0651-0060 SupStmt Feb2012

SUPPORTING STATEMENT
United States Patent and Trademark Office
National Medal of Technology and Innovation Nomination Application
OMB CONTROL NUMBER 0651-0060
(February 2012)

A.

JUSTIFICATION

1.

Necessity of Information Collection

The National Medal of Technology and Innovation 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 was first awarded in 1985. The Medal is
awarded annually to individuals, teams (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 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 National Medal of Technology and Innovation 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 National Medal of Technology and Innovation Laureates are
announced by the White House and the Department of Commerce once the Medalists
are notified of their selection.
Table 1 identifies the proposed statutory and regulatory provisions that require the
USPTO to collect this information:
Table 1: Information Requirements for the National Medal of Technology and Innovation
Nomination Application
Requirement
National Medal of Technology and Innovation Nomination
Application (includes six letters of recommendation)

Statute

Rule

15 U.S.C. § 3711

N/A

2.

Needs and Uses

The public uses the National Medal of Technology and Innovation Nomination
Application to recognize through nomination an individual’s or company’s extraordinary
leadership and innovation in technological achievement. The application must be
accompanied by six letters of recommendation or support from individuals who have
first-hand knowledge of the cited achievement(s).
The Information Quality Guidelines from Section 515 of Public Law 106-554, Treasury
and General Government Appropriations Act for Fiscal Year 2001, apply to this
information collection and this information collection and its supporting statement
comply with all applicable information quality guidelines, i.e., OMB and specific
operating unit guidelines.
This proposed collection of information will result in information that will be collected,
maintained, and used in a way consistent with all applicable Office of Management and
Budget (OMB) and USPTO Information Quality Guidelines.
Table 2 outlines how this information is used by the public and by the USPTO:
Table 2: Needs and Uses for the National Medal of Technology and Innovation Nomination
Application
Form and Function
National Medal of Technology and
Innovation Nomination Application
(includes six letters of recommendation)

3.

Form #

Needs and Uses

No PTO form
number associated

• Used by the public to recognize through nomination an
individual’s or company’s extraordinary leadership and
innovation in technological achievement.
• Used by the USPTO to assist in the administration of the
nomination process.

Use of Information Technology

Information about the program, nomination guidelines, and instructions are
electronically posted on the USPTO Web site. Interested parties can review criteria and
informational requirements at their convenience. The nomination form is a fillable Word
document, can be downloaded from the USPTO Web site, and is available for electronic
submission to the USPTO via e-mail at http://www.uspto.gov/nmti/index.html.
Alternatively, letters of recommendation may be sent by electronic mail, fax, or
overnight delivery.
4.

Efforts to Identify Duplication

This information is collected for an annual award event.
information or collection of data found elsewhere.

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It does not duplicate

5.

Minimizing the Burden to Small Entities

This collection of information does not impose a significant economic impact on small
entities. The same information is required of every individual entering a nomination and
is not available from any other source.
6.

Consequences of Less Frequent Collection

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 National Medal of Technology and Innovation
Nomination 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.
7.

Special Circumstances in the Conduct of Information Collection

There are no special circumstances associated with this collection of information.
8.

Consultation Outside the Agency

The 60-Day Notice was published in the Federal Register on December 7, 2011 (76
Fed. Reg. 76388). The public comment period ended on February 6, 2012. No public
comments were received.
The USPTO collects this information and provides administrative support to this
program. The National Medal of Technology and Innovation 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 National Medal of Technology and Innovation
Laureates are announced by the White House and the Department of Commerce once
the Medalists are notified of their selection.
9.

Payment or Gifts to Respondents

This information collection does not involve a payment or gift to any respondent.
10.

Assurance of Confidentiality

This collection contains information of a confidential (personal) nature, which is subject
to the Privacy Act. A System of Records Notice, “COMMERCE/PAT-TM-21 National
Medal of Technology and Innovation Nominations,” was published in the Federal
Register on January 28, 2008 [73 Fed. Reg. 4850].
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11.

Justification for Sensitive Questions

None of the required information is considered to be of a sensitive nature.
12.

Estimate of Hour and Cost Burden to Respondents

Table 3 calculates the anticipated 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 40 responses per year.

•

Burden Hour Calculation Factors
The USPTO estimates that it will take the public approximately 40 hours to download the
information from the USPTO Web site, prepare the nomination form, complete the
contact information for the letters of recommendation or support, and submit the
information to the USPTO via electronic mail or, alternatively, by fax or overnight
delivery.

•

Cost Burden Calculation Factors
The USPTO expects that private sector individuals of various occupations and
professions will complete this information. The hourly rate for these individuals is
estimated to be $37.50.

Table 3: Burden Hour/Burden Cost to Respondents for the National Medal of Technology and
Innovation Nomination Application
Item

Hours
(a)

National Medal of Technology and Innovation
Nomination Form
TOTAL

13.

Responses
(yr)
(b)

Burden
(hrs/yr)
(a) x (b)
(c)

40

40

1,600

- - - - -

40

1,600

Rate
($/hr)
(d)

$37.50

- - - - -

Total Cost
($/hr)
(c) x (d)
(e)
$60,000.00

$60,000.00

Total Annualized Cost Burden

Although it is possible for the public to submit the nominations through regular or
express mail, to date no submissions have been received in this manner. The majority
of recent submissions have been through electronic mail. The USPTO, therefore, is not
calculating an estimate of postage costs associated with this information collection.
14.

Annual Cost to the Federal Government

The USPTO estimates that it takes a GS-13, step 1, 6 hours to process the items in this
collection. The hourly rate for a GS-13, step 1, is currently $42.66 according to the U.S.
Office of Personnel Management’s (OPM’s) wage chart, including locality pay for the
Washington, DC area. When 30% is added to account for a fully loaded hourly rate

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(benefits and overhead), the rate per hour for a GS-13, step 1, is $55.46 ($42.66 +
$12.80).
Table 4 calculates the processing hours and costs of this information collection to the
Federal Government:
Table 4: Burden Hour/Burden Cost to the Federal Government for the National Medal of
Technology and Innovation Nomination Application
Item

Hours
(a)

National Medal of Technology and Innovation
Nomination Form
TOTAL

15.

Responses
(yr)
(b)

Burden
(hrs/yr)
(a) x (b)
(c)

Rate
($/hr)
(d)

Total Cost
($/hr)
(c) x (d)
(e)

6.0

40

240

$55.46

$13,310.00

- - - -

40

240

- - - -

$13,310.00

Reason for Change in Burden

Summary of Changes Since the Previous Renewal
OMB previously approved the renewal of this collection in July of 2009 with a total of 40
responses and 1,600 burden hours. For this renewal, the USPTO estimates that the
responses and burden hours will remain the same
There is no annual (non-hour) cost burden associated with this information collection.
Change in Respondent Cost Burden
There is a change in the respondent cost burden due to an increase in the estimated
rate for the private sector respondents, from $34.68 to the present $37.50. This has
increased the total respondent cost from $55,488 in the previous renewal to $60,000 for
this renewal.
16.

Project Schedule

There is no plan to publish this information for statistical use. No special publication of
the items discussed in this justification statement is planned. The National Medal of
Technology and Innovation Laureates are announced by the White House and the
Department of Commerce once the Medalists are notified of their selection.
17.

Display of Expiration Date of OMB Approval

The form in this information collection will display the OMB Control Number and
expiration date.

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18.

Exception to the Certificate Statement

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.

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