Patents External Quality Survey

Forms and Documents

Document Name	Status
Form PTO/2325 Patents External Quality Survey Form	Modified
EO 12862 Setting Customer Service Standards.pdf Supplementary Document	2022-05-24
0057 Supporting Statement May 2022 Final .docx Supporting Statement A	2022-05-25
0057 SuptStmnt Part B September 2022 Final.docx Supporting Statement B	2022-05-25
USPTO Quality Metrics.docx Supplementary Document	2022-05-24
USPTO Information Quality Guidelines.pdf Supplementary Document	2022-05-24
Westat_Technical_Proposal.pdf Supplementary Document	2022-05-24
Wave Advance Letter.pdf Supplementary Document	2022-05-24
External Quality Sampling Plan - Pages from Westat_Technical_Proposal.pdf Supplementary Document	2022-05-24
Script for Patents External Quality Survey Prompting Phone Calls.pdf Supplementary Document	2022-05-24
USPTO Quality Survey Cover Letter.pdf Supplementary Document	2022-05-24
USPTO Quality Survey Advance Letter.pdf Supplementary Document	2022-05-24

IC Document Collections

IC ID	Document Title	Status
43582	Patents External Quality Survey Form	Modified

ICR Details

OMB Control No: 0651-0057	ICR Reference No: 202205-0651-003
Status: Received in OIRA	Previous ICR Reference No: 201904-0651-001
Agency/Subagency: DOC/PTO	Agency Tracking No:
Title: Patents External Quality Survey
Type of Information Collection: Revision of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular	Date Submitted to OIRA: 05/25/2022

	Requested	Previously Approved
Expiration Date	36 Months From Approved	06/30/2022
Responses	3,100	2,500
Time Burden (Hours)	444	417
Cost Burden (Dollars)	0	0

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Abstract: This United States Patent and Trademark Office Quality Survey is an instrument designed to measure opinions about the services that USPTO provides its patent application customers. The results from this voluntary survey will assist us in guiding improvements and enhancements in the future. The USPTO conducts the Patents External Quality Survey as part of its quality improvement efforts under E.O. 14058, Transforming Federal Customer Experience and Service Delivery to Rebuild Trust in Government (Dec. 13, 2021). This survey narrows the focus of customer satisfaction to examination quality and uses a longitudinal, rotating panel design to assess changes in customer perceptions and to identify key areas for examiner training and opportunities for improvement. The USPTO surveys patent agents, attorneys, and other individuals from large domestic corporations (including those with 500+ employees), small and medium-size businesses, and universities and other non-profit research organizations. This survey does not include foreign entities. The USPTO random sample used in this survey is drawn from the Patent Application and Location Management (PALM) database. The sample population is drawn from the top filing firms and entities that have filed more than 5 patent applications in a 12-month period. This ongoing survey is generally conducted twice a year. USPTO uses a rotating panel design where participants will take the survey twice in back-to-back survey periods. Half the participants in each survey period are new, completing the survey for the first time, and half are returning to complete the survey for a second time. This design allows a precise measurement of changes in customer experience over time. The Patents External Quality Survey is primarily a web-based survey, although respondents can also complete the survey via paper and mail if they prefer. The content of both versions is identical. Potential respondents are sent either an email or mailed pre-survey letter, depending on noted preferences for contact. At the beginning of each survey period, respondents are provided instructions for accessing and completing the survey electronically. After a specified response period, a survey packet containing the questionnaire, a separate cover letter prepared by the Deputy Commissioner for Patents, and a postage-paid, pre-addressed return envelope are mailed to all sample members that have not yet submitted a response. Sampled members receiving a paper survey can still complete the survey electronically if they prefer. Reminder/thank you postcards and telephone calls are used to encourage response from sample members.

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Authorizing Statute(s): EO: EO 12862 Name/Subject of EO: Setting Customer Service Standards
  

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:
	87 FR 14517	03/15/2022
30-day Notice:	Federal Register Citation:	Citation Date:
	87 FR 31534	05/24/2022
Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 1

IC Title	Form No.	Form Name
Patents External Quality Survey	PTO/2325	Patents External Quality Survey

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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	3,100	2,500	0	600	0	0
Annual Time Burden (Hours)	444	417	0	18	9	0
Annual Cost Burden (Dollars)	0	0	0	0	0	0

Burden increases because of Program Change due to Agency Discretion: Yes

Burden Increase Due to: Miscellaneous Actions

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

Burden Reduction Due to:

Short Statement: Changes in Annual Responses and Time Burden due to Agency Discretion USPTO adds one item to this information collection to cover the Non-Response Follow-up Survey Card. This additional item adds 600 responses and 18 burden hours to the overall estimates. Changes in Estimated Annual Responses and Hourly Burdens due to Adjustment in Agency Estimate Increases in the number of burden hours (+9) is due to the increase in responses per respondent for the remaining items in this information collection.

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Annual Cost to Federal Government: $365,767

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.     No

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.     No

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: 05/25/2022

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