Matters Related to First Inventor to File

Forms and Documents

Document Name	Status
0071 Supporting Statement Final Sept 2015.docx Supporting Statement A	2015-09-18
0651-USPTO-Information-Quality-Guidelines-Dec2009.pdf Supplementary Document	2012-07-19

IC Document Collections

IC ID	Document Title	Status
203316	Rule 1.130, 1.131, and 1.132 Affidavits or Declarations	Modified
203315	Electronic Rule 1.130, 1.131, and 1.132 Affidavits or Declarations	Modified
203314	Identification of Inventorship and Ownership of the Subject Matter of Individual Claims under 37 CFR 1.110	Modified
203313	Electronic Identification of Inventorship and Ownership of the Subject Matter of Individual Claims under 37 CFR 1.110	Modified
203309	Submissions Under 37 CFR 1.78(d)(6)	Modified
203285	Electronic Submissions Under 37 CFR 1.78(d)(6)	Modified
203284	Submissions Under 37 CFR 1.78(a)(6)	Modified
203283	Electronic Submissions Under 37 CFR 1.78(a)(6)	Modified
203282	Submissions Under 37 CFR 1.55(k)	Modified
203281	Electronic Submissions Under 37 CFR 1.55(k)	Modified

ICR Details

OMB Control No: 0651-0071	ICR Reference No: 201506-0651-001
Status: Historical Active	Previous ICR Reference No: 201302-0651-002
Agency/Subagency: DOC/PTO	Agency Tracking No:
Title: Matters Related to First Inventor to File
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: 11/09/2015
	Date Received in OIRA: 09/29/2015
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	11/30/2018	36 Months From Approved	11/30/2015
Responses	50,150	0	189,150
Time Burden (Hours)	340,300	0	778,300
Cost Burden (Dollars)	8,478	0	65,539

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Abstract: The Leahy-Smith America Invents Act was enacted into law on September 16, 2011 (Pub. L. 112-29, 125 Stat. 283 (2011)). Section 3 of the Leahy-Smith America Invents Act, inter alia, amends the patent laws to: (1) convert the United States patent system from a "first to invent" system to a "first inventor to file" system. The changes in section 3 of the AIA went into effect on March 16, 2013, but apply only to certain applications filed on or after March 16, 2013. 37 CFR 1.55(k), 1.78(a)(6) and 1.78(d)(6) require information needed to assist the USPTO in determining whether an application is subject to 35 U.S.C. 102 and 103 as amended by the AIA or 35 U.S.C. 102 and 103 in effect on March 15, 2013. 37 CFR 1.110 requires information needed to identify the inventorship and ownership, or obligation to assign ownership, of each claimed invention on its effective filing date (as defined in § 1.109) or on its date of invention, as applicable, in an application or patent naming one or more joint inventors, when necessary for purposes of a USPTO proceeding. 37 CFR 1.130, 1.131, and 1.132 provide for the submission of affidavits or declarations needed (i) to show that a disclosure was by the inventor or joint inventor, or was by a party who obtained the subject matter from the inventor or a joint inventor (1.130), (ii) to show that there was a prior public disclosure by the inventor or a joint inventor, or by a party who obtained the subject matter from the inventor or a joint inventor (1.130), (iii) to establish prior invention or to disqualify a commonly owned patent or published application as prior art (1.131), or (iv) to submit evidence to traverse a rejection or objection on a basis not otherwise provided for (1.132).

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Authorizing Statute(s): US Code: 35 USC 2(b)(2) Name of Law: null
   US Code: 35 USC 102 and 103 Name of Law: null
   PL: Pub.L. 112 - 29 125 Stat. 283 (2011) Name of Law: Leahy-Smith America Invents Act
  

Citations for New Statutory Requirements: PL: Pub.L. 112 - 29 125 Stat. 283 (2011) Name of Law: Leahy-Smith America Invents Act

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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:
	80 FR 32539	06/09/2015
30-day Notice:	Federal Register Citation:	Citation Date:
	80 FR 57346	09/23/2015
Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 10

IC Title	Form No.	Form Name
Submissions Under 37 CFR 1.78(d)(6)
Electronic Identification of Inventorship and Ownership of the Subject Matter of Individual Claims under 37 CFR 1.110
Identification of Inventorship and Ownership of the Subject Matter of Individual Claims under 37 CFR 1.110
Electronic Rule 1.130, 1.131, and 1.132 Affidavits or Declarations
Rule 1.130, 1.131, and 1.132 Affidavits or Declarations
Electronic Submissions Under 37 CFR 1.55(k)
Submissions Under 37 CFR 1.55(k)
Electronic Submissions Under 37 CFR 1.78(a)(6)
Submissions Under 37 CFR 1.78(a)(6)
Electronic Submissions Under 37 CFR 1.78(d)(6)

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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	50,150	189,150	0	0	-139,000	0
Annual Time Burden (Hours)	340,300	778,300	0	0	-438,000	0
Annual Cost Burden (Dollars)	8,478	65,539	0	0	-57,061	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:

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Annual Cost to Federal Government: $537,420

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: 09/29/2015

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