Legal Processes

Forms and Documents

Document Name	Status
0651-0046-SupStmt-Jun2013.pdf Supporting Statement A	2013-06-28
0651-USPTO-InfoQuality-Guidelines-01_07_2013.pdf Supplementary Document	2013-06-28

IC Document Collections

IC ID	Document Title	Status
4772	Petition to Waive Rules	Modified
180065	Tort Claims	Modified
180063	Employee Indemnification	Modified
180062	Report of Possible Indemnification Cases	Modified
180060	Report of Unauthorized Testimony	Modified
180059	Forwarding Demands	Modified
180058	Employee Testimony and Production of Documents in Legal Proceedings	Modified
180015	Forwarding Service	Modified
180014	Service of Process	Modified

ICR Details

OMB Control No: 0651-0046	ICR Reference No: 201306-0651-002
Status: Historical Active	Previous ICR Reference No: 201005-0651-002
Agency/Subagency: DOC/PTO	Agency Tracking No:
Title: Legal Processes
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: 09/12/2013
	Date Received in OIRA: 07/03/2013
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	09/30/2016	36 Months From Approved	09/30/2013
Responses	299	0	291
Time Burden (Hours)	88	0	52
Cost Burden (Dollars)	3,436	0	3,122

---

Abstract: This collection covers information requirements related to civil actions and claims involving current or former employees of the USPTO. The rules under 37 CFR 104 outline procedures for service of process, demands for employee testimony and production of documents in legal proceedings, reports of unauthorized testimony, employee indemnification, and filing claims against the USPTO under the Federal Tort Claims Act (28 U.S.C. § 2672). The public may also petition the USPTO under 37 CFR 104.3 to waive or suspend the rules for legal processes in extraordinary situations. Current and former USPTO employees also use this collection to forward service and demands to the Office of General Counsel, report unauthorized testimony, and request indemnification.

---

Authorizing Statute(s): US Code: 35 USC 3(a)(2) Name of Law: null
   US Code: 28 USC 2672 Name of Law: Federal Tort Claims Act
   US Code: 35 USC 2(b)(2) Name of Law: null
  

Citations for New Statutory Requirements: None

---

Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
	Not associated with rulemaking

---

Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	78 FR 14079	03/04/2013
30-day Notice:	Federal Register Citation:	Citation Date:
	78 FR 40127	07/03/2013
Did the Agency receive public comments on this ICR? No

---

Number of Information Collection (IC) in this ICR: 9

IC Title	Form No.	Form Name
Report of Possible Indemnification Cases
Employee Indemnification
Tort Claims
Forwarding Demands
Employee Testimony and Production of Documents in Legal Proceedings
Service of Process
Report of Unauthorized Testimony
Petition to Waive Rules
Forwarding Service

---

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	299	291	0	0	8	0
Annual Time Burden (Hours)	88	52	0	0	36	0
Annual Cost Burden (Dollars)	3,436	3,122	0	0	314	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: The increases in estimated annual responses and burden hours are due to administrative adjustments from updated annual response estimates and an updated time estimate for Tort Claims (increase from 1 hour to 6 hours per response). The increase in annual (non-hour) cost burden is due to administrative adjustments from updated response estimates and updated postage rates, resulting in increased total postage costs.

---

Annual Cost to Federal Government: $4,934

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

---

Common Form ICR:  No

---

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: 07/03/2013

---