Patents for Humanity Program

Forms and Documents

Document Name	Status
Form PTO SB 431 Petition to Extend the Redemption Period of the Humanitarian Awards Certificate (Federal Government) Form	New
Form PTO SB 431 Petition to Extend the Redemption Period of the Humanitarian Awards Certificate (State, Local, and Tribal Governments) Form	New
Form PTO SB 431 Petition to Extend the Redemption Period of the Humanitarian Awards Certificate (Individuals or Households) Form	New
Form PTO PFH 002 Humanitarian Program Application (Humanitarian Research) (Federal Government) Form	New
Form PTO PFH 002 Humanitarian Program Application (Humanitarian Research) (State, Local, and Tribal Governments) Form	New
Form PTO PFH 002 Humanitarian Program Application (Humanitarian Research) (Individuals or Households) Form	New
Form PTO PFH 001 Humanitarian Program Application (Humanitarian Use) (Federal Government) Form	New
Form PTO PFH 001 Humanitarian Program Application (Humanitarian Use) (State, Local, and Tribal Governments) Form	New
Form PTO PFH 001 Humanitarian Program Application (Humanitarian Use) (Individuals or Households) Form	New
Form PTO PFH 002 Humanitarian Program Application (Humanitarian Research) (Private Sector) Form	Modified
Form PTO SB 431 Petition to Extend the Redemption Period of the Humanitarian Awards Certificate (Private Sector) Form	Modified
Form PTO PFH 001 Humanitarian Program Application (Humanitarian Use) (Private Sector) Form	Modified
Patents for Humanity Program Improvement Act.pdf Supplementary Document	2022-02-18
Leahy Smith America Invents Act-pub-l112-29.pdf Supplementary Document	2022-02-18
Information Quality Guidelines _ USPTO.html Supplementary Document	2022-02-18
0651-0066 Supporting Statement final 2022.docx Supporting Statement A	2022-02-18

IC Document Collections

IC ID	Document Title	Status
251655	Petition to Extend the Redemption Period of the Humanitarian Awards Certificate (Federal Government) Form	New
251654	Petition to Extend the Redemption Period of the Humanitarian Awards Certificate (State, Local, and Tribal Governments) Form	New
251653	Petition to Extend the Redemption Period of the Humanitarian Awards Certificate (Individuals or Households) Form	New
251632	Humanitarian Program Application (Humanitarian Research) (Federal Government) Form	New
251631	Humanitarian Program Application (Humanitarian Research) (State, Local, and Tribal Governments) Form	New
251630	Humanitarian Program Application (Humanitarian Research) (Individuals or Households) Form	New
251629	Humanitarian Program Application (Humanitarian Use) (Federal Government) Form	New
251628	Humanitarian Program Application (Humanitarian Use) (State, Local, and Tribal Governments) Form	New
251627	Humanitarian Program Application (Humanitarian Use) (Individuals or Households) Form	New
251625	Transfer of Awards Certificate (Individuals or Households)	New
251624	Transfer of Awards Certificate (Private Sector)	New
217895	Humanitarian Program Application (Humanitarian Research) (Private Sector) Form	Modified
203220	Petition to Extend the Redemption Period of the Humanitarian Awards Certificate (Private Sector) Form	Modified
197192	Humanitarian Program Application (Humanitarian Use) (Private Sector) Form	Modified

ICR Details

OMB Control No: 0651-0066	ICR Reference No: 202109-0651-004
Status: Received in OIRA	Previous ICR Reference No: 201811-0651-003
Agency/Subagency: DOC/PTO	Agency Tracking No:
Title: Patents for Humanity Program
Type of Information Collection: Revision of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular	Date Submitted to OIRA: 02/18/2022

	Requested	Previously Approved
Expiration Date	36 Months From Approved	02/28/2022
Responses	115	55
Time Burden (Hours)	428	205
Cost Burden (Dollars)	0	0

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Abstract: Since 2012, the U.S. Patent and Trademark Office (USPTO) has conducted the Patents for Humanity Program, an annual award program to incentivize the distribution of patented technologies or products for the purpose of addressing humanitarian needs. The program is open to any patent owners or patent licensees, including inventors who have not assigned their ownership rights to others, assignees, and exclusive or non-exclusive licenses. USPTO collects information from applicants that describe what actions they have taken with their patented technology to address the welfare of impoverished populations, or how they furthered research by others on technologies for humanitarian purposes. There are numerous categories of awards including: Medicine, Nutrition, Sanitation, Household Energy, and Living Standards. Sometimes the program includes additional categories specific for that year, for example COVID–19. This information collection covers two application forms for the Patents for Humanity Program. The first application covers the humanitarian uses of technologies or products, and the second application covers humanitarian research. In both, applicants are required to describe how their technology or product satisfies the program criteria to address humanitarian issues. Additionally, applicants must provide non-public contact information in order for USPTO to notify them about their award status. Applicants may optionally provide contact information for the public to reach them with any inquiries. Applications must be submitted via email and will be posted on USPTO’s website. Qualified judges from outside USPTO will review and score the applications. USPTO will then forward the top-scoring applications to reviewers from participating Federal agencies to recommend award recipients. Winners are invited to participate in an awards ceremony at USPTO. Those applications that are chosen for an award will receive a certificate redeemable to accelerate select matters before USPTO. The certificates can be redeemed to accelerate one of the following matters: An ex parte reexamination proceeding, including one appeal to the Patent Trial and Appeal Board (PTAB) from that proceeding; a patent application, including one appeal to the PTAB from that application; or an appeal to the PTAB of a claim twice rejected in a patent application or reissue application or finally rejected in an ex parte reexamination, without accelerating the underlying matter which generated the appeal. This information collection also covers the information gathered in petitions to extend an acceleration certificate redemption beyond 12 months. Finally, winners are now able to transfer their certificates to third parties, including by sale, due to the January 2021 passage of the Patents for Humanity Program Improvement Act.

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Authorizing Statute(s): US Code: 35 USC 3(a)(2) Name of Law: Leahy Smith America Invents Act
   PL: Pub.L. 116 - 316 1 and 2 Name of Law: Patents for Humanity Program Improvement Act
  

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:
	86 FR 67927	11/30/2021
30-day Notice:	Federal Register Citation:	Citation Date:
	87 FR 9326	02/18/2022
Did the Agency receive public comments on this ICR? Yes

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Number of Information Collection (IC) in this ICR: 14

IC Title	Form No.	Form Name
Humanitarian Program Application (Humanitarian Research) (Federal Government)	PTO PFH 002	Humanitarian Research Use Application
Humanitarian Program Application (Humanitarian Research) (Individuals or Households)	PTO PFH 002	Humanitarian Research Use Application
Humanitarian Program Application (Humanitarian Research) (Private Sector)	PTO PFH 002	Humanitarian Research Use Application
Humanitarian Program Application (Humanitarian Research) (State, Local, and Tribal Governments)	PTO PFH 002	Humanitarian Research Use Application
Humanitarian Program Application (Humanitarian Use) (Federal Government)	PTO PFH 001	Humanitarian Use Application
Humanitarian Program Application (Humanitarian Use) (Individuals or Households)	PTO PFH 001	Humanitarian Use Application
Humanitarian Program Application (Humanitarian Use) (Private Sector)	PTO PFH 001	Humanitarian Use Application
Humanitarian Program Application (Humanitarian Use) (State, Local, and Tribal Governments)	PTO PFH 001	Humanitarian Use Application
Petition to Extend the Redemption Period of the Humanitarian Awards Certificate (Federal Government)	PTO SB 431	Petition to Extend the Redemption Period
Petition to Extend the Redemption Period of the Humanitarian Awards Certificate (Individuals or Households)	PTO SB 431	Petition to Extend the Redemption Period
Petition to Extend the Redemption Period of the Humanitarian Awards Certificate (Private Sector)	PTO SB 431	Petition to Extend the Redemption Period
Petition to Extend the Redemption Period of the Humanitarian Awards Certificate (State, Local, and Tribal Governments)	PTO SB 431	Petition to Extend the Redemption Period
Transfer of Awards Certificate (Individuals or Households)
Transfer of Awards Certificate (Private Sector)

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ICR Summary of Burden

	Total Request	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	115	55	0	4	56	0
Annual Time Burden (Hours)	428	205	0	2	221	0
Annual Cost Burden (Dollars)	0	0	0	0	0	0

Burden increases because of Program Change due to Agency Discretion: Yes

Burden Increase Due to: Miscellaneous Actions

Burden decreases because of Program Change due to Agency Discretion: No

Burden Reduction Due to:

Short Statement: Changes in Annual Number of Responses, Annual Time Burden, and Annual Cost Burden due to Agency Discretion USPTO adds one item to this information collection to cover the transfer of award certificates. This additional item adds 4 responses and 2 burden hours to the overall estimates. There are no changes in USPTO estimates for the total annual (non-hour) costs. Changes in Estimated Annual Number of Responses, Annual Time Burden, and Annual Cost Burden due to Adjustment in Agency Estimate Increases in the number of responses (+56) and burden hours (+221) are due to the estimated normal fluctuation in the number of responses for the items in this information collection. USPTO believes this rise in participation is due to additional categories being added to the program and increased interest from the public in the program. There are no changes in USPTO estimates for the total annual (non-hour) costs.

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Annual Cost to Federal Government: $433

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? No

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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: 02/18/2022

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