The United States Patent System uses a
‘first to file’ system, as introduced by the Leahy-Smith America
Invents Act (AIA) which was enacted into law on September 16, 2011.
To determine the first inventor to file, information is needed in
order to identify the inventorship and ownership, or obligation to
assign ownership, of each claimed invention on its effective filing
date. Section 3 of the AIA, inter alia, amended 35 U.S.C. 102 and
103 consistent with the objectives of the AIA, including the
conversion of 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. This
information collection covers information required by 37 CFR
1.55(k), 1.78(a)(6), and 1.78(d)(6) to assist the USPTO in
determining whether an application is subject to 35 U.S.C. 102 and
103 as amended by Section 3 of the Leahy-Smith America Invents Act
(AIA), or 35 U.S.C. 102 and 103, in effect on March 15,
2013.
Changes in Annual Responses,
Time Burden, and Cost Burdens due to Agency Discretion USPTO
removed two items from this information collection due to Paperwork
Reduction Act exemptions. This removal results in a decrease of
20,179 responses, 200,358 burden hours, and 61 dollars. The USPTO
finds that the ‘Identification of Inventorship under 37 CFR 1.110’,
previously reported as item 4, is not reportable information per 5
CFR 1320.3(h)(6) and 5 CFR 1320.3(h)(9). Relevant information
collected for establishment and correction of inventorship is
reported to OMB within other items in collections 0651-0031 and
0651-0032. The USPTO also finds that the Rule 1.130, 1.131, and
1.132 Affidavits or Declarations, as they relate to AIA
inventorship matters and as previously reported as item 5, are not
reportable information per 5 CFR 1320.3(h)(1), (6), and (9).
Accordingly, items previously listed as 4 and 5 have been removed
from the information collection. Estimated Annual Responses and
Hourly Burdens due to Adjustment in Agency Estimate Decreases in
the number of responses (-3,358) and burden hours (-6,716) are due
to the estimated normal fluctuation in the number of responses for
the items remaining in this information collection. Change in
Annual (Non-hour) Costs due to Adjustment in Agency Estimate For
this renewal, the USPTO estimates that the total annual (non-hour)
costs will decrease by $13 from the previous approval. This
decrease is due to the respondents filing more electronic
submissions and fewer mailed submissions.
$1,102
No
Yes
No
No
No
No
No
Parikha Mehta 571
272-3248
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:
(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;
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.
0651-0071 Supporting Statement 2022.docx
Leahy Smith America Invents Act-pub-l112-29.pdf
Information Quality Guidelines _ USPTO 2020.html
Rule 1.130, 1.131, and 1.132 Affidavits or Declarations