Public Key Infrastructure (PKI)

Forms and Documents

Document Name	Status
Form PTO-2042 Certificate Action Form (and Subscriber Agreement) Form	Modified
Certificate Self-Recovery Form Form	Removed
0651-0045-SupStmt-Feb2012.pdf Supporting Statement A	2012-02-09
0651-0045-justificationforchange-Aug2010-final.pdf Justification for No Material/Nonsubstantive Change	2010-08-13
0651-USPTO-Information-Quality-Guidelines-Dec2009.pdf Supplementary Document	2010-07-30

IC Document Collections

IC ID	Document Title	Status
4770	Certificate Action Form (and Subscriber Agreement) Form	Modified
187782	Certificate Self-Recovery Form Form	Removed

ICR Details

OMB Control No: 0651-0045	ICR Reference No: 201111-0651-004
Status: Historical Active	Previous ICR Reference No: 201007-0651-008
Agency/Subagency: DOC/PTO	Agency Tracking No:
Title: Public Key Infrastructure (PKI)
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: 03/26/2012
	Date Received in OIRA: 02/15/2012
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	03/31/2015	36 Months From Approved	03/31/2012
Responses	4,500	0	3,920
Time Burden (Hours)	2,250	0	1,280
Cost Burden (Dollars)	11,025	0	4,531

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Abstract: The USPTO uses Public Key Infrastructure (PKI) technology to support electronic commerce between the USPTO and its customers. In order to access secure online systems offered by the USPTO for transactions such as electronic filing of patent applications and retrieving confidential patent application information, customers must first obtain a digital certificate. The public uses this collection to request a new digital certificate, the revocation of a current certificate, or the recovery of a lost certificate. This collection includes the Certificate Action Form (PTO-2042), which is provided by the USPTO to ensure that customers submit the necessary information for processing certificate requests. The accompanying subscriber agreement explains the regulations governing the use of the digital certificates and the software that creates and validates the encryption keys.

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Authorizing Statute(s): US Code: 35 USC 2 Name of Law: null
   US Code: 35 USC 122 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:
	76 FR 48807	08/09/2011
30-day Notice:	Federal Register Citation:	Citation Date:
	77 FR 8220	02/14/2012
Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 1

IC Title	Form No.	Form Name
Certificate Action Form (and Subscriber Agreement)	PTO-2042	Certificate Action Form
Certificate Self-Recovery Form	None	Certificate Self-Recovery 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	4,500	3,920	0	-2,063	2,643	0
Annual Time Burden (Hours)	2,250	1,280	0	-351	1,321	0
Annual Cost Burden (Dollars)	11,025	4,531	0	0	6,494	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: Yes

Burden Reduction Due to: Using Information Technology

Short Statement: The program changes are due to the removal of the Certificate Self-Recovery Form from this information collection. The current online certificate recovery feature employed by USPTO uses pre-generated access codes for self-identification and does not collect any information from the customer. Therefore, the previously listed Certificate Self-Recovery Form is being deleted as an information requirement. The administrative adjustments are due to a revised estimate of the number of Certificate Action Forms submitted per year, with a corresponding increase in the annual costs associated with this information requirement.

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Annual Cost to Federal Government: $471,600

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

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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: 02/15/2012

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