Federal Register: October 9, 2008 (Volume 73, Number 197)
DOCID: fr09oc08-143 FR Doc E8-23902
OFFICE OF MANAGEMENT AND BUDGET
Management and Budget Office
NOTICE: NOTICES
DOCID: fr09oc08-143
DOCUMENT ACTION: Notice of standard data elements.
SUBJECT CATEGORY:
Standard Data Elements for Electronic Summary Reports of Inventions
DOCUMENT SUMMARY:
The Office of Management and Budget (OMB) is establishing a standard set of data elements for a governmentwide summary report of inventions and the Interagency Edison extramural invention reporting system (iEdison) as the host site for collecting this information.
SUMMARY:
Standard Data Elements for Electronic Summary Reports of Inventions,
SUPPLEMENTAL INFORMATION
I. Background
On October 30, 2002, the Office of Management and Budget (OMB)
proposed the establishment of a governmentwide standard set of data
elements for the summary report of inventions [67 FR 6617866183]. The
proposal included implementation of a standard dataset via a single
interactive Internet web form. The OMB notice proposed locating this
interactive web form on the Interagency Edison extramural invention
reporting system (iEdison) because iEdison facilitates compliance with
the BayhDole Act (Pub. L. 96517 (codified at 35 U.S.C. 200 et seq.)
Dec. 12, 1980) (``BayhDole Act'') and its implementing regulations and
iEdison is recognized by federal funding recipients as being used by
most Federal agencies for invention reporting and tracking. In response
to the Federal Register notice, OMB received six sets of comments from
eight entities: three universities; a group of universities that
participate with Federal agencies in a demonstration program on
research administration; one association of research universities; and three Federal agencies. The vast
[[Page 59681]]
majority of the comments relate to the implementation of the
interactive Internet web form and whether Federal agencies actually
need this report. Few comments addressed the content of the proposed
standard data elements. This final notice establishes the data elements
found in the attachment to this notice, and also establishes iEdison as
the future host site for the summary report of inventions subject to
addressing agency budgeting and associated implementation issues.
Information on the burden associated with information collections made
using these data elements will be maintained by NIH at https://s
edison.info.nih.gov/iEdison/omb.jsp. The OMB Approval Number is 0925 0001.
With the data elements defined, NIH can work with other federal
agencies to begin the development of the Internet web form and will
consider comments related to system design (e.g., electronic submission
and search capabilities) as it finalizes the implementation solution.
OMB will publish proposed policy guidance after the web form is
completed. The policy guidance will address only a uniform means for
submitting summary reports of inventions. It will not create any new
reporting requirements. The following section presents a summary of the
major comments grouped by subject and our responses to them. Changes to
the standard data elements are discussed in the responses to the comments.
II. Comments and Responses
Summary Invention Reporting Requirement
Comments: Several commenters questioned the need for an interim or final summary report of inventions. They noted that the summary report is duplicative of information contained in the standard BayhDole invention reports that must be submitted to the federal agency within 60 days of the inventor disclosing the invention to the grantee/ contractor. They recommended eliminating the summary report of inventions and allowing Federal program and contracting officers to have access to the more comprehensive invention reports.
Response: Both the BayhDole Act and the Governmentwide patent regulations issued by the Department of Commerce recognize that some Federal agencies need an interim or final summary report for proper oversight of inventions conceived or first actually reduced to practice during the term of an award (35 U.S.C. 209(d)(2); 37 CFR 401.5(f)(1) and (3)). There are two reasons some Federal agencies need this report. First, unlike the standard BayhDole invention report that is only submitted when an invention is created, a summary report reflects negative reporting. Unless the grantee/contractor lists all subject inventions or states that there were none as part of the summary report, the federal agency has no way of knowing if the grantee/ contractor failed to provide a BayhDole invention report. Experience has shown that recipients are more actively aware of their invention reporting obligations if they are required to indicate if no inventions were made under the award.
The second reason for the report is to ensure that two components of the grantee/contractor organization reconcile their records prior to closeout. Generally, BayhDole reporting is undertaken by the organization's technology transfer component, and summary reporting is accomplished by the organization's Office of Sponsored Research or office of grant/contract administration. Submittal of a summary report requires that these two components reconcile their records prior to closeout, which ensures more accurate reporting.
Proposed Data Elements
Comments: We received very few comments on the data elements.
Specific suggestions were made to change the names of certain data elements. For example, it was suggested that the term,
``Subcontractor'' be changed to the more generic term, ``Subawardee.''
It was also suggested that we include the Dun and Bradstreet Data
Universal Numbering System (DUNS) number as a means to identify the
grantee, since the OMB proposed to establish the DUNS number as the
universal identifier in government funding agreements. In addition,
several people were confused as to whether the form could be used to report more than one invention.
Response: We agree with the recommendations to use more generic
names and to include the entity's DUNS number. We believe that the
template attached to the proposed notice may have been misinterpreted,
because it could not adequately represent how the form would work on
the web. To address any confusion regarding the reporting of multiple
inventions, we changed the Group ``Description'' fields to clarify that
a single summary report can accommodate multiple inventions, multiple
patents, patent applications, plant varieties and multiple inventors
per invention, patent, patent application or plant varieties. In
addition, this notice makes other changes to the proposed data elements as follows:
Other minor clarifications, additions, and editorial changes were
made. For example, the word ``contract'' was changed to ``award'' for
consistency; the words ``Subcontractor'' and ``Subcontract'' were
changed to ``Subawardee'' and ``Subaward,'' respectively; and the words
``entire award period'' were changed to ``reporting period'' to clarify
that the reporting period may include both interim and final reporting
periods. Further, the following data fields have been added as Optional elements to allow for consistency for agencies that
[[Page 59682]]
currently collect this data and those that do not: ``Signatory
Telephone Number'' (Optional), ``Signatory Email Address'' (Optional),
``Reporting Institution's Subawardee Name'' (Optional), ``Prime Awardee
Organization Type Code'' (Optional), ``Prime Award Completion Date''
(Optional), ``Awarding Agency Prime Award Monitor First Name''
(Optional), ``Awarding Agency Prime Award Monitor Last Name''
(Optional). The ``Reporting Institution's Subawardee Address'' and
``Reporting Institution's Subawardee(s) Funding Agreement Number''
fields are conditional so they are only required if the optional ``Reporting Institution's Subawardee Name'' is reported.
Electronic Implementation of Summary Reporting of Inventions
Comments: This aspect of the proposed policy received the greatest
number and variety of comments. Many commenters expressed concern over
the limited value of promoting an interactive Web interface hosted on
the Interagency Edison site (http://www.iEdison.gov) as the only way to
obtain and complete the proposed summary report. Specific problems with the proposed implementation include:
Response: NIH will consider these issues as the interactive Web form is developed with the other agencies. The system would include electronic authentication. While an interactive Web form will not allow for the submission of a datastream directly, the intent is to have the system automatically populate fields on the form if the data has been previously entered into iEdison. The data dictionary would be reviewed to ensure compatibility with other government standards. Comments will be sought from users on a test site as soon as the Web form is developed.
Applicability to Contracts
Comment: The language in the ``Summary'' indicates that this effort is a result of the streamlining activities under Public Law 106107, which relate to financial assistance administration. However, other parts of the notice and the data elements themselves indicate that they apply equally to contracts. We suggest that this notice clearly specify the intent with regard to contracts.
Response: As the commenter noted, this action is the result of a
financial assistance streamlining effort. When we publish a proposed
notice of policy, it will specify that the policy applies only to
financial assistance. However, since many agencies currently use the
same summary invention reporting form for both financial assistance and
procurement contracts, the workgroup followed this example and
established data elements that are equally applicable to contractors so
that agencies could use the report for contracts if they chose. Danny Werfel,
Deputy Controller.
Attachment: GovernmentWide Standard Data Elements for Summary Reporting of Inventions
GovernmentWide Data Elements for Summary Reporting of Inventions
These data elements are the governmentwide standard set of
elements for the summary reporting of all inventions, patent
applications, patents and plant varieties that have been made, filed
for, and/or granted using Federal funds during the term of a Federal
funding agreement. The data elements include the identification of the
agency source of funding, the reporting period, whether the report is
an interim or final report and the name and title of the official
authorized to submit the information. 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 or plant variety protection applications that relate to each invention.
Group Description Required?
Document................... The Document group Required. Identify
represents data one only. elements relevant to
the entire Summary
Report of Inventions.
Invention.................. The Invention group Required if
identifies the data subject
elements relevant to invention(s) are
one invention listed reported. May
on this Summary Report list more than
of Inventions. The one. report will
accommodate multiple
inventions.
Inventor................... The Inventor group Required if
identifies the data subject
elements relevant to invention(s) are
one inventor for one reported. May
invention listed on list more than
this Summary Report of one. Inventions. The report
will accommodate
multiple inventors per
invention. In the case
of a variety of plant,
please use the
``breeder'' as the
``inventor.''
Patent..................... The Patent group Optional. May list
identifies the data more than one.
elements relevant to Patent
one patent, patent applications
application or plant include new
variety, listed on applications
this Summary Report of (provisional &
Inventions. The report nonprovisional),
will accommodate continuations,
multiple items. continuationsin
part, and
divisional.
Patent Inventor............ The Patent Inventor At least one entry
group identifies the required per
data elements relevant Patent group. May
to one inventor for list more than
one patent, patent one. application or plant
variety listed on this
Summary Report of
Inventions. In the
context of reporting a
plant variety, please
use the ``breeder'' as
the ``patent
inventor.'' The report
will accommodate
multiple inventors per
patent, patent
application or plant
variety.
Tag Length Description Required? Group
Report Type Code.............. 1 Code specifying Required. Document.
the type of Identify one
report: only.
I = Interim......
F = Final........ [[Page 59683]]
Report Period Start Date...... 8 Month, day and Required. Document.
year that the Identify one
reporting period only.
starts. Format
is MMDDYYYY.
Report Period End Date........ 8 Month, day and Required. Document.
year that the Identify one
reporting period only.
ends. Format is MMDDYYYY.
Subject Inventions Number..... 3 Number of subject Required. Document.
inventions Identify one
conceived of or only.
first actually
reduced to
practice or the
plant varieties
recognized to be
new, distinct,
uniform and
stable during
the reporting
period.) Valid
values are 0999.
Subject Inventions Reported... 1 Were all the Required. Document.
subject Identify one
inventions only. reported?
Y = Yes..........
N = No...........
Prime Awardee Name............ 100 Name of the Required. Document.
organization Identify one
that has been only.
awarded the
federal funding
award (e.g., grant,
cooperative
agreement, or
contract).
Prime Awardee DUNS............ 15 The DUNS number Required. Document.
of the Identify one
organization only. If the
that has been Prime Awardee is
awarded the an individual
federal funding that does not
award. have a DUNS
number, enter
000000000.
Prime Award Number............ 30 Agencyspecific Required. Document.
number assigned Identify one
to the federal only.
funding award.
Awarding Agency............... 100 Agency that Required. Document.
awarded the Identify one
federal funding only. award.
Subawardee Name............... 100 The name of the Optional. Document.
organization Identify one
submitting this only.
Summary Report
of Inventions,
if different
from the Prime
Awardee Name.
Subawardee DUNS............... 15 The DUNS number Required if Document.
of the Subawardee is
organization submitting
submitting this report. Identify
Summary Report one only. If the
of Inventions, Subawardee is an
if different individual that
from the Prime does not have a
Awardee Name. DUNS number,
enter 000000000.
Subaward Number............... 30 Number assigned Optional. Document.
to the subaward Identify one
in the context only.
of this federal
funding award.
Signatory Prefix.............. 15 Prefix of the Optional. Document.
organizational Identify one
official only.
authorized to
submit this report.
Signatory First Name.......... 30 First name of the Required. Document.
organizational Identify one
official only.
authorized to
submit this report.
Signatory Middle Initial...... 1 Middle initial of Optional. Document.
the Identify one
organizational only. official
authorized to
submit this report.
Signatory Last Name........... 30 Last name of the Required. Document.
organizational Identify one
official only.
authorized to
submit this report.
Signatory Suffix.............. 5 Suffix of the Optional. Document.
organizational Identify one
official only.
authorized to
submit this report.
Signatory Title............... 240 Position title of Required. Document.
the Identify one
organizational only. official
authorized to
submit this report.
Signatory Telephone Number.... 15 Telephone number Optional. Document.
of the Identify one
organizational only. official
authorized to
submit this report.
Signatory Email Address....... 30 Email address of Optional. Document.
the Identify one
organizational only. official
authorized to
submit this report.
Report Submission Date........ 8 Month, day and Required. Document.
year that this Identify one
report is only.
submitted to the Federal
government. Format is
MMDDYYYY.
Reporting Institution's 100 Name of Optional. May Document.
Subawardee Name. Subawardee to list more than
organization one.
submitting this
Summary Report
of Inventions
(``Reporting
Institution'').
Reporting Institution's 240 Address of Required if Document.
Subawardee Address. Subawardee to ``Reporting
organization Institution's
submitting this Subawardee
Summary Report Name'' is
of Inventions. reported. May
list more than
one.
Reporting Institution's 50 Number assigned Required if Document.
Subawardee(s) Funding to the federal ``Reporting
Agreement Number. funding Institution's
agreement to Subawardee
this Subawardee Name'' is
by the Reporting reported. May
Institution. list more than
one. [[Page 59684]]
Prime Awardee Organization 1 Code specifying Optional......... Document. Type Code. type of
organization: L = Large
Business.. S = Small
Business..
U = College/
University..
N = Nonprofit
organization..
O = Other........
Prime Award Completion Date... 8 Month, day, and Optional......... Document.
year that the award is
completed. Format is
MMDDYYYY.
Awarding Agency Prime Award 30 First name of the Optional......... Document.
Monitor First Name. federal agency
official that
monitor's the
prime awardee's
performance
(e.g., project
manager, grant
monitor, or
Contracting Officer's
Technical
Representative (COTR)).
Awarding Agency Prime Award 30 Last name of the Optional......... Document.
Monitor Last Name. federal agency
official that
monitors the
prime awardee's
performance
(e.g., project
manager, grant
monitor, or
Contracting Officer's
Technical
Representative (COTR)).
Invention Title............... 300 Title of the Required if Invention.
subject subject
invention. invention(s) are
reported.
Identify one
only per
invention.
Invention Docket Number....... 25 Number by which Optional. Invention.
the awardee Identify one
tracks the only per
subject invention.
invention.
Invention Report Date......... 8 Month, day and Required if Invention.
year that the subject
subject invention(s) are
invention is reported.
reported to the Identify one
Federal only per
government. invention. Format is
MMDDYYYY.
Agency Invention Number....... 25 Number by which Optional. Invention.
the Awarding Identify one
Agency tracks only per
the subject invention.
invention.
Invention Reported by Code.... 1 Code specifying Optional. Invention.
who reported the Identify one
subject only per
invention: invention.
A = Awardee......
S = Subawardee...
Election of Title............. 1 Did organization Required......... Invention.
elect title to
invention as of
the date of this report?
Y = Yes..........
N = No...........
Confirmatory License.......... 1 Did organization Required......... Invention.
provide funding
agency with
Government
confirmatory
license as of
the date of this report?
Y = Yes..........
N = No...........
Inventor First Name........... 30 First name of the Required if Inventor.
inventor of the subject
subject invention(s) are
invention. reported.
Identify one
only per
inventor.
Inventor Middle Name.......... 30 Middle name of Optional. Inventor.
the inventor of Identify one
the subject only per
invention. inventor..
Inventor Last Name............ 30 Last name of the Required if Inventor.
inventor of the subject
subject invention(s) are
invention. reported.
Identify one
only per
inventor.
Patent or Patent Application 300 Title of the Required if the Patent.
Title. subject patent, field U.S.
patent Application
application or Filed is Y.
plant variety Identify one
(use variety only per patent,
name). patent
application, or
PVP.
Patent ID Number.............. 25 The patent Required if Patent.
number, patent known. Identify
application one only per
serial number or patent, patent
plant variety application, or
protection PVP.
office number.
Patent Filing or Issue Date... 8 Month, day and Required if the Patent.
year that the field U.S.
patent Application
application was Filed is Y.
filed, the Identify one
patent was only per patent,
issued, or plant patent
variety application, or
application was PVP.
made. Format is MMDDYYYY.
Patent Docket Number.......... 25 Number by which Optional. Patent.
the awardee Identify one
tracks the only per patent,
subject patent, patent
patent application, or
application, or PVP.
plant variety.
Patent Reported by Code....... 1 Code specifying Optional. Patent.
who reported the Identify one
subject patent, only per patent,
patent patent
application, or application, or
plant variety: PVP.
A = Awardee......
S = Subawardee...
U.S. Application Filed........ 1 Has a U.S. patent Required. Patent.
or U.S. plant Identify one
variety only per patent,
protection patent
application been application, or
filed? PVP.
Y = Yes..........
N = No...........
Patent Cooperation Treaty 1 Has a PCT, Required. Patent.
(PCT) or Foreign Application foreign patent Identify one
Filed. or foreign plant only per patent,
variety patent
application been application, or
filed? PVP.
Y = Yes..........
N = No........... [[Page 59685]]
Foreign Countries Indicated... 1 For PCT or Required if the Patent.
foreign filings, field PCT or
have all Foreign
countries been Application
noted in the Filed is Y.
report? Identify one
Y = Yes.......... only per patent
N = No........... or patent
application.
Patent Inventor First Name.... 30 First name of the Required if field Patent Inventor.
inventor of the U.S. Application
subject patent, Filed is Y.
patent Identify one
application or only per patent
plant variety. inventor.
Patent Inventor Middle Name... 30 Middle initial of Optional. Patent Inventor.
the inventor of Identify one
the subject only per patent
patent, patent inventor.
application or
plant variety.
Patent Inventor Last Name..... 30 Last name of the Required if field Patent Inventor.
inventor of the U.S. Application
subject patent, Filed is Y.
patent Identify one
application or only per patent
plant variety. inventor. [FR Doc. E823902 Filed 10808; 8:45 am]
BILLING CODE 311001P
FOR FURTHER INFORMATION CONTACT
Marguerite Pridgen, Office of Federal Financial Management, Office of Management and Budget, 725 17th Street, NW., Washington, DC 20503; telephone 2023957844; fax 2023953952; e mail mpridgen@omb.eop.gov.