Matters Related to First Inventor to File

Forms and Documents

Document Name	Status
0651-0071 Supporting Statement November 2018 Draft.docx Supporting Statement A	2018-11-19
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: 201811-0651-002
Status: Active	Previous ICR Reference No: 201506-0651-001
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: 02/06/2019
	Date Received in OIRA: 11/29/2018
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	02/28/2022	36 Months From Approved	02/28/2019
Responses	23,681	0	50,150
Time Burden (Hours)	207,362	0	340,300
Cost Burden (Dollars)	82	0	8,478

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

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:
	83 FR 45106	09/05/2018
30-day Notice:	Federal Register Citation:	Citation Date:
	83 FR 58761	11/21/2018
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	23,681	50,150	0	0	-26,469	0
Annual Time Burden (Hours)	207,362	340,300	0	0	-132,938	0
Annual Cost Burden (Dollars)	82	8,478	0	0	-8,396	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: $312,756

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.     No

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.     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: 11/29/2018

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