inventor (n=163) Federal Government Agency (n=34) Law Firm (n=1,146) Large Business (n=450) Other (n=60) A2.Frequency of Contact Only once (n=40) Occasionally (n=397) Rarely (n=98) Never (n=45) Often (n=1,697) ____________________ * Demographics groups with fewer than 1% of the respondents are not shown. Overall Satisfaction

121. USPTO 2000 Patent Customer Satisfaction Survey P-121 A3.Relationship with USPTO A one-time customer (n=57) An occasional customer (n=156) A frequent, but not continuous customer (n=130) A continuous customer (n=1,911) Overall Satisfaction Overall Satisfaction – Differences by Demographics* (cont.) (Ranked by % Satisfied) ____________________ * Demographics accounting for less than 1% are not shown.

122. USPTO 2000 Patent Customer Satisfaction Survey P-122 Affiliation and Frequency of Contact For all respondents, there is a significant negative relationship between frequency of contact (A2) and customer satisfaction (C7)—the more frequent the contact, the less positive the overall satisfaction level. However, when controlling for law firms/large businesses (which have lower levels of satisfaction than other affiliations) there is a decrease in the strength of the relationship between frequency of contact and customer satisfaction.

123. USPTO 2000 Patent Customer Satisfaction Survey P-123 Job Title by Overall Satisfaction C8.Job Title Patent Agent, Attorney, Lawyer, Counsel, Partner. All other job titles C7. Overall Satisfaction Respondents identifying themselves as attorneys on the write-in job title item (C8) are less satisfied overall than all other respondents who wrote in a job title.

124. USPTO 2000 Patent Customer Satisfaction Survey P-124 Demographic Differences in Overall Satisfaction – In Summary Levels of overall dissatisfaction are low across all demographic groups. Law firms and large businesses have the lowest levels of overall satisfaction, while individual inventors and small businesses have the highest levels (note that there were only 34 federal agency respondents). Levels of dissatisfaction for all affiliations are below 20%. Customers who contact USPTO often have lower overall satisfaction levels. Regarding relationships with USPTO, one-time and occasional customers have higher levels of overall satisfaction than frequent and continuous customers. Respondents who identify themselves as attorneys are less satisfied than all other respondents.

125. Demographic Differences by the 5 Factors A1.Affiliation Individual Inventor 7473724328 Small Business7674683534 Federal Government Agency6966614226 Large Business6364562632 Law Firm6563522829 Other**6968602828 A2.Frequency of Contact Never7376734525 Only once8477794831 Rarely7770652625 Occasionally7574654137 Often6362522628 USPTO 2000 Patent Customer Satisfaction Survey ______________________ * Demographics accounting for less than 1% are not shown. ** Other affiliations specified were mostly Sole Practitioners and Patent Agents. P-125 Examination CustomerProblemChange Overall Patent Data* Process ServiceTimelinessResolutionin Service Average % SatisfiedAvg. % Better

126. Demographic Differences by the 5 Factors (cont.) A3.Relationship with PTO A one-time customer8486843959 An occasional customer7876734628 A frequent, but not continuous customer7270614037 A continuous customer6463532729 ______________________ * Demographics accounting for less than 1% are not shown. P-126 Examination CustomerProblemChange Overall Patent Data* Process ServiceTimelinessResolutionin Service Average % Satisfied Avg. % Better USPTO 2000 Patent Customer Satisfaction Survey

127. P-127 Demographic Differences by Factors – In Summary In reviewing the differences, remember that around 80% of law firms and large businesses have frequent contact with USPTO throughout the year, while only 20% of individual inventors have frequent contact. Except for the Change in Service factor, large businesses and law firms are among the least satisfied, especially for the Timeliness and Problem Resolution factors. Individual inventors and small businesses are the most positive on the Examination Process, Customer Service, and Timeliness factors. For the Change in Service factor, small businesses were the most positive, followed by large businesses.

128. USPTO 2000 Patent Customer Satisfaction Survey P-128 Demographic Differences by Factors – In Summary (cont.) Customers who contacted USPTO only once over the past year are the most satisfied on all factors except for Change in Service. Those who contacted USPTO occasionally during the year are the most positive about service being better. Those that contacted USPTO often are among the least positive across all factors. The longer the relationship with USPTO, the less positive customers are across all factors except for Change in Service. For the most part, demographic differences followed the same pattern as last year. The demographic differences again show similar results for two customer segments:  Law firms/large businesses and individual inventors/small businesses.

129. USPTO 2000 Patent Customer Satisfaction Survey P-129 Selected Key Driver Questions by Customer Segment C3SC2.Genuinely committed to providing best possible service Large Business/Law Firms Small Business/Individual Inventors C3OP3.Efficiency of the examination process Large Business/Law Firms Small Business/Individual Inventors Differences such as those displayed above are typical between large businesses/law firms and small businesses/inventor customer segments.

130. Results by Technology Area P-130

131. USPTO 2000 Patent Customer Satisfaction Survey P-131 Technology Area by Affiliation FederalUniv. orLargeSmallLawIndep. AgencyCollegeBusBus.FirmInventorOtherTotal Biotech & Organic Chem (1600) 0% 1%29% 4%63% 1% 2%100% Chem & Materials Engineering (1700) 2% 0%30% 4%59% 3% 2%100% Comm & Information Processing (2700) 1% 0%16% 3%74% 4% 2%100% Physics, Optics (2800) 3% 1%18% 2%71% 2% 3%100% Designs (2900) 0% 0%10% 3%75% 8% 4%100% Transportation, Construction (3600) 2% 0%12% 3%71%10% 2%100% Mechanical Engineering, Manufacturing (3700) 1% 0%16% 5%68% 8% 2%100% Affiliation Biotechnology and Organic Chemistry and Chemical and Materials Engineering have the lowest levels of respondents from law firms and the highest levels of respondents from large businesses.

132. USPTO 2000 Patent Customer Satisfaction Survey P-132 Differences in Overall Satisfaction by Technology Area (Ranked by % Satisfied) Designs (2900) Transportation, Construction, Agriculture, and Security (3600) Mechanical Engineering, Manufacturing, and Products (3700) Chemical and Materials Engineering (1700) Communications and Information Processing (2700) Physics, Optics, Semiconductors, and Electrical Engineering (2800) Biotechnology and Organic Chemistry (1600) C7.Considering all of your experiences with the USPTO patent process, how satisfied are you overall? Five of the technology areas show an improvement of 6 percentage points or more compared to 1999 levels. Designs and Physics show statistically significant improvements. Change in % Satisfied from 1999 +8* +6 +4 +9 +12* * Change in percent satisfied from 1999 to 2000 is statistically significant.

133. USPTO 2000 Patent Customer Satisfaction Survey P-133 B2.Direct you promptly to the proper office/person Designs (2900) Mech. Eng., Manufact., & Products (3700) Chem. & Mtrls. Eng. (1700) Comm. & Info. Proc. (2700) Trnsp., Constr., Agric., & Security (3600) Physics, Optics, etc. (2800) Biotech. & Organic Chem. (1600) B3.Return calls within one business day Chem. & Mtrls. Eng. (1700) Designs (2900) Comm. & Info. Proc. (2700) Mech. Eng., Manufact., & Products (3700) Physics, Optics, etc. (2800) Trnsp., Constr., Agric., & Security (3600) Biotech. & Organic Chem. (1600) Selected Key Driver Questions by Technology Area (Ranked by % Satisfied) Change in % Satisfied from 1999 +5 +6 +7 +6 +5 +3 0 +9 +1 +10 +1 -6

134. USPTO 2000 Patent Customer Satisfaction Survey P-134 B4.Clear written communications of position of examiners Designs (2900) Mech. Eng., Manufact., & Products (3700) Trnsp., Constr., Agric., & Security (3600) Chem. & Mtrls. Eng. (1700) Comm. & Info. Proc. (2700) Physics, Optics, etc. (2800) Biotech. & Organic Chem. (1600) B11.Conduct a thorough search during patent examination process Designs (2900) Trnsp., Constr., Agric., & Security (3600) Mech. Eng., Manufact., & Products (3700) Chem. & Mtrls. Eng. (1700) Biotech. & Organic Chem. (1600) Comm. & Info. Proc. (2700) Physics, Optics, etc. (2800) Selected Key Driver Questions by Technology Area (cont.) (Ranked by % Satisfied) Change in % Satisfied from 1999 +6 +2 +3 +1 -7 -5 +5 -2 -6 -7 -4 -11* * Change in percent satisfied from 1999 to 2000 is statistically significant.

135. USPTO 2000 Patent Customer Satisfaction Survey P-135 B16.Provide patent grant within 36 months Designs (2900) Trnsp., Constr., Agric., & Security (3600) Mech. Eng., Manufact., & Products (3700) Chem. & Mtrls. Eng. (1700) Physics, Optics, etc. (2800) Comm. & Info. Proc. (2700) Biotech. & Organic Chem. (1600) C1AP4.Consistency of examinations Designs (2900) Mech. Eng., Manufact., & Products (3700) Trnsp., Constr., Agric., & Security (3600) Chem. & Mtrls. Eng. (1700) Comm. & Info. Proc. (2700) Physics, Optics, etc. (2800) Biotech. & Organic Chem. (1600) Selected Key Driver Questions by Technology Area (cont.) (Ranked by % Satisfied) Change in % Satisfied from 1999 ** ** Not asked in 1999.

136. USPTO 2000 Patent Customer Satisfaction Survey P-136 C1OP3.Efficiency of the examination process Designs (2900) Trnsp., Constr., Agric., & Security (3600) Mech. Eng., Manufact., & Products (3700) Chem. & Mtrls. Eng. (1700) Physics, Optics, etc. (2800) Comm. & Info. Proc. (2700) Biotech. & Organic Chem. (1600) C1SR2.Prompt and helpful service Designs (2900) Trnsp., Constr., Agric., & Security (3600) Comm. & Info. Proc. (2700) Chem. & Mtrls. Eng. (1700) Physics, Optics, etc. (2800) Biotech. & Organic Chem. (1600) Mech. Eng., Manufact., & Products (3700) Selected Key Driver Questions by Technology Area (cont.) (Ranked by % Satisfied) Change in % Satisfied from 1999 +8 0 +4 +5 -2 -7* +7 +6 -2 +7 +1 * Change in percent satisfied from 1999 to 2000 is statistically significant.

137. USPTO 2000 Patent Customer Satisfaction Survey P-137 C1SR3.Flexibility in trying to address your needs Designs (2900) Mech. Eng., Manufact., & Products (3700) Trnsp., Constr., Agric., & Security (3600) Comm. & Info. Proc. (2700) Chem. & Mtrls. Eng. (1700) Physics, Optics, etc. (2800) Biotech. & Organic Chem. (1600) Selected Key Driver Questions by Technology Area (cont.) (Ranked by % Satisfied) Change in % Satisfied from 1999 +2 +1 +3 +3 -4

138. USPTO 2000 Patent Customer Satisfaction Survey P-138 Differences Between Technology Areas The Designs area continues to show the highest levels of satisfaction across most of the survey items. However, among the other 6 technology areas, there are several items that have differences greater than 10 percentage points in percent satisfied.

139. Summary of Qualitative Findings P-139

140. Summary of Open-Ended Comments P-140

141. USPTO 2000 Patent Customer Satisfaction Survey P-141 Methods and Procedures Respondents were asked for their positive and negative feedback about the application process. Respondents were asked if they had any recommendations for improvements in products and services (including any new products/services) at the USPTO. Respondents were also asked to describe their most frequently encountered problems. All responses were transcribed and are presented verbatim in Appendix H (Volume II of this report). Project staff reviewed all responses and for each question developed categories which summarized the content of the responses. Responses could be placed under more than one category depending on content. Eighty-four percent of the respondents gave a response to at least one open-ended item (C5 or Section D). Percentages given are out of the number of respondents who answered that question.

142. USPTO 2000 Patent Customer Satisfaction Survey P-142 Overview of Open-Ended Comments This year, the percentage of respondents who wrote comments increased from 76% in 1999 to 84% in 2000. An unusually high number of comments and phone calls were received from respondents. Those who responded were very interested in being heard and in expressing their opinions. The qualitative findings support the quantitative results.

143. QUESTION D1 What would you say particularly pleased you about the way your patent application was handled? Percent in Category*Responses were coded into 15 categories: 33Employee Competence and Helpfulness 24Proactive Assistance / Suggested Amendments, Interviews, Use of Telephone and Fax to Expedite Resolution of Issues 18Timeliness / Responsiveness / Status Updates 13Improvements in Process 13Employee Courtesy 12Searches and Examination Quality 8Office Actions and First Actions 3Outcome of Process / Smooth Process 2Organization of Process / Procedures / Instructions / Forms 2Accuracy and Administration of Paperwork 2General Problem Resolution 1Filing Receipts 1Systems and Technology 1Assistance of Supervisors 1Costs / Value P-143 __________________ * Percents will not add up to 100% since comments were often placed in more than one category. USPTO 2000 Patent Customer Satisfaction Survey

144. P-144 D1:What would you say particularly pleased you about the way your patent application was handled? “When matters were handled properly, even when the application was rejected, it was a pleasure to be part of the patenting process.” “I was recently contacted by an Examiner who proposed detailed amendments in order to allow the application.” “Lately the Examiners make use of telephone conferences to make suggestions. That is a very helpful practice. Further, the Examiners are much more cooperative now.” “The examiner promptly reversed himself and accepted the application, once it was explained to him that he completely misunderstood the gist of the invention.” “They most pleased me in the way of handling my patent application is that your Examiners (some of them) help me how to correct my patent claims in order to meet US patent practice.” Some Verbatim Comments:

145. USPTO 2000 Patent Customer Satisfaction Survey P-145 D1:Verbatim Comments (cont.) “Patent office staff is clearly committed to trying to provide better service. They are hampered by time constraints and the variable quality of the Examiner corps.” “Filing receipts are being sent on a more timely basis. Some examiners are prepared to discuss what is allowable subject matter to expedite prosecution.” “The clarity of almost all written communications from the PTO is significantly improved, with positions on patentability much easier to follow.” “Recently, I was able to obtain a corrected filing receipt by just calling and bringing the error to their attention. Within weeks I had the corrected filing receipt with minimal work. This is a significant improvement.” “Some of the examiners we have worked with have taken a partnership approach to prosecution. They would tell us what they think is allowable and work with us to reach allowance. But, some examiners take a very pedantic, they-know-more-than-us view and do not even try to work with us. They just reject… reject… reject…”

146. USPTO 2000 Patent Customer Satisfaction Survey P-146 D1:Verbatim Comments (cont.) “I have been working with the Patent Office for 20 years and have seen such an improvement. One of the biggest is accessibility to USPTO personnel. It is nice when you can take care of things over the telephone or via facsimile. I am able to call the various departments and get to the bottom of a problem in a timely manner. I have had Examiners call the attorney of record or his assistant and problems or issues are taken care of and followed up.” “The Customer Assistance Line and PCT Help desks have been very helpful in addressing questions, problems, etc.” “Professionalism in the examination process; flexibility with regard to inclusion of more than one embodiment where all embodiments would constitute the same invention for examination purposes, which increases efficiency and value.” “The examiners are providing good first actions as to application of the prior art and objections to the applications. Issues can be addressed and prosecution completed quickly.”

147. Percent in Category*Responses were coded into 17 categories: 31Searches / Examination Quality, Time Period, Production Goals, and Requirements 20Examiner Knowledge, Attitude, Assistance, and Communication Skills 16Timeliness / Responsiveness 13Clerical and Mail Room Competence, Communication Skills 11Errors in Documents and Fees / Correction Process 10Forms / Filing Procedures / Instructions / Process 9Lost or Misplaced Materials 8Problem Resolution / Interviews 8Office Actions 8Customer Service / Accessibility / Status Updates P-147 __________________ * Percents will not add up to 100% since comments were often placed in more than one category. QUESTION D2 What, if anything, would you say particularly displeased you or what flaws do you see in the application process? USPTO 2000 Patent Customer Satisfaction Survey

148. Percent in Category*Categories (cont). 4Patent Issuance Delays and Problems 4Inconsistency of Decisions 4Costs / Refunds / Deposits 3Supervisory Review 3Miscellaneous 2Drafting / Drawings / Photos 1Systems and Technology P-148 __________________ * Percents will not add up to 100% since comments were often placed in more than one category. QUESTION D2 (cont.) USPTO 2000 Patent Customer Satisfaction Survey

149. P-149 Problems/Flaws in the Application Process (D2) by Satisfaction (C7) To better understand the written comments on problems/ flaws in the application process (D2), we sorted the items by category and by three respondent groups: those responding dissatisfied, neutral, and satisfied to the question on overall satisfaction with the USPTO Trademark Process (C7).

150. USPTO 2000 Patent Customer Satisfaction Survey P-150 What Displeased You/Flaws in the Application Process by Satisfaction Rankings (cont.)

151. USPTO 2000 Patent Customer Satisfaction Survey P-151 What Displeased You/Flaws by Satisfaction Ratings - In Summary The areas that displeased those dissatisfied and neutral overall (C7) deal with examiner competence and examination quality issues.

152. USPTO 2000 Patent Customer Satisfaction Survey P-152 D2:What, if anything, would you say particularly displeased you or what flaws do you see in the application process? “The adequacy of the search and the reasons given for rejection. The rejection was vague in the application of the facts and law. The examiners should be held to the same standard of specificity as the applicant.” “It is extremely difficult to receive assistance and supervisory support relating to an inappropriate examiner. It often appears that management is aware of problem employees but is ineffective in correcting the problems generated.” “Inconsistency of examination within the same group and unfamiliarity with the laws and rules.” “Once the mistake has occurred, it takes a great deal of our time to correct it. Case in point - an application was lost in the Patent Office for nearly 2-1/2 years, it was somehow recovered in March of 2000, however with all the wrong filing data. So far we have not been able to correct this problem.” Some Verbatim Comments:

153. USPTO 2000 Patent Customer Satisfaction Survey P-153 D2:Verbatim Comments (cont.) “Inaccuracies in filing receipts. General mail room inefficiency.” “After payment of issue fee, it has been difficult to obtain status and identify cause in delay of grant.” “Getting files and communications to the examiners. I have yet to speak with an examiner who, when having a communication faxed to him or her, did not ask that they be notified in advance of the transmission in order to avoid the risk of losing the facsimile, or having to wait days for the facsimile to be transmitted to them.” “Clerical problems that turn into more serious problems. Examination appears to be inconsistent. Some examiners turn out such poorly reasoned actions that it appears they have never read the application.” “Quality of examination is uneven. Some office actions have been unclear, poorly written, non-responsive to amended subject matter and/or not based on an understanding of technical issues and statutory/ case law.”

154. USPTO 2000 Patent Customer Satisfaction Survey P-154 D2:Verbatim Comments (cont.) “Inability to verbally communicate with examiners. Non-native English speaking examiners result in delays and misunderstandings of requests.” “Most problems are of a clerical nature and can be corrected; however the time expended to make these corrections is extremely costly and adds frustration to the process.” “I am still confronted with Notices of Abandonment for alleged failure to respond to Office Actions despite the fact that I have post card receipts and checks (cashed by the PTO) evidencing that my amendment was timely-filed.” “I have not received good responses to my requests for status letters. This is especially true for applications, which for some reason appear to have become sidelined during the prosecution process.” “Inaccuracy in both Filing Receipts and Notice of Recordation Lost Replies/Amendments and Faxes. Lost or misplaced file wrappers.”

155. QUESTION D3 How can products and services be improved at the USPTO? (including any new products or services) Percent in Category*Responses were coded into 23 categories: 15Systems and Technology 15Staff Supervision, Reviews and Accountability / Compensation / Staffing and Qualifications 12Examiner Training: Knowledge, Responsiveness, and Communication Skills 12Administrative Process / Accuracy and Management of Paperwork 8Searches / Electronic Searches and Tools 8Timeliness 6Costs / Use of Fees / Fee Reminders / Deposit Accounts and Refunds 6Time to Perform Examination / Productivity Measures / Workload / Examiner Staffing 6Examination Quality and Consistency 6Examiner Proactive Assistance / Interviews / Problem Resolution 6Support Staff Training: Technical and Clerical Skills, Responsiveness, and Communication Skills P-155 __________________ * Percents will not add up to 100% since comments were often placed in more than one category. USPTO 2000 Patent Customer Satisfaction Survey

156. QUESTION D3 (cont.) Percent in Category*Categories (cont.) 5Changes in Examination Process, Requirements, and Drawings 5E-mail Communications / Fax Operations 5Access to Status Information / Updates of Status Database 4Telephone Operations, Directory, and Assistance / Voice Mail 4Forms / Instructions / Examples 3Independent Inventors / Small Businesses 3All Staff: Customer Service, Accuracy, Flextime 3Review of Examinations / Second Opinions / Petitions / Appeal Process 3Allowance and Post Allowance Procedures / Issuance Notification / Printing and Publication 2Access to Information on Procedures, Policies, Rules, etc. 2Mailroom Operations 4Miscellaneous P-156 __________________ * Percents will not add up to 100% since comments were often placed in more than one category. USPTO 2000 Patent Customer Satisfaction Survey

157. P-157 D3:How can products and services be improved at the USPTO? (including any new products or services) “Continue improvement in uniformity and quality of examination; find a better way to internally address your problem areas.” “Cut back on the use of automated phone messages - especially for practitioners - people get me to the right person quickly - the automated system does not. Its use seems to be increasing.” “More training, better dissemination of explanation of rules. Examiners tell me that they are the last ones to have a rule explanation.” “Ensuring that Examiners provide “Quality” Office Actions which set out in a clear manner - the bases of rejections. Too often, they are too vague, leaving the attorney ‘guessing’.” “Use of retired Patent Examiners as Limited Service Employees to conduct quality reviews of the examination of patent applications. Better and more SUBSTANTIVE training.” “Provide more customer service for initial phase of application, i.e., a phone number dedicated to filing receipts.” Some Verbatim Comments:

158. USPTO 2000 Patent Customer Satisfaction Survey P-158 D3:Verbatim Comments (cont.) “One of the most difficult things to do is to find out the status of an application, particularly before it is assigned to an Examiner, and after a Notice of Allowance has been issued. Would like to see a special department that can run down the status of a case. Just one phone number to call. Now we must call several phone numbers trying to track down a case.” “Make all reexamination and reissue papers available on-line to the public. Require all papers to be filed with an extra copy which will be scanned and put up on the web site and then placed in the public search room.” “More training on subsection 112. E-mail order/filing of requests for patent copies. Faster/electronic ordering of prosecution histories. Ability to electronically order foreign references. Better forms on website - post forms that can be filled in like Library of Congress.” “Change the PTO FORMS accessible online…to permit computer keying in entries into the blocks. WE HAVE TO PRINT THE FORMS AND TYPE THEM ON MANUAL TYPEWRITERS!!!!” “Offer a current directory of phone numbers and names of PTO employees and responsibilities on the Internet.” “If the PAIR system works, it will be helpful to be able to check the status of patent applications on line.”

159. QUESTION D4 Any additional comments? Percent in Category*Responses were coded into 21 categories: 14Positive - Overall Patent Service / Improvement in Service 12Negative - Examination Quality and Consistency / Productivity Measures / Time to Perform Examination 11Negative - Costs / Use of Fees / Deposits / Refunds / Fee Reminders 10Positive - Staff Competence & Customer Service / Examination Quality 10Negative - Survey 7Negative - Lost Files and Paperwork / Administrative Process / Mail Operations 6Negative - Examiner Knowledge, Responsiveness, and Communication Skills 5Positive - Systems and Technology 4Negative - Staff Qualifications / Training / Supervision 4Negative - General Customer Service and Employee Competence 3Negative - Regulations / Procedures / Process / Instructions / Forms 3Negative - Timeliness / Responsiveness / Status Notices P-159 __________________ * Percents will not add up to 100% since comments were often placed in more than one category. USPTO 2000 Patent Customer Satisfaction Survey

160. QUESTION D4 (cont.) Percent in Category*Categories (cont.) 3Negative - Searches 3Negative - Systems and Technology 3Negative - Reexamination and Appeal Process / Complaint Procedures 3Suggestions for Improvements 3Negative - Post Allowance and Issuance Problems and Delays 3Negative - Examiners’ Proactive Assistance / Interviews / Problem Resolution 3Positive - Survey 1Negative - Support Staff Competence / Customer Service / Communication Skills 1Negative - Staff Accountability / Cooperation / Incentives 1Negative - Drawings 5Miscellaneous P-160 __________________ * Percents will not add up to 100% since comments were often placed in more than one category. USPTO 2000 Patent Customer Satisfaction Survey

161. P-161 D4:Any additional comments? “Keep up the on-going improvement programs. The on-line patent data base is enormously useful and was fabulously done. The data base is user friendly and intuitive.” “Most frustrating thing about the PTO is inability to get answers to procedural questions/matters and failure to get directed to a person who can answer your question. The helpline is of no use at all!” “The USPTO should hold regional meetings for attorneys and inventors to cover new laws, procedures, changes, etc. They should not be tied in with organizations like Stanford U that charge an excessive amount to attend.” “I see very great improvements occurring at the PTO— helpfulness of examiners and some improvement in efficiency. The PAIR system and ultimately electronic filing should help with clerical problems. The change in your organization is most visible in, e.g., the USPTO Today. Keep up the good work.” Some Verbatim Comments:

162. USPTO 2000 Patent Customer Satisfaction Survey P-162 D4:Verbatim Comments (cont.) “Doing these surveys is a very good idea.” “I would love to see my electronic filing/amendment system. Overall, service is good! People are friendly—this is the most important thing. Keep it up.” “I use your website frequently and find it to be a wealth of valuable information.” “A three month patent maintenance fee reminder. (The current reminder given is after the deadline is already past, a late fee is required by then). It is hard for us to even figure out when is the correct due date for those maintenance fees.” “Would be helpful if a review board could resolve basic USPTO errors before and without petitions, especially when clear procedural error occurs and can be shown.” “The PAIR system is terrific. Installed smoothly, almost never crashes, very helpful. The maintenance fee branch automated status phone line is helpful. Please put on-line. Also, put assignment records on line.”

163. USPTO 2000 Patent Customer Satisfaction Survey P-163 Observations from Open-Ended Comments There were many comments about improvements in attitude across the board and that staff are routinely listening, trying to be helpful, and working hard toward a customer service culture. The comments show an appreciation for proactive assistance by examiners in clearly stating their concerns and suggesting amendments/actions that would address and surmount rejections. Respondents feel there is a willingness by examiners to communicate by telephone and fax, which helps to clarify issues and advance prosecution.  “All of my interactions with examiners by telephone have been helpful and courteous, generally resulting in advancing prosecution.” There were also positive comments about PAIR.

164. USPTO 2000 Patent Customer Satisfaction Survey P-164 Observations from Open-Ended Comments (cont.) There appears to be more complaints this year about search quality. More specifically, respondents point to rejections not clearly set for them and supported by appropriate references, inconsistent quality of rejections (e.g., Section 102, 112 rejections), and poor prior art searches.  Respondents want more focus on examiners clearly stating reasons for rejection and allowable subject matter. There is a feeling that better training and reduced workload would improve searches and Office Actions. This especially shows in First Office Actions. Most of the administrative problems and complaints focus on:  Lost or misplaced files, correspondence, drawings, papers—paper handling in general;  Errors in filing receipts;  Faxes not being delivered to examiners or official file in a timely manner, especially faxed amendments;  Timeliness of First Office Actions after application filing; and  The length of time from payment of issue fee to issuance of the patent.

165. USPTO 2000 Patent Customer Satisfaction Survey P-165 Observations from Open-Ended Comments (cont.) Administrative problems continue to be a major source of customer annoyance and frustration about the process. Respondents are pointing to the mailroom and the poor document handling processes. Respondents continue to complain about the language proficiency of some examiners. There is a feeling that this makes for a difficult examination process, especially when the applicant is unsure the examiner understands his/her position and the examiners do not communicate their positions effectively. It is interesting that most of the complaints about timeliness focus on the front and back ends of the process:  Assignment to an examiner and First Office Actions; and  Time from payment of issue fee to issuance. When there are errors/delays in the process, there are complaints about the difficulties in getting timely status information. Lack of responsiveness to status inquiries appears to be a continuing problem.

166. USPTO 2000 Patent Customer Satisfaction Survey P-166 Observations from Open-Ended Comments (cont.) There is a perception that it takes a substantial amount of time and effort by the applicant to correct errors and mistakes made by USPTO. Respondents still feel it is “hard to get things back on track.”  “If something goes wrong (incorrect filing receipt, missing submissions, etc.), there is no one within USPTO to assist in correcting the problem.”  However, there were also some comments about the ease of correcting errors on filing receipts through the telephone. Some of the more frequent suggestions for improvement by the respondents include:  Better procedures for finding lost files/documents;  On-line status verification;  Better supervision of newer examiners;  Electronic filing; and  Cite patent law cases more often to support rejections.

167. USPTO 2000 Patent Customer Satisfaction Survey P-167 The standards that attracted the most comments were:  Providing first action;  Mailing patent grant after issue fee payment; and  Mailing accurate filing notices. Areas in which respondents suggested additional new standards include:  Matching IDs and documents with file;  Acknowledgment of receipt of communications, including faxes;  Board of Appeals pending; and  Responding to petitions and other financial matters. Comments About Performance Standards – Section B

168. Supplemental Section Use of Internet-Based Survey P-168

169. USPTO 2000 Patent Customer Satisfaction Survey P-169 Use of Internet-Based Survey Completion of the customer survey was made available to all respondents via the Internet. A total of 18% of the respondents used the Internet-based survey. For those completing the survey via the Internet, some questions were asked about ease of use.

170. USPTO 2000 Patent Customer Satisfaction Survey P-170 Use of Internet-Based Survey (cont.) S1.How easy was it to complete this Internet-based survey? Very Difficult/Neither DifficultDifficult nor EasyVery Easy/Easy 1%9%90% S2.Would you consider using the Internet-based survey again? Definitely Not/Definitely/ Probably NotNeitherProbably 1%1%98% Almost all respondents who used the Internet-based survey found it easy to complete and would use it again.

171. Overall Summary P-171

172. Overall Summary Strengths and Opportunities for Improvement P-172 The following pages summarize the strengths (60% or more satisfied) and opportunities for improvements (25% or more dissatisfied). Strengths Customer Service Courteous service (B1 & C4c) Telephone service/returning calls within 1 business day and directing customers promptly (B3* & B2*) Providing assistance at a time convenient to the customer (C1SR1) ______________ * Key Driver. USPTO 2000 Patent Customer Satisfaction Survey

173. Overall Summary Strengths and Opportunities for Improvement (cont.) P-173 Strengths (cont.) Examination/Application Process Examination quality (conducting thorough search and a clearly written position (B4* & B11*) Use of telephone for examination issues (C1AP3) The application process (C1AP1 & C1AP2) Fairness of the process outcome and outcome meeting your objectives (C1OP1* & C1OP2) Timeliness Respond to amendments within 4 months and disseminate information on changes before effective date (B14 & B6) ______________ * Key Driver. USPTO 2000 Patent Customer Satisfaction Survey

174. P-174 Opportunities for Improvement Consistency of examinations (C1AP4*) Time standards:  Mail patent grant within 4 months of issue fee payment (B15)  Mail accurate filing notices and mailed within 30 days of receipt (B9* & B10)  Respond to status letters within 30 days (B5) Problem handling (C4a**, C4b, C4d**) Overall Summary Strengths and Opportunities for Improvement (cont.) USPTO 2000 Patent Customer Satisfaction Survey ______________ * Key Driver. ** Key driver for those experiencing problems.

175. Conclusions P-175

176. USPTO 2000 Patent Customer Satisfaction Survey P-176 Conclusions The results of the 2000 Patent Customer Survey are quite encouraging.  Overall satisfaction with Patent services has improved by 12 percentage points in the last two years, increasing from 52% in 1998 to 64% in 2000. Dissatisfaction is now 13%, down from 17% in 1999 and 22% in 1998.  Responses to 21 of the 27 comparable items improved from 1999 to 2000. Seven of these items improved significantly.  All of the Customer Service items improved or remained the same, especially directing customers promptly to the proper office/person and prompt/helpful service.  The number of respondents believing service has improved compared to previous filings far outnumber those believing it is worse (except for accurate filing receipts).  A growing number of respondents are commenting about the proactive and individualized service, as well as the helpfulness, of examiners in pointing out appropriate changes and working out issues over the telephone. Close to 80% are satisfied with the use of the telephone for examination issues.

177. USPTO 2000 Patent Customer Satisfaction Survey P-177 Conclusions (cont.) Important areas with acceptable levels of satisfaction include courtesy, telephone service, examination quality, the application submission process, and outcome/fairness of the final decision. Why Did Overall Satisfaction Improve? The reasons for the increase of 7 percentage points in overall satisfaction from 1999 to 2000 may include the following improvements:  A decline in the percent of respondents experiencing problems/difficulties  An improvement in the key driver of directing customers promptly to the proper office/person  An improvement in the key driver of returning calls within one business day  An improvement in the key driver of outcome meeting customer objectives  An improvement in the key driver of the efficiency of the examination process  An improvement in the key drivers of prompt and helpful service and flexibility

178. USPTO 2000 Patent Customer Satisfaction Survey P-178 Conclusions (cont.) However, there remain areas that, while showing improvement, still have low levels of satisfaction:  Meeting standards for responding to status letters, mailing patent grant within 4 months of issue fee payment, and mailing accurate filing receipts.  The handling of problems (about two-thirds of the respondents experienced some type of problem or difficulty this past year).  Inconsistency of examination, asked for the first time on this year’s survey, also has a low level of satisfaction. Survey results show a decline of three percentage points in satisfaction from 1999 in conducting a thorough search, and a clear written position of examining attorneys showed no improvement. Some key customer service items, such as flexibility, ability to provide accurate answers, and prompt/helpful service, remain below 60% in satisfaction.  Those who are either neutral or dissatisfied have a much less positive view about examination quality and responsive customer service. In addition, over 80% of the respondents who are either neutral or dissatisfied overall indicate that they have experienced problems during the year.

179. USPTO 2000 Patent Customer Satisfaction Survey P-179 Opportunities for Improvement - The Vital Few From the write-in comments and the results of the survey data analysis, the following “vital few” opportunities for improvement have been identified: (1)Address through additional training of examiners the perceived inconsistency in the quality of rejections:  35 USC 102 and 103 – Patentability over prior art  Section 112 – Description, enablement, and clarity requirements  Application of drawing requirements In addition, analyze complaints about the quality of searches and inconsistency of decisions to determine patterns and potential actions, including focused training. (2)Respondents recognize that problems, errors, and misplaced documents will occur given the large workload. However, needed changes include a simple customer-friendly process for quickly correcting administrative errors and better procedures for tracking lost documents. Full implementation of Customer Service Centers can significantly improve performance here. Conclusions (cont.)

180. USPTO 2000 Patent Customer Satisfaction Survey P-180 Opportunities for Improvement - The Vital Few (cont.) (3)Given the continuing low satisfaction ratings for responding to status requests, publicize the use of the PAIR system for tracking status. First, though, ensure that access problems reported by customers have been resolved. (4)Analyze the causes of delays after issue fee payment and take appropriate action. (5)There is a growing demand for the use of e-mail in corresponding with examiners. Provide an update to customers about this potential action. (6)Explore the possibility of a process for follow-up on complaints about poor search quality and inconsistency of decisions. Provide feedback to the applicant about findings and corrective action. Most of the respondents who rated overall satisfaction as either neutral or dissatisfied appear to be dissatisfied with search quality and the service provided in following up on their problems and complaints. (7)Continue to work on a problem management and resolution system. Emphasis should be placed on the timeliness of feedback and problem resolution. Implementation of a Customer Complaint Resolution System, including widespread deployment of a database for capturing, tracking, and analyzing complaints, is needed to attack this important driver of overall customer satisfaction. Conclusions (cont.)