-CITE-

15 USC CHAPTER 63 - TECHNOLOGY INNOVATION 01/06/03

-EXPCITE-

TITLE 15 - COMMERCE AND TRADE

CHAPTER 63 - TECHNOLOGY INNOVATION

.

-HEAD-

CHAPTER 63 - TECHNOLOGY INNOVATION

-MISC1-

Sec.

3701. Findings.

3702. Purpose.

3703. Definitions.

3704. Commerce and technological innovation.

(a) Establishment.

(b) Under Secretary and Assistant Secretary.

(c) Duties.

(d) Japanese technical literature.

(e) Omitted.

(f) Experimental Program to Stimulate Competitive

Technology.

3704a. Clearinghouse for State and Local Initiatives on

Productivity, Technology, and Innovation.

(a) Establishment.

(b) Responsibilities.

(c) Contracts.

3704b. National Technical Information Service.

(a) Powers.

(b) Director of the Service.

(c) Advisory Board.

(d) Audits.

(e) Functions.

(f) Notification of Congress.

3704b-1. Recovery of operating costs through fee collections.

3704b-2. Transfer of Federal scientific and technical information.

(a) Transfer.

(b) Omitted.

3705. Cooperative Research Centers.

(a) Establishment.

(b) Activities.

(c) Requirements.

(d) Planning grants.

(e) Research and development utilization.

3706. Grants and cooperative agreements.

(a) In general.

(b) Eligibility and procedure.

(c) Terms and conditions.

3707. National Science Foundation Cooperative Research Centers.

(a) Establishment and provisions.

(b) Planning grants.

(c) Terms and conditions.

3708. Administrative arrangements.

(a) Coordination.

(b) Cooperation.

(c) Administrative authorization.

(d) Cooperative efforts.

3709. Repealed.

3710. Utilization of Federal technology.

(a) Policy.

(b) Establishment of Research and Technology

Applications Offices.

(c) Functions of Research and Technology Applications

Offices.

(d) Dissemination of technical information.

(e) Establishment of Federal Laboratory Consortium

for Technology Transfer.

(f) Agency reports on utilization.

(g) Functions of Secretary.

(h) Duplication of reporting.

(i) Research equipment.

3710a. Cooperative research and development agreements.

(a) General authority.

(b) Enumerated authority.

(c) Contract considerations.

(d) Definitions.

(e) Determination of laboratory missions.

(f) Relationship to other laws.

(g) Principles.

3710b. Rewards for scientific, engineering, and technical personnel

of Federal agencies.

3710c. Distribution of royalties received by Federal agencies.

(a) In general.

(b) Certain assignments.

(c) Reports.

3710d. Employee activities.

(a) In general.

(b) ''Special Government employees'' defined.

(c) Relationship to other laws.

3711. National Technology Medal.

(a) Establishment.

(b) Award.

(c) Presentation.

3711a. Malcolm Baldrige National Quality Award.

(a) Establishment.

(b) Making and presentation of award.

(c) Categories in which award may be given.

(d) Criteria for qualification.

(e) Information and technology transfer program.

(f) Funding.

(g) Report.

3711b. Conference on advanced automotive technologies.

3711c. Advanced motor vehicle research award.

(a) Establishment.

(b) Making and presenting award.

(c) Funding for award.

3712. Personnel exchanges.

3713. Authorization of appropriations.

3714. Spending authority.

3715. Use of partnership intermediaries.

(a) Authority.

(b) Omitted.

(c) ''Partnership intermediary'' defined.

3716. Critical industries.

(a) Identification of industries and development of

plan.

(b) Initial report.

3717. National Quality Council.

(a) Establishment and functions.

(b) Membership.

(c) Terms.

(d) Chairman and Vice Chairman.

(e) Executive Director and employees.

(f) Funding.

(g) Contributions.

(h) Annual report.

-SECREF-

CHAPTER REFERRED TO IN OTHER SECTIONS

This chapter is referred to in section 5203 of this title; title

7 section 7624; title 10 section 2902; title 22 section 2656d;

title 23 sections 403, 502; title 29 section 3032; title 30 section

1805; title 33 section 2313; title 35 section 210; title 42 section

13541; title 43 section 390h-3; title 49 sections 309, 44501.

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15 USC Sec. 3701 01/06/03

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TITLE 15 - COMMERCE AND TRADE

CHAPTER 63 - TECHNOLOGY INNOVATION

-HEAD-

Sec. 3701. Findings

-STATUTE-

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.

-SOURCE-

(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.)

-MISC1-

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 (Sec. 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 (Sec. 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 (Sec.

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.''

-EXEC-

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.

-CITE-

15 USC Sec. 3702 01/06/03

-EXPCITE-

TITLE 15 - COMMERCE AND TRADE

CHAPTER 63 - TECHNOLOGY INNOVATION

-HEAD-

Sec. 3702. Purpose

-STATUTE-

It is the purpose of this chapter to improve the economic,

environmental, and social well-being of the United States by -

(1) establishing organizations in the executive branch to study

and stimulate technology;

(2) promoting technology development through the establishment

of cooperative research centers;

(3) stimulating improved utilization of federally funded

technology developments, including inventions, software, and

training technologies, by State and local governments and the

private sector;

(4) providing encouragement for the development of technology

through the recognition of individuals and companies which have

made outstanding contributions in technology; and

(5) encouraging the exchange of scientific and technical

personnel among academia, industry, and Federal laboratories.

-SOURCE-

(Pub. L. 96-480, Sec. 3, Oct. 21, 1980, 94 Stat. 2312; Pub. L.

99-502, Sec. 9(b)(1), (f)(2), Oct. 20, 1986, 100 Stat. 1795, 1797.)

-MISC1-

AMENDMENTS

1986 - Par. (2). Pub. L. 99-502, Sec. 9(b)(1), substituted

''cooperative research centers'' for ''centers for industrial

technology''.

Par. (3). Pub. L. 99-502, Sec. 9(f)(2), inserted '', including

inventions, software, and training technologies,''.

-CITE-

15 USC Sec. 3703 01/06/03

-EXPCITE-

TITLE 15 - COMMERCE AND TRADE

CHAPTER 63 - TECHNOLOGY INNOVATION

-HEAD-

Sec. 3703. Definitions

-STATUTE-

As used in this chapter, unless the context otherwise requires,

the term -

(1) ''Office'' means the Office of Technology Policy

established under section 3704 of this title.

(2) ''Secretary'' means the Secretary of Commerce.

(3) ''Under Secretary'' means the Under Secretary of Commerce

for Technology appointed under section 3704(b)(1) of this title.

(4) ''Centers'' means the Cooperative Research Centers

established under section 3705 or 3707 of this title.

(5) ''Nonprofit institution'' means an organization owned and

operated exclusively for scientific or educational purposes, no

part of the net earnings of which inures to the benefit of any

private shareholder or individual.

(6) ''Federal laboratory'' means any laboratory, any federally

funded research and development center, or any center established

under section 3705 or 3707 of this title that is owned, leased,

or otherwise used by a Federal agency and funded by the Federal

Government, whether operated by the Government or by a

contractor.

(7) ''Supporting agency'' means either the Department of

Commerce or the National Science Foundation, as appropriate.

(8) ''Federal agency'' means any executive agency as defined in

section 105 of title 5 and the military departments as defined in

section 102 of such title, as well as any agency of the

legislative branch of the Federal Government.

(9) ''Invention'' means any invention or discovery which is or

may be patentable or otherwise protected under title 35 or any

novel variety of plant which is or may be protectable under the

Plant Variety Protection Act (7 U.S.C. 2321 et seq.).

(10) ''Made'' when used in conjunction with any invention means

the conception or first actual reduction to practice of such

invention.

(11) ''Small business firm'' means a small business concern as

defined in section 632 of this title and implementing regulations

of the Administrator of the Small Business Administration.

(12) ''Training technology'' means computer software and

related materials which are developed by a Federal agency to

train employees of such agency, including but not limited to

software for computer-based instructional systems and for

interactive video disc systems.

(13) ''Clearinghouse'' means the Clearinghouse for State and

Local Initiatives on Productivity, Technology, and Innovation

established by section 3704a of this title.

-SOURCE-

(Pub. L. 96-480, Sec. 4, Oct. 21, 1980, 94 Stat. 2312; Pub. L.

99-502, Sec. 9(b)(2), (d), Oct. 20, 1986, 100 Stat. 1795, 1796;

Pub. L. 100-418, title V, Sec. 5122(b), Aug. 23, 1988, 102 Stat.

1439; Pub. L. 100-519, title II, Sec. 201(d)(1), Oct. 24, 1988, 102

Stat. 2594; Pub. L. 102-245, title III, Sec. 304, Feb. 14, 1992,

106 Stat. 20; Pub. L. 106-404, Sec. 7(1), (2), Nov. 1, 2000, 114

Stat. 1745.)

-REFTEXT-

REFERENCES IN TEXT

The Plant Variety Protection Act, referred to in par. (9), is

Pub. L. 91-577, Dec. 24, 1970, 84 Stat. 1542, as amended, which is

classified principally to chapter 57 (Sec. 2321 et seq.) of Title

7, Agriculture. For complete classification of this Act to the

Code, see Short Title note set out under section 2321 of Title 7

and Tables.

-MISC2-

AMENDMENTS

2000 - Pars. (4), (6). Pub. L. 106-404 made technical amendments

to references in original act which appear in text as references to

sections 3705 and 3707 of this title.

1992 - Par. (8). Pub. L. 102-245 inserted before period at end

'', as well as any agency of the legislative branch of the Federal

Government''.

1988 - Par. (1). Pub. L. 100-519, Sec. 201(d)(1)(A), substituted

''Technology Policy'' for ''Productivity, Technology, and

Innovation''.

Par. (3). Pub. L. 100-519, Sec. 201(d)(1)(B), amended par. (3)

generally, substituting provisions defining ''Under Secretary'' for

provisions defining ''Assistant Secretary''.

Par. (13). Pub. L. 100-418 added par. (13).

1986 - Par. (1). Pub. L. 99-502, Sec. 9(b)(2)(A), substituted

''Productivity, Technology, and Innovation'' for ''Industrial

Technology''.

Par. (3). Pub. L. 99-502, Sec. 9(b)(2)(B), substituted ''

'Assistant Secretary' means the Assistant Secretary for

Productivity, Technology, and Innovation'' for '' 'Director' means

the Director of the Office of Industrial Technology''.

Par. (4). Pub. L. 99-502, Sec. 9(b)(2)(C), substituted

''Cooperative Research Centers'' for ''Centers for Industrial

Technology''.

Par. (6). Pub. L. 99-502, Sec. 9(b)(2)(D), (E), redesignated par.

(7) as (6), substituted ''owned, leased, or otherwise used by a

Federal agency and funded'' for ''owned and funded'', and struck

out former par. (6) which defined ''Board'' to mean the National

Industrial Technology Board established pursuant to section 3709 of

this title.

Pars. (7) to (12). Pub. L. 99-502, Sec. 9(b)(2)(D), (d),

redesignated pars. (7) and (8) as (6) and (7), respectively, and

added pars. (8) to (12).

-SECREF-

SECTION REFERRED TO IN OTHER SECTIONS

This section is referred to in section 638 of this title.

-CITE-

15 USC Sec. 3704 01/06/03

-EXPCITE-

TITLE 15 - COMMERCE AND TRADE

CHAPTER 63 - TECHNOLOGY INNOVATION

-HEAD-

Sec. 3704. Commerce and technological innovation

-STATUTE-

(a) Establishment

There is established in the Department of Commerce a Technology

Administration, which shall operate in accordance with the

provisions, findings, and purposes of this chapter. The Technology

Administration shall include -

(1) the National Institute of Standards and Technology;

(2) the National Technical Information Service; and

(3) a policy analysis office, which shall be known as the

Office of Technology Policy.

(b) Under Secretary and Assistant Secretary

The President shall appoint, by and with the advice and consent

of the Senate, to the extent provided for in appropriations Acts -

(1) an Under Secretary of Commerce for Technology, who shall be

compensated at the rate provided for level III of the Executive

Schedule in section 5314 of title 5; and

(2) an Assistant Secretary of Commerce for Technology Policy,

who shall serve as policy analyst for the Under Secretary.

(c) Duties

The Secretary, through the Under Secretary, as appropriate, shall

-

(1) manage the Technology Administration and supervise its

agencies, programs, and activities;

(2) conduct technology policy analyses to improve United States

industrial productivity, technology, and innovation, and

cooperate with United States industry in the improvement of its

productivity, technology, and ability to compete successfully in

world markets;

(3) carry out any functions formerly assigned to the Office of

Productivity, Technology, and Innovation;

(4) assist in the implementation of the Metric Conversion Act

of 1975 (15 U.S.C. 205a et seq.);

(5) determine the relationships of technological developments

and international technology transfers to the output, employment,

productivity, and world trade performance of United States and

foreign industrial sectors;

(6) determine the influence of economic, labor and other

conditions, industrial structure and management, and government

policies on technological developments in particular industrial

sectors worldwide;

(7) identify technological needs, problems, and opportunities

within and across industrial sectors that, if addressed, could

make a significant contribution to the economy of the United

States;

(8) assess whether the capital, technical and other resources

being allocated to domestic industrial sectors which are likely

to generate new technologies are adequate to meet private and

social demands for goods and services and to promote productivity

and economic growth;

(9) propose and support studies and policy experiments, in

cooperation with other Federal agencies, to determine the

effectiveness of measures with the potential of advancing United

States technological innovation;

(10) provide that cooperative efforts to stimulate industrial

innovation be undertaken between the Under Secretary and other

officials in the Department of Commerce responsible for such

areas as trade and economic assistance;

(11) encourage and assist the creation of centers and other

joint initiatives by State or local governments, regional

organizations, private businesses, institutions of higher

education, nonprofit organizations, or Federal laboratories to

encourage technology transfer, to stimulate innovation, and to

promote an appropriate climate for investment in

technology-related industries;

(12) propose and encourage cooperative research involving

appropriate Federal entities, State or local governments,

regional organizations, colleges or universities, nonprofit

organizations, or private industry to promote the common use of

resources, to improve training programs and curricula, to

stimulate interest in high technology careers, and to encourage

the effective dissemination of technology skills within the wider

community;

(13) serve as a focal point for discussions among United States

companies on topics of interest to industry and labor, including

discussions regarding manufacturing and discussions regarding

emerging technologies;

(14) consider government measures with the potential of

advancing United States technological innovation and exploiting

innovations of foreign origin; and

(15) publish the results of studies and policy experiments.

(d) Japanese technical literature

(1) In addition to the duties specified in subsection (c) of this

section, the Secretary and the Under Secretary shall establish, and

through the National Technical Information Service and with the

cooperation of such other offices within the Department of Commerce

as the Secretary considers appropriate, maintain a program

(including an office in Japan) which shall, on a continuing basis -

(A) monitor Japanese technical activities and developments;

(B) consult with businesses, professional societies, and

libraries in the United States regarding their needs for

information on Japanese developments in technology and

engineering;

(C) acquire and translate selected Japanese technical reports

and documents that may be of value to agencies and departments of

the Federal Government, and to businesses and researchers in the

United States; and

(D) coordinate with other agencies and departments of the

Federal Government to identify significant gaps and avoid

duplication in efforts by the Federal Government to acquire,

translate, index, and disseminate Japanese technical information.

Activities undertaken pursuant to subparagraph (C) of this

paragraph shall only be performed on a cost-reimbursable basis.

Translations referred to in such subparagraph shall be performed

only to the extent that they are not otherwise available from

sources within the private sector in the United States.

(2) Beginning in 1986, the Secretary shall prepare annual reports

regarding important Japanese scientific discoveries and technical

innovations in such areas as computers, semiconductors,

biotechnology, and robotics and manufacturing. In preparing such

reports, the Secretary shall consult with professional societies

and businesses in the United States. The Secretary may, to the

extent provided in advance by appropriation Acts, contract with

private organizations to acquire and translate Japanese scientific

and technical information relevant to the preparation of such

reports.

(3) The Secretary also shall encourage professional societies and

private businesses in the United States to increase their efforts

to acquire, screen, translate, and disseminate Japanese technical

literature.

(4) In addition, the Secretary shall compile, publish, and

disseminate an annual directory which lists -

(A) all programs and services in the United States that

collect, abstract, translate, and distribute Japanese scientific

and technical information; and

(B) all translations of Japanese technical documents performed

by agencies and departments of the Federal Government in the

preceding 12 months that are available to the public.

(5) The Secretary shall transmit to the Congress, within 1 year

after August 14, 1986, a report on the activities of the Federal

Government to collect, abstract, translate, and distribute

declassified Japanese scientific and technical information.

(e) Omitted

(f) Experimental Program to Stimulate Competitive Technology

(1) In general

The Secretary, acting through the Under Secretary, shall

establish for fiscal year 1999 a program to be known as the

Experimental Program to Stimulate Competitive Technology

(referred to in this subsection as the ''program''). The purpose

of the program shall be to strengthen the technological

competitiveness of those States that have historically received

less Federal research and development funds than those received

by a majority of the States.

(2) Arrangements

In carrying out the program, the Secretary, acting through the

Under Secretary, shall -

(A) enter into such arrangements as may be necessary to

provide for the coordination of the program through the State

committees established under the Experimental Program to

Stimulate Competitive Research of the National Science

Foundation; and

(B) cooperate with -

(i) any State science and technology council established

under the program under subparagraph (A); and

(ii) representatives of small business firms and other

appropriate technology-based businesses.

(3) Grants and cooperative agreements

In carrying out the program, the Secretary, acting through the

Under Secretary, may make grants or enter into cooperative

agreements to provide for -

(A) technology research and development;

(B) technology transfer from university research;

(C) technology deployment and diffusion; and

(D) the strengthening of technological capabilities through

consortia comprised of -

(i) technology-based small business firms;

(ii) industries and emerging companies;

(iii) universities; and

(iv) State and local development agencies and entities.

(4) Requirements for making awards

(A) In general

In making awards under this subsection, the Secretary, acting

through the Under Secretary, shall ensure that the awards are

awarded on a competitive basis that includes a review of the

merits of the activities that are the subject of the award.

(B) Matching requirement

The non-Federal share of the activities (other than planning

activities) carried out under an award under this subsection

shall be not less than 25 percent of the cost of those

activities.

(5) Criteria for States

The Secretary, acting through the Under Secretary, shall

establish criteria for achievement by each State that

participates in the program. Upon the achievement of all such

criteria, a State shall cease to be eligible to participate in

the program.

(6) Coordination

To the extent practicable, in carrying out this subsection, the

Secretary, acting through the Under Secretary, shall coordinate

the program with other programs of the Department of Commerce.

(7) Report

(A) In general

Not later than 90 days after October 30, 1998, the Under

Secretary shall prepare and submit a report that meets the

requirements of this paragraph to the Secretary. Upon receipt

of the report, the Secretary shall transmit a copy of the

report to the Committee on Commerce, Science, and

Transportation of the Senate and the Committee on Science of

the House of Representatives.

(B) Requirements for report

The report prepared under this paragraph shall contain with

respect to the program -

(i) a description of the structure and procedures of the

program;

(ii) a management plan for the program;

(iii) a description of the merit-based review process to be

used in the program;

(iv) milestones for the evaluation of activities to be

assisted under the program in fiscal year 1999;

(v) an assessment of the eligibility of each State that

participates in the Experimental Program to Stimulate

Competitive Research of the National Science Foundation to

participate in the program under this subsection; and

(vi) the evaluation criteria with respect to which the

overall management and effectiveness of the program will be

evaluated.

-SOURCE-

(Pub. L. 96-480, Sec. 5, Oct. 21, 1980, 94 Stat. 2312; Pub. L.

99-382, Sec. 2, Aug. 14, 1986, 100 Stat. 811; Pub. L. 99-502, Sec.

9(b)(3)-(5), (e)(2)(A), Oct. 20, 1986, 100 Stat. 1795, 1797; Pub.

L. 100-519, title II, Sec. 201(a)-(c), (d)(2), Oct. 24, 1988, 102

Stat. 2593, 2594; Pub. L. 102-245, title III, Sec. 306, Feb. 14,

1992, 106 Stat. 20; Pub. L. 105-309, Sec. 9, Oct. 30, 1998, 112

Stat. 2938; Pub. L. 106-404, Sec. 7(3), Nov. 1, 2000, 114 Stat.

1745.)

-REFTEXT-

REFERENCES IN TEXT

The Metric Conversion Act of 1975, referred to in subsec. (c)(4),

is Pub. L. 94-168, Dec. 23, 1975, 89 Stat. 1007, as amended, which

is classified generally to subchapter II (Sec. 205a et seq.) of

chapter 6 of this title. For complete classification of this Act

to the Code, see Short Title note set out under section 205a of

this title and Tables.

-COD-

CODIFICATION

Subsec. (e) of this section, which required Secretary to prepare

and submit to President and Congress, within 3 years after Oct. 21,

1980, a report on progress, findings, and conclusions of activities

conducted pursuant to this section and sections 3705, 3707, 3710,

3711, and 3712 of this title (as then in effect) and

recommendations for possible modifications thereof, was omitted

from the Code.

-MISC3-

AMENDMENTS

2000 - Subsec. (c)(11). Pub. L. 106-404 substituted ''State or

local governments'' for ''State of local governments''.

1998 - Subsec. (f). Pub. L. 105-309 added subsec. (f).

1992 - Subsec. (c)(13) to (15). Pub. L. 102-245 added par. (13)

and redesignated former pars. (13) and (14) as (14) and (15),

respectively.

1988 - Subsec. (a). Pub. L. 100-519, Sec. 201(a), amended subsec.

(a) generally. Prior to amendment, subsec. (a) read as follows:

''The Secretary shall establish and maintain an Office of

Productivity, Technology, and Innovation in accordance with the

provisions, findings, and purposes of this chapter.''

Subsec. (b). Pub. L. 100-519, Sec. 201(b), amended subsec. (b)

generally. Prior to amendment, subsec. (b) read as follows: ''The

President shall appoint, by and with the advice and consent of the

Senate, an Assistant Secretary for Productivity, Technology, and

Innovation.''

Subsec. (c). Pub. L. 100-519, Sec. 201(c)(2), substituted ''Under

Secretary, as appropriate,'' for ''Assistant Secretary, on a

continuing basis,'' in introductory provisions.

Subsec. (c)(1) to (9). Pub. L. 100-519, Sec. 201(c)(1), (2),

added pars. (1) to (4) and redesignated former pars. (1) to (5) as

(5) to (9), respectively. Former pars. (6) to (9) redesignated

(10) to (13), respectively.

Subsec. (c)(10). Pub. L. 100-519, Sec. 201(c)(1), (3),

redesignated former par. (6) as (10) and substituted ''Under

Secretary'' for ''Assistant Secretary''. Former par. (10)

redesignated (14).

Subsec. (c)(11) to (14). Pub. L. 100-519, Sec. 201(c)(1),

redesignated former pars. (7) to (10) as (11) to (14),

respectively.

Subsec. (d)(1). Pub. L. 100-519, Sec. 201(d)(2), substituted

''and the Under Secretary shall establish, and through the National

Technical Information Service and with the cooperation of'' for

''shall establish and, through the National Technical Information

Service and''.

1986 - Subsec. (a). Pub. L. 99-502, Sec. 9(b)(3), substituted

''Office of Productivity, Technology, and Innovation'' for ''Office

of Industrial Technology''.

Subsec. (b). Pub. L. 99-502, Sec. 9(b)(4), substituted ''an

Assistant Secretary for Productivity, Technology, and Innovation''

for ''a Director of the Office, who shall be compensated at the

rate provided for level V of the Executive Schedule in section 5316

of title 5''.

Subsec. (c). Pub. L. 99-502, Sec. 9(b)(5)(A), substituted ''the

Assistant Secretary'' for ''the Director'' in provisions preceding

par. (1).

Subsec. (c)(6). Pub. L. 99-502, Sec. 9(b)(5)(A), substituted

''the Assistant Secretary'' for ''the Director''.

Subsec. (c)(7) to (10). Pub. L. 99-502, Sec. 9(b)(5)(B), (C),

added pars. (7) and (8) and redesignated former pars. (7) and (8)

as (9) and (10), respectively.

Subsec. (d). Pub. L. 99-382, Sec. 2(2), added subsec. (d). Former

subsec. (d) redesignated (e).

Subsec. (e). Pub. L. 99-502, Sec. 9(e)(2)(A), which directed the

insertion of ''(as then in effect)'' in subsec. (d), was executed

to subsec. (e) to reflect the probable intent of Congress in view

of the redesignation of subsec. (d) as (e) by Pub. L. 99-382.

Pub. L. 99-382, Sec. 2(1), redesignated subsec. (d) as (e).

TRANSITION PROVISION

Section 201(e) of Pub. L. 100-519 provided that: ''The individual

serving as the Assistant Secretary of Commerce for Productivity,

Technology, and Innovation immediately before the date of enactment

of this Act (Oct. 24, 1988) shall serve as Acting Assistant

Secretary of Commerce for Technology Policy until the Assistant

Secretary takes office.''

COMMERCIAL SPACE PROGRAMS

Section 201(f) of Pub. L. 100-519, as added by Pub. L. 100-685,

title II, Sec. 219, Nov. 17, 1988, 102 Stat. 4095, provided that:

''Nothing in this section (amending sections 3703, 3704, and 3710

of this title and section 5314 of Title 5, Government Organization

and Employees, and enacting provisions set out as a note above)

authorizes the Department to establish an Office of Commercial

Space Programs or to place such an office into the Technology

Administration without prior authorization of the Congress.''

-SECREF-

SECTION REFERRED TO IN OTHER SECTIONS

This section is referred to in sections 3703, 3713 of this title.

-CITE-

15 USC Sec. 3704a 01/06/03

-EXPCITE-

TITLE 15 - COMMERCE AND TRADE

CHAPTER 63 - TECHNOLOGY INNOVATION

-HEAD-

Sec. 3704a. Clearinghouse for State and Local Initiatives on

Productivity, Technology, and Innovation

-STATUTE-

(a) Establishment

There is established within the Office of Productivity,

Technology, and Innovation a Clearinghouse for State and Local

Initiatives on Productivity, Technology, and Innovation. The

Clearinghouse shall serve as a central repository of information on

initiatives by State and local governments to enhance the

competitiveness of American business through the stimulation of

productivity, technology, and innovation and Federal efforts to

assist State and local governments to enhance competitiveness.

(b) Responsibilities

The Clearinghouse may -

(1) establish relationships with State and local governments,

and regional and multistate organizations of such governments,

which carry out such initiatives;

(2) collect information on the nature, extent, and effects of

such initiatives, particularly information useful to the

Congress, Federal agencies, State and local governments, regional

and multistate organizations of such governments, businesses, and

the public throughout the United States;

(3) disseminate information collected under paragraph (2)

through reports, directories, handbooks, conferences, and

seminars;

(4) provide technical assistance and advice to such governments

with respect to such initiatives, including assistance in

determining sources of assistance from Federal agencies which may

be available to support such initiatives;

(5) study ways in which Federal agencies, including Federal

laboratories, are able to use their existing policies and

programs to assist State and local governments, and regional and

multistate organizations of such governments, to enhance the

competitiveness of American business;

(6) make periodic recommendations to the Secretary, and to

other Federal agencies upon their request, concerning

modifications in Federal policies and programs which would

improve Federal assistance to State and local technology and

business assistance programs;

(7) develop methodologies to evaluate State and local programs,

and, when requested, advise State and local governments, and

regional and multistate organizations of such governments, as to

which programs are most effective in enhancing the

competitiveness of American business through the stimulation of

productivity, technology, and innovation; and

(8) make use of, and disseminate, the nationwide study of State

industrial extension programs conducted by the Secretary.

(c) Contracts

In carrying out subsection (b) of this section, the Secretary may

enter into contracts for the purpose of collecting information on

the nature, extent, and effects of initiatives.

-SOURCE-

(Pub. L. 96-480, Sec. 6, as added Pub. L. 100-418, title V, Sec.

5122(a)(2), Aug. 23, 1988, 102 Stat. 1438.)

-COD-

CODIFICATION

Subsec. (d) of this section, which required the Secretary to

prepare and transmit a triennial report to Congress, including

recommendations to the President, Congress, and Federal agencies,

on initiatives by State and local governments to enhance the

competitiveness of American businesses through the stimulation of

productivity, technology, and innovation, terminated, effective May

15, 2000, pursuant to section 3003 of Pub. L. 104-66, as amended,

set out as a note under section 1113 of Title 31, Money and

Finance. See, also, page 50 of House Document No. 103-7.

-SECREF-

SECTION REFERRED TO IN OTHER SECTIONS

This section is referred to in sections 3703, 3713, 3715 of this

title.

-CITE-

15 USC Sec. 3704b 01/06/03

-EXPCITE-

TITLE 15 - COMMERCE AND TRADE

CHAPTER 63 - TECHNOLOGY INNOVATION

-HEAD-

Sec. 3704b. National Technical Information Service

-STATUTE-

(a) Powers

(1) The Secretary of Commerce, acting through the Director of the

National Technical Information Service (hereafter in this section

referred to as the ''Director'') is authorized to do the following:

(A) Enter into such contracts, cooperative agreements, joint

ventures, and other transactions, in accordance with all relevant

provisions of Federal law applicable to such contracts and

agreements, and under reasonable terms and conditions, as may be

necessary in the conduct of the business of the National

Technical Information Service (hereafter in this section referred

to as the ''Service'').

(B) In addition to the authority regarding fees contained in

section 2 of the Act entitled ''An Act to provide for the

dissemination of technological, scientific, and engineering

information to American business and industry, and for other

purposes'' enacted September 9, 1950 (15 U.S.C. 1152), retain

and, subject to appropriations Acts, utilize its net revenues to

the extent necessary to implement the plan submitted under

subsection (f)(3)(D) of this section.

(C) Enter into contracts for the performance of part or all of

the functions performed by the Promotion Division of the Service

prior to October 24, 1988. The details of any such contract, and

a statement of its effect on the operations and personnel of the

Service, shall be provided to the appropriate committees of the

Congress 30 days in advance of the execution of such contract.

(D) Employ such personnel as may be necessary to conduct the

business of the Service.

(E) For the period of October 1, 1991 through September 30,

1992, only, retain and use all earned and unearned monies

heretofore or hereafter received, including receipts, revenues,

and advanced payments and deposits, to fund all obligations and

expenses, including inventories and capital equipment.

An increase or decrease in the personnel of the Service shall not

affect or be affected by any ceilings on the number or grade of

personnel.

(2) The functions and activities of the Service specified in

subsection (e)(1) through (6) of this section are permanent Federal

functions to be carried out by the Secretary through the Service

and its employees, and shall not be transferred from the Service,

by contract or otherwise, to the private sector on a permanent or

temporary basis without express approval of the Congress. Functions

or activities -

(A) for the procurement of supplies, materials, and equipment

by the Service;

(B) referred to in paragraph (1)(C); or

(C) to be performed through joint ventures or cooperative

agreements which do not result in a reduction in the Federal

workforce of the affected programs of the service, (FOOTNOTE 1)

(FOOTNOTE 1) So in original. Probably should be capitalized.

shall not be considered functions or activities for purposes of

this paragraph.

(3) For the purposes of this subsection, the term ''net

revenues'' means the excess of revenues and receipts from any

source, other than royalties and other income described in section

3710c(a)(4) (FOOTNOTE 2) of this title, over operating expenses.

(FOOTNOTE 2) See References in Text note below.

(4) Omitted.

(b) Director of the Service

The management of the Service shall be vested in a Director who

shall report to the Under Secretary of Commerce for Technology and

the Secretary of Commerce.

(c) Advisory Board

(1) There is established the Advisory Board of the National

Technical Information Service, which shall be composed of a

chairman and four other members appointed by the Secretary.

(2) In appointing members of the Advisory Board the Secretary

shall solicit recommendations from the major users and

beneficiaries of the Service's activities and shall select

individuals experienced in providing or utilizing technical

information.

(3) The Advisory Board shall review the general policies and

operations of the Service, including policies in connection with

fees and charges for its services, and shall advise the Secretary

and the Director with respect thereto.

(4) The Advisory Board shall meet at the call of the Secretary,

but not less often than once each six months.

(d) Audits

The Secretary of Commerce shall provide for annual independent

audits of the Service's financial statements beginning with fiscal

year 1988, to be conducted in accordance with generally accepted

accounting principles.

(e) Functions

The Secretary of Commerce, acting through the Service, shall -

(1) establish and maintain a permanent repository of

nonclassified scientific, technical, and engineering information;

(2) cooperate and coordinate its operations with other

Government scientific, technical, and engineering information

programs;

(3) make selected bibliographic information products available

in a timely manner to depository libraries as part of the

Depository Library Program of the Government Printing Office;

(4) in conjunction with the private sector as appropriate,

collect, translate into English, and disseminate unclassified

foreign scientific, technical, and engineering information;

(5) implement new methods or media for the dissemination of

scientific, technical, and engineering information, including

producing and disseminating information products in electronic

format; and

(6) carry out the functions and activities of the Secretary

under the Act entitled ''An Act to provide for the dissemination

of technological, scientific, and engineering information to

American business and industry, and for other purposes'' enacted

September 9, 1950 (15 U.S.C. 1151 et seq.), and the functions and

activities of the Secretary performed through the National

Technical Information Service as of October 24, 1988, under this

chapter.

(f) Notification of Congress

(1) The Secretary of Commerce and the Director shall keep the

appropriate committees of Congress fully and currently informed

about all activities related to the carrying out of the functions

of the Service, including changes in fee policies.

(2) Within 90 days after October 24, 1988, the Secretary of

Commerce shall submit to the Congress a report on the current fee

structure of the Service, including an explanation of the basis for

the fees, taking into consideration all applicable costs, and the

adequacy of the fees, along with reasons for the declining sales at

the Service of scientific, technical, and engineering

publications. Such report shall explain any actions planned or

taken to increase such sales at reasonable fees.

(3) The Secretary shall submit an annual report to the Congress

which shall -

(A) summarize the operations of the Service during the

preceding year, including financial details and staff levels

broken down by major activities;

(B) detail the operating plan of the Service, including

specific expense and staff needs, for the upcoming year;

(C) set forth details of modernization progress made in the

preceding year;

(D) describe the long-term modernization plans of the Service;

and

(E) include the results of the most recent annual audit carried

out under subsection (d) of this section.

(4) The Secretary shall also give the Congress detailed advance

notice of not less than 30 calendar days of -

(A) any proposed reduction-in-force;

(B) any joint venture or cooperative agreement which involves a

financial incentive to the joint venturer or contractor; and

(C) any change in the operating plan submitted under paragraph

(3)(B) which would result in a variation from such plan with

respect to expense levels of more than 10 percent.

-SOURCE-

(Pub. L. 100-519, title II, Sec. 212, Oct. 24, 1988, 102 Stat.

2594; Pub. L. 102-140, title II, Oct. 28, 1991, 105 Stat. 804; Pub.

L. 102-245, title V, Sec. 506(c), Feb. 14, 1992, 106 Stat. 27.)

-REFTEXT-

REFERENCES IN TEXT

This section, referred to in subsec. (a)(1), was in the original

''this subtitle'', meaning subtitle B (Sec. 211, 212) of title II

of Pub. L. 100-519, Oct. 24, 1988, 102 Stat. 2594, which enacted

section 3704b of this title and amended section 3710 of this

title. For complete classification of this subtitle to the Code,

see Short Title of 1988 Amendment note set out under section 3701

of this title and Tables.

Section 3710c(a)(4) of this title, referred to in subsec. (a)(3),

was in the original a reference to section 13(a)(4) of the

Stevenson-Wydler Technology Innovation Act of 1980 which was

translated as reading section 14(a)(4) of the Act to reflect the

probable intent of Congress and the renumbering of section 13 of

the Act as section 14 by section 5122(a)(1) of Pub. L. 100-418.

The Act entitled ''An Act to provide for the dissemination of

technological, scientific, and engineering information to American

business and industry, and for other purposes'' enacted September

9, 1950, referred to in subsec. (e)(6), is act Sept. 9, 1950, ch.

936, 64 Stat. 823, as amended, which is classified generally to

chapter 23 (Sec. 1151 et seq.) of this title. For complete

classification of this Act to the Code, see Tables.

-COD-

CODIFICATION

Section was enacted as part of the National Technical Information

Act of 1988, and not as part of the Stevenson-Wydler Technology

Innovation Act of 1980 which comprises this chapter.

Subsec. (a)(4) of this section repealed subsec. (h) of section

3710 of this title.

-MISC3-

AMENDMENTS

1992 - Subsec. (e)(5). Pub. L. 102-245 inserted '', including

producing and disseminating information products in electronic

format'' after ''engineering information''.

1991 - Subsec. (a)(1)(E). Pub. L. 102-140 added subpar. (E).

TERMINATION OF ADVISORY BOARDS

Advisory boards established after Jan. 5, 1973, to terminate not

later than the expiration of the 2-year period beginning on the

date of their establishment, unless, in the case of a board

established by the President or an officer of the Federal

Government, such board is renewed by appropriate action prior to

the expiration of such 2-year period, or in the case of a board

established by the Congress, its duration is otherwise provided by

law. See sections 3(2) and 14 of Pub. L. 92-463, Oct. 6, 1972, 86

Stat. 770, 776, set out in the Appendix to Title 5, Government

Organization and Employees.

NATIONAL TECHNICAL INFORMATION SERVICE REVOLVING FUND

Pub. L. 102-395, title II, Oct. 6, 1992, 106 Stat. 1853, provided

that: ''For establishment of a National Technical Information

Service Revolving Fund, $8,000,000 without fiscal year limitation:

Provided, That unexpended balances in Information Products and

Services shall be transferred to and merged with this account, to

remain available until expended. Notwithstanding 15 U.S.C. 1525

and 1526, all payments collected by the National Technical

Information Service in performing its activities authorized by

chapters 23 and 63 of title 15 of the United States Code shall be

credited to this Revolving Fund. Without further appropriations

action, all expenses incurred in performing the activities of the

National Technical Information Service, including modernization,

capital equipment and inventory, shall be paid from the fund. A

business-type budget for the fund shall be prepared in the manner

prescribed by 31 U.S.C. 9103.''

-SECREF-

SECTION REFERRED TO IN OTHER SECTIONS

This section is referred to in section 3704b-2 of this title.

-CITE-

15 USC Sec. 3704b-1 01/06/03

-EXPCITE-

TITLE 15 - COMMERCE AND TRADE

CHAPTER 63 - TECHNOLOGY INNOVATION

-HEAD-

Sec. 3704b-1. Recovery of operating costs through fee collections

-STATUTE-

Operating costs for the National Technical Information Service

associated with the acquisition, processing, storage, bibliographic

control, and archiving of information and documents shall be

recovered primarily through the collection of fees.

-SOURCE-

(Pub. L. 102-245, title I, Sec. 103(c), Feb. 14, 1992, 106 Stat.

8.)

-COD-

CODIFICATION

Section was enacted as part of the American Technology

Preeminence Act of 1991, and not as part of the Stevenson-Wydler

Technology Innovation Act of 1980 which comprises this chapter.

-CITE-

15 USC Sec. 3704b-2 01/06/03

-EXPCITE-

TITLE 15 - COMMERCE AND TRADE

CHAPTER 63 - TECHNOLOGY INNOVATION

-HEAD-

Sec. 3704b-2. Transfer of Federal scientific and technical

information

-STATUTE-

(a) Transfer

The head of each Federal executive department or agency shall

transfer in a timely manner to the National Technical Information

Service unclassified scientific, technical, and engineering

information which results from federally funded research and

development activities for dissemination to the private sector,

academia, State and local governments, and Federal agencies. Only

information which would otherwise be available for public

dissemination shall be transferred under this subsection. Such

information shall include technical reports and information,

computer software, application assessments generated pursuant to

section 3710(c) of this title, and information regarding training

technology and other federally owned or originated technologies.

The Secretary shall issue regulations within one year after

February 14, 1992, outlining procedures for the ongoing transfer of

such information to the National Technical Information Service.

(b) Omitted

-SOURCE-

(Pub. L. 102-245, title I, Sec. 108, Feb. 14, 1992, 106 Stat. 13.)

-COD-

CODIFICATION

Subsec. (b) of this section, which required the Secretary, as

part of the annual report required under section 3704b(f)(3) of

this title, to report to Congress on the status of efforts under

this section to ensure access to Federal scientific and technical

information by the public, was omitted because of termination of

the annual report. See Codification note set out after section

3704b of this title.

Section was enacted as part of the American Technology

Preeminence Act of 1991, and not as part of the Stevenson-Wydler

Technology Innovation Act of 1980 which comprises this chapter.

-CITE-

15 USC Sec. 3705 01/06/03

-EXPCITE-

TITLE 15 - COMMERCE AND TRADE

CHAPTER 63 - TECHNOLOGY INNOVATION

-HEAD-

Sec. 3705. Cooperative Research Centers

-STATUTE-

(a) Establishment

The Secretary shall provide assistance for the establishment of

Cooperative Research Centers. Such Centers shall be affiliated with

any university, or other nonprofit institution, or group thereof,

that applies for and is awarded a grant or enters into a

cooperative agreement under this section. The objective of the

Centers is to enhance technological innovation through -

(1) the participation of individuals from industry and

universities in cooperative technological innovation activities;

(2) the development of the generic research base, important for

technological advance and innovative activity, in which

individual firms have little incentive to invest, but which may

have significant economic or strategic importance, such as

manufacturing technology;

(3) the education and training of individuals in the

technological innovation process;

(4) the improvement of mechanisms for the dissemination of

scientific, engineering, and technical information among

universities and industry;

(5) the utilization of the capability and expertise, where

appropriate, that exists in Federal laboratories; and

(6) the development of continuing financial support from other

mission agencies, from State and local government, and from

industry and universities through, among other means, fees,

licenses, and royalties.

(b) Activities

The activities of the Centers shall include, but need not be

limited to -

(1) research supportive of technological and industrial

innovation including cooperative industry-university research;

(2) assistance to individuals and small businesses in the

generation, evaluation, and development of technological ideas

supportive of industrial innovation and new business ventures;

(3) technical assistance and advisory services to industry,

particularly small businesses; and

(4) curriculum development, training, and instruction in

invention, entrepreneurship, and industrial innovation.

Each Center need not undertake all of the activities under this

subsection.

(c) Requirements

Prior to establishing a Center, the Secretary shall find that -

(1) consideration has been given to the potential contribution

of the activities proposed under the Center to productivity,

employment, and economic competitiveness of the United States;

(2) a high likelihood exists of continuing participation,

advice, financial support, and other contributions from the

private sector;

(3) the host university or other nonprofit institution has a

plan for the management and evaluation of the activities proposed

within the particular Center, including:

(A) the agreement between the parties as to the allocation of

patent rights on a nonexclusive, partially exclusive, or

exclusive license basis to and inventions conceived or made

under the auspices of the Center; and

(B) the consideration of means to place the Center, to the

maximum extent feasible, on a self-sustaining basis;

(4) suitable consideration has been given to the university's

or other nonprofit institution's capabilities and geographical

location; and

(5) consideration has been given to any effects upon

competition of the activities proposed under the Center.

(d) Planning grants

The Secretary is authorized to make available nonrenewable

planning grants to universities or nonprofit institutions for the

purpose of developing a plan required under subsection (c)(3) of

this section.

(e) Research and development utilization

In the promotion of technology from research and development

efforts by Centers under this section, chapter 18 of title 35 shall

apply to the extent not inconsistent with this section.

-SOURCE-

(Pub. L. 96-480, Sec. 7, formerly Sec. 6, Oct. 21, 1980, 94 Stat.

2313; Pub. L. 99-502, Sec. 9(b)(6)-(10), Oct. 20, 1986, 100 Stat.

1796; renumbered Sec. 7, Pub. L. 100-418, title V, Sec. 5122(a)(1),

Aug. 23, 1988, 102 Stat. 1438.)

-MISC1-

PRIOR PROVISIONS

A prior section 7 of Pub. L. 96-480 was renumbered section 8 and

is classified to section 3706 of this title.

AMENDMENTS

1986 - Subsec. (a). Pub. L. 99-502, Sec. 9(b)(7), substituted

''Cooperative Research Centers'' for ''Centers for Industrial

Technology''.

Subsec. (b)(1). Pub. L. 99-502, Sec. 9(b)(8), struck out ''basic

and applied'' after ''industry-university''.

Subsec. (e). Pub. L. 99-502, Sec. 9(b)(9), amended subsec. (e)

generally. Prior to amendment, subsec. (e) provided that a Center

of Industrial Technology had the option to acquire title to an

invention conceived or made under its auspices and supported by

Federal funds, authorized supporting agency to require the Center

to grant licenses to the invention to responsible applicants in

certain cases, and provided for judicial review of licensing

determinations by the supporting agency.

Subsec. (f). Pub. L. 99-502, Sec. 9(b)(10), struck out subsec.

(f) which read as follows: ''The supporting agency may request the

Attorney General's opinion whether the proposed joint research

activities of a Center would violate any of the antitrust laws.

The Attorney General shall advise the supporting agency of his

determination and the reasons for it within 120 days after receipt

of such request.''

MODEL PROGRAM

Pub. L. 101-510, div. A, title VIII, Sec. 827(b), Nov. 5, 1990,

104 Stat. 1607, as amended by Pub. L. 102-190, div. A, title X,

Sec. 1062(a)(2), Dec. 5, 1991, 105 Stat. 1475, provided that:

''(1) In the administration of applicable provisions of the

Stevenson-Wydler Technology Innovation Act of 1980 (15 U.S.C. 3701

et seq.) or section 5121(b) of the Omnibus Trade and

Competitiveness Act of 1988 (Pub. L. 100-418, 15 U.S.C. 278l note),

the Secretary of Commerce shall develop, in consultation with the

Secretary of Defense and the Secretary of Energy, model programs

for national defense laboratories.

''(2) Model programs under this subsection shall involve Federal

laboratories, small businesses, and partnership intermediaries.

The purpose of the model programs is to demonstrate successful

relationships between the Federal Government, State and local

governments, and small businesses which encourage economic growth

through the commercial application of technology resulting from

federally funded research.

''(3) In this subsection, the term 'national defense laboratory'

means any laboratory, federally funded research and development

center (FFRDC), or other center established under section 7 or 9 of

the Stevenson-Wydler Technology Innovation Act of 1980 (15 U.S.C.

3705, 3707) that is owned by the Federal Government, whether

operated by the Federal Government or by a contractor, and -

''(A) is under the jurisdiction of the Secretary of Defense; or

''(B) is under the jurisdiction of the Secretary of Energy, but

only if the primary function of the laboratory, FFRDC, or other

center under the Secretary's jurisdiction is to support the

national defense activities of the Department of Defense or the

Department of Energy.''

-SECREF-

SECTION REFERRED TO IN OTHER SECTIONS

This section is referred to in sections 3703, 3707, 3708 of this

title; title 30 section 1805.

-CITE-

15 USC Sec. 3706 01/06/03

-EXPCITE-

TITLE 15 - COMMERCE AND TRADE

CHAPTER 63 - TECHNOLOGY INNOVATION

-HEAD-

Sec. 3706. Grants and cooperative agreements

-STATUTE-

(a) In general

The Secretary may make grants and enter into cooperative

agreements according to the provisions of this section in order to

assist any activity consistent with this chapter, including

activities performed by individuals. The total amount of any such

grant or cooperative agreement may not exceed 75 percent of the

total cost of the program.

(b) Eligibility and procedure

Any person or institution may apply to the Secretary for a grant

or cooperative agreement available under this section. Application

shall be made in such form and manner, and with such content and

other submissions, as the Assistant Secretary shall prescribe. The

Secretary shall act upon each such application within 90 days after

the date on which all required information is received.

(c) Terms and conditions

(1) Any grant made, or cooperative agreement entered into, under

this section shall be subject to the limitations and provisions set

forth in paragraph (2) of this subsection, and to such other terms,

conditions, and requirements as the Secretary deems necessary or

appropriate.

(2) Any person who receives or utilizes any proceeds of any grant

made or cooperative agreement entered into under this section shall

keep such records as the Secretary shall by regulation prescribe as

being necessary and appropriate to facilitate effective audit and

evaluation, including records which fully disclose the amount and

disposition by such recipient of such proceeds, the total cost of

the program or project in connection with which such proceeds were

used, and the amount, if any, of such costs which was provided

through other sources.

-SOURCE-

(Pub. L. 96-480, Sec. 8, formerly Sec. 7, Oct. 21, 1980, 94 Stat.

2315; renumbered Sec. 8 and amended Pub. L. 100-418, title V, Sec.

5115(b)(1), 5122(a)(1), Aug. 23, 1988, 102 Stat. 1433, 1438.)

-MISC1-

PRIOR PROVISIONS

A prior section 8 of Pub. L. 96-480 was renumbered section 9 and

is classified to section 3707 of this title.

AMENDMENTS

1988 - Subsec. (b). Pub. L. 100-418, Sec. 5115(b)(1), substituted

''Assistant Secretary'' for ''Director''.

-CITE-

15 USC Sec. 3707 01/06/03

-EXPCITE-

TITLE 15 - COMMERCE AND TRADE

CHAPTER 63 - TECHNOLOGY INNOVATION

-HEAD-

Sec. 3707. National Science Foundation Cooperative Research Centers

-STATUTE-

(a) Establishment and provisions

The National Science Foundation shall provide assistance for the

establishment of Cooperative Research Centers. Such Centers shall

be affiliated with a university, or other nonprofit institution, or

a group thereof. The objective of the Centers is to enhance

technological innovation as provided in section 3705(a) of this

title through the conduct of activities as provided in section

3705(b) of this title.

(b) Planning grants

The National Science Foundation is authorized to make available

nonrenewable planning grants to universities of nonprofit

institutions for the purpose of developing the plan, as described

under section 3705(c)(3) of this title.

(c) Terms and conditions

Grants, contracts, and cooperative agreements entered into by the

National Science Foundation in execution of the powers and duties

of the National Science Foundation under this chapter shall be

governed by the National Science Foundation Act of 1950 (42 U.S.C.

1861 et seq.) and other pertinent Acts.

-SOURCE-

(Pub. L. 96-480, Sec. 9, formerly Sec. 8, Oct. 21, 1980, 94 Stat.

2316; Pub. L. 99-502, Sec. 9(b)(11), (12), (e)(2)(B), Oct. 20,

1986, 100 Stat. 1796, 1797; renumbered Sec. 9, Pub. L. 100-418,

title V, Sec. 5122(a)(1), Aug. 23, 1988, 102 Stat. 1438; Pub. L.

106-404, Sec. 7(4), Nov. 1, 2000, 114 Stat. 1745.)

-REFTEXT-

REFERENCES IN TEXT

The National Science Foundation Act of 1950, referred to in

subsec. (c), is act May 10, 1950, ch. 171, 64 Stat. 149, as

amended, which is classified generally to chapter 16 (Sec. 1861 et

seq.) of Title 42, The Public Health and Welfare. For complete

classification of this Act to the Code, see Short Title note set

out under section 1861 of Title 42 and Tables.

-MISC2-

PRIOR PROVISIONS

A prior section 9 of Pub. L. 96-480 was renumbered section 10 and

is classified to section 3708 of this title.

AMENDMENTS

2000 - Subsecs. (a), (b). Pub. L. 106-404 made technical

amendments to references in original act which appear in text as

references to section 3705 of this title.

1986 - Subsec. (a). Pub. L. 99-502 substituted ''Cooperative

Research Centers'' for ''Centers for Industrial Technology'' and

struck out last sentence which read as follows: ''The provisions of

sections 3705(e) and 3705(f) of this title shall apply to Centers

established under this section.''

-SECREF-

SECTION REFERRED TO IN OTHER SECTIONS

This section is referred to in sections 3703, 3708 of this title.

-CITE-

15 USC Sec. 3708 01/06/03

-EXPCITE-

TITLE 15 - COMMERCE AND TRADE

CHAPTER 63 - TECHNOLOGY INNOVATION

-HEAD-

Sec. 3708. Administrative arrangements

-STATUTE-

(a) Coordination

The Secretary and the National Science Foundation shall, on a

continuing basis, obtain the advice and cooperation of departments

and agencies whose missions contribute to or are affected by the

programs established under this chapter, including the development

of an agenda for research and policy experimentation. These

departments and agencies shall include but not be limited to the

Departments of Defense, Energy, Education, Health and Human

Services, Housing and Urban Development, the Environmental

Protection Agency, National Aeronautics and Space Administration,

Small Business Administration, Council of Economic Advisers,

Council on Environmental Quality, and Office of Science and

Technology Policy.

(b) Cooperation

It is the sense of the Congress that departments and agencies,

including the Federal laboratories, whose missions are affected by,

or could contribute to, the programs established under this

chapter, should, within the limits of budgetary authorizations and

appropriations, support or participate in activities or projects

authorized by this chapter.

(c) Administrative authorization

(1) Departments and agencies described in subsection (b) of this

section are authorized to participate in, contribute to, and serve

as resources for the Centers and for any other activities

authorized under this chapter.

(2) The Secretary and the National Science Foundation are

authorized to receive moneys and to receive other forms of

assistance from other departments or agencies to support activities

of the Centers and any other activities authorized under this

chapter.

(d) Cooperative efforts

The Secretary and the National Science Foundation shall, on a

continuing basis, provide each other the opportunity to comment on

any proposed program of activity under section 3705, 3707, 3710,

3710d, 3711a, or 3712 of this title before funds are committed to

such program in order to mount complementary efforts and avoid

duplication.

-SOURCE-

(Pub. L. 96-480, Sec. 10, formerly Sec. 9, Oct. 21, 1980, 94 Stat.

2316; Pub. L. 99-502, Sec. 9(e)(2)(C), Oct. 20, 1986, 100 Stat.

1797; Pub. L. 100-107, Sec. 3(b), Aug. 20, 1987, 101 Stat. 727;

renumbered Sec. 10 and amended Pub. L. 100-418, title V, Sec.

5122(a)(1), (c), Aug. 23, 1988, 102 Stat. 1438, 1439; Pub. L.

102-240, title VI, Sec. 6019, Dec. 18, 1991, 105 Stat. 2183.)

-MISC1-

PRIOR PROVISIONS

A prior section 10 of Pub. L. 96-480 was renumbered section 11

and is classified to section 3710 of this title.

Another prior section 10 of Pub. L. 96-480 related to National

Industrial Technology Board and was classified to section 3709 of

this title, prior to repeal by section 9(a) of Pub. L. 99-502.

AMENDMENTS

1991 - Subsec. (d). Pub. L. 102-240 made technical amendment to

reference to section 3712 of this title to reflect renumbering of

corresponding section of original act.

1988 - Subsec. (d). Pub. L. 100-418, Sec. 5122(c), made technical

amendment to references to sections 3705, 3707, 3710, 3710d, 3711a,

and 3712 of this title to reflect renumbering of corresponding

sections of original act.

1987 - Subsec. (d). Pub. L. 100-107 inserted reference to section

3711a of this title.

1986 - Subsec. (d). Pub. L. 99-502 inserted references to

sections 3710 and 3710d of this title.

-CITE-

15 USC Sec. 3709 01/06/03

-EXPCITE-

TITLE 15 - COMMERCE AND TRADE

CHAPTER 63 - TECHNOLOGY INNOVATION

-HEAD-

Sec. 3709. Repealed. Pub. L. 99-502, Sec. 9(a), Oct. 20, 1986, 100

Stat. 1795

-MISC1-

Section, Pub. L. 96-480, Sec. 10, Oct. 21, 1980, 94 Stat. 2317,

related to establishment, duties, membership, and terms of National

Industrial Technology Board.

-CITE-

15 USC Sec. 3710 01/06/03

-EXPCITE-

TITLE 15 - COMMERCE AND TRADE

CHAPTER 63 - TECHNOLOGY INNOVATION

-HEAD-

Sec. 3710. Utilization of Federal technology

-STATUTE-

(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.

-SOURCE-

(Pub. L. 96-480, Sec. 11, Oct. 21, 1980, 94 Stat. 2318; renumbered

Sec. 10 and amended Pub. L. 99-502, Sec. 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, Sec. 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, Sec. 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, Sec. 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, Sec. 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, Sec. 7(5), (6), 10(a), Nov. 1, 2000, 114

Stat. 1745-1747.)

-REFTEXT-

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.

-MISC2-

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, Sec. 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).

-EXEC-

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.

-SECREF-

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.

-CITE-

15 USC Sec. 3710a 01/06/03

-EXPCITE-

TITLE 15 - COMMERCE AND TRADE

CHAPTER 63 - TECHNOLOGY INNOVATION

-HEAD-

Sec. 3710a. Cooperative research and development agreements

-STATUTE-

(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 invol