Sect B 2007 UPAS just

SUPPORTING STATEMENT
United States Patent and Trademark Office
United States Patent Applicant Survey
OMB Control No. 0651-0052

B.

COLLECTION OF INFORMATION EMPLOYING STATISTICAL METHODS

1.

Universe and Respondent Selection

The respondent pool for this survey is made up of the businesses, organizations, and
individuals who typically file patent applications. The USPTO plans to survey large,
medium, and small-sized domestic corporations, universities and other non-profit
research organizations, and independent inventors. Forecasts on foreign entities will be
made available by EPO and JPO survey corporations in Europe and Japan.
In fiscal year 2007, the USPTO received patent applications from both large and small
entities. Table 3 shows the percentage of total applications received in recent years
from each stratum.
Table 3: Respondent Pool for the United States Patent Applicant Survey
Stratum

Percent of Total Applications

Large Domestic Corporations

14%

Small to Medium-Size Businesses

7%

Universities and Non-Profit Research Organizations

20%

Independent Inventors

20%

a.

Sampling Method. The sampling method for this survey varies depending on
whether the survey is targeting a large or a small entity. The sampling methods
used for the large domestic corporations, the small and medium-size domestic
businesses, universities and non-profit research organizations, and the
independent inventors are described below:
(1)

Large Domestic Corporations

For the 2007 survey, the USPTO selected a sample consisting of the top 185
patent-generating corporations headquartered in the United States. The sample
selected for survey purposes represents less than one percent (.81%) of the
entire respondent pool. These organizations were chosen based on the 2006
patent data plus input received from an industry professional organization, the
Association of Corporate Patent Counsel (ACPC). The ACPC maintains a

1

mailing list of corporate patent-generating entities.
The top 185 corporations represent entities that Synovate will sample with
certainty to create a representative design. This group generates the most
patents of any customer group (34%). Overall, the structure of the patent
applications is extremely stable, even after experiencing much growth in recent
years. Within the top 185 patent-generating corporations, the USPTO has found
that the applications fall consistently within the same patent application areas. If
a sample of the top 185 patent-generating corporations were to be taken today,
the sample would be representative of the top 185 corporations of last year.
Following the 2007 survey, Synovate has complete contact information for the
top 185 large corporations.
In addition to the top 185 patent-generating corporations, the USPTO will also
survey large corporations consisting of 500 employees or more. The USPTO will
sample a list of large corporations with 500 or more employees from a database
maintained in-house by the USPTO listing all assignees of US origin utility
patents granted in calendar year 2006. Synovate will then request contact
information for the final sample from Dun and Bradstreet.
(2)

Small and Medium-Size Domestic Businesses

This sample group is defined as all domestic patent-generating corporations of
less than 500 employees. This group typically accounts for 6% of domestic
patent generation. The USPTO will select a sample of small to medium-size
businesses from a database maintained in-house by the USPTO that includes all
domestic patent-generating corporations, U.S. research institutions, government
agencies, and non-profit research organizations. For the final sample, Synovate
will request contact information from Dun and Bradstreet.
(3)

Universities and Non-Profit Research Organizations

For the 2007 survey, the USPTO selected a sample of the top 51 patentgenerating universities based in the United States. These universities were
selected based on 1969-2006 patent data maintained in-house by the USPTO.
(4)

Independent Inventors

A nationally representative sample of independent inventors will come from a
database of independent inventors maintained in-house by the USPTO. Also,
Synovate’s online Consumer Opinion Panel will identify independent inventors
who had never applied for a patent, but who might intend to do so in the future.
Synovate will review the file to ensure that each independent inventor is
represented once and receives a single survey packet.

2

Table 4 shows projections of the number of completed surveys that the USPTO expects
to receive from each of the target groups:
Table 4: Projections of Completed Surveys for the Target Groups
Target Groups

Number of Completed Surveys (Mail and
Electronic)

Large Domestic Corporations

80

Small and Medium-Size Businesses

55

Universities and Other Non-Profit Research Organizations

15

Independent Inventors

250

b. Response Rates. Based on results from the 2007 survey, the USPTO expects
that the response rates will vary by group. The response rates for the different
groups are described below:
(1)

Large Domestic Corporations

Based on results from the 2007 survey, the USPTO anticipates a 21% response
rate, or 40 completed questionnaires, from the leading patent-generating
corporations. In 2008, the USPTO has more complete contact information for the
185 top-patenting corporations surveyed last year after the follow-up calls to
each of the corporations. This information is expected to improve the overall
response rate. With each questionnaire taking approximately 30 minutes to
complete (since most respondents are expected to mail the survey or complete it
online), the burden to the public will be approximately 21 hours. Based on the
last survey, a third of respondents are expected to complete the survey online
this year, and the rest are expected to complete the mail survey). Response time
for both mail and online surveys is estimated at 30 minutes.
For the large businesses consisting of 500 employees or more (excluding the
185 top-patenting domestic corporations), the USPTO anticipates a response
rate of 10%, or 40 completed questionnaires. With each questionnaire taking
approximately 30 minutes to complete (the questionnaire for this group will be
identical to the one for large domestic corporations), the burden to the public will
be approximately 20 hours. As is the case with the top 185 corporations, a third
of this group is also expected to respond online, taking approximately 30 minutes
to complete the survey.
(2)

Small to Medium-Size Businesses

Based on results from the 2007 survey, the USPTO anticipates a 7% response
rate, or 55 completed questionnaires. This year, a pre-notification card will be
mailed asking respondents to confirm the person and the address to which the

3

survey should be mailed, which in turn should increase the response rate. With
each questionnaire taking approximately 30 minutes to complete, the burden to
the public will be approximately 28 hours. According to last year’s survey, a third
of respondents in small to medium-size businesses are also expected to respond
online, taking 30 minutes to complete the survey.
(3)

Universities and Non-Profit Research Organizations

Based on results from the 2007 survey, the USPTO expects to achieve a
response rate of 20% or 15 completed surveys. The follow-up calls made to the
51 top-generating universities last year yielded more accurate contact
information. The burden to the public will be approximately 8 hours given that
the questionnaire will take approximately 30 minutes to complete. A third of this
group is expected to respond online.
(4)

Independent Inventors

Based on results from the 2007 survey, the USPTO anticipates a response rate
of 20%, or 250 completed surveys. Since the questionnaire for this group will
only focus on the counts of past and future patent applications (omitting all
questions on contact information for subsidiaries), the questionnaire is estimated
to take approximately 15 minutes to complete. The burden to the public will
therefore be approximately 63 hours. As with all other target groups, a third of
independent inventors are expected to complete the survey online.
2.

Procedures for Collecting Information

The USPTO’s survey contractor, Synovate, will mail the survey to all of the groups –
large domestic corporations, small to medium-size businesses, universities and nonprofit research organizations, and independent inventors. A personalized label will be
inserted on the survey packet envelope in order to reach the specified respondent. All
versions of the questionnaire (one for the large domestic corporations and for small and
medium-sized businesses and one for universities, non-profit research organizations,
and independent inventors) will include a cover letter explaining that the USPTO is
sponsoring the survey and that all responses will remain confidential. The letter to the
large corporations (top 185 patent-generating corporations) and to the universities and
non-profit research organizations will also inform respondents that they will be receiving
a phone call from a Synovate employee within one to two weeks to answer any
questions they may have.
During the follow-up calls, Synovate employees will use a script developed in
collaboration with the USPTO. If the specified respondent is not the person qualified to
respond to the survey, he or she will be given the opportunity to re-route the survey to a
more appropriate respondent. If this option is selected, the new respondent will be
instructed to provide accurate contact data on the questionnaire. If the qualified

4

respondent chooses to complete the questionnaire over the phone, a Synovate
employee will guide him or her through the same questionnaire the respondent received
in the mail. For all other groups – large businesses (more than 500 employees
excluding the top 185 patent-generating businesses), small to medium-size domestic
corporations, and independent inventors – a reminder card will be sent to remind
respondents to complete the survey.
In order to improve the response rate achieved in the 2007 survey, a pre-notification
letter will be sent to all groups informing them of the purpose of the survey. For all
groups, the pre-notification letter will ask respondents to confirm their contact
information. If the contact information is incorrect, they will be asked to nominate the
appropriate person to complete the survey.
The information will be collected from the different groups as described below:
a.

Large Domestic Corporations
The survey packet will include a four-page questionnaire booklet and a postagepaid pre-addressed return envelope. The cover letter will be printed on the front
cover of the booklet. For large domestic corporations, we will request that the
entity responding to the questionnaire include patent submission data in
aggregate – including all subsidiary data. If the responding entity is not able to
include this information, we will request the names and contact data of up to
three subsidiaries that submit the most patent applications. The USPTO will
include the specified subsidiaries in subsequent administrations of the survey.
The 2007 survey with 80 respondents showed that the requested information is
readily available in most cases, taking approximately 30 minutes to complete
using the mail or online option. For those respondents who offered their
responses over the phone during a follow-up call, the collection took between five
to ten minutes depending on how much of the questionnaire was previously
completed. Although collection time over the phone ranged between five to ten
minutes, most respondents chose to complete the mail or online survey.
Therefore, collection time for the full study is estimated at 30 minutes with the
expectation that most respondents will respond to the survey by mail or online.
Synovate and the USPTO have developed a script for Synovate employees to
use during follow-up calls. After going over the script, a Synovate employee will
guide respondents through the same questionnaire as the one sent to them by
mail. Follow-up calls will only be made to the top 185 patent-generating entities.
For the large businesses (more than 500 employees excluding the top 185
patent-generating businesses), Synovate will also send a notification card to
inform respondents about the survey and to confirm the contact information. For
this group, reminder cards will also be sent to remind them of the survey instead
of follow-up calls, as in the case of the top 185 patent-generating corporations

5

and universities and non-profit research organizations.
b.

Small Domestic Corporations
The survey packet for this group will be identical to the one sent to the large
corporations. It will include a four-page questionnaire booklet and a postagepaid pre-addressed return envelope. The cover letter will be printed on the front
cover of the booklet. We will request that the entity responding to the
questionnaire include patent submission data in aggregate – including all
subsidiary data. If the responding entity is not able to include this information, we
will request the names and contact data of up to three subsidiaries that submit
the most patent applications. The USPTO will include the specified subsidiaries
in subsequent administrations of the survey. Reminder cards will be sent.

c.

Universities and Non-Profit Research Organizations
The survey packet for the universities will include a three-page questionnaire
booklet and a postage-paid pre-addressed return envelope. The questionnaire
aimed at this group will include counts on both domestic and international filings,
but it will exclude any information on subsidiaries. For universities and non-profit
research organizations, we anticipate that data collection will take approximately
30 minutes. Follow-up calls will be made.

d.

Independent Inventors
The survey packet for the independent inventors will include a three-page
questionnaire with a cover letter and a postage-paid, pre-addressed return
envelope. For independent inventors, we anticipate that data collection will take
15 minutes. This estimate is based on the fact that the survey itself is three
pages long; on the assumption that since independent inventors file fewer
applications over time than large and small domestic corporations and
universities and non-profit research organizations, their information is “top-ofmind”; and on the fact that typically one person has complete knowledge of
patent activity, alleviating the need to consult within a department to tally all
applications submitted by the group. Reminder cards will be sent.

3.

Methods to Maximize Responses

In order to maximize the number of responses received from the survey, the USPTO
plans to follow-up with contacts after the initial survey is sent to them. In the case of
large corporations (top 185 patent-generating corporations) and universities and nonprofit research organizations, the USPTO’s survey contractor, Synovate, will telephone
all of the non-respondents to assist them in answering the questionnaire; to collect new
contact information, in the event that a different respondent is completing the survey (in
which case, Synovate will call the newly named contact); or to collect the survey data

6

from them. A script has been developed for these phone calls so that everyone
conducting these interviews asks the same questions, in the same manner. Follow-up
phone calls will be made approximately two weeks after the initial survey is mailed to
the contacts.
For the large businesses (more than 500 employees excluding the top 185 patentgenerating businesses) and small to medium-size businesses, a notification card will be
sent to inform respondents about the purpose of the survey and to confirm the contact
information of the respondent. Reminder cards will be mailed to the contacts a week
after the initial survey is sent to large businesses (excluding the 185 large corporations),
small to medium-size businesses, and independent inventors.
4.

Testing of Procedures

In 2001, the USPTO conducted a pilot study to develop and test the methodology for full
estimation of all patent-generating entities. The pilot study was conducted only among
the top patent-generating companies headquartered in the United States (large entities
are the most difficult to survey due to their size). Synovate received a sample list of 350
patent-generating entities from the USPTO, and after eliminating universities, foreign
entities, and non-profit research organizations, Synovate mailed surveys to 162
corporations. The survey packet included a 4-page questionnaire booklet with a cover
letter on the front and a business reply envelope. The survey instrument included
questions on subsidiaries, domestic and international patent filings, general feedback
concerning industry trends, and feedback on the survey itself. Follow-up interviews
were conducted two weeks after the initial mailing. Fifty-one companies completed and
returned the survey.
The lessons learned and implemented in future waves of the survey were:
•
•
•
•
•

5.

confirm the contact information before mailing the surveys;
offer two survey completion options – mail and online;
identify individuals that would oversee the completion of the survey;
use the USPTO logo on the envelope as it carries great influence; and
conduct follow-up calls to remind respondents to complete the survey as well as
answer any questions.
Contact for Statistical Aspects and Data Collection

The Office of Corporate Planning of the USPTO is responsible for conducting the United
States Patent Applicant Survey. Gus Mastrogianis, Economist, is the point of contact
for this survey and can be reached by phone at 571-272-6292 or by e-mail at
[email protected]. The names and telephone numbers for the individuals
from Synovate who consulted on the statistical aspects of the survey and who are
conducting the survey under the direction of the USPTO are:

7

Michael Randell
Synovate
312-526-4789
[email protected]
Lefki Anastasiou
Senior Study Director
Synovate
703-790-9099, ext 128
[email protected]

8