Legal Processes

Forms and Documents

Document Name	Status
Form SF 95 Tort Claims Form	Modified
0651-0046 Supporting Statement 2025 Final.docx Supporting Statement A	2025-11-21
USCODE-2011-title28-partVI-chap171-sec2672 2025.pdf Supplementary Document	2025-11-20
Information Quality Guidelines _ USPTO 2025.pdf Supplementary Document	2025-11-20

IC Document Collections

IC ID	Document Title	Status
4772	Petition to Waive Rules	Modified
256954	Forwarding Demands (Individuals and Households)	Removed
256953	Employee Testimony and Production of Documents in Legal Proceedings (Private Sector)	Removed
256952	Forwarding Service (Individuals and Households)	Removed
256948	Service of Process (Individuals and Households)	Removed
256947	Petition to Waive Rules (Individuals and Households)	Removed
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	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: 202509-0651-005
Status: Received in OIRA	Previous ICR Reference No: 202209-0651-003
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	Date Submitted to OIRA: 11/21/2025

	Requested	Previously Approved
Expiration Date	36 Months From Approved	01/31/2026
Responses	309	309
Time Burden (Hours)	131	133
Cost Burden (Dollars)	6,002	4,569

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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: 28 USC 2672 Name of Law: Federal Tort Claims Act
   US Code: 35 USC 2(b)(2)
   US Code: 35 USC 3(a)(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:
	90 FR 30053	07/08/2025
30-day Notice:	Federal Register Citation:	Citation Date:
	90 FR 52621	11/21/2025
Did the Agency receive public comments on this ICR? No

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

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

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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	309	309	0	0	0	0
Annual Time Burden (Hours)	131	133	0	0	-2	0
Annual Cost Burden (Dollars)	6,002	4,569	0	0	1,433	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: $7,549

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: 11/21/2025

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