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 Supporting Statement 2018 April.doc	Supporting Statement A	Uploaded 2018-04-26	Available
USPTO Patent Fee Final Rule 11.2.17.docx	Supplementary Document	Uploaded 2017-12-11	Available
0651-0027 Nov 2017 CWS.docx	Justification for No Material/Nonsubstantive Change	Uploaded 2017-11-09	Available
0651-USPTO-Information-Quality-Guidelines-Dec2009.pdf	Supplementary Document	Uploaded 2012-01-26	Available

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: 201804-0651-005
Status: Historical Active	Previous ICR Reference No: 201712-0651-016
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: 06/11/2018
Retrieve Notice of Action (NOA)	Date Received in OIRA: 04/30/2018
Terms of Clearance:

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	06/30/2021	36 Months From Approved	06/30/2018
Responses	596,527	0	524,298
Time Burden (Hours)	298,264	0	262,150
Cost Burden (Dollars)	3,192,374	0	3,441,336

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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.

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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:
	83 FR 4039	01/29/2018
30-day Notice:	Federal Register Citation:	Citation Date:
	83 FR 18281	04/26/2018
Did the Agency receive public comments on this ICR? Yes

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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	596,527	524,298	0	0	72,229	0
Annual Time Burden (Hours)	298,264	262,150	0	0	36,114	0
Annual Cost Burden (Dollars)	3,192,374	3,441,336	0	0	-248,962	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: $5,795,964

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? 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: 04/30/2018

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