Case: 20-1399 Document: 78-2 Page: 8 Filed: 12/22/2020
`
`Supporting
`
`Document to Administrative Patent
`Appraisal
`
`Plan FY2018
`
`Judge
`
`Performance
`
`Element 1:
`
`Quality
`
`ARC comments are not binding, but instead suggestions that a panel may
`
`consider in preparing decisions.
`
`Element 2: Production
`
`Item 2. Supporting information related to Major Activities
`
`Crediting for decisions and orders in AlA trial proceedings is currently
`
`undergoing evaluation. Should any changes in methodology in assigning
`
`credit to decisions and orders be recommended for implementation during
`
`the course of the fiscal year, Judges will be notified well in advance, and
`
`provided the opportunity to give comments and feedback on any proposed
`
`changes.
`
`In performing the major activities described in the Performance
`
`Appraisal Plan, judges will normally seek efficiency gains and utilize
`
`available resources to enhance annual production. Such efficiency gains
`
`include effective use of collaboration tools, administrative resources, and
`
`any additional resources available as a result of other Board programs
`
`(e.g., Detailee program).
`
`Item 3. Supporting information related to Criteria for Evaluation
`
`There is no particular ramp up number in productivity for new judges in a
`
`probationary period. The new judge should focus on building relationships
`
`with their colleagues and basic decision writing concepts. The progress
`
`made by a new judge toward hitting the fully successful productivity goal is
`
`evaluated on a case-by-case basis based on the individual needs of the
`
`1
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`
`new judge through discussion with that new judge's Lead Judge as a result
`
`of feedback from the new judge's mentoring judges and direct observations
`
`by the Lead Judge,
`
`Regarding production adjustments for extended medical leave and
`
`special projects, judges should keep their Lead Judge informed of an
`
`ongoing event, so that the Lead Judge is aware and any appropriate
`
`documentation (such as Doctor's notes, etc.) can be gathered as
`
`appropriate. Any adjustments in production will be reasonable in view of
`
`the individual circumstances. Judges who have a potentially
`
`disproportionate amount of APJ2 and APJ3 work as a result of mentoring
`
`or docket imbalance should inform their Lead Judge as soon as possible,
`
`so that the issue(s) may be addressed.
`
`Judges will be provided the opportunity to explain and justify low
`
`decisional units earned and unusual patterns of case mailing.
`
`Element 3:
`
`Supporting
`
`the Mission of the
`
`Board/Leadership
`
`Item 2. Supporting information related to Major Activities
`
`Activities related to the attributes described include:
`
`• Shares efficient processes and methods with other internal
`
`stakeholders.
`
`-leading section, ex parte appeals, or trial meetings
`
`-preparing or presenting material at section, ex parte appeal, or trial
`
`meetings
`
`-preparing or presenting training or continuing legal education
`
`material
`
`2
`
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`Case: 20-1399 Document: 78-2 Page: 10 Filed: 12/22/2020
`
`• Puts organizational objectives before personal interests.
`•
`
`-participating in hiring efforts
`
`-volunteers willingly for organizational activities when
`
`opportunities become available.
`
`•
`
`Inspires and empowers other internal stakeholders by example and
`
`by encouragement to think positively about work related challenges
`
`and to seek constructive solutions, to achieve organizational goals
`
`and objectives, and to achieve higher levels of performance.
`
`-mentoring newer judges or patent attorneys
`
`• Contributes significantly to the design and implementation of
`
`organizational methods and strategies that maximize internal
`
`stakeholder potential and which contribute to organizational
`
`objectives.
`
`-participating on Board committees that further the mission of
`
`the Board
`
`-preparing or presenting training or continuing legal education
`
`material
`'
`•
`-development of rules or policies
`
`• Where change is required to better meet organizational objectives,
`
`adapts well to change (role model) and helps other internal
`
`stakeholders adapt and professionally thrive in a new and changing
`
`organizational environment.
`
`3
`
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`Case: 20-1399 Document: 78-2 Page: 11 Filed: 12/22/2020
`
`Element 4: Internal/External Stakeholder Interactions
`
`Internal stakeholders include Board co-workers (e.g., subordinates,
`
`other judges, and superiors), other USPTO employees, and USPTO
`
`contractors.
`
`With respect to the circulation and mailing of decisions, it is expected
`
`that there may be some circumstances that impact the ability of a judge to
`
`advance a matter through the circulation process (such as workload, the
`
`impact of vacations for that judge or other judges on the panel, pressing
`
`special projects). However, judges should make every effort to respect the
`
`time of their colleagues in maintaining an even workflow and to allow other
`
`judges a sufficient amount for review taking into account that there may be
`
`other pressures on a reviewing judge's time.
`
`Statutory deadline cases should be circulated at least 12 business days
`
`in advance of the deadline to the panel and at least 6 business days in
`
`advance to ARC. Additionally, reexam and reissue appeals should be
`
`handled with special dispatch and reviewed before ex parte appeals.
`
`4
`
`Appx3625
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`FORM CD-516
`11-94) LF
`OAO 202-430
`
`Case: 20-1399 Document: 78-2 Page: 12 Filed: 12/22/2020
`U,S. DEPARTMENT OF COMMERCE
`0 NEW
`
`CLASSIFICATION AND
`PERFORMANCE MANAGEMENT RECORD
`
`0
`
`I/A:
`
`MR#:
`
`IP#:
`
`• Performance Ptan
`
`• Performance Appraisal
`
`• Performance Recognition
`
`• Progress Review
`
`- Position Description
`
`Employee's Name:
`Position Title: Administrative Patent Judge
`AD 1222 00
`
`Pay Plan, Series, Grade/Step:
`
`Organization: 1 . US Department of Commerce
`2. US Patent & Trademark Office
`3. Office of the Under Secretary & Director
`10/1/2017 - 9/30/201 8
`
`Rating Period:
`
`Covered By: 0 Senior Executive Service
`
`� Other AD
`
`0 General Workforce
`
`Social Security No.:
`
`4. Patent Trial and Appeal Board
`
`5.
`
`6.
`
`PART A-POSITION DESCRIPTION
`
`POSITION CERTIFICATION-I certify that this is an accurate statement of the major duties and responsibilities of the position and
`its organization relationships and that the position is necessary to carry out Government functions for which I am responsible. This
`certification is made with the knowledge that this information is to be used for statutory purposes relating to appointment and
`payment of public funds and that false or misleading statements may constitute violation of such statute or their implementing
`regulations.
`
`SUPERVISOR·S SIGNATURE
`
`DATE
`
`SECOND LEVEL SUPERVISOR
`
`DATE
`
`CLASSIFICATION
`CERTIFICATION
`
`OFFICIAL TITLE:
`
`PP:
`
`SERIES:
`
`I :
`I
`I certify that this position has been classified as required by Title 5, US Code, in conformance with standards published by the OPM
`or, if no published standard applies directly, consistently with the most applicable published standards.
`
`I
`
`FUNC:
`
`I
`
`GRADE:
`
`UA DYES
`
`o NO
`
`NAME AND TITLE OF CLASSIFIER
`
`SIGNATURE
`
`DATE
`
`PART B-PERFORMANCE PLAN
`
`This plan is an accurate statement of the work that will be the basis of the employee's performance appraisal.
`
`NAME AND TITLE OF FIRST LINE SUPERVISOR/RATING OFFICIAL
`
`SIGNATURE
`
`DATE
`
`###
`Lead Administrative Patent Judge
`
`APPROVAL-I agree with the certification of the position description and approve the performance plan.
`
`NAME AND TITLE OF APPROVING OFFICIAL OR SES APPOINTING AUTHORITY
`...
`
`SIGNATURE
`
`Vice Chief Administrative Patent Judge
`
`EMPLOYEE ACKNOWLEDGEMENT-My signature acknowled-
`ges discussion of the position description aod receipt of the
`plan, and does not necessarily signify agreement.
`
`SIGNATURE
`
`I
`
`DATE
`
`DATE
`
`PRIVACY ACT STATEMENT-Disclosure of your social security number on this form is voluntary. The number is linked with your
`name in the official personnel records system to ensure unique identification of your records. The social security number will be
`used solely to ensure accurate entry of your performance rating into the automated record system.
`
`Appx3626
`
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`Case: 20-1399 Document: 78-2 Page: 13 Filed: 12/22/2020
`
`SECTION I-PERFORMANCE PLAN, PROGRESS REVIEW AND APPRAISAL RECORD
`
`Name
`
`Date
`
`I
`Item 1 . Performance Element and Objective (Identify as Critical or Non-critical, and if it is being tracked at the Depart-
`ment level.)
`
`Sheet
`I
`
`No.
`
`1
`
`of
`
`o Critical D Non-critical
`
`Element:
`
`Quality
`
`Objective: Ensuring quality decision-making by the Patent Trial and Appeal Board
`
`Weighting Factor (Weights reflect the amount of time devoted to accomplishing the element and/or its �
`
`importance. Weight for performance plans must total 100. Enter weight for this element in the adjacent
`block.)
`Item 2. Ma jor Activities (Identify activities or results that need to be accomplished in support of the performance element.)
`Text limit in field is approximately 1 1 00 characters. If more space is needed use continuation sheet.
`Decisions, orders, and other documents (collectively "decisions") in ex parte appeals of patent applications,
`reexamination proceeding appeals, post grant reviews, inter partes reviews, covered business method patent
`proceedings, derivation proceedings, interference proceedings, and other Board proceedings or matters are
`authored or drafted.
`
`Written decisions demonstrate clear understanding of the facts of each case, the applicable technology at issue, as
`well as applicable law including legal statutes, regulations, and case law. Decisions are consistent with binding legal
`authority and written guidance applicable to PTAB proceedings issued by the Director or the Director's delegate.
`Written decisions are logically presented, soundly reasoned, have accurate analysis, and are concise. Proper
`judicial tone is maintained throughout written decisions.
`
`Panel discussions are attended as an active participant. The Judge promptly provides sound and helpful input to
`improve decisions where appropriate and bring the deliberations and proceedings forward efficiently.
`
`(CONTINUED)
`
`Item 3. Criteria for Evaluation (Use the generic performance standards printed in Appendix A. Supplemental performance
`standards may also be specified below.)
`Text limit in field is approximately 950 characters. If more space is needed use continuation sheet.
`Generic Performance Standards for the General Workforce will apply.
`
`FORM CD-516A (REV. 1 ·94) LF DAO 202-430
`
`Optional Initial
`Employee
`
`Block
`Dale
`
`Supervisor
`
`Dale
`
`Appx3627
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`

`Case: 20-1399 Document: 78-2 Page: 14 Filed: 12/22/2020
`
`••
`Performance Management Record
`"
`•
`Continuation Page - Element I
`
`Page I of_
`
`Employee Name:
`Performance Element: Quality
`•
`Please identify item(s) continued:
`(i.e, Item 2. Major Activities, Item 3. Criteria for Evaluation Item, 4. Progress Reviews,
`Item 5. Element Rating & Justification)
`
`•
`
`•
`Item 2. Major Activities (Continued)
`
`••
`Oral arguments are attended and conducted skillfully with proper judicial tone toward all participants.
`
`-·
`
`•
`Surveys, if assigned, are completed. Feedback, including assigned surveys, is provided to the lead judge assessing the work of
`•
`other Judges or staff, addressing the preparation of opinions, the conduct of oral hearings, judicial demeanor, and other qualities
`•
`and functions set forth in the elements of the judge performance plan.
`Decisions authored by other judges are reviewed and comments are promptly provided as appropriate, offering frank, accurate,
`•
`•
`•
`•
`and timely feedback on the quality of the decisions. Quality is ensured by avoiding undue delay when performing reviews and
`•
`•
`•
`providing comments. Decisions in circulation are handled in a prompt and timely manner, and an undue delay in processing
`may be identified as a failure to provide the required feedback.
`
`•
`
`..
`
`•
`Senior management is promptly alerted to substantive, process-related, and professional issues of concern.
`
`Appx3628
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`

`

`Name
`
`Case: 20-1399 Document: 78-2 Page: 15 Filed: 12/22/2020
`Element
`Sheet
`N
`o.
`Q
`1"1
`ua I Y
`
`f
`0
`
`Item 4. Progress Reviews (Indicate progress toward accomplishing this element, the need for any adjustments to the
`plan, or areas where performance needs to be improved.)
`Text field is limited. If more space is needed use continuation sheet.
`
`Employee's Date
`Initials
`
`Supervisor's Date
`Initials
`
`Employee's Date
`Initials
`Supervisor's Date
`Initials
`Item 5. Element Rating & Justification (Suppor rating in space below.)
`5-0utstanding 4-Commendable 3-Fully
`2-Marginall
`Successful
`Minimally
`Satisfactory (SES)
`
`1-Unacceptable/ Enter Rating
`Unsatisfactory
`1-5 in
`adjacent block
`(SES)
`
`D
`
`Text field is limited. If more space is needed use continuation sheet.
`
`Item 5.a. Approving Official/Appointing Authority Comments and Signature (Required only if approving official/appointing
`authority changes rating official's element rating in Item 5.)
`
`Text field is limited. If more space is needed use continuation sheet.
`
`Approving Official/Appointing Authority Signature
`
`Date
`
`FORM CD•S16A (REV. 1-94) LF DAO 202-430
`
`Appx3629
`
`Page 8 of 24
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`Case: 20-1399 Document: 78-2 Page: 16 Filed: 12/22/2020
`
`SECTION I-PERFORMANCE PLAN, PROGRESS REVIEW AND APPRAISAL RECORD
`
`Name
`
`Date
`
`Sheet
`No.
`of
`I
`Item 1. Performance Element and Objective (Identify as Critical or Non-critical, and if it is being tracked at the Depart-
`ment level.)
`o Critical D Non-critical
`Element: Production
`Objective: Effective and efficient Decision-Making by the Patent Trial and Appeal Board
`
`I
`
`1
`
`Weighting Factor (Weights reflect the amount of time devoted to accomplishing the element and/or its 0
`
`importance. Weight for performance plans must total 100. Enter weight for this element in the adjacent
`block.)
`Item 2. Major Activities (Identify activities or results that need to be accomplished in support of the performance element.)
`Text field is limited. If more space is needed use continuation sheet.
`
`Decisions, orders, and other documents in ex parte appeals, reexamination proceeding appeals, post grant reviews,
`inter partes reviews, covered business method patent proceedings, derivation proceedings, interference
`proceedings, and other Board proceedings are authored and mailed.
`
`Item 3. Criteria for Evaluation (Use the generic performance standards printed in Appendix A. Supplemental performance
`
`standards may also be specified below.)
`Text field is limited. If more space is needed use continuation sheet.
`
`In addition to the Generic Performance Standards for the General Workforce, the following Supplemental Standards
`apply:
`
`Outstanding performance in this element is demonstrated by the Judge making significant efforts toward production
`needs of the Board. Production will be of an exceptionally high volume, deciding cases in an amount far above the
`Board's overall rate of production. Exceptionally high volume corresponds to earning no fewer than 100 decisional
`units annually.
`
`Commendable performance in this element is demonstrated by the Judge making considerable efforts toward
`production needs of the Board. Production will be of a very high volume, while producing well above the Board's
`overall rate of production. Very high volume corresponds to earning no fewer than 92 decisional units annually.
`
`(CONTINUED)
`
`FORM CD-516A (REV. 1 ·94) LF DAO 202-430
`
`Optional Initial
`Employee
`
`Block
`Dale
`
`Supervisor
`
`Date
`
`Appx3630
`
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`Case: 20-1399 Document: 78-2 Page: 17 Filed: 12/22/2020
`
`••
`Performance Management Record
`•
`Continuation Page - Element 2
`
`Page I of_
`
`Employee Name:
`Performance Element: Production
`•
`•
`Please identify item(s) continued:
`(i.e, Item 2. Major Activities, Item 3. Criteria for Evaluation Item, 4. Progress Reviews,
`Item 5. Element Rating & Justification)
`•
`•
`•
`Item 3. Criteria for Evaluation (Continued)
`
`•
`
`•
`•
`The Fully Successful Judge will earn no fewer than 84 decisional units annually. Reasonable efforts are made to manage the
`Board's production needs.
`
`The Marginal Judge will earn at least 75 decisional units annually (but fewer than 84). Efforts to manage the Board's production
`needs are minimally acceptable.
`
`•
`•
`'
`The Unacceptable Judge will earn fewer than 75 decisional units annually. Efforts to manage the Board's production needs are
`well below what is expected.
`
`NOTES:
`
`••
`•
`•
`•
`• •
`•
`One mailed decision in an ex parte appeal of a patent application is generally worth 1 decisional unit. One mailed ex parte
`•
`•
`reexamination proceeding appeal decision is generally worth 2.5 decisional units. One mailed inter partes reexamination
`•
`proceeding appeal decision is generally worth 4 decisional units.
`
`•
`Decisions and orders in AlA trial proceedings, and decisions and orders in interference proceedings, will be assessed on a
`'
`•
`case-by-case basis, based on the complexity of the proceeding. Determinations will be made by the Deputy Chief Judge and/or
`'
`a designee of the Deputy Chief Judge. Please see the PAP Support Document for additional information on AlA Trial crediting.
`•
`Decisions prepared with the assistance of Patent Attorneys on behalf of the Judge are generally worth 0.5 decisional units to the
`Judge.
`
`•
`
`•
`
`-
`
`•
`•
`- •...
`Judges may request, from their supervisor (Lead Judge), additional decisional units to be awarded for extraordinarily complex
`•
`decisions in an ex parte appeal of a patent application or an ex parte reexamination appeal. Judges may request, from the
`Deputy Chief Judge or a designee of the Deputy Chief Judge, additional decisional units for extraordinarily complex decisions in
`AlA proceedings. appeals of inter partes reexamination applications. and interference proceedings.
`
`The above productivity standards do not apply to new judges who are in their first year of the probationary period. In the first
`•
`•
`year of the probationary period, new judges must demonstrate increased productivity during their first year at the Board in a
`•
`manner that clearly indicates that they have the potential to achieve the productivity standards.
`
`•
`Judges who are working a part time schedule will have a production goal that is prorated to correspond to the amount of hours
`worked relative to that of a judge who is working a full time schedule.
`
`(CONTINUED)
`
`-
`
`Appx3631
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`Case: 20-1399 Document: 78-2 Page: 18 Filed: 12/22/2020
`
`••
`Performance Management Record
`•
`Continuation Page - Element 2
`
`Page 2 of
`
`..
`
`Employee Name:
`Performance Element: Production
`•
`Please identify item(s) continued:
`(i.e, Item 2. Major Activities, Item 3. Criteria for Evaluation Item, 4. Progress Reviews,
`Item 5. Element Rating & Justification)
`
`Item 3. Criteria for Evaluation (Continued)
`
`..
`
`• •
`.. •
`
`•
`•
`•
`Production goal adjustments may be made for atypical situations, such as extended medical leave (sick teave used in excess of
`the total amount of sick leave that can be earned in a fiscal year) or FMLA approved leave (whether annual andlor sick leave is
`, .
`substituted for leave without pay or not). These adjustments will be made on an hour for hour basis based upon the amount of
`•
`•
`time expected for each decisional unit as APJ1. All calculations will be rounded up or down to the nearest whole number.
`•
`•
`Other production goal adjustments may be made in appropriate circumstances, such as significant additional responsibilities,
`••
`•
`•
`•
`including, but not limited to, assisting the Board with special projects. Special projects that exceed 40 hours may result in a
`I
`production goal adjustment. Judges must consult with their Lead Judge in advance of the event for which an adjustment is
`proposed, and in the event of an emergency situation, as soon as practicable.
`
`,
`
`•
`Production goals may be measured at any time during the appraisal year, at which point the APJ will be expected to have
`earned that portion of their expected annual decisional units at least equal to the percentage of the rating period that has been
`•
`completed. Production goals will be established in accordance with any adjustments made as outlined in the preceding
`,
`paragraphs of this section. Any time a Judge believes that approved leave or other appropriate circumstances will adversely
`•
`affect the Judge's earning of a specific portion of the annual production goal, the Judge should contact the Lead Judge to
`,A
`request a deferment of the production goal.
`
`--
`
`For example, if the annual decisional unit requirement to earn a Fully Successful rating is 84 decisional units, and the APJ is
`•
`•
`•
`•
`being assessed after the first quarter of production, the APJ would be expected to have earned at least 21 decisional units to be
`•
`assessed as Fully Successful ([84 decisional units required] I [12 months per year]) x [3 months in production] = 21 decisional
`units required.
`
`•
`If a judge has questions or concerns, the judge should contact their Lead Judge, Vice Chief Judge, or the Deputy Chief Judge or
`•
`Chief Judge as appropriate.
`
`Appx3632
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`

`Name
`
`Case: 20-1399 Document: 78-2 Page: 19 Filed: 12/22/2020
`Element
`Sheet
`N
`o.
`P d r
`ro uc Ion
`
`1
`
`f
`0
`
`Item 4. Progress Reviews (Indicate progress toward accomplishing this element, the need for any adjustments to the
`plan, or areas where performance needs to be improved.)
`Text field is limited. If more space is needed use continuation sheet.
`
`Employee's Date
`Initials
`
`Supervisor's Date
`Initials
`
`Employee's Date
`Initials
`Supervisor's Date
`Initials
`Item 5. Element Rating & Justification (Suppor rating in space below.)
`5-0utstanding 4-Commendable 3-Fully
`2-Marginall
`Successful
`Minimally
`Satisfactory (SES)
`
`1-Unacceptablel Enter Rating
`Unsatisfactory
`1-5 in
`adjacent block
`(SES)
`
`D
`
`Text field is limited. If more space is needed use continuation sheet.
`
`Item 5.a. Approving Official/Appointing Authority Comments and Signature (Required only if approving official/appointing
`authority changes rating official's element rating in Item 5.)
`
`Text field is limited. If more space is needed use continuation sheet.
`
`Approving Official/Appointing Authority Signature
`
`Date
`
`FORM CD•S16A (REV. 1-94) LF DAO 202-430
`
`Appx3633
`
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`Case: 20-1399 Document: 78-2 Page: 20 Filed: 12/22/2020
`
`SECTION I-PERFORMANCE PLAN, PROGRESS REVIEW AND APPRAISAL RECORD
`
`Name
`
`Date
`
`Sheet
`I
`
`1
`
`No.
`of
`I
`Item 1 . Performance Element and Objective (Identify as Critical or Non-critical, and if it is being tracked at the Depart-
`ment level.)
`
`o Critical D Non-critical
`Element: Supporting the Mission of the Board I Leadership
`Objective: Assisting in the effective operation of the U.S. Patent and Trademark Office (USPTO) and the Patent Trial and
`Appeal Board (PTAS) by providing leadership for supporting the missions of the USPTO and PTAB.
`
`Weighting Factor (Weights reflect the amount of time devoted to accomplishing the element and/or its G
`
`importance. Weight for performance plans must total 100. Enter weight for this element in the adjacent
`block.)
`Item 2. Major Activities (Identify activities or results that need to be accomplished in support of the performance element.)
`Text field is limited. If more space is needed use continuation sheet.
`
`Sets a professional example for others to emulate. Inspires and empowers other internal stakeholders by example
`and by encouragement to think positively about work related challenges and seek constructive solutions to achieve
`organizational goals and objectives, and to achieve higher levels of performance. Puts organizational objectives
`ahead of personal interests.
`
`Calm, dignified, judicial demeanor is demonstrated at all times in all professional settings. Respect and courtesy is
`shown to everyone, including all participants in any Board proceeding and to all Board personnel.
`
`Accurate and thorough understanding of applicable laws and regulations, including binding legal authority and
`written guidance applicable to PTAB proceedings issued by the Director or the Director's delegate, is demonstrated
`at all times, in all settings.
`
`(CONTINUED)
`
`Item 3. Criteria for Evaluation (Use the generic performance standards printed in Appendix A. Supplemental performance
`
`standards may also be specified below.)
`Text field is limited. If more space is needed use continuation sheet.
`
`In addition to the Generic Performance Standards for the General Workforce, the following Supplemental Standards
`apply:
`
`OUTSTANDING
`
`This is a level of significant, high quality performance in this element. The impact of the judge's leadership/support of
`the mission of the USPTO and the Board is significant. The judge significantly improves the work processes for
`which he or she is responsible and/or for the entire Board. Thoughtful adherence to procedures, as well as
`suggestions for improvement in these areas, increase the judge's usefulness to the objectives of the Board as a
`whole.
`
`(CONTINUED)
`
`FORM CD-516A (REV. 1 ·94) LF DAO 202-430
`
`Optional Initial
`Employee
`
`Block
`Dale
`
`Supervisor
`
`Dale
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`Appx3634
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`Page 13 of 24
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`Case: 20-1399 Document: 78-2 Page: 21 Filed: 12/22/2020
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`••
`Performance Management Record
`•
`Continuation Page - Element 3
`
`Page I of_
`
`Employee Name:
`Performance Element: Supporting the Mission of the Board / Leadership
`Please identify item(s) continued:
`•
`(i.e, Item 2. Major Activities, Item 3. Criteria for Evaluation Item, 4. Progress Reviews,
`Item 5. Element Rating & Justification)
`
`Item 2. Major Activities (Continued)
`
`Assistance is provided to the USPTO and the Board in various aspects other than producing decisions. This assistance may also
`•
`•
`include participating in and helping the USPTO and the Board to meet goals set throughout the year and address challenges
`arising during the year.
`
`• •
`
`•
`Additional attributes that contribute to Leadership include whether the Judge:
`•
`• Shares efficient processes and methods with other internal stakeholders.
`•
`• Considers organizational objectives before personal interests.
`• Inspires and empowers other internal stakeholders by example and by encouragement to think positively about work related
`•
`challenges and to seek constructive solutions, to achieve organizational goals and objectives, and to achieve higher levels of
`performance.
`•
`• Contributes significantly to the design and implementation of organizational methods and strategies that maximize internal
`stakeholder potential and contribute to organizational objectives.
`•
`•
`• Where change is required to better meet organizational objectives, adapts well to change (role model) and helps other internal
`•
`stakeholders adapt and professionally thrive in a new and changing organizational environment.
`
`..
`
`See PAP support document for examples of activities that contribute to this element.
`
`Item 3. Criteria for Evaluation (Continued)
`
`OUTSTANDING (Continued)
`
`In meeting element objectives, the judge handles interpersonal relationships with exceptional skill, anticipating and avoiding
`•
`•
`•
`potential causes of conflict and actively promoting cooperation with internal and external stakeholders.
`•
`•
`The judge seeks additional work or special assignments related to this element or provides assistance to other stakeholders.
`The quality of such leadership work is high and is done on time without disrupting regular work or unduly burdening others.
`Appropriate problems are brought to management's attention; most problems are dealt with routinely and with exceptional skill.
`•
`
`..
`
`The judge's oral and written expression related to this element are exceptionally clear and effective. They improve cooperation
`•
`among participants in the work and prevent misunderstandings. Complicated or controversial subjects are presented or
`explained effectively to a variety of audiences so that desired outcomes are achieved.
`
`...
`'
`
`(CONTINUED)
`
`-
`
`Appx3635
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`Page 14 of 24
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`Apple v. GUI Global Products
`IPR2021-00471 GUI Ex. 2020
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`Case: 20-1399 Document: 78-2 Page: 22 Filed: 12/22/2020
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`••
`Performance Management Record
`•
`Continuation Page - Element 3
`
`Page I of_
`
`Employee Name:
`Performance Element: Supporting the Mission of the Board / Leadership
`Please identify item(s) continued:
`•
`(i.e, Item 2. Major Activities, Item 3. Criteria for Evaluation Item, 4. Progress Reviews,
`Item 5. Element Rating & Justification)
`•
`~ ·,
`•
`Item 3. Criteria for Evaluation (Continued)
`•
`•
`COMMENDABLE
`•
`This is a level of unusually good performance in this element. The quantity and quality of the judge's leadership/support of the
`•
`•
`mission of the USPTO and the Board under this element are consistently above average. The knowledge and skill the judge
`•
`•
`•
`applies to this element are clearly above average, demonstrating problem-solving skill and insight into work methods and
`techniques. The judge follows required procedures and supervisory guidance so as to take full advantage of existing systems for
`accomplishing the organization's objectives.
`
`•
`•
`The judge works effectively on this element when working with all internal and external stakeholders, creating a highly successful
`•
`cooperative effort. He or she seeks out additional work or special leadership assignments that enhance accomplishment of this
`•
`element and pursues them to successful conclusion without disrupting regular work or unduly burdening others. Appropriate
`r
`•
`•
`problems are brought to management's attention; most problems are dealt with routinely and with above average skill.
`
`'
`
`..
`
`The oral and written expression applied to this element are noteworthy for their clarity and effectiveness, leading to improved
`understanding of the work by other internal stakeholders of the organization.
`
`FULLY SUCCESSFUL
`
`•
`
`•
`This is the level of good, sound performance in this element. The quality and quantity of the judge's leadership/ support of the
`mission of the USPTO and the Board under this element are those of a fully competent employee. Leadership performance
`•
`represents a level of accomplishment expected of the great majority of judges. Leadership tasks are completed in an accurate,
`thorough, and timely way. The judge's technical skills and knowledge are applied effectively to specific job tasks. In completing
`•
`leadership assignments, he or she adheres to procedures and format requirements and follows necessary instructions from
`supervisors.
`
`-
`
`The judge's work planning is realistic and results in completion of work by established deadlines without unduly burdening
`others. Priorities are duly considered in planning and performing assigned responsibilities.
`•
`In accomplishing leadership objectives, the judge's interpersonal behavior toward all internal and external shareholders
`promotes attainment of work objectives and poses no significant problems.
`
`•
`
`The judge completes special assignments such that their form and content are acceptable and regular duties are not disrupted.
`•
`The judge performs additional work as his/her workload permits. Routine problems associated with completing assignments are
`resolved with a minimum of supervision.
`
`(CONTINUED)
`
`Appx3636
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`Page 15 of 24
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`Case: 20-1399 Document: 78-2 Page: 23 Filed: 12/22/2020
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`••
`Performance Management Record
`•
`Continuation Page - Element 3
`
`Page I of_
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`Empl