§ 3701. — Findings.
[Laws in effect as of January 24, 2002]
[Document not affected by Public Laws enacted between
January 24, 2002 and December 19, 2002]
[CITE: 15USC3701]
TITLE 15--COMMERCE AND TRADE
CHAPTER 63--TECHNOLOGY INNOVATION
Sec. 3701. Findings
The Congress finds and declares that:
(1) Technology and industrial innovation are central to the
economic, environmental, and social well-being of citizens of the
United States.
(2) Technology and industrial innovation offer and improved
standard of living, increased public and private sector
productivity, creation of new industries and employment
opportunities, improved public services and enhanced competitiveness
of United States products in world markets.
(3) Many new discoveries and advances in science occur in
universities and Federal laboratories, while the application of this
new knowledge to commercial and useful public purposes depends
largely upon actions by business and labor. Cooperation among
academia, Federal laboratories, labor, and industry, in such forms
as technology transfer, personnel exchange, joint research projects,
and others, should be renewed, expanded, and strengthened.
(4) Small businesses have performed an important role in
advancing industrial and technological innovation.
(5) Industrial and technological innovation in the United States
may be lagging when compared to historical patterns and other
industrialized nations.
(6) Increased industrial and technological innovation would
reduce trade deficits, stabilize the dollar, increase productivity
gains, increase employment, and stabilize prices.
(7) Government antitrust, economic, trade, patent, procurement,
regulatory, research and development, and tax policies have
significant impacts upon industrial innovation and development of
technology, but there is insufficient knowledge of their effects in
particular sectors of the economy.
(8) No comprehensive national policy exists to enhance
technological innovation for commercial and public purposes. There
is a need for such a policy, including a strong national policy
supporting domestic technology transfer and utilization of the
science and technology resources of the Federal Government.
(9) It is in the national interest to promote the adaptation of
technological innovations to State and local government uses.
Technological innovations can improve services, reduce their costs,
and increase productivity in State and local governments.
(10) The Federal laboratories and other performers of federally
funded research and development frequently provide scientific and
technological developments of potential use to State and local
governments and private industry. These developments, which include
inventions, computer software, and training technologies, should be
made accessible to those governments and industry. There is a need
to provide means of access and to give adequate personnel and
funding support to these means.
(11) The Nation should give fuller recognition to individuals
and companies which have made outstanding contributions to the
promotion of technology or technological manpower for the
improvement of the economic, environmental, or social well-being of
the United States.
(Pub. L. 96-480, Sec. 2, Oct. 21, 1980, 94 Stat. 2311; Pub. L. 99-502,
Sec. 9(f)(1), Oct. 20, 1986, 100 Stat. 1797.)
Amendments
1986--Par. (10). Pub. L. 99-502 inserted ``, which include
inventions, computer software, and training technologies,''.
Short Title of 2000 Amendment
Pub. L. 106-404, Sec. 1, Nov. 1, 2000, 114 Stat. 1742, provided
that: ``This Act [enacting section 7261c of Title 42, The Public Health
and Welfare, amending sections 3703, 3704, 3707, 3710, 3710a, 3710c,
3714, and 3715 of this title and sections 200, 202, 207, and 209 of
Title 35, Patents, and enacting provisions set out as notes under this
section and section 3710a of this title] may be cited as the `Technology
Transfer Commercialization Act of 2000'.''
Short Title of 1996 Amendment
Pub. L. 104-113, Sec. 1, Mar. 7, 1996, 110 Stat. 775, provided that:
``This Act [amending sections 272, 278, 278e, 278g-2, 3710, 3710a,
3710c, 3710d, 5401, 5402, 5404 to 5406, 5408, 5409, and 5412 of this
title and section 210 of Title 35, Patents, repealing sections 5403 and
5413 of this title, and enacting provisions set out as notes under this
section and sections 272 and 275 of this title] may be cited as the
`National Technology Transfer and Advancement Act of 1995'.''
Short Title of 1992 Amendment
Pub. L. 102-245, Sec. 1, Feb. 14, 1992, 106 Stat. 7, provided that:
``This Act [enacting sections 1536, 3704b-1, 3704b-2, 3716, and 3717 of
this title and section 6618 of Title 42, The Public Health and Welfare,
amending sections 272, 278d, 278g, 278g-1, 278k, 278n, 1453, 1454, 3703,
3704, 3704b, 3710, 3710a, 3711a, 4603, 4603a, and 4632 of this title and
section 6683 of Title 42, enacting provisions set out as notes under
this section, sections 271, 278f, 278n, and 1453 of this title, and
section 6611 of Title 42, and amending provisions set out as a note
under section 278l of this title] may be cited as the `American
Technology Preeminence Act of 1991'.''
Pub. L. 102-245, title I, Sec. 101, Feb. 14, 1992, 106 Stat. 7,
provided that: ``This title [enacting sections 1536, 3704b-1, and 3704b-
2 of this title, amending sections 278d, 278g, 278g-1, 278k, 1453, 1454,
4603, 4603a, and 4632 of this title, enacting provisions set out as
notes under this section and sections 278f and 1453 of this title, and
amending provisions set out as a note under section 278l of this title]
may be cited as the `Technology Administration Authorization Act of
1991'.''
Short Title of 1989 Amendment
Pub. L. 101-189, div. C, title XXXI, Sec. 3131, Nov. 29, 1989, 103
Stat. 1674, provided that: ``This part [part C (Secs. 3131-3133) of
title XXXI of div. C of Pub. L. 101-189, amending sections 3710, 3710a,
and 3710c of this title and enacting provisions set out as notes under
this section and section 3710a of this title] may be cited as the
`National Competitiveness Technology Transfer Act of 1989'.''
Short Title of 1988 Amendment
Pub. L. 100-519, title II, Sec. 211, Oct. 24, 1988, 102 Stat. 2594,
provided that: ``This subtitle [subtitle B (Secs. 211, 212) of title II
of Pub. L. 100-519, enacting section 3704b of this title and amending
section 3710 of this title] may be cited as the `National Technical
Information Act of 1988'.''
Short Title of 1987 Amendment
Pub. L. 100-107, Sec. 1, Aug. 20, 1987, 101 Stat. 724, provided
that: ``This Act [enacting section 3711a of this title, amending section
3708 of this title, and enacting provisions set out as a note under
section 3711a of this title] may be cited as the `Malcolm Baldrige
National Quality Improvement Act of 1987'.''
Short Title of 1986 Amendments
Section 1 of Pub. L. 99-502 provided that: ``This Act [enacting
sections 3710a to 3710d of this title, amending this section, sections
3702 to 3705, 3707, 3708, 3710 to 3710d, and 3711 to 3714 of this title,
and section 210 of Title 35, Patents, and repealing section 3709 of this
title] may be cited as the `Federal Technology Transfer Act of 1986'. ''
Pub. L. 99-382, Sec. 1, Aug. 14, 1986, 100 Stat. 811, provided:
``That this Act [amending section 3704 of this title] may be cited as
the `Japanese Technical Literature Act of 1986'.''
Short Title
Section 1 of Pub. L. 96-480 provided: ``That this Act [enacting this
chapter] may be cited as the `Stevenson-Wydler Technology Innovation Act
of 1980'.''
Congressional Findings; 2000 Amendment
Pub. L. 106-404, Sec. 2, Nov. 1, 2000, 114 Stat. 1742, provided
that: ``The Congress finds that--
``(1) the importance of linking our unparalleled network of over
700 Federal laboratories and our Nation's universities with United
States industry continues to hold great promise for our future
economic prosperity;
``(2) the enactment of the Bayh-Dole Act [35 U.S.C. 200 et seq.]
in 1980 was a landmark change in United States technology policy,
and its success provides a framework for removing bureaucratic
barriers and for simplifying the granting of licenses for inventions
that are now in the Federal Government's patent portfolio;
``(3) Congress has demonstrated a commitment over the past 2
decades to fostering technology transfer from our Federal
laboratories and to promoting public/private sector partnerships to
enhance our international competitiveness;
``(4) Federal technology transfer activities have strengthened
the ability of United States industry to compete in the global
marketplace; developed a new paradigm for greater collaboration
among the scientific enterprises that conduct our Nation's research
and development--government, industry, and universities; and
improved the quality of life for the American people, from medicine
to materials;
``(5) the technology transfer process must be made `industry
friendly' for companies to be willing to invest the significant time
and resources needed to develop new products, processes, and jobs
using federally funded inventions; and
``(6) Federal technology licensing procedures should balance the
public policy needs of adequately protecting the rights of the
public, encouraging companies to develop existing government
inventions, and making the entire system of licensing government
technologies more consistent and simple.''
Congressional Findings; 1996 Amendment
Pub. L. 104-113, Sec. 2, Mar. 7, 1996, 110 Stat. 775, provided that:
``The Congress finds the following:
``(1) Bringing technology and industrial innovation to the
marketplace is central to the economic, environmental, and social
well-being of the people of the United States.
``(2) The Federal Government can help United States business to
speed the development of new products and processes by entering into
cooperative research and development agreements which make available
the assistance of Federal laboratories to the private sector, but
the commercialization of technology and industrial innovation in the
United States depends upon actions by business.
``(3) The commercialization of technology and industrial
innovation in the United States will be enhanced if companies, in
return for reasonable compensation to the Federal Government, can
more easily obtain exclusive licenses to inventions which develop as
a result of cooperative research with scientists employed by Federal
laboratories.''
Definitions of Terms; 1992 Amendment
Pub. L. 102-245, Sec. 2, Feb. 14, 1992, 106 Stat. 7, provided that:
``As used in this Act [see Short Title of 1992 Amendment note above]--
``(1) the term `high-resolution information systems' means
equipment and techniques required to create, store, recover, and
play back high-resolution images and accompanying sound;
``(2) the term `advanced manufacturing technology' means
numerically-controlled machine tools, robots, automated process
control equipment, computerized flexible manufacturing systems,
associated computer software, and other technology for improving
manufacturing and industrial processes;
``(3) the term `advanced materials' means a field of research
including the study of composites, ceramics, metals, polymers,
superconducting materials, materials produced through biotechnology,
and materials production technologies, including coated systems,
that provide the potential for significant advantages over existing
materials;
``(4) the term `Institute' means the National Institute of
Standards and Technology;
``(5) the term `Secretary' means the Secretary of Commerce; and
``(6) the term `Under Secretary' means the Under Secretary of
Commerce for Technology.''
Congressional Statement of Policy; 1992 Amendment
Pub. L. 102-245, title I, Sec. 102, Feb. 14, 1992, 106 Stat. 7,
provided that: ``Congress finds that in order to help United States
industries to speed the development of new products and processes so as
to maintain the economic competitiveness of the Nation, it is necessary
to strengthen the programs and activities of the Department of
Commerce's Technology Administration and National Institute of Standards
and Technology.''
National Commission on Reducing Capital Costs for Emerging Technology
Pub. L. 102-245, title IV, Sec. 401, Feb. 14, 1992, 106 Stat. 21,
provided that:
``(a) Establishment and Purpose.--There is established a National
Commission on Reducing Capital Costs for Emerging Technology (hereafter
in this section referred to as the `Commission'), for the purpose of
developing recommendations to increase the competitiveness of United
States industry by encouraging investments in research, the development
of new process and product technologies, and the production of those
technologies.
``(b) Issues.--The function of the Commission shall be to address
the following issues:
``(1) How has the overall cost of capital paid by United States
companies differed during the past decade from that paid by
companies in other industrial economies such as Germany, Japan, and
the United Kingdom?
``(2) To what extent has the cost of capital faced by technology
companies differed from the overall cost of capital in each of these
nations during the same period?
``(3) To what extent do high capital costs in general inhibit
investment in projects with long-term payoffs, such as the
development and commercialization of new technology?
``(4) To what extent does the structure of the financial
services industry in the United States affect the flow of capital to
advanced technology investment, and to what extent do current
practices in the equity markets raise the cost of capital and
inhibit the availability of capital to fund research and
development, purchase advanced manufacturing equipment, and fund
other investments necessary to commercialize advanced technology?
``(5) In what ways do Government regulations influence the cost
of capital in the United States?
``(6) To what extent have national differences in capital costs
facilitated the foreign acquisition of technology-based United
States companies?
``(7) What macroeconomic and other policies would promote
greater investment in advanced manufacturing techniques, in research
and development, and in other activities necessary to commercialize
and produce new technologies?
``(8) What specific policies should the Federal Government
follow in order to reduce the cost of capital for United States
companies to levels that are near parity with those faced by the
Nation's principal trading partners?
``(c) Membership.--(1) The Commission shall be composed of 9 members
who are eminent in such fields as advanced technology, manufacturing,
finance, and international economics and who are appointed as follows:
``(A) 3 individuals appointed by the President, one of whom
shall chair the Commission.
``(B) 3 individuals appointed by the Speaker of the House of
Representatives, 1 of whom shall be appointed upon the
recommendation of the minority leader of the House of
Representatives.
``(C) 3 individuals appointed by the President pro tempore of
the Senate, 2 of whom shall be appointed upon the recommendation of
the majority leader of the Senate and 1 of whom shall be appointed
upon the recommendation of the minority leader of the Senate.
``(2) Each member shall be appointed for the life of the Commission.
A vacancy in the Commission shall be filled in the manner in which the
original appointment was made.
``(d) Procedures.--(1) The chairman shall call the first meeting of
the Commission within 90 days after the date of enactment of this Act
[Feb. 14, 1992].
``(2) Recommendations of the Commission shall require the approval
of three-quarters of the members of the Commission.
``(3) The Commission may use such personnel detailed from Federal
agencies as may be necessary to enable it to carry out its duties.
``(4) Members of the Commission, other than full-time employees of
the Federal Government, while attending meetings of the Commission while
away from their homes or regular places of business, shall be allowed
travel expenses in accordance with subchapter I of chapter 57 of title
5, United States Code.
``(e) Reports.--The Commission shall, within 1 year after the date
of enactment of this Act [Feb. 14, 1992], submit to the President and
Congress a report containing legislative and other recommendations with
respect to the issues addressed under subsection (b).
``(f) Consultation.--The Commission shall consult, as appropriate,
with the Commission on Technology and Procurement established by section
505 of this Act [set out below].
``(g) Termination.--The Commission shall terminate 6 months after
the submission of its report under subsection (e).
``(h) Authorization of Appropriations.--There are authorized to be
appropriated to carry out this section such sums as may be necessary for
the fiscal years 1992 and 1993.''
Research, Development, Technology Utilization, and Government
Procurement Policy
Pub. L. 102-245, title V, Sec. 505, Feb. 14, 1992, 106 Stat. 25,
provided that:
``(a) Establishment of Commission.--The Secretary, in consultation
with the Administrator of the Office of Federal Procurement Policy,
shall establish a Commission on Technology and Procurement (hereafter in
this section referred to as the `Commission'), for the purposes of
analyzing the effect of Federal Government procurement laws, procedures,
and policies on the development of advanced technologies within the
United States and making recommendations on how Federal policy could be
changed to promote further the development of advanced technologies.
``(b) Issues.--The Commission shall address the following issues:
``(1) To what extent, if any, should Federal Government
technology purchase strategies be used to give domestic suppliers a
competitive advantage in new generations of existing technologies
and in initial market penetration for new technologies?
``(2) Under what conditions can Federal Government purchases of
advanced technology-based products be based on performance
specifications rather than on product specifications? Should Federal
Government procurement first look to the commercial markets for
products that will meet performance specifications before purchasing
a unique product that has to be developed?
``(3) How can the Federal Government procurement laws,
practices, and procedures be used as a strategic tool to foster the
use of emerging technologies?
``(4) How can the Federal Government ensure that its suppliers
adopt the principles embodied in the Malcolm Baldrige National
Quality Award?
``(5) Should Federal Government procurement practices include
cooperative efforts between the supplier and the Federal entity to
develop products so as to be more easily marketed on a commercial
basis? Should a program for the exchange of technical personnel to
foster innovation in product development be part of such practices?
``(6) To what extent, if any, should Federal Government
documents specify standards that are beneficial to domestic
suppliers, aid the compatibility of advanced technologies, and speed
the commercial acceptance of those technologies, and what would be
the role of the Institute in such an effort?
``(7) Should Federal Government procurement be linked to the
Advanced Technology Program and to technology transfer activities so
that specification development can incorporate the latest technical
advances available?
``(8) To what extent should worldwide, state of the art
technology be required in Federal Government procurement?
``(c) Membership and Procedures.--(1) The Commission shall be
composed of 15 members, 8 of whom shall constitute a quorum.
``(2) The Secretary, the Administrator of the Office of Federal
Procurement Policy, the Director of the Office of Science and Technology
Policy, the Secretary of Defense, and the Administrator of General
Services, or their designees who serve in executive level positions,
shall serve as members of the Commission.
``(3) The Secretary shall appoint as members of the Commission, from
among individuals not employed by the Federal Government--
``(A) 4 members who are eminent in advanced technology
businesses representing manufacturing and services industries,
including at least 1 member representing labor;
``(B) 3 members who are eminent in the fields of technology and
international economic development; and
``(C) with the concurrence of the Administrator of the Office of
Federal Procurement Policy, 3 members who are eminent in the field
of Federal Government procurement.
``(4) The Secretary shall appoint a Commission chairman from among
the members of the Commission. The chairman shall call the first meeting
of the Commission within 90 days after the date of enactment of this Act
[Feb. 14, 1992].
``(5) The Secretary and the Administrator of the Office of Federal
Procurement Policy shall provide such staff as may be required by the
Commission to carry out its responsibilities.
``(6) Members of the Commission, other than full-time employees of
the Federal Government, while attending meetings of the Commission or
otherwise performing duties of the Commission while away from their
homes or regular places of business, shall be allowed travel expenses in
accordance with subchapter I of chapter 57 of title 5, United States
Code.
``(d) Reports.--(1) The Commission shall, within 1 year after the
date of enactment of this Act [Feb. 14, 1992], submit to the Secretary,
the Administrator of the Office of Federal Procurement Policy, the
President, and Congress a report containing preliminary recommendations
with respect to the issues addressed under subsection (b).
``(2) The Commission shall, within 2 years after the date of
enactment of this Act, submit to the Secretary and Congress a final
report containing final recommendations with respect to the issues
addressed under subsection (b).
``(e) Consultation.--The Commission shall consult, as appropriate,
with the National Commission on Reducing Capital Costs for Emerging
Technology.
``(f) Termination.--The Commission shall terminate 6 months after
the submission of its final report under subsection (d)(2).
``(g) Authorization of Appropriations.--There are authorized to be
appropriated to carry out this section such sums as may be necessary for
the fiscal years 1992, 1993, and 1994.''
Study of Testing and Certification
Pub. L. 102-245, title V, Sec. 508, Feb. 14, 1992, 106 Stat. 29,
provided that:
``(a) Contract With National Research Council.--Within 90 days after
the date of enactment of this Act [Feb. 14, 1992] and within available
appropriations, the Secretary shall enter into a contract with the
National Research Council for a thorough review of international product
testing and certification issues. The National Research Council will be
asked to address the following issues and make recommendations as
appropriate:
``(1) The impact on United States manufacturers, testing and
certification laboratories, certification organizations, and other
affected bodies of the European Community's plans for testing and
certification of regulated and nonregulated products of non-European
origin.
``(2) Ways for United States manufacturers to gain acceptance of
their products in the European Community and in other foreign
countries and regions.
``(3) The feasibility and consequences of having mutual
recognition agreements between testing and certification
organizations in the United States and those of major trading
partners on the accreditation of testing and certification
laboratories and on quality control requirements.
``(4) Information coordination regarding product acceptance and
conformity assessment mechanisms between the United States and
foreign governments.
``(5) The appropriate Federal, State, and private roles in
coordination and oversight of testing, certification, accreditation,
and quality control to support national and international trade.
``(b) Membership.--In selecting the members of the review panel, the
National Research Council shall consult with and draw from, among
others, laboratory accreditation organizations, Federal and State
government agencies involved in testing and certification, professional
societies, trade associations, small business, and labor organizations.
``(c) Report.--A report based on the findings and recommendations of
the review panel shall be submitted to the Secretary, the President, and
Congress within 18 months after the Secretary signs the contract with
the National Research Council.''
Congressional Findings and Purposes; 1989 Amendment
Pub. L. 101-189, div. C, title XXXI, Sec. 3132, Nov. 29, 1989, 103
Stat. 1674, provided that:
``(a) Findings.--Congress finds that--
``(1) technology advancement is a key component in the growth of
the United States industrial economy, and a strong industrial base
is an essential element of the security of this country;
``(2) there is a need to enhance United States competitiveness
in both domestic and international markets;
``(3) innovation and the rapid application of commercially
valuable technology are assuming a more significant role in near-
term marketplace success;
``(4) the Federal laboratories and other facilities have
outstanding capabilities in a variety of advanced technologies and
skilled scientists, engineers, and technicians who could contribute
substantially to the posture of United States industry in
international competition;
``(5) improved opportunities for cooperative research and
development agreements between contractor-managers of certain
Federal laboratories and the private sector in the United States,
consistent with the program missions at those facilities,
particularly the national security functions involved in atomic
energy defense activities, would contribute to our national well-
being; and
``(6) more effective cooperation between those laboratories and
the private sector in the United States is required to provide speed
and certainty in the technology transfer process.
``(b) Purposes.--The purposes of this part [part C (Secs. 3131-3133)
of title XXXI of div. C of Pub. L. 101-189, see Short Title of 1989
Amendment note above] are to--
``(1) enhance United States national security by promoting
technology transfer between Government-owned, contractor-operated
laboratories and the private sector in the United States; and
``(2) enhance collaboration between universities, the private
sector, and Government-owned, contractor-operated laboratories in
order to foster the development of technologies in areas of
significant economic potential.''
Ex. Ord. No. 13185. To Strengthen the Federal Government-University
Research Partnership
Ex. Ord. No. 13185, Dec. 28, 2000, 66 F.R. 701, provided:
By the authority vested in me as President by the Constitution and
the laws of the United States of America, and in order to keep the
Federal Government-University research partnership strong, it is hereby
ordered as follows:
Section 1. Principles of the Government-University Partnership. The
partnership in science and technology that has evolved between the
Federal Government and American universities has yielded benefits that
are vital to each. It continues to prove exceptionally productive,
successfully promoting the discovery of knowledge, stimulating
technological innovation, improving the quality of life, educating and
training the next generation of scientists and engineers, and
contributing to America's economic prosperity and national security. In
order to reaffirm and strengthen this partnership, this order sets forth
the following guiding and operating principles that are fully described
in the April 1999 National Science and Technology Council report,
``Renewing the Government-University Partnership.'' These principles
shall provide the framework for the development and analysis of all
future Federal policies, rules, and regulations for the Federal
Government-University research partnership.
(a) The guiding principles that shall govern interactions between
the Federal Government and universities that perform research are:
(1) Research is an investment in the future;
(2) The integration of research and education is vital;
(3) Excellence is promoted when investments are guided by merit
review; and
(4) Research must be conducted with integrity.
(b) The operating principles that shall assist agencies,
universities, individual researchers, and auditing and regulatory bodies
in implementing the guiding principles are:
(1) Agency cost-sharing policies and practices must be transparent;
(2) Partners should respect the merit review process;
(3) Agencies and universities should manage research in a cost-
efficient manner;
(4) Accountability and accounting are not the same;
(5) The benefits of simplicity in policies and practices should be
weighed against the costs;
(6) Change should be justified by need and the process made
transparent.
(c) Each executive branch department or agency that supports
research at universities shall regularly review its existing policies
and procedures to ensure that they meet the spirit and intent of the
guiding and operating principles stated above.
Sec. 2. Office of Science and Technology (OSTP) Review of the
Government-University Research Partnership. (a) The OSTP, in conjunction
with the National Science and Technology Council, shall conduct a
regular review of the Government-University research partnership and
prepare a report on the status of the partnership. The OSTP should
receive input from all departments or agencies that have a major impact
on the Government-University partnership through their support of
research and education, policy making, regulatory activities, and
research administration. In addition, OSTP may seek the input of the
National Science Board and the President's Committee of Advisors for
Science and Technology, as well as other stakeholders, such as State and
local governments, industry, the National Academy of Sciences, and the
Federal Demonstration Partnership.
(b) The purpose of the review and the report is to determine the
overall health of the Government-University research partnership, being
mindful of the guiding and operating principles stated above. The report
should include recommendations on how to improve the Government-
University partnership.
(c) The Director of OSTP shall deliver the report to the President.
Sec. 3. Judicial Review. This order does not create any enforceable
rights against the United States, its agencies, its officers, or any
person.
William J. Clinton.
