Your June 1, 1978, letter requested information regarding the ownership, uses and disposition made by contractors of records and data developed in pursuit of Government contracts.

Enclosed is our completed questionnaire.

Sincerely,

CHARLES A. BUCY

Acting Deputy Assistant Secretary for Administration

Enclosure

(87)

1. The Department of Agriculture does not have a policy on contractors' collateral uses and disposition of records and data. However, in our research contracts we include a clause stating that "The public shall be granted all benefits of any patentable results of all research and investigations conducted and all information, data, and findings developed under this Research Agreement, through dedication, assignment to the Secretary, publication, or such other means as may be determined by the Authorized Departmental Officer."

2.

a. A copy of the applicable regulation is attached.

b. Our regulations do not distinguish between educational or not-for-profit institutions and for-profit contractors.

C. N/A

d. We feel that contractors should certify compliance with Federal policy by submitting a properly signed bid containing a certification clause.

a. Specific policy guidelines on ownership, use, and disposition of data should be developed to protect Government interests and individuals' rights to privacy when the scope of the contract is deemed by the Contracting Officer to present potential problems in this area.

b. The Department has no plans to address this matter in the near future.

3. Same as response to question 1.

4. Most of the contracts awarded by this Department do not contain clauses specifying who owns the data, how it can be used, and the ultimate disposition of the data.

5. We are not aware of any situations in our Department where a contractor, having developed a data base for one contract, used the same Information for other contracts with Government or private industry.

6. We know of no cases where the Federal Government and private contractors disagree over ownership, use, and/or disposition of records and data.

7. We have no additional comments to make regarding Federal policy on the use and disposition of information in the possession of Federal contractors.

(i) May abandon any Government property in place, and thereupon all obligations of the Government regarding such abandoned property shall cease; and

(ii) Has no obligation to the Performing Organization with regard to restoration or rehabilitation of the Performing Organization's premises, neither in case of abandonment (paragraph (j) (i) above), disposition on completion of need or of the Research Agreement (paragraph (i) above), nor otherwise, except for restoration or rehabilitation costs caused by removal of Government property pursuant to paragraph (b) above.

(k)

32.

(a)

All communications issued pursuant to this clause shall be in writing.

PATENTS

All Research Contracts, Grants, and Cooperative Agreements.

General. With respect to the publication of any results of the research conducted under this Research Agreement, it is agreed that the results may be made known to the public by either party after due notice and submission of the proposed manuscript to the other, with such credit or recognition as may be mutually agreed upon: Provided, That full responsibility is assumed by such party for any statements on which there is a difference of opinion: And provided further, that no copyrights shall subsist in any such publication.

(1) Any invention made under this Research Agreement solely by employees of the U.S. Department of Agriculture shall be disposed of in accordance with the policies of the U.S. Department of Agriculture.

(2) Any invention made under this Research Agreement solely by employees of the Performing Organization shall be disposed of in accordance with the policies of the Performing Organization: Provided That, unless the Performing Organization, his licensee, or assignee has taken effective steps within three years after a patent issues on the invention to bring the invention to the point of practical application, or has made the invention available for licensing on terms that are reasonable in the circumstances, or can show cause why he should retain the principal or exclusive rights for a further period of time, the Government shall have the right to require the granting of a license to an applicant on a nonexclusive, royalty-free basis; and provided further that the Government retains a world-wide royalty-free license for Governmental purposes.

(3) Any invention jointly made under this Research Agreement by at least one employee of the U.S. Department of Agriculture and at least one employee of the Performing Organization shall be disposed of as mutually agreed upon between the U.S. Department of Agriculture and the Performing Organization.

(c) Grants and Contracts.

(1) The public shall be granted all benefits of any patentable results of all research and investigations conducted and all information, data, and findings developed under this Research Agreement, through dedication, assignment to the Secretary, publication, or such other means as may be determined by the Authorized Departmental Officer.

(2) The Performing Organization shall cooperate in the preparation and prosecution of any domestic and foreign patent application which the Department may decide to undertake covering an invention made under this Research Agreement, execute all papers requisite in the prosecution of such patent applications including assignments to the United States, and secure the cooperation of its employees in the preparation and the execution of such papers. It is understood, however, that the making of prior art searches, the preparation, filing, and prosecution of patent applications, the determination of questions of novelty, patentability, and inventorship, as well as other functions of a patent attorney, are excluded from these duties.

(d) Section 1498, Title 28, United States Code, is made part of this Research Agreement. This section provides, in part, that the use of an invention, covered by a United States patent, by a Performing Organization and with the authorization or consent of the Government, shall be construed as for the use of the United States.

As used in paragraphs (b), (c), and (d), herein, the terms "invention" and "patentable results" both mean any art, machine, manufacture, design, or composition of matter, or any new and useful improvement thereof, or any variety of plant, which is or may be patentable or protectable by certificate of Plant Variety Protection under the laws of the United States.

The Performing Organization warrants that no person or selling agency has been employed or retained to solicit or secure this Research Agreement upon an agreement or understanding for a commission, percentage, brokerage, or contingent fee, excepting bona fide employees or bona fide established commercial or selling agencies maintained by the Performing Organization for the purpose of securing business. For breach or violation of this warranty the Government shall have the right to annul this Research Agreement without liability or in its discretion to deduct from the Research Agreement price or consideration, or otherwise recover, the full amount of such commission, percentage, brokerage, or contingent fee.

34. OFFICIALS NOT TO BENEFIT

All Research Contracts, Grants, and Cooperative Agreements.

No member of or delegate to Congress, or resident commissioner, shall be admitted to any share or part of this Research Agreement, or to any benefit that may arise therefrom; but this provision shall not be construed to extend to this Research Agreement if made with a corporation for its general benefit.

35. CONVICT LABOR

All Research Contracts, Grants, and Cooperative Agreements.

Exemptions: Research Agreements with foreign Performing Organizations.

In connection with the performance of work under this Research Agreement, the Performing Organization agrees not to employ any person undergoing sentence of imprisonment except as provided by Public Law 89-176, September 10, 1965 (18 U.S.C. 4082(c) (2)) and Executive Order 11755, December 29, 1973.

36. EQUAL OPPORTUNITY

All Research Contracts and Grants.

Exemptions: Research Agreements for less than $10,000 and Research Agreements with foreign Performing
Organizations.

(The following clause is applicable unless this Research Agreement is exempt under the rules, regulations, and relevant orders of the Secretary of Labor (41 CFR, Chapter 60).)

During the performance of this Research Agreement, the Performing Organization agrees as follows:

(a) The Performing Organization will not discriminate against any employee or applicant for employment because of race, creed, color, or national origin. The Performing Organization will take affirmative action to ensure that applicants are employed, and that employees are treated during employment, without regard to their race, creed, color, or national origin. Such action shall include, but not be limited to, the following: Employment, upgrading, demotion, or transfer; recruitment or recruitment advertising; layoff or termination; rates of pay or other forms of compensation; and selection for training, including apprenticeship. The Performing Organization agrees to post in conspicuous places, available to employees and applicants for employment, notices to be provided by the Authorized Departmental Officer setting forth the provisions of this Equal Opportunity clause.

(b) The Performing Organization will, in all solicitations or advertisements for employees placed by or on behalf of the Performing Organization, state that all qualified applicants will receive consideration for employment without regard to race, creed, color, or national origin.

(c) The Performing Organization will send to each labor union or representative of workers with which he has a collective bargaining agreement or other contract or understanding, a notice, to be provided by the Authorized Departmental Officer, advising the labor union or workers' representative of the Performing Organization's commitments under this Equal Opportunity clause, and shall post copies of the notice in conspicuous places available to employees and applicants for employment.

(d)

The Performing Organization will comply with all provisions of Executive Order No. 11246 of September 24, 1965, and of the rules, regulations, and relevant orders of the Secretary of Labor.

(e)

The Performing Organization will furnish all information and reports required by Executive Order No. 11246 of September 24, 1965, and by the rules, regulations, and orders of the Secretary of Labor, or pursuant thereto, and will permit access to his books, records, and accounts by the Department and the Secretary of Labor for purposes of investigation to ascertain compliance with such rules, regulations, and orders.

(f) In the event of the Performing Organization's noncompliance with the Equal Opportunity clause of this Research Agreement or with any of the said rules, regulations, or orders, this Research Agreement may be canceled, terminated, or suspended, in whole or in part, and the Performing Organization may be declared ineligible for further Government contracts and Research Agreements in accordance with procedures authorized in Executive Order No. 11246 of September 24, 1965, and such other sanctions may be imposed and remedies invoked as provided in Executive Order No. 11246 of September 24, 1965, or by rule, regulation, or order of the Secretary of Labor, or as otherwise provided by law.

(g) The Performing Organization will include the provisions of paragraphs (a) through (g) in every subcontract or purchase order unless exempted by rules, regulations, or orders of the Secretary of Labor issued pursuant to section 204 of Executive Order No. 11246 of September 24, 1965, so that such provisions will be binding upon each subcontractor or vendor. The Performing Organization will take such action with respect to any subcontract or purchase order as the Department may direct as a means of enforcing such provisions, including sanctions for noncompliance: Provided, however, That in the event, the Performing Organization becomes involved in, or is threatened with, litigation with a subcontractor or ventor as a result of such direction by the Department, the Performing Organization may request the United States to enter into such litigation to protect the interests of the United States. CERTIFICATION OF NONSEGREGATED FACILITIES

37.

All Research Contracts and Grants.

Exemptions: Research Agreements for less than $10,000 and Research Agreements with foreign Performing
Organizations.

This clause shall be applicable as required by rules, regulations, and relevant orders of the Secretary of Labor (41 CFR, Chapter 60). By the execution of this Research Agreement, the Performing Organization certifies that it does not maintain or provide for its employees any segregated facilities at any of its establishments, and that it does not permit its employees to perform their services at any location, under its control, where segregated facilities are maintained. It certifies further that it will not maintain or provide for its employees any segregated facilities at any of its establishments, and that it will not permit its employees to perform their services at any location, under its control, where segregated facilities are maintained. The Performing Organization agrees that a breach of this certification is a violation of the Equal Opportunity clause in this Research Agreement. As used in this certification, the term "segregated facilities" means any waiting rooms, work areas, rest rooms and wash rooms, restaurants and other eating areas,

Thank you for your letter of June 1 requesting information concerning
the ownership, uses and disposition made by contractors of records
and data developed in pursuit of government contracts and what Federal
policies exist governing such ownership, uses and disposition.

I am pleased to provide our responses to the subcommittee questionnaire
as an enclosure herewith. These responses follow the same order and
numbering of the questionnaire. The questions are not reproduced;
only the answers are provided in the response.

The consideration provided by the subcommittee in extending the due date of this response is sincerely appreciated. Our request was necessitated by the number of procurement activities throughout the Department which were required to be contacted to develop the information requested.