Advancing USPTO's Mission: Insights from Deputy CIO Deborah Stephens

Tech Transforms, sponsored by Dynatrace

Deborah Stephens, the Deputy Chief Information Officer for the United States Patent and Trademark Office (USPTO), “grew up” so to speak in the USPTO. Deborah led the USPTO on its agile journey. As the agency took on its “New Ways of Working, '' by moving people and resources closer to the work, she helped empower employees to build and deploy software. Deborah shares how she guided the agency through this 4-year change journey, gaining buy-in from the organization, which was proved by an engagement rate increase from 75% to 85%. Deborah also talks about what it means to be a HISP, running USPTO as a business that is entirely self-sustaining, and, in honor of Women’s History Month, the women who have inspired her along the way.

Key Topics

• 05:54 Some embraced digital change, others struggled with it
• 08:53 Most employees were ready for telework
• 10:59 USPTO shifts to agile approach for IT
• 16:41 Gathering feedback led to 10% engagement increase
• 23:50 Customers submit 600,000+ patent and trademark applications yearly
• 26:51 Agency conducts outreach through webinars and trademarks
• 31:06 Customer experience and UX processes are fundamental
• 33:45 USPTO offers different fee structures for entities
• 35:30 USPTO runs efficiently with prioritization and budgeting
• 39:43 Acknowledging strong women, personally and professionally
• 43:21 Seek guidance and practice for success

Growth in Patent and Trademark Requests

Surge in Applications at USPTO

Deborah Stephens highlights a significant increase in the number of patent and trademark applications received by the USPTO over the years. This growth, from approximately 350,000 to 400,000 applications in 2012, with numbers continuing to rise, underscores the vibrant culture of innovation and creativity in the United States. The upward trend of applications is a positive sign of the country's ongoing commitment to innovation. However, it also presents logistical challenges for the USPTO. Including the need to process a higher volume of applications efficiently while ensuring the quality of examination does not diminish.

Transition to New Ways of Working in U.S. Patent and Trademark Office: "And so in around late 2018, 19, we began our, what we referred to as our agile journey. We named it our New Ways of Working, which essentially is an entire USPTO effort. Including our business unit with 12 other business units, moving people and the resources closer to the work. Giving them that empowerment, to build, deliver, deploy software, product services for our business stakeholders, and that's both internally and externally." — Deborah Stephens

USPTO is Adapting to Increased Demand

In response to the growing demand for intellectual property protection, the USPTO has been proactive in seeking ways to maintain and improve service delivery. Deborah discusses the agency's approach to managing the influx of applications, focusing on scalability and efficiency. Despite the challenges posed by the increase in applications, the USPTO's designation as a High Impact Service Provider (HISP) has had minimal impact on its existing customer experience strategy. The agency's foundational commitment to delivering exceptional service to inventors and entrepreneurs remains steadfast. With an emphasis on continuous improvement and the adoption of new strategies to better meet the needs of the U.S. innovation community.

USPTO's Fee-Funded Model and Fiscal Strategy

USPTO’s Fee-Funded Operations

Deborah highlights the United States Patent and Trademark Office's (USPTO) operational model, which is uniquely self-sufficient. Relying entirely on fees collected from patent and trademark applications. This model ensures that the USPTO does not use taxpayer dollars, setting it apart from many other government agencies. By directly linking the agency's funding to the services it provides, the USPTO aligns its goals closely with the needs and successes of its primary users: inventors and businesses seeking intellectual property protection. This connection incentivizes the agency to continuously improve its processes and customer service. Additionally, Deborah mentions a tiered fee system that offers different rates for entities of various sizes. From individual inventors to large corporations. This structure is designed to lower barriers for smaller entities and encourage a wider range of innovation.

USPTO’s Budgetary Discipline and Management

Facing economic pressures such as inflation, the USPTO's approach to budget management becomes even more pivotal. Deborah discusses the importance of prioritization and strategic decision-making in maintaining the agency's financial health. Despite rising costs, the USPTO strives to keep its budget stable and even reduce it when possible, demonstrating a high level of fiscal responsibility. This is achieved through careful analysis of projects and initiatives, focusing resources on areas that promise the highest impact. The USPTO's disciplined budgetary approach not only ensures its operations are sustainable but also serves as a potential model for other federal agencies. By showcasing how to effectively manage finances in a challenging economic environment, the USPTO underlines the value of strategic planning and prioritization in government fiscal strategy.

Telework Readiness and Agile Transformation at USPTO

USPTO’s Transition to Telework Prior to COVID-19

Deborah highlights the USPTO's preparedness for telework well before the COVID-19 pandemic. With a significant portion of the workforce already equipped and familiar with remote working protocols, the USPTO had laid a robust foundation for telework readiness. This foresight into establishing a telework culture not only ensured the continuity of operations during unprecedented times. It also underscored the agency's commitment to leveraging modern work practices. The transition to a fully remote working environment, necessitated by the pandemic, was thus more seamless for the USPTO than for many other organizations. Demonstrating a proactive approach to business continuity planning.

Introducing Change in Remote Work Environments: "There were every 2 weeks of what we refer to as, lunch and learns. And in the beginning, I was the prime speaker, saying, here's our New Ways of Working. Here's the structure. Here's how we're gonna move our processes, our procedures, and people would join in. And it was all remote. I'd have a big TV like producer kind of studio, and I'd be in front of the blue screen and talking to them about this change at least every 2 weeks, if not, sometimes more." — Deborah Stephens

Agile Transformation and Cultural Shift at USPTO

The shift from traditional waterfall methods to agile methodologies marked a significant transformation within the USPTO. Deborah emphasizes that this transition was not merely about changing project management techniques. It involved a deeper cultural shift within the organization. Achieving buy-in from both individuals and teams was crucial to fostering an environment that embraced agility, empowered employees and encouraged rapid deployment of products. Key to this cultural transformation were regular remote meetings and employee engagement surveys. This played a significant role in understanding and enhancing employee satisfaction. The notable increase in engagement levels from 75% to 85% during this period of change illustrates the effectiveness of the USPTO's approach in not only implementing agile methodologies but also in cultivating a culture that is receptive and adaptive to change.

Tech Landscape and Patent Filing Insights at USPTO

USPTO’s "Fail Fast, Fail Forward" Approach

Deborah shares the USPTO's dynamic approach to technological innovation, encapsulated in the mantra "fail fast, fail forward." This methodology allows the USPTO to quickly test new ideas and technologies, while learning from any setbacks, and refining their strategies efficiently. By fostering an environment where experimentation is encouraged and failure is seen as a stepping stone to success, the agency ensures that it remains at the forefront of technological advancements. This approach is crucial in a rapidly changing tech landscape, as it enables the USPTO to adapt and innovate continuously. Deborah highlights how this philosophy has led to a more agile and responsive IT infrastructure within the agency. One capable of meeting the demands of modern patent and trademark processing.

The Value of Mentorship: "I think you need to establish your go-to network of mentors, and don't be afraid to become a mentor." — Deborah Stephens

Emphasizing Customer Feedback in Patent and Trademark Submissions

Carolyn brings attention to the importance of customer feedback in the process of patent and trademark submissions at the USPTO. Deborah explains how the agency values the insights gained from customer experiences and actively seeks out feedback to improve services. Through a variety of channels such as webinars, outreach programs and direct communication through customer service teams, the USPTO gathers valuable input from those who navigate the patent and trademark submission processes. This dedication to understanding and addressing the needs and challenges of its customers has led to significant enhancements in the USPTO's support structures. Deborah further discusses educational efforts aimed at demystifying the complexities of the patent filing process. Thereby making it more accessible and navigable for inventors and businesses alike.

Digital Transformation at USPTO

USPTO’s Move from Paper-Based to Digital Systems

Deborah played a significant role in transitioning the agency from a paper-based application system to a fully digitized process. This monumental task involved not just the scanning of existing paper documents, but also includes integrating OCR technology to make historical patents searchable and accessible in digital form. Despite the sheer scale and potential logistical challenges of digitizing vast amounts of data, the initiative marked a pivotal moment in the agency's history. This transformation was not without its hurdles. Initial resistance to change was a significant barrier that needed careful navigation. However, through strategic planning and a commitment to modernization, the USPTO successfully overcame these challenges. Leading to a more efficient, accessible and streamlined patent application process.

Efficient Budget Management at the USPTO: "Being able to maintain our budget or even maybe decrease the overall budget by 1%, but yet inflation going up 8, 9%, we've been able to do that. And it's about prioritization, and that's part of our New Ways of Working." — Deborah Stephens

About Our Guest

Deborah Stephens is the Deputy Chief Information Officer (DCIO) for the United States Patent and Trademark Office (USPTO). She has served at the USPTO for more than 30 years in multiple leadership roles, during which she has worked to improve the automated tools and informational resources that facilitate electronic processing of patent applications. In her current role, Deborah is the principal advisor to the Chief Information Officer (CIO) and responsible for managing day-to-day operations of the Office of the Chief Information Officer (OCIO) with significant oversight on information technology (IT) stabilization and modernization efforts. She guides teams towards continual improvements in IT delivery for maximum value to all stakeholders.

Episode Links

• High Impact Service Providers (HISPs)
• USPTO Fee Schedule
• Women’s History Month Blog