Invention Promoters/Promotion Firms Complaints

Forms and Documents

Document Name	Status
Form PTO/SB/2048 Complaint Regarding Invention Promoter Form	Modified
USPTO Information Quality Guidelines.pdf Supplementary Document	2019-04-23
0651-0044 Supporting Statement April 2019 FINAL.docx Supporting Statement A	2019-04-23
0651-USPTO-InfoQuality-Guidelines-01_07_2013.pdf Supplementary Document	2016-01-19

IC Document Collections

IC ID	Document Title	Status
4767	Complaint Regarding Invention Promoter Form	Modified
45470	Responses to the Complaints	Modified

ICR Details

OMB Control No: 0651-0044	ICR Reference No: 201904-0651-002
Status: Active	Previous ICR Reference No: 201512-0651-003
Agency/Subagency: DOC/PTO	Agency Tracking No:
Title: Invention Promoters/Promotion Firms Complaints
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: 06/25/2019
	Date Received in OIRA: 04/30/2019
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	06/30/2022	36 Months From Approved	06/30/2019
Responses	22	0	50
Time Burden (Hours)	8	0	18
Cost Burden (Dollars)	246	0	494

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Abstract: Under the Inventors’ Rights Act of 1999 (Public Law 106-113, sec. 4101 et seq.), as found in 35 U.S.C. § 297 and implemented by 37 CFR Part 4, the United States Patent and Trademark Office (USPTO) is required to provide a forum for the publication of complaints concerning invention promoters and responses from the invention promoters to those complaints. An individual may submit a complaint concerning an invention promoter to the USPTO, which will forward the complaint to the invention promoter for response. The complaints and responses will be published and made available to the public on the USPTO website. The USPTO does not investigate these complaints or participate in any legal proceedings against invention promoters or promotion firms. Congress enacted the Inventors’ Rights Act to protect independent inventors from being defrauded by invention promoters and promotion firms. Invention promoters assist inventors, particularly independent inventors, with developing, financing, manufacturing, and marketing their inventions. However, some independent inventors were paying large sums of money to these firms but not receiving comparable services from them. The Inventors’ Rights Act requires invention promoters to disclose certain information about their invention promotion services before entering into a contract with a customer. A complaint submitted to the USPTO must be clearly marked, or otherwise identified, as a complaint. The complaint must include: (1) the name and address of the complaint; (2) the name and address of the invention promoter; (3) the name of the customer; (4) the invention promotion services offered or performed by the invention promoter; (5) the name of the mass media in which the invention promoter advertised providing such services; (6) an example of the relationship between the customer and the invention promoter; and (7) a signature of the complainant. Identifying information is necessary so that the USPTO can both forward the complaint to the invention promoter or promotion firm as well as notify the complainant that the complaint has been forwarded. Complainants should understand that the complaints will be forwarded to the invention promoter for response and the complaint and response will be made available to the public as required by the Inventors’ Rights act. If the USPTO does not receive a response from the invention promoter, the complaint will still be published without the response. The USPTO does not accept complaints under this program if the complainant requests confidentiality. This form is available for download from the USPTO website. Use of this form is not mandatory as long as the complaint includes the necessary information and clearly marks their submission as a complaint filed under the Inventors’ Rights Act. There is no associated form for submitting response to the complaints.

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Authorizing Statute(s): US Code: 35 USC 297 Name of Law: Inventors' Rights Act of 1999
  

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:
	84 FR 3417	02/12/2019
30-day Notice:	Federal Register Citation:	Citation Date:
	84 FR 18266	04/30/2019
Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 2

IC Title	Form No.	Form Name
Responses to the Complaints
Complaint Regarding Invention Promoter	PTO/SB/2048	Complaint Regarding Invention Promoter

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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	22	50	0	0	-28	0
Annual Time Burden (Hours)	8	18	0	0	-10	0
Annual Cost Burden (Dollars)	246	494	0	0	-248	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: $2,404

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: 04/30/2019

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