0651-0058-SupStmt-Dec2011

SUPPORTING STATEMENT
United States Patent and Trademark Office
Patent Prosecution Highway (PPH) Program
OMB CONTROL NUMBER 0651-0058
(December 2011)

A.

JUSTIFICATION

1.

Necessity of Information Collection

The Patent Prosecution Highway (PPH) pilot program was originally established between
the United States Patent and Trademark Office (USPTO) and the Japan Patent Office
(JPO) on July 3, 2006. The USPTO and the JPO agreed at the November 2007 Trilateral
Conference to fully implement the PPH program on a permanent basis starting on January
4, 2008.
The USPTO entered into a PPH pilot program with the United Kingdom Intellectual Property
Office (UKIPO) on September 4, 2007. Since then, additional PPH pilot programs have
been established between the USPTO and the intellectual property offices of several other
countries. Some of the pilot programs, such as those with Japan, Canada, and South
Korea, have become permanent.
The PPH program allows applicants whose claims are determined to be patentable in the
office of first filing to have the corresponding application that is filed in the office of second
filing be advanced out of turn for examination. At the same time, the PPH program allows
the office of second filing to exploit the search and examination results of the office of first
filing, which increases examination efficiency and improves patent quality. The PCT-PPH
pilot program is an expansion to the PPH program based on the framework of the Patent
Cooperation Treaty (PCT). Information collected for the PCT is approved under OMB
control number 0651-0021.
PPH agreements streamline the patent system by allowing patent examiners to avail
themselves of the work product from other participating patent offices. Originally, the PPH
program was limited to the utilization of search and examination results of national
applications between cross filings under the Paris Convention. The newer PCT-PPH
agreements have greatly expanded the potential of the PPH program by permitting
participating patent offices to draw upon the positive results of the PCT work product from
another participating office. The PCT-PPH pilot program uses international written opinions
and international preliminary examination reports developed within the framework of the
PCT, thereby making the PPH program available to a larger number of applicants.
The forms in this collection allow participants to file a request in a corresponding U.S.
application and petition to make the U.S. application special under the PPH or PCT-PPH
program. The PPH forms collect similar data; however, there is a unique form for each

participant. This collection includes forms for these current PPH programs with the
USPTO: Japan Patent Office (JPO), United Kingdom Intellectual Property Office (UKIPO),
Canadian Intellectual Property Office (CIPO), Danish Patent and Trademark Office
(DKPTO), European Patent Office (EPO), Korean Intellectual Property Office (KIPO),
Intellectual Property Office of Australia (IPAU), Intellectual Property Office of Singapore
(IPOS), German Patent and Trade Mark Office (DPMA), National Board of Patents and
Registration of Finland (NBPR), Russian Patent Office (ROSPATENT), Hungarian Patent
Office (HPO), Spanish Patent and Trademark Office (SPTO), Austrian Patent Office (APO),
Mexican Institute of Industrial Property (IMPI), Israeli Patent Office, and Taiwan Intellectual
Property Office (TIPO). This collection also includes forms for these upcoming PPH
programs that are being planned with the USPTO: State Intellectual Property Office of the
P.R.C. (SIPO) and Instituto Nacional da Propriedade Industrial (INPI).
This collection includes forms for these current PCT-PPH pilot programs with the USPTO:
EPO, JPO, KIPO, APO, ROSPATENT, SPTO, IPAU, NBPR, Swedish Patent and
Registration Office (PRV), Nordic Patent Institute (NPI), and in U.S. applications where the
USPTO was the International Searching Authority (ISA) or International Preliminary
Examining Authority (IPEA). This collection also includes forms for these upcoming PCTPPH pilot programs that are being planned with the USPTO: CIPO and SIPO.
The USPTO is proposing to add two forms to this collection (PTO/SB/20NO and
PTO/SB/20IS) for new participants in the PPH pilot program. The USPTO launched the
PPH pilot program with the Norwegian Industrial Property Office (NIPO) on November 1,
2011, and the Icelandic Patent Office (IPO) on December 1, 2011.
Table 1 provides the specific statutes and regulations authorizing the USPTO to collect the
information discussed above:
Table 1: Information Requirements for the PPH Program
Requirement

Statute

Rule

Request for Participation in the PPH Program Between
the USPTO and the JPO, UKIPO, CIPO, KIPO, IPAU,
EPO, DKPTO, IPOS, DPMA, NBPR, ROSPATENT,
HPO, SPTO, APO, Israeli Patent Office, IMPI, SIPO,
INPI, TIPO, NIPO, or IPO

35 U.S.C. § 119

37 CFR 1.55 and 1.102(a)

Request for Participation in the PCT-PPH Pilot Program
Between the USPTO and the EPO, JPO, KIPO, APO,
ROSPATENT, SPTO, IPAU, CIPO, NBPR, PRV, NPI, or
SIPO

35 U.S.C. § 119

37 CFR 1.55 and 1.102(a)

Request for Participation in the PCT-PPH Pilot Program
in a U.S. Application Where the USPTO was the ISA or
IPEA

None

37 CFR 1.55 and 1.102(a)

2

2.

Needs and Uses

This information collection is necessary so that patent applicants may participate in the
PPH or PCT-PPH programs between the USPTO and other patent offices in order to
receive the benefits of more efficient examination. The USPTO provides forms to assist the
public with requesting participation and submitting the required information for each
program.
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 this information collection and its supporting statement comply with all
applicable information quality guidelines, i.e. 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.
Table 2 outlines how this collection of information is used by the public and the USPTO:
Table 2: Needs and Uses of Information Collection for the PPH Program
Form and Function

Form #

Needs and Uses

Request for Participation in the PPH
Program Between the JPO and the
USPTO

PTO/SB/20JP

•

Request for Participation in the PPH
Pilot Program Between the UKIPO
and the USPTO

PTO/SB/20UK

Request for Participation in the PPH
Program Between the CIPO and the
USPTO

PTO/SB/20CA

Request for Participation in the PPH
Program Between the KIPO and the
USPTO

PTO/SB/20KR

Request for Participation in the PPH
Pilot Program Between the IPAU and
the USPTO

PTO/SB/20AU

Request for Participation in the PPH
Pilot Program Between the EPO and
the USPTO

PTO/SB/20EP

•

•
•

•
•

•
•

•
•

•
•

Used by the public to request participation in the program
and submit the required information.
Used by the USPTO to determine whether the applicant is
eligible for the program and to advance the examination of
eligible applications.
Used by the public to request participation in the pilot
program and submit the required information.
Used by the USPTO to determine whether the applicant is
eligible for the pilot program and to advance the
examination of eligible applications.
Used by the public to request participation in the program
and submit the required information.
Used by the USPTO to determine whether the applicant is
eligible for the pilot program and to advance the
examination of eligible applications.
Used by the public to request participation in the program
and submit the required information.
Used by the USPTO to determine whether the applicant is
eligible for the pilot program and to advance the
examination of eligible applications.
Used by the public to request participation in the pilot
program and submit the required information.
Used by the USPTO to determine whether the applicant is
eligible for the pilot program and to advance the
examination of eligible applications.
Used by the public to request participation in the pilot
program and submit the required information.
Used by the USPTO to determine whether the applicant is
eligible for the pilot program and to advance the
examination of eligible applications.

Form and Function

Form #

Needs and Uses

Request for Participation in the PPH
Pilot Program Between the DKPTO
and the USPTO

PTO/SB/20DK

•

Request for Participation in the PPH
Pilot Program Between the IPOS
and the USPTO

PTO/SB/20SG

Request for Participation in the PPH
Pilot Program Between the DPMA
and the USPTO

PTO/SB/20DE

Request for Participation in the PPH
Pilot Program Between the NBPR
and the USPTO

PTO/SB/20FI

Request for Participation in the PPH
Pilot Program Between the
ROSPATENT and the USPTO

PTO/SB/20RU

Request for Participation in the PPH
Pilot Program Between the HPO and
the USPTO

PTO/SB/20HU

Request for Participation in the PPH
Pilot Program Between the SPTO
and the USPTO

PTO/SB/20ES

Request for Participation in the PPH
Pilot Program Between the APO and
the USPTO

PTO/SB/20AT

Request for Participation in the PPH
Pilot Program Between the Israeli
Patent Office and the USPTO

PTO/SB/20IL

Request for Participation in the PPH
Pilot Program Between the IMPI and
the USPTO

PTO/SB/20MX

Request for Participation in the PPH
Pilot Program Between the SIPO
and the USPTO

PTO/SB/20CN

•

•
•

•
•

•
•

•
•

•
•

•
•

•
•

•
•

•
•

•
•

4

Used by the public to request participation in the pilot
program and submit the required information.
Used by the USPTO to determine whether the applicant is
eligible for the pilot program and to advance the
examination of eligible applications.
Used by the public to request participation in the pilot
program and submit the required information.
Used by the USPTO to determine whether the applicant is
eligible for the pilot program and to advance the
examination of eligible applications.
Used by the public to request participation in the pilot
program and submit the required information.
Used by the USPTO to determine whether the applicant is
eligible for the pilot program and to advance the
examination of eligible applications.
Used by the public to request participation in the pilot
program and submit the required information.
Used by the USPTO to determine whether the applicant is
eligible for the pilot program and to advance the
examination of eligible applications.
Used by the public to request participation in the pilot
program and submit the required information.
Used by the USPTO to determine whether the applicant is
eligible for the pilot program and to advance the
examination of eligible applications.
Used by the public to request participation in the pilot
program and submit the required information.
Used by the USPTO to determine whether the applicant is
eligible for the pilot program and to advance the
examination of eligible applications.
Used by the public to request participation in the pilot
program and submit the required information.
Used by the USPTO to determine whether the applicant is
eligible for the pilot program and to advance the
examination of eligible applications.
Used by the public to request participation in the pilot
program and submit the required information.
Used by the USPTO to determine whether the applicant is
eligible for the pilot program and to advance the
examination of eligible applications.
Used by the public to request participation in the pilot
program and submit the required information.
Used by the USPTO to determine whether the applicant is
eligible for the pilot program and to advance the
examination of eligible applications.
Used by the public to request participation in the pilot
program and submit the required information.
Used by the USPTO to determine whether the applicant is
eligible for the pilot program and to advance the
examination of eligible applications.
Used by the public to request participation in the pilot
program and submit the required information.
Used by the USPTO to determine whether the applicant is
eligible for the pilot program and to advance the
examination of eligible applications.

Form and Function

Form #

Needs and Uses

Request for Participation in the PPH
Pilot Program Between the INPI and
the USPTO

PTO/SB/20BR

•

Request for Participation in the PPH
Pilot Program Between the TIPO and
the USPTO

PTO/SB/20TW

Request for Participation in the PPH
Pilot Program Between the NIPO
and the USPTO

PTO/SB/20NO

Request for Participation in the PPH
Pilot Program Between the IPO and
the USPTO

PTO/SB/20IS

Request for Participation in the PCTPPH Pilot Program Between the
EPO and the USPTO

PTO/SB/20PCT-EP

Request for Participation in the PCTPPH Pilot Program Between the JPO
and the USPTO

PTO/SB/20PCT-JP

Request for Participation in the PCTPPH Pilot Program Between the
KIPO and the USPTO

PTO/SB/20PCT-KR

Request for Participation in the PCTPPH Pilot Program Between the
APO and the USPTO

PTO/SB/20PCT-AT

Request for Participation in the PCTPPH Pilot Program Between the
ROSPATENT and the USPTO

PTO/SB/20PCT-RU

Request for Participation in the PCTPPH Pilot Program Between the
SPTO and the USPTO

PTO/SB/20PCT-ES

Request for Participation in the PCTPPH Pilot Program Between the
IPAU and the USPTO

PTO/SB/20PCT-AU

•

•
•

•
•

•
•

•
•

•
•

•
•

•
•

•
•

•
•

•
•

5

Used by the public to request participation in the pilot
program and submit the required information.
Used by the USPTO to determine whether the applicant is
eligible for the pilot program and to advance the
examination of eligible applications.
Used by the public to request participation in the pilot
program and submit the required information.
Used by the USPTO to determine whether the applicant is
eligible for the pilot program and to advance the
examination of eligible applications.
Used by the public to request participation in the pilot
program and submit the required information.
Used by the USPTO to determine whether the applicant is
eligible for the pilot program and to advance the
examination of eligible applications.
Used by the public to request participation in the pilot
program and submit the required information.
Used by the USPTO to determine whether the applicant is
eligible for the pilot program and to advance the
examination of eligible applications.
Used by the public to request participation in the pilot
program and submit the required information.
Used by the USPTO to determine whether the applicant is
eligible for the pilot program and to advance the
examination of eligible applications.
Used by the public to request participation in the pilot
program and submit the required information.
Used by the USPTO to determine whether the applicant is
eligible for the pilot program and to advance the
examination of eligible applications.
Used by the public to request participation in the pilot
program and submit the required information.
Used by the USPTO to determine whether the applicant is
eligible for the pilot program and to advance the
examination of eligible applications.
Used by the public to request participation in the pilot
program and submit the required information.
Used by the USPTO to determine whether the applicant is
eligible for the pilot program and to advance the
examination of eligible applications.
Used by the public to request participation in the pilot
program and submit the required information.
Used by the USPTO to determine whether the applicant is
eligible for the pilot program and to advance the
examination of eligible applications.
Used by the public to request participation in the pilot
program and submit the required information.
Used by the USPTO to determine whether the applicant is
eligible for the pilot program and to advance the
examination of eligible applications.
Used by the public to request participation in the pilot
program and submit the required information.
Used by the USPTO to determine whether the applicant is
eligible for the pilot program and to advance the
examination of eligible applications.

Form and Function

Form #

Needs and Uses

Request for Participation in the PCTPPH Pilot Program Between the
CIPO and the USPTO

PTO/SB/20PCT-CA

•

Request for Participation in the PCTPPH Pilot Program Between the
NBPR and the USPTO

PTO/SB/20PCT-FI

Request for Participation in the PCTPPH Pilot Program Between the
PRV and the USPTO

PTO/SB/20PCT-SE

Request for Participation in the PCTPPH Pilot Program Between the NPI
and the USPTO

PTO/SB/20PCT-NPI

Request for Participation in the PCTPPH Pilot Program Between the
SIPO and the USPTO

PTO/SB/20PCT-CN

Request for Participation in the PCTPPH Pilot Program in a U.S.
Application Where the USPTO was
the ISA or IPEA

PTO/SB/20PCT-US

3.

•

•
•

•
•

•
•

•
•

•
•

Used by the public to request participation in the pilot
program and submit the required information.
Used by the USPTO to determine whether the applicant is
eligible for the pilot program and to advance the
examination of eligible applications.
Used by the public to request participation in the pilot
program and submit the required information.
Used by the USPTO to determine whether the applicant is
eligible for the pilot program and to advance the
examination of eligible applications.
Used by the public to request participation in the pilot
program and submit the required information.
Used by the USPTO to determine whether the applicant is
eligible for the pilot program and to advance the
examination of eligible applications.
Used by the public to request participation in the pilot
program and submit the required information.
Used by the USPTO to determine whether the applicant is
eligible for the pilot program and to advance the
examination of eligible applications.
Used by the public to request participation in the pilot
program and submit the required information.
Used by the USPTO to determine whether the applicant is
eligible for the pilot program and to advance the
examination of eligible applications.
Used by the public to request participation in the pilot
program and submit the required information.
Used by the USPTO to determine whether the applicant is
eligible for the pilot program and to advance the
examination of eligible applications.

Use of Information Technology

The forms associated with this collection may be downloaded from the USPTO Web site in
Portable Document Format (PDF) and filled out electronically. Requests to participate in
the PPH and PCT-PPH programs must be submitted online using EFS-Web, the USPTO’s
Web-based electronic filing system.
EFS-Web allows customers to file patent applications and associated documents
electronically through their standard Web browser without downloading special software,
changing their document preparation tools, or altering their workflow processes. Typically,
the customer will prepare the forms or documents as standard PDF files and then upload
them to the USPTO servers using the secure EFS-Web interface. EFS-Web offers many
benefits to filers, including immediate notification that a submission has been received by
the USPTO, automated processing of requests, and avoidance of postage or other paper
delivery costs.
4.

Efforts to Identify Duplication

The information collected is required to process requests to participate in the PPH or PCTPPH programs and enable fast-track examination. This information is not collected
6

elsewhere and does not result in a duplication of effort. If any of the documents required
for participation in the programs have already been filed in the U.S. application, the
applicant will not need to resubmit those documents and may simply indicate in the request
for participation when the documents were previously filed.
5.

Minimizing the Burden to Small Entities

This collection does not impose a significant economic burden on small entities or small
businesses. The information required by this collection provides the USPTO with the
necessary materials for expediting the examination of applications that are eligible for the
programs. The same information is required from every applicant and is not available from
any other source.
6.

Consequences of Less Frequent Collection

This information is collected only when the public submits a request to participate in the
PPH or PCT-PPH program. This information could not be collected less frequently. If this
information were not collected, the USPTO would not be able to fulfill its obligations under
these programs and provide the ensuing examination benefits to eligible applicants.
7.

Special Circumstances in the Conduct of Information Collection

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

Consultations Outside the Agency

The 60-Day Notice was published in the Federal Register on July 8, 2011 (76 Fed. Reg.
40339). The comment period ended on September 6, 2011. No public comments were
received.
The USPTO has long-standing relationships with groups from whom patent application data
is collected, such as the American Intellectual Property Law Association (AIPLA), as well as
patent bar associations, independent inventor groups, and users of our public facilities.
Their views are expressed in regularly scheduled meetings and considered in developing
proposals for information collection requirements. There have been no comments or
concerns expressed by these or similar organizations concerning the time required to
provide the information required under this program.
9.

Payment or Gifts to Respondents

This information collection does not involve a payment or gift to any respondent.
10.

Assurance of Confidentiality

Confidentiality of patent applications is governed by statute (35 U.S.C. § 122) and
regulation (37 CFR 1.11 and 1.14). The USPTO has a legal obligation to maintain the
7

confidentiality of the contents of unpublished patent applications and related documents.
The USPTO employs digital certificates and Public Key Infrastructure (PKI) technology to
permit only authorized individuals to access private patent application information and to
maintain the confidentiality and integrity of the information as it is transmitted over the
Internet. Upon publication of an application or issuance of a patent, the patent application
file is made available to the public, subject to the provisions for providing only a redacted
copy of the file contents.
11.

Justification of Sensitive Questions

None of the required information in this collection is considered to be sensitive.
12.

Estimate of Hour and Cost Burden to Respondents

Table 3 calculates the burden hours and costs of this information collection to the public,
based on the following factors:
•

Respondent Calculation Factors
The USPTO estimates that it will receive approximately 3,900 responses per year
for this collection, with approximately 10% of these responses submitted by small
entities. All requests for participation in the PPH or PCT-PPH program, which
account for 100% of the total responses for this collection, will be submitted
electronically via EFS-Web.

•

Burden Hour Calculation Factors
The USPTO estimates that it will take the public approximately two hours to gather
the necessary information, prepare the appropriate form, and submit a completed
request to the USPTO.

•

Cost Burden Calculation Factors
The USPTO uses a professional rate of $340 per hour for respondent cost burden
calculations, which is the median rate for attorneys in private firms as shown in the
2011 Report of the Economic Survey published by the American Intellectual
Property Law Association (AIPLA).

8

Table 3: Burden Hours/Burden Costs to Respondents for the PPH Program
Item/Form No.

Hours
(a)

Responses
(yr)
(b)

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

Rate
($/hr)
(d)

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

Request for Participation in the PPH
Program Between the JPO and the
USPTO (PTO/SB/20JP)

2.0

500

1,000

$340.00

$340,000.00

Request for Participation in the PPH
Pilot Program Between the UKIPO and
the USPTO (PTO/SB/20UK)

2.0

100

200

$340.00

$68,000.00

Request for Participation in the PPH
Program Between the CIPO and the
USPTO (PTO/SB/20CA)

2.0

100

200

$340.00

$68,000.00

Request for Participation in the PPH
Program Between the KIPO and the
USPTO (PTO/SB/20KR)

2.0

200

400

$340.00

$136,000.00

Request for Participation in the PPH
Pilot Program Between the IPAU and the
USPTO (PTO/SB/20AU)

2.0

100

200

$340.00

$68,000.00

Request for Participation in the PPH
Pilot Program Between the EPO and the
USPTO (PTO/SB/20EP)

2.0

100

200

$340.00

$68,000.00

Request for Participation in the PPH
Pilot Program Between the DKPTO and
the USPTO (PTO/SB/20DK)

2.0

100

200

$340.00

$68,000.00

Request for Participation in the PPH
Pilot Program Between the IPOS and the
USPTO (PTO/SB/20SG)

2.0

100

200

$340.00

$68,000.00

Request for Participation in the PPH
Pilot Program Between the DPMA and
the USPTO (PTO/SB/20DE)

2.0

100

200

$340.00

$68,000.00

Request for Participation in the PPH
Pilot Program Between the NBFR and
the USPTO (PTO/SB/20FI)

2.0

100

200

$340.00

$68,000.00

Request for Participation in the PPH
Pilot Program Between ROSPATENT
and the USPTO (PTO/SB/20RU)

2.0

100

200

$340.00

$68,000.00

Request for Participation in the PPH
Pilot Program Between the HPO and the
USPTO (PTO/SB/20HU)

2.0

100

200

$340.00

$68,000.00

Request for Participation in the PPH
Pilot Program Between the SPTO and
the USPTO (PTO/SB/20ES)

2.0

100

200

$340.00

$68,000.00

Request for Participation in the PPH
Pilot Program Between the APO and the
USPTO (PTO/SB/20AT)

2.0

100

200

$340.00

$68,000.00

Request for Participation in the PPH
Pilot Program Between the Israeli Patent
Office and the USPTO (PTO/SB/20IL)

2.0

100

200

$340.00

$68,000.00

9

Item/Form No.

Hours
(a)

Responses
(yr)
(b)

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

Rate
($/hr)
(d)

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

Request for Participation in the PPH
Pilot Program Between the IMPI and the
USPTO (PTO/SB/20MX)

2.0

100

200

$340.00

$68,000.00

Request for Participation in the PPH
Pilot Program Between the SIPO and the
USPTO (PTO/SB/20CN)

2.0

100

200

$340.00

$68,000.00

Request for Participation in the PPH
Pilot Program Between the INPI and the
USPTO (PTO/SB/20BR)

2.0

100

200

$340.00

$68,000.00

Request for Participation in the PPH
Pilot Program Between the TIPO and the
USPTO (PTO/SB/20TW)

2.0

100

200

$340.00

$68,000.00

Request for Participation in the PPH
Pilot Program Between the NIPO and
the USPTO (PTO/SB/20NO)

2.0

100

200

$340.00

$68,000.00

Request for Participation in the PPH
Pilot Program Between the IPO and the
USPTO (PTO/SB/20IS)

2.0

100

200

$340.00

$68,000.00

Request for Participation in the PCTPPH Pilot Program Between the EPO
and the USPTO (PTO/SB/20PCT-EP)

2.0

100

200

$340.00

$68,000.00

Request for Participation in the PCTPPH Pilot Program Between the JPO
and the USPTO (PTO/SB/20PCT-JP)

2.0

100

200

$340.00

$68,000.00

Request for Participation in the PCTPPH Pilot Program Between the KIPO
and the USPTO (PTO/SB/20PCT-KR)

2.0

100

200

$340.00

$68,000.00

Request for Participation in the PCTPPH Pilot Program Between the APO
and the USPTO (PTO/SB/20PCT-AT)

2.0

100

200

$340.00

$68,000.00

Request for Participation in the PCTPPH Pilot Program Between the
ROSPATENT and the USPTO
(PTO/SB/20PCT-RU)

2.0

100

200

$340.00

$68,000.00

Request for Participation in the PCTPPH Pilot Program Between the SPTO
and the USPTO (PTO/SB/20PCT-ES)

2.0

100

200

$340.00

$68,000.00

Request for Participation in the PCTPPH Pilot Program Between the IPAU
and the USPTO (PTO/SB/20PCT-AU)

2.0

100

200

$340.00

$68,000.00

Request for Participation in the PCTPPH Pilot Program Between the CIPO
and the USPTO (PTO/SB/20PCT-CA)

2.0

100

200

$340.00

$68,000.00

Request for Participation in the PCTPPH Pilot Program Between the NBPR
and the USPTO (PTO/SB/20PCT-FI)

2.0

100

200

$340.00

$68,000.00

10

Item/Form No.

Hours
(a)

Responses
(yr)
(b)

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

Rate
($/hr)
(d)

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

Request for Participation in the PCTPPH Pilot Program Between the PRV
and the USPTO (PTO/SB/20PCT-SE)

2.0

100

200

$340.00

$68,000.00

Request for Participation in the PCTPPH Pilot Program Between the NPI and
the USPTO (PTO/SB/20PCT-NPI)

2.0

100

200

$340.00

$68,000.00

Request for Participation in the PCTPPH Pilot Program Between the SIPO
and the USPTO (PTO/SB/20PCT-CN)

2.0

100

200

$340.00

$68,000.00

Request for Participation in the PCTPPH Pilot Program in a U.S. Application
Where the USPTO was the ISA or IPEA
(PTO/SB/20PCT-US)

2.0

100

200

$340.00

$68,000.00

------------

3,900

7,800

------------

$2,652,000.00

Totals

13.

Total Annual (Non-hour) Cost Burden

There are no annual (non-hour) costs associated with this information collection.
14.

Annual Cost to the Federal Government

The USPTO estimates that it takes a GS-15, step 1 employee approximately one hour on
average to process a request for participation in the PPH or PCT-PPH program. The
USPTO estimates that the cost of a GS-15, step 1 employee is $77.09 per hour (GS hourly
rate of $59.30 with 30% ($17.79) added for benefits and overhead).
Table 4 calculates the burden hours and costs to the Federal Government for processing
this information collection:
Table 4: Burden Hours/Burden Costs to the Federal Government for the PPH Program
Item/Form No.

Hours
(a)

Responses
(yr)
(b)

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

Rate
($/hr)
(d)

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

Request for Participation in the PPH
Program Between the USPTO and the
JPO, UKIPO, CIPO, KIPO, IPAU, EPO,
DKPTO, IPOS, DPMA, NBPR,
ROSPATENT, HPO, SPTO, APO, Israeli
Patent Office, IMPI, SIPO, INPI, TIPO,
NIPO, or IPO

1.0

2,600

2,600

$77.09

$200,434.00

Request for Participation in the PCTPPH Pilot Program Between the USPTO
and the EPO, JPO, KIPO, APO,
ROSPATENT, SPTO, IPAU, CIPO,
NBPR, PRV, NPI, or SIPO

1.0

1,200

1,200

$77.09

$92,508.00

11

Request for Participation in the PCTPPH Pilot Program in a U.S. Application
Where the USPTO was the ISA or IPEA
Totals

15.

1.0

100

100

$77.09

$7,709.00

------------

3,900

3,900

------------

$300,651.00

Summary of Changes in Burden Since the Previous Renewal

Interim Approvals
•

Notice of Action, January 2009: Revision of a single form for the PPH programs
with the JPO and UKIPO into two separate forms, addition of five forms for new
participants in the PPH pilot program (CIPO, DKPTO, EPO, KIPO, and IPAU), and
addition of one form for the Triway Pilot Program among the USPTO, EPO and JPO.
Increased burden by 550 responses, 1,050 hours, and $334,950 in annual (nonhour) costs.

•

Notice of Action, June 2009: Addition of three forms for new participants in the PPH
pilot program (DPMA, IPOS, and NBPR) and revisions to make PPH KIPO a
permanent program. Increased burden by 300 responses, 600 hours, and $39,030
in annual (non-hour) costs.

•

Notice of Action, January 2010: Revision of Form PTO/SB/20JP to indicate that an
accuracy statement is not required for English translations of JPO office actions if
the translation is provided by the JPO, addition of one form for a new participant in
the PPH program (ROSPATENT), and addition of two forms for participants in the
PCT-PPH pilot program (EPO and JPO). Increased burden by 300 responses, 600
hours, and $39,030 in annual (non-hour) costs.

•

Notice of Action, August 2010: Addition of three forms for new participants in the
PPH (HPO and SPTO) and PCT-PPH (KIPO) pilot programs, and deletion of two
forms for information no longer being collected—Request for Participation in the
New Route Pilot Program Between the JPO and the USPTO (PTO/SB/10) and
Request for Participation in the Triway Pilot Program Among the USPTO, the EPO
and the JPO (PTO/SB/12). Also removal of petition fees that had been eliminated
and revision of recordkeeping cost estimates. Increased burden by 150 responses
and 375 hours, and decreased annual (non-hour) costs by $247,360.

•

Notice of Action, September 2010: Addition of five forms for new participants in the
PPH (APO) and PCT-PPH (APO, ROSPATENT, SPTO, and USPTO) pilot
programs. Increased burden by 500 responses, 1,000 hours, and $1,500 in annual
(non-hour) costs.

12

•

Notice of Action, January 2011: Addition of three forms for new participants in the
PCT-PPH pilot program (IPAU, CIPO, and NBPR). Removal of recordkeeping costs
because keeping a copy of the acknowledgment receipt for online submissions is a
suggestion and not a requirement. Increased burden by 300 responses and 600
hours, and decreased annual (non-hour) costs by $7,800.

•

Notice of Action, March 2011: Addition of two forms for new participants in the PPH
pilot program (Israeli Patent Office and IMPI) and revisions to make PPH Canada a
permanent program. Increased burden by 200 responses and 400 hours.

•

Notice of Action, June 2011: Addition of six forms for new participants in the PPH
(SIPO, INPI, and TIPO) and PCT-PPH (PRV, NPI, and SIPO) pilot programs.
Increased burden by 600 responses and 1,200 hours.

Changes from the 60-Day Federal Register Notice
The USPTO is adding two forms to this collection that were developed after July 8, 2011,
for two new PPH pilot program participants: the Norwegian Industrial Property Office
(NIPO) starting November 1, 2011, and the Icelandic Patent Office (IPO) starting December
1, 2011.
The estimated hourly rate of $340 for attorneys used by the USPTO in this submission
comes from the 2011 AIPLA Report of the Economic Survey. The 60-Day Federal Register
Notice used the previous attorney rate of $325 from the 2009 report.
The net result of these changes is that the total annual responses for this collection have
been increased from what was reported in the 60-Day Federal Register Notice, from 3,700
to 3,900, and the total burden hours have been increased from 7,400 to 7,800. In addition,
the total annual respondent cost burden has been increased from $2,405,000 to
$2,652,000 due to the additional burden hours and the updated attorney rate.
Change in Respondent Cost Burden
The total respondent cost burden has increased by $1,838,250, from $813,750 to
$2,652,000, from the submission of this collection that was approved in January 2009, due
to:
•

Increases in estimated hourly rates. The submission approved in January 2009
used an estimated rate of $310 per hour for attorneys to prepare the items in this
collection. For the current renewal, the USPTO is using an updated rate of $340 per
hour for attorneys.

•

Increases in estimated burden hours. The total estimated burden hours have
increased from 2,625 in the January 2009 approval to 7,800 for the current renewal
due to increases in the estimated total annual responses for this collection.
13

Changes in Responses and Burden Hours
For this renewal, the USPTO estimates that the total annual responses will increase by 200
(from 3,700 to 3,900) and the total burden hours will increase by 400 (from 7,400 to 7,800)
from the currently approved burden for this collection. These changes are due to the
following program changes:
•

Increase of 100 estimated annual responses for adding the Request for
Participation in the PPH Pilot Program Between the Norwegian Industrial Property
Office (NIPO) and the USPTO (PTO/SB/20NO); a burden increase of 200 hours.

•

Increase of 100 estimated annual responses for adding the Request for
Participation in the PPH Pilot Program Between the Icelandic Patent Office (IPO)
and the USPTO (PTO/SB/20IS); a burden increase of 200 hours.

Changes in Annual (Non-hour) Costs
There are no annual (non-hour) costs associated with this information collection.
16.

Project Schedule

The USPTO does not plan to publish this information for statistical use.
17.

Display of Expiration Date of OMB Approval

The forms in this information collection will display the OMB Control Number and the
expiration date of OMB approval.
18.

Exceptions to the Certificate Statement

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

B.

COLLECTION OF INFORMATION EMPLOYING STATISTICAL METHODS

This collection of information does not employ statistical methods.

14