Federal Register: October 30, 2002 (Volume 67, Number 210)
DOCID: FR Doc 02-27543
OFFICE OF MANAGEMENT AND BUDGET
Management and Budget Office
NOTICE: NOTICES
ACTION: Reports and guidance documents; availability, etc.:
DOCUMENT ACTION: Notice of proposed policy issuance directive on standard data elements for a common summary report of inventions.
SUBJECT CATEGORY:
Office of Federal Financial Management; Proposed Policy on Common Summary Report of Inventions
DATES: All comments on this proposal should be in writing, and must be received by December 30, 2002.
DOCUMENT SUMMARY:
OMB's Office of Federal Financial Management (OFFM) proposes to issue a policy directive to establish standard data elements and an interactive Internet web form of these elements to facilitate the submittal of a summary report of inventions. The purpose of a single interactive Internet web form is to have a common governmentwide system for this report instead of the numerous, agencyunique summary invention reporting forms currently used by the Federal agencies. An interagency work group developed the data elements as part of the implementation of the Federal Financial Assistance Management Improvement Act of 1999 (Pub. L. 106107). Consistent with the purposes of that Act, a single common web form will simplify and streamline this reporting process.
SUMMARY:
Inventions; common summary report; policy issuance directive,
SUPPLEMENTAL INFORMATION
This notice proposes, by way of a policy
directive, to establish a single interactive Internet web form to
submit the summary (interim or final) report of inventions conceived or
first actually reduced to practice during the term of an award as
required by the BayhDole Act [35 U.S.C. Section 206; 37 CFR Section
401.5(f)(1) and (3)]. The Federal agencies plan to locate this
interactive web form on the Interagency Edison extramural invention
reporting system called iEdison (http://iedison.gov). iEdison is an
Internetbased system devoted to BayhDole Act reporting compliance. It
was selected because it is currently used by 16 Federal agencies for
invention reporting and tracking. To meet reporting requirements, award
recipients will be able to complete the web form on the iEdison web site, print
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a copy, sign, and fax or mail the form to the awarding agency. The use
of an electronic signature is not included in this implementation since
a governmentwide standard for electronic signature has not yet been defined.
Implementation of a common governmentwide web form for the summary report of inventions is one outcome of the Federal agencies' streamlining and simplification efforts mandated by the Federal Financial Assistance Management Improvement Act of 1999 (Pub. L. 106 107). Although the standard data elements and web form were developed for financial assistance recipients, the elements are equally applicable to contractors, and contractors can use the web form as an interim or final summary report of inventions, if an agency chooses.
The standard data elements, i.e., data dictionary, and a template of the proposed web form are attached to this notice. The Federal agencies that require a summary invention report believe the proposed data elements are the essential elements needed for such a report. During an informal commenting period, several organizations recommended that a summary report of inventions be required only if there were inventions to report.
However, while the decision to request such reports is optional, most agencies believe that a final report (either positive or negative) is the most efficient way to provide some assurance that the recipient has given appropriate attention to the reporting of inventions. Often times a significant number of inventions are reported when recipients are prompted to complete a final report of inventions prior to close out. The experience of several agencies has also shown that recipients pay more attention to invention reporting obligations if they are required to indicate if no inventions were made under the award.
We welcome your comments on the standard data elements and the
proposed interactive Internet web form. If you receive funds from the
Federal Government for research and development, or expect to receive
funds in the future, questions that you may wish to address include:
[sbull] Do you agree that these data elements represent the minimum
set needed? Would you add or delete any elements? If you recommend adding or deleting any elements, please explain.
[sbull] Do the data element definitions clearly describe what is required? If not, please provide suggested changes.
[sbull] Would you be able to access the iEdison system to complete
the web form? Although the interactive Internet web form will not be
fully developed until the standard data elements are approved, we
welcome suggestions on how to make it more ``user friendly''.
Dated: October 17, 2002.
Joseph L. Kull,
Deputy Controller.
Proposed OMB Policy Directive
To the Heads of Executive Departments and Establishments
Subject: Standards for Summary Report of Inventions.
(1) Purpose. This policy directive establishes a single interactive
Internet web form to be used by recipients for their summary report of
inventions if such reports are required by the awarding agency.
(2) Authority. This policy directive is part of the implementation
of the Federal Financial Assistance Management Improvement Act of 1999 (Pub. L. 106107).
(3) Background. The Federal Financial Assistance Management
Improvement Act of 1999 requires the Office of Management and Budget
(OMB) to direct, coordinate, and assist Executive Branch departments
and agencies in establishing an interagency process to streamline and
simplify Federal financial assistance procedures for nonFederal entities.
It also required each executive agency to develop, submit to the Congress, and implement a plan for the streamlining and simplification effort. Twentysix Executive Branch agencies jointly submitted a plan to the Congress in May 2001, as the Act required. The plan described the interagency process through which the agencies would review current policies and practices and seek to streamline and simplify them. The plan also identified substantive areas in which the interagency work groups had begun their review and simplification efforts.
One area identified by the PostAward Work Group was the
development of common data elements for a summary report of inventions.
The interagency work group recognized that the development of a common
set of information requirements, and adoption of a common web form for
this report would reduce the reporting burden on recipients that receive Federal funds for research and development.
(4) Requirement. The BayhDole Act requires that any invention
conceived or first actually reduced to practice using funds obtained as
part of a Federal funding agreement must be reported to the Federal
awarding agency [35 U.S.C. Section 202; 37 CFR Section 401.14]. A
provision of the law permits agencies, at their option, to require
recipients to submit a summary report of inventions, either on an
interim basis, or prior to the closeout of a funding agreement listing
all subject inventions or stating that there were none [37 CFR Section
401.5(f)(1) & (f)(3)]. Most of the large Federal agencies that fund
research and development require at least a final summary report of inventions.
(5) Policy. If a Federal agency requires a summary report of
inventions prior to the closeout of a grant or a cooperative
agreement, the agency must use the common web form and must specify in
the award agreement or in the agency's policy directives that
recipients must use the common interactive Internet web form on the
iEdison Web site at http://iedison.gov for such reports. (6) Responsibilities.
a. Agency Responsibilities. Executive Branch departments and agencies:
(1) Must issue any needed direction to offices that award grants
and cooperative agreements to implement this policy. Agencies should
also direct recipients to complete all the required information on the
web form and any optional information required by the agency, print and
sign the form, and mail or fax it to the appropriate Federal official.
(2) May request exceptions from this OFFM policy letter for any
summary invention reporting that deviates from the governmentwide invention reporting system.
b. OMB Responsibilities. OMB will update this policy letter as
needed, based on recommendations from interagency work groups.
(7) Information Contact. Direct any questions regarding this policy
directive to Garrett Hatch, OFFM, 2023950786 (direct) or 2023953993 (main office).
(8) Effective Date. The policy directive is effective 30 days after
issuance. All implementing actions other than regulatory revisions must
be completed by the Executive departments and agencies within 6 months
of issuance; regulatory revisions must be completed within 12 months. Date:
Controller
Attachments:
1. Data Dictionary for Common Summary Report of Inventions
2. Summary Report of Inventions Web Form Template
Data DictionaryCommon Summary Report of Inventions
The data elements that are represented allow for the summary reporting of all inventions and patents
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that have been made using Federal funds during the term of a Federal
funding agreement. The data elements allow for the identification of
the agency source of funding, the reporting period, and whether the
report is an interim, i.e., for a funding period of fixed duration
within a multiyear award, or a final report. Any number of inventions
can be reported, including the invention title, inventors' names, and
invention docketing numbers and the date upon which the invention was
formally reported to the funding agency consistent with BayhDole
regulations. A similar set of information is available for summary
reporting of patent applications that relate to each invention.
Finally, the name, title, and signature of the grantee organization
official authorized to submit the information is included. The
signature of the official is not captured as part of the interactive
form. Instead, once the form is completed and printed, the official can
sign the printed form prior to either faxing or sending to the awarding
agency via U.S. Postal Service, in accordance with the agency's implementing instructions.
Group Description Required?
Document.................... The Document group Required. represents data
elements relevant
to the entire
Summary Report of
Inventions.
Invention................... The Invention group Required. May list
identifies the data more than one. elements relevant
to one invention
listed on this
Summary Report of
Inventions.
Inventor.................... The Inventor group Required. May list
identifies the data more than one. elements relevant
to one inventor for
one invention
listed on this
Summary Report of
Inventions.
Patent...................... The Patent group Optional. May list
identifies the data more than one. elements relevant
to one patent
listed on this
Summary Report of
Inventions.
Patent Inventor............. The Patent Inventor At least one
group identifies required per Patent
the data elements group. May list
relevant to one more than one. inventor for one
entry patent listed
on this Summary
Report of
Inventions.
Tag Length Description Required? Group
Report Type Code................ 1 Code specifying the Required. Identify Document.
type of report: one only.
I=Interim.........
F=Final...........
Report Period Start Date........ 8 Month, date, and Required.......... Document.
year that the
reporting period
starts. Format is MMDDYYYY.
Report Period End Date.......... 8 Month, date, and Required. Identify Document.
year that the one only.
reporting period
ends. Format is MMDDYYYY.
Subject Inventions Number....... 3 Number of subject Required. Identify Document.
inventions one only.
conceived of or
first actually reduced to
practice during
the entire award
period. Valid
values are 0999.
Subject Inventions Reported..... 1 Were all the Required. Identify Document.
subject inventions one only. reported?
Y=Yes.............
N=No..............
Prime Awardee Name.............. 100 Name of the Required. Identify Document.
organization that one only.
has been awarded the grant,
cooperative
agreement, or contract.
Prime Award Number.............. 30 Agencyspecific Required. Identify Document.
number assigned to one only. the grant,
cooperative
agreement, or
contract award.
Awarding Agency................. 100 Agency that awarded Required. Identify Document.
the grant, one only. cooperative
agreement, or award.
Subcontractor Name.............. 100 The name of the Optional. Identify Document.
organization one only.
submitting this
Summary Invention Report, if
different from the
Prime Awardee Name.
Subcontractor DUNS.............. 15 The DUNS number of Required if Document.
the subcontractor Subcontractor
submitting this Name is present.
Summary Invention Identify one only. Report.
Subcontract Number.............. 30 Contract number Required if Document.
assigned to the Subcontractor
subcontractor in Name is present.
the context of Identify one only. this grant,
cooperative
agreement, or contract.
Signatory Prefix................ 15 Prefix of the Optional. Identify Document.
organizational one only. official
authorized to
submit this report.
Signatory First Name............ 30 First name of the Required. Identify Document.
organizational one only. official
authorized to
submit this report. [[Page 66181]]
Signatory Middle Initial........ 1 Middle initial of Optional. Identify Document.
the organizational one only. official
authorized to
submit this report.
Signatory Last Name............. 30 Last name of the Required. Identify Document.
organizational one only. official
authorized to
submit this report.
Signatory Suffix................ 5 Suffix of the Optional. Identify Document.
organizational one only. official
authorized to
submit this report.
Signatory Title................. 240 Position title of Required. Identify Document.
the organizational one only. official
authorized to
submit this report.
Report Submission Date.......... 8 Month, date, and Required. Identify Document.
year that this one only. report is
submitted to the Federal
Government. Format is MMDDYYYY.
Invention Title................. 300 Title of the Required. Identify Invention.
subject invention. one only.
Invention Docket Number......... 25 Number by which the Optional. Identify Invention.
grantee/contractor one only.
tracks the subject invention.
Invention Report Date........... 8 Month, date, and Optional. Identify Invention.
year that the one only.
subject invention
is reported to the Federal
Government. Format is MMDDYYYY.
Agency Invention Number......... 25 Number by which the Optional. Identify Invention
Awarding Agency one only.
tracks the subject invention.
Invention Reported By Code...... 1 Code specifying who Optional. Identify Invention.
reported the one only.
subject invention:.
A=Awardee.........
S=Subcontractor...
Inventor First Name............. 30 First name of the Required. Identify Inventor.
inventor of the one only.
subject invention.
Inventor Middle Initial......... 1 Middle initial of Optional. Identify Inventor.
the inventor of one only. the subject
invention.
Inventor Last Name.............. 30 Last name of the Required. Identify Inventor.
inventor of the one only.
subject invention.
Patent Title.................... 300 Title of the Required. Identify Patent.
subject patent. one only.
Patent ID Number................ 25 The patent number Required. Identify Patent.
or patent one only.
application serial number.
Patent Filing Or Issue Date..... 8 Month, date, and Required. Identify Patent.
year that the one only.
patent application
was filed or the
patent was issued.
Format is MMDDYYYY.
Patent Docket Number............ 25 Number by which the Optional. Identify Patent.
grantee/contractor one only.
tracks the subject patent.
Patent Reported By Code......... 1 Code specifying who Optional. Identify Patent.
reported the one only.
subject patent:
A=Awardee.........
S=Subcontractor...
US Application Filed............ 1 Has a U.S. patent Required. Identify Patent.
application been one only.
filed?
Y=Yes.............
N=No..............
Foreign Application Filed....... 1 Has a foreign Required. Identify Patent.
patent application one only.
been filed?
Y=Yes.............
N=No..............
Foreign Countries Indicated..... 1 For foreign Required if Patent.
filings, have all Foreign
countries been Application Filed
noted in the is Yes. Identify
report?. one only.
Y=Yes.............
N=No..............
Patent Inventor First Name...... 30 First name of the Required. Identify Patent Inventor.
inventor of the one only.
subject patent.
Patent Inventor Middle Initial.. 1 Middle initial of Optional. Identify Patent Inventor.
the inventor of one only.
the subject patent.
Patent Inventor Last Name....... 30 Last name of the Required. Identify Patent Inventor
inventor of the one only.
subject patent. BILLING CODE 311001P
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[GRAPHIC] [TIFF OMITTED] TN30OC02.002
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[GRAPHIC] [TIFF OMITTED] TN30OC02.003
[FR Doc. 0227543 Filed 102902; 8:45 am]
BILLING CODE 311001C
FOR FURTHER INFORMATION CONTACT
Garrett Hatch, Office of Federal Financial Management, Office of Management and Budget, at 2023950786 (direct) or 2023953993 (main office) and email: ghatch@omb.eop.gov.