report of six sigma projects in ip law firms · has specific value targets, for example: reduce...

FÉDÉRATION INTERNATIONALE DES CONSEILSEN PROPRIÉTÉ INTELLECTUELLE

INTERNATIONAL FEDERATION OFINTELLECTUAL PROPERTY ATTORNEYS

INTERNATIONALE FÖDERATIONVON PATENTANWÄLTEN

www.ficpi.org

Report of Six Sigma Projects in IP Law Firms

FICPI is a global community, built on trusted relationships, that strengthens the practice of the independent IP attorney.

http://www.ficpi.org

2

FICPI

1 Project background 1.1 Brief Introduction......................................................................................................................... 1.2 Team Charter................................................................................................................................

2 Stage 1: Define the system 2.1 Introduction.................................................................................................................................. 2.2 Macroflow.....................................................................................................................................

3 Stage 2: Measure key aspects of the current process and collect relevant data 3.1 Introduction.................................................................................................................................. 3.2 Measuring Outlines.................................................................................................................... 3.2.1 Target of Measuring................................................................................................. 3.2.2 Plan of Data Measurement.................................................................................... 3.2.3 Evaluation of Measuring System.......................................................................... 3.2.4 Analyzing of Status Process Capability.............................................................

4 Stages 3 & 4: Improve or optimize the current process based upon data analysis 4.1 Introduction.................................................................................................................................. 4.2 Staff............................................................................................................................................... 4.3 Tools/Templates......................................................................................................................... 4.4 Customer Files............................................................................................................................ 4.4.1 Formal Examination................................................................................................. 4.4.2 Substantive Examination....................................................................................... 4.5 Operating Manual...................................................................................................................... 4.6 Verification/OIA.........................................................................................................................

5 Stage 5: Control the future state process 5.1 Introduction.................................................................................................................................. 5.2 Finalizing the Implementation................................................................................................ 5.2.1 Standardization of Processes................................................................................ 5.2.2 Roles and Responsibilities..................................................................................... 5.2.3 Risk Analysis............................................................................................................. 5.3 Controlling the Process............................................................................................................ 5.3.1 Statistical Process Control..................................................................................... 5.3.2 Determining the Ability of the Process.............................................................. 5.3.3 Visual Management................................................................................................. 5.4 Short Report............................................................................................................................... 5.4.1 Project Report........................................................................................................... 5.4.2 Project Summary..................................................................................................... 5.5 Finishing the Project.................................................................................................................. 5.5.1 “Lessons learned”/Final Protocol.........................................................................

3 4 5 6 10 10 10 15 17 17 19 19 20 20 20 20 20 21 22 22 22 23 24 24 24 25 25 26 26 26 26 26

Table of Contents

3


1.1 Brief Introduction Six Sigma (6σ) is a set of techniques and tools for process improvement. It seeks to improve the quality of the output of a process by identifying and removing the causes of defects and minimizing variability in manufacturing and business processes. It uses a set of quality management methods, mainly empirical, statistical methods, and creates a special infrastructure of people within the organization who are experts in these methods. Each Six Sigma project carried out within an organization follows a defined sequence of steps and has specific value targets, for example: reduce process cycle time, reduce pollution, reduce costs, increase customer satisfaction, and increase profits. 1

Six Sigma projects follow two project methodologies, composed of five phases each, and bear the acronyms DMAIC and DMADV. The DMAIC is the main methodology 2 and the subject of this report. The DMAIC project methodology has five phases:

• Define the system, the voice of the customer and their requirements, and the project goals, specifically.

• Measure key aspects of the current process and collect relevant data; Calculate the ‘as-is’ Process Capability.

• Analyze the data to investigate and verify cause-and-effect relationships. Determine what the relationships are, and attempt to ensure that all factors have been considered. Seek out root cause of the defect under investigation.

• Improve or optimize the current process based upon data analysis using techniques such as design of experiments, mistake proofing, and standard work to create a new, future state process. Set up pilot runs to establish process capability.

• Control the future state process to ensure that any deviations from the target are corrected before they result in defects. Implement control systems such as statistical process control, production boards, visual workplaces, and continuously monitor the process. This process is repeated until the desired quality level is obtained.

Six Sigma applications in IP firms is an interesting topic; though many people know preventing mistakes is more important than correcting them, how often do we really closely review our existing operation procedure, especially those detailed steps, to see if there is any potential risk of causing mistakes? How do we make sure there is no unauthorized change of procedure or steps, especially when there is change of personnel or when workload increases?

This is why this project is so important. This report will reveal the answers to the above questions and more using the handling and filing of a patent application as a practical example.

1. Wikipedia

2. De Feo, Joseph A.; Barnard, William (2005). JURAN Institute’s Six Sigma Breakthrough and Beyond – Quality Performance Breakthrough Methods. Tata McGraw-Hill Publishing Company Limited. ISBN 0-07-059881-9.

Project background1

4

FICPI

1.2 Team Charter 3

Stage Title Name Company Country

1 Define the system Ivan AhlertDannemann

SiemsenBrazil

2Measure key aspects of the current process and collect relevant data

Gloria WuKangxin Partners

China

3Analyze the data to investigate and verify cause-and-effect relationships

Vikrant Rana

S.S.RANA & Co. India

4Improve or optimize the current process based upon data analysis using various of techniques

5

Control the future state process to ensure that any deviations from the target are corrected before they result in defects

André Werner

Troesch Sheidegger Werner AG

Switzerland

3. With the kind support and assistance of Antonio Manuel Oliveira Pata (Dannemann Siemsen)

5


As explained in Lean Six Sigma for Law Firms by Catherine Alman Macdonagh 4, among the five steps of DMAIC, the first is DEFINE.

2.1 Introduction

This first step implies defining the problem to be solved. In our example, the problem is handling a new order for filing a patent application and filing the application in an efficient and effectual manner, with minimal risk of missing a deadline, while avoiding unnecessary work or rework. Each step of the process should have significance and add value.

In this step, a project chart can be created, going through each element or step. The process should be documented using an input-process-output (IPO) diagram. In our example, we mapped the handle order/filing procedure with a flowchart, and created an attachment with more detailed definitions and explanations about each step of the process.

Also according to Macdonagh, we should first and foremost decide that the issue at stake is indeed a serious business issue, which is worthy of applying personal and financial resources. In order to increase the chances of a successful conclusion of the project, there should be strong sponsorship and ownership within the firm, and the problem should have measurable and quantifiable elements.

Principle 1 of Lean Six Sigma, “specify value in the eyes of the client,” should be taken into account from the very beginning. This means that the most complete outcome will be one in which the internal operation is improved, but also the client will benefit and be able to recognize at least partially an improvement on his/her side.

In our particular case, by automatizing the initial treatment of a new order and capturing essential data of PCT applications directly from the WIPO database, we succeeded in expediting our confirmation of receipt already replicating the main data of that application and the respective time limit for entry, in order to allow a double check on the side of the client about the correctness of such data. We also achieved a more efficient handling of more urgent orders, as the initial automatic steps prioritize such orders in the subsequent workflow.

We take the Stage 1 General Macroflow on following page as an example.

4. Ark Group Inc (2014), ISBN-10: 1783581115

Stage 1 Define the system

2

6

FICPI

Tab 1: Stage 1 Macroflow

PATENT FILING

START

SELECTSTRANSLATOR

RECEIVES TRANSLATED

FILESPREPARE

DRAWINGS

YES

NOYES

NOYES

NO

YES

NO

NO

YES

NO

SORT FILESCLASSIFY FILES

FILLS DATA

CREATE INTERNAL REFERENCE

CONFIRM RECEIPT,

SEND REF. TO CLIENT AND

REQUEST

RECEIVE DOC/INFO

CONFIRM RECEIPT

AND SEND REFERENCE TO

CLIENT

PREPARE FILING

PREPARE AND M

AKE FILES AVAILABLE

SENDS FILES TO TRANSLATOR

RECEIVES TRANSLATION

REVISION OF TRANSLATION

SELECT FILE TO PREPARE

MAKE DRAW

INGS AVAILABLE

RECORD FILING INSYSTEM

E-MAIL RECEIVED IN SERVER

MESSAGE ISREAD

SEARCHREFERENCE

CLASSIFY MESSAGE

MAKES AVAILABLE IN W

ORKFLOW

OPENM

ESSAGESEARCH

REFERENCENO

GENERATE AND PAY OFFICIALFEE

FORM

YES

YES

RECORDPAYM

ENT OF FEE FORM

...

ENTERINGCASE IN

ELECTRONIC FILING SYSTEM

ELECTRONIC FILING

FILING

DRAWINGS

TRANSLATION

ANALYSIS

AUTOMATIC

NEW

ORDER?

+DOCUMENTS

OR INFOREQUIRED?

DOC/INFOCOM

PLETE?

TRANSLATION REQUIRED?

PREPARE DRAW

INGS?

REVISE BEFORE FILING?

ELECTRONICFILING?

...

...

7


TASK INPUT OUTPUT

E-MAIL RECEIVED IN SERVER

E-mail is received in the office’s server Message in

Outlook

WF2.0 message

MESSAGE IS READ

System scans (reads) the message

and, if applicable, identifies references.

E.g.,: PCT number, dates etc.

WF2.0 message Message

references

SEARCH REFERENCE

Based on reference(s) obtained

from reading the message, the

system performs a search in the

office’s database

Message

references

Cases in the

database with

similar reference

CLASSIFY MESSAGE

The message is classified and

prioritized in the treatment queue

based on some criteria. For example:

(a) a time-limit analysis of a PCT

national phase entry is made based

on the date of priority. This time limit

is used for urgency classification. (b)

in messages informing the time limit

explicitly in the subject field or body

of the message, which was identified

in the scan and which time limit is

shorter than five days from the date

of receipt.

Message

references

Classification

of the order

of reading of

messages

MAKES AVAILABLE IN WORKFLOW

The message is made available in

WorkFlow2.0 (WF2.0) according

to the classification identified by

the system. For example, urgent

messages are directed to the

beginning of the queue.

Message in

Outlook

List of messages

for reading

OPEN MESSAGE

Employee opens and reads

the message in WF2.0

Message Treated message

SEARCH REFERENCE

Employee identifies a reference

(e.g. PCT number) and performs search

through specific field of WF2.0 in order

to check if the case already exists in

office’s database. Note: for PCT cases,

data and documents available in WIPO

are automatically captured through

specific link available in WF2.0 screen

Reference for search Search result (e.g.,

whether or not case

already exists in

office’s database;

automatic retrieval

of PCT data)

Tab 2: Macroflow Description

8

FICPI

FILL DATA For a message identified as a new

order, employee fills the fields related

to the type of case (normal, PCT, design

etc.), Identifies necessary and missing

data and/or document

Message related

to new order

Fields related to the

case and necessary

to filing duly filled

CLASSIFY FILES Employee classifies all the files

contained in the message and

identifies missing documents

or information

Files contained in

the message

Classified files

SORT FILES If the message contains one file

with more than one document

(e.g., zip), the attachment can

be flagged for later breakdown

into individual documents

Single file with

several documents

One file for each

document

CREATE INTERNAL REFERENCE (IRN)

Employee creates the case in

office’s database through existing

specific button on WF2.0

Case-related fields

and necessary for

filing duly filled and

files duly classified

Internal control

reference (IRN)

created. Case-related

WorkSpace (WS)

created [electronic

folder]. Indexing files

in the WS

SEND IRN AND REQUEST MISSING DOCS/INFO TO CLIENT

Employee sends default message

created by WF2.0 informing IRN

(internal reference number) and

requests possible missing

documents/information

E-mail with case-

related data inserted

in database, e.g. dates

(deadlines, date of

receipt of order, client

information, case

information etc.)

E-mail detailing

information inserted

in system. Sending

standard message

to client, which was

made available inside

the WF2.0 in the task

“Outbox”

PREPARE FILING

Employee checks all documents

and information required for initial

filing. Regarding any missing

documents, employee must decide

whether the initial filing will be

made without the document. In the

affirmative, the case will proceed

to flow of “late submissions”

Documents/info

related to initial filing

Documents

and info related

to initial filing duly

processed and

available for

initial filing

SELECT TRANSLATOR

Selection of the translator should

observe: language, field of technology,

text size and case filing date

List of translators

with language and

field of technology.

Characteristics of

the case: language,

field of technology,

size (in pages) and

time limit for filing

Selected translator.

Updating task “Send

to translation”

9


SEND FILES TO TRANSLATOR

Sending files (specification and

documents) for translation. [Note:

specification and documents may

be sent to different translators]

Files for

translation

Sending the material

with a deadline for

return. Completion

of task “Send to

translation” Creation

of the task “Receiving

translation”

RECEIVE TRANSLATED DOCUMENTS

Receiving translated documents and

completion of follow-up tasks

Translated

documents

Classification

of received files.

Completion of task

“receiving translated

documents”

RECEIVE TRANSLATED SPECIFICATION

Receiving translated specification

and completion of follow-up tasks

Translated

specification

Classification

of received files.

Completion of task

“receiving translated

specification”

REVISION OF TRANSLATION

Revise translation of specification

Note: This is made regardless of

whether the translation has been

made internally or by the client

Translated

specification

Revised translation.

Completion of task

“Revise translation”

SELECT FILE TO PREPARE DRAWINGS

Initiates task “prepare drawings”.

Informs deadline for return and

completes task

Task “prepare

drawings.”

Updates task

“prepare drawings”

PREPAREDRAWINGS

Prepare drawings file Drawings file Drawings file

prepared

MAKE DRAWINGS AVAILABLE

In task “make drawings available”,

insert drawings file, classify and

complete task

Drawings file

prepared

Drawings file

prepared and

available for use

PREPARE AND MAKE AVAILABLE FILES

Staff locates files related to the case.

Prepare in required format.

Task “Make files

available”

Prepare filing

10

FICPI

Once we have outlined our current process, and represented and described it step-by-step, we proceed to the next step of measuring its key aspects, in order to determine opportunities for further improvement. Among the five steps of DMAIC, the second is MEASURE.

3.1 Introduction

The measure phase starts with the analysis of the process mapped previously to solve the problem identified as an improvement opportunity. Mapping the process can be done through a variety of process map types which, when combined with data gathering, will determine the factors that affect the CTQ function. CTQs are variables that are Critical To the Quality of the process and to ensure the CTCs, things that are Critical To the Clients.

Based on this, Stage 2 of Lean Six Sigma is “Identify waste and variation by mapping and measuring the process” and, according to Macdonagh, in this phase “the team also establish a baseline of performance against which to measure many things in and about the process to identify waste and variation, defects and causes of defects.”

3.2 Measuring Outlines

3.2.1 Target of Measuring

To select high-impact factors/waste in the flow we use the following:

(1) Fishbone diagram, tree diagram, flow-process diagram or other effective methods

(2) CE Matrix selecting factors – KPIV / KPOV or waste

Stage 2 Measure key aspects of the current process and collect relevant data

3

11

Report of Six Sigma Projects in IP Law FirmsFig 1 Fishbone Diagram

12

FICPI

Tab 3 Flow Factors Prioritized (1)

Scores: 0 = no effect, 1 = weak, 3 = moderate, 9 = strong

Classification Factors Process / Import Effectivesness

STAFF

Quality

Education background 3

Sense of identity 9

Social experience 3

EQ 3

Attitude

Carefulness degree 9

Environmental impact 3

Work pressure 3

Seat location 1

Skill

Poor learning ability 9

Lack of work experience 9

Inadequate training 9

Efficiency

Staff/Work management (two staff VS three work)

9

Allocation of work (repeat processes) 3

Time management 9

Too much physical space move 1

Incorrect work program/method 3

Coordination (arrange temporary work)

3

Poor communication 9

13


Tab 4 Flow Factors Prioritized (2) Scores: 0 = no effect, 1 = weak, 3 = moderate, 9 =strong

Classification Factors Process / Import Effectiveness

TOOLS/ TEMPLATES

Output Devices

Too much moving in physical space(Printer/copier position)

3

Printer/copier inadequate, always queue 3

Printer/copier jams 9

Equipment maintenance is not timely; problem not solved completely after repair

9

Card printing system not working 3

Card printing system loses or misses documents 3

The printer of the extranet is unstable, not working, or jammed, or spits more than one piece a time

3

Software Systems

Professional/billing system is always slow 3

There is no public account of the billing system 3

The interface of trademark application is dysfunctional

9

Multiple systems cannot share information 9

GuoFang updates timely, and unable to use after work 3

Slow Computers

Configuration low, small memory, small displays 3

Sometimes not possible to log in to website of Trademark Office

9

Operating system maintenance is not timely, lack of standardized configuration system

3

Lack of IT support; document filling issues 3

Templates Diversification

Client requirements are inconsistent 3

14

FICPI

Tab 5 Flow Factors Prioritized (3) Scores: 0 = no effect, 1 = weak, 3 = moderate, 9 = strong

Classification Factors Process / Import Effectivesness

CLIENT FILES

Formal examination

Providing of POA is not timely 9

Clients’ feedback confirmation is not timely 9

Missing or incorrect information in the files 9

Cases bulk centralized 3

Too many particular requirements 9

Substantive examination

Confirm the name and address of new applications 9

Confirm if there is priority or not 3

Confirm if the goods are standard or not 9

Confirm if there is any earlier application 9

OPERATING MANUAL

Intersectional cooperation

Auxiliary staff sends email with debit note error (occasionally)

9

Billing not timely 3

Auxiliary staff does not return files in timely manner 3

Operating irregularities

Not unified form and irregular operation of the Profession/ Billing System

9

Lifting time restrictions are not coordinated in time 3

Lack of Operating Manual

Lack of Reference standard documents 3

VERIFICATION/OIA

Files have to be verified

Worried about the ability of the staff 3

Reducing the rate of fault 3

Vague verification will lead to double verification work 9

Verification standards are not uniform

Coarse verification will cause verification twice 9

Different process time and style of every verification people makes Hysteresis

3

Verification is not timely

Affected by holding meetings 9

Affected by absent staff 3

Professional billing is not timely 3

Affected by other routine work 1

15


3.2.2 Plan of Data Measurement

• Measure high-impact factors X - Y

• Make a plan to select data and define the operation of measurements

Tab 6 Definition and Summary of Essential Measurement Operations (1)

Tab 7 Definition and Summary of Essential Measurement Operations (2)

X important measurement factors X general measurement factors

Number Output Indication Opetration Definition

Source of Y (CTQ/CTP)

Y1Filing cycle of new application

Form response instruction to lift time restrictions

Team character

Number Essential Factors (X)

Measurement Factors Definition of Essential Factors Source of X

X1 Priority or not X

When the entry clerk receives the client’s instructions, first determine if the application is based on priority or not. If it is, clerk should enter the priority information. Simultaneously, the attorney will ask client to provide priority documents before the submission of the application.

Input and prepare the file

X2Goods are standard or not X

Once the instructions are received, the attorney determines if the goods are standard or not, and then replies to the client.

Note of response instruction

X3

Waiting for the client’s confirmation or not

X

Once the instructions are received, the attorney checks if the documents and information are complete or not; if not, he should revert to the client and wait for the client’s confirmation (the name and address of the appli-cant, POA, etc.)

Note of response instruction

X4

Client Special Requirement or not

X

When assistant reports to the client, “Client Special Requirement” should be checked to confirm if there is any requirement about report or debit note.

Record of Client Special Requirement

X5Delay report/ debit note or not X

Submit the files, and attorney reports to the client

Report with debit note

16

FICPI

Tab 8 Plan of Data Collection (1)

Tab 9 Plan of Data Collection (2)

(Y) Per-formance Evaluation Project

Operation Definition

Data Source /Location

Number of Samples

Data Collector

Data collect time

Date Collect Method

Other Data should be collected at the same time

Cycle of Files Transfer

From receiving client’s instruc-tions to handle application, until archiving the file

Random 30Professional

System2013.3.1 – 2013.3.1

System Retrieval

RandomlyNull

Pro-cess/Input

Operation Definition

Source and Location of Data

Definition of Essential

Factors

Number of

Samples

Data Collector

Data Collection Time

Date Collect Method

Other Data should be collected at the same time

X1 Priority or not

From when the

process manager

assigns the task

to when the

attorney replies

the instruction

Attorney RandomSystem

Retrieval

2013.8.1~

2013.9.30

Random

Collection

from applica-

tions between

Aug and Sep

Reference

No.

Attorney

X2Goods are

standard or not

From when the

process manager

assigns the task

to when the

attorney replies

the instruction

Attorney Random LUDI2013.8.1~

2013.9.30

Random

Collection

from applica-

tions between

Aug and Sep

Reference

No.

Attorney

X3

Waiting for the

client’s confir-

mation or not

From when the

process manager

assigns the task

to when the

attorney replies

the instruction


2013.9.30

Random

Collection

from applica-

tions between

Aug and Sep

Reference

No.

Attorney

X4

Client

Special

Requirement

or not

From receiving the

client instructions

to handled the

application


2013.9.30

Random

Collection

from applica-

tions between

Aug and Sep

Reference

No.

Attorney

X5Delay report/

debit note or not

From submitting the

file to report with

debit note, until lift

time restriction

Attorney RandomProfession

System

2013.8.1~

2013.9.30

Random

Collection

from applica-

tions between

Aug and Sep

Reference

No.

Attorney

17


3.2.3 Evaluation of Measuring System

Evaluating reliability of the data sources

(1) MSA (Analyzing of the measuring system) Plan

Method:

• 10 products

• 3 inspectors

• Line the products up, mark 1, 2…. 10

• Every inspector measures thickness of the products 3 times

• Specification: LSL=2.3mm, USL=2.7mm

Precautions:

• Random testing

• “BLIND” measurement – inspectors cannot mark any of the products

• Sample extraction should represent mutation process

Avoid special factors interferences interfering in measurements

Attention: precision projection always relates to quality or time; this kind of projection frequently doesn’t involve analysis of the measurement system.

(2) MSA (Analyzing of the measuring system) Conclusion

3.2.4 Analyzing of Status Process Capability The previous steps of data collection and measurement could seem rather boring, repetitive and mechanical, but is in fact very crucial for building a solid basis for analyzing and creating solution of improvement.

Based on the data measurement results, we could then analyze the process in its various aspects, such as the following:

(1) degree of efficiency at every step, how many minutes or seconds on average for a certain step, any abnormal samples, and if yes what is the cause;

(2) degree of quality at every step, and quality should be defined with specific standards, any frequently occurring error, and if yes what is the cause;

(3) comparison between different staffs doing the same job, and possible reasons of causing the difference in performance;

18

FICPI

(4) any waste, such as unnecessary waiting time, repetitive or overlapping steps;

(5) sequence of steps, such as changing two steps one after another into parallel steps which could proceed simultaneously;

(6) any steps could and should be digitalized and automatic or at least semi-automatic;

(7) any risk of error or delay in data maintenance and update.

It is very important to not only look at the data, but also personally talk with the people doing the job, asking for their detailed experience and if there is anything they feel is not convenient or is wasting their time. It is better to prepare a questionnaire before such discussion, including questions such as: What happened for the case ref. XXX, when it took you twice the time than would be usual for running a conflict check? How did you manage to have zero defect in the past three months? Is there any new method of working you recently adopted?

Then, based on analysis of results from the above, the project team leader could organize a brainstorming meeting to discuss improvement solutions. Some might be quick and easy, and could be implemented immediately after the meeting, such as changing the templates, but usually solutions involve various time-intensive factors like upgrading or even re-designing the software system, training people with the new procedure of workflow, persuading people to change the habits of work (e.g. paperless files), etc. After the brainstorming of solutions, we also need to evaluate the cost and value of each solution and prioritize them in proper order.

19


The third and fourth steps of DMAIC are, respectively, ANALYZE and IMPROVE.

4.1 Introduction

The Analyze phase is based on process and data analysis that results from the Measure phase. Ideally we should brainstorm potential root causes, develop hypotheses and execute procedures in order to verify if they are correct or not. According to Macdonagh4: “we should examine each focus area to identify and verify waste, defects, and determine root causes. Root cause analysis takes place in three steps: 1. Exploring; 2. Generating hypotheses and 3. Verifying causes.”

After Analyze, we should follow to the IMPROVE phase, a step is triggered by executing brainstorming for solutions, select the practical ones (variables such as impact, effort or cost should be considered), do a pilot implementation and measure the results, collecting data to determine if the changes have improved the baseline before proceed to implementing the changes on a full scale inside the organization. Accordingly, to Macdonagh “After an interim review with the steering committee and making refinements based on a pilot test, the firm is ready to implement full-scale improvements with detailed action planning, communication, training, troubleshooting, and ongoing measurement and performance measurement.”

4.2 Staff

Staff analysis can be performed using techniques such as Time Analysis, which reveals the time used in executing the process vs the time waiting. In this manner we can check if employees are busy or idle, what is the efficiency and time management of the process. Other techniques such as market benchmarks allow us to compare the profile, background and experience of our workforce versus the standard needed to perform actions that fulfill continuous improvement.

Routine training sessions and evaluations should be performed to have updated workers and managers aligned with the identity, objectives and expectations of the firm. Define and execute a performance evaluation with feedback, track the errors, execute recycle sessions to correct these errors and formalize the lessons learned.

4: Ark Group Inc (2014), ISBN-10: 1783581115

Stages 3-4 Improve or optimize the current process based upon data analysis

4

20

FICPI

4.3 Tools / Templates

Standardization is important not only in the execution of procedures and processes but also in the tools, systems and templates used along the service delivery. It’s crucial to have the correct channels in place for the client to interact with the firm when, for example, the client demands a service, initiates a service order, or shares the information required to proceed with the service order. Also key is the visibility/security the client has regarding the execution of these. These factors should be targets for both sides, the client and the IP law firm.

In order to achieve these targets there are systems, tools and accelerators in the market which, when combined and properly integrated with the standard/correct process and quality control, should be the path to the future and also to success. Some examples are customer portals, standard request forms, online exchange of files, workflow systems, instant messaging/communications, self-service of consulting 1, and risk management regarding due dates and requirements. Automatic backup routines and high availability of services should occur across all of these processes and tools.

4.4 Customer Files

4.4.1 Formal ExaminationOne of the most essential jobs of an attorney is to communicate with the client in a responsible and professional way, including reminding the client of his/her duties (such as providing the Power of Attorney in a timely manner), updating him/her about a particular requirement of an application, maintaining oversight over the documents and informing the client about missing and incorrect information.

4.4.2 Substantive ExaminationAn attorney has to assiduously inform the client about the particular requirements of an application, such as the name and address and other personal details. Additionally, the attorney should also with diligence note down the history of the applicant: things like whether there is priority or not, if the goods are standard or not, etc.

4.5 Operating Manual

An IP law firm performs activities categorized by two types of work: 1. Intellectual work and 2. Transactional and support activities that allow the process to be fulfilled with the quality and success expected by clients. Working with full integration between the internal processes is the difference between high and low performance or between success and failure. Have the process chain be clear to internal and external clients with full transparency and integrated with billing system, allow synergy to provide to the clients the results expected and also clarity regarding what is being charged.

As we are talking about processes and a high-level effort of transactional and support activities, knowledge management inside the firm is crucial and this target point can be achieved by creating a knowledge-management repository with the availability of Operating Manuals or a Standard Operating Procedures (SOP). An Operating Manual is a set of step-by-step instructions created by the management to help employees carry out routine operations. Their purpose is to achieve efficiency, quality output and uniformity of performance, while reducing miscommunication and failure to comply with industry regulations.

5. That is, providing tools allowing a client directly to obtain information about a process or service, e.g. about the key steps for filing a patent/trademark application and/or a FAQ with key questions a customer may have about a particular service.

21


This kind of approach will guarantee the business continuity despite the employees that execute it, minimizing the change and dependency from the executer.

4.6 Verification

It is seen that verification standards are not uniform and different process time and style is used by different people, which, as a necessary corollary, results in verification being done more than once.

It is the benchmark of every organization today to have a proper quality-check mechanism before its product/service is sent out to third parties. Since it is inhumane to expect employees to do a job flawlessly, a firm needs to have a proper mechanism to verify and audit the work done, which, over a period of time, also results in the reduction of the rate of fault per employee.

After the standardization of the process it is important to establish quality control, which should be done manually by employees such as a quality-control team or service-management team but also automatically through the systems used to execute the processes with the guarantee that all due dates, events, documents, requirements and services are performed with transparency and success. This approach can be named as the gates methodology: standardized control points where the process is reviewed and/or audited and approved (or not) to continue for the next phase/step; the gates allow to verify if the process is executed with the expected performance.

22

FICPI

The fifth and last step of DMAIC is CONTROL.

5.1 Introduction

The Control phase is where, after implementing the improvements and fixing the problems detected in the organization, the team should focus on monitoring the environment to maintain the gains and elaborate a response plan in case there is a decrease or deterioration in performance. Documentation registering the changes applied should be updated and a continuous improvement routine established. Accordingly, to Macdonagh “the project is finished when the firm has instituted process ownership to ensure that the benefits of the work are captured, and the overall performance of the process is being monitored.”

5.2 Finalizing the Implementation

5.2.1 Standardization of Processes

It is important to make the process visible and transparent to the user. The following means may help in this step:

• Training of the users

• Documentation of the process, e.g. in electronic form in the Intranet with a unique structure

• Standardization of the look-and-feel of the documents, e.g. the templates, forms or websites

• Having a workflow system for the implementation of the processes

Thus, it is important not only to consider the process as such but also the tools for the user of the process. You have to find a mixture between detailed description of the process steps and the level of complexity of the description or process, respectively.

One example of this is to provide only one defined storage destination for all documents relevant to the process. Do not spread out the information in different ways, as it makes the information inconsistent! People may have personal print-outs of parts of the process they have to deal with but must have access to the master documentation and the latest up-to-date version of the documentation!

Stage 5 Control the future state process

5

23


5.2.2 Roles and Responsibilities

Use of a RACI Matrix:

• Responsive: responsible for having the task done

• Accountable: approves the task/work (only one per task!)

• Consulted: opinions are sought

• Informed: kept up-to-date

TASKSMaintenance Supervisors

Maintenance Analyst

Maintenance Planner

Maintenance Technicians

MaintenanceRel.

Specialist

MMS Project

Engineer

Inputting Failure data

A C I R C C

Work Order Completion

R C C C A I I

Work Order Close-out

C R C I I A

QA of Failure Data

InputC R I C I C A

Analyse Failure reports

C C I C A R I

Maintenance Strategy

AdjustmentsC I I C A R R

Implement-ing New

StrategiesR I R C A I I

Fig 2 Maintenance Crew KPI RACI Chart

24

FICPI

5.2.3 Risk Analysis

Analyze possible risk by using a FMEA (Failure Mode and Effects Analysis) tool:

• Identify failure possibilities of each process step

• Assess probability, severity and detection indicators with a number within a defined range

• Calculate a risk level by the product of the above numbers for each process

• The higher the risk level turns out, the more important it is to take preventive measures!

These data may be collected, calculated and visualized with an Excel sheet.

Use the data collected and defined in Stages 1 to 4 of the Six Sigma process to produce the FMEA sheet. The essential parts are defining the real and important indicators and using appropriate numbering indicators to make the calculations. Assign descriptive tags to the indicators for an appropriate allocation of the respective numbers. In general, it is recommended to have the lowest possible range for the indicator numbers; e.g. a range from 1 to 5 is in most cases sufficient (a range from 1 to 10 does not in reality provide a different result but causes more uncertainty in the assessing process).

5.3 Controlling the Process 5.3.1 Statistical Process Control

The Six Sigma quality system relies heavily on the statistical analysis and statistical process control (SCP). Six Sigma statistical-process control tools allow us to find out whether the process in question is manageable and stable or if it is trending towards variability, which could lead directly to errors in the end product.

Fig 3 (by Daniel Penfield - Own work, CC BY-SA 3.0)

25


This is where the term Six Sigma is derived from: a process in which 99.99966% of all opportunities are statistically expected to be free of defects, introduced by Bill Smith while working at Motorola in 1986.

5.3.3 Visual Management

Use of a dashboard to visualize the operating figures, results, performance and quality figures.

Visualization may occur in different configurations:

• Display panels, may be arranged in the office locations

• Signposts

• Defined uniform arrangement of tools at the working desks

• Intranet as a source of information

SIGMA LEVEL

Sigma (with 1.5σ shift)

DPMOPercent defective

Percentage Yield

Short-term Cpk

Long-term Cpk

1 -0.5 691,462 69% 31% 0.33 -0.17

2 0.5 308,538 31% 69% 0.67 0.17

3 1.5 66,807 6.7% 93.3% 1.00 0.5

4 2.5 6,210 0.62% 99.38% 1.33 0.83

5 3.5 233 0.023% 99.977% 1.67 1.17

6 4.5 3.4 0.00034% 99.99966% 2.00 1.5

7 5.5 0.019 0.0000019% 99.9999981% 2.33 1.83

5.3.2 Determining the Ability of the Process

Determine the ability of the process by using a statistic tool, e.g., a DPMO calculator.

Tab 14 DPMO Chart

26

FICPI

5.4 Short Report

5.4.1 Project Report

A status report should be delivered to the people concerned in a frequent manner, i.e. every two weeks. This keeps all people in the loop of the process. The report may be delivered by mail or at the end of status meetings (but keep meeting times short!).

5.4.2 Project Summary

It is advisable to establish a project summary at the end of Stage 5. The following items may be included within such a project summary:

• Challenge

• Object

• Approach / procedural methods

• Results

This summary should be presented within one page; therefore, be clear and concise!

5.5 Finishing the Project

5.5.1 “Lessons Learned”/Final Protocol

Often underestimated and commonly not executed is the final protocol of the project!

The following items should be addressed in the final protocol:

• What went well?

• What did not go well?

• What could be improved with the next project?

Final Remarks

Although Six Sigma was designed for application in large organizations (it is said that Six Sigma is less suited for companies with fewer than 500 employees), one can achieve its benefits by using a number of the tools and techniques of Six Sigma without implementing the entire method. Thus, one of the important goals that may be achieved by applying some of the methods is an improvement in quality and a reduction of errors, which most effectively will lead to an improvement of customer satisfaction.

This report is the result of a project by FICPI’s Professional Excellence Commission (PEC).

The mission of PEC is to foster understanding of the business processes governing IP firms.