Patents and Other Intellectual Property Rights, 19196-19199 [granule300]
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19196
Federal Register / Vol. 80, No. 69 / Friday, April 10, 2015 / Rules and Regulations
affiliated CDFI. This regulatory revision
affects only the Affiliate’s ability to meet
the financing entity requirement for
CDFI certification: said entity must meet
the other five certification criteria in
accordance with the existing regulation.
Further, in this revised regulation, the
CDFI Fund reserves the authority, in its
discretion, to set additional parameters
and restrictions on the financing entity
requirement, which will be set forth in
the Notice of Guarantee Availability
(NOGA) for a particular application
round of the CDFI Bond Guarantee
Program. Such additional parameters or
restrictions may include, for example,
(i) a deadline by which the Affiliate
must meet the financing entity
requirement based on its own merit or
activity, rather than relying on that of
the affiliated CDFI, and (ii) a
requirement that the affiliated CDFI
must maintain its CDFI certification
until such time that the Affiliate is able
to meet all CDFI certification
requirements based on its own merit or
activity.
Regulatory Analysis and Notices
Executive Order 12866
It has been determined that this rule
is not a significant regulatory action as
defined in Executive Order 12866.
Therefore, a regulatory assessment is not
required.
Regulatory Flexibility Act
Because no notice of proposed
rulemaking is required under the
Administrative Procedure Act (5 U.S.C.
553) or any other law, the Regulatory
Flexibility Act does not apply.
rljohnson on DSK3VPTVN1PROD with RULES
Paperwork Reduction Act
The collections of information
contained in this interim rule have been
previously reviewed and approved by
the Office of Management and Budget
(OMB) in accordance with the
Paperwork Reduction Act of 1995 and
assigned OMB Control Numbers 1559–
0006, 1559–0021, and 1559–0022. An
agency may not conduct or sponsor, and
a person is not required to respond to,
a collection of information unless it
displays a valid control number
assigned by OMB. This document
restates the collections of information
without substantive change.
National Environmental Policy Act
This revised interim rule has been
reviewed in accordance with 12 CFR
part 1815. The CDFI Fund’s
Environmental Regulations under the
National Environmental Protection Act
of 1969 (NEPA) require that the CDFI
Fund adequately consider the
cumulative impact proposed activities
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have upon the human environment. It is
the determination of the CDFI Fund that
the interim rule does not constitute a
major federal action significantly
affecting the quality of the human
environment and, in accordance with
the NEPA and the CDFI Fund
Environmental Quality Regulations, 12
CFR part 1815, neither an
Environmental Assessment nor an
Environmental Impact Statement is
required.
Administrative Procedure Act
Because this interim rule relates to
loans and grants, notice and public
procedure and a delayed effective date
are not required pursuant to the
Administrative Procedure Act, 5 U.S.C.
553(a)(2).
Catalogue of Federal Domestic
Assistance Number
Community Development Financial
Institutions Program—21.020.
List of Subjects in 12 CFR Part 1805
Community development, Grant
programs-housing and community
development, Loan programs-housing
and community development, Reporting
and recordkeeping requirements, Small
businesses.
Amendment to the Regulations
For the reasons discussed in the
preamble, the CDFI Fund is amending
12 CFR chapter XVII, part 1805 as
follows:
PART 1805—COMMUNITY
DEVELOPMENT FINANCIAL
INSTITUTIONS PROGRAM
business activity as a result of analysis
of its financial statements, organizing
documents, and any other information
required to be submitted as part of its
application. In conducting such
analysis, the CDFI Fund may take into
consideration an Applicant’s total assets
and its use of personnel.
(ii) For the sole purpose of
participating as an Eligible CDFI in the
CDFI Bond Guarantee Program (see 12
CFR part 1808), an Affiliate of a
Controlling CDFI may be deemed to
meet the financing entity requirement of
this subsection by relying on the CDFI
Fund’s determination that the
Controlling CDFI has met said
requirement; provided, however, that
the CDFI Fund reserves the right, in its
sole discretion, to set additional
parameters and restrictions on such,
which parameters and restrictions shall
be set forth in the applicable Notice of
Guarantee Availability for a CDFI Bond
Guarantee Program application round.
(iii) Further, for the sole purpose of
participating as an Eligible CDFI in the
CDFI Bond Guarantee Program, the
provision of Financial Products,
Development Services, and/or other
similar financing by an Affiliate of a
Controlling CDFI need not be armslength if such transaction is by and
between the Affiliate and the
Controlling CDFI, pursuant to an
operating agreement that includes
management and ownership provisions
and is in form and substance that is
acceptable to the CDFI Fund.
*
*
*
*
*
■
Dated: April 7, 2015.
Mary Ann Donovan,
Director, Community Development Financial
Institutions Fund.
Authority: 12 U.S.C. 4703, 4703 note, 4710,
4717; and 31 U.S.C. 321.
[FR Doc. 2015–08356 Filed 4–9–15; 8:45 am]
1. The authority citation for part 1805
continues to read as follows:
BILLING CODE 4810–70–P
2. Section 1805.201(b)(2) is revised to
read as follows:
■
§ 1805.201 Certification as a Community
Development Financial Institution.
NATIONAL AERONAUTICS AND
SPACE ADMINISTRATION
*
14 CFR Part 1245
*
*
*
*
(b) * * *
(2) Financing entity. (i) A CDFI shall
be an entity whose predominant
business activity is the provision, in
arms-length transactions, of Financial
Products, Development Services, and/or
other similar financing. An Applicant
may demonstrate that it is such an
entity if it is a(n):
(A) Depository Institution Holding
Company;
(B) Insured Depository Institution,
Insured Credit Union, or State-Insured
Credit Union; or
(C) Organization that is deemed by the
CDFI Fund to have such a predominant
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[Docket No: NASA–2015–0001]
RIN 2700–AE02
Patents and Other Intellectual Property
Rights
National Aeronautics and
Space Administration (NASA).
ACTION: Direct final rule.
AGENCY:
NASA has adopted as final,
without change, a proposed rule
amending its patent waivers regulations
to update citations and the patent
waiver policy, and to clarify and update
SUMMARY:
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the patent waiver procedures, so they
are more in line with the National
Aeronautics and Space Act (Space Act),
the authorizing statute.
DATES: This rule is effective May 11,
2015. Comments due on or before April
27, 2015. If adverse comments are
received, NASA will publish a timely
withdrawal of the rule in the Federal
Register.
ADDRESSES: Comments must be
identified with RIN 2700–AE02 and
may be sent to NASA via the Federal ERulemaking Portal: https://
www.regulations.gov. Follow the online
instructions for submitting comments.
Please note that NASA will post all
comments on the Internet with changes,
including any personal information
provided.
FOR FURTHER INFORMATION CONTACT:
Helen M. Galus, Office of the General
Counsel, NASA Headquarters,
telephone (202) 358–3437.
SUPPLEMENTARY INFORMATION:
I. Background
NASA published a proposed rule in
the Federal Register at 79 FR 60119, on
October 6, 2014, to amend its patent
waiver regulations to update citations to
the United States Code, to clarify the
requirements and procedures for
petitioning for a patent waiver so they
follow more closely the terms of the
Space Act, and to add grounds for
denial of a petition for waiver of foreign
rights. No comments were submitted on
the proposed rule.
rljohnson on DSK3VPTVN1PROD with RULES
II. Discussion and Analysis
The NASA Office of the General
Counsel had no comments to consider.
NASA has adopted the proposed rule as
final with one additional section
update. After the proposed rule was
published, an outdated citation was
found in § 1245.108 License to
contractor. In paragraphs (b) and (c), 14
CFR 1245.2 was updated to 37 CFR part
404. Also, ‘‘Government-Owned’’ was
substituted for ‘‘NASA’’ in paragraph
(b), and ‘‘in accordance with applicable
regulations in’’ was substituted for
‘‘under the Licensing of NASA
Inventions’’ in order to clarify the
sentence in paragraph (c).
A. Summary of Significant Changes
No changes were made as a result of
public comments.
B. Analysis of Public Comments
No public comments were submitted.
III. Direct Final Rule
NASA has determined this
rulemaking meets the criteria for a
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direct final rule because it involves
adopting a proposed rule amending its
patent waivers regulations to update
citations and the patent waiver policy,
and to clarify and update the patent
waiver procedures, so they are more in
line with the National Aeronautics and
Space Act (Space Act), the authorizing
statute. This rule has one additional
update to correct an outdated citation.
No opposition to the changes and no
significant adverse comments are
expected. However, if NASA receives
significant adverse comments, it will
withdraw this direct final rule by
publishing a notice in the Federal
Register. A significant adverse comment
is one that explains: (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.
IV. 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 not been designated a ‘‘significant
regulatory action’’ under section 3(f) of
Executive Order 12866.
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 policies and procedures for
submitting and reviewing petitions for
waiver of the Government’s rights to
certain inventions made under
government funded contracts, pursuant
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19197
to section 20135(b)(1) of the National
Aeronautics and Space Act, 51 U.S.C.
20135(b)(1). The provisions do not
apply to inventions made under any
contract, grant, or cooperative
agreement with a nonprofit organization
or small business firm that are afforded
the disposition of rights as provided in
35 U.S.C. 200–204 (Pub. L. 96–517, 94
Stat. 3019, 3020, 3022 and 3023; and
Pub. L. 98–620, 98 Stat. 3364–3367).
Therefore, the rule will not have a
significant economic impact on a
substantial number of small entities.
List of Subjects in 14 CFR Part 1245
Inventions, Patents and waivers.
Accordingly, 14 CFR part 1245 is
amended as follows:
PART 1245—PATENTS AND OTHER
INTELLECTUAL PROPERTY RIGHTS
Subpart 1—Patent and Waiver
Regulations
1. The authority citation for Part 1245,
Subpart 1, is revised to read as follows:
■
Authority: 51 U.S.C. 20135, 35 U.S.C. 200
et seq.
2. Section 1245.100 is revised to read
as follows:
■
§ 1245.100
Scope.
This subpart prescribes regulations for
the waiver of rights of the Government
of the United States to inventions made
under NASA contract in conformity
with section 20135 of the National
Aeronautics and Space Act (51 U.S.C.
Chapter 201).
■ 3. Section 1245.101 is revised to read
as follows:
§ 1245.101
Applicability.
The provisions of the subpart apply to
all inventions made or which may be
made under conditions enabling the
Administrator to determine that the
rights therein reside in the Government
of the United States under section
20135(b)(1) of the National Aeronautics
and Space Act, 51 U.S.C. 20135(b)(1).
The provisions do not apply to
inventions made under any contract,
grant, or cooperative agreement with a
nonprofit organization or small business
firm that are afforded the disposition of
rights as provided in 35 U.S.C. 200–204
(Pub. L. 96–517, 94 Stat. 3019, 3020,
3022 and 3023; and Pub. L. 98–620, 98
Stat. 3364–3367).
■ 4. Section 1245.102 is amended by
revising paragraph (c), redesignating
paragraphs (d) through (j) as paragraphs
(e) through (k), and adding new
paragraph (d) to read as follows:
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§ 1245.102
Federal Register / Vol. 80, No. 69 / Friday, April 10, 2015 / Rules and Regulations
Definitions and terms.
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(c) Invention means any, new and
useful process, machine, manufacture,
or composition of matter, or any new
and useful improvement thereof, or any
variety of plant, which is or may be
patentable under the Patent Laws of the
United States of America or any foreign
country.
(d) Class of inventions means
inventions directed to a particular
process, machine, manufacture, or
composition of matter, or to a narrowly
drawn, focused area of technology.
*
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■ 5. Section 1245.103 is amended by
revising paragraphs (a) and (b) to read
as follows:
rljohnson on DSK3VPTVN1PROD with RULES
§ 1245.103
Policy.
(a) In implementing the provisions of
section 20135(g) of the National
Aeronautics and Space Act (51 U.S.C.
Chapter 201), and in determining when
the interests of the United States would
be served by waiver of all or any part
of the rights of the United States in an
invention or class of inventions made in
the performance of work under NASA
contracts, the Administrator will be
guided by the objectives set forth in the
National Aeronautics and Space Act, by
the basic policy of the Presidential
Memorandum and Statement of
Government Patent Policy to the Heads
of the Executive Departments and
agencies dated February 18, 1983, by the
goals and objectives of its current
Authorization Act, Strategic Plan, and
other pertinent National policies or
laws, such as the National Space Policy
of the United States of America. Any
such waiver may be made upon such
terms and under such conditions as the
Administrator shall determine to be
required for the protection of the
interests of the United States. Among
the most important goals are to provide
incentives to foster inventiveness and
encourage the reporting of inventions
made under NASA contracts, to provide
for the widest practicable dissemination
of new technology resulting from NASA
programs, and to promote early
utilization, expeditious development,
and continued availability of this new
technology for commercial purposes
and the public benefit. In applying this
regulation, both the need for incentives
to draw forth private initiatives and the
need to promote healthy competition in
industry must be weighed.
(b) Several different situations arise
when waiver of all or any part of the
rights of the United States with respect
to an invention or class of invention
may be requested and are prescribed in
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§§ 1245.104 through 1245.106. Under
§ 1245.104, advance waiver of any or all
of the rights of the United States with
respect to any invention or class of
inventions which may be made under a
contract may be requested prior to the
execution of the contract, or within 30
days after execution of the contract.
Waiver of rights to an identified
invention made and reported under a
contract are to be requested under
§ 1245.105, and may be requested under
this provision even though a request
under § 1245.104 was not made, or if
made, was not granted. Waiver of
foreign rights under § 1245.106 may be
requested concurrently with domestic
rights under § 1245.104 or § 1245.105, or
may be made independently.
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■ 6. Section 1245.104 is amended by:
■ a. Revising paragraphs (a), (b)
introductory text, (b)(2), (b)(3)
introductory text, (b)(3)(v), (c), and (d);
■ b. Removing paragraph (e); and
■ c. Redesignating paragraph (f) as
paragraph (e).
The revisions read as follows:
§ 1245.104
Advance waivers.
(a) The provisions of this section
apply to petitions for waiver of domestic
rights of the United States with respect
to any invention or class of inventions
which may be made under a contract.
(b) The NASA Inventions and
Contributions Board normally will
recommend grant of a request for
advance waiver of domestic rights
submitted prior to execution of contract
or within 30 days after execution of the
contract unless the Board finds that the
interests of the United States will be
better served by restricting or denying
all or part of the requested rights in one
or more of the following situations:
*
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(2) When a determination has been
made by Government authority which is
authorized by statute or Executive order
to conduct foreign intelligence or
counter-intelligence activities that the
restriction or denial of the requested
rights to any inventions made in the
performance of work under the contract
is necessary to protect the security of
such activities; or
(3) Where the Board finds that
exceptional circumstances exist, such
that restriction or denial of the
requested rights will better promote one
or more of the following objectives:
*
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*
(v) Ensuring that the Government
retains sufficient rights in federally
supported inventions to meet the needs
of the Government and protect the
public against nonuse or unreasonable
use of inventions.
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(c)(1) An advance waiver, when
granted, will be subject to the
reservations set forth in § 1245.107.
Normally, the reservations of
§ 1245.107(a), License to the
Government, and § 1245.107(b), Marchin rights, will apply. However, should
one or more of the situations set forth
in paragraphs (b)(1) through (b)(3), of
this section exist, rather than denying
the advance waiver request, the Board
may recommend granting to the
contractor only part of the requested
rights, to the extent necessary to address
the particular situation, consistent with
the policy and goals of § 1245.103. In
that event, the waiver grant will be
subject to additional reservations as
provided for in § 1245.107(c).
(2) To meet the National Aeronautics
and Space Act standard of ‘‘any
invention or class of inventions,’’ for
advance waivers, the petition shall
identify the invention(s) and/or class(es)
of inventions that the Contractor
believes will be made under the contract
and for which waiver of rights is being
requested. Therefore, the petition must
be directed to a specific invention(s) or
to inventions directed to a particular
process, machine, manufacture, or
composition of matter, or to a narrowly
drawn, focused area(s) of technology.
(3) An advance waiver, when granted,
will apply only to inventions reported
to NASA under the applicable terms of
the contract and a designation made
within 6 months of the time of reporting
(or a reasonable time thereafter
permitted for good cause shown) that
the contractor elects title to the
invention and intends to file or has filed
a U.S. patent application. Such election
will be made by notification in writing
to the patent representative designated
in the contract. Title to all other
inventions made under the contract are
subject to section 20135(b)(1) of the
National Aeronautics and Space Act, 51
U.S.C. 20135(b)(1). The granting of the
advance waiver does not otherwise
relieve a contractor of any of the
invention identification or reporting
requirements set forth in the applicable
patent rights clause in the contract.
(4) The advance waiver shall extend
to the invention claimed in any patent
application filed on the reported
invention, including any subsequent
divisional or continuation application
thereof, provided the claims of the
subsequent application do not
substantially change the scope of the
reported invention.
(d) When a petition for waiver is
submitted under paragraph (b) of this
section, prior to contract execution, it
will be processed expeditiously so that
a decision on the petition may be
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reached prior to execution of the
contract. However, if there is
insufficient time or insufficient
information is presented, or for other
reasons which do not permit a
recommendation to be made without
unduly delaying execution of the
contract, the Board will inform the
contracting officer that no
recommendation can be made prior to
contract execution and the reasons
therefor. The contracting officer will
then notify the petitioner of the Board’s
action.
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■ 7. Section 1245.106 is amended by
revising paragraphs (c) and (d) to read
as follows:
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§ 1245.106
Waiver of foreign rights.
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(c) The Board will normally
recommend the waiver of foreign rights
be granted under paragraph (a) or
paragraph (b) of this section in any
designated country unless:
(1) The Board finds that exceptional
circumstances exist, such that
restriction or denial of the requested
foreign rights will better promote one or
more of the objectives set forth in
§ 1245.104(b)(3)(i) through (v); or
(2) The Board finds that the economic
interests of the United States will not be
served thereby; or unless
(3) In the case of an individual
identified invention under paragraph (b)
of this section, NASA has determined,
prior to the request, to file a patent
application in the designated country.
(d) If, subsequent to the granting of
the petition for foreign rights, the
petitioner requests and designates
additional countries in which it wishes
to secure patents, the Chairperson may
recommend such request, in whole or in
part, without further action by the
Board.
■ 8. Section 1245.107 is amended by
revising the introductory text of
paragraph (b) to read as follows:
§ 1245.107
Reservations.
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(b) March-in rights. For any invention
for which waiver of rights has been
granted under this subpart, NASA has
the same right as set forth in 35 U.S.C.
203 and 210, with the procedures set
forth in § 1245.117 and 37 CFR 401.6, to
require the contractor, an assignee, or
exclusive licensee of the invention to
grant a nonexclusive, partially
exclusive, or exclusive license in any
field of use to a responsible applicant or
applicants, upon terms that are
reasonable under the circumstances,
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and if the contractor, assignee, or
exclusive licensee refuses such a
request, NASA has the right to grant
such a license itself if NASA determines
that:
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■ 9. Section 1245.108 is amended by
revising the first sentence of paragraph
(b) and the last sentence of paragraph
(c).
§ 1245.108
License to contractor.
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(b) The contractor’s domestic license
may be revoked or modified by the
Administrator to the extent necessary to
achieve expeditious practical
application of the invention pursuant to
an application for an exclusive license
submitted in accordance with the
Licensing of Government-Owned
Inventions (37 CFR part 404). * * *
(c) * * * The contractor shall have
the right to appeal, in accordance with
applicable regulations in 37 CFR part
404, any decision concerning the
revocation or modification of its license.
■ 10. Section 1245.110 is amended by
redesignating paragraphs (b) and (c) as
paragraphs (c) and (d), and by adding
new paragraph (b) to read as follows:
§ 1245.110
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(b) Advance waiver petitions shall
also identify the invention(s) and/or
class(es) of inventions that the
Contractor believes will be made under
the contract and for which waiver of
rights is being requested, in accordance
with § 1245.104(c)(2).
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■ 11. Section 1245.112 is amended by
revising paragraph (a) to read as follows:
§ 1245.112 Notice of proposed Board
action and reconsideration.
(a) Notice. Except as provided by
§ 1245.104(d), the Board will notify the
petitioner, through the contracting
officer, with respect to petitions for
advance waiver prior to contract
execution, and directly to the petitioner
for all other petitions:
(1) When it proposes to recommend to
the Administrator that the petition be:
(i) Granted in an extent different from
that requested; or
(ii) Denied.
(2) Of the reasons for the
recommended action adverse to or
different from the waiver of rights
requested by the petitioner.
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■ 12. Section 1245.116 is amended by
revising paragraph (b) to read as follows:
§ 1245.116
Miscellaneous provisions.
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(b) Statement of Government rights.
The waiver recipient shall include,
within the specification of any United
States patent application and any patent
issuing thereon for a waived invention,
the following statement:
The invention described herein was
made in the performance of work under
NASA Contract No. lll, and is subject to
the provisions of Section 20135 of the
National Aeronautics and Space Act (51
U.S.C. Chapter 201).
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■ 13. Section 1245.117 is amended by
revising paragraph (a) to read as follows:
§ 1245.117 March-in and waiver revocation
procedures.
(a) The exercise of march-in
procedures shall be in conformance
with 35 U.S.C. 203 and the applicable
provisions of 37 CFR 401.6, entitled
‘‘Exercise of march-in rights for
inventions made by nonprofit
organizations and small business firms.’’
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Nanette Jennings,
Federal Register Liaison Officer.
[FR Doc. 2015–08145 Filed 4–9–15; 8:45 am]
BILLING CODE 7510–13–P
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NATIONAL LABOR RELATIONS
BOARD
29 CFR Parts 101, 102, and 103
RIN 3142–AA08
Representation—Case Procedures
AGENCY:
National Labor Relations
Board.
ACTION:
Final rule; correction.
On Monday, December 15,
2014, the National Labor Relations
Board issued a final rule regarding
representation case procedures, 79 FR
74307. Since the publication of the rule,
a number of minor errors have been
noted throughout the Supplementary
Information preceding the amendatory
language. The errata sheet below
corrects those errors.
DATES: These corrections will be
effective on April 14, 2015.
FOR FURTHER INFORMATION CONTACT: Gary
Shinners, Executive Secretary, National
Labor Relations Board, 1099 14th Street
NW., Washington, DC 20570, (202) 273–
3737 (this is not a toll-free number), 1–
866–315–6572 (TTY/TDD).
SUPPLEMENTARY INFORMATION:
SUMMARY:
Errata
On Monday, December 15, 2014, the
National Labor Relations Board issued a
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[Federal Register Volume 80, Number 69 (Friday, April 10, 2015)]
[Unknown Section]
[Pages 19196-19199]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: granule300]
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NATIONAL AERONAUTICS AND SPACE ADMINISTRATION
14 CFR Part 1245
[Docket No: NASA–2015–0001]
RIN 2700–AE02
Patents and Other Intellectual Property Rights
AGENCY: National Aeronautics and Space Administration (NASA).
ACTION: Direct final rule.
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SUMMARY: NASA has adopted as final, without change, a proposed rule
amending its patent waivers regulations to update citations and the
patent waiver policy, and to clarify and update
[[Page 19197]]
the patent waiver procedures, so they are more in line with the
National Aeronautics and Space Act (Space Act), the authorizing
statute.
DATES: This rule is effective May 11, 2015. Comments due on or before
April 27, 2015. If adverse comments are received, NASA will publish a
timely withdrawal of the rule in the Federal Register.
ADDRESSES: Comments must be identified with RIN 2700–AE02 and may
be sent to NASA via the Federal E-Rulemaking Portal: https://
www.regulations.gov. Follow the online instructions for submitting
comments. Please note that NASA will post all comments on the Internet
with changes, including any personal information provided.
FOR FURTHER INFORMATION CONTACT: Helen M. Galus, Office of the General
Counsel, NASA Headquarters, telephone (202) 358–3437.
SUPPLEMENTARY INFORMATION:
I. Background
NASA published a proposed rule in the Federal Register at 79 FR
60119, on October 6, 2014, to amend its patent waiver regulations to
update citations to the United States Code, to clarify the requirements
and procedures for petitioning for a patent waiver so they follow more
closely the terms of the Space Act, and to add grounds for denial of a
petition for waiver of foreign rights. No comments were submitted on
the proposed rule.
II. Discussion and Analysis
The NASA Office of the General Counsel had no comments to consider.
NASA has adopted the proposed rule as final with one additional section
update. After the proposed rule was published, an outdated citation was
found in §&thnsp;1245.108 License to contractor. In paragraphs (b)
and (c), 14 CFR 1245.2 was updated to 37 CFR part 404. Also,
“Government-Owned” was substituted for “NASA”
in paragraph (b), and “in accordance with applicable regulations
in” was substituted for “under the Licensing of NASA
Inventions” in order to clarify the sentence in paragraph (c).
A. Summary of Significant Changes
No changes were made as a result of public comments.
B. Analysis of Public Comments
No public comments were submitted.
III. Direct Final Rule
NASA has determined this rulemaking meets the criteria for a direct
final rule because it involves adopting a proposed rule amending its
patent waivers regulations to update citations and the patent waiver
policy, and to clarify and update the patent waiver procedures, so they
are more in line with the National Aeronautics and Space Act (Space
Act), the authorizing statute. This rule has one additional update to
correct an outdated citation. No opposition to the changes and no
significant adverse comments are expected. However, if NASA receives
significant adverse comments, it will withdraw this direct final rule
by publishing a notice in the Federal Register. A significant adverse
comment is one that explains: (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.
IV. 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 not been designated a “significant
regulatory action” under section 3(f) of Executive Order 12866.
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 policies and procedures for
submitting and reviewing petitions for waiver of the Government's
rights to certain inventions made under government funded contracts,
pursuant to section 20135(b)(1) of the National Aeronautics and Space
Act, 51 U.S.C. 20135(b)(1). The provisions do not apply to inventions
made under any contract, grant, or cooperative agreement with a
nonprofit organization or small business firm that are afforded the
disposition of rights as provided in 35 U.S.C. 200–204 (Pub. L.
96–517, 94 Stat. 3019, 3020, 3022 and 3023; and Pub. L.
98–620, 98 Stat. 3364–3367). Therefore, the rule will not
have a significant economic impact on a substantial number of small
entities.
List of Subjects in 14 CFR Part 1245
Inventions, Patents and waivers.
Accordingly, 14 CFR part 1245 is amended as follows:
PART 1245—PATENTS AND OTHER INTELLECTUAL PROPERTY RIGHTS
Subpart 1—Patent and Waiver Regulations
0
1. The authority citation for Part 1245, Subpart 1, is revised to read
as follows:
Authority: 51 U.S.C. 20135, 35 U.S.C. 200 et seq.
0
2. Section 1245.100 is revised to read as follows:
§&thnsp;1245.100 Scope.
This subpart prescribes regulations for the waiver of rights of the
Government of the United States to inventions made under NASA contract
in conformity with section 20135 of the National Aeronautics and Space
Act (51 U.S.C. Chapter 201).
0
3. Section 1245.101 is revised to read as follows:
§&thnsp;1245.101 Applicability.
The provisions of the subpart apply to all inventions made or which
may be made under conditions enabling the Administrator to determine
that the rights therein reside in the Government of the United States
under section 20135(b)(1) of the National Aeronautics and Space Act, 51
U.S.C. 20135(b)(1). The provisions do not apply to inventions made
under any contract, grant, or cooperative agreement with a nonprofit
organization or small business firm that are afforded the disposition
of rights as provided in 35 U.S.C. 200–204 (Pub. L. 96–517,
94 Stat. 3019, 3020, 3022 and 3023; and Pub. L. 98–620, 98 Stat.
3364–3367).
0
4. Section 1245.102 is amended by revising paragraph (c), redesignating
paragraphs (d) through (j) as paragraphs (e) through (k), and adding
new paragraph (d) to read as follows:
[[Page 19198]]
§&thnsp;1245.102 Definitions and terms.
* * * * *
(c) Invention means any, new and useful process, machine,
manufacture, or composition of matter, or any new and useful
improvement thereof, or any variety of plant, which is or may be
patentable under the Patent Laws of the United States of America or any
foreign country.
(d) Class of inventions means inventions directed to a particular
process, machine, manufacture, or composition of matter, or to a
narrowly drawn, focused area of technology.
* * * * *
0
5. Section 1245.103 is amended by revising paragraphs (a) and (b) to
read as follows:
§&thnsp;1245.103 Policy.
(a) In implementing the provisions of section 20135(g) of the
National Aeronautics and Space Act (51 U.S.C. Chapter 201), and in
determining when the interests of the United States would be served by
waiver of all or any part of the rights of the United States in an
invention or class of inventions made in the performance of work under
NASA contracts, the Administrator will be guided by the objectives set
forth in the National Aeronautics and Space Act, by the basic policy of
the Presidential Memorandum and Statement of Government Patent Policy
to the Heads of the Executive Departments and agencies dated February
18, 1983, by the goals and objectives of its current Authorization Act,
Strategic Plan, and other pertinent National policies or laws, such as
the National Space Policy of the United States of America. Any such
waiver may be made upon such terms and under such conditions as the
Administrator shall determine to be required for the protection of the
interests of the United States. Among the most important goals are to
provide incentives to foster inventiveness and encourage the reporting
of inventions made under NASA contracts, to provide for the widest
practicable dissemination of new technology resulting from NASA
programs, and to promote early utilization, expeditious development,
and continued availability of this new technology for commercial
purposes and the public benefit. In applying this regulation, both the
need for incentives to draw forth private initiatives and the need to
promote healthy competition in industry must be weighed.
(b) Several different situations arise when waiver of all or any
part of the rights of the United States with respect to an invention or
class of invention may be requested and are prescribed in
§§&thnsp;1245.104 through 1245.106. Under
§&thnsp;1245.104, advance waiver of any or all of the rights of
the United States with respect to any invention or class of inventions
which may be made under a contract may be requested prior to the
execution of the contract, or within 30 days after execution of the
contract. Waiver of rights to an identified invention made and reported
under a contract are to be requested under §&thnsp;1245.105, and
may be requested under this provision even though a request under
§&thnsp;1245.104 was not made, or if made, was not granted. Waiver
of foreign rights under §&thnsp;1245.106 may be requested
concurrently with domestic rights under §&thnsp;1245.104 or
§&thnsp;1245.105, or may be made independently.
* * * * *
0
6. Section 1245.104 is amended by:
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a. Revising paragraphs (a), (b) introductory text, (b)(2), (b)(3)
introductory text, (b)(3)(v), (c), and (d);
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b. Removing paragraph (e); and
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c. Redesignating paragraph (f) as paragraph (e).
The revisions read as follows:
§&thnsp;1245.104 Advance waivers.
(a) The provisions of this section apply to petitions for waiver of
domestic rights of the United States with respect to any invention or
class of inventions which may be made under a contract.
(b) The NASA Inventions and Contributions Board normally will
recommend grant of a request for advance waiver of domestic rights
submitted prior to execution of contract or within 30 days after
execution of the contract unless the Board finds that the interests of
the United States will be better served by restricting or denying all
or part of the requested rights in one or more of the following
situations:
* * * * *
(2) When a determination has been made by Government authority
which is authorized by statute or Executive order to conduct foreign
intelligence or counter-intelligence activities that the restriction or
denial of the requested rights to any inventions made in the
performance of work under the contract is necessary to protect the
security of such activities; or
(3) Where the Board finds that exceptional circumstances exist,
such that restriction or denial of the requested rights will better
promote one or more of the following objectives:
* * * * *
(v) Ensuring that the Government retains sufficient rights in
federally supported inventions to meet the needs of the Government and
protect the public against nonuse or unreasonable use of inventions.
(c)(1) An advance waiver, when granted, will be subject to the
reservations set forth in §&thnsp;1245.107. Normally, the
reservations of §&thnsp;1245.107(a), License to the Government,
and §&thnsp;1245.107(b), March-in rights, will apply. However,
should one or more of the situations set forth in paragraphs (b)(1)
through (b)(3), of this section exist, rather than denying the advance
waiver request, the Board may recommend granting to the contractor only
part of the requested rights, to the extent necessary to address the
particular situation, consistent with the policy and goals of
§&thnsp;1245.103. In that event, the waiver grant will be subject
to additional reservations as provided for in §&thnsp;1245.107(c).
(2) To meet the National Aeronautics and Space Act standard of
“any invention or class of inventions,” for advance
waivers, the petition shall identify the invention(s) and/or class(es)
of inventions that the Contractor believes will be made under the
contract and for which waiver of rights is being requested. Therefore,
the petition must be directed to a specific invention(s) or to
inventions directed to a particular process, machine, manufacture, or
composition of matter, or to a narrowly drawn, focused area(s) of
technology.
(3) An advance waiver, when granted, will apply only to inventions
reported to NASA under the applicable terms of the contract and a
designation made within 6 months of the time of reporting (or a
reasonable time thereafter permitted for good cause shown) that the
contractor elects title to the invention and intends to file or has
filed a U.S. patent application. Such election will be made by
notification in writing to the patent representative designated in the
contract. Title to all other inventions made under the contract are
subject to section 20135(b)(1) of the National Aeronautics and Space
Act, 51 U.S.C. 20135(b)(1). The granting of the advance waiver does not
otherwise relieve a contractor of any of the invention identification
or reporting requirements set forth in the applicable patent rights
clause in the contract.
(4) The advance waiver shall extend to the invention claimed in any
patent application filed on the reported invention, including any
subsequent divisional or continuation application thereof, provided the
claims of the subsequent application do not substantially change the
scope of the reported invention.
(d) When a petition for waiver is submitted under paragraph (b) of
this section, prior to contract execution, it will be processed
expeditiously so that a decision on the petition may be
[[Page 19199]]
reached prior to execution of the contract. However, if there is
insufficient time or insufficient information is presented, or for
other reasons which do not permit a recommendation to be made without
unduly delaying execution of the contract, the Board will inform the
contracting officer that no recommendation can be made prior to
contract execution and the reasons therefor. The contracting officer
will then notify the petitioner of the Board's action.
* * * * *
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7. Section 1245.106 is amended by revising paragraphs (c) and (d) to
read as follows:
* * * * *
§&thnsp;1245.106 Waiver of foreign rights.
* * * * *
(c) The Board will normally recommend the waiver of foreign rights
be granted under paragraph (a) or paragraph (b) of this section in any
designated country unless:
(1) The Board finds that exceptional circumstances exist, such that
restriction or denial of the requested foreign rights will better
promote one or more of the objectives set forth in
§&thnsp;1245.104(b)(3)(i) through (v); or
(2) The Board finds that the economic interests of the United
States will not be served thereby; or unless
(3) In the case of an individual identified invention under
paragraph (b) of this section, NASA has determined, prior to the
request, to file a patent application in the designated country.
(d) If, subsequent to the granting of the petition for foreign
rights, the petitioner requests and designates additional countries in
which it wishes to secure patents, the Chairperson may recommend such
request, in whole or in part, without further action by the Board.
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8. Section 1245.107 is amended by revising the introductory text of
paragraph (b) to read as follows:
§&thnsp;1245.107 Reservations.
* * * * *
(b) March-in rights. For any invention for which waiver of rights
has been granted under this subpart, NASA has the same right as set
forth in 35 U.S.C. 203 and 210, with the procedures set forth in
§&thnsp;1245.117 and 37 CFR 401.6, to require the contractor, an
assignee, or exclusive licensee of the invention to grant a
nonexclusive, partially exclusive, or exclusive license in any field of
use to a responsible applicant or applicants, upon terms that are
reasonable under the circumstances, and if the contractor, assignee, or
exclusive licensee refuses such a request, NASA has the right to grant
such a license itself if NASA determines that:
* * * * *
0
9. Section 1245.108 is amended by revising the first sentence of
paragraph (b) and the last sentence of paragraph (c).
§&thnsp;1245.108 License to contractor.
* * * * *
(b) The contractor's domestic license may be revoked or modified by
the Administrator to the extent necessary to achieve expeditious
practical application of the invention pursuant to an application for
an exclusive license submitted in accordance with the Licensing of
Government-Owned Inventions (37 CFR part 404). * * *
(c) * * * The contractor shall have the right to appeal,
in accordance with applicable regulations in 37 CFR part 404, any
decision concerning the revocation or modification of its license.
0
10. Section 1245.110 is amended by redesignating paragraphs (b) and (c)
as paragraphs (c) and (d), and by adding new paragraph (b) to read as
follows:
§&thnsp;1245.110 Content of petitions.
* * * * *
(b) Advance waiver petitions shall also identify the invention(s)
and/or class(es) of inventions that the Contractor believes will be
made under the contract and for which waiver of rights is being
requested, in accordance with §&thnsp;1245.104(c)(2).
* * * * *
0
11. Section 1245.112 is amended by revising paragraph (a) to read as
follows:
§&thnsp;1245.112 Notice of proposed Board action and
reconsideration.
(a) Notice. Except as provided by §&thnsp;1245.104(d), the
Board will notify the petitioner, through the contracting officer, with
respect to petitions for advance waiver prior to contract execution,
and directly to the petitioner for all other petitions:
(1) When it proposes to recommend to the Administrator that the
petition be:
(i) Granted in an extent different from that requested; or
(ii) Denied.
(2) Of the reasons for the recommended action adverse to or
different from the waiver of rights requested by the petitioner.
* * * * *
0
12. Section 1245.116 is amended by revising paragraph (b) to read as
follows:
§&thnsp;1245.116 Miscellaneous provisions.
* * * * *
(b) Statement of Government rights. The waiver recipient shall
include, within the specification of any United States patent
application and any patent issuing thereon for a waived invention, the
following statement:
The invention described herein was made in the performance of work
under NASA Contract No. lll, and is subject to the provisions of
Section 20135 of the National Aeronautics and Space Act (51 U.S.C.
Chapter 201).
* * * * *
0
13. Section 1245.117 is amended by revising paragraph (a) to read as
follows:
§&thnsp;1245.117 March-in and waiver revocation procedures.
(a) The exercise of march-in procedures shall be in conformance
with 35 U.S.C. 203 and the applicable provisions of 37 CFR 401.6,
entitled “Exercise of march-in rights for inventions made by
nonprofit organizations and small business firms.”
* * * * *
Nanette Jennings,
Federal Register Liaison Officer.
[FR Doc. 2015–08145 Filed 4–9–15; 8:45 am]
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