0651-0027-SupStmt-Mar2012

SUPPORTING STATEMENT
United States Patent and Trademark Office
Recording Assignments
OMB CONTROL NUMBER 0651-0027
(March 2012)

A.

JUSTIFICATION

1.

Necessity of Information Collection

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.
The USPTO administers these statutes through 37 CFR 2.146, 2.171, and 37 CFR Part 3.
These rules permit the public, corporations, other federal agencies, and Governmentowned or Government-controlled corporations to submit patent and trademark assignment
documents and other documents related to title transfers to the USPTO to be recorded. 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.
Once the assignment documents are recorded, they are available for public inspection.
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to 37 CFR 3.58 or related to unpublished patent applications maintained in confidence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. The public uses these records to conduct
ownership and chain-of-title searches. The public may view these records either at the
USPTO Public Search Facilities or at the National Archives and Records Administration,
depending on the date they were recorded. The public may also search patent and
trademark assignment information online through the USPTO Web site.
In order to file a request to record an assignment, the respondent must submit an
appropriate cover sheet along with copies of the assignment documents to be recorded.
The USPTO provides two paper forms for this purpose, the Patent Recordation Form Cover
Sheet (PTO-1595) and the Trademark Recordation Form Cover Sheet (PTO-1594), which
capture all of the necessary data for accurately recording various assignment documents.
These forms may be downloaded in PDF format from the USPTO Web site.
Customers may also submit assignments online by using the Electronic Patent Assignment
System (EPAS) and the Electronic Trademark Assignment System (ETAS), which are

available through the USPTO Web site. These systems allow customers to fill out the
required cover sheet information online using Web-based forms and then attach the
electronic assignment documents to be submitted for recordation.
Table 1 provides the specific statutes and regulations authorizing the USPTO to collect the
information discussed above:
Table 1: Information Requirements
Requirement

Statute

Rule

Patent Recordation Form Cover Sheet

35 U.S.C. §§ 261 and 262

37 CFR 3.11, 3.21, 3.24, 3.26, 3.28,
3.31, 3.34, and 3.41

Trademark Recordation Form Cover Sheet

15 U.S.C. §§ 1057 and 1060

37 CFR 3.11, 3.16, 3.25, 3.26, 3.28,
3.31, 3.34, and 3.41; 37 CFR 2.146 and
2.171

Electronic Patent Assignment System (EPAS)

35 U.S.C. §§ 261 and 262

37 CFR 3.11, 3.21, 3.24, 3.26, 3.28,
3.31, 3.34, and 3.41

Electronic Trademark Assignment System (ETAS)

15 U.S.C. §§ 1057 and 1060

37 CFR 3.11, 3.16, 3.25, 3.26, 3.28,
3.31, and 3.34, 3.41; 37 CFR 2.146 and
2.171

2.

Needs and Uses

The public uses this information collection to submit patent and trademark assignment
documents to be recorded by the USPTO. Except for those documents sealed under
secrecy orders or related to unpublished patent applications, patent and trademark
assignment records may be inspected by the public after they are recorded.
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:

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Table 2: Needs and Uses
Form and Function

Form #

Needs and Uses

Patent Recordation Form Cover Sheet

PTO-1595

•
•
•
•

Trademark Recordation Form Cover
Sheet

PTO-1594

•
•
•
•

Electronic Patent Assignment System
(EPAS)

PTO-1595

•
•
•
•

Electronic Trademark Assignment
System (ETAS)

PTO-1594

•
•
•
•

3.

Used by the public to submit assignment documents indicating
the transfer of rights, title, and interest in a patent property from
one party to another for recording by the USPTO.
Used by the public to submit corrected cover sheets or
documents to the USPTO for recording.
Used by the USPTO to process and record patents, patent
assignments, or other associated documents.
Used by the USPTO to ensure that all relevant bibliographic data
is entered in the files and the searchable public database.
Used by the public to submit assignment documents indicating
the transfer of rights, title, and interest in a trademark property
from one party to another for recording by the USPTO.
Used by the public to submit corrected cover sheets or
documents to the USPTO for recording.
Used by the USPTO to process and record marks, assignments,
or other associated documents.
Used by the USPTO to ensure that all relevant bibliographic data
is entered in the files and the searchable public database.
Used by the public to submit patent assignment documents
online through the USPTO Web site.
Used by the public to submit corrected cover sheets or
documents to the USPTO for recording.
Used by the USPTO to process and record patents, patent
assignments, or other associated documents.
Used by the USPTO to ensure that all relevant bibliographic data
is entered in the files and the searchable public database.
Used by the public to submit trademark assignment documents
online through the USPTO Web site.
Used by the public to submit corrected cover sheets or
documents to the USPTO for recording.
Used by the USPTO to process and record marks, assignments,
or other associated documents.
Used by the USPTO to ensure that all relevant bibliographic data
is entered in the files and the searchable public database.

Use of Information Technology

The paper forms associated with this collection, the Patent Recordation Form Cover Sheet
(PTO-1595) and the Trademark Recordation Form Cover Sheet (PTO-1594), may be
downloaded from the USPTO Web site as PDF files, filled out on the computer, and then
printed for mailing or faxing to the USPTO. Once received, the cover sheets and
associated assignment documents are scanned directly into the assignment document
workflow system. Fax submission streamlines the processing of assignment documents by
enabling the USPTO to skip the paper scanning stage and provide the customer with the
resulting Notice of Recordation by return fax.
The USPTO also offers electronic filing options for both patent and trademark assignments.
The Electronic Patent Assignment System (EPAS) and the Electronic Trademark
Assignment System (ETAS) are both available to customers on the USPTO Web site.
EPAS and ETAS allow customers to enter the required assignment data, attach the
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supporting documentation in electronic format, and submit the assignment recordation
request online. Payment of filing fees can be made by credit card, USPTO deposit
account, or electronic fund transfer (EFT). After the payment transaction is completed, an
electronic confirmation receipt is displayed on the screen and emailed to the customer.
After being electronically processed and recorded, the assignment information is fed into
the appropriate patent or trademark database system. Information about recorded patent
and trademark assignments is disseminated to the public through the USPTO Web site,
where customers may search for the assignment information associated with a specific
application, patent, or trademark registration.
4.

Efforts to Identify Duplication

The information collected is required for the USPTO to record an assignment transaction
and is not collected elsewhere, with one exception. The information regarding the current
owner(s) of the interest (address and type of entity) is already maintained by the USPTO.
However, this information is submitted routinely and could be required to distinguish
between entities of the same name. Customers who file electronically using EPAS or
ETAS may save this data from an assignment request as a template to be reused in future
submissions.
5.

Minimizing Burden to Small Entities

The information collected is the minimum needed to execute the transaction and to ensure
that the recording of the assignment is complete. This collection of information does not
impose a significant economic impact or put an unnecessary burden on small entities or
small businesses. The same information is required of every applicant and is not available
from any other source.
6.

Consequences of Less Frequent Collection

This information is collected only when an applicant submits a patent or trademark
assignment document or other associated documents to the USPTO to be recorded. This
information collection could not be conducted less frequently. If the collection of
information were not conducted, the USPTO could not comply with the requirements of 35
U.S.C. §§ 261 and 262 and 15 U.S.C. §§ 1057 and 1060 of the Trademark Act.
7.

Special Circumstances in the Conduct of Information Collection

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

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8.

Consultation Outside the Agency

The 60-Day Notice was published in the Federal Register on September 9, 2011 (76 Fed.
Reg. 55880). The comment period ended on November 8, 2011. No public comments
were received.
The USPTO has long-standing relationships with groups from whom patent application
information is collected, such as the American Intellectual Property Law Association, as
well as patent bar associations, independent inventor groups, and users of our public
search 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 to provide the information required under this program.
9.

Payments or Gifts to Respondents

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

Assurance of Confidentiality

Assignment records related to unpublished patent applications are maintained in
confidence in accordance with 35 U.S.C. § 122 and 37 CFR 1.11 and 1.14. Except for
those documents that are related to unpublished patent applications maintained in
confidence or sealed under secrecy orders, the records for patents and trademarks,
assignments, and other associated documents can be inspected by the public under 37
CFR 1.11, 1.12, and 2.200. Recorded serial numbers are not provided to the public until
the patent is actually issued. These records can be viewed either at the USPTO or at the
National Archives and Records Administration (NARA), depending on the date that they
were recorded, and via a searchable database on the USPTO Web site.
Anyone wishing to view documents recorded under secrecy orders or view recorded
documents in which the federal government has an interest must submit authorization in
writing before the USPTO will release the documents for inspection according to 37 CFR
3.58. Also, documents sealed under secrecy orders cannot be filed electronically due to
national security concerns. In accordance with the Privacy Act of 1974 (P.L. 93-579), a
Privacy Act Notice covering patent assignments and their associated system of records has
been published in the Federal Register.
11.

Justification for Sensitive Questions

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

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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 468,826 total responses per
year for this collection.
The USPTO estimates that approximately 77% of the annual responses for this
collection will be submitted electronically via EPAS or ETAS, which customers may
access through the USPTO Web site.

•

Burden Hour Calculation Factors
The USPTO estimates that it will take the public approximately 30 minutes (0.5
hours) to prepare and submit a patent or trademark recordation request.

•

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).
The USPTO uses a paraprofessional rate of $122 per hour for respondent cost
burden calculations, which is the average rate for paralegals as shown in the 2010
National Utilization and Compensation Survey published by the National Association
of Legal Assistants (NALA).
The USPTO expects that the information in this collection will be prepared by both
attorneys and paraprofessionals, for an average rate of approximately $231 per
hour.

Table 3: Burden Hour/Burden Cost to Respondents
Item

Hours
(a)

Patent Recordation Form Cover Sheet (PTO-1595)

0.50

100,115

50,058

$231.00

$11,563,398.00

Trademark Recordation Form Cover Sheet (PTO1594)

0.50

5,443

2,722

$231.00

$628,782.00

Electronic Patent Assignment System (EPAS)

0.50

330,390

165,195

$231.00

$38,160,045.00

Electronic Trademark Assignment System (ETAS)

0.50

32,878

16,439

$231.00

$3,797,409.00

Totals

.....

468,826

234,414

.....

$54,149,634.00

Responses
(yr)
(b)

6

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

Rate
($/hr)
(d)

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

13.

Total Annual (Non-hour) Cost Burden

The total (non-hour) respondent cost burden for this collection is estimated to be
$36,979,716 per year, which includes $36,931,265 in fees and $48,451 in postage.
Fees
There are fees associated with submitting patent and trademark assignment documents to
be recorded, for a total of $36,931,265 per year as outlined in Table 4 below.
The fees for recording patent and trademark assignments are the same for both paper and
electronic submissions. However, the filing cost for recording patent or trademark
assignments varies according to the number of properties involved in each submission.
The filing fee for submitting a patent assignment as indicated by 37 CFR 1.21(h) is $40 per
property for recording each document, while the filing fee for submitting a trademark
assignment as indicated by 37 CFR 2.6(b)(6) is $40 for recording the first property in a
document and $25 for each additional property in the same document. The USPTO
estimates that the average fee for a patent assignment recordation request is
approximately $80 and that the average fee for a trademark assignment recordation
request is approximately $65.
Table 4: Filing Fees/Non-hour Cost Burden to Respondents
Item

Responses
(a)

Patent Recordation Form Cover Sheet (PTO-1595)
Trademark Recordation Form Cover Sheet (PTO-1594)
Electronic Patent Assignment System (EPAS)
Electronic Trademark Assignment System (ETAS)
Totals

Filing Fees ($)
(b)

Total Non-hour
Cost Burden
(c)
(a) x (b)

100,115

$80.00

$8,009,200.00

5,443

$65.00

$353,795.00

330,390

$80.00

$26,431,200.00

32,878

$65.00

$2,137,070.00

468,826

.....

$36,931,265.00

Postage Costs
The non-electronic items in this collection have associated first-class postage costs when
submitted by mail, for a total of $48,451 per year:
•
•

51,059 Patent Recordation Form Cover Sheets (PTO-1595) (approximately 51% of
the 100,115 total submitted) that are submitted by mail, at $0.90 postage: $45,953
2,776 Trademark Recordation Form Cover Sheets (PTO-1594) (approximately 51%
of the 5,443 total submitted) that are submitted by mail, at $0.90 postage: $2,498

14.

Annual Cost to the Federal Government
7

The USPTO employs both GS-7 Legal Instrument Examiners and GS-9 Paralegals to
process submissions for this information collection. The USPTO estimates that
approximately 80% of the employees processing these submissions are GS-7, step 1 and
20% are GS-9, step 1.
The USPTO estimates that the cost of a GS-7, step 1 employee is $26.29 per hour (GS
hourly rate of $20.22 with 30% ($6.07) added for benefits and overhead). The USPTO
estimates that the cost of a GS-9, step 1 employee is $32.16 per hour (GS hourly rate of
$24.74 with 30% ($7.42) added for benefits and overhead).
Based on the percentages of the employees processing these submissions, the average
hourly rate for the USPTO staff processing these submissions is $27.46 (80% of the GS-7,
step 1 hourly cost of $26.29 is $21.03; and 20% of the GS-9, step 1 hourly cost of $32.16 is
$6.43; for a total of $27.46).
The USPTO estimates that it takes an employee 30 minutes (0.5 hours) to process a
request to record a patent or trademark assignment submitted with a paper cover sheet
and 15 minutes (0.25 hours) to process an online submission via EPAS or ETAS.
Table 5 calculates the burden hours and costs to the Federal Government for processing
this information collection:
Table 5: Burden Hour/Cost to the Federal Government
Item

Hours
(a)

Responses
(yr)
(b)

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

Rate
($/hr)
(d)

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

Patent Recordation Form Cover Sheet

0.50

100,115

50,058

$27.46

$1,374,593.00

Trademark Recordation Form Cover Sheet

0.50

5,443

2,722

$27.46

$74,746.00

Electronic Patent Assignment System (EPAS)

0.25

330,390

82,598

$27.46

$2,268,141.00

Electronic Trademark Assignment System
(ETAS)

0.25

32,878

8,220

$27.46

$225,721.00

------

468,826

143,598

------

$3,943,201.00

Totals

15.

Reason for Change in Burden

Changes from the 60-Day Federal Register Notice
•

Decreases in estimated annual responses, burden hours, and respondent cost
burden. The total estimated annual responses and burden hours for this renewal
have decreased from the 481,826 responses and 240,914 burden hours published
8

in the 60-Day Federal Register Notice to the revised estimates of 468,826
responses and 234,414 burden hours. This change is due to a revision to the
estimated annual responses for Trademark Recordation Form Cover Sheets (PTO1594). As a result, the total annual respondent cost burden has also been
decreased from the $55,651,134 published in the 60-Day Federal Register Notice to
$54,149,634.
•

Decrease in annual (non-hour) cost burden. The total estimated annual (nonhour) cost burden for this collection has been decreased from the $37,829,474 that
was reported in the 60-Day Federal Register Notice to $36,979,716. This revised
estimate is due to the decreased estimate in total annual responses for the
Trademark Recordation Form Cover Sheet (PTO-1594), which consequently
decreased the total fees and postage costs. This decrease was slightly offset by the
increases in USPS postage rates effective January 22, 2012, which increased the
estimated cost of mailing a Patent or Trademark Recordation Form Cover Sheet
from $0.88 to $0.90 based on the new rate for 1 ounce flat large (9” by 12”)
envelopes.

Change in Respondent Cost Burden
The total respondent cost burden for this collection has increased by $18,355,719 (from
$35,793,915 to $54,149,634) from the previous renewal of this collection in March 2009,
due to:
•

Increases in estimated hourly rates. The 2009 renewal used an estimated rate of
$197 per hour for respondents to this collection, which was an average of the
estimated attorney rate of $304 per hour and the paraprofessional rate of $90 per
hour. For the current renewal, the USPTO is using updated hourly rates of $340 for
attorneys and $122 for paraprofessionals, which yields a revised average estimated
rate of $231 per hour for respondents.

•

Increases in estimated burden hours. The total estimated burden hours have
increased from 181,695 in the 2009 renewal to 234,414 for the current renewal due
to overall increases in the estimated annual responses for this collection.

Changes in Responses and Burden Hours
For this renewal, the USPTO estimates that the annual responses will increase by 105,438
(from 363,388 to 468,826) and the total burden hours will increase by 52,719 (from 181,695
to 234,414) from the currently approved burden for this collection. These changes are due
to the following administrative adjustments:

9

•

Decrease of 30,272 estimated annual responses for the Patent Recordation Form
Cover Sheet (PTO-1595) from 130,387 to 100,115; a burden decrease of 15,136
hours.

•

Increase of 859 estimated annual responses for the Trademark Recordation
Form Cover Sheet (PTO-1594) from 4,584 to 5,443; a burden increase of 430
hours.

•

Increase of 126,421 estimated annual responses for the Electronic Patent
Assignment System (EPAS) from 203,969 to 330,390; a burden increase of 63,210
hours.

•

Increase of 8,430 estimated annual responses for Electronic Trademark
Assignment System (ETAS) from 24,448 to 32,878; a burden increase of 4,215
hours.

Changes in Annual (Non-hour) Costs
For this renewal, the USPTO estimates that the total annual (non-hour) costs will increase
by $9,814,113 (from $27,165,603 to $36,979,716), with a decrease of $20,520 due to
program changes that is offset by a net increase of $9,834,633 due to administrative
adjustments, as follows:
Program Changes:
•

Decrease of $20,520. This collection was previously approved with a total of
$20,520 in recordkeeping costs associated with printing and retaining a copy of the
acknowledgment receipt after submitting an assignment recordation request online
using EPAS or ETAS. The USPTO is removing these recordkeeping costs from this
collection because keeping a copy of the acknowledgment receipt is a suggestion
and not a requirement.

Administrative Adjustments:
•

Increase of $9,856,237. This collection is currently approved with a total of
$27,075,028 in fees associated with paper and online assignment submissions. For
this renewal, the USPTO estimates that total fees will be $36,931,265, primarily due
to an overall increase in the estimated total responses. The USPTO has also
adjusted its estimates for the average fees for a patent or trademark assignment
recordation request.

•

Decrease of $21,604. This collection is currently approved with a total of $70,055 in
postage costs associated with mailing assignment recordation requests to the
USPTO. For this renewal, the USPTO estimates that the postage costs for mailed
10

items will decrease to $48,451, primarily due to a decrease in the expected number
of mailed submissions from 87,569 to 53,835 per year. This decrease is partially
offset by an increase in first-class postage rates since the previous renewal in 2009.
16.

Project Schedule

The USPTO does not plan to publish this information for statistical use. However, patent
and trademark assignment records are available to the public at the USPTO Public Search
Facilities and on the USPTO Web site.
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.

Exception to the Certificate Statement

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

B.

COLLECTIONS OF INFORMATION EMPLOYING STATISTICAL METHODS

This collection of information does not employ statistical methods.

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