§ 3710a. — Cooperative research and development agreements.
[Laws in effect as of January 24, 2002]
[Document not affected by Public Laws enacted between
January 24, 2002 and December 19, 2002]
[CITE: 15USC3710a]
TITLE 15--COMMERCE AND TRADE
CHAPTER 63--TECHNOLOGY INNOVATION
Sec. 3710a. Cooperative research and development agreements
(a) General authority
Each Federal agency may permit the director of any of its
Government-operated Federal laboratories, and, to the extent provided in
an agency-approved joint work statement or, if permitted by the agency,
in an agency-approved annual strategic plan, the director of any of its
Government-owned, contractor-operated laboratories--
(1) to enter into cooperative research and development
agreements on behalf of such agency (subject to subsection (c) of
this section) with other Federal agencies; units of State or local
government; industrial organizations (including corporations,
partnerships, and limited partnerships, and industrial development
organizations); public and private foundations; nonprofit
organizations (including universities); or other persons (including
licensees of inventions owned by the Federal agency); and
(2) to negotiate licensing agreements under section 207 of title
35, or under other authorities (in the case of a Government-owned,
contractor-operated laboratory, subject to subsection (c) of this
section) for inventions made or other intellectual property
developed at the laboratory and other inventions or other
intellectual property that may be voluntarily assigned to the
Government.
(b) Enumerated authority
(1) Under an agreement entered into pursuant to subsection (a)(1) of
this section, the laboratory may grant, or agree to grant in advance, to
a collaborating party patent licenses or assignments, or options
thereto, in any invention made in whole or in part by a laboratory
employee under the agreement, or, subject to section 209 of title 35,
may grant a license to an invention which is federally owned, for which
a patent application was filed before the signing of the agreement, and
directly within the scope of the work under the agreement, for
reasonable compensation when appropriate. The laboratory shall ensure,
through such agreement, that the collaborating party has the option to
choose an exclusive license for a pre-negotiated field of use for any
such invention under the agreement or, if there is more than one
collaborating party, that the collaborating parties are offered the
option to hold licensing rights that collectively encompass the rights
that would be held under such an exclusive license by one party. In
consideration for the Government's contribution under the agreement,
grants under this paragraph shall be subject to the following explicit
conditions:
(A) A nonexclusive, nontransferable, irrevocable, paid-up
license from the collaborating party to the laboratory to practice
the invention or have the invention practiced throughout the world
by or on behalf of the Government. In the exercise of such license,
the Government shall not publicly disclose trade secrets or
commercial or financial information that is privileged or
confidential within the meaning of section 552(b)(4) of title 5 or
which would be considered as such if it had been obtained from a
non-Federal party.
(B) If a laboratory assigns title or grants an exclusive license
to such an invention, the Government shall retain the right--
(i) to require the collaborating party to grant to a
responsible applicant a nonexclusive, partially exclusive, or
exclusive license to use the invention in the applicant's
licensed field of use, on terms that are reasonable under the
circumstances; or
(ii) if the collaborating party fails to grant such a
license, to grant the license itself.
(C) The Government may exercise its right retained under
subparagraph (B) only in exceptional circumstances and only if the
Government determines that--
(i) the action is necessary to meet health or safety needs
that are not reasonably satisfied by the collaborating party;
(ii) the action is necessary to meet requirements for public
use specified by Federal regulations, and such requirements are
not reasonably satisfied by the collaborating party; or
(iii) the collaborating party has failed to comply with an
agreement containing provisions described in subsection
(c)(4)(B) of this section.
This determination is subject to administrative appeal and judicial
review under section 203(2) of title 35.
(2) Under agreements entered into pursuant to subsection (a)(1) of
this section, the laboratory shall ensure that a collaborating party may
retain title to any invention made solely by its employee in exchange
for normally granting the Government a nonexclusive, nontransferable,
irrevocable, paid-up license to practice the invention or have the
invention practiced throughout the world by or on behalf of the
Government for research or other Government purposes.
(3) Under an agreement entered into pursuant to subsection (a)(1) of
this section, a laboratory may--
(A) accept, retain, and use funds, personnel, services, and
property from a collaborating party and provide personnel, services,
and property to a collaborating party;
(B) use funds received from a collaborating party in accordance
with subparagraph (A) to hire personnel to carry out the agreement
who will not be subject to full-time-equivalent restrictions of the
agency;
(C) to the extent consistent with any applicable agency
requirements or standards of conduct, permit an employee or former
employee of the laboratory to participate in an effort to
commercialize an invention made by the employee or former employee
while in the employment or service of the Government; and
(D) waive, subject to reservation by the Government of a
nonexclusive, irrevocable, paid-up license to practice the invention
or have the invention practiced throughout the world by or on behalf
of the Government, in advance, in whole or in part, any right of
ownership which the Federal Government may have to any subject
invention made under the agreement by a collaborating party or
employee of a collaborating party.
(4) A collaborating party in an exclusive license in any invention
made under an agreement entered into pursuant to subsection (a)(1) of
this section shall have the right of enforcement under chapter 29 of
title 35.
(5) A Government-owned, contractor-operated laboratory that enters
into a cooperative research and development agreement pursuant to
subsection (a)(1) of this section may use or obligate royalties or other
income accruing to the laboratory under such agreement with respect to
any invention only--
(A) for payments to inventors;
(B) for purposes described in clauses (i), (ii), (iii), and (iv)
of section 3710c(a)(1)(B) of this title; and
(C) for scientific research and development consistent with the
research and development missions and objectives of the laboratory.
(6)(A) In the case of a laboratory that is part of the National
Nuclear Security Administration, a designated official of that
Administration may waive any license retained by the Government under
paragraph (1)(A), (2), or (3)(D), in whole or in part and according to
negotiated terms and conditions, if the designated official finds that
the retention of the license by the Government would substantially
inhibit the commercialization of an invention that would otherwise serve
an important national security mission.
(B) The authority to grant a waiver under subparagraph (A) shall
expire on the date that is five years after October 30, 2000. The
expiration under the preceding sentence of authority to grant a waiver
under subparagraph (A) shall not affect any waiver granted under that
subparagraph before the expiration of such authority.
(C) Not later than February 15 of each year, the Administrator for
Nuclear Security shall submit to Congress a report on any waivers
granted under this paragraph during the preceding year.
(c) Contract considerations
(1) A Federal agency may issue regulations on suitable procedures
for implementing the provisions of this section; however, implementation
of this section shall not be delayed until issuance of such regulations.
(2) The agency in permitting a Federal laboratory to enter into
agreements under this section shall be guided by the purposes of this
chapter.
(3)(A) Any agency using the authority given it under subsection (a)
of this section shall review standards of conduct for its employees for
resolving potential conflicts of interest to make sure they adequately
establish guidelines for situations likely to arise through the use of
this authority, including but not limited to cases where present or
former employees or their partners negotiate licenses or assignments of
titles to inventions or negotiate cooperative research and development
agreements with Federal agencies (including the agency with which the
employee involved is or was formerly employed).
(B) If, in implementing subparagraph (A), an agency is unable to
resolve potential conflicts of interest within its current statutory
framework, it shall propose necessary statutory changes to be forwarded
to its authorizing committees in Congress.
(4) The laboratory director in deciding what cooperative research
and development agreements to enter into shall--
(A) give special consideration to small business firms, and
consortia involving small business firms; and
(B) give preference to business units located in the United
States which agree that products embodying inventions made under the
cooperative research and development agreement or produced through
the use of such inventions will be manufactured substantially in the
United States and, in the case of any industrial organization or
other person subject to the control of a foreign company or
government, as appropriate, take into consideration whether or not
such foreign government permits United States agencies,
organizations, or other persons to enter into cooperative research
and development agreements and licensing agreements.
(5)(A) If the head of the agency or his designee desires an
opportunity to disapprove or require the modification of any such
agreement presented by the director of a Government-operated laboratory,
the agreement shall provide a 30-day period within which such action
must be taken beginning on the date the agreement is presented to him or
her by the head of the laboratory concerned.
(B) In any case in which the head of an agency or his designee
disapproves or requires the modification of an agreement presented by
the director of a Government-operated laboratory under this section, the
head of the agency or such designee shall transmit a written explanation
of such disapproval or modification to the head of the laboratory
concerned.
(C)(i) Any non-Federal entity that operates a laboratory pursuant to
a contract with a Federal agency shall submit to the agency any
cooperative research and development agreement that the entity proposes
to enter into and the joint work statement if required with respect to
that agreement.
(ii) A Federal agency that receives a proposed agreement and joint
work statement under clause (i) shall review and approve, request
specific modifications to, or disapprove the proposed agreement and
joint work statement within 30 days after such submission. No agreement
may be entered into by a Government-owned, contractor-operated
laboratory under this section before both approval of the agreement and
approval of a joint work statement under this clause.
(iii) In any case in which an agency which has contracted with an
entity referred to in clause (i) disapproves or requests the
modification of a cooperative research and development agreement or
joint work statement submitted under that clause, the agency shall
transmit a written explanation of such disapproval or modification to
the head of the laboratory concerned.
(iv) Any agency that has contracted with a non-Federal entity to
operate a laboratory may develop and provide to such laboratory one or
more model cooperative research and development agreements for purposes
of standardizing practices and procedures, resolving common legal
issues, and enabling review of cooperative research and development
agreements to be carried out in a routine and prompt manner.
(v) A Federal agency may waive the requirements of clause (i) or
(ii) under such circumstances as the agency considers appropriate.
(6) Each agency shall maintain a record of all agreements entered
into under this section.
(7)(A) No trade secrets or commercial or financial information that
is privileged or confidential, under the meaning of section 552(b)(4) of
title 5, which is obtained in the conduct of research or as a result of
activities under this chapter from a non-Federal party participating in
a cooperative research and development agreement shall be disclosed.
(B) The director, or in the case of a contractor-operated
laboratory, the agency, for a period of up to 5 years after development
of information that results from research and development activities
conducted under this chapter and that would be a trade secret or
commercial or financial information that is privileged or confidential
if the information had been obtained from a non-Federal party
participating in a cooperative research and development agreement, may
provide appropriate protections against the dissemination of such
information, including exemption from subchapter II of chapter 5 of
title 5.
(d) Definitions
As used in this section--
(1) the term ``cooperative research and development agreement''
means any agreement between one or more Federal laboratories and one
or more non-Federal parties under which the Government, through its
laboratories, provides personnel, services, facilities, equipment,
intellectual property, or other resources with or without
reimbursement (but not funds to non-Federal parties) and the non-
Federal parties provide funds, personnel, services, facilities,
equipment, intellectual property, or other resources toward the
conduct of specified research or development efforts which are
consistent with the missions of the laboratory; except that such
term does not include a procurement contract or cooperative
agreement as those terms are used in sections 6303, 6304, and 6305
of title 31;
(2) the term ``laboratory'' means--
(A) a facility or group of facilities owned, leased, or
otherwise used by a Federal agency, a substantial purpose of
which is the performance of research, development, or
engineering by employees of the Federal Government;
(B) a group of Government-owned, contractor-operated
facilities (including a weapon production facility of the
Department of Energy) under a common contract, when a
substantial purpose of the contract is the performance of
research and development, or the production, maintenance,
testing, or dismantlement of a nuclear weapon or its components,
for the Federal Government; and
(C) a Government-owned, contractor-operated facility
(including a weapon production facility of the Department of
Energy) that is not under a common contract described in
subparagraph (B), and the primary purpose of which is the
performance of research and development, or the production,
maintenance, testing, or dismantlement of a nuclear weapon or
its components, for the Federal Government,
but such term does not include any facility covered by Executive
Order No. 12344, dated February 1, 1982, pertaining to the naval
nuclear propulsion program;
(3) the term ``joint work statement'' means a proposal prepared
for a Federal agency by the director of a Government-owned,
contractor-operated laboratory describing the purpose and scope of a
proposed cooperative research and development agreement, and
assigning rights and responsibilities among the agency, the
laboratory, and any other party or parties to the proposed
agreement; and
(4) the term ``weapon production facility of the Department of
Energy'' means a facility under the control or jurisdiction of the
Secretary of Energy that is operated for national security purposes
and is engaged in the production, maintenance, testing, or
dismantlement of a nuclear weapon or its components.
(e) Determination of laboratory missions
For purposes of this section, an agency shall make separate
determinations of the mission or missions of each of its laboratories.
(f) Relationship to other laws
Nothing in this section is intended to limit or diminish existing
authorities of any agency.
(g) Principles
In implementing this section, each agency which has contracted with
a non-Federal entity to operate a laboratory shall be guided by the
following principles:
(1) The implementation shall advance program missions at the
laboratory, including any national security mission.
(2) Classified information and unclassified sensitive
information protected by law, regulation, or Executive order shall
be appropriately safeguarded.
(Pub. L. 96-480, Sec. 12, as added and renumbered Sec. 11, Pub. L. 99-
502, Secs. 2, 9(e)(1), Oct. 20, 1986, 100 Stat. 1785, 1797; renumbered
Sec. 12, Pub. L. 100-418, title V, Sec. 5122(a)(1), Aug. 23, 1988, 102
Stat. 1438; amended Pub. L. 100-519, title III, Sec. 301, Oct. 24, 1988,
102 Stat. 2597; Pub. L. 101-189, div. C, title XXXI, Sec. 3133(a), (b),
Nov. 29, 1989, 103 Stat. 1675, 1677; Pub. L. 102-25, title VII,
Sec. 705(g), Apr. 6, 1991, 105 Stat. 121; Pub. L. 102-245, title III,
Sec. 302(a), Feb. 14, 1992, 106 Stat. 20; Pub. L. 102-484, div. C, title
XXXI, Sec. 3135(a), Oct. 23, 1992, 106 Stat. 2640; Pub. L. 103-160, div.
C, title XXXI, Sec. 3160, Nov. 30, 1993, 107 Stat. 1957; Pub. L. 104-
113, Sec. 4, Mar. 7, 1996, 110 Stat. 775; Pub. L. 106-398, Sec. 1 [div.
C, title XXXI, Sec. 3196], Oct. 30, 2000, 114 Stat. 1654, 1654A-481;
Pub. L. 106-404, Sec. 3, Nov. 1, 2000, 114 Stat. 1742.)
References in Text
Executive Order No. 12344, referred to in subsec. (d)(2), is set out
as a note under section 7158 of Title 42, The Public Health and Welfare.
Amendments
2000--Subsec. (a). Pub. L. 106-398, Sec. 1 [div. C, title XXXI,
Sec. 3196(a)], substituted ``joint work statement or, if permitted by
the agency, in an agency-approved annual strategic plan,'' for ``joint
work statement,'' in introductory provisions.
Subsec. (b)(1). Pub. L. 106-404, in first sentence, inserted ``or,
subject to section 209 of title 35, may grant a license to an invention
which is federally owned, for which a patent application was filed
before the signing of the agreement, and directly within the scope of
the work under the agreement,'' after ``under the agreement,''.
Subsec. (b)(6). Pub. L. 106-398, Sec. 1 [div. C, title XXXI,
Sec. 3196(b)], added par. (6).
Subsec. (c)(5)(C), (D). Pub. L. 106-398, Sec. 1 [div. C, title XXXI,
Sec. 3196(c)], redesignated subpar. (D) as (C), struck out ``with a
small business firm'' after ``enter into'' and inserted ``if'' after
``statement'' in cl. (i), added cls. (iv) and (v), and struck out former
subpar. (C) which related to the duties of an agency which has
contracted with a non-Federal entity to operate a laboratory with
respect to review and approval of joint work statements and agreements
under this section and with respect to providing the entity with model
cooperative research and development agreements.
1996--Subsec. (b). Pub. L. 104-113 amended subsec. (b) generally, to
require that laboratory ensure that collaborating party be provided
option of choosing exclusive license for pre-negotiated field of use for
any invention under agreement or that collaborating party be offered
option of holding licensing rights that collectively encompass rights
that would be held under such exclusive license by one party, to set
forth explicit conditions that grants under par. (1) were to be subject
to, and to require laboratory to ensure that collaborating party might
retain title to any invention made solely by its employee in exchange
for normally granting Government nonexclusive, nontransferable,
irrevocable, paid-up license to practice invention by or on behalf of
Government for research or for other Government purposes.
1993--Subsec. (d)(2)(B). Pub. L. 103-160, Sec. 3160(1), inserted
``(including a weapon production facility of the Department of Energy)''
after ``facilities'' and ``, or the production, maintenance, testing, or
dismantlement of a nuclear weapon or its components,'' after ``research
and development''.
Subsec. (d)(2)(C). Pub. L. 103-160, Sec. 3160(2), inserted
``(including a weapon production facility of the Department of Energy)''
after ``facility'' and ``, or the production, maintenance, testing, or
dismantlement of a nuclear weapon or its components,'' after ``research
and development''.
Subsec. (d)(4). Pub. L. 103-160, Sec. 3160(3)-(5), added par. (4).
1992--Subsec. (c)(5)(C)(i). Pub. L. 102-484, Sec. 3135(a)(1),
substituted ``Except as provided in subparagraph (D), any agency'' for
``Any agency''.
Subsec. (c)(5)(D). Pub. L. 102-484, Sec. 3135(a)(2), added subpar.
(D).
Subsec. (d)(1). Pub. L. 102-245 inserted ``intellectual property,''
after ``equipment,'' in two places.
1991--Subsec. (d)(2). Pub. L. 102-25 substituted ``naval'' for
``Naval'' in concluding provisions.
1989--Subsec. (a). Pub. L. 101-189, Sec. 3133(a)(1)(A), inserted ``,
and, to the extent provided in an agency-approved joint work statement,
the director of any of its Government-owned, contractor-operated
laboratories'' after ``Government-operated Federal laboratories'' in
introductory provisions.
Subsec. (a)(2). Pub. L. 101-189, Sec. 3133(a)(1)(B), (C),
substituted ``(in the case of a Government-owned, contractor-operated
laboratory, subject to subsection (c) of this section) for'' for ``for
Government-owned'' and struck out ``of Federal employees'' before ``that
may be voluntarily''.
Subsec. (b). Pub. L. 101-189, Sec. 3133(a)(2)(A), (C), inserted ``,
and, to the extent provided in an agency-approved joint work statement,
a Government-owned, contractor-operated laboratory,'' after
``Government-operated Federal laboratory'' in introductory provisions
and inserted concluding provisions ``A Government-owned, contractor-
operated laboratory that enters into a cooperative research and
development agreement under subsection (a)(1) of this section may use or
obligate royalties or other income accruing to such laboratory under
such agreement with respect to any invention only (i) for payments to
inventors; (ii) for the purposes described in section 3710c(a)(1)(B)(i),
(ii), and (iv) of this title; and (iii) for scientific research and
development consistent with the research and development mission and
objectives of the laboratory.''
Subsec. (b)(2). Pub. L. 101-189, Sec. 3133(a)(2)(B), substituted ``a
laboratory employee'' for ``a Federal employee''.
Subsec. (c)(3)(A). Pub. L. 101-189, Sec. 3133(a)(3), substituted
``standards of conduct for its employees'' for ``employee standards of
conduct''.
Subsec. (c)(5)(A). Pub. L. 101-189, Sec. 3133(a)(4), inserted
``presented by the director of a Government-operated laboratory'' after
``any such agreement''.
Subsec. (c)(5)(B). Pub. L. 101-189, Sec. 3133(a)(5), inserted ``by
the director of a Government-operated laboratory'' after ``an agreement
presented''.
Subsec. (c)(5)(C). Pub. L. 101-189, Sec. 3133(a)(6), added subpar.
(C).
Subsec. (c)(7). Pub. L. 101-189, Sec. 3133(a)(7), added par. (7).
Subsec. (d)(2). Pub. L. 101-189, Sec. 3133(a)(8)(B), amended par.
(2) generally. Prior to amendment, par. (2) read as follows: ``the term
`laboratory' means a facility or group of facilities owned, leased, or
otherwise used by a Federal agency, a substantial purpose of which is
the performance of research, development, or engineering by employees of
the Federal Government.''
Subsec. (d)(3). Pub. L. 101-189, Sec. 3133(a)(8)(A), (C), added par.
(3).
Subsec. (g). Pub. L. 101-189, Sec. 3133(b), added subsec. (g).
1988--Subsec. (a)(2). Pub. L. 100-519, Sec. 301(1), substituted ``or
other intellectual property developed at the laboratory and other
inventions or other intellectual property'' for ``at the laboratory and
other inventions''.
Subsec. (b)(4), (5). Pub. L. 100-519, Sec. 301(2), added par. (4)
and redesignated former par. (4) as (5).
Review of Cooperative Research and Development Agreement Procedures
Pub. L. 106-404, Sec. 8, Nov. 1, 2000, 114 Stat. 1746, provided
that:
``(a) Review.--Within 90 days after the date of the enactment of
this Act [Nov. 1, 2000], each Federal agency with a federally funded
laboratory that has in effect on that date of the enactment one or more
cooperative research and development agreements under section 12 of the
Stevenson-Wydler Technology Innovation Act of 1980 (15 U.S.C. 3710a)
shall report to the Committee on National Security of the National
Science and Technology Council and the Congress on the general policies
and procedures used by that agency to gather and consider the views of
other agencies on--
``(1) joint work statements under section 12(c)(5)(C) or (D) of
the Stevenson-Wydler Technology Innovation Act of 1980 (15 U.S.C.
3710a(c)(5)(C) or (D)); or
``(2) in the case of laboratories described in section
12(d)(2)(A) of the Stevenson-Wydler Technology Innovation Act of
1980 (15 U.S.C. 3710a(d)(2)(A)), cooperative research and
development agreements under such section 12,
with respect to major proposed cooperative research and development
agreements that involve critical national security technology or may
have a significant impact on domestic or international competitiveness.
``(b) Procedures.--Within 1 year after the date of the enactment of
this Act [Nov. 1, 2000], the Committee on National Security of the
National Science and Technology Council, in conjunction with relevant
Federal agencies and national laboratories, shall--
``(1) determine the adequacy of existing procedures and methods
for interagency coordination and awareness with respect to
cooperative research and development agreements described in
subsection (a); and
``(2) establish and distribute to appropriate Federal agencies--
``(A) specific criteria to indicate the necessity for
gathering and considering the views of other agencies on joint
work statements or cooperative research and development
agreements as described in subsection (a); and
``(B) additional procedures, if any, for carrying out such
gathering and considering of agency views with respect to
cooperative research and development agreements described in
subsection (a).
Procedures established under this subsection shall be designed to the
extent possible to use or modify existing procedures, to minimize
burdens on Federal agencies, to encourage industrial partnerships with
national laboratories, and to minimize delay in the approval or
disapproval of joint work statements and cooperative research and
development agreements.
``(c) Limitation.--Nothing in this Act [see Short Title of 2000
Amendment note set out under section 3701 of this title], nor any
procedures established under this section shall provide to the Office of
Science and Technology Policy, the National Science and Technology
Council, or any Federal agency the authority to disapprove a cooperative
research and development agreement or joint work statement, under
section 12 of the Stevenson-Wydler Technology Innovation Act of 1980 (15
U.S.C. 3710a), of another Federal agency.''
Magnetic Levitation Technology
The Secretary of the Army, in cooperation with the Secretary of
Transportation, authorized to conduct research and development
activities on magnetic levitation technology using contracts or
cooperative research and development agreements under this section, see
section 417 of Pub. L. 101-640, set out as a note under section 2313 of
Title 33, Navigation and Navigable Waters.
Contract Provisions
Section 3133(d) of Pub. L. 101-189, as amended by Pub. L. 101-510,
div. A, title VIII, Sec. 828(a), Nov. 5, 1990, 104 Stat. 1607, provided
that:
``(1) Not later than 150 days after the date of enactment of this
Act [Nov. 29, 1989], each agency which has contracted with a non-Federal
entity to operate a Government-owned laboratory shall propose for
inclusion in that laboratory's operating contract, to the extent not
already included and subject to paragraph (6), appropriate contract
provisions that--
``(A) establish technology transfer, including cooperative
research and development agreements, as a mission for the laboratory
under section 11(a)(1) of the Stevenson-Wydler Technology Innovation
Act of 1980 [15 U.S.C. 3710(a)(1)];
``(B) describe the respective obligations and responsibilities
of the agency and the laboratory with respect to 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 under section 3701 of this title]
and section 12 of the Stevenson-Wydler Technology Innovation Act of
1980 [15 U.S.C. 3710a];
``(C) require that, except as provided in paragraph (2), no
employee of the laboratory shall have a substantial role (including
an advisory role) in the preparation, negotiation, or approval of a
cooperative research and development agreement if, to such
employee's knowledge--
``(i) such employee, or the spouse, child, parent, sibling,
or partner of such employee, or an organization (other than the
laboratory) in which such employee serves as an officer,
director, trustee, partner, or employee--
``(I) holds a financial interest in any entity, other
than the laboratory, that has a substantial interest in the
preparation, negotiation, or approval of the cooperative
research and development agreement; or
``(II) receives a gift or gratuity from any entity,
other than the laboratory, that has a substantial interest
in the preparation, negotiation, or approval of the
cooperative research and development agreement; or
``(ii) a financial interest in any entity, other than the
laboratory, that has a substantial interest in the preparation,
negotiation, or approval of the cooperative research and
development agreement, is held by any person or organization
with whom such employee is negotiating or has any arrangement
concerning prospective employment;
``(D) require that each employee of the laboratory who
negotiates or approves a cooperative research and development
agreement shall certify to the agency that the circumstances
described in subparagraph (C)(i) and (ii) do not apply to such
employee;
``(E) require the laboratory to widely disseminate information
on opportunities to participate with the laboratory in technology
transfer, including cooperative research and development agreements;
and
``(F) provides for an accounting of all royalty or other income
received under cooperative research and development agreements.
``(2) The requirements described in paragraph (1)(C) and (D) shall
not apply in a case where the negotiating or approving employee advises
the agency that reviewed the applicable joint work statement under
section 12(c)(5)(C)(i) of the Stevenson-Wydler Technology Innovation Act
of 1980 [15 U.S.C. 3710a(c)(5)(C)(i)] in advance of the matter in which
he is to participate and the nature of any financial interest described
in paragraph (1)(C), and where the agency employee determines that such
financial interest is not so substantial as to be considered likely to
affect the integrity of the laboratory employee's service in that
matter.
``(3) Not later than 180 days after the date of enactment of this
Act [Nov. 29, 1989], each agency which has contracted with a non-Federal
entity to operate a Government-owned laboratory shall submit a report to
the Congress which includes a copy of each contract provision amended
pursuant to this subsection.
``(4) No Government-owned, contractor-operated laboratory may enter
into a cooperative research and development agreement under section 12
of the Stevenson-Wydler Technology Innovation Act of 1980 [15 U.S.C.
3710a] unless--
``(A) that laboratory's operating contract contains the
provisions described in paragraph (1)(A) through (F); or
``(B) such laboratory agrees in a separate writing to be bound
by the provisions described in paragraph (1)(A) through (F).
``(5) Any contract for a Government-owned, contractor-operated
laboratory entered into after the expiration of 150 days after the date
of enactment of this Act [Nov. 29, 1989] shall contain the provisions
described in paragraph (1)(A) through (F).
``(6) Contract provisions referred to in paragraph (1) shall include
only such provisions as are necessary to carry out paragraphs (1) and
(2) of this subsection.''
[Pub. L. 101-510, div. A, title VIII, Sec. 828(b), Nov. 5, 1990, 104
Stat. 1607, provided that: ``Paragraph (6) of 3133(d) of such Act [Pub.
L. 101-189, set out above], as added by subsection (a), shall apply only
to contracts entered into after the date of enactment of this Act [Nov.
5, 1990].'']
Section Referred to in Other Sections
This section is referred to in sections 278n, 3710c, 3714, 3715,
5528 of this title; title 6 section 189; title 7 section 7624; title 10
sections 2371a, 2500, 2519; title 23 sections 403, 502; title 33 section
2313; title 35 section 209; title 42 sections 2123, 13541; title 49
section 309.
