Assessment Report - Prof S. freud
solarysystem1
spo_reportv4.pptxAssessment of
the Saudi Patent Office (SPO)
Final Report
November 20, 2014
1
Executive Summery
LE Overview
Assessment Overview
SPO Overview
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5
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9
Assessment Results
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SPO Alignment with PMI
22
Conclusion
28
Appendices and Resources
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Contents
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3
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Executive Summery
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Executive Summery
The Saudi Patent Office (SPO) is facing growing patent pendency rates and increasing backlog of patent applications awaiting review. In responding to these challenges, SPO issued a new hierarchy and name. However, SPO was still seeking for more Innovative improvement. LE a Saudi company focusing on developing organization intellectual wealth and accelerating the transformation to Knowledge Based Economy (KBE), approached SPO to explore the possibility of applying project management and knowledge to management concepts to optimize and remove latency in patent examination process. King Abdulaziz City for Science and Technology (KACST) Vice President for Scientific affairs and the SPO director approved LE request “to assess the current patent examination process and suggest means to remove or reduce latency”.
The assessment methodology was selected with the aim of minimizing intervention with SPO operations. The methodology introduced three phases, Pre-Assessment, Assessment and finally Analysis and Reporting. The first phase was to do multiple visits to SPO to understand the available documentation and the availability of staff, which enabled the development of the detailed execution plan. The second phase was gathering information utilizing multiple techniques. The final phase concluded the study and provided recommendations.
The study focused only on the patent examination process and the policy affecting patent examination process and the staff directly connected to the patent examination process.
The engagement was stopped multiple times due to National Holidays, however the study was finished within 30 working days from the day of the official kick-off. LE interviewed and did questioners to understand the process and the working environment from the SPO employees perspective. LE also, did a benchmarking with US Patent and Trading Office (USPTO).
Assessment of the Saudi Patent Office (SPO)
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Executive Summery
The study identified three challenging areas that deserve a specific intervention scheme, which are: Corrective Actions for critical challenges, Continues Improvement Actions for small but repeated challenges, and Innovation Enabling Actions.
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LE Overview
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LE Overview
LE is a limited liability company established in the city of Riyadh, Saudi Arabia, to meet the growing need for national expertise in the field of technical and management consulting polished through initiatives to strengthen and bridge the gaps in national institutions.
LE focuses on supporting its customers through providing competency development, consultation and Build Operate Transfer (B.O.T) solutions, to address all organization development that clients require to achieve their vision.
LE sees the client as a valued partner and their engagement, enrolment and satisfaction is key success factor for any initiative. LE views the relationship with the customer as a journey that does not end with the end of the project; it ends when the customer successfully reach his vision and achieved his strategic goals
Assessment of the Saudi Patent Office (SPO) Report
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SPO Overview
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SPO Overview
The Saudi Patent Office (SPO) is located at the King Abdulaziz City for Science and Technology (KACST). The Patent Office’s main activities and objectives are to:
Apply the patent law and its implementing regulations: Law of Patents, Layout Designs of Integrated Circuits, Plant Varieties and Industrial Designs
Grant Saudi patents, Layout Designs of Integrated Circuits, Plant Varieties and Industrial Designs Establish a Registry for the collection of local and foreign Layout Designs of Integrated Circuits, Plant Varieties and Industrial Designs
Encourage the inventiveness of Saudi nationals. The Office has taken a number of measures during the past years to hire and train examiners and translators in order to adequately handle patent applications.
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Providing protection for industrial property for the fields falling within KACST responsibilities.
Filing and examining industrial property applications.
Granting industrial property rights.
Developing national database for industrial property rights.
Publishing documents of industrial property rights.
Promoting creativity and raising industrial property awareness.
Assessment of the Saudi Patent Office (SPO)
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* www.sabaip.com
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Assessment Overview
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Assessment Overview
4.1 Assessment Objectives
To study the current situation of the SPO and investigate the possibility of providing an innovative solution to improve patent granting process utilizing project management best practices and knowledge management concepts.
4.2 Assessment Plan
PHASE I: Pre-Assessment
PHASE II: Assessment
Data Collection
PHASE III: Analysis & Reporting
Initial Client Meeting Assessment Prep.
Kickoff Meeting
Analysis &
Recommendations
Outbrief
3
2 - 5 days Preparation
15 - 20 days
Assessment
5 days
report writing
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Assessment of the Saudi Patent Office (SPO)
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PHASE1:
Planning Session for Conducting the Assessment (Preparation):
Identify key data and information needed (Documents, Regulation, Laws, statics, etc.)
Interview Planning and Decide what information needed
Gathering all experience information of the examiners
Prepare interview templates
Divide the Interviews into Categories based on (year of experience, number of Actions, Knowledge and Skills, etc.)
Choose an international patent office to compare with.
Tools and Techniques:
Scoping Checklist
Document List
Interviews Schedule
LE has divided this project into 3 phases:
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Assessment Overview
PHASE2:
Data and Information Collection (Analysis and Assessment)
Conduct the interviews with key officials and employees through SPO
Review relevant materials
Law of Patents, Layout-Designs of Integrated Circuits, Plant Varieties, and Industrial Designs (Promulgated by Royal Decree No M/27 of 29/5/1425H
Implementing Regulations of the Law of Patents, Layout-Designs of Integrated Circuits, Plant Varieties, and Industrial Designs
Execution Plan for the examination department (2014)
Review Key Performance and Results Measures from SPO Patent information Center Unit
Review assessments with USPTO.
Tools and Techniques:
Survey
Interview Questions
PMI Best Practices
BPM Best Practices
KM Best Practices
Benchmarking
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Assessment Overview
PHASE3:
Prepare Final Report (Report Writing)
Follow-up interviews to clarify key points
Deliverables Templates
Tools and Techniques:
Deliverables Templates
Deliverables:
Assessment Report
Executive Briefing
Assessment of the Saudi Patent Office (SPO)
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Assessment Results
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This chart shows the patent application statistics from 2008 till 2013 which include:
Number of patent field
Number of patent issued
Number of patent application rejected
Number of patent application for invention dropped
Number of patent applications withdrawn
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SPO-Patent applications statistics
Number of patent applications filed
2008 2009 2010 2011 2012 2013 873 790 931 1000 1043 928 The number of patents issued
2008 2009 2010 2011 2012 2013 224 228 262 253 213 233 Number of patent applications rejected
2008 2009 2010 2011 2012 2013 179 357 393 324 226 361 Number of patent applications for invention dropped
2008 2009 2010 2011 2012 2013 362 473 443 286 447 344 Number of patent applications withdrawn
2008 2009 2010 2011 2012 2013 6 15 0 7 0 0
2008 2009 2010 2011 2012 2013
The chart shows number of patent application field:
Comparing 2013 with 2012 it shows a drop by 11%
Comparing 2013 with2008 it shows an increase with only 6%
Introducing an electronic application has almost zero effect on the number of application filed
The applicant need more awareness about the services provided by SPO
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Number of patent applications filed
2008 2009 2010 2011 2012 2013 873 790 931 1000 1043 928
2008 2009 2010 2011 2012 2013
This chart shows the number of patents issued and its percentage from number of patent applications field:
Comparing 2013 with 2008 it shows a drop by 1%
Comparing 2013 with 2012 it shows a drop by 5%
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The number of patents issued
2008 2009 2010 2011 2012 2013 224 228 262 253 213 233
2008 2009 2010 2011 2012 2013 0.25658648339060708 0.28860759493670884 0.28141783029001077 0.253 0.20421860019175453 0.25107758620689657
2008 2009 2010 2011 2012 2013 2008 2009 2010 2011 2012 2013
This chart shows the number of patent application rejected and its percentage from number of patent applications field:
Comparing 2013 with 2008 it shows an increase of number of applications rejected by 18%
Comparing 2013 with 2012 it shows an increase of number of applications rejected by 17%
The applicant need more training program on how to fill the application
The examiners need more courses on both technical and communication skills
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Number of patent applications rejected
2008 2009 2010 2011 2012 2013 0.20504009163802983 0.45189873417721516 0.42212674543501616 0.32399999999999995 0.21668264621284761 0.38900862068965514
2008 2009 2010 2011 2012 2013 179 357 393 324 226 361
2008 2009 2010 2011 2012 2013 2008 2009 2010 2011 2012 2013
This chart shows the number of patent application for invention dropped and its percentage from number of patent applications field:
Comparing 2013 with 2008 it shows a drop by 4%
Comparing 2013 with 2012 it shows a drop by 7%
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Number of patent applications for invention dropped
2008 2009 2010 2011 2012 2013 0.41466208476517752 0.59873417721518996 0.47583243823845323 0.28600000000000003 0.4285714285714286 0.37068965517241381
2008 2009 2010 2011 2012 2013 362 473 443 286 447 344
This chart shows the patent application statistics from 2008 till 2013 which include:
Number of Industrial design field
Number of Industrial design issued
Number of Industrial design application rejected
Number of Industrial design application for invention dropped
Number of Industrial design applications withdrawn
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Industrial design applications Statistics
Number of Industrial desgin applications filed
2008 2009 2010 2011 2012 2013 359 508 493 758 659 928 The number of Industrial desgin issued
2008 2009 2010 2011 2012 2013 210 248 412 370 631 233 Number of Industrial desgin applications rejected
2008 2009 2010 2011 2012 2013 147 107 144 47 78 361 Number of Industrial desgin applications for invention dropped
2008 2009 2010 2011 2012 2013 138 136 210 276 223 344 Industrial design applications Statistics:
2008 2009 2010 2011 2012 2013
This chart shows the number of industrial design application issued and its percentage from number of industrial design applications field:
Comparing 2013 with 2008 it shows a drop by 33%
Comparing 2013 with 2008 it shows a drop by 74%
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The number of Industrial desgin issued
2008 2009 2010 2011 2012 2013 210 248 412 370 631 233
2008 2009 2010 2011 2012 2013 0.58495821727019504 0.48818897637795278 0.83569979716024334 0.48812664907651715 0.95751138088012144 0.25107758620689657
This chart shows the number of industrial design application rejected and its percentage from number of industrial design applications field:
Comparing 2013 with 2008 it shows a drop by 2%
Comparing 2013 with 2008 it shows an increase by 27%
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Number of Industrial desgin applications rejected
2008 2009 2010 2011 2012 2013 147 107 144 47 78 361
2008 2009 2010 2011 2012 2013 0.40947075208913652 0.21062992125984248 0.2920892494929006 6.2005277044854923E-2 0.11836115326251895 0.38900862068965514
This chart shows the number of industrial design application for invitation and its percentage from number of industrial design applications field:
Comparing 2013 with 2008 it shows a drop by 1%
Comparing 2013 with 2008 it shows a drop by 3%
The chart shows a wide range of fluctuation which means it needs more information from both sides the SPO and the applicants
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Number of Industrial desgin applications for invention dropped
2008 2009 2010 2011 2012 2013 138 136 210 276 223 344
2008 2009 2010 2011 2012 2013 0.3844011142061281 0.26771653543307083 0.42596348884381341 0.36411609498680741 0.33839150227617598 0.37068965517241381
This chart shows the results after interviewing SPO Examiners':
50% of examiners need to improve their English language
83% of examiners knows the process from the application filed until the rejection or granting
75% 83% of examiners needs more courses in both managerial and soft skills
25% of examiners only are satisfied with their professional development plan
17% of examiners only are satisfied with work environment
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SPO
Work Environment Satisfaction Profesional Development Satisfaction Soft Skills Training Needs Patent Application Process Awareness English Language Training Needs 0.16666666666666666 0.25 0.75 0.83333333333333337 0.5
E
Formalities Examination
Substantive Examination
Distribution
Substantive Examination
FA
SA
Granting / Rejection
39.6 Months
48.7 Months
13 Months
13 Months
2009
35.6 Months
41.9 Months
2010
28.3 Months
34.6 Months
2011
29.5 Months
39.4 Months
2012
This chart shows the time needed since the application was filed until they got rejected or granted:
From the chart there are 2 backlog on the process both of them 13 months
First backlog in the recommendations section there is a solution
Second backlog after applying the recommendation will be reduced gradually until it reach a reasonable delay
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SPO Alignment with PMI
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SPO Alignment with PMI
6.1 PMI Methodology
PMI (Project Management Institute) is “the world's leading not-for-profit professional organization for the project management profession with the purpose of advancing project management.
PMI created the worldwide standard for Project Management which is PMBOK (Project Management Body of Knowledge) Guide.
The challenge was how to link the SOP work which is pure operation to the Project Management concept but LE finds that link from the definition of the Project based on PMBOK.
PMBOK defines Project as “a temporary endeavor undertaken to create a unique product, service, or result”.
Based on this definition, LE sees that each patent application is a project by itself as it has a start and end time and it will end with a unique result.
After finding the link between the SPO and PMI, PMBOK recognizes 5 basic process groups and 10 knowledge areas typical of almost all projects. LE will verify SPO patent application alignment with PMI methodology.
Assessment of the Saudi Patent Office (SPO)
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Initiating
Processes
Planning
Processes
Controlling
Processes
Executing
Processes
Closing
Processes
Knowledge Areas
Cost
Time
Scope
Integration
Human Resources
Communications
Risk
Procurement
Stakeholder
Quality
Processes Groups
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Mentoring & Control
Closing
Executing
Planning
Initiating
Defining and refining objectives
Selecting the best set of actions to achieve the objectives
Ensuring that project objectives are met
Measuring progress regularly to identify variances from plan.
Formalizing acceptance of the project and bringing it to an orderly end
Document the lessons learned
Coordinating people and other resources to carry out the plan
Authorizing the project
What PMI says?
What SPO does?
6.3 SPO alignment with PMI Processes Groups
SPO examiners plan to follow the SPO patent process
SPO already have their own KPIs and they’re measuring their examiners progress accordingly.
SPO have issues with controlling communication and stakeholder engagement
SPO closes the project by either printing the patent certificate OR issuing the rejection report.
SPO doesn’t have any lessons learned or any other knowledge sharing system
SPO carry out the plan by following the patent application process flow chart it self.
SPO have issues with managing the communication and stakeholder engagement
SPO at some point assign a formalities examiner to the patent application and he will have the authority to work on this application till he send it to the substantive examiner
Status
Good Standing
Non-critical Issue
Critical Issue
SPO Alignment with PMI
LE had been able to achieve a tight alignment between the SPO patent application process and the PMBOK. For each core process in the PMBOK, LE will show what’s the equivalent action or status of SPO patent application process. The following table illustrates the alignment between the SPO and PMBOK processes groups and mentioning the status of alignment with each process group
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6.4 SPO alignment with PMI Knowledge Areas
What PMI says?
What SPO does?
Status
Integration processes covers the overall project from initiating to closing of the project
Integration Management
SPO does that.
Helps you understand the objectives of the project
Scope Management
SPO knows what are the objective of each project.
You will be able to identify project activates, identify dependencies, estimate their resource and duration are estimated, and creating project schedule
Time Management
SPO identified a detailed process with clear input and output and estimated duration.
SPO estimated duration can be improved (when required)
LE had been able to achieve a tight alignment between the SPO patent application process and the PMBOK. For each core knowledge area in the PMBOK, LE will show what’s the equivalent action or status of SPO patent application process. The following table illustrates the alignment between the SPO and PMBOK knowledge area and mentioning the status of alignment with each knowledge area.
SPO Alignment with PMI
Address all type of costs – direct & indirect costs, related to quality, resources, risks and procurement.
Cost Management
SPO cost on each project is mainly resources cost.
Good Standing
Non-critical Issue
Critical Issue
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SPO Alignment with PMI
What PMI says?
What SPO does?
Status
Figure out what is needed to ensure that project produces result that is in line with stakeholders’ expectations.
Quality Management
SPO has a quality policy and their examiners applying it.
People are an crucial element of success for any project and is the most challenging one because dealing with people needs great deal of interpersonal skills
HR Management
SPO have competent staff but LE believes they need to strength on the soft skills as they are directly dealing with applicants.
Distribute right information to the right people at the right time
Communication Management
Reporting is done by requests. So, SPO needs to establish a communication management system.
Assessment of the Saudi Patent Office (SPO)
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There will be plenty of threats as well as opportunities. Identify them. Analyze them. Prepare for them. When they do happen, address and control them
Risk Management
SPO has a HR risk and there is an internal policy to mitigate it.
If at all some part of your project work is to be done by an expert sellers, then you should cover all the know-how of how to deal with it.
Procurement Management
SPO doesn’t have any procurement items in the patent application.
Helps to identify and manage relationship with people who can impact or who get impacted by the project
Stakeholder Management
SPO should establish a stakeholder management strategy to meet all their stakeholders (sponsors & applicants) expectations.
Good Standing
Non-critical Issue
Critical Issue
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Conclusion
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Conclusion
SPO is exerting a tremendous effort to overcome the challenges facing it, mainly reducing pendency time which is a major issue world wide. Another difficult challenge, is the challenge to acquire, retain and manage knowledge it needs to perform its mission. Based on the assessment analysis LE identified three challenging areas that SPO should address differently but must be tackled in an integrated approach, Corrective Actions, Continues Improvement Actions, and Innovation Enabling Actions.
LE propose the following recommendation as a mitigation strategy.
Corrective Actions targets critical challenges, mainly the pendency and delays exceeding 4 months and challenges affecting its image and creditability, mainly stakeholder management. For this area LE recommends
Outsourcing formalities examination
Develop stakeholder communication management and governance strategy.
Develop community outreach programs and society professional development (Training, Events, Consultation, etc.)
Continues Improvement Actions for small but repeated challenges, mainly the pendency and delays less than 4 months. This area generally requires detailed analysis of work process and policies to remove waste and redundancy. For this area LE recommends
Enable and Empower the Quality Office into an Organization Excellence Office
An external audit to reassess SPO after 3 months to verify the effectiveness of their current improvement actions
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Conclusion
Innovation Enabling Actions
Align and cascade SPO objectives with national strategies, mainly Knowledge Based Society (KBS) National Strategy with clear organization performance indicators
Align and cascade SPO employee’s job description with SPO objectives with clear Individual performance indicators
Develop knowledge transfer and knowledge management strategy
Assessment of the Saudi Patent Office (SPO)
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Appendices and Resources
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Appendices and Resources
A.
Assessment of the Saudi Patent Office (SPO)
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