NASA Grant and Cooperative Agreement Handbook-Intellectual Property Required Reports and Publications, 46079-46080 [05-15665]
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Federal Register / Vol. 70, No. 152 / Tuesday, August 9, 2005 / Rules and Regulations
(Lat. 30°27′46″ N, long. 88°31′45″ W)
That airspace extending upward from the
surface to and including 2,500 feet MSL
within a 4.1-mile radius of the Trent Lott
International Airport. This Class D airspace
area is effective during the specific days and
times established in advance by a notice to
Airmen. The effective days and times will
thereafter be continuously published in the
Airport/Facility Directory.
*
*
*
*
*
Issued in College Park, Georgia, on July 28,
2005.
Mark D. Ward,
Acting Area Director, Air traffic Division,
Southern Region.
[FR Doc. 05–15651 Filed 8–8–05; 8:45 am]
BILLING CODE 4910–13–M
NATIONAL AERONAUTICS AND
SPACE ADMINISTRATION
14 CFR Part 1260
RIN 2700–AD14
NASA Grant and Cooperative
Agreement Handbook—Intellectual
Property Required Reports and
Publications
National Aeronautics and
Space Administration (NASA).
ACTION: Final rule.
AGENCY:
SUMMARY: This final rule amends the
NASA Grant and Cooperative
Agreement Handbook (Handbook) to
clarify intellectual property provisions.
Provision § 1260.28, ‘‘Patent rights’’ is
amended to refer to NASA contractors
as ‘‘Contractors’’ and not ‘‘Recipients’’.
Provision § 1260.30, ‘‘Rights in data’’ is
amended to clarify the definition of the
word ‘‘data’’. Provision § 1260.75,
‘‘Summary of report requirements’’, is
amended to correct the cross-references
to the intellectual property provisions of
the Handbook. These changes are
administrative in nature. No change is
being made to the actual reporting
requirements.
DATES:
Effective August 9, 2005.
FOR FURTHER INFORMATION CONTACT:
Monique Sullivan, NASA Headquarters,
Code HK, Washington, DC, (703–553–
2560) e-mail: monique.sullivan1@nasa.gov.
SUPPLEMENTARY INFORMATION:
A. Background
This final rule amends the NASA
Grant and Cooperative Agreement
Handbook (Handbook) to make three
clarifications to intellectual property
provisions: (1) Provision § 1260.28,
‘‘Patent rights’’ currently refers to NASA
VerDate jul<14>2003
15:06 Aug 08, 2005
Jkt 205001
Contractors as ‘‘Recipients’’. This final
rule amends § 1260.28 to refer to NASA
contractors as ‘‘Contractors’’ and not
‘‘Recipients’’; (2) Paragraph (a)(1) of
Provision § 1260.30, ‘‘Rights in data’’ is
amended to correct previous revisions
of the definition of the word ‘‘data’’ to
include copyrightable work in which
the recipient asserts copyright, or for
which copyright ownership was
purchased. The words ‘‘created under
the grant or cooperative agreement’’ are
added to the Provision for clarification;
and (3) Intellectual Property provisions
are reflected in Provisions § 1260.28,
§ 1260.30, § 1260.50, § 1260.57, and
§ 1260.59 of the Handbook. Provision
§ 1260.75 of the Handbook summarizes
the reporting responsibilities of the
recipient as are stated in the intellectual
property provisions. This final rule
amends § 1260.75 to correct the crossreferences between the intellectual
property provisions and the reporting
requirements of § 1260.75.
This is not a significant regulatory
action and, therefore, was not subject to
review under section 6(b) of Executive
Order 12866, Regulatory Planning and
Review, dated September 30, 1993. This
final rule is not a major rule under 5
U.S.C. 804.
B. Regulatory Flexibility Act
NASA certifies that this final rule will
not have a significant economic impact
on a substantial number of small entities
within the meaning of the Regulatory
Flexibility Act, 5 U.S.C. 601 et seq.,
because the changes are for clarification
only and do not impose additional
requirements.
C. Paperwork Reduction Act
The Paperwork Reduction Act does
not apply because this final rule does
not impose any new recordkeeping or
information collection requirements, or
collection of information from offerors,
contractors, or members of the public
that require the approval of the Office of
Management and Budget under 44
U.S.C. 3501, et seq.
List of Subjects in 14 CFR Part 1260
Grant programs, science and
technology.
Tom Luedtke,
Assistant Administrator for Procurement.
Accordingly, 14 CFR part 1260 is
amended as follows:
I
PART 1260—GRANTS AND
COOPERATIVE AGREEMENTS
1. The authority citation for 14 CFR
1260 continues to read as follows:
I
Authority: 42 U.S.C. 2473(c)(1), Pub. L. 97–
258, 96 Stat. 1003 (31 U.S.C. 6301, et seq.)
PO 00000
Frm 00015
Fmt 4700
Sfmt 4700
46079
2. Amend § 1260.28 by revising the
date of the provision to read ‘‘August
2005’’, and revising paragraph (h) to read
as follows:
I
§ 1260.28
Patent rights.
*
*
*
*
*
(h) In the event NASA contractors are
tasked to perform work in support of
specified activities under a cooperative
agreement and inventions are made by
Contractor employees, the Contractor
will normally retain title to its employee
inventions in accordance with 35 U.S.C.
202, 14 CFR Part 1245, and Executive
Order 12591. In the event the Contractor
decides not to pursue rights to title in
any such invention and NASA obtains
title to such inventions, NASA will use
reasonable efforts to report such
inventions and, upon timely request,
will use reasonable efforts to grant the
Recipient an exclusive, or partially
exclusive, revocable, royalty-bearing
license, subject to the retention of a
royalty-free right of the Government to
practice or have practiced the invention
by or on behalf of the Government.
I 3. Amend § 1260.30 by revising the
date of the provision to read ‘‘August
2005’’, and revising paragraph (a)(1) to
read as follows:
§ 1260.30
Rights in data.
*
*
*
*
*
(a) Fully Funded Efforts.
(1) ‘‘Data’’ means recorded
information, regardless of form, the
media on which it may be recorded, or
the method of recording, created under
the grant or cooperative agreement. The
term includes, but is not limited to, data
of a scientific or technical nature, and
any copyrightable work, including
computer software and documentation
thereof, in which the recipient asserts
copyright, or for which copyright
ownership was purchased, under the
grant or cooperative agreement.
*
*
*
*
*
I 4. Amend § 1260.75 by—
I (a) Removing paragraphs (b)(5) and
(b)(11);
I (b) Redesignating paragraphs (b)(6)
through (b)(12) as (b)(5) through (b)(10);
I (c) Revising the newly designated
paragraphs (b)(5) through (b)(10); and
I (d) Revising paragraph (c)(1).
The revised paragraphs are to read as
follows:
§ 1260.75 Summary of report
requirements.
*
*
*
*
*
(b) * * *
(5) A Disclosure of Subject Invention
or a Disclosure of Reportable Item is
required, as applicable, in accordance
with § 1260.28 for all grants and
E:\FR\FM\09AUR1.SGM
09AUR1
46080
Federal Register / Vol. 70, No. 152 / Tuesday, August 9, 2005 / Rules and Regulations
cooperative agreements (except
Education and Training Grants) with
educational institutions, nonprofit
organizations and small businesses, and
§ 1260.57 for all grants and cooperative
agreements (except Education and
Training Grants) with large businesses,
respectively. The reporting of a subject
invention under § 1260.28 shall be made
within two months after the inventor
discloses it to the recipient. The
reporting of a reportable item under
§ 1260.57 shall be made within two
months after the inventor discloses it to
the recipient or, if earlier, within six
months after the recipient becomes
aware that a reportable item has been
made. Disclosures of subject inventions
and reportable items will be reported
using either the electronic or paper
version of NASA Form 1679,
‘‘Disclosure of Invention and New
Technology (Including Software)’’.
Electronic disclosures may be submitted
at the electronic New Technology
Reporting web site (eNTRe) at: https://
invention.nasa.gov.
(6) An Election of Title to a Subject
Invention is required for all grants and
cooperative agreements (except
Education and Training Grants), as
applicable, in accordance with
§ 1260.28. The notice is due within two
years of disclosure of a subject
invention being elected, except in any
case where publication, on sale or
public use of the subject invention being
elected has initiated the one year
statutory period wherein valid patent
protection can still be obtained in the
United Stated, notice is due at least 60
days prior to the end of the statutory
period.
(7) An Interim Summary Report
listing all subject inventions or
reportable items required to be
disclosed during the preceding year is
required for all grants and cooperative
agreements (except Education and
Training Grants), in accordance with
§ 1260.28 or § 1260.57, respectively. The
listing is due annually. Interim
Summary Reports may be submitted
electronically on the electronic New
Technology Reporting web site (eNTRe)
at: https://invention.nasa.gov.
(8) A Notification of Decision to
Forego Patent Protection is required for
all grants and cooperative agreements
(except Education and Training Grants),
as applicable, in accordance with
§ 1260.28. The notification is due not
less than thirty days before the
expiration of the response period
required by the relevant patent office.
(9) A Utilization of Subject Invention
Report is required for all grants and
cooperative agreements (except
Education and Training Grants) where
VerDate jul<14>2003
15:06 Aug 08, 2005
Jkt 205001
the recipient has elected title to a
subject invention in accordance with
§ 1260.28. The report is due annually
from the election date.
(10) An Annual NASA Form 1018,
NASA Property in the Custody of
Contractors, is required for all grants
and cooperative agreements with
commercial organizations. The reports
are due October 31st of each year.
Negative reports (i.e. no reportable
property) are required.
(c) * * *
(1) A Final Summary Report listing all
subject inventions or reportable items,
or certifying that there are none, is
required for all grants and cooperative
agreements (except Education and
Training Grants), in accordance with
§ 1260.28 or § 1260.57, respectively. The
report is due within 90 days after the
expiration of the grant or cooperative
agreement. The Final Summary Report
may be submitted electronically on the
electronic New Technology Reporting
web site (eNTRe) at: https://
invention.nasa.gov.
*
*
*
*
*
[FR Doc. 05–15665 Filed 8–8–05; 8:45 am]
BILLING CODE 7510–01–P
17 CFR Parts 228, 229 and 240
[Release Nos. 33–8600; 34–52202; 35–
28013; IC–27025; File No. S7–27–04]
RIN 3235–AJ27
Ownership Reports and Trading by
Officers, Directors and Principal
Security Holders
Securities and Exchange
Commission.
ACTION: Final rule.
AGENCY:
SUMMARY: We are adopting amendments
to two rules that exempt certain
transactions from the private right of
action to recover short-swing profit
provided by Section 16(b) of the
Securities Exchange Act of 1934. The
amendments are intended to clarify the
exemptive scope of these rules,
consistent with statements in previous
Commission releases. We also are
amending Item 405 of Regulations S–K
and S–B to harmonize this item with the
two-business day Form 4 due date and
mandated electronic filing and Web site
posting of Section 16 reports.
DATES: Effective dates: August 9, 2005,
except §§ 228.405(a), (a)(2) and (b) and
229.405(a), (a)(2) and (b) are effective
September 8, 2005.
Frm 00016
Fmt 4700
FOR FURTHER INFORMATION CONTACT:
Anne Krauskopf, Senior Special
Counsel, or Nina Mojiri-Azad, Special
Counsel, at (202) 551–3500, Division of
Corporation Finance, Securities and
Exchange Commission, 100 F Street,
NE., Washington, DC 20549–3010.
We are
adopting 1 amendments to Rules 16b–3 2
and 16b–7 3 under the Securities
Exchange Act of 1934 (‘‘Exchange
Act’’),4 and Item 405 of Regulations S–
K and S–B.5
SUPPLEMENTARY INFORMATION:
I. Executive Summary and Background
SECURITIES AND EXCHANGE
COMMISSION
PO 00000
Availability dates: § 240.16b–3(d) and
(e) are effective August 9, 2005, but
because they clarify regulatory
conditions that applied to these
exemptions since they became effective
on August 15, 1996, they are available
to any transaction on or after August 15,
1996 that satisfies the regulatory
conditions so clarified. § 240.16b–7 is
effective August 9, 2005, but because it
clarifies regulatory conditions that
applied to that exemption since it was
amended effective May 1, 1991, it is
available to any transaction on or after
May 1, 1991 that satisfies the regulatory
conditions so clarified.
Sfmt 4700
Section 16 of the Exchange Act 6
applies to every person who is the
beneficial owner of more than 10% of
any class of equity security registered
under Section 12 of the Exchange Act,7
and each officer and director
(collectively, ‘‘insiders’’) of the issuer of
such security. Upon becoming an
insider, or upon the Section 12
registration of that security, Section
16(a) 8 requires an insider to file an
initial report with the Commission
disclosing his or her beneficial
ownership of all equity securities of the
issuer.9 To keep this information
current, Section 16(a) also requires
insiders to report changes in such
ownership, or the purchase or sale of a
1 The amendments were proposed in Exchange
Act Release No. 49895 (June 21, 2004) [69 FR
35982] (‘‘Proposing Release’’). Comment letters are
available for public inspection and copying in the
Commission’s Public Reference Room, 100 F Street,
NE., Washington, DC 20549. We have posted
electronically submitted comment letters on our
Web site at https://www.sec.gov/rules/proposed/
s72704.shtml. [Add when posted: A comment
summary also is available at https://www.sec.gov/
rules/extra/s72704summary.htm.]
2 17 CFR 240.16b–3.
3 17 CFR 240.16b–7.
4 15 U.S.C. 78a et seq.
5 17 CFR 229.405 and 17 CFR 228.405.
6 15 U.S.C. 78p.
7 15 U.S.C. 78l.
8 15 U.S.C. 78p(a).
9 Insiders file these reports on Form 3 [17 CFR
249.103].
E:\FR\FM\09AUR1.SGM
09AUR1
]]>Agencies
[Federal Register Volume 70, Number 152 (Tuesday, August 9, 2005)]
[Rules and Regulations]
[Pages 46079-46080]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 05-15665]
=======================================================================
-----------------------------------------------------------------------
NATIONAL AERONAUTICS AND SPACE ADMINISTRATION
14 CFR Part 1260
RIN 2700-AD14
NASA Grant and Cooperative Agreement Handbook--Intellectual
Property Required Reports and Publications
AGENCY: National Aeronautics and Space Administration (NASA).
ACTION: Final rule.
-----------------------------------------------------------------------
SUMMARY: This final rule amends the NASA Grant and Cooperative
Agreement Handbook (Handbook) to clarify intellectual property
provisions. Provision Sec. 1260.28, ``Patent rights'' is amended to
refer to NASA contractors as ``Contractors'' and not ``Recipients''.
Provision Sec. 1260.30, ``Rights in data'' is amended to clarify the
definition of the word ``data''. Provision Sec. 1260.75, ``Summary of
report requirements'', is amended to correct the cross-references to
the intellectual property provisions of the Handbook. These changes are
administrative in nature. No change is being made to the actual
reporting requirements.
DATES: Effective August 9, 2005.
FOR FURTHER INFORMATION CONTACT: Monique Sullivan, NASA Headquarters,
Code HK, Washington, DC, (703-553-2560) e-mail: monique.sullivan-
1@nasa.gov.
SUPPLEMENTARY INFORMATION:
A. Background
This final rule amends the NASA Grant and Cooperative Agreement
Handbook (Handbook) to make three clarifications to intellectual
property provisions: (1) Provision Sec. 1260.28, ``Patent rights''
currently refers to NASA Contractors as ``Recipients''. This final rule
amends Sec. 1260.28 to refer to NASA contractors as ``Contractors''
and not ``Recipients''; (2) Paragraph (a)(1) of Provision Sec.
1260.30, ``Rights in data'' is amended to correct previous revisions of
the definition of the word ``data'' to include copyrightable work in
which the recipient asserts copyright, or for which copyright ownership
was purchased. The words ``created under the grant or cooperative
agreement'' are added to the Provision for clarification; and (3)
Intellectual Property provisions are reflected in Provisions Sec.
1260.28, Sec. 1260.30, Sec. 1260.50, Sec. 1260.57, and Sec. 1260.59
of the Handbook. Provision Sec. 1260.75 of the Handbook summarizes the
reporting responsibilities of the recipient as are stated in the
intellectual property provisions. This final rule amends Sec. 1260.75
to correct the cross-references between the intellectual property
provisions and the reporting requirements of Sec. 1260.75.
This is not a significant regulatory action and, therefore, was not
subject to review under section 6(b) of Executive Order 12866,
Regulatory Planning and Review, dated September 30, 1993. This final
rule is not a major rule under 5 U.S.C. 804.
B. Regulatory Flexibility Act
NASA certifies that this final rule will not have a significant
economic impact on a substantial number of small entities within the
meaning of the Regulatory Flexibility Act, 5 U.S.C. 601 et seq.,
because the changes are for clarification only and do not impose
additional requirements.
C. Paperwork Reduction Act
The Paperwork Reduction Act does not apply because this final rule
does not impose any new recordkeeping or information collection
requirements, or collection of information from offerors, contractors,
or members of the public that require the approval of the Office of
Management and Budget under 44 U.S.C. 3501, et seq.
List of Subjects in 14 CFR Part 1260
Grant programs, science and technology.
Tom Luedtke,
Assistant Administrator for Procurement.
0
Accordingly, 14 CFR part 1260 is amended as follows:
PART 1260--GRANTS AND COOPERATIVE AGREEMENTS
0
1. The authority citation for 14 CFR 1260 continues to read as follows:
Authority: 42 U.S.C. 2473(c)(1), Pub. L. 97-258, 96 Stat. 1003
(31 U.S.C. 6301, et seq.)
0
2. Amend Sec. 1260.28 by revising the date of the provision to read
``August 2005'', and revising paragraph (h) to read as follows:
Sec. 1260.28 Patent rights.
* * * * *
(h) In the event NASA contractors are tasked to perform work in
support of specified activities under a cooperative agreement and
inventions are made by Contractor employees, the Contractor will
normally retain title to its employee inventions in accordance with 35
U.S.C. 202, 14 CFR Part 1245, and Executive Order 12591. In the event
the Contractor decides not to pursue rights to title in any such
invention and NASA obtains title to such inventions, NASA will use
reasonable efforts to report such inventions and, upon timely request,
will use reasonable efforts to grant the Recipient an exclusive, or
partially exclusive, revocable, royalty-bearing license, subject to the
retention of a royalty-free right of the Government to practice or have
practiced the invention by or on behalf of the Government.
0
3. Amend Sec. 1260.30 by revising the date of the provision to read
``August 2005'', and revising paragraph (a)(1) to read as follows:
Sec. 1260.30 Rights in data.
* * * * *
(a) Fully Funded Efforts.
(1) ``Data'' means recorded information, regardless of form, the
media on which it may be recorded, or the method of recording, created
under the grant or cooperative agreement. The term includes, but is not
limited to, data of a scientific or technical nature, and any
copyrightable work, including computer software and documentation
thereof, in which the recipient asserts copyright, or for which
copyright ownership was purchased, under the grant or cooperative
agreement.
* * * * *
0
4. Amend Sec. 1260.75 by--
0
(a) Removing paragraphs (b)(5) and (b)(11);
0
(b) Redesignating paragraphs (b)(6) through (b)(12) as (b)(5) through
(b)(10);
0
(c) Revising the newly designated paragraphs (b)(5) through (b)(10);
and
0
(d) Revising paragraph (c)(1).
The revised paragraphs are to read as follows:
Sec. 1260.75 Summary of report requirements.
* * * * *
(b) * * *
(5) A Disclosure of Subject Invention or a Disclosure of Reportable
Item is required, as applicable, in accordance with Sec. 1260.28 for
all grants and
[[Page 46080]]
cooperative agreements (except Education and Training Grants) with
educational institutions, nonprofit organizations and small businesses,
and Sec. 1260.57 for all grants and cooperative agreements (except
Education and Training Grants) with large businesses, respectively. The
reporting of a subject invention under Sec. 1260.28 shall be made
within two months after the inventor discloses it to the recipient. The
reporting of a reportable item under Sec. 1260.57 shall be made within
two months after the inventor discloses it to the recipient or, if
earlier, within six months after the recipient becomes aware that a
reportable item has been made. Disclosures of subject inventions and
reportable items will be reported using either the electronic or paper
version of NASA Form 1679, ``Disclosure of Invention and New Technology
(Including Software)''. Electronic disclosures may be submitted at the
electronic New Technology Reporting web site (eNTRe) at: https://
invention.nasa.gov.
(6) An Election of Title to a Subject Invention is required for all
grants and cooperative agreements (except Education and Training
Grants), as applicable, in accordance with Sec. 1260.28. The notice is
due within two years of disclosure of a subject invention being
elected, except in any case where publication, on sale or public use of
the subject invention being elected has initiated the one year
statutory period wherein valid patent protection can still be obtained
in the United Stated, notice is due at least 60 days prior to the end
of the statutory period.
(7) An Interim Summary Report listing all subject inventions or
reportable items required to be disclosed during the preceding year is
required for all grants and cooperative agreements (except Education
and Training Grants), in accordance with Sec. 1260.28 or Sec.
1260.57, respectively. The listing is due annually. Interim Summary
Reports may be submitted electronically on the electronic New
Technology Reporting web site (eNTRe) at: https://invention.nasa.gov.
(8) A Notification of Decision to Forego Patent Protection is
required for all grants and cooperative agreements (except Education
and Training Grants), as applicable, in accordance with Sec. 1260.28.
The notification is due not less than thirty days before the expiration
of the response period required by the relevant patent office.
(9) A Utilization of Subject Invention Report is required for all
grants and cooperative agreements (except Education and Training
Grants) where the recipient has elected title to a subject invention in
accordance with Sec. 1260.28. The report is due annually from the
election date.
(10) An Annual NASA Form 1018, NASA Property in the Custody of
Contractors, is required for all grants and cooperative agreements with
commercial organizations. The reports are due October 31st of each
year. Negative reports (i.e. no reportable property) are required.
(c) * * *
(1) A Final Summary Report listing all subject inventions or
reportable items, or certifying that there are none, is required for
all grants and cooperative agreements (except Education and Training
Grants), in accordance with Sec. 1260.28 or Sec. 1260.57,
respectively. The report is due within 90 days after the expiration of
the grant or cooperative agreement. The Final Summary Report may be
submitted electronically on the electronic New Technology Reporting web
site (eNTRe) at: https://invention.nasa.gov.
* * * * *
[FR Doc. 05-15665 Filed 8-8-05; 8:45 am]
BILLING CODE 7510-01-P
