Matters Related to First Inventor to File

OMB Control No: 0651-0071	ICR Reference No: 202412-0651-001
Status: Received in OIRA	Previous ICR Reference No: 202108-0651-004
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	Date Submitted to OIRA: 12/18/2024

	Requested	Previously Approved
Expiration Date	36 Months From Approved	03/31/2025
Responses	50	144
Time Burden (Hours)	100	288
Cost Burden (Dollars)	11	8

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Abstract: 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.

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Authorizing Statute(s): PL: Pub.L. 112 - 29 125 Stat. 283 (2011) Name of Law: Leahy-Smith America Invents 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:
	89 FR 81894	10/09/2024
30-day Notice:	Federal Register Citation:	Citation Date:
	89 FR 102868	12/18/2024
Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 3

IC Title Form No. Form Name Submissions Under 37 CFR 1.55(k) Submissions Under 37 CFR 1.55(k) (Individuals or Households) Submissions Under 37 CFR 1.78(a)(6) Submissions Under 37 CFR 1.78(a)(6) (Individuals or Households) Submissions Under 37 CFR 1.78(d)(6) Submissions Under 37 CFR 1.78(d)(6) (Individuals or Households)

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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	50	144	0	0	-94	0
Annual Time Burden (Hours)	100	288	0	0	-188	0
Annual Cost Burden (Dollars)	11	8	0	0	3	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: Changes Since the Publication of the 60-Day Notice Since the publication of the 60-Day Notice in the Federal Register, the USPTO has updated its postage rates to reflect more accurate estimates. This results in an increase of $1 in non-hourly cost burden, for a new estimated total annual burden of $11. Change in Responses and Hourly Burden due to Adjustment in Agency Estimate The total number of respondents has decreased by 94 due to increasing rarity for a newly filed nonprovisional application to claim foreign priority to, or domestic benefit of, an application filed before March 16, 2013, without also claiming benefit of an earlier application in which the statement has already been filed. This decrease in the number of respondents and responses results in a decrease of 188 hours in the annual time burden estimates. 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 increase slightly by $3 from the previous approval. This increase is due to increased postage rates.

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Annual Cost to Federal Government: $418

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.     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? No

Agency Contact: Raul Tamayo 571 272-7728 [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: 12/18/2024

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