Recording Assignments

Forms and Documents

Document Name	Status
Form PTO-1595 Patent Recordation Form Cover Sheet Form and Instruction	Modified
Form PTO-1594 Electronic Trademark Assignment System (ETAS) Form and Instruction	Unchanged
Form PTO-1595 Electronic Patent Assignment System (EPAS) Form and Instruction	Unchanged
Form PTO-1594 Trademark Recordation Form Cover Sheet Form and Instruction	Unchanged
0651-0027-JustChg-Aug2012.pdf Justification for No Material/Nonsubstantive Change	2012-08-07
0651-0027-SupStmt-Mar2012.pdf Supporting Statement A	2012-03-14
0651-USPTO-Information-Quality-Guidelines-Dec2009.pdf Supplementary Document	2012-01-26

IC Document Collections

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

ICR Details

OMB Control No: 0651-0027	ICR Reference No: 201208-0651-005
Status: Historical Active	Previous ICR Reference No: 201201-0651-008
Agency/Subagency: DOC/PTO	Agency Tracking No:
Title: Recording Assignments
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: 08/28/2012
	Date Received in OIRA: 08/10/2012
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	04/30/2015	04/30/2015	04/30/2015
Responses	468,826	0	468,826
Time Burden (Hours)	234,414	0	234,414
Cost Burden (Dollars)	36,979,716	0	36,979,716

---

Abstract: The United States Patent and Trademark Office (USPTO) is submitting this request to update information collection 0651-0027, Recording Assignments. The USPTO is making revisions to two existing approved forms in this collection related to the inventor's oath or declaration: Patent Recordation Form Cover Sheet (PTO-1595) and Electronic Patent Assignment System (EPAS). Section 4 of the Leahy-Smith America Invents Act (AIA) amends 35 U.S.C. § 115 to streamline the requirements for the inventor's oath or declaration. For example, amended 35 U.S.C. § 115(e) provides for making the statements required under 35 U.S.C. § 115(b) and (c) in an assignment of record and specifically permits an individual who is under an obligation of assignment of an application to include the required statements in the assignment executed by the individual, in lieu of filing the statements separately. The changes to 35 U.S.C. § 115 in the AIA are effective on September 16, 2012, but apply only to patent applications filed on or after September 16, 2012. In order to accommodate the revised procedure, the USPTO is revising Form PTO-1595 and EPAS to allow the public to indicate that the assignment document serves as an oath or declaration under 37 CFR 1.63. The proposed revisions of these forms will not result in a substantive change in the burden for this collection. The changes will have no effect on the estimated annual responses or estimated time per response for the revised forms.

---

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

---

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

IC Title	Form No.	Form Name
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
Electronic Patent Assignment System (EPAS)	PTO-1595	Electronic Patent Assignment System (EPAS)

---

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	468,826	468,826	0	0	0	0
Annual Time Burden (Hours)	234,414	234,414	0	0	0	0
Annual Cost Burden (Dollars)	36,979,716	36,979,716	0	0	0	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.

---

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

---

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: 08/10/2012

---