View Information Collection Request (ICR) Package
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Please note that the OMB number and expiration date may not have been determined when this Information Collection Request and associated Information Collection forms were submitted to OMB. The approved OMB number and expiration date may be found by clicking on the Notice of Action link below.
View ICR - OIRA Conclusion
OMB Control No:
0651-0027
ICR Reference No:
202105-0651-002
Status:
Historical Active
Previous ICR Reference No:
201804-0651-005
Agency/Subagency:
DOC/PTO
Agency Tracking No:
Title:
Recording Assignments
Type of Information Collection:
Revision of a currently approved collection
Common Form ICR:
No
Type of Review Request:
Regular
OIRA Conclusion Action:
Approved without change
Conclusion Date:
10/04/2021
Retrieve Notice of Action (NOA)
Date Received in OIRA:
06/29/2021
Terms of Clearance:
Inventory as of this Action
Requested
Previously Approved
Expiration Date
10/31/2024
36 Months From Approved
10/31/2021
Responses
649,880
0
596,527
Time Burden (Hours)
324,941
0
298,264
Cost Burden (Dollars)
3,968,075
0
3,192,374
Abstract:
This collection of information is required by 35 U.S.C. §§ 261 and 262 for patents and 15 U.S.C. §§ 1057 and 1060 for trademarks. These statutes authorize the United States Patent and Trademark Office (USPTO) to record patent and trademark assignment documents, including transfers of properties (i.e., patents and trademarks), liens, licenses, assignments of interest, security interests, mergers, and explanations of transactions or other documents that record the transfer of ownership of a particular patent or trademark property from one party to another. Assignments are recorded for applications, patents, and trademark registrations. In accordance with 37 CFR 3.54, the recording of an assignment document by the USPTO is an administrative action and not a determination of the validity of the document or of the effect that the document has on the title to an application, patent, or trademark. In order to record an assignment document, the respondent must submit an appropriate form along with copies of the assignment document to be recorded. Once the assignment documents are recorded, they are available for public inspection. The public uses these records to conduct ownership and chain-of-title searches. The only exceptions are those documents that are sealed under secrecy orders according to 37 CFR 3.58 or related to unpublished patent applications maintained in confidence under 35 U.S.C. § 122 and 37 CFR 1.14.
Authorizing Statute(s):
PL:
Pub.L. 112 - 29 4
Name of Law: Leahy Smith America Invents Act
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:
86 FR 20121
04/16/2021
30-day Notice:
Federal Register Citation:
Citation Date:
86 FR 122
06/29/2021
Did the Agency receive public comments on this ICR?
No
Number of Information Collection (IC) in this ICR:
4
IC Title
Form No.
Form Name
Patent Assignment System (EPAS) (Individuals or Households)
PTO-1595
Patents Recordation Form Cover Sheet
Patent Assignment System (EPAS) (Private Sector)
PTO-1595
Patents Recordation Form Cover Sheet
Trademark Assignment System (ETAS) (Individuals or Households)
PTO-1594
Trademark Recordation Form Cover Sheet
Trademark Assignment System (ETAS) (Private Sector)
PTO-1594
Trademark Recordation Form Cover Sheet
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
649,880
596,527
0
0
53,353
0
Annual Time Burden (Hours)
324,941
298,264
0
0
26,677
0
Annual Cost Burden (Dollars)
3,968,075
3,192,374
0
0
775,701
0
Burden increases because of Program Change due to Agency Discretion:
No
Burden Increase Due to:
Burden decreases because of Program Change due to Agency Discretion:
No
Burden Reduction Due to:
Short Statement:
Changes in Responses and Burden Hours For this renewal, the USPTO estimates that the annual responses will increase by 53,353 and the total burden hours will increase by 26,677 from the currently approved burden for this information collection. These changes are due to increases in Agency estimates. Changes in Annual (Non-hour) Costs For this renewal, the USPTO estimates that the total annual (non-hour) costs will increase by $775,701. These increases are due to overall increase usage of the assignment system, especially by those paying fees for trademark assignments.
Annual Cost to Federal Government:
$12,937,187
Does this IC contain surveys, censuses, or employ statistical methods?
No
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.
Yes
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.
Yes
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
Agency Contact:
Joyce Johnson 7033089706 ext. 132 joyce.johnson@uspto.gov
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:
06/29/2021
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