0651-0082 Supporting Statement B 2025 Final

SUPPORTING STATEMENT

United States Patent and Trademark Office

Pro Bono Survey

OMB CONTROL NUMBER 0651-0082

2025

B. COLLECTION OF INFORMATION EMPLOYING STATISTICAL METHODS

1. Describe (including a numerical estimate) the potential respondent universe and any sampling or other respondent selection methods to be used. Data on the number of entities (e.g., establishments, state and local government units, households, or persons) in the universe covered by the collection and in the corresponding sample are to be provided in tabular form for the universe as a whole and for each of the strata in the proposed sample. Indicate expected response rates for the collection as a whole. If the collection had been conducted previously, include the actual response rate achieved during the last collection.

Data from the Pro Bono Surveys is used to determine the effectiveness of each individual regional hub and the national clearinghouse in matching financially under-resourced independent inventors and small businesses with patent practitioners who offer pro bono patent prosecution assistance and ex parte appeal assistance. The respondent pool covers all 22 current regional patent pro bono hubs and the national clearinghouse. The USPTO expects that up to 22 regional patent pro bono hub administrators and the national clearinghouse administrator will respond to the Pro Bono Surveys. The Patents Pro Bono Survey is conducted by the USPTO on a quarterly basis, while the PTAB Pro Bono Survey is conducted annually. As a result, the USPTO believes that a maximum of 89 responses in total will be received over the course of a single year’s administration of the Pro Bono Surveys. During the fourth quarter (October 1, 2024 – December 31, 2024), all of the regional hubs responded to the Patent Pro Bono Survey, and the national clearinghouse responded to the PTAB Pro Bono Survey during the same timeframe.

2. Describe the procedures for the collection of information including:

• Statistical methodology for stratification and sample selection,

• Estimation procedure,

• Degree of accuracy needed for the purpose described in the justification,

• Unusual problems requiring specialized sampling procedures, and

• Any use of periodic (less frequent than annual) data collection cycles to reduce burden.

The Patent Pro Bono Survey is conducted quarterly through a web form maintained by a regional hub. The webform has sixteen (16) fields, all of which are mandatory and must be completed in order to submit the form. Prior to the end of each quarter, the USPTO sends an email request to all of the hub administrators containing a link to the webform asking the administrators to complete the Patent Pro Bono Survey within a month from the last day of the quarter. Two weeks after the end of the quarter, the USPTO accesses the regional hub’s webform and obtains a list of programs that have completed the Patent Pro Bono Survey. Based on the list, the USPTO sends an email reminder to the administrators that have not responded, asking them to complete the form by the end of the month. This process is repeated again in the third week. A month after the end of the quarter, the USPTO again accesses the regional hub’s webform and obtains the raw data from the respondents. Based on this data, the USPTO identifies regional patent pro bono hub administrators that have not completed the Patent Pro Bono Survey. The USPTO follows up with a phone call to these administrators to determine the reason why they have not responded. The period to collect the information may be extended to allow for these administrators to submit their information based on circumstances. This process is repeated every quarter.

The PTAB Pro Bono Survey is conducted annually through an email request containing a Word document of the PTAB Pro Bono Survey sent to the national clearinghouse administrator. The PTAB Pro Bono Survey in the email request has fourteen (14) fields, all of which are mandatory and must be completed. Once yearly, the USPTO sends the email request to the national clearinghouse administrator containing the PTAB Pro Bono Survey asking the administrator to complete form within a month.

Describe methods to maximize response rates and to deal with issues of non-response. The accuracy and reliability of information collected must be shown to be adequate for intended uses. For collections based on sampling, a special justification must be provided for any collection that will not yield "reliable" data that can be generalized to the universe studied.

The Pro Bono Surveys function to evaluate the effectiveness of each regional hub and the national clearinghouse, as well as to identify the number of people engaging in the two pro bono programs. The information generated from the Pro Bono Surveys results will be used externally by the USPTO to promote the regional hubs and the national clearinghouse. The USPTO uses the Patent Pro Bono Survey results internally to determine the effectiveness of financial assistance being provided to regional hubs and whether additional USPTO resources and/or funding are necessary to sustain performance across all regional hubs. The USPTO uses the PTAB Pro Bono Survey results internally to determine the effectiveness of technical assistance being provided to the national clearinghouse and whether USPTO funding is necessary to enhance performance of the national clearinghouse. There are no unusual problems requiring specialized sampling procedures, thus, Pro Bono Surveys responses are not weighted or imputed to estimate for the entire universe or account for non-response. Analysis is based primarily on response frequencies and simple cross-tabulations.

Given the limited scope, complexity, and influence of these Pro Bono Surveys, the USPTO does not utilize extensive follow-up enumeration via outside contractors to boost response rates. However, efforts are made within the current Pro Bono Surveys design to maximize response rates to enhance the reliability of results. These include:

• Use of properly defined respondent pool. The surveys will only be sent to regional pro bono hub administrators and the national clearinghouse administrator.

• A flexible survey period that can be extended beyond a month allows for correction of invalid email addresses and links\emails being re-sent and provide administrators additional time based on their particular circumstance to complete the surveys.

• Follow-up reminders sent to regional hubs and national clearinghouse when they have not responded to the survey requests.

• Use of a Patent Pro Bono Survey instrument that is both brief and simple. The electronic web-based form instrument contains 16 questions, and are the same questions in the prior Patent Pro Bono Survey. The questions reflect information compiled by the administrators in the course of their supervision of the patent pro bono hub in their region. The emailed Pro Bono Survey link sends the respondent directly to the instrument, and does not require sign-ups, IDs, logins, etc. Similarly, PTAB Pro Bono Survey instrument is brief and simple. The Word-based form contains 14 questions, mirroring most of the questions found in the Patent Pro Bono Survey. The questions reflect information compiled by the national clearinghouse administrator in the course of their supervision of the national clearinghouse. The emailed PTAB Pro Bono Survey is in Word, which is software used by the national clearinghouse. The respondent puts information directly into the Word document and emails that information back to the USPTO. It does not require any specialty software.

• Memoranda of Agreements (MOAs) with most regional patent pro bono hubs and national clearinghouse clearly identify the responsibility of the regional hub and national clearinghouse to provide quarterly responses to both the Patent Pro Bono Survey and PTAB Pro Bono Survey.

The USPTO expects that up to 22 regional patent pro bono hub administrators will respond to the Patent Pro Bono Survey, which is conducted by the USPTO on a quarterly basis.  As a result, the USPTO believes that a maximum of 88 responses in total will be received over the course of a single year’s administration of the Pro Bono Survey.  The previously submitted estimated response rate from 2019 was 100% response rate (22 of the 22 administrators) during the quarter of October 1, 2019 - December 31, 2019. The USPTO’s most recent response rate from October 1, 2024 through December 31, 2024 was also 100%.

The USPTO expects that the national clearinghouse administrator will respond to the PTAB Pro Bono Survey, which is conducted by the USPTO on an annual basis. As a result, the USPTO believes that one response in total will be received over the course of a single year’s administration of the PTAB Pro Bono Survey. 

3. Describe any tests of procedures or methods to be undertaken. Testing is encouraged as an effective means of refining collections of information to minimize burden and improve utility. Tests must be approved if they call for answers to identical questions from 10 or more respondents. A proposed test or set of tests may be submitted for approval separately or in combination with the main collection of information.

The Patent Pro Bono Survey is designed to determine the effectiveness of regional patent pro bono hubs via data collected from regional hub administrators and provide the USPTO with an understanding of the groups most impacted by the Patent Pro Bono Program. This Patent Pro Bono Survey is the same as the existing Patent Pro Bono Survey set to expire in April 2026. The regional hubs’ familiarity with the prior Pro Bono Survey and the USPTO’s previous outreach and discussion with the regional hubs suggest that there is not likely to be any respondent confusion or misinterpretation of the Patent Pro Bono Survey instrument and the questions therein. The Patent Pro Bono Survey instrument was developed through extensive collaboration and review with the concerned stakeholders. Given these factors, further testing is not considered necessary.

Likewise, the PTAB Pro Bono Survey is designed to determine the effectiveness of the national clearinghouse via data collected from their administrator and provide the USPTO with an understanding of the groups most impacted by the PTAB Pro Bono Program. The USPTO’s previous outreach and discussion with the national clearinghouse suggests that there is not likely to be any respondent confusion or misinterpretation of the PTAB Pro Bono Survey instrument and the questions therein. The PTAB Pro Bono Survey instrument was developed through extensive collaboration and review with the national clearinghouse.

4. Provide the name and telephone number of individuals consulted on statistical aspects of the design and the name of the agency unit, contractor(s), grantee(s), or other person(s) who will actually collect and/or analyze the information for the agency.

USPTO consulted with the PTAB Bar Association, the host of the national clearinghouse providing ex parte appeal pro bono coverage for the United States regarding the PTAB Pro Bono Survey. In coordination with PTAB Bar Association, the USPTO worked with their web page administrator, to review their client intake form and ensure that the information in the client intake form corresponded with the information in the PTAB Pro Bono Survey.

PTAB Bar Association contact information regarding this coordination is provided below:

Eugene Goryunov

Partner

Haynes Boone

[email protected]

312-216-1630

847-778-3923

The Deputy General Counsel and Director for the Office of Enrollment and Discipline for the USPTO is responsible for conducting and summarizing the Patent Pro Bono Survey. James Silbermann, Senior Counsel for Enrollment and Intellectual Property Legal Services in the Office of Enrollment and Discipline, is the point of contact for the Patent Pro Bono Survey and can be reached by phone at 571-272-4097 or by e-mail at [email protected].

The Patent Trial and Appeal Board of the USPTO is responsible for conducting and summarizing the PTAB Pro Bono Survey. Stacey White, Lead Administrative Patent Judge in the Patent Trail and Appeal Board, is the point of contact for the PTAB Pro Bono Survey and can be reached by phone at 469-295-9061 or by e-mail at [email protected].