Strategic Plan > Index to Action Papers > Initial and PG-Pub Classification of Newly Received Applications

Action:

Competitively source assigning initial (routing) and Pre-Grant Publication (PGPub) classifications to newly received patent applications.

Background Information:

·       Technology Center resources required to support the assignment of PGPub classifications could be better utilized for other activities supporting the training of new examiners and reducing the backlog of pending applications.

·       The increasing number of new patent applications and the reduction in initial classification staff because of employee retirements will require hiring additional staff if some other means of performing this function is not instituted.

·       Contracting out of both the initial and PGPub classification functions may result in a significant process improvement by consolidating the two functions into one.

Options Considered:

1)     Hire additional staff to perform these functions.

2)     Hire retirees to perform these functions.

3)     Competitively source these functions.

USPTO Recommended Course of Action:

Option 3 - Competitively source initial and PG-Pub classification of newly received applications.

Proof of Concept:

The USPTO would implement a pilot program to test the feasibility of competitively sourcing all initial and PG-Pub classification of newly received application functions.  This would allow the Office to evaluate the effectiveness of contracting out this function.

A Request for Information (RFI) was issued to determine if there were any firms potentially able to perform the required work.  Responses to the RFI were reviewed and summarized.  In view of the responses, the Office has decided to move forward in contracting out these functions. 

The measurable objectives of this pilot would include the contractors' ability to perform the work in a quality, cost-effective and efficient manner.  Critical measures of success include the contractors' performance, quality, timeliness, and program feasibility. 

The pilot would last for six months and data would be collected throughout the life of the pilot.  The Office would perform a thorough quality review on all work provided by the contractors and would measure it against current Office performance. 

The report would be published for general review and discussion prior to a decision being made on how to proceed.

Return on Investment:

Benefits include timely performance of work and the ability to shift current USPTO resources to other substantive examination-related activities.

Implementation Schedule

Work Breakdown Structure	Task Name	Start	Finish	Project Lead
15	Flexibility 1: P-27 - Initial and PGPub Classification	12/14/01	03/28/04	H. Goldberg
15.1	Copy of RFI sent to Union (P-27)	12/14/01	12/14/01
15.2	Issue RFI; receive responses (P-27)	12/14/01	02/15/02
15.3	Analyze and synopsize RFI responses (P-27)	02/19/02	03/20/02
15.4	Develop requirements (including legal review) (P-27)	05/06/02	04/25/03
15.5	Receive decision on A-76 (P-27)	03/10/03	05/01/03
15.6	Address Labor Relations Implications (P-27)	06/10/02	08/25/03
15.7	Obtain approval to issue preliminary information version of RFP and request comments/questions (P-27)	04/28/03	04/30/03
15.8	Develop preliminary RFP synopsis (P-27)	04/25/03	05/01/03
15.9	Provide copy of preliminary RFP to Union (P-27)	05/02/03	05/02/03
15.10	Publish preliminary RFP synopsis and leave open for info (P-27)	05/01/03	05/05/03
15.11	Issue preliminary version of RFP (P-27)	05/06/03	05/06/03
15.12	Receive comments/questions on preliminary RFP (P-27)	05/07/03	06/10/03
15.13	Industry day (P-27)	05/30/03	05/30/03
15.14	Review questions and revise RFP as needed (P-27)	06/02/03	07/11/03
15.15	Obtain approval to issue RFP (P-27)	07/11/03	07/16/03
15.16	Develop RFP synopsis (P-27)	07/10/03	07/15/03
15.17	Provide copy of RFP to union (P-27)	07/18/03	07/18/03
15.18	Publish RFP synopsis and leave open for info (P-27)	07/15/03	07/21/03
15.19	Issue RFP (P-27)	07/22/03	07/22/03
15.20	Receive vendor proposals (P-27)	07/23/03	08/22/03
15.21	Evaluate proposals (P-27)	08/25/03	10/03/03
15.23	Negotiate and award contract (P-27)	10/06/03	10/31/03
15.24	Develop training programs for contractor (P-27)	04/01/03	10/31/03
15.25	Develop quality review process (P-27)	04/01/03	10/31/03
15.26	Contract start-up and phase-in (P-27)	11/04/03	12/05/03
15.27	Identify automation support (P-27)	02/10/03	04/30/03
15.28	Implement automation requirements (P-27)	03/25/03	11/03/03
15.29	Complete automation support for Initial and PG Pub Classification of Newly Received Applications (OSAE/P-27)	11/03/03	11/03/03
15.30	Evaluate initial contract results as proof of concept and determine contract continuation (P-27)	12/08/03	03/28/04

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