§ 3710. — Utilization of Federal technology.
[Laws in effect as of January 24, 2002]
[Document not affected by Public Laws enacted between
January 24, 2002 and December 19, 2002]
[CITE: 15USC3710]
TITLE 15--COMMERCE AND TRADE
CHAPTER 63--TECHNOLOGY INNOVATION
Sec. 3710. Utilization of Federal technology
(a) Policy
(1) It is the continuing responsibility of the Federal Government to
ensure the full use of the results of the Nation's Federal investment in
research and development. To this end the Federal Government shall
strive where appropriate to transfer federally owned or originated
technology to State and local governments and to the private sector.
(2) Technology transfer, consistent with mission responsibilities,
is a responsibility of each laboratory science and engineering
professional.
(3) Each laboratory director shall ensure that efforts to transfer
technology are considered positively in laboratory job descriptions,
employee promotion policies, and evaluation of the job performance of
scientists and engineers in the laboratory.
(b) Establishment of Research and Technology Applications Offices
Each Federal laboratory shall establish an Office of Research and
technology Applications. Laboratories having existing organizational
structures which perform the functions of this section may elect to
combine the Office of Research and Technology Applications within the
existing organization. The staffing and funding levels for these offices
shall be determined between each Federal laboratory and the Federal
agency operating or directing the laboratory, except that (1) each
laboratory having 200 or more full-time equivalent scientific,
engineering, and related technical positions shall provide one or more
full-time equivalent positions as staff for its Office of Research and
Technology Applications, and (2) each Federal agency which operates or
directs one or more Federal laboratories shall make available sufficient
funding, either as a separate line item or from the agency's research
and development budget, to support the technology transfer function at
the agency and at its laboratories, including support of the Offices of
Research and Technology Applications. Furthermore, individuals filling
positions in an Office of Research and Technology Applications shall be
included in the overall laboratory/agency management development program
so as to ensure that highly competent technical managers are full
participants in the technology transfer process.
(c) Functions of Research and Technology Applications Offices
It shall be the function of each Office of Research and Technology
Applications--
(1) to prepare application assessments for selected research and
development projects in which that laboratory is engaged and which
in the opinion of the laboratory may have potential commercial
applications;
(2) to provide and disseminate information on federally owned or
originated products, processes, and services having potential
application to State and local governments and to private industry;
(3) to cooperate with and assist the National Technical
Information Service, the Federal Laboratory Consortium for
Technology Transfer, and other organizations which link the research
and development resources of that laboratory and the Federal
Government as a whole to potential users in State and local
government and private industry;
(4) to provide technical assistance to State and local
government officials; and
(5) to participate, where feasible, in regional, State, and
local programs designed to facilitate or stimulate the transfer of
technology for the benefit of the region, State, or local
jurisdiction in which the Federal laboratory is located.
Agencies which have established organizational structures outside their
Federal laboratories which have as their principal purpose the transfer
of federally owned or originated technology to State and local
government and to the private sector may elect to perform the functions
of this subsection in such organizational structures. No Office of
Research and Technology Applications or other organizational structures
performing the functions of this subsection shall substantially compete
with similar services available in the private sector.
(d) Dissemination of technical information
The National Technical Information Service shall--
(1) serve as a central clearinghouse for the collection,
dissemination and transfer of information on federally owned or
originated technologies having potential application to State and
local governments and to private industry;
(2) utilize the expertise and services of the National Science
Foundation and the Federal Laboratory Consortium for Technology
Transfer; particularly in dealing with State and local governments;
(3) receive requests for technical assistance from State and
local governments, respond to such requests with published
information available to the Service, and refer such requests to the
Federal Laboratory Consortium for Technology Transfer to the extent
that such requests require a response involving more than the
published information available to the Service;
(4) provide funding, at the discretion of the Secretary, for
Federal laboratories to provide the assistance specified in
subsection (c)(3) of this section;
(5) use appropriate technology transfer mechanisms such as
personnel exchanges and computer-based systems; and
(6) maintain a permanent archival repository and clearinghouse
for the collection and dissemination of nonclassified scientific,
technical, and engineering information.
(e) Establishment of Federal Laboratory Consortium for Technology
Transfer
(1) There is hereby established the Federal Laboratory Consortium
for Technology Transfer (hereinafter referred to as the ``Consortium'')
which, in cooperation with Federal laboratories and the private sector,
shall--
(A) develop and (with the consent of the Federal laboratory
concerned) administer techniques, training courses, and materials
concerning technology transfer to increase the awareness of Federal
laboratory employees regarding the commercial potential of
laboratory technology and innovations;
(B) furnish advice and assistance requested by Federal agencies
and laboratories for use in their technology transfer programs
(including the planning of seminars for small business and other
industry);
(C) provide a clearinghouse for requests, received at the
laboratory level, for technical assistance from States and units of
local governments, businesses, industrial development organizations,
not-for-profit organizations including universities, Federal
agencies and laboratories, and other persons, and--
(i) to the extent that such requests can be responded to
with published information available to the National Technical
Information Service, refer such requests to that Service, and
(ii) otherwise refer these requests to the appropriate
Federal laboratories and agencies;
(D) facilitate communication and coordination between Offices of
Research and Technology Applications of Federal laboratories;
(E) utilize (with the consent of the agency involved) the
expertise and services of the National Science Foundation, the
Department of Commerce, the National Aeronautics and Space
Administration, and other Federal agencies, as necessary;
(F) with the consent of any Federal laboratory, facilitate the
use by such laboratory of appropriate technology transfer mechanisms
such as personnel exchanges and computer-based systems;
(G) with the consent of any Federal laboratory, assist such
laboratory to establish programs using technical volunteers to
provide technical assistance to communities related to such
laboratory;
(H) facilitate communication and cooperation between Offices of
Research and Technology Applications of Federal laboratories and
regional, State, and local technology transfer organizations;
(I) when requested, assist colleges or universities, businesses,
nonprofit organizations, State or local governments, or regional
organizations to establish programs to stimulate research and to
encourage technology transfer in such areas as technology program
development, curriculum design, long-term research planning,
personnel needs projections, and productivity assessments;
(J) seek advice in each Federal laboratory consortium region
from representatives of State and local governments, large and small
business, universities, and other appropriate persons on the
effectiveness of the program (and any such advice shall be provided
at no expense to the Government); and
(K) work with the Director of the National Institute on
Disability and Rehabilitation Research to compile a compendium of
current and projected Federal Laboratory technologies and projects
that have or will have an intended or recognized impact on the
available range of assistive technology for individuals with
disabilities (as defined in section 3002 of title 29), including
technologies and projects that incorporate the principles of
universal design (as defined in section 3002 of title 29), as
appropriate.
(2) The membership of the Consortium shall consist of the Federal
laboratories described in clause (1) of subsection (b) of this section
and such other laboratories as may choose to join the Consortium. The
representatives to the Consortium shall include a senior staff member of
each Federal laboratory which is a member of the Consortium and a senior
representative appointed from each Federal agency with one or more
member laboratories.
(3) The representatives to the Consortium shall elect a Chairman of
the Consortium.
(4) The Director of the National Institute of Standards and
Technology shall provide the Consortium, on a reimbursable basis, with
administrative services, such as office space, personnel, and support
services of the Institute, as requested by the Consortium and approved
by such Director.
(5) Each Federal laboratory or agency shall transfer technology
directly to users or representatives of users, and shall not transfer
technology directly to the Consortium. Each Federal laboratory shall
conduct and transfer technology only in accordance with the practices
and policies of the Federal agency which owns, leases, or otherwise uses
such Federal laboratory.
(6) Not later than one year after October 20, 1986, and every year
thereafter, the Chairman of the Consortium shall submit a report to the
President, to the appropriate authorization and appropriation committees
of both Houses of the Congress, and to each agency with respect to which
a transfer of funding is made (for the fiscal year or years involved)
under paragraph (7), concerning the activities of the Consortium and the
expenditures made by it under this subsection during the year for which
the report is made. Such report shall include an annual independent
audit of the financial statements of the Consortium, conducted in
accordance with generally accepted accounting principles.
(7)(A) Subject to subparagraph (B), an amount equal to 0.008 percent
of the budget of each Federal agency from any Federal source, including
related overhead, that is to be utilized by or on behalf of the
laboratories of such agency for a fiscal year referred to in
subparagraph (B)(ii) shall be transferred by such agency to the National
Institute of Standards and Technology at the beginning of the fiscal
year involved. Amounts so transferred shall be provided by the Institute
to the Consortium for the purpose of carrying out activities of the
Consortium under this subsection.
(B) A transfer shall be made by any Federal agency under
subparagraph (A), for any fiscal year, only if the amount so transferred
by that agency (as determined under such subparagraph) would exceed
$10,000.
(C) The heads of Federal agencies and their designees, and the
directors of Federal laboratories, may provide such additional support
for operations of the Consortium as they deem appropriate.
(f) Agency reports on utilization
(1) In general
Each Federal agency which operates or directs one or more
Federal laboratories or which conducts activities under sections 207
and 209 of title 35 shall report annually to the Office of
Management and Budget, as part of the agency's annual budget
submission, on the activities performed by that agency and its
Federal laboratories under the provisions of this section and of
sections 207 and 209 of title 35.
(2) Contents
The report shall include--
(A) an explanation of the agency's technology transfer
program for the preceding fiscal year and the agency's plans for
conducting its technology transfer function, including its plans
for securing intellectual property rights in laboratory
innovations with commercial promise and plans for managing its
intellectual property so as to advance the agency's mission and
benefit the competitiveness of United States industry; and
(B) information on technology transfer activities for the
preceding fiscal year, including--
(i) the number of patent applications filed;
(ii) the number of patents received;
(iii) the number of fully-executed licenses which
received royalty income in the preceding fiscal year,
categorized by whether they are exclusive, partially-
exclusive, or non-exclusive, and the time elapsed from the
date on which the license was requested by the licensee in
writing to the date the license was executed;
(iv) the total earned royalty income including such
statistical information as the total earned royalty income,
of the top 1 percent, 5 percent, and 20 percent of the
licenses, the range of royalty income, and the median,
except where disclosure of such information would reveal the
amount of royalty income associated with an individual
license or licensee;
(v) what disposition was made of the income described in
clause (iv);
(vi) the number of licenses terminated for cause; and
(vii) any other parameters or discussion that the agency
deems relevant or unique to its practice of technology
transfer.
(3) Copy to Secretary; Attorney General; Congress
The agency shall transmit a copy of the report to the Secretary
of Commerce and the Attorney General for inclusion in the annual
report to Congress and the President required by subsection (g)(2)
of this section.
(4) Public availability
Each Federal agency reporting under this subsection is also
strongly encouraged to make the information contained in such report
available to the public through Internet sites or other electronic
means.
(g) Functions of Secretary
(1) The Secretary, through the Under Secretary, and in consultation
with other Federal agencies, may--
(A) make available to interested agencies the expertise of the
Department of Commerce regarding the commercial potential of
inventions and methods and options for commercialization which are
available to the Federal laboratories, including research and
development limited partnerships;
(B) develop and disseminate to appropriate agency and laboratory
personnel model provisions for use on a voluntary basis in
cooperative research and development arrangements; and
(C) furnish advice and assistance, upon request, to Federal
agencies concerning their cooperative research and development
programs and projects.
(2) Reports.--
(A) Annual report required.--The Secretary, in consultation with
the Attorney General and the Commissioner of Patents and Trademarks,
shall submit each fiscal year, beginning 1 year after November 1,
2000, a summary report to the President, the United States Trade
Representative, and the Congress on the use by Federal agencies and
the Secretary of the technology transfer authorities specified in
this chapter and in sections 207 and 209 of title 35.
(B) Content.--The report shall--
(i) draw upon the reports prepared by the agencies under
subsection (f) of this section;
(ii) discuss technology transfer best practices and
effective approaches in the licensing and transfer of technology
in the context of the agencies' missions; and
(iii) discuss the progress made toward development of
additional useful measures of the outcomes of technology
transfer programs of Federal agencies.
(C) Public availability.--The Secretary shall make the report
available to the public through Internet sites or other electronic
means.
(3) Not later than one year after October 20, 1986, the Secretary
shall submit to the President and the Congress a report regarding--
(A) any copyright provisions or other types of barriers which
tend to restrict or limit the transfer of federally funded computer
software to the private sector and to State and local governments,
and agencies of such State and local governments; and
(B) the feasibility and cost of compiling and maintaining a
current and comprehensive inventory of all federally funded training
software.
(h) Duplication of reporting
The reporting obligations imposed by this section--
(1) are not intended to impose requirements that duplicate
requirements imposed by the Government Performance and Results Act
of 1993 (31 U.S.C. 1101 note);
(2) are to be implemented in coordination with the
implementation of that Act; and
(3) are satisfied if an agency provided the information
concerning technology transfer activities described in this section
in its annual submission under the Government Performance and
Results Act of 1993 (31 U.S.C. 1101 note).
(i) Research equipment
The Director of a laboratory, or the head of any Federal agency or
department, may loan, lease, or give research equipment that is excess
to the needs of the laboratory, agency, or department to an educational
institution or nonprofit organization for the conduct of technical and
scientific education and research activities. Title of ownership shall
transfer with a gift under this section.
(Pub. L. 96-480, Sec. 11, Oct. 21, 1980, 94 Stat. 2318; renumbered
Sec. 10 and amended Pub. L. 99-502, Secs. 3-5, 9(e)(1), Oct. 20, 1986,
100 Stat. 1787, 1789, 1791, 1797; renumbered Sec. 11 and amended Pub. L.
100-418, title V, Secs. 5115(b)(2), 5122(a)(1), 5162(b), 5163(c)(1),
(3), Aug. 23, 1988, 102 Stat. 1433, 1438, 1450, 1451; Pub. L. 100-519,
title II, Secs. 201(d)(3), 212(a)(4), Oct. 24, 1988, 102 Stat. 2594,
2595; Pub. L. 101-189, div. C, title XXXI, Sec. 3133(e), Nov. 29, 1989,
103 Stat. 1679; Pub. L. 102-245, title III, Secs. 301, 303, Feb. 14,
1992, 106 Stat. 19, 20; Pub. L. 104-66, title III, Sec. 3001(f), Dec.
21, 1995, 109 Stat. 734; Pub. L. 104-113, Secs. 3, 9, Mar. 7, 1996, 110
Stat. 775, 779; Pub. L. 105-394, title II, Sec. 212(d), Nov. 13, 1998,
112 Stat. 3655; Pub. L. 106-404, Secs. 7(5), (6), 10(a), Nov. 1, 2000,
114 Stat. 1745-1747.)
References in Text
The Government Performance and Results Act of 1993, referred to in
subsec. (h), is Pub. L. 103-62, Aug. 3, 1993, 107 Stat. 285, which
enacted section 306 of Title 5, Government Organization and Employees,
sections 1115 to 1119, 9703, and 9704 of Title 31, Money and Finance,
and sections 2801 to 2805 of Title 39, Postal Service, amended section
1105 of Title 31, and enacted provisions set out as notes under sections
1101 and 1115 of Title 31. For complete classification of this Act to
the Code, see Short Title of 1993 Amendment note set out under section
1101 of Title 31 and Tables.
Amendments
2000--Subsec. (b). Pub. L. 106-404, Sec. 10(a)(1), struck out at end
``The agency head shall submit to Congress at the time the President
submits the budget to Congress an explanation of the agency's technology
transfer program for the preceding year and the agency's plans for
conducting its technology transfer function for the upcoming year,
including plans for securing intellectual property rights in laboratory
innovations with commercial promise and plans for managing such
innovations so as to benefit the competitiveness of United States
industry.''
Subsec. (e)(1). Pub. L. 106-404, Sec. 7(5), substituted ``in
cooperation with Federal laboratories'' for ``in cooperation with
Federal Laboratories'' in introductory provisions.
Subsec. (f). Pub. L. 106-404, Sec. 10(a)(2), added subsec. (f).
Subsec. (g)(2). Pub. L. 106-404, Sec. 10(a)(3), added par. (2) and
struck out former par. (2) which read as follows: ``Two years after
October 20, 1986, and every two years thereafter, the Secretary shall
submit a summary report to the President and the Congress on the use by
the agencies and the Secretary of the authorities specified in this
chapter. Other Federal agencies shall cooperate in the report's
preparation.''
Subsec. (h). Pub. L. 106-404, Sec. 10(a)(4), added subsec. (h).
Subsec. (i). Pub. L. 106-404, Sec. 7(6), substituted ``a gift under
this section'' for ``a gift under the section''.
1998--Subsec. (e)(1)(K). Pub. L. 105-394 added subpar. (K).
1996--Subsec. (e)(7)(B). Pub. L. 104-113, Sec. 3, amended subpar.
(B) generally. Prior to amendment, subpar. (B) read as follows: ``A
transfer shall be made by any Federal agency under subparagraph (A), for
any fiscal year, only if--
``(i) the amount so transferred by that agency (as determined
under such subparagraph) would exceed $10,000; and
``(ii) such transfer is made with respect to the fiscal year
1987, 1988, 1989, 1990, 1991, 1992, 1993, 1994, 1995, or 1996.''
Subsec. (i). Pub. L. 104-113, Sec. 9, inserted ``loan, lease, or''
before ``give''.
1995--Subsec. (f). Pub. L. 104-66 struck out heading and text of
subsec. (f). Text read as follows: ``Each Federal agency which operates
or directs one or more Federal laboratories shall report annually to the
Congress, as part of the agency's annual budget submission, on the
activities performed by that agency and its Federal laboratories
pursuant to the provisions of this section.''
1992--Subsec. (e)(2). Pub. L. 102-245, Sec. 301(a), inserted
``senior'' before ``representative''.
Subsec. (e)(6). Pub. L. 102-245, Sec. 301(b), inserted at end ``Such
report shall include an annual independent audit of the financial
statements of the Consortium, conducted in accordance with generally
accepted accounting principles.''
Subsec. (e)(7)(B)(ii). Pub. L. 102-245, Sec. 301(c), substituted
``1991, 1992, 1993, 1994, 1995, or 1996'' for ``or 1991''.
Subsec. (e)(8). Pub. L. 102-245, Sec. 301(d), struck out former par.
(8) which read as follows:
``(A) The Consortium shall use 5 percent of the funds provided in
paragraph (7)(A) to establish demonstration projects in technology
transfer. To carry out such projects, the Consortium may arrange for
grants or awards to, or enter into agreements with, nonprofit State,
local, or private organizations or entities whose primary purposes are
to facilitate cooperative research between the Federal laboratories and
organizations not associated with the Federal laboratories, to transfer
technology from the Federal laboratories, and to advance State and local
economic activity.
``(B) The demonstration projects established under subparagraph (A)
shall serve as model programs. Such projects shall be designed to
develop programs and mechanisms for technology transfer from the Federal
laboratories which may be utilized by the States and which will enhance
Federal, State, and local programs for the transfer of technology.
``(C) Application for such grants, awards, or agreements shall be in
such form and contain such information as the Consortium or its designee
shall specify.
``(D) Any person who receives or utilizes any proceeds of a grant or
award made, or agreement entered into, under this paragraph shall keep
such records as the Consortium or its designee shall determine are
necessary and appropriate to facilitate effective audit and evaluation,
including records which fully disclose the amount and disposition of
such proceeds and the total cost of the project in connection with which
such proceeds were used.''
Subsec. (i). Pub. L. 102-245, Sec. 303, added subsec. (i).
1989--Subsec. (b). Pub. L. 101-189 struck out ``after September 30,
1981,'' after ``(2)'', substituted ``sufficient funding, either as a
separate line item or from the agency's research and development
budget,'' for ``not less than 0.5 percent of the agency's research and
development budget'', struck out ``agency head may waive the requirement
set forth in clause (2) of the preceding sentence. If the agency head
waives such requirement, the'' after ``transfer process. The'', and
substituted ``agency's technology transfer program for the preceding
year and the agency's plans for conducting its technology transfer
function for the upcoming year, including plans for securing
intellectual property rights in laboratory innovations with commercial
promise and plans for managing such innovations so as to benefit the
competitiveness of United States industry'' for ``reasons for the waiver
and alternate plans for conducting the technology transfer function at
the agency''.
1988--Subsec. (d)(6). Pub. L. 100-418, Sec. 5163(c)(3), added par.
(6).
Subsec. (e)(4). Pub. L. 100-418, Sec. 5115(b)(2), substituted
``National Institute of Standards and Technology'' for ``National Bureau
of Standards'' and ``Institute'' for ``Bureau''.
Subsec. (e)(7)(A). Pub. L. 100-418, Sec. 5162(b), substituted
``0.008 percent of the budget of each Federal agency from any Federal
source, including related overhead, that is to be utilized by or on
behalf of'' for ``0.005 percent of that portion of the research and
development budget of each Federal agency that is to be utilized by''.
Pub. L. 100-418, Sec. 5115(b)(2), substituted ``National Institute
of Standards and Technology'' for ``National Bureau of Standards'' and
``Institute'' for ``Bureau''.
Subsec. (g)(1). Pub. L. 100-519, Sec. 201(d)(3), inserted reference
to the Under Secretary.
Subsec. (h). Pub. L. 100-519, Sec. 212(a)(4), struck out subsec. (h)
which read as follows: ``None of the activities or functions of the
National Technical Information Service which are not performed by
contractors as of September 30, 1987, shall be contracted out or
otherwise transferred from the Federal Government unless such transfer
is expressly authorized by statute, or unless the value of all work
performed under the contract and related contracts in each fiscal year
does not exceed $250,000.''
Pub. L. 100-418, Sec. 5163(c)(1), added subsec. (h).
1986--Subsec. (a). Pub. L. 99-502, Sec. 4(a), designated existing
provisions as par. (1) and added pars. (2) and (3).
Subsec. (b). Pub. L. 99-502, Sec. 4(b)(1), substituted ``200 or more
full-time equivalent scientific, engineering, and related technical
positions shall provide one or more full-time equivalent positions'' for
``a total annual budget exceeding $20,000,000 shall provide at least one
professional individual full-time'', inserted ``Furthermore, individuals
filling positions in an Office of Research and Technology Applications
shall be included in the overall laboratory/agency management
development program so as to ensure that highly competent technical
managers are full participants in the technology transfer process.'',
substituted ``requirement set forth in clause (2) of the preceding
sentence'' for ``requirements set forth in (1) and/or (2) of this
subsection'', and substituted ``such requirement'' for ``either
requirement (1) or (2)''.
Subsec. (c)(1). Pub. L. 99-502, Sec. 4(b)(2)(A), added par. (1) and
struck out former par. (1) which read as follows: ``to prepare an
application assessment of each research and development project in which
that laboratory is engaged which has potential for successful
application in State or local government or in private industry;''.
Subsec. (c)(3). Pub. L. 99-502, Sec. 4(b)(2)(B), substituted ``the
National Technical Information Service, the Federal Laboratory
Consortium for Technology Transfer,'' for ``the Center for the
Utilization of Federal Technology'' and struck out ``and'' after the
semicolon.
Subsec. (c)(4). Pub. L. 99-502, Sec. 4(b)(2)(C), substituted ``to
State and local government officials; and'' for ``in response to
requests from State and local government officials.''.
Subsec. (c)(5). Pub. L. 99-502, Sec. 4(b)(2)(D), added par. (5).
Subsec. (d). Pub. L. 99-502, Sec. 4(c)(1), substituted ``The
National Technical Information Service shall'' for ``There is hereby
established in the Department of Commerce a Center for the Utilization
of Federal Technology. The Center for the Utilization of Federal
Technology shall'' in introductory par.
Subsec. (d)(2). Pub. L. 99-502, Sec. 4(c)(2), (3), redesignated par.
(3) as (2) and struck out ``existing'' before ``Federal Laboratory''.
Former par. (2), which required the Center for the Utilization of
Federal Technology to coordinate the activities of the Offices of
Research and Technology Applications of the Federal laboratories, was
struck out.
Subsec. (d)(3). Pub. L. 99-502, Sec. 4(c)(4), added par. (3). Former
par. (3) redesignated (2).
Subsec. (d)(4). Pub. L. 99-502, Sec. 4(c)(4)-(6), redesignated par.
(5) as (4) and substituted ``subsection (c)(3)'' for ``subsection
(c)(4)''. Former par. (4), which required the Center for the Utilization
of Federal Technology to receive requests for technical assistance from
State and local governments and refer those requests to the appropriate
Federal laboratories, was struck out.
Subsec. (d)(5), (6). Pub. L. 99-502, Sec. 4(c)(5), redesignated
pars. (5) and (6) as (4) and (5), respectively.
Subsecs. (e), (f). Pub. L. 99-502, Secs. 3, 4(d), added subsec. (e),
redesignated former subsec. (e) as (f), substituted ``report annually to
the Congress, as part of the agency's annual budget submission, on the
activities'' for ``prepare biennially a report summarizing the
activities'', and struck out ``The report shall be transmitted to the
Center for the Utilization of Federal Technology by November 1 of each
year in which it is due.''.
Subsec. (g). Pub. L. 99-502, Sec. 5, added subsec. (g).
Ex. Ord. No. 12591. Facilitating Access to Science and Technology
Ex. Ord. No. 12591, Apr. 10, 1987, 52 F.R. 13414, as amended by Ex.
Ord. No. 12618, Dec. 22, 1987, 52 F.R. 48661, provided:
By the authority vested in me as President by the Constitution and
laws of the United States of America, including the Federal Technology
Transfer Act of 1986 (Public Law 99-502) [see Short Title of 1986
Amendments note set out under section 3701 of this title], the Trademark
Clarification Act of 1984 (Public Law 98-620) [see Short Title of 1984
Amendment note set out under section 1051 of this title], and the
University and Small Business Patent Procedure Act of 1980 (Public Law
96-517) [see Tables for classification], and in order to ensure that
Federal agencies and laboratories assist universities and the private
sector in broadening our technology base by moving new knowledge from
the research laboratory into the development of new products and
processes, it is hereby ordered as follows:
Section 1. Transfer of Federally Funded Technology.
(a) The head of each Executive department and agency, to the extent
permitted by law, shall encourage and facilitate collaboration among
Federal laboratories, State and local governments, universities, and the
private sector, particularly small business, in order to assist in the
transfer of technology to the marketplace.
(b) The head of each Executive department and agency shall, within
overall funding allocations and to the extent permitted by law:
(1) delegate authority to its government-owned, government-operated
Federal laboratories:
(A) to enter into cooperative research and development agreements
with other Federal laboratories, State and local governments,
universities, and the private sector; and
(B) to license, assign, or waive rights to intellectual property
developed by the laboratory either under such cooperative research or
development agreements and from within individual laboratories.
(2) identify and encourage persons to act as conduits between and
among Federal laboratories, universities, and the private sector for the
transfer of technology developed from federally funded research and
development efforts;
(3) ensure that State and local governments, universities, and the
private sector are provided with information on the technology,
expertise, and facilities available in Federal laboratories;
(4) promote the commercialization, in accord with my Memorandum to
the Heads of Executive Departments and Agencies of February 18, 1983, of
patentable results of federally funded research by granting to all
contractors, regardless of size, the title to patents made in whole or
in part with Federal funds, in exchange for royalty-free use by or on
behalf of the government;
(5) administer all patents and licenses to inventions made with
federal assistance, which are owned by the non-profit contractor or
grantee, in accordance with Section 202(c)(7) of Title 35 of the United
States Code as amended by Public Law 98-620, without regard to
limitations on licensing found in that section prior to amendment or in
Institutional Patent Agreements now in effect that were entered into
before that law was enacted on November 8, 1984, unless, in the case of
an invention that has not been marketed, the funding agency determines,
based on information in its files, that the contractor or grantee has
not taken adequate steps to market the inventions, in accordance with
applicable law or an Institutional Patent Agreement;
(6) implement, as expeditiously as practicable, royalty-sharing
programs with inventors who were employees of the agency at the time
their inventions were made, and cash award programs; and
(7) cooperate, under policy guidance provided by the Office of
Federal Procurement Policy, with the heads of other affected departments
and agencies in the development of a uniform policy permitting Federal
contractors to retain rights to software, engineering drawings, and
other technical data generated by Federal grants and contracts, in
exchange for royalty-free use by or on behalf of the government.
Sec. 2. Establishment of the Technology Share Program. The
Secretaries of Agriculture, Commerce, Energy, and Health and Human
Services and the Administrator of the National Aeronautics and Space
Administration shall select one or more of their Federal laboratories to
participate in the Technology Share Program. Consistent with its mission
and policies and within its overall funding allocation in any year, each
Federal laboratory so selected shall:
(a) Identify areas of research and technology of potential
importance to long-term national economic competitiveness and in which
the laboratory possesses special competence and/or unique facilities;
(b) Establish a mechanism through which the laboratory performs
research in areas identified in Section 2(a) as a participant of a
consortium composed of United States industries and universities. All
consortia so established shall have, at a minimum, three individual
companies that conduct the majority of their business in the United
States; and
(c) Limit its participation in any consortium so established to the
use of laboratory personnel and facilities. However, each laboratory may
also provide financial support generally not to exceed 25 percent of the
total budget for the activities of the consortium. Such financial
support by any laboratory in all such consortia shall be limited to a
maximum of $5 million per annum.
Sec. 3. Technology Exchange--Scientists and Engineers. The Executive
Director of the President's Commission on Executive Exchange shall
assist Federal agencies, where appropriate, by developing and
implementing an exchange program whereby scientists and engineers in the
private sector may take temporary assignments in Federal laboratories,
and scientists and engineers in Federal laboratories may take temporary
assignments in the private sector.
Sec. 4. International Science and Technology. In order to ensure
that the United States benefits from and fully exploits scientific
research and technology developed abroad,
(a) The head of each Executive department and agency, when
negotiating or entering into cooperative research and development
agreements and licensing arrangements with foreign persons or industrial
organizations (where these entities are directly or indirectly
controlled by a foreign company or government), shall, in consultation
with the United States Trade Representative, give appropriate
consideration:
(1) to whether such foreign companies or governments permit and
encourage United States agencies, organizations, or persons to enter
into cooperative research and development agreements and licensing
arrangements on a comparable basis;
(2) to whether those foreign governments have policies to protect
the United States intellectual property rights; and
(3) where cooperative research will involve data, technologies, or
products subject to national security export controls under the laws of
the United States, to whether those foreign governments have adopted
adequate measures to prevent the transfer of strategic technology to
destinations prohibited under such national security export controls,
either through participation in the Coordinating Committee for
Multilateral Export Controls (COCOM) or through other international
agreements to which the United States and such foreign governments are
signatories.
(b) The Secretary of State shall develop a recruitment policy that
encourages scientists and engineers from other Federal agencies,
academic institutions, and industry to apply for assignments in
embassies of the United States; and
(c) The Secretaries of State and Commerce and the Director of the
National Science Foundation shall develop a central mechanism for the
prompt and efficient dissemination of science and technology information
developed abroad to users in Federal laboratories, academic
institutions, and the private sector on a fee-for-service basis.
Sec. 5. Technology Transfer from the Department of Defense. Within 6
months of the date of this Order [Apr. 10, 1987], the Secretary of
Defense shall identify a list of funded technologies that would be
potentially useful to United States industries and universities. The
Secretary shall then accelerate efforts to make these technologies more
readily available to United States industries and universities.
Sec. 6. Basic Science and Technology Centers. The head of each
Executive department and agency shall examine the potential for
including the establishment of university research centers in
engineering, science, or technology in the strategy and planning for any
future research and development programs. Such university centers shall
be jointly funded by the Federal Government, the private sector, and,
where appropriate, the States and shall focus on areas of fundamental
research and technology that are both scientifically promising and have
the potential to contribute to the Nation's long-term economic
competitiveness.
Sec. 7. Reporting Requirements. (a) Within 1 year from the date of
this Order [Apr. 10, 1987], the Director of the Office of Science and
Technology Policy shall convene an interagency task force comprised of
the heads of representative agencies and the directors of representative
Federal laboratories, or their designees, in order to identify and
disseminate creative approaches to technology transfer from Federal
laboratories. The task force will report to the President on the
progress of and problems with technology transfer from Federal
laboratories.
(b) Specifically, the report shall include:
(1) a listing of current technology transfer programs and an
assessment of the effectiveness of these programs;
(2) identification of new or creative approaches to technology
transfer that might serve as model programs for Federal laboratories;
(3) criteria to assess the effectiveness and impact on the Nation's
economy of planned or future technology transfer efforts; and
(4) a compilation and assessment of the Technology Share Program
established in Section 2 and, where appropriate, related cooperative
research and development venture programs.
Sec. 8. Relation to Existing Law. Nothing in this Order shall affect
the continued applicability of any existing laws or regulations relating
to the transfer of United States technology to other nations. The head
of any Executive department or agency may exclude from consideration,
under this Order, any technology that would be, if transferred,
detrimental to the interests of national security.
Ronald Reagan.
Section Referred to in Other Sections
This section is referred to in sections 3704b-2, 3708, 3713, 3715 of
this title; title 6 section 189; title 10 section 2371a; title 29
section 3032.
