Patent Prosecution Highway (PPH) Program

OMB Control No: 0651-0058	ICR Reference No: 201105-0651-010
Status: Historical Active	Previous ICR Reference No: 201101-0651-003
Agency/Subagency: DOC/PTO	Agency Tracking No:
Title: Patent Prosecution Highway (PPH) Program
Type of Information Collection: No material or nonsubstantive change to a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Approved without change	Conclusion Date: 06/07/2011
Retrieve Notice of Action (NOA)	Date Received in OIRA: 06/01/2011
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	01/31/2012	01/31/2012	01/31/2012
Responses	3,700	0	3,100
Time Burden (Hours)	7,400	0	6,200
Cost Burden (Dollars)	0	0	0

---

Abstract: 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 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. 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 forms collect similar data; however, there is a unique form for each participant. The USPTO is submitting this request to update the information collection for the PPH Program. The USPTO is proposing to add six forms to this collection for new participants in the PPH and PCT-PPH pilot programs. The USPTO plans to launch the PPH pilot programs with China, Brazil, and Taiwan on or around September 1, 2011. The USPTO plans to launch the PCT-PPH pilot program with Sweden on June 1, 2011, with the Nordic Patent Institute (NPI) on July 1, 2011, and with China on or around September 1, 2011.

---

Authorizing Statute(s): US Code: 35 USC 119 Name of Law: null

Citations for New Statutory Requirements: None

---

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

---

Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	73 FR 35661	06/24/2008
30-day Notice:	Federal Register Citation:	Citation Date:
	73 FR 70625	11/21/2008
Did the Agency receive public comments on this ICR? No

---

Number of Information Collection (IC) in this ICR: 32

IC Title Form No. Form Name Request for Participation in the PCT-PPH Pilot Program Between the State Intellectual Property Office of the P.R.C. (SIPO) and the USPTO PTO/SB/20PCT-CN Request for Participation in the PCT-PPH Pilot Program Between the State Intellectual Property Office of the P.R.C. (SIPO) and the USPTO Request for Participation in the PPH Pilot Program Between the Instituto Nacional da Propriedade Industrial (INPI) and the USPTO PTO/SB/20BR Request for Participation in the PPH Pilot Program Between the Instituto Nacional da Propriedade Industrial (INPI) and the USPTO Request for Participation in the Patent Prosecution Highway (PPH) Pilot Program Between the Mexican Institute of Industrial Property (IMPI) and the USPTO PTO/SB/20MX Request for Participation in the Patent Prosecution Highway (PPH) Pilot Program Between the Mexican Institute of Industrial Property (IMPI) and the USPTO Request for Participation in the Patent Prosecution Highway (PPH) Pilot Program Between the Israeli Patent Office and the USPTO PTO/SB/20IL Request for Participation in the Patent Prosecution Highway (PPH) Pilot Program Between the Israeli Patent Office and the USPTO Request for Participation in the PCT-PPH Pilot Program Between the Intellectual Property Office of Australia (IPAU) and the USPTO PTO/SB/20PCT-AU Request for Participation in the PCT-PPH Pilot Program Between the Intellectual Property Office of Australia (IPAU) and the USPTO Request for Participation in the PCT-PPH Pilot Program Between the Canadian Intellectual Property Office (CIPO) and the USPTO PTO/SB/20PCT-CA Request for Participation in the PCT-PPH Pilot Program Between the Canadian Intellectual Property Office (CIPO) and the USPTO Request for Participation in the PCT-PPH Pilot Program Between the Spanish Patent and Trademark Office (SPTO) and the USPTO PTO/SB/20PCT-ES Request for Participation in the PCT-PPH Pilot Program Between the Spanish Patent and Trademark Office (SPTO) and the USPTO Request for Participation in the PCT-PPH Pilot Program Between the Russian Patent Office (ROSPATENT) and the USPTO PTO/SB/20PCT-RU Request for Participation in the PCT-PPH Pilot Program Between the Russian Patent Office (ROSPATENT) and the USPTO Request for Participation in the PCT-PPH Pilot Program Between the KIPO and the USPTO PTO/SB/20PCT-KR Request for Participation in the PCT-PPH Pilot Program Between the KIPO and the USPTO Request for Participation in the PCT-PPH Pilot Program Between the EPO and the USPTO PTO/SB/20PCT-EP Request for Participation in the PCT-PPH Pilot Program Between the EPO and the USPTO Request for Participation in the PCT-PPH Pilot Program Between the JPO and the USPTO PTO/SB/20PCT-JP Request for Participation in the PCT-PPH Pilot Program Between the JPO and the USPTO Request for Participation in the Patent Prosecution Highway (PPH) Pilot Program Between the Russian Patent Office (ROSPATENT) and the USPTO PTO/SB/20RU Request for Participation in the Patent Prosecution Highway (PPH) Pilot Program Between the Russian Patent Office (ROSPATENT) and the USPTO Request for Participation in the Patent Prosecution Highway (PPH) Pilot Program Between the DPMA and the USPTO PTO/SB/20DE Request for Participation in the Patent Prosecution Highway (PPH) Pilot Program Between the DPMA and the USPTO Request for Participation in the Patent Prosecution Highway (PPH) Pilot Program Between the EPO and the USPTO PTO/SB/20EP Request for Participation in the Patent Prosecution Highway (PPH) Pilot Program Between the EPO and the USPTO Request for Participation in the Patent Prosecution Highway (PPH) Pilot Program Between the UKIPO and the USPTO PTO/SB/20UK Request for Participation in the Patent Prosecution Highway (PPH) Pilot Program Between the UKIPO and the USPTO Request for Participation in the Patent Prosecution Highway (PPH) Program Between the JPO and the USPTO PTO/SB/20JP Request for Participation in the Patent Prosecution Highway (PPH) Program Between the JPO and the USPTO Request for Participation in the PCT-PPH Pilot Program Between the Nordic Patent Institute (NPI) and the USPTO PTO/SB/20PCT-XN Request for Participation in the PCT-PPH Pilot Program Between the Nordic Patent Institute (NPI) and the USPTO Request for Participation in the Patent Prosecution Highway (PPH) Pilot Program Between the IPAU and the USPTO PTO/SB/20AU Request for Participation in the Patent Prosecution Highway (PPH) Pilot Program Between the IPAU and the USPTO Request for Participation in the Patent Prosecution Highway (PPH) Program Between the KIPO and the USPTO PTO/SB/20KR Request for Participation in the Patent Prosecution Highway (PPH) Program Between the KIPO and the USPTO Request for Participation in the Patent Prosecution Highway (PPH) Program Between the CIPO and the USPTO PTO/SB/20CA Request for Participation in the Patent Prosecution Highway (PPH) Program Between the CIPO and the USPTO Request for Participation in the Patent Prosecution Highway (PPH) Pilot Program Between the DKPTO and the USPTO PTO/SB/20DK Request for Participation in the Patent Prosecution Highway (PPH) Pilot Program Between the DKPTO and the USPTO Request for Participation in the Patent Prosecution Highway (PPH) Pilot Program Between the IPOS and the USPTO PTO/SB/20SG Request for Participation in the Patent Prosecution Highway (PPH) Pilot Program Between the IPOS and the USPTO Request for Participation in the PCT-PPH Pilot Program Between the Austrian Patent Office (APO) and the USPTO PTO/SB/20PCT-AT Request for Participation in the PCT-PPH Pilot Program Between the Austrian Patent Office (APO) and the USPTO Request for Participation in the Patent Prosecution Highway (PPH) Pilot Program Between the NBPR and the USPTO PTO/SB/20FI Request for Participation in the Patent Prosecution Highway (PPH) Pilot Program Between the NBPR and the USPTO Request for Participation in the Patent Prosecution Highway (PPH) Pilot Program Between the SPTO and the USPTO PTO/SB/20ES Request for Participation in the Patent Prosecution Highway (PPH) Pilot Program Between the SPTO and the USPTO Request for Participation in the Patent Prosecution Highway (PPH) Pilot Program Between the HPO and the USPTO PTO/SB/20HU Request for Participation in the Patent Prosecution Highway (PPH) Pilot Program Between the HPO and the USPTO Request for Participation in the PPH Pilot Program Between the Austrian Patent Office (APO) and the USPTO PTO/SB/20AT Request for Participation in the PPH Pilot Program Between the Austrian Patent Office (APO) and the USPTO Request for Participation in the PCT-PPH Pilot Program in a U.S. Application Where the USPTO was the ISA or IPEA PTO/SB/20PCT-US Request for Participation in the PCT-PPH Pilot Program in a U.S. Application Where the USPTO was the ISA or IPEA Request for Participation in the PCT-PPH Pilot Program Between the National Board of Patents and Registration of Finland (NBPR) and the USPTO PTO/SB/20PCT-FI Request for Participation in the PCT-PPH Pilot Program Between the National Board of Patents and Registration of Finland (NBPR) and the USPTO Request for Participation in the PPH Pilot Program Between the State Intellectual Property Office of the P.R.C. (SIPO) and the USPTO PTO/SB/20CN Request for Participation in the PPH Pilot Program Between the State Intellectual Property Office of the P.R.C. (SIPO) and the USPTO Request for Participation in the PPH Pilot Program Between the Taiwan Intellectual Property Office (TIPO) and the USPTO PTO/SB/20TW Request for Participation in the PPH Pilot Program Between the Taiwan Intellectual Property Office (TIPO) and the USPTO Request for Participation in the PCT-PPH Pilot Program Between the Swedish Patent and Registration Office (PRV) and the USPTO PTO/SB/20PCT-SE Request for Participation in the PCT-PPH Pilot Program Between the Swedish Patent and Registration Office (PRV) and the USPTO

---

ICR Summary of Burden

	Total Approved	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	3,700	3,100	0	600	0	0
Annual Time Burden (Hours)	7,400	6,200	0	1,200	0	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: The increases in responses and burden hours for this collection are due to program changes from the addition of six forms into the collection for new participants in the PPH and PCT-PPH pilot programs (PPH China, Brazil, and Taiwan; PCT-PPH Sweden, Nordic Patent Institute, and China).

---

Annual Cost to Federal Government: $98,831

Does this IC contain surveys, censuses, or employ statistical methods? No

Is the Supporting Statement intended to be a Privacy Impact Assessment required by the E-Government Act of 2002? 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? Uncollected

Agency Contact: Magdalen Greenlief 703 305-8813 [email protected]

---

Common Form ICR:  No

---

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: 06/01/2011

---