0651-0060 Supporting Statement 2024 final

SUPPORTING STATEMENT

United States Patent and Trademark Office

National Medal of Technology and Innovation Nomination Application

OMB CONTROL NUMBER 0651-0060

2024

A. JUSTIFICATION

1. Explain the circumstances that make the collection of information necessary. Identify any legal or administrative requirements that necessitate the collection. Attach a copy of the appropriate section of each statute and regulation mandating or authorizing the collection of information.

The National Medal of Technology and Innovation (NMTI) is the highest honor awarded by the President of the United States to America’s leading innovators. Established by an Act of Congress in 1980, the Medal of Technology and Innovation was first awarded in 1985.¹ The Medal is awarded annually to individuals, teams (of up to four individuals), and companies or divisions of companies for their outstanding contributions to the Nation’s economic, environmental, and social well-being through the development and commercialization of technology products, processes and concepts, technological innovation, and development of the Nation’s technological manpower.

The purpose of the National Medal of Technology and Innovation is to recognize those who have made lasting contributions to America’s competitiveness, standard of living, and quality of life through technological innovation, and to recognize those who have made substantial contributions to strengthening the nation’s technological workforce. By highlighting the national importance of technological innovation, the Medal also seeks to inspire future generations of Americans to prepare for and pursue technical careers to keep America at the forefront of global technology and economic leadership.

The NMTI Nomination Evaluation Committee, a distinguished independent committee appointed by the Secretary of Commerce, reviews and evaluates the merit of all candidates nominated through an open, competitive solicitation process. The committee makes its recommendations for Medal candidates to the Secretary of Commerce who, in turn, makes recommendations to the President for final selection. The NMTI Laureates are announced by the White House and the Department of Commerce once the Medalists are notified of their selection.

Table 1 provides the specific statutes and regulations authorizing the USPTO to collect the information discussed above:

Table 1: Information Requirements

Item No.	Requirement	Statute	Regulation
1	NMTI Nomination Application	15 U.S.C. § 3711	N/A

2. Indicate how, by whom, and for what purpose the information is to be used. Except for a new collection, indicate the actual use the agency has made of the information received from the current collection.

The public uses the NMTI application to recognize, through nomination of, an individual’s, team’s or company’s extraordinary leadership and innovation in technology achievement. The application must be accompanied by a maximum of six letters of recommendation or support from individuals who have first-hand knowledge of the cited achievement(s).

The information collected, maintained, and used in this information collection is based on OMB and USPTO guidelines. This includes the basic information quality standards established in the Paperwork Reduction Act (44 U.S.C. Chapter 35), in OMB Circular A-130, and in the USPTO information quality guidelines.

Table 2 outlines how this collection of information is used by the public and the USPTO.

Table 2: Needs and Uses

IC No.	Form/ Function	Form No.	Needs and Uses
1	NMTI Nomination Application	15 U.S.C. § 3711	Used by the public to nominate and apply for the Medal. Used by the USPTO to review and evaluate candidates to the NMTI.

3. Describe whether, and to what extent, the collection of information involves the use of automated, electronic, mechanical, or other technological collection techniques or other forms of information technology, e.g., permitting electronic submission of responses, and the basis for the decision for adopting this means of collection. Also describe any consideration of using information technology to reduce burden.

Information about this program, nomination guidelines, and instructions are electronically posted on the USPTO website. Interested parties can review criteria and nomination requirements at their convenience. The nomination form is a fillable web form, accessible via the USPTO website.² The letters of recommendations are solicited by the nominator via the web form, and uploaded as PDF file to the form by the letter writer.

4. Describe efforts to identify duplication. Show specifically why any similar information already available cannot be used or modified for use for the purposes described in Item 2 above.

This information is collected for an annual award event. It does not duplicate information or collect data found elsewhere.

5. If the collection of information impacts small businesses or other small entities, describe any methods used to minimize burden.

This information collection does not impose a significant economic impact on small entities. The information being collected in this collection is required of every individual entering a nomination and is not available from any other source.

6. Describe the consequence to Federal program or policy activities if the collection is not conducted or is conducted less frequently, as well as any technical or legal obstacles to reducing burden.

This information is collected annually and only as required to enter a nomination for that year’s National Medal of Technology and Innovation. It is not collected elsewhere. Therefore, this collection of information could not be conducted less frequently. If this information were not collected, the NTMI Evaluation Committee, a distinguished, independent committee appointed by the Secretary of Commerce, would not be able to review and evaluate the merit of all candidates and the President would not be able to bestow the honor upon the recipients of the Medal.

7. Explain any special circumstances that would cause an information collection to be conducted in a manner:

 requiring respondents to report information to the agency more often than quarterly;

 requiring respondents to prepare a written response to a collection of information in fewer than 30 days after receipt of it;

 requiring respondents to submit more than an original and two copies of any document;

 requiring respondents to retain records, other than health, medical, government contract, grant-in-aid, or tax records, for more than three years;

 in connection with a statistical survey, that is not designed to produce valid and reliable results that can be generalized to the universe of study;

 requiring the use of a statistical data classification that has not been reviewed and approved by OMB;  that includes a pledge of confidentiality that is not supported by authority established in statute or regulation, that is not supported by disclosure and data security policies that are consistent with the pledge, or which unnecessarily impedes sharing of data with other agencies for compatible confidential use; or

 requiring respondents to submit proprietary trade secrets, or other confidential information unless the agency can demonstrate that it has instituted procedures to protect the information's confidentiality to the extent permitted by law.

There are no special circumstances associated with this collection of information.

8. If applicable, provide a copy and identify the date and page number of publication in the Federal Register of the agency's notice, required by 5 CFR 1320.8(d), soliciting comments on the information collection prior to submission to OMB. Summarize public comments received in response to that notice and describe actions taken by the agency in response to these comments. Specifically address comments received on cost and hour burden. Describe efforts to consult with persons outside the agency to obtain their views on the availability of data, frequency of collection, the clarity of instructions and recordkeeping, disclosure, or reporting format (if any), and on the data elements to be recorded, disclosed, or reported. Consultation with representatives of those from whom information is to be obtained or those who must compile records should occur at least once every 3 years - even if the collection of information activity is the same as in prior periods. There may be circumstances that may preclude consultation in a specific situation. These circumstances should be explained.

The 60-Day Notice was published in the Federal Register on February 28, 2024.³ The comment period ended on April 29, 2024. No comments were received.

9. Explain any decision to provide any payment or gift to respondents, other than remuneration of contractors or grantees.

Awardees of the Medal receive a trip to the ceremony in Washington, DC and a plaque/medal. There is no additional payment.

10. Describe any assurance of confidentiality provided to respondents and the basis for the assurance in statute, regulation, or agency policy. If the collection requires a systems of records notice (SORN) or privacy impact assessment (PIA), those should be cited and described here.

The information in this system of records is used by the Nomination Evaluation Committee to determine the eligibility and merit of nominees during the annual selection of the recipients of the NMTI.

This collection contains information which is subject to the Privacy Act. A Privacy Act Statement is included on this form. The following SORN provides privacy disclosures and information about USPTO’s handling of personally identifiable information (PII) that is part of this collection: COMMERCE/PAT-TM-21 National Medal of Technology and Innovation Nominations; published January 28, 2008 (73 FR 4850).⁴

The information in this system of records is used to manage records such as name, e-mail address, and other information pertaining to the applicant’s activities, and statements about the contributions of the individual(s) and/or group(s). The information provided is protected from disclosure to third parties in accordance with the Privacy Act. However, routine uses of this information may include disclosure to the following: to law enforcement and investigation in the event that the system of records indicates a violation or potential violation of law; to a federal, state, local, or international agency, in response to its request; to an agency, organization, or individual for the purpose of performing audit or oversight operations as authorized by law; to non-federal personnel under contract to the agency; to a court for adjudication and litigation; to the Department of Justice for Freedom of Information Act (FOIA) assistance; to members of congress working on behalf of an individual; to the Office of Personnel Management (OPM) for personnel research purposes; to National Archives and Records Administration for inspection of records.

11. Provide additional justification for any questions of a sensitive nature, such as sexual behavior and attitudes, religious beliefs, and other matters that are commonly considered private. This justification should include the reasons why the agency considers the questions necessary, the specific uses to be made of the information, the explanation to be given to persons from whom the information is requested, and any steps to be taken to obtain their consent.

None of the required information in this collection is considered to be sensitive.

12. Provide estimates of the hour burden of the collection of information. The statement should:

• Indicate the number of respondents, frequency of response, annual hour burden, and an explanation of how the burden was estimated. Unless directed to do so, agencies should not conduct special surveys to obtain information on which to base hour burden estimates. Consultation with a sample (fewer than 10) of potential respondents is desirable. If the hour burden on respondents is expected to vary widely because of differences in activity, size, or complexity, show the range of estimated hour burden, and explain the reasons for the variance. Generally, estimates should not include burden hours for customary and usual business practices.

• If this request for approval covers more than one form, provide separate hour burden estimates for each form and aggregate the hour burdens.

• Provide estimates of annualized cost to respondents for the hour burdens for collections of information, identifying and using appropriate wage rate categories. The cost of contracting out or paying outside parties for information collection activities should not be included here. Instead, this cost should be included under ‘Annual Cost to Federal Government’.

• Provide an estimate for the total annual cost burden to respondents or record keepers resulting from the collection of information.

Table 3 calculates the burden hours and costs of this information collection to the public, based on the following factors:

• Respondent Calculation Factors

The USPTO estimates that it will receive approximately 50 responses per year from 50 respondents for this information collection.

The USPTO estimates that approximately 100% of the annual responses for this collection will be submitted electronically through the USPTO website via the online portal on www.uspto.gov/nmti.

• Burden Hour Calculation Factors

The USPTO estimates that it takes the public approximately 40 hours to gather the necessary information, prepare the nomination application, write the recommendations, and submit the request for the nomination to the USPTO. Using these burden factors, the USPTO estimates that the total respondent hourly burden for this information collection is 2,000 hours.

• Cost Burden Calculation Factors

The USPTO expects that professions, public relations specialists, civil engineers, and computer and information research scientists will complete this information collection. The respective professional hourly rates for these occupations, based on the May 2023 Occupational Employment and Wage Statistics released by the Bureau of Labor Statistics, are: $57.24 for professors (physical scientists) (OES 19-2099)⁵, $48.64 for civil engineers (OES 17-2051)⁶, and $75.56 for computer and information research scientists (OES 15-1221)⁷. Therefore, the combined average hourly rate of these wages is $60.48.

Using these hourly rates, the USPTO estimates that the total respondent cost burden for this information collection is $120,960 per year.

Table 3: Total Burden Hours and Hourly Costs to Private Sector Respondents

Item No.	Item	Estimated Annual Respondents (a)	Responses per Respondent (b)	Estimated Annual Responses (a) x (b) = (c)	Estimated Time For Response (hours) (d)	Estimated Burden (hour/year) (c) x (d) = (e)	Rate ($/hour) (f)	Estimated Annual Respondent Cost Burden (e) x (f) = (g)
1	NMTI Nomination Application	50	1	50	40	2,000	$60.48	$120,960
	Totals	50	- - -	50	- - -	2,000	- - -	$120,960

13. Provide an estimate for the total annual cost burden to respondents or record keepers resulting from the collection of information. (Do not include the cost of any hour burden already reflected on the burden worksheet).

• The cost estimate should be split into two components: (a) a total capital and start-up cost component (annualized over its expected useful life) and (b) a total operation and maintenance and purchase of services component. The estimates should take into account costs associated with generating, maintaining, and disclosing or providing the information. Include descriptions of methods used to estimate major cost factors including system and technology acquisition, expected useful life of capital equipment, the discount rate(s), and the time period over which costs will be incurred. Capital and start-up costs include, among other items, preparations for collecting information such as purchasing computers and software; monitoring, sampling, drilling and testing equipment; and record storage facilities.

• If cost estimates are expected to vary widely, agencies should present ranges of cost burdens and explain the reasons for the variance. The cost of purchasing or contracting out information collections services should be a part of this cost burden estimate. In developing cost burden estimates, agencies may consult with a sample of respondents (fewer than 10), utilize the 60-day pre-OMB submission public comment process and use existing economic or regulatory impact analysis associated with the rulemaking containing the information collection, as appropriate.

There are no filing fees, capital start-up, maintenance costs, or operational costs associated with this collection of information. Since the USPTO expects that 100% of the responses will be submitted electronically, there are no postage costs associated with the collection of this information.

14. Provide estimates of annualized costs to the federal government. Also, provide a description of the method used to estimate cost, which should include quantification of hours, operational expenses (such as equipment, overhead, printing, and support staff), and any other expense that would not have been incurred without this collection of information. Agencies may also aggregate cost estimates from Items 12, 13, and 14 in a single table.

The USPTO employs a GS-13 employee to process submissions for this information collection.

The USPTO estimates that the average cost of a GS-13, step 10 is $95.52 per hour (GS hourly rate of $73.48 with 30% ($22.04) added for benefits and overhead).

The USPTO estimates that it takes an employee 6 hours to process the items in this information collection.

Table 5 calculates the burden hours and costs to the federal government for processing this information collection:

Table 5: Burden Hour/Cost to the Federal Government

Item Number	Item	Estimated Annual Responses (a)	Estimated Burden Hours (b)	Estimated Hourly Burden (a) x (b) = (c)	Rate8 ($/hr) (d)	Total Federal Government Cost (c) x (d) = (e)
1	NMTI Nomination Application	50	6	300	$95.52	$28,656
	Totals	50	- - -	300	- - -	$28,656

15. Explain the reasons for any program changes or adjustments reported on the burden worksheet.

Table 6: ICR Summary of Burden

	Requested	Program Change Due to New Statute	Program Change Due to Agency Discretion	Change Due to Adjustment in Agency Estimate	Change Due to Potential Violation of the PRA	Previously Approved
Annual Number of Responses	50	0	0	0	0	50
Annual Time Burden (Hr)	2,000	0	0	0	0	2,000
Annual Cost Burden ($)	0	0	0	0	0	0

Changes Since the Publication of the 60-Day Notice

Since the publication of the 60-Day Notice in the Federal Register, the USPTO has updated its wage rates to reflect more accurate estimates. This results in an increase of $2,540 in hourly burden, for a new estimated total annual respondent cost burden of $120,960.

Change in Respondents and Hourly Burden due to Adjustment in Agency Estimate

There are no changes in estimated responses or non-hour burden for the renewal of this information collection.

15. For collections of information whose results will be published, outline plans for tabulation and publication. Address any complex analytical techniques that will be used. Provide the time schedule for the entire project, including beginning and ending dates of the collection of information, completion of report, publication dates, and other actions.

The USPTO does not plan to publish this information for statistical use. No special publication of the items discussed in this statement is planned. The National Medal of Technology and Innovation Laureates are announced by the White House and the Department of Commerce once the Medalist are notified of their selection.

15. If seeking approval to not display the expiration date for OMB approval of the information collection, explain the reasons that display would be inappropriate.

The forms in this information collection will display the OMB Control Number and the expiration date of OMB approval.

15. Explain each exception to the topics of the certification statement identified in “Certification for Paperwork Reduction Act Submissions.”

This collection of information does not include any exceptions to the certificate statement.

B. COLLECTIONS OF INFORMATION EMPLOYING STATISTICAL METHODS

This collection of information does not employ statistical methods.

1 https://www.govinfo.gov/content/pkg/COMPS-9476/pdf/COMPS-9476.pdf.

2 https://www.uspto.gov/learning-and-resources/ip-programs-and-awards/national-medal-technology-and-innovation-nmti.

3 https://www.govinfo.gov/content/pkg/FR-2024-02-28/pdf/2024-04118.pdf.

4 https://www.uspto.gov/sites/default/files/sorn/uspto-pasorn-21.pdf.

5 https://www.bls.gov/oes/current/oes192099.htm.

6 https://www.bls.gov/oes/current/oes172051.htm.

7 https://www.bls.gov/oes/current/oes151221.htm.

8 https://www.opm.gov/policy-data-oversight/pay-leave/salaries-wages/salary-tables/24Tables/html/DCB_h.aspx.

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