Legal Processes

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
Form SF 95 Claim for Damage, Injury, or Death	Form	Modified	Available
Form SF 95 Tort Claims	Form	Modified	Available
USCODE-2011-title28-partVI-chap171-sec2672.pdf	Supplementary Document	Uploaded 2022-11-22	Repair queued
0046 Supporting Statement 2022 Final.docx	Supporting Statement A	Uploaded 2022-11-22	Repair queued
USPTO Information Quality Guidelines.pdf	Supplementary Document	Uploaded 2022-11-22	Repair queued

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
4772	Petition to Waive Rules (Private Sector)		Modified
256954	Forwarding Demands (Individuals and Households)		New
256953	Employee Testimony and Production of Documents in Legal Proceedings (Private Sector)		New
256952	Forwarding Service (Individuals and Households)		New
256948	Service of Process (Individuals and Households)		New
256947	Petition to Waive Rules (Individuals and Households)		New
180065	Tort Claims	Form	Modified	Claim for Damage, Injury, or Death
180065	Tort Claims	Form	Modified
180063	Employee Indemnification		Modified
180062	Report of Possible Indemnification Cases		Modified
180060	Report of Unauthorized Testimony		Modified
180059	Forwarding Demands (Private Sector)		Modified
180058	Employee Testimony and Production of Documents in Legal Proceedings (Private Sector)		Modified
180015	Forwarding Service (Private Sector)		Modified
180014	Service of Process (Private Sector)		Modified

ICR Details

OMB Control No: 0651-0046	ICR Reference No: 202209-0651-003
Status: Historical Active	Previous ICR Reference No: 201911-0651-003
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: 01/11/2023
Retrieve Notice of Action (NOA)	Date Received in OIRA: 11/22/2022
Terms of Clearance:

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	01/31/2026	36 Months From Approved	01/31/2023
Responses	309	0	309
Time Burden (Hours)	133	0	132
Cost Burden (Dollars)	4,569	0	7,622

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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)
   US Code: 28 USC 2672 Name of Law: Federal Tort Claims Act
   US Code: 35 USC 2(b)(2)
  

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:
	87 FR 56931	09/16/2022
30-day Notice:	Federal Register Citation:	Citation Date:
	87 FR 71306	11/22/2022
Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 14

table that charts list of burden

IC Title	Form No.	Form Name
Employee Indemnification
Employee Testimony and Production of Documents in Legal Proceedings (Private Sector)
Employee Testimony and Production of Documents in Legal Proceedings (Private Sector)
Forwarding Demands (Individuals and Households)
Forwarding Demands (Private Sector)
Forwarding Service (Individuals and Households)
Forwarding Service (Private Sector)
Petition to Waive Rules (Individuals and Households)
Petition to Waive Rules (Private Sector)
Report of Possible Indemnification Cases
Report of Unauthorized Testimony
Service of Process (Individuals and Households)
Service of Process (Private Sector)
Tort Claims	SF 95	Claim for Damage, Injury, or Death

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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)	133	132	0	0	1	0
Annual Cost Burden (Dollars)	4,569	7,622	0	0	-3,053	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: $6,385

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? No

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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: 11/22/2022

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