Recording Assignments

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
Form PTO-1595 Patent Recordation Form Cover Sheet	Form and Instruction	Modified	Available
Form PTO-1594 Electronic Trademark Assignment System (ETAS)	Form and Instruction	Modified	Available
Form PTO-1595 Electronic Patent Assignment System (EPAS)	Form and Instruction	Modified	Available
Form PTO-1594 Trademark Recordation Form Cover Sheet	Form and Instruction	Modified	Available
0651-0027-SupStmt-Mar2012.pdf	Supporting Statement A	Uploaded 2012-03-14	Available
0651-USPTO-Information-Quality-Guidelines-Dec2009.pdf	Supplementary Document	Uploaded 2012-01-26	Repair queued

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
4698	Patent Recordation Form Cover Sheet	Form and Instruction	Modified	Patent Recordation Form Cover Sheet
184415	Electronic Trademark Assignment System (ETAS)	Form and Instruction	Modified	Electronic Trademark Assignment System (ETAS)
184414	Electronic Patent Assignment System (EPAS)	Form and Instruction	Modified	Electronic Patent Assignment System (EPAS)
184413	Trademark Recordation Form Cover Sheet	Form and Instruction	Modified	Trademark Recordation Form Cover Sheet

ICR Details

OMB Control No: 0651-0027	ICR Reference No: 201201-0651-008
Status: Historical Active	Previous ICR Reference No: 200804-0651-001
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: 04/27/2012
Retrieve Notice of Action (NOA)	Date Received in OIRA: 03/14/2012
Terms of Clearance:

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	04/30/2015	36 Months From Approved	04/30/2012
Responses	468,826	0	363,388
Time Burden (Hours)	234,414	0	181,695
Cost Burden (Dollars)	36,979,716	0	27,165,603

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Abstract: Under 35 U.S.C. 261 and 262 and 15 U.S.C. 1057 and 1060, the USPTO records patent and trademark assignment documents that show the transfer of ownership of applications, patents, and trademark registrations from one entity to another. The USPTO provides cover sheets and online forms to ensure all the necessary assignment data is submitted for accurate recording. In order to file a request to record an assignment, the respondent must submit an appropriate cover sheet or online form along with copies of the assignment documents to be recorded and payment of the appropriate fee. The recorded documents are available for public inspection, except for those documents that are sealed under secrecy orders or related to unpublished patent applications.

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Authorizing Statute(s): US Code: 35 USC 261 and 262
   US Code: 15 USC 1057 and 1060
  

Citations for New Statutory Requirements: None

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

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Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	76 FR 55880	09/09/2011
30-day Notice:	Federal Register Citation:	Citation Date:
	77 FR 14765	03/13/2012
Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 4

table that charts list of burden

IC Title	Form No.	Form Name
Electronic Patent Assignment System (EPAS)	PTO-1595	Electronic Patent Assignment System (EPAS)
Electronic Trademark Assignment System (ETAS)	PTO-1594	Electronic Trademark Assignment System (ETAS)
Patent Recordation Form Cover Sheet	PTO-1595	Patent Recordation Form Cover Sheet
Trademark Recordation Form Cover Sheet	PTO-1594	Trademark Recordation Form Cover Sheet

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ICR Summary of Burden

table that charts list 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	468,826	363,388	0	0	105,438	0
Annual Time Burden (Hours)	234,414	181,695	0	0	52,719	0
Annual Cost Burden (Dollars)	36,979,716	27,165,603	0	-20,520	9,834,633	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: The administrative adjustments are due to revised estimates for expected annual filings of patent and trademark recordation requests. The program change is due to the removal of costs associated with retaining the acknowledgment receipt for online transactions, which is a suggestion to customers but not a requirement.

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Annual Cost to Federal Government: $3,943,201

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

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Common Form ICR:  No

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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: 03/14/2012

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