[Federal Register Volume 67, Number 210 (Wednesday, October 30, 2002)]
[Notices]
[Pages 66178-66183]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 02-27543]


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OFFICE OF MANAGEMENT AND BUDGET


Office of Federal Financial Management; Proposed Policy on Common 
Summary Report of Inventions

AGENCY: Office of Management and Budget (OMB).

ACTION: Notice of proposed policy issuance directive on standard data 
elements for a common summary report of inventions.

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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 government-wide 
system for this report instead of the numerous, agency-unique 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. 106-107). Consistent with the purposes 
of that Act, a single common web form will simplify and streamline this 
reporting process.

DATES: All comments on this proposal should be in writing, and must be 
received by December 30, 2002.

ADDRESSES: Due to potential delays in OMB's receipt and processing of 
mail sent through the U. S. Postal Service, we encourage respondents to 
submit comments electronically to ensure timely receipt. We cannot 
guarantee that comments mailed will be received before the comment 
closing date.
    Electronic mail comments may be submitted to [email protected]. 
Please include ``Invention Reporting Comments'' in the subject line of 
the message. If including the comments as an attachment to the e-mail, 
identify the attachment with ``Invention Reporting Comments.'' Please 
include your name, title, organization, postal address, telephone 
number, and e-mail address in the text of the message. Comments may 
also be submitted via facsimile to (202) 395-4915. Comments may be 
mailed to Garrett Hatch, Office of Federal Financial Management, Office 
of Management and Budget, Room 6025, New Executive Office Building, 
Washington, DC 20503.

FOR FURTHER INFORMATION CONTACT: Garrett Hatch, Office of Federal 
Financial Management, Office of Management and Budget, at 202-395-0786 
(direct) or 202-395-3993 (main office) and e-mail: [email protected].

SUPPLEMENTARY 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 Bayh-Dole 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 
Internet-based system devoted to Bayh-Dole 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

[[Page 66179]]

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 government-wide standard for electronic signature has not yet been 
defined.
    Implementation of a common government-wide 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. 106-107).
    (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 non-Federal 
entities.
    It also required each executive agency to develop, submit to the 
Congress, and implement a plan for the streamlining and simplification 
effort. Twenty-six 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 Post-Award 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 Bayh-Dole 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 close-out 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 close-out 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 government-wide 
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, 202-395-0786 (direct) or 202-395-3993 
(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 Dictionary--Common Summary Report of Inventions

    The data elements that are represented allow for the summary 
reporting of all inventions and patents

[[Page 66180]]

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 multi-year 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 Bayh-Dole 
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.
------------------------------------------------------------------------


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               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 0-999.
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   Agency-specific      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.

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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.
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[FR Doc. 02-27543 Filed 10-29-02; 8:45 am]
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