[Federal Register Volume 77, Number 91 (Thursday, May 10, 2012)]
[Rules and Regulations]
[Pages 27365-27367]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2012-11234]
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NATIONAL AERONAUTICS AND SPACE ADMINISTRATION
14 CFR Part 1240
[Document Number NASA-2012-0002]
RIN 2700-AD51
Inventions and Contributions
AGENCY: National Aeronautics and Space Administration.
ACTION: Direct final rule.
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SUMMARY: NASA is amending its regulations to clarify and update the
procedures for board recommended awards, and the procedures and
requirements for recommended special initial awards, including patent
application awards, software release awards, and Tech Brief awards, and
to update citations and the information on the systems used for
reporting inventions and issuing award payments. The revisions to this
rule are part of NASA's retrospective plan under EO 13563 completed in
August 2011. NASA's full plan can be accessed at: http://www.nasa.gov/pdf/581545main_Final%20Plan%20for%20Retrospective%20Analysis%20of%20Existing%20Regulations.pdf.
DATES: This rule is effective July 9, 2012 without further action,
unless adverse comment is received by June 11, 2012. If adverse comment
is received, NASA will publish a timely withdrawal of the rule in the
Federal Register.
FOR FURTHER INFORMATION CONTACT: Helen M. Galus, Office of the General
Counsel, NASA Headquarters, telephone (202) 358-3437, fax (202) 358-
4341.
SUPPLEMENTARY INFORMATION: Final regulations relating to Invention and
Contributions Board Awards for Scientific and Technical Contributions
[14 CFR part 1240, Subpart 1], were published at 25 FR 1312 on February
13, 1960. These regulations were written under the National Aeronautics
and Space Act of 1958, As Amended, 42 U.S.C. 2457(f), 2458 and
2473(b)(1) (now, National Aeronautics and Space Act, 51 U.S.C.
20135(g), 20136 and 20112 (b)(1)). This subpart prescribes the
regulations for the granting of monetary awards by the NASA
Administrator, for scientific and technical contributions of
significant value in the conduct of aeronautical and space activities.
Final amendments to these regulations were published at 67 FR 31119 on
May 9, 2002, to provide definitions, add new category of initial awards
for release of software, to provide initial awards for the issuance of
patents based upon continuation-in-part and divisional patent
applications, to increase the amount of certain awards, and to change
delegations of authority from the NASA Administrator.
NASA is now again revising its regulations at 14 CFR part 1240,
subpart 1, to clarify the eligibility requirements for certain awards
and clarify that the awards are recommended by the Inventions and
Contributions Board (hereinafter ``the Board''), but final terms and
conditions of the awards are at the discretion of the Administrator or
his designee, the revisions also provide the Board more flexibility in
the amount of the special awards to be recommended. Additionally, the
National Aeronautics and Space Act (hereinafter ``the Space Act''), is
now codified in Title 51 of the United States Code, so citations to
this Act have been updated accordingly. The regulations have also been
revised, in part, to make them conform closer to the terms of the Space
Act, and to reflect current accounting techniques used at the Agency.
Additional revisions include rendering the terminology consistent
within the regulations and the sentence structure grammatically
complete and easier to understand. Finally, the revisions reflect
organizational management changes that have taken place within the
agency and the respective resulting responsibilities.
Direct Final Rule and Significant Adverse Comments
NASA has determined this rulemaking meets the criteria for a direct
final rule because it involves clarifications, updating, and minor
substantive changes to the existing regulations. NASA does not
anticipate this direct final rule will result in any major changes to
its current awards program. NASA expects no opposition to the changes
and no significant adverse comments. However, if NASA receives a
significant adverse comment, the Agency will withdraw this direct final
rule by publishing a document in the Federal Register. A significant
adverse comment is one that explains:
[[Page 27366]]
(1) Why the direct final rule is inappropriate, including challenges to
the rule's underlying premise or approach; or (2) why the direct final
rule will be ineffective or unacceptable without a change. In
determining whether a comment necessitates withdrawal of this direct
final rule, NASA will consider whether it warrants a substantive
response in a notice and comment process.
Statutory Authority
The Invention and Contributions Board is established under the
National Aeronautics and Space Act, as amended, 51 U.S.C. 20135(g). 51
U.S.C. 20136(a) authorizes the NASA Administrator to make monetary
awards to any person for any scientific or technical contribution to
NASA which is determined by the Administrator to have significant value
in the conduct of aeronautical and space activities. Applications for
such awards are referred to the Inventions and Contributions Board
which transmits to the Administrator its recommendation as to the terms
of the award. The Federal Technology Transfer Act of 1986, sec. 12, 15
U.S.C. 3710b, requires, in part, the head of each Federal agency (that
is making expenditures at a rate of more than $50,000,000 per fiscal
year for research and development in its Government-operated
laboratories) to use the appropriate statutory authority to develop and
implement a cash awards program to reward its scientific, engineering,
and technical personnel for inventions, innovations, computer software,
or other outstanding scientific or technological contributions of value
to the United States due to commercial application or due to
contributions to missions of the Federal agency or the Federal
government. Regulations setting forth the eligibility and procedures
for submitting applications for monetary awards to the Administrator of
NASA for scientific and technical contributions which have significant
value in the conduct of aeronautical and space activities pursuant to
the Space Act, and establishing an awards program consistent with the
Federal Technology Transfer Act of 1986 are provided in Title 14 of the
Code of Federal Regulations, Part 1240, Subpart 1.
Regulatory Analysis Section
Paperwork Reduction Act Statement
This rule does not contain an information collection requirement
subject to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et
seq.).
Executive Order 12866 and Executive Order 13563
Executive Orders 13563 and 12866 direct agencies to assess all
costs and benefits of available regulatory alternatives and, if
regulation is necessary, to select regulatory approaches that maximize
net benefits (including potential economic, environmental, public
health and safety effects, distributive impacts, and equity). Executive
Order 13563 emphasizes the importance of quantifying both costs and
benefits, of reducing costs, of harmonizing rules, and of promoting
flexibility. This rule has been designated a ``significant regulatory
action'' although not economically significant, under section 3(f) of
Executive Order 12866. Accordingly, the rule has been reviewed by the
Office of Management and Budget.
Regulatory Flexibility Act
It has been certified that this rule is not subject to the
Regulatory Flexibility Act (5 U.S.C. 601) because it would not, if
promulgated, have a significant economic impact on a substantial number
of small entities. The rule sets forth procedures for submitting
applications for monetary awards to the Administrator of NASA for
scientific and technical contributions which have significant value in
the conduct of aeronautical and space activities pursuant to the Space
Act, and establishes the awards program consistent with the Federal
Technology Transfer Act of 1986. Based on the typical recipient and
number of these awards, the rule will not have a significant economic
impact on a substantial number of small entities.
List of Subjects in 14 CFR Part 1240
Awards, Inventions and contributions.
Accordingly, 14 CFR part 1240 is amended as follows:
PART 1240--INVENTIONS AND CONTRIBUTIONS
0
1. The authority citation for part 1240 is revised to read as follows:
Authority: Section 20136 of the National Aeronautics and Space
Act (51 U.S.C. 20136), and the Federal Technology Transfer Act of
1986, sec. 12, 15 U.S.C. 3710b(1).
0
2. Section 1240.100 is revised to read as follows:
Sec. 1240.100 Purpose.
This subpart prescribes procedures for submitting applications for
monetary awards to the Administrator of NASA for scientific and
technical contributions which have significant value in the conduct of
aeronautical and space activities pursuant to 51 U.S.C. 20136, and
establishes the awards program consistent with the Federal Technology
Transfer Act of 1986, section 12, 15 U.S.C. 3710b(1).
0
3. Section 1240.101 is revised to read as follows:
Sec. 1240.101 Scope.
This subpart applies to awards for any scientific or technical
contribution, whether or not patentable, which is determined by the
Administrator after referral to the Inventions and Contributions Board
to have significant value in the conduct of aeronautical and space
activities, upon submission of an application for award to NASA, or
upon the Administrator's own initiative, under 51 U.S.C. 20136.
0
4. Section 1240.102, paragraph (g), is revised to read as follows:
Sec. 1240.102 Definitions.
* * * * *
(g) Innovation means a mathematical, engineering or scientific
concept, idea, design, process, or product.
* * * * *
0
5. Section 1240.104, paragraph (a), is revised to read as follows:
Sec. 1240.104 Applications for awards.
(a) Eligibility. Applications for award may be submitted by any
person including any individual, partnership, corporation, association,
institution, or other entity. An application for an award under this
section is separate from application for an award under Sec. 1240.105
and may be submitted whether or not the contribution is also eligible
for an award under Sec. 1240.105.
* * * * *
0
6. Section 1240.105 is revised to read as follows:
Sec. 1240.105 Special initial awards--NASA and NASA contractor
employees.
(a) Patent Application Awards. (1) When the Board receives written
notice, in the manner prescribed by the Board, from the Agency Counsel
for Intellectual Property or the Patent or Intellectual Property
Counsel at a NASA Center that an invention made by an employee of NASA
or a NASA contractor and reported to NASA in the manner prescribed by
the Board is eligible for a patent application award, the Board may
recommend to the Administrator or a designee that an award be made,
including a specific recommended amount and distribution thereof for
any multiple inventors, so long as the
[[Page 27367]]
following eligibility conditions have been met:
(i) A nonprovisional U.S. patent application has been filed
covering the invention and NASA has either an ownership interest in the
invention or an irrevocable, royalty-free, license to practice the
invention, or have the invention practiced for or on its behalf,
throughout the world, or the invention has been assigned by NASA to a
contractor under 35 U.S.C. 202(e); or
(ii) A continuation-in-part or divisional patent has been issued
based on a patent application that is eligible for an award under
paragraph (a)(1)(i) of this section.
(2) No additional award will be given for a continuation patent
application where an award was authorized for the parent application
and the parent application will be or has been abandoned. In addition,
awards will not be granted for provisional applications under 35 U.S.C.
111(b) or reissue applications under 35 U.S.C. 251.
(b) Software Release Awards. (1) When the Board receives written
notice, in the manner prescribed by the procedures of the Board, that a
NASA Center has approved the initial (first) release to a qualified
user of a software package based on a software innovation made by an
employee of NASA or a NASA contractor and reported to NASA in the
manner prescribed by the procedures of the Board, the Board may
recommend to the Administrator or designee that an award be made,
including a specific amount and distribution thereof for any multiple
innovators, so long as the following conditions have been met:
(i) NASA has either an ownership interest in the software or an
irrevocable, royalty-free, license to reproduce, prepare derivative
works, distribute, perform and display the software, throughout the
world for governmental purposes;
(ii) The software is of commercial quality as defined in Sec.
1240.102; and
(iii) The software has been verified to perform the functions
claimed in its documentation on the platform for which it was designed
without harm to the systems or data contained within.
(2) Software that is the subject of a software release award is not
eligible to receive a Tech Brief award based upon the publication of an
announcement of availability in ``NASA Tech Briefs.''
(3) Software release awards for modifications made to software for
which the innovators have already received an initial software release
award will be at the discretion of the Administrator or his designee,
upon recommendation by the Board.
(c) Tech Briefs Awards. When the Board receives written notice, in
the manner and format prescribed by the procedures of the Board, that a
NASA Center has approved for publication a NASA Tech Brief based on an
innovation made by an employee of NASA or a NASA contractor and
reported to NASA in the manner and form prescribed by the procedures of
the Board, the Board may recommend to the Administrator or designee
that an award be made, including a specific amount and distribution
thereof for any multiple innovators.
(d) When a Patent Application Award, a Software Release Award, and
a Tech Brief Award have been authorized for the same contribution, the
awards will be cumulative.
0
7. Section 1240.108, paragraph (a), is revised to read as follows:
Sec. 1240.108 Reconsideration.
(a) With respect to each completed application, in those cases
where the Board does not recommend an award, the applicant may, within
such period as the Board may set but in no event less than 30 days from
notification, request reconsideration of the Board's decision.
* * * * *
0
8. Section 1240.110 is amended by revising the section heading,
designating the existing text as paragraph (a), and adding paragraphs
(b) and (c) to read as follows:
Sec. 1240.110 Recommendation to, and action by, the Administrator.
* * * * *
(b) The granting, denying or modification of any Board recommended
award under this subpart will be at the sole discretion of the
Administrator or his designee, who will determine the final terms and
conditions of each award after consideration of the criteria in Sec.
1240.103.
(c) In addition, the Board may recommend, and the Administrator or
his designee may grant, non-monetary awards under other applicable laws
and regulations.
0
9. Section 1240.111 is revised to read as follows:
Sec. 1240.111 Release
Under subsection 20136(c) of the National Aeronautics and Space
Act, no award will be made to an applicant unless the applicant submits
a duly executed release, in a form specified by the Administrator, of
all claims the applicant may have to receive any compensation (other
than the award recommended) from the United States Government for use
of the contribution or any element thereof at any time by or on behalf
of the United States, or by or on behalf of any foreign government
pursuant to any existing or future treaty or agreement with the United
States, within the United States, or at any other place.
0
10. Section 1240.112 is revised to read as follows:
Sec. 1240.112 Presentation of awards.
(a) Written acknowledgments to employees of NASA receiving awards
will be provided by the appropriate Official-in-Charge at the
Headquarters Office, by the Director of the cognizant NASA Center, or
by a designee.
(b) Written acknowledgments to employees of NASA contractors
receiving awards will be forwarded to contractor officials for suitable
presentation.
(c) Monetary awards will be paid by check or electronic funds
transfer.
0
11. Section 1240.113 is revised to read as follows:
Sec. 1240.113 Financial accounting.
NASA shall provide for appropriate database and accounting
system(s) to ensure that award payments are recorded and disbursed in
an orderly fashion and in the proper amounts to proper awardees.
0
12. Section 1240.114 is revised to read as follows:
Sec. 1240.114 Delegation of authority.
(a) The Chairperson, Inventions and Contributions Board, is
delegated authority to approve and execute grants of awards for
significant scientific or technical contributions not exceeding $2,000
per contributor, when in accordance with the recommendation of the
Board and in conformity with applicable law and regulations.
(b) The Chairperson, Inventions and Contributions Board, is
delegated authority to approve and execute grants of awards not
exceeding $2,000 per awardee, upon the notification that:
(1) A Patent Application Award has been recommended by the Board
pursuant to Sec. 1240.105(a);
(2) A Software Release Award has been recommended by the Board
pursuant to Sec. 1240.105(b); or
(3) A Tech Briefs Award has been recommended by the Board pursuant
to Sec. 1240.105(c).
Charles F. Bolden, Jr.,
Administrator.
[FR Doc. 2012-11234 Filed 5-9-12; 8:45 am]
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