Legal Processes

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
0046 Supporting Statement 2019 draft.docx	Supporting Statement A	Uploaded 2019-11-20	Available
0651-USPTO-InfoQuality-Guidelines-01_07_2013.pdf	Supplementary Document	Uploaded 2016-09-07	Available

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
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: 201911-0651-003
Status: Active	Previous ICR Reference No: 201609-0651-001
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: 01/06/2020
	Date Received in OIRA: 11/27/2019
Terms of Clearance:

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	01/31/2023	36 Months From Approved	01/31/2020
Responses	309	0	309
Time Burden (Hours)	132	0	131
Cost Burden (Dollars)	7,622	0	3,734

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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.

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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

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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 182	09/19/2019
30-day Notice:	Federal Register Citation:	Citation Date:
	84 FR 65373	11/27/2019
Did the Agency receive public comments on this ICR? No

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

table that charts list of burden

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

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ICR Summary of Burden

table that charts list 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	309	309	0	0	0	0
Annual Time Burden (Hours)	132	131	0	1	0	0
Annual Cost Burden (Dollars)	7,622	3,734	0	3,888	0	0

Burden increases because of Program Change due to Agency Discretion: Yes

Burden Increase Due to: Miscellaneous Actions

Burden decreases because of Program Change due to Agency Discretion: No

Burden Reduction Due to:

Short Statement: Burden increase due to a change in postage rates associated with mailing of items in the collection and slight adjustment in time burden.

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Annual Cost to Federal Government: $5,924

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.     No

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? 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: 11/27/2019

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