ML20211M354

Request for OMB Review & Supporting Statement Re 10CFR81 Concerning Std Specs for Granting of Patent Licenses. Estimated Respondent Burden Is -32 H

ML20211M354
Person / Time
Issue date:	02/19/1987
From:	Norry P NRC OFFICE OF ADMINISTRATION (ADM)
To:
References
OMB-3150-0121, OMB-3150-121, NUDOCS 8702270262
Download: ML20211M354 (6)

Text

PD tem:R x o m ,.

sandard rorin 83 A

m.s ..s.v,m, a>

Request for OMB Rev i ew Import:nt Read instructions before mmpietirig turm. t)o not use the same SF 83 Send three copies of this form, the material to be reviewed, and for to request botn an becutie Order 12291 review and approval under paperwork-three copies of the supporting statement, to-the Paperwork Reduction Act Answer all questions en Part 1. If this request is for review under E.O Office of Information and Regulatory Af fa:rs 12291 complete Part il and sign the regulatory certification if this Office of Management and Budget request is for approval ur der the Paperwork Reduction Act and 5 CFR Attention: Docket Library, Room 3201 1320. skip Part 11 complete Part lit and sign the paperwork certification. Washington. DC 20503 PART l.-Complete This Part for All Requests.

1. Department / agency and bureau / office originating request 2. Agency code U.S. Nuclear Regulatory Comission 3 1 5 0

3. N tm2 of person who can best answer questions regarding this request Telephone nurrber Ronald M. Smith ( 301 3492-4396

4. Title of information collection or rulemaking 10 CFR 81, Standard Specifications for the Granting of Patent Licenses S. Ltgtt suthonty for snformation cot \ntion or t >\e (cote Unitec States Code. Pubhc law. or Enecutive 0rder) 42 use 2201(o) . o,

6. Affxted public (check an that app />> s O rederaiagenciesor empioyees 1 O$ individuals or households 3 0 rarms s O Non-profit institutions 2 O stateoriocaigovernments 4 3 Businesses or other for profit 7 0 smaiibusinessesor organizations PART ll.-Complete This Part Only if the Request is for OMB Review Under Executive Order 12291

7. Regu!1 tion identifier Number (PIN) .T

_ _ _ _ _ _ _ _ or. None assigr.ed O

8. Type of submission tcneck one on each category) Type of review requested Classification Stage of development 1 Standard 1 O uaior i O eroposed or dratt 2 O Pending 2 O Nonmaior 2 O rinaiorintenmfinai.witnpnorp,coosai a O Emergency 3 0 final o'interem finaf, without pnor proposal 4 0 statutoryoriudiciaideadiine

9. CF R section af fected

__. C r R __

10. Does this regulation e antain report:ng or recordaceping requirements that require OMR approval under the Paperworti Reduction Act and 5 Cr R 1320' -

Yes O No ll. lf a maior ruie,is there a regdatory irnssit analysss attached? 1 O ves 2 O No if"No." did OMB wa%e tne anaiysis) 3 0 ves 4 0 No Certific tion for Regulatory Submissions in submitting this request ror OMB review, tne authorized regulatory contact and the program officiai certify that the requirernents of E O 12291 and any appbcable pohcv d'rectives have been comphed with Sgnature of program official Date 8702270262 PDR ORG 870219 s gnatu.e of antnonfed rwm,,o crt , , EUSOMB --

PDR o,,,

i

12. f 0M8 use only)

Prev.ous ca tms etwe g3 gog siendard Form 83 th 9 e o Y N 1MO no 6 34 ao34 peu ,,eya3 crp

', crR 1320 ard t G I??'41

m PART lli.-C mpl:ta This Part Only if the Rtquest is for Approval of a CoHection cf Inf:rmstlin Undir tha Paperwrrk Rzductirn Act and 5 CFR 1320.

13. Abstract-Desenbe needs. uses and affected put hc in 50.ords or :ess "Pa ten t , Ti'cen se a greemelits "

10 CFR 81 establishes the standard specifications for the issuance of licenses to rights in inventions covered by patents or patent applications vested in the United States, as represented by the NRC.

14. Type of information collection (check only one)

Infirmation collections not contained m rules 1 O Regular submission 2 I Emergency submission (certeficationattac/'ed)

Information collections contained in rules 3 3 Existing regulation (no changeproposed) 6 Final or intenm f:nal without pnor NPRM 7. Enter date of expected or actual Federal 4 0 Notice of proposed rulemaking(NPRM) A Regular submission Register pubhcation at this stage of rulemaking 5 0 rinai. NeRu was previousiy pubiished B Emergency submisuon (cert <hcehoa attached >

(moa'a der;re'r>

15. Type of review requested (check only one) 1 New collection 4 O Reinstatement of a previously approved collectrort for which approva!

has expired 2 Revision of a currently approved collection 3 Extension of the expiration date of a currently approved collection 5 O Existing collection in use without an oMB controi number without any change in the substance or in the method of collection

16. Agency report form nurnber(s)(onclude standard /cptional form number (s)) 22. Purpose of informttion collection (check as manyas apply) 1 @ Application for benefits 2 O Program evaiuation

17. Annutireportingordisclosure burden 3 General purpose statistics 1 Number of respondents . I 4 O Regulatoryor comphance 2 Number of responses per respondent 1 5 0 Program planningor management 3 Tr.til annual responses (hne 1 t,mes hoe 2) 1 6 0 Research 4 Hours per response 1 7 Audit 5 Totat hours (lone 3 tomes kne 4) 1

18. Annuil recordkeeping burden 23. Frequency of recordkeeping or reporting (check all that apply) 1 Number of recordkeepers 1E Recordkeeping 2 /.nnual hours per recordkeeper. Reporting 3 Tot:1 recordkeeping hours (hne 1 times hne 2) 2 @ onoccasion 4 Recordkeeping retention penod years 3 0 weekiyf

19. Total annual burden 4 0 uontniy l QJarterfy 1 Requested (hne 17 5plus hne 18 3) . 5 2 fn current OMB inventory 6 0 semi-annuairy 3 D.ffirence (tone 1 less hne 2) 7 O Annually Esplanation of difference 8 0 Biennial!y 4 Program change 9 0 otnerrdescnoe>:

5 Adi ustment . d

20. Current (most recent) oN'8 controi number or comment number 24. Respondents' obl gation to comply (check the strongestoDhgation thatapplies) 3150-0121 i O voiuntary

21. Requssted espiration date 2 O Required to obtain or retain a benefit 5/31/90 3 E uandatory

25. Art the respondents prir ianty educational agencies or institutions or is the pnmary purpose of the collection related to Federal education programs? Yes M No

26. Does the agency use sampi.ng to select respondents or does the agens y recommer'd or prescobe the use of sampling or statistical analysis by rispondents? .

Yes M No

27. RIgulator autnonty for tne information collection 1 CFR OI  ; or FR , or. Other (specify):

Paperwork Certification in submitt ng this reqcest for oMB approvat, the agency head, the senior official or an authonzed representatme. certifies that the requirements of 5 CFR 1320, the Privacy Act. stat:strcal standards or directives, and any other apphcable information pohcy direttives have been comphed with Stnatwe of program o rficial Date Ignature of agency head. the senior off<ial or an authorized presen+ative Date Patricia G. Norry, Director j Office of Administration #d 4-rm _ y p'Oc

[ O CPO 1984 o - 453-776

SUPPORTING STATEMENT FOR 10 CFR PART 81 STANDARD SPECIFICATIONS FOR THE GRANTING OF PATENT LICENSES Description of the Information Collection Section 81.20 requires that non-exclusive license holders submit periodic reports, at least annually, on efforts to bring the invention to a point of practical application and the extent to which he continues to make the benefits of the invention reasonably accessible to the public.

Section 81.32 requires that holders of exclusive licenses to NRC inventions 4 submit periodic reports on efforts to achieve practical application . of the invention and the extent to which he continues to make the benefits of the invention reasonably accessible to the public.

Section 81.40 requires that applicants for exclusive and non-exclusive licenses to NRC inventions provide information which may provide the basis for granting the requested license.

A. JUSTIFICATION

.?

1. Need for the Collection of Information. NRC inventions may be made available by exclusive ($ 81.32) or non-exclusive (f 81.20) license to appifcants who will practice the invention and make its benefits reasonably accessible to the public. In order to determine whether the NRC should grant a license or continue it in effect, the NRC needs information with regard to the invention and patent r

number; the applicant's identity and citizenship; the applicant's business; the purpose for which the license is desired and the field of use in which the applicant intends to practice the l

invention; and, the - geographic area in which the applicant will practice the invention. Other incidental information is also required. Additional information regarding the applicant's identity, location and ability to develop the invention and use the rights which may be granted are required of an applicant for an exclusive license. (f 81.40) Periodic reports are then required of licensees to insure that the license is being used in the manner intended by its issuance. (fI 81.20 and 81.32)

2. Agency Use of Information. The non-exclusive licensee's report on his efforts ($ 81.20) is sent to the NRC patent counsel. The i

S patent counsel reviews the report to determine the licensee's continuing qualification to hold the license.

The exclusive licensee's report on his efforts and requirements ($

81.32) is reviewed by the NRC patent counsel to determine the advisability of extending the term of a license, to keep track of any transfer of the license, to ensure the licensee's continued qualification for the exclusive license, and to be kept informed of any litigation concerning the licensed patent.

The application for an exclusive or non-exclusive license (f 81.40) is reviewed by the NRC patent counsel to determine whether a license may be granted and whether it should be granted to the applicant as requested.

Failure to collect this information would prevent the NRC from insuring that NRC patents are properly issued under license to and used by the licensee as authorized by section 156 of the Atomic Energy Act of 1954, as amended.

3. Reduction of Burden Through Information Technology. The sporadic nature and extremely small potential frequency of submissions prohibits the efficient use of information technology.

However, there are no legal or administrative obstacles to its use if so desired by any respondent.

i 4. Effort to Identify Duplication. The reqyfrement to submit reports pursuant to 55 81.20 and 81.32 does not duplicate or overlap other information collections by the NRC or other Government agencies.

Some of the information required in an application for a license (5 81.40) may be available as a result of other Government collections of information. For example, an applicant for an exclusive or non-exclusive license may be identified in other Government records as a small business or a minority business enterprise.

However, the remainder of the information to be collected is unique to the NRC patent and its licensed use.

5. Effort to Use Similar Information. The information needed to determine if the NRC should grant or continue a license is not collected by any other Government agency in a readily usable form.  ;

6. Effort to Reduce Small Business Burden. Currently there are no applicants or exclusive /non-exclusive licensees.

7. Consequences of Less Frequent Collection. The collection i frequency contained in these requirements is deemed the minimum necessary to achieve the objectives of the requirements.

l 1

l 1

8. Circumstances Which Justify Variation From OMB Guidelines. The requirements under II 81.20, 81.32, and 81.40 conform to the OMB Guidelines in 5 CFR 1320.6 in that no more than three copies are required.

9. Consultations Outside the NRC. There has been no - consultation with parties outside the NRC on these requirements since the publication of this rule on March 20, 1973.

! 10. Confidentiality of Information. The NRC provides no pledge of confidentiality for these collections of information.

11. Justification for Sensitive Questions. No questions of a sensitive nature are asked under these requiremento.

12. Estimated Annualized Cost to the Federal Government. Currently.

it is anticipated that no reports will be submitted under these requirements and, therefore, there is a zero burden on the Government. However, if reports were submitted, the following costs are anticipated:

a. It takes the NRC patent counsel approximately 4 hours4.62963e-5 days <br />0.00111 hours <br />6.613757e-6 weeks <br />1.522e-6 months <br /> to review a report submitted pursuant to 8 81.20. Total annual burden to the NRC could be 12 hours1.388889e-4 days <br />0.00333 hours <br />1.984127e-5 weeks <br />4.566e-6 months <br />. At $60 per professional staff hour, total annual cost to the NRC could be $720.

b. It takes the NRC patent counsel approximately 5 hours5.787037e-5 days <br />0.00139 hours <br />8.267196e-6 weeks <br />1.9025e-6 months <br /> to review information supporting a reques,t for an extended license period ($ 81.32(a)(2)); 2 hours2.314815e-5 days <br />5.555556e-4 hours <br />3.306878e-6 weeks <br />7.61e-7 months <br /> to review a license assignment or transfer notice ($ 81.32(a)(8)); 4 hours4.62963e-5 days <br />0.00111 hours <br />6.613757e-6 weeks <br />1.522e-6 months <br /> to review a practical applications progress report ($ 81.32(a)(10)); and, up to 4 hours4.62963e-5 days <br />0.00111 hours <br />6.613757e-6 weeks <br />1.522e-6 months <br />, depending on the complexity of the case, to review court pleadings (981.32(a)(13)). Total annual burden to the NRC could be 15 hours1.736111e-4 days <br />0.00417 hours <br />2.480159e-5 weeks <br />5.7075e-6 months <br />. At $60 per professional staff hour, total annual cost to the NRC could be $900,

c. It takes the NRC patent counsel approximately 4 hours4.62963e-5 days <br />0.00111 hours <br />6.613757e-6 weeks <br />1.522e-6 months <br /> to review an application (581.40). Total annual burden to the NRC could be 12 hours1.388889e-4 days <br />0.00333 hours <br />1.984127e-5 weeks <br />4.566e-6 months <br />. At $60 per professional staff hour, total annual cost to the NRC could be $720.

I

d. Total annual cost to the NRC for all of these requirements could be as much as $2340.

13. Estimate of Burden. As under paragraph 12 above, no reports are anticipated under these requirements. If they were submitted, the anticipated costs to the public are as follows:

l l

l l

t

~. - - --

'a. The estimated annual burden each for-- '

licensees under 5 81.20 could be 2 hours2.314815e-5 days <br />5.555556e-4 hours <br />3.306878e-6 weeks <br />7.61e-7 months <br />; licensees under I 81.32(a)(2) could be 5 hours5.787037e-5 days <br />0.00139 hours <br />8.267196e-6 weeks <br />1.9025e-6 months <br />; licensees under I 81.32(a)(8) could be 2 hours2.314815e-5 days <br />5.555556e-4 hours <br />3.306878e-6 weeks <br />7.61e-7 months <br />; licensees under 5 81.32(a)(10) could be 2 hours2.314815e-5 days <br />5.555556e-4 hours <br />3.306878e-6 weeks <br />7.61e-7 months <br />; licensees under 5 81.32(a)(13) could be 9 hours1.041667e-4 days <br />0.0025 hours <br />1.488095e-5 weeks <br />3.4245e-6 months <br />; and, applicants under I 81.40 could be 6 hours6.944444e-5 days <br />0.00167 hours <br />9.920635e-6 weeks <br />2.283e-6 months <br />.

b. The estimated annual cost per respondent to respond to the collection for--

licensees under 5 81.20 could be $120; Mcensees under I 81.32(a)(2) could be $300; licensees under I 81.32(a)(8) could be $120; licensees under I 81.32(a)(10) could be $120; licensees under I 81.32(a)(13) could be $540; and, applicants under 5 81.40 could be $360.

14. Reasons for Change in Burden. This renewal represents no increase in the burden on potential _ respondents. Under the previous submittal, NRC estimated 33 hours3.819444e-4 days <br />0.00917 hours <br />5.456349e-5 weeks <br />1.25565e-5 months <br /> burden on the public.

Ilowever, since no submittals were made, nor are anticipated, the actual burden is anticipated to be zero.

15. Publication for Statistical Use. The collections of information

under these requirements will not be published for statistical use.

B. COLLECTIONS OF INFORMATION EMPLOYING STATISTICAL METHODS 4

Statistical methods are not used in the collection of information.

Sections 81.20, 81.32, and 81.40 require that the licensees and applicants submit the information individually.

I l

l l

l l

__ .- . . _ - - - _ .