International Work Sharing Program

Forms and Documents

Document Name	Status
Form PTO/437-KR Petition for Participation in the Collaborative Search Pilot (CSP) Program Between the Korean Intellectual Property Office (KIPO) and the USPTO (Individuals or Households) Form	New
Form PTO/437-JP Petition for Participation in the Collaboration Search Pilot (CSP) Program Between the Japan Patent Office (JPO) and the USPTO (Individuals or Households) Form	New
Form PTO/461 CSP Stakeholder Survey (Individuals or Households) Form	New
Form PTO/437-KR Petition for Participation in the Collaborative Search Pilot (CSP) Program Between the Korean Intellectual Property Office (KIPO) and the USPTO (Private Sector) Form	Modified
Form PTO/437-JP Petition for Participation in the Collaboration Search Pilot (CSP) Program Between the Japan Patent Office (JPO) and the USPTO (Private Sector) Form	Modified
Form PTO/461 CSP Stakeholder Survey (Private Sector) Form	Modified
Patent Law Treaties Implementation Act of 2012.pdf Supplementary Document	2022-03-24
0651-0079 Supporting Statement 20220325.docx Supporting Statement A	2022-03-25
USPTO Information Quality Guidelines.pdf Supplementary Document	2022-03-21
0651-0079 Supporting Statement Part B 20220325.docx Supporting Statement B	2022-03-25

IC Document Collections

IC ID	Document Title	Status
252034	Petition for Participation in the Collaborative Search Pilot (CSP) Program Between the Korean Intellectual Property Office (KIPO) and the USPTO (Individuals or Households) Form	New
252033	Petition for Participation in the Collaboration Search Pilot (CSP) Program Between the Japan Patent Office (JPO) and the USPTO (Individuals or Households) Form	New
252031	CSP Stakeholder Survey (Individuals or Households) Form	New
234879	Petition for Participation in the Collaborative Search Pilot (CSP) Program Between the Korean Intellectual Property Office (KIPO) and the USPTO (Private Sector) Form	Modified
234877	Petition for Participation in the Collaboration Search Pilot (CSP) Program Between the Japan Patent Office (JPO) and the USPTO (Private Sector) Form	Modified
217207	CSP Stakeholder Survey (Private Sector) Form	Modified

ICR Details

OMB Control No: 0651-0079	ICR Reference No: 202202-0651-002
Status: Received in OIRA	Previous ICR Reference No: 202002-0651-001
Agency/Subagency: DOC/PTO	Agency Tracking No:
Title: International Work Sharing Program
Type of Information Collection: Revision of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular	Date Submitted to OIRA: 03/25/2022

	Requested	Previously Approved
Expiration Date	36 Months From Approved	04/30/2022
Responses	190	300
Time Burden (Hours)	445	470
Cost Burden (Dollars)	0	0

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Abstract: The United States Patent and Trademark Office (USPTO) established a Work Sharing Pilot Program in conjunction with the Japan Patent Office (JPO) and the Korean Intellectual Property Office (KIPO) to study how the exchange of search results between offices for corresponding counterpart applications improves patent quality and facilitates the examination of patent applications in both offices. Under this Work Sharing Pilot Program, two Collaborative Search Pilot (CSP) programs—USPTO–JPO and USPTO– KIPO—have been implemented. Through their respective CSP(s), each office concurrently conducts searches on corresponding counterpart applications. The exchange of information and documents between IP offices benefits applicants by promoting compact prosecution, reducing pendency, and supporting patent quality by reducing the likelihood of inconsistencies in patentability determinations among IP offices when considering corresponding counterpart applications. The gains in efficiency and quality are achieved through a collaborative work sharing approach to the evaluation of patent claims. As a result of this exchange of search reports, the examiners in both offices may have a more comprehensive set of references before them when making an initial patentability determination. This information collection is comprised of four items: The Petition to Make Special Under the Expanded Collaborative Search Pilot Program; Petition for Participation in the CSP Program Between the JPO and the USPTO; the Petition for Participation in the CSP Program Between the KIPO and the USPTO; and the CSP Survey. The Petitions to Make Special and for Participation are used by patent applicants to request participation in the CSP Program. The CSP Survey is used to collect feedback on the program’s value, monitor usage of the program, and to measure the benefits the program provides to participants.

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Authorizing Statute(s): US Code: 35 USC 119 Name of Law: Patent Law Treaties Implementation Act of 2012
  

Citations for New Statutory Requirements: None

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
	Not associated with rulemaking

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Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	86 FR 71045	12/14/2021
30-day Notice:	Federal Register Citation:	Citation Date:
	87 FR 17074	03/25/2022
Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 6

IC Title	Form No.	Form Name
CSP Stakeholder Survey (Individuals or Households)	PTO/461	CSP Stakeholder Survey
CSP Stakeholder Survey (Private Sector)	PTO/461	CSP Stakeholder Survey
Petition for Participation in the Collaboration Search Pilot (CSP) Program Between the Japan Patent Office (JPO) and the USPTO (Individuals or Households)	PTO/437-JP, PTO/437	Combined Petition to Make Special Under the Expanded Collaborative Search Pilot Program Between the USPTO and JPO ,   Petition to Make Special Under the Expanded Collaborative Search Pilot Program
Petition for Participation in the Collaboration Search Pilot (CSP) Program Between the Japan Patent Office (JPO) and the USPTO (Private Sector)	PTO/437-JP, PTO/437	Combined Petition to Make Special Under the Expanded Collaborative Search Pilot Program Between the USPTO and JPO ,   Petition to Make Special Under the Expanded Collaborative Search Pilot Program
Petition for Participation in the Collaborative Search Pilot (CSP) Program Between the Korean Intellectual Property Office (KIPO) and the USPTO (Individuals or Households)	PTO/437-KR, PTO/437	Combined Petition to Make Special Under the Expanded Collaborative Search Pilot Program Between the USPTO and KIPO ,   Petition to Make Special Under the Expanded Collaborative Search Pilot Program
Petition for Participation in the Collaborative Search Pilot (CSP) Program Between the Korean Intellectual Property Office (KIPO) and the USPTO (Private Sector)	PTO/437-KR, PTO/437	Combined Petition to Make Special Under the Expanded Collaborative Search Pilot Program Between the USPTO and KIPO ,   Petition to Make Special Under the Expanded Collaborative Search Pilot Program

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ICR Summary of Burden

	Total Request	Previously Approved	Change Due to New Statute	Change Due to Agency Discretion	Change Due to Adjustment in Estimate	Change Due to Potential Violation of the PRA
Annual Number of Responses	190	300	0	0	-110	0
Annual Time Burden (Hours)	445	470	0	0	-25	0
Annual Cost Burden (Dollars)	0	0	0	0	0	0

Burden increases because of Program Change due to Agency Discretion: No

Burden Increase Due to:

Burden decreases because of Program Change due to Agency Discretion: No

Burden Reduction Due to:

Short Statement: Decreases in the annual number of responses (-110) and annual burden hours (-25) are due to the estimated change in number of respondents and the number of responses per respondent. This adjustment reflects the fact that many respondents under the CSP file multiple petitions which led to a corresponding reduction in the estimated number of surveys.

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Annual Cost to Federal Government: $3,450

Does this IC contain surveys, censuses, or employ statistical methods? Yes Part B of Supporting Statement

Does this ICR request any personally identifiable information (see OMB Circular No. A-130 for an explanation of this term)? Please consult with your agency's privacy program when making this determination.     Yes

Does this ICR include a form that requires a Privacy Act Statement (see 5 U.S.C. §552a(e)(3))? Please consult with your agency's privacy program when making this determination.     Yes

Is this ICR related to the Affordable Care Act [Pub. L. 111-148 & 111-152]? No

Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]? No

Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)? No

Is this ICR related to the Pandemic Response? No

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Common Form ICR:  No

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On behalf of this Federal agency, I certify that the collection of information encompassed by this request complies with 5 CFR 1320.9 and the related provisions of 5 CFR 1320.8(b)(3).

The following is a summary of the topics, regarding the proposed collection of information, that the certification covers:

(a) It is necessary for the proper performance of agency functions;

(b) It avoids unnecessary duplication;

(c) It reduces burden on small entities;

(d) It uses plain, coherent, and unambiguous language that is understandable to respondents;

(e) Its implementation will be consistent and compatible with current reporting and recordkeeping practices;

(f) It indicates the retention periods for recordkeeping requirements;

(g) It informs respondents of the information called for under 5 CFR 1320.8 (b)(3) about:

(i) Why the information is being collected;

(ii) Use of information;

(iii) Burden estimate;

(iv) Nature of response (voluntary, required for a benefit, or mandatory);

(v) Nature and extent of confidentiality; and

(vi) Need to display currently valid OMB control number;

(h) It was developed by an office that has planned and allocated resources for the efficient and effective management and use of the information to be collected.

(i) It uses effective and efficient statistical survey methodology (if applicable); and

(j) It makes appropriate use of information technology.

If you are unable to certify compliance with any of these provisions, identify the item by leaving the box unchecked and explain the reason in the Supporting Statement.

Certification Date: 03/25/2022

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