Initial Patent Applications

OMB Control No: 0651-0032	ICR Reference No: 201207-0651-004
Status: Historical Active	Previous ICR Reference No: 201009-0651-002
Agency/Subagency: DOC/PTO	Agency Tracking No:
Title: Initial Patent Applications
Type of Information Collection: No material or nonsubstantive change to a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Approved without change	Conclusion Date: 07/16/2012
Retrieve Notice of Action (NOA)	Date Received in OIRA: 07/11/2012
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	01/31/2014	01/31/2014	01/31/2014
Responses	513,221	0	513,221
Time Burden (Hours)	11,553,888	0	11,553,888
Cost Burden (Dollars)	772,798,833	0	772,798,833

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Abstract: The USPTO is adding eight new forms into this collection related to the inventor's oath or declaration resulting from changes to 35 U.S.C. 115 in the AIA: (1)Declaration (37 CFR 1.63) for Utility or Design Patent Application using an Application Data Sheet (37 CFR 1.76)(PTO/SB/AIA01); (2)Substitute Statement in Lieu of an Oath or Declaration for Utility or Design Patent Application (35 U.S.C. 115(d) and 37 CFR 1.64)(PTO/SB/AIA02); (3)Declaration (37 CFR 1.63) for Plant Patent Application using an Application Data Sheet (37 CFR 1.76)(PTO/SB/AIA03); (4)Substitute Statement in Lieu of an Oath or Declaration for Plant Patent Application (35 U.S.C. 115(d) and 37 CFR 1.64)(PTO/SB/AIA04); (5)Declaration for Utility or Design Patent Application (37 CFR 1.63)(PTO/SB/AIA08); (6)Plant Patent Application (35 U.S.C. 161) Declaration (37 CFR 1.162); (7) Declaration (PTO/SB/AIA10; and (8)Substitute Statement Supplemental Sheet (PTO/SB/AIA11) The changes to 35 U.S.C. 115 in the AIA do not apply to applications filed prior to September 16, 2012. The USPTO plans to provide new forms for use with applications filed on or after September 16, 2012, but still continue to make the existing inventor's oath or declaration forms (legacy forms) available until applications filed prior to September 16, 2012, are no longer pending before the USPTO.

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Authorizing Statute(s): US Code: 35 USC 131 Name of Law: null

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:
	75 FR 23227	05/03/2010
30-day Notice:	Federal Register Citation:	Citation Date:
	75 FR 60073	09/29/2010
Did the Agency receive public comments on this ICR? Yes

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Number of Information Collection (IC) in this ICR: 30

IC Title Form No. Form Name Design Continuation/Divisional Applications PTO/SB/17, PTO/SB/18 Design Patent Application Transmittal ,   Fee Transmittal Form Utility Continuation-in-Part Applications PTO/SB/02A and PTO/SB/02B, PTO/SB/01, PTO/SB/02LR, PTO/SB/102, PTO/SB/103, PTO/SB/AIA08, PTO/SB/AIA10, PTO/SB/AIA02, PTO/SB/AIA11, PTO/SB/101, PTO/SB/107, PTO/SB/110, PTO/SB/05, PTO/SB/17, PTO/SB/04, PTO/SB/108, PTO/SB/109, PTO/SB/104, PTO/SB/105, PTO/SB/106 Declaration for Utility or Design Patent Application (37 CFR 1.63) ,   Declaration - Additional Inventors - Supplemental Sheet and Declaration - Supplemental Priority Data Sheet ,   Declaration Supplemental Sheet for Legal Representatives (35 U.S.C. 117) on Behalf of a Deceased or Incapacitated Inventor ,   Supplemental Declaration for Utility or Design Patent Application (37 CFR 1.67) ,   Declaration and Power of Attorney for Patent Application - Chinese Language Declaration ,   Declaration and Power of Attorney for Patent Application ,   Declaration and Power of Attorney for Patent Application ,   Declaration and Power of Attorney for Patent Application - Italian ,   Declaration and Power of Attorney for Patent Application - French ,   Declaration and Power of Attorney for Patent Application - Japanese Language Declaration ,   Declaration and Power of Attorney for Patent Application - Russian Language Declaration ,   Declaration and Power of Attorney for Patent Application - Swedish ,   Declaration and Power of Attorney for Patent Application - Spanish ,   Declaration and Power of Attorney for Patent Application - Korean ,   Utility Patent Application Transmittal ,   Fee Transmittal Form ,   Declaration for Utility or Design Patent Application (37 CFR 1.63) ,   Supplemental Sheet for Declaration ,   Substitute Statement in Lieu of an Oath or Declaration for Utility or Design Patent Application (35 U.S.C. 115(d) and 37 CFR 1.64) ,   Substitute Statement Supplemental Sheet Plant Continuation-in-Part Applications PTO/SB/02LR, PTO/SB/03, PTO/SB/AIA09, PTO/SB/AIA10, PTO/SB/AIA04, PTO/SB/AIA11, PTO/SB/02A and PTO/SB/02B, PTO/SB/19, PTO/SB/17 Substitute Statement in Lieu of an Oath or Declaration for Plant Patent Application (35 U.S.C. 115(d) and 37 CFR 1.64) ,   Substitute Statement Supplemental Sheet ,   Declaration - Additional Inventors - Supplemental Sheet and Declaration - Supplemental Priority Data Sheet ,   Declaration Supplemental Sheet for Legal Representatives (35 U.S.C. 117) on Behalf of a Deceased or Incapacitated Inventor ,   Plant Patent Application (35 U.S.C. 161) Declaration (37 CFR 1.63) ,   Plant Patent Application Transmittal ,   Fee Transmittal Form ,   Plant Patent Application (35 U.S.C. 161) Declaration (37 CFR 1.162) ,   Supplemental Sheet for Declaration Electronic Original Design Applications - No Application Data Sheet Electronic Continuation/Divisional of an International Application Design Continuation-in-Part Applications PTO/SB/02LR, PTO/SB/AIA08, PTO/SB/AIA10, PTO/SB/AIA02, PTO/SB/AIA11, PTO/SB/18, PTO/SB/17, PTO/SB/01, PTO/SB/02A and PTO/SB/02B, PTO/SB/04 Declaration for Utility or Design Patent Application (37 CFR 1.63) ,   Supplemental Sheet for Declaration ,   Substitute Statement in Lieu of an Oath or Declaration for Utility or Design Patent Application (35 U.S.C. 115(d) and 37 CFR 1.64) ,   Substitute Statement Supplemental Sheet ,   Declaration for Utility or Design Patent Application (37 CFR 1.63) ,   Declaration - Additional Inventors - Supplemental Sheet and Declaration - Supplemental Priority Data Sheet ,   Declaration Supplemental Sheet for Legal Representatives (35 U.S.C. 11) on Behalf of a Deceased or Incapacitated Inventor ,   Supplemental Declaration for Utility or Design Patent Application (37 CFR 1.67) ,   Design Patent Application Transmittal ,   Fee Transmittal Form Provisional Application for Patent Cover Sheet PTO/SB/16, PTO/SB/16 Provisional Application for Patent Cover Sheet ,   Provisional Application for Patent Cover Sheet Petition to Accept Unintentionally Delayed Priority/Benefit Claim Electronic New Design Applications - Application Data Sheet Electronic Original New Utility Applications - Application Data Sheet Electronic Utility Continuation/Divisional Applications Electronic Design Continuation/Divisional Applications Electronic Continued Prosecution Applications - Design (Request Transmittal and Receipt) Original New Plant Applications - No Application Data Sheet PTO/SB/AIA09, PTO/SB/AIA04, PTO/SB/AIA10, PTO/SB/03, PTO/SB/19 Plant Patent Application (35 U.S.C. 161) Declaration (37 CFR 1.63) ,   Plant Patent Application Transmittal ,   Plant Patent Application (35 U.S.C. 161) Declaration (37 CFR 1.162) ,   Substitute Statement in Lieu of an Oath or Declaration for Plant Patent Application (35 U.S.C. 115(d) and 37 CFR 1.64) ,   Supplemental Sheet for Declaration Petition to Accept Non-Signing Inventors or Legal Representatives/Filing by Other Than All the Inventors or a Person not the Inventor Petition under 37 CFR 1.6(g) to Accord National Stage Correspondence Required by 37 CFR 1.495(b) a Receipt Date Continued Prosecution Applications - Design (Request Transmittal and Receipt) PTO/SB/29, PTO/SB/29A For Design Applications Only: Continued Prosecution Application (CPA) Request Transmittal ,   For Design Applications Only Receipt for Facsimile Transmitted CPA Electronic Original New Utility Applications - No Application Data Sheet Electronic Design Continuation-in-Part Applications Electronic Utility Continuation-in-Part Applications Electronic Provisional Application for Patent Cover Sheet Papers filed under 1.41, 1.48, and 1.53(c)(2) Original New Design Applications - No Application Data Sheet PTO/SB/AIA08, PTO/SB/AIA10, PTO/SB/AIA02, PTO/SB/AIA11, PTO/SB/18, PTO/SB/04 Supplemental Declaration for Utility or Design Patent Application (37 CFR 1.67) ,   Design Patent Application Transmittal ,   Declaration for Utility or Design Patent Application (37 CFR 1.63) ,   Supplemental Sheet for Declaration ,   Substitute Statement in Lieu of an Oath or Declaration for Utility or Design Patent Application (35 U.S.C. 115(d) and 37 CFR 1.64) ,   Substitute Statement Supplemental Sheet Original New Utility Applications - No Application Data Sheet PTO/SB/106, PTO/SB/105, PTO/SB/107, PTO/SB/02SE, PTO/SB/02CN, PTO/SB/02NL, PTO/SB/02RU, PTO/SB/02FR, PTO/SB/AIA08, PTO/SB/AIA02, PTO/SB/AIA10, PTO/SB/AIA11, PTO/SB/05, PTO/SB/108, PTO/SB/104, PTO/SB/110, PTO/SB/17, PTO/SB/109, PTO/SB/103, PTO/SB/01, PTO/SB/04, PTO/SB/102, PTO/SB/101, PTO/SB/02KR, PTO/SB/02IT, PTO/SB/02DE, PTO/SB/02ES, PTO/SB/02JP, PTO/SB/02A and PTO/SB/02B, PTO/SB/02LR Declaration for Utility or Design Patent Application (37 CFR 1.63) ,   Declaration - Additional Inventors-Supplemental Sheet and Declaration - Supplemental Priority Data Sheet ,   Declaration Supplemental Sheet for Legal Representatives (35 U.S.C 117) on Behalf of a Deceased or Incapacitated Inventor ,   Supplemental Declaration for Utility or Design Patent Application (37 CFR 1.67) ,   Declaration and Power of Attorney for Patent Application - Chinese Language Declaration ,   Declaration and Power of Attorney for Patent Application - Dutch Language Declaration ,   Declaration and Power of Attorney for Patent Application - German Language Declaration ,   Declaration and Power of Attorney for Patent Application - Italian Language Declaration ,   Declaration and Power of Attorney for Patent Application - French Language Declaration ,   Declaration and Power of Attorney for Patent Application - Japanese Language Declaration ,   Declaration and Power of Attorney for Patent Application - Russian Language Declaration ,   Declaration and Power of Attorney for Patent Application - Swedish Language Declaration ,   Declaration and Power of Attorney for Patent Application - Spanish Language Declaration ,   Declaration and Power of Attorney for Patent Application - Korean Language Declaration ,   Utility Patent Application Transmittal ,   Fee Transmittal Form ,   Declaration (Additional Inventors) and Supplemental Priority Sheets (Chinese Language Declaration for Additional Inventors) ,   Declaration (Additional Inventors) and Supplemental Priority Data Sheets (German Language Declaration for Additional Inventors) ,   Declaration (Additional Inventors) and Supplemental Priority Data Sheet (Spanish Language Declaration for Additional Inventors) ,   Declaration (Additional Inventors) and Supplemental Priority Data Sheet (French Language Declaration for Additional Inventors) ,   Declaration (Additional Inventors) and Supplemental Priority Data Sheet (Italian Language Declaration for Additional Inventors) ,   Declaration (Additional Inventors) and Supplemental Priority Data Sheet (Japanese Language Declaration for Additional Inventors) ,   Declaration (Additional Inventors) and Supplemental Priority Data Sheet (Korean Language Declaration for Additional Inventors) ,   Declaration (Additional Inventors) and Supplemental Priority Data Sheet (Dutch Language Declaration for Additional Inventors) ,   Declaration (Additional Inventors) and Supplemental Priority Data Sheet (Russian Language Declaration for Additional Inventors) ,   Declaration (Additional Inventors) and Supplemental Priority Data Sheet (Swedish Language Declaration for Additional Inventors) ,   Declaration for Utility or Design Patent Application (37 CFR 1.63) ,   Substitute Statement in Lieu of an Oath or Declaration for Utility or Design Patent Application (35 U.S.C. 115(d) and 37 CFR 1.64) ,   Supplemental Sheet for Declaration ,   Substitute Statement Supplemental Sheet Original New Utility Applications - Application Data Sheet PTO/SB/14, PTO/SB/AIA01, PTO/SB/01A Application Data Sheet 37 CFR 1.76 ,   Declaration (37 CFR 1.63) for Utility or Design Application Using an Application Data Sheet (37 CFR 1.76) ,   Declaration (37 CFR 1.63) for Utility or Design Application Using an Application Data Sheet (37 CFR 1.76) Original New Plant Applications - Application Data Sheet PTO/SB/03A, PTO/SB/AIA03, PTO/SB/14 Application Data Sheet 37 CFR 1.76 ,   Declaration (37 CFR 1.63) for Plant Application Using an Application Data Sheet (37 CFR 1.76) ,   Declaration (37 CFR 1.63) for Plant Application Using an Application Data Sheet (37 CFR 1.76) Original New Design Applications - Application Data Sheet PTO/SB/AIA01, PTO/SB/14, PTO/SB/01A, PTO/SB/17 Application Data Sheet 37 CFR 1.76 ,   Declaration (37 CFR 1.63) for Utility or Design Application Using an Application Data Sheet (37 CFR 1.76) ,   Fee Transmittal Form ,   Declaration (37 CFR 1.63) for Utility or Design Application Using an Application Data Sheet (37 CFR 1.76) Continuation/Divisional of an International Application PTO/SB/13/PCT, PTO/SB/107, PTO/SB/AIA08, PTO/SB/AIA10, PTO/SB/AIA02, PTO/SB/AIA11, PTO/SB/01, PTO/SB/102, PTO/SB/106, PTO/SB/110, PTO/SB/02LR, PTO/SB/105, PTO/SB/109, PTO/SB/101, PTO/SB/103, PTO/SB/104, PTO/SB/04, PTO/SB/02A and PTO/SB/02B, PTO/SB/108 Declaration for Utility or Design Patent Application (37 CFR 1.63) ,   Declaration - Additional Inventors-Supplemental Sheet and Declaration - Supplemental Priority Data Sheet ,   Declaration Supplemental Sheet for Legal Representatives (35 U.S.C. 117) on Behalf of a Deceased or Incapacitated Inventor ,   Supplemental Declaration for Utility or Design Patent Application (37 CFR 1.67) ,   Declaration and Power of Attorney for Patent Application - Chinese Language Declaration ,   Declaration and Power of Attorney for Patent Application ,   Declaration and Power of Attorney for Patent Application ,   Declaration and Power of Attorney for Patent Application - Italian Language Declaration ,   Declaration and Power of Attorney for Patent Application - French Language Declaration ,   Declaration and Power of Attorney for Patent Application - Japanese Language Declaration ,   Declaration and Power of Attorney for Patent Application - Russian Language Declaration ,   Declaration and Power of Attorney for Patent Application - Swedish Language Declaration ,   Declaration and Power of Attorney for Patent Application - Spanish Language Declaration ,   Declaration and Power of Attorney for Patent Application - Korean Language Declaration ,   Request for Filing a Continuation or Division of an International Application ,   Declaration for Utility or Design Patent Application (37 CFR 1.63) ,   Supplemental Sheet for Declaration ,   Substitute Statement in Lieu of an Oath or Declaration for Utility or Design Patent Application (35 U.S.C. 115(d) and 37 CFR 1.64) ,   Substitute Statement Supplemental Sheet Utility Continuation/Divisional Applications PTO/SB/05, PTO/SB/17 Utility Patent Application Transmittal ,   Fee Transmittal Form Plant Continuation/Divisional Applications PTO/SB/17, PTO/SB/19 Plant Patent Application Transmittal ,   Fee Transmital Form

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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	513,221	513,221	0	0	0	0
Annual Time Burden (Hours)	11,553,888	11,553,888	0	0	0	0
Annual Cost Burden (Dollars)	772,798,833	772,798,833	0	0	0	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: $9,198,561

Does this IC contain surveys, censuses, or employ statistical methods? No

Is the Supporting Statement intended to be a Privacy Impact Assessment required by the E-Government Act of 2002? 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

Agency Contact: Raul Tamayo 5712727728 [email protected]

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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: 07/11/2012

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