0651-0038 Final Justification 2006

SF-83 SUPPORTING STATEMENT
PAPERWORK REDUCTION ACT – OMB CONTROL NUMBER 0651-0038
CUSTOMER INPUT – PATENT AND TRADEMARK CUSTOMER SURVEYS

A.

JUSTIFICATION

1.

Necessity of Information Collection

This is a generic clearance for an undefined number of voluntary telephone and
customer surveys and questionnaires that the United States Patent and Trademark
Office (USPTO) may conduct over the next three years. The USPTO may use these
voluntary surveys and questionnaires to implement E.O. 12862, Setting Customer
Service Standards (Attachment A). These telephone and customer surveys and
questionnaires are designed to obtain customer feedback regarding the products,
services, and related service standards of the USPTO. The USPTO obtains feedback
from corporations/businesses, law firms, educational institutions, and independent
inventors.
There are no statutes or regulations requiring the USPTO to conduct these customer
surveys. These voluntary surveys also support various business goals developed by
the USPTO to fulfill customer service and performance goals, to assist the USPTO in
strategic planning for future initiatives, to verify existing service standards, and to
establish new ones.
The USPTO also conducts annual customer satisfaction surveys of the entire agency.
These annual surveys can be mailed to the USPTO or respondents can choose to
respond to them electronically. The results from these surveys are used to measure
customer satisfaction with the USPTO’s customer service standards in the various
organizations. The results are also used to measure how well the USPTO is meeting
these customer service standards.
These annual surveys were previously covered under this generic clearance. However
since the 21st Century Strategic Plan changed the timing of these surveys from annually
to biannually, these surveys will now be covered under a separate and distinct
information collection. In addition, the face-to-face interviews, comment cards, and
focus groups have also been deleted from the collection.
The USPTO cannot predict with certainty whether all of the survey methods discussed
in this generic clearance will be used to gather customer feedback or how many of them
will be conducted during the next three years. However, based on previous experience,
the USPTO feels that the telephone and customer surveys and the questionnaires are
the most likely types of surveys that will be conducted. Although the USPTO is
uncertain of the number of surveys that will be conducted; the agency believes that the
vast majority of surveys conducted over the next three years will be simple customer
service types of surveys with similar methodologies. Because of this uncertainty and

the fact that the majority of the surveys will be similar, the USPTO is requesting a
generic clearance from the Office of Management and Budget (OMB) to cover the
various types of surveys that may be conducted.
A brief description of the expected methodology for the telephone and customer surveys
and the questionnaires will be provided under Section B. Collection of Information
Employing Statistical Methods. Examples of the form in which these various surveys
may be presented to the public are also included in this justification package. Please
note that these descriptions and examples are proposed examples of these surveys,
based on the USPTO’s experience in conducting various surveys. When the USPTO
decides to conduct a survey and determines which survey vehicle will be used, the full
methodology and the actual survey vehicle will be submitted to OMB for review and
approval following the guidelines for generic clearances.
2.

Needs and Uses

The information obtained from these telephone and customer surveys and the
questionnaires will be used by the USPTO for strategic planning, allocation of
resources, the establishment of performance goals, and the verification and
establishment of service standards. Additionally, the USPTO will use the data from
these surveys to assess customer satisfaction with the agency’s products and surveys,
to assess customer priorities in service characteristics, and to identify areas where
service levels differ from customer expectations.
The Information Quality Guidelines from Section 515 of Public Law 106-554, Treasury
and General Government Appropriations Act for Fiscal Year 2001, apply to this
information collection and comply with all applicable information quality guidelines, i.e.,
the OMB and specific operating unit guidelines.
This proposed collection of information will result in information that will be collected,
maintained, and used in a way consistent with all applicable OMB and USPTO
Information Quality Guidelines. (See Attachment B, the USPTO Information Quality
Guidelines.)
Table 1 outlines how these collections of information are used by the public and the
USPTO:
Table 1: Needs and Uses of Information Collected From Customer Input
Form and Function
Telephone Surveys
(Attachment C)

Needs and Uses
•
•
•

Permits the customer to provide comments directly to the interviewer.
Permits the USPTO to interview the customer or attorney who handled a particular
case or experienced the service in order to obtain direct impressions or
comments.
Use of the telephone interview may increase response rates from the customer.

2

Questionnaires and Customer Surveys
(Paper and Electronic)
(Attachment D)

•
•
•
•

3.

Provides a forum for customers to express opinions anonymously and quickly.
Allows the USPTO to survey seminar and exhibition attendees, and users of the
search facilities, patent and trademark assistance centers, and other services.
Provides the USPTO with a greater opportunity for collecting responses from the
customer before they leave the site.
Provides the USPTO with a smaller subset of survey questions directed towards
specific items and operations within the USPTO.

Use of Information Technology

The USPTO does use automated, electronic, mechanical, or other technological
collection techniques to conduct the surveys covered in this generic clearance. The
telephone surveys are conducted verbally over the telephone with the use of scripts
which ensure that every respondent is asked the same question in the same manner.
For the questionnaires and the customer surveys, the USPTO provides respondents
with the option of either completing the survey in paper and mailing or handing in the
survey to the USPTO or providing their survey responses electronically using a webbased survey instrument.
For the questionnaires and customer surveys that are mailed to the respondents, the
USPTO mails the survey package containing the survey, a cover letter, and a selfaddressed and stamped envelope to the respondents in the sample. The cover letter
will contain all of the instructions needed for the survey. In some cases, the
questionnaires and customer surveys are handed out to individuals. In these cases, the
surveys are either handed back to USPTO personnel or deposited in drop-boxes.
For many of the customer surveys, the USPTO is also providing respondents with the
option to respond electronically using a web-based survey instrument. The online
surveys will mirror those in the paper format and will be available through the Internet.
In order to keep the respondent’s answers to the survey secure, the USPTO will assign
each respondent a unique password and a unique user ID. In those cases where the
confidentiality and security of the responses is critical, the electronic survey instrument
will be hosted on a secure server. The unique password and user ID, the URL for the
survey, and instructions for accessing and completing the web-based survey will be
included in all of the correspondence that accompanies the paper-based surveys.
Respondents who choose to complete the survey electronically are requested to discard
the paper version of the survey so that it is not inadvertently submitted to the USPTO.
Although the USPTO does not believe that it is likely that online surveys will be used
exclusively to collect responses to surveys, the USPTO may be able to conduct some
surveys entirely over the Internet, as long as e-mail addresses are available for the
entire sample. For these surveys, the respondents will receive an e-mail message
announcing that the survey is being conducted. This e-mail will also contain a direct link
to the web-based survey instrument, with instructions for accessing and completing the
web-based survey and instructions for obtaining a paper-based survey and postagepaid return envelope from the USPTO.

3

While the USPTO is moving to an electronic environment and would prefer to administer
the survey only via the web to coincide with other e-government initiatives, USPTO
customers have expressed a desire for such surveys to also be made available in paper
format. The reason for this is that the majority of USPTO customers are attorneys with
significant demands on their time. Pilot tests and previous survey comments have
indicated that the only time customers find to complete the surveys are during their
commute, on planes, etc., where they do not have Internet access. The paper survey
instrument is being used to accommodate all survey respondents and enhance
response rates.
Based on customer preferences, the fact that the USPTO does not have e-mail
addresses for the majority of its customers, and due to Section 508 compliance
requirements, the USPTO does not believe that the online surveys will replace the
paper surveys, but rather that the online surveys will be used in conjunction with the
paper surveys.
The USPTO may make some of the information obtained through the customer surveys
available to the public on the USPTO website, although the identity of the respondent
will be kept confidential. For example, for a survey that the USPTO released to both
patent and trademark customers, the USPTO posted a letter from the Director on the
USPTO website which discussed the findings from the surveys. In most instances,
when applicable, the USPTO will share summarized survey findings directly with
respondents that participated in the survey through direct mailings.
4.

Efforts to Identify Duplication

There are no currently available methods to gather the types of information proposed by
these surveys directly from our customers. The survey questions relate specifically to
the USPTO’s products, services, and related service standards. Consequently, the
information is generally not available from other sources. The USPTO’s philosophy is to
avoid duplication in anything we do. Therefore, no duplication of effort is imposed on
respondents for these proposed surveys.
5.

Minimizing the Burden to Small Entities

In an effort to minimize burden, sample sizes are kept small and the number of
questions are limited to the minimum required to obtain useful information. All sizes of
businesses and individual customers will participate in these various surveys to
accurately portray customer requirements and service quality. It is important to include
small businesses in these surveys because the USPTO wants to encourage their use of
the patent and trademark systems.
6.

Consequences of Less Frequent Collection

The information collected from these various surveys is needed for annual planning and
resource allocation.
Timely, valid information on customer requirements and

4

assessment of the USPTO’s performance is needed to establish program priorities and
performance goals. Information collected less frequently could prevent the USPTO
from responding to customer concerns in a timely manner.
7.

Special Circumstances in the Conduct of Information Collection

There are no special circumstances associated with this collection of information.
8.

Consultation Outside the Agency

The 60-Day Federal Register Notice was published on January 17, 2006 (Vol. 71, No.
10) (Attachment E). The public comment period ended on March 20, 2006. The
USPTO received no public comments in response to the Notice. There have been no
comments received from the corporations/businesses, law firms, educational
institutions, and independent inventors frequently interviewed through these types of
surveys concerning the time required to provide the information requested in the
telephone and customer surveys and the questionnaires.
Once the surveys are developed, they will be tested with the representative customer
groups relating to the specific topic of the survey.
Due to the relatively simple nature of these surveys, consultation outside of the agency
is not expected. For significant efforts that do require outside consultation, we expect
that the scope of the study would fall outside of this generic clearance and a separate
clearance package would be required.
9.

Payment or Gifts to Respondents

This information collection does not involve a payment or gift to any respondent. All of
these surveys are voluntary, so respondents are not required to answer the questions.
10.

Assurance of Confidentiality

Responses will be confidential and will be used to compile summary statistical reports
only. Assurances will be included on each survey form and in the cover letter, if one is
provided. Responses will be destroyed following statistical analysis of the data. These
surveys are voluntary and are not mandated by law. For the web-based surveys that
are available through the Internet, unique passwords and user IDs are assigned to each
respondent. In cases where the confidentiality and security of the responses is critical,
the online survey will be hosted on a secure server.
All surveys that will be conducted under this generic clearance will be protected under
the “Confidential Information Protection and Statistical Efficiency Act of 2002.”

5

11.

Justification for Sensitive Questions

None of the required information is considered to be of a sensitive nature.
12.

Estimate of Hour and Cost Burden to Respondents

The USPTO expects to conduct telephone and customer surveys and questionnaires
over the next three years to collect customer comments. Respondents can mail the
questionnaires and customer surveys to the USPTO or they can respond to them
electronically. The exact number of different surveys, the length of each survey, and
the number of respondents per survey is unknown at this time. The USPTO estimates
that 400 surveys will be conducted over the telephone annually. The USPTO also
estimates that 1,500 questionnaires and customer surveys will be completed annually,
with half submitted in paper and the other half submitted electronically. The number of
annual burden hours requested (220) is based on the number of surveys the agency
estimates will be conducted during a one-year period. Based on previous experience,
the agency believes that this is a reasonable ceiling.
Table 2 calculates the anticipated burden hours and costs of this information collection
to the public, based on the following factors:
•

Respondent Calculation Factors

Based on previous survey experience and projections of surveys that may be
conducted during the next three years, the USPTO estimates that it will receive
the following number of responses to these various types of surveys:
•
•
•

400 responses to telephone surveys
750 responses to paper questionnaires and customer surveys
750 responses to electronic questionnaires and customer surveys

•

Burden Hour Calculation Factors
Based on results from testing the various types of surveys with the representative
customer groups and with internal test groups, the USPTO estimates that it will take the
public 15 minutes (0.25 hours) to complete telephone surveys and five minutes (0.08
hours) to complete questionnaires and customer surveys, whether they are completed
on paper and mailed to the USPTO or completed electronically. See Table 2, column
(a).

•

Cost Burden Calculation Factors
The USPTO believes that both professionals and paraprofessionals will complete these
surveys, at a rate of 75% of the current professional rate of $304 per hour and 25% of
the para-professional rate of $90 per hour. The professional hourly rate used to
calculate the respondent cost burden is the median rate for associate attorneys in
private firms as published in the 2005 report of the Committee on Economics of Legal
Practice of the American Intellectual Property Law Association. This report summarized
the results of a survey with data on hourly billing rates. The para-professional hourly
rate comes from the 2004 National Utilization and Compensation Survey, published in
October 2004 by the National Association of Legal Assistants (NALA). The hourly rate
for professionals, calculating 75% of $304, totals $228, while the hourly rate for the para-

6

professionals, calculating 25% of $90, totals $23, for a combined hourly rate of $251.
The USPTO estimates that the respondent cost burden for this collection will be $55,220
per year. These are fully loaded hourly rates.
Table 2: Burden Hour/Burden Cost to Respondents
Item

Hours
(a)

Responses
(yr)
(b)

Burden
(hrs/yr)
(c)
(a) x (b)

Rate
($/hr)
(d)

Total Cost
($/hr)
(e)
(c) x (d)

Telephone Surveys

0.25

400

100

$251.00

$25,100.00

Questionnaires and Customer Surveys (paper)

0.08

750

60

$251.00

$15,060.00

Electronic Questionnaires and Customer Surveys

0.08

750

60

$251.00

$15,060.00

Total

- - - -

1,900

220

- - - -

$55,220.00

13.

Total Annualized Cost Burden

There are no capital start-up, maintenance, operation, or recordkeeping costs
associated with these various surveys. There are no filing fees associated with this
information collection. Although the USPTO conducts mail surveys, the USPTO
provides self-addressed and stamped envelopes for them. Respondents incur no
postage costs resulting from these surveys.
14.

Annual Cost to the Federal Government

The USPTO uses a variety of methods for conducting the telephone surveys and the
mail and electronic questionnaires and customer surveys. These surveys will be
conducted by USPTO personnel. Processing costs for the surveys can vary widely
depending on the methodology selected for the survey and the size of the population
being surveyed. The USPTO expects to process the telephone surveys and the paper
and electronic questionnaires and customer surveys.
The USPTO believes that it will take two staff members to handle all of the tasks
associated with a single survey response. Depending on the survey, either a GS-7 or a
GS-9 (step 1) processes the survey correspondence and performs the data entry tasks
(or collects the data in response to a telephone interview). In the case of all of the
surveys, a GS-13, step 1, prepares the sampling, performs the analysis, and prepares a
report on the findings.
In order to determine the hourly labor rate for this collection, the USPTO multiplied the
hourly labor rate for the GS rating that performs the task by the total number of minutes
that are allocated to that staff position to complete the task at hand and then added 30%
to that total to account for a fully loaded hourly rate (benefits and overhead). This
adjusted hourly rate is used to calculate the USPTO’s total costs for conducting and
processing these surveys. It is this adjusted hourly rate that is multiplied by the actual
amount of time that it takes USPTO employees to process each survey response to
obtain the total burden hours. Further details are provided below.

7

In the case of the telephone surveys, the USPTO estimates that it takes a total of 40
minutes (0.67 hours) to process them. Out of this 40 minutes, the USPTO estimates
that it takes a GS-9, step 1, approximately 20 minutes (0.33 hours) to collect the data
and that it takes a GS-13, step 1, approximately 20 minutes (0.33 hours) to perform the
program set-up, analysis, and reporting tasks associated with telephone surveys. The
hourly rate for a GS-9, step 1 is $21.49. When 30% is added to account for a fully
loaded hourly rate (benefits and overhead), the combined cost per hour for a GS-9, step
1 is $21.49 + $6.45 = $27.94. The hourly rate for a GS-13, step 1 is $37.06. When
30% is added to account for a fully loaded hourly rate, the combined cost per hour for a
GS-13, step 1 is $37.06 +$11.12 =$48.18. The USPTO has allocated 30 minutes (0.50
hours) for each position to complete the associated tasks. Multiplying the hourly rate of
the GS-9, step 1 by 0.50 hours results in an adjusted hourly rate of $13.97, while
multiplying the hourly rate of the GS-13, step 1 results in an adjusted hourly rate of
$24.09. These two adjusted hourly rates are combined for the total adjusted, fully
loaded, hourly rate of $38.06.
For the mail questionnaires and customer surveys, the USPTO estimates that it takes a
total of 25 minutes (0.42 hours) to process them. Out of this 25 minutes, the USPTO
estimates that it takes a GS-7, step 1, approximately 5 minutes (0.08 hours) to process
the survey correspondence and perform the data entry tasks (including validation) and
that it takes a GS-13, step 1, approximately 20 minutes (0.33 hours) to perform the
sampling, analysis, and reporting tasks associated with each questionnaire and
customer survey. The hourly rate for a GS-7, step 1 is $17.57. When 30% is added to
account for a fully loaded hourly rate (benefits and overhead), the combined cost per
hour for a GS-7, step 1 is $17.57 + $5.27 = $22.84. The fully loaded hourly rate for a
GS-13, step 1 is $48.18. The USPTO has allocated 12 minutes (0.20 hours) for the GS7 and 48 minutes (0.80 hours) for the GS-13 to complete the associated tasks.
Multiplying the hourly rate of the GS-7, step 1 by 0.20 hours results in an adjusted
hourly rate of $4.57, while multiplying the hourly rate of the GS-13, step 1 by 0.80 hours
results in an adjusted hourly rate of $38.54. These two adjusted hourly rates are
combined for the total adjusted, fully loaded, hourly rate of $43.11.
For the electronic questionnaires and customer surveys, the USPTO estimates that it
takes a total of 23 minutes (0.38 hours) to process them. Out of this 23 minutes, the
USPTO estimates that it takes a GS-7, step 1, approximately 3 minutes (0.05 hours) to
process the survey correspondence and perform the data entry tasks (including
validation) and that it takes a GS-13, step 1, approximately 20 minutes (0.33 hours) to
perform the sampling, analysis, and reporting tasks associated with each electronicbased questionnaire and customer survey. The fully loaded hourly rates for a GS-7,
step 1 and a GS-13, step 1 are $22.84 and $48.18, respectively. The USPTO has
allocated 8 minutes (0.13 hours) for the GS-7 and 52 minutes (0.87) for the GS-13 to
complete the associated tasks for the electronic-based questionnaires and customer
surveys. Multiplying the hourly rate of the GS-7, step 1 by 0.13 hours results in an
adjusted hourly rate of $2.97, while multiplying the hourly rate of the GS-13, step 1 by
0.87 hours results in an adjusted hourly rate of $41.92. These two adjusted hourly rates
are combined for the total adjusted, fully loaded, hourly rate of $44.89.

8

Table 4 calculates the processing hours and costs of this information collection to the
Federal Government:
Table 4: Burden Hour/Burden Cost to the Federal Government
Item

Hours
(a)

Responses
(yr)
(b)

Burden
(hrs/yr)
(c)
(a) x (b)

Rate
($/hr)
(d)

Total Cost
($/hr)
(e)
(c) x (d)

Telephone Surveys

0.67

400

268

$38.06

$10,200.00

Questionnaires and Customer Surveys – Mail

0.42

750

315

$43.11

$13,580.00

Questionnaires and Customer Surveys – Electronic

0.38

750

285

$44.89

$12,794.00

1,900

868

- - - - -

$36,574.00

Total

15.

- - - - -

Reason for Changes in the Annual Burden

Summary of Changes Since the Previous Renewal
The OMB approved the reinstatement of this information collection on May 10, 2003,
with 8,100 responses, 3,100 burden hours, and $0 in annualized (non-hour) costs.
With this renewal, the USPTO estimates that the total burden and annualized (nonhour) costs for this collection will be 1,900 responses, 220 burden hours, and $0 in
annualized costs. This is a reduction of 6,200 hours and 2,880 burden hours. The
annualized costs for this collection have not changed. The reductions in the responses
and burden hours are due to program changes.
Changes in Burden Estimates Since the 60-Day Federal Register Notice
In the 60-Day Federal Register Notice published on January 17, 2006 for this renewal,
the estimated time for response for the telephone surveys was misprinted. The time
shown in the Notice is 5 minutes, but it should have been printed as 15 minutes. This
misprint did not affect the total burden estimates reported in the Notice, which
correspond to those discussed in this submission.
Changes in Respondent Cost Burden
The respondent cost burden has decreased from the costs reported in the previous
submission despite an increase in the hourly rate. This is due to the fact that the faceto-face interviews, the mail surveys (Annual Patent and Trademark Customer
Satisfaction Surveys) and the electronic option for these surveys, the comment cards,
and the focus groups have been removed from the collection. The USPTO expects that
there will be no change in the estimated number of responses for the telephone and
customer surveys, and the questionnaires.
In the previous submission, the USPTO estimated that the various surveys would be
completed by both professionals and para-professionals, at a ratio of 75% professional

9

and 25% para-professional. At that time, based on figures provided by the Committee
on Economics of Legal Practice of the American Intellectual Property Law Association,
the hourly rate for a professional was estimated at $252. The hourly rate for paraprofessionals was estimated at $30. Based on the ratios, the estimated hourly rate
used to calculate the total respondent cost burden was $196.50.
Since that submission, the Committee on Economics of Legal Practice of the American
Intellectual Property Law Association adjusted its estimate for the professional hourly
rate to $304. The USPTO also discovered a source for the hourly rate for the paraprofessionals. The National Association of Legal Assistants (NALA) publishes a
National Utilization and Compensation Survey. The hourly rate of $90 estimated for the
para-professionals comes from this survey. The USPTO still expects that the surveys
will be completed by both professionals and para-professionals, at a ratio of 75%
professional and 25% para-professional. Based on the new hourly rates, the estimated
hourly rate used to calculate the total respondent cost burden is $251. The USPTO has
adjusted its estimates accordingly.
The total respondent cost burden for the currently approved information collection is
$609,151. With this renewal, the USPTO estimates that the total respondent cost
burden will decrease by $553,931, to $55,220 per year.
Changes in Responses and Burden Hours
The USPTO estimates that the number of responses submitted annually for this
collection will decrease, by 6,200 responses, from 8,100 to 1,900 responses.
Consequently, the USPTO estimates that the total burden hours for this collection will
decrease 2,880 hours, from 3,100 to 220 burden hours per year. These changes are
due to program changes, as follows:
•

Previously, the USPTO conducted face-to-face interviews as a way of gathering
feedback from its customers concerning the USPTO’s products, services, and
related service standards. The USPTO estimated that 100 interviews would be
conducted and it would take 15 minutes to conduct an interview, for a total burden of
25 hours per year. The face-to-face interviews have a high burden and cost
associated with them, so the USPTO has determined that it is no longer cost
effective to use this as a means of collecting customer satisfaction feedback. As a
result, the face-to-face interviews have been removed from this collection.
Therefore, this collection takes a burden decrease of 25 hours as a program
change.

•

The USPTO conducts a survey that gathers feedback from the customers of all of
the agency’s organizations concerning the USPTO’s products, services, and related
service standards. This survey, called the Annual Patent and Trademark Customer
Satisfaction Survey, was conducted annually. However, the USPTO’s Strategic Plan
now dictates that the Patent and Trademark Customer Surveys be conducted
biannually, instead of annually. Because of this change and the complexity of the

10

survey, it was determined that this survey should be covered in a separate and
distinct information collection and it has been deleted from this generic clearance
information collection. The USPTO estimates that this mail survey takes 30 minutes
to complete and that 2,000 surveys would be completed, for a total burden of 1,000
hours. Therefore, this collection takes a burden decrease of 1,000 hours as a
program change.
•

In addition to the mail survey, the USPTO also collected responses to the Annual
Patent and Trademark Customer Satisfaction Survey electronically. This option
needs to be deleted from this generic clearance information collection as well. The
USPTO estimates that 1,500 surveys would be submitted electronically and that it
takes 20 minutes to complete this survey, for a total burden of 495 hours.
Therefore, this collection takes a burden decrease of 495 hours as a program
change.

•

Previously, the USPTO mailed comment cards to customers as a way to gather
feedback from them concerning the USPTO’s products, services, and related service
standards. The USPTO estimated that 2,000 comment cards would be mailed and
that it would take 5 minutes to complete them, for a total burden of 160 hours.
However, the USPTO has decided to discontinue the use of comment cards due to
the lack of response and because they did not allow customers to provide detailed
information. Consequently, the comment cards have been removed from this
collection. Therefore, this collection takes a burden decrease of 160 hours as a
program change.

•

Previously, the USPTO conducted focus groups as a means to obtain immediate
feedback from customers concerning the USPTO’s products, services, and related
service standards. The focus groups allowed customers a way to receive
information about the USPTO’s products, services, and related service standards
from USPTO first hand. The USPTO estimated that it would receive 600 responses
from the focus groups, and that it would take 2 hours to complete them, for a total
burden of 1,200 hours. However, conducting these focus groups incurred a high
burden and costs, so the USPTO determined that it was no longer cost effective to
use this method for collecting customer satisfaction feedback. As a result, the focus
groups have been removed from this collection. Therefore, this collection takes a
burden decrease of 1,200 hours as a program change.

The USPTO estimates that a net total of 2,880 burden hours will be reduced from this
collection, from 3,100 to 220 burden hours per year. The USPTO believes that this
reduction will be due to program changes. Therefore, this information collection has
a net burden reduction of 2,880 hours per year due to program changes.
Changes in Annual (Non-Hour) Costs
There are no capital start-up, maintenance, operation, or recordkeeping costs
associated with this information collection. The surveys in this collection do not have

11

filing fees. Although the questionnaires and customer surveys are mailed to the
USPTO, the agency provides self-addressed and stamped envelopes with the survey,
so this collection does not have postage costs resulting from the survey. This has not
changed from the previous submission.
16.

Project Schedule

The USPTO does not publish the results from every survey that is conducted by the
USPTO. While the USPTO may reference summarized survey findings in various press
releases, actual reports that address surveys findings are typically limited to sharing
only with survey respondents as a token of appreciation for participation.
For the miscellaneous external customer surveys and other data collection efforts
conducted by the USPTO staff, the decision to publish the survey findings is dependent
upon the needs and goals of the organization sponsoring the data collection effort.
Enumeration periods vary based on the delivery method and customer group being
surveyed. As a general rule of thumb, customer surveys are enumerated for about four
weeks. On average, data are tabulated and summary reports are prepared for the
sponsoring organization within six weeks of the close of data collection. Quantitative
analyses are conducted using SPSS® software. Summary and analysis programs are
performed in batch mode using SPSS® command syntax created prior to the close of
data collection to ensure timely release of survey data. Ad-hoc and exploratory
analyses are performed as needed throughout the analysis and reporting period. The
summary reports contain descriptive statistics, trend analysis, correlation and
regression analysis to identify key drivers of satisfaction, and qualitative content
analysis, when applicable. The data collection effort and analysis/reporting tasks
generally cover a 10-week period.
17.

Display of Expiration Date of OMB Approval

These surveys do not have USPTO form numbers associated with them. Once these
various types of surveys are approved, they will display the OMB Control Number and
the expiration date.
18.

Exception to the Certificate Statement

This collection of information does not include any exceptions to the certificate
statement.

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B.

COLLECTIONS OF INFORMATION EMPLOYING STATISTICAL METHODS

1.

Universe and Respondent Selection

Random sampling is the primary method used when conducting the various types of
surveys. The primary groups surveyed include corporations/businesses, law firms,
educational institutions, and independent inventors. Computerized databases of these
major groups of USPTO customers are maintained and are used for random selection.
The USPTO pulls this information from the Patent Application Locating and Monitoring
(PALM) system and the Trademark Reporting and Monitoring (TRAM) system.
The PALM and TRAM systems keep detailed information on transactions conducted by
customers. Surveys are always geared towards a specific transaction and time frame.
Once the two criteria are established, all records in the PALM and TRAM systems that
meet the specific criteria are extracted to identify the universe. The transactions are
limited to those that deal with a particular organization or function within the USPTO,
e.g., an appeal, a petition, or other office-specific transaction. The time frame from
which the universe is selected is dependent on the expected universe size, the
frequency of the data collection effort, and time sensitivity of the questions to be asked.
With most of the customer surveys, the time frame usually includes transactions that
occurred within the previous 12 months. The universe can be as small as 1,000 records
for a 12-month period. Historically, 12-month periods have proved sufficient for
decision-making purposes. Longer periods introduce memory biases and overlapping
with previous collection efforts. Shorter time reference periods are desired when the
customer surveys are focused on time-sensitive issues, such as a recent change in
procedure or policy.
Since the majority of customer surveys use a customer, and not the transaction, as a
sampling unit, the initial file extracted from PALM and/or TRAM may contain a single
customer that is associated with over 100 transactions. When customers are the
desired sampling unit, file-cleaning procedures are performed to collapse duplicate
records and generate a single record for each individual at an establishment. When
records are collapsed, the number of total transactions that customer accounts for are
maintained. This value is then used for stratifying the sample and/or weighting the final
data set when desired.
Once the universe has been prepared, records are randomly selected by computer
program to obtain the desired sample size. Sample sizes are dependent on expected
response rates, desired statistical confidence and analyses to be performed, and
budgetary constraints. As a general rule of thumb, and given historic response rates,
goal sample sizes for USPTO customer surveys are 1,000 units for every level of
reporting desired. For an office-specific survey, where there is no need for further
breakdown of data, a sample size of 1,000 is used as the starting point, with budgetary
and specific analytical needs dictating deviations.

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Response rates for voluntary customer surveys are usually between 25 and 50 percent.
This rate is typical for USPTO customer surveys and is considered adequate for making
product and service improvement decisions. In general, it provides us with 300 to 500
records to analyze.
2. Procedures for Collecting Information
Although the USPTO is requesting that this generic clearance cover telephone and
customer surveys and questionnaires, the USPTO believes that the majority of the
surveys that will be conducted during the next three years will either be questionnaires
or customer surveys. But since the USPTO cannot predict with certainty exactly which
or how many of these surveys will ultimately be conducted, the agency is requesting an
extension of this generic clearance to cover all of these customer satisfaction surveys.
As part of the generic clearance guidelines, the USPTO is including general
descriptions and examples of the proposed survey vehicles. When the USPTO
determines that a survey is necessary and decides on the specific type of survey to be
used, the specific plans, methodology, scripts and copies of the survey will be provided
to OMB for review and approval under the generic clearance before the survey is
conducted.
•

Telephone surveys. The USPTO calls the respondent and either surveys the
respondent or schedules an appointment and faxes the survey questions to the
respondent. In addition, a script is prepared for the actual telephone interview so
that each telephone survey is conducted in the same manner.

•

Questionnaires and Customer Surveys. The USPTO envisions that these surveys
will be conducted in both a paper and electronic format. When the surveys are
available in paper, they can be mailed to respondents with a cover letter or they can
be handed out to users of the USPTO’s various services or attendees at various
conferences.
In the case of the mail surveys, the USPTO will mail the surveys with a cover letter.
The cover letters generally explain why the survey is being conducted and request
that the customer take the time to complete the survey because the data gathered
from the surveys will be used for future planning and enhancements to current
initiatives. Additionally, the cover letter may provide mailing instructions, such as
using the self-addressed and stamped envelope included with the survey to return it
to the USPTO. In general, the USPTO follows-up on non-responses by mailing
reminders to the respondents and through phone contact. Mail surveys allow the
USPTO to ask questions about different areas, such as customer perceptions and
customer satisfaction with the services and processes. These surveys are primarily
designed in a multiple-choice format, with space provided for any additional
comments that the customer may wish to add.
Questionnaires and customer surveys are also used to survey users of the USPTO’s
various services or to survey attendees at various conferences. In these cases, the

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survey forms are either handed to the respondents by the staff or left for attendees
to pick up as they enter or exit from various functions. If the completed surveys are
not handed directly back to a staff member, the respondents are instructed to drop
off their surveys or mail them to the USPTO. These questionnaires are a mix of fillin-the blank, multiple choice, or check boxes and also provide the customer with the
opportunity to provide comments.
In many cases, the USPTO will offer respondents the option to respond to a mail
survey through an electronic, web-based option. In some cases, the USPTO may
conduct a totally electronic survey, although the agency does not foresee electronic,
web-based surveys being used as the sole method for data collection, since many
customers have expressed a desire for the surveys to be available in a paper format.
The USPTO expects that the electronic, web-based surveys will always be used in
conjunction with the paper-based surveys.
When an electronic, web-based option is also available for a paper survey, the webbased survey will mirror the paper survey and will be hosted on the Internet. A URL
and instructions (including password and user IDs) for completing the web-based
survey will be included in the correspondence that accompanies the paper-based
surveys. When needed, the electronic survey instrument will be hosted on a secure
server. In the few instances where web-based surveys would be the primary data
collection method, customers will receive a survey announcement via an e-mail
message with a direct link to the web-based instrument. The e-mail will include
instructions for accessing and completing the web-based survey and will also
contain information on obtaining a paper-based survey and postage-paid return
envelope from the USPTO.
The USPTO envisions conducting both probability and non-probability surveys. For
mail and electronic surveys where the universe can be finitely defined, stratified random
samples will be selected using a computer program. Depending upon the analysis and
weighting needs, stratification will be based on the frequency of usage (how many
transactions they conducted in the given time period), affiliation (law firm, educational
institution, independent inventor, etc.), USPTO-related function (technology center,
discipline, etc.) or any combination of these factors. Based on the review of the
extracted universe, strata will be defined to provide sufficient cases for meaningful
comparison among groups or group-level estimates. Once the universe is stratified, the
random sample generator will be applied, based on total desired sample size, to provide
a representative sample. Since response rates typically vary among stratum, data
weighting will take place in the analysis phase to maintain representativeness. Optimal
sample allocation techniques may be employed if the variance within strata (based on
previous data collection efforts) dictate that simple random sampling is insufficient to
produce strata-level estimates. Again, weighting would be applied in the analysis phase
to ensure population representation.
Sample sizes will be dependent on expected response rates, resource constraints, and
desired statistical confidence. When estimates of the entire customer population are

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desired, samples will be selected to provide error margins of +/-5% at 95% confidence.
Confidence levels may be lowered to 90% if 95% appears prohibitive. Furthermore, if
group comparisons, trend analysis, and/or models are required, sample sizes will be
constructed to provide sufficient cases per variable or stratum. Significance testing will
be performed at the p=0.05 level and data variance (estimated from previous surveys)
will be used to ensure sample sizes are sufficient.
Non-probability surveys cover data efforts where respondents self-select themselves to
participate. The USPTO would simply offer a data collection instrument and let those
who choose to participate do so. Surveys placed in common areas are data collection
efforts where the USPTO would employ non-parametric analyses, but not make
inferences to the entire USPTO customer population. Specific sampling techniques
would not be used, and enumeration would remain open until sufficient responses for
meaningful indications were obtained.
For probability surveys where estimates can be made for the population as a whole,
base weights will be constructed at the time of sample selection. The base weight will
simply be the inverse of the sampling rate for each stratum. The final weight for each
responding customer is the product of the base weight times a nonresponse
adjustment. The nonresponse adjustment will take into account the response rate for
each stratum. The final weights will be incorporated into the data set and used in
relevant analyses to provide unbiased estimates for stratum-level estimates and the
selected customer population as a whole.
3. Methods to Maximize Responses
In an effort to enhance response rates, the various types of surveys are tested or
reviewed to ensure that questions and instructions are clear, relevant, and
unambiguous. Sending an additional survey is the most common method for
maximizing responses in surveys employing follow-up procedures. Furthermore, for
surveys where the USPTO expects at least 100 responses, customers will be provided
the option of completing the survey via paper and mail or via a web-based survey on the
Internet. All survey correspondence will identify a USPTO employee that the customer
can contact for questions or a specific survey need.
All sample surveys are expected to generate sufficient response that will produce
reliable data that can be generalized to the universe studied.
4. Testing of Procedures
The various types of surveys (and any associated instructions) are reviewed by USPTO
employees who use or are familiar with the product or service under study. In some
cases, the USPTO may pretest the various types of surveys with up to nine external
customers. The surveys are tested the first time that they are conducted.

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5. Contact for Statistical Aspects and Data Collection
The USPTO Office of Corporate Planning is responsible for coordinating and
administering the customer surveys and related data collection efforts. Jack Buie,
Director, Office of Corporate Planning, can be reached via phone at 571-272-6283.
Martin Rater is the agency resource for customer surveys and statistical projects, and
can be reached via phone at 571-272-5966 or via e-mail at Martin.Rater@uspto.gov.

LIST OF ATTACHMENTS
A.
B.
C.
D.
E.

E.O. 12862 Setting Customer Service Standards
USPTO Information Quality Guidelines
Telephone Surveys
Questionnaires and Customer Surveys (Paper and Electronic)
60-Day Federal Register Notice published on January 17, 2006 (Vol. 71, No. 10)

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