APPENDIX K

CURRENT STATUTES, REGULATIONS, ORDERS, MANUALS, MEMORANDUMS AND MATERIALS GOVERNING ALLOCATION OF RIGHTS TO INVENTIONS ARISING FROM GOVERNMENT-SPONSORED RESEARCH

I. Government Employee Inventions-Rights to inventions made by Government employees, except for ERDA are determined by the provisions of:

A. Executive Order 10096, January 23, 1950, 15 F.R. CFR 1949-53, Comp. as amended by Executive Order 10930, March 24, 1961, 26 F.R. 2583, 3 CFR 1959-63, Comp. as implemented by 27 F.R. 3289, April 6, 1962, 37 CFR 100 (1962), and

B. Executive Order 9865, June 14, 1947, 12 F.R. 3907, 37 CFR 101, 102.

Many Federal departments and agencies have regulations which spell out the administrative procedures of 37 CFR 100, 101, 102. For information concerning 37 CFR 100, 101, and 102, contact Mr. O. A. Neumann, Director, Office of Government Employee Inventions, U.S. Patent and Trademark Office, Washington, D.C. 20231; Phone: A.C. 703 557-3539.

II. Contractor Inventions-Rights to inventions arising from Government-sponosored R&D are determined by statute and/or contract provisions pursuant to the August 1971 Presidential Memorandum and Statement of Government Patent Policy (Appendix A), implemented by Amendment 147 to the FPR published in F.R., Vol. 40, No. 89, May 7, 1975 (Appendix C), and the ASPR provisions which closely parallel the FPR. The following is a list of Federal departments and agencies with citations and references pertaining to their respective patent policies. Paragraph F identifies the office primarily responsible for patent matters. The list of regulations include those known to have issued prior to December 31, 1975.

DEPARTMENT OF HEALTH, EDUCATION, AND WELFARE

A. STATUTORY AUTHORITY-None.

B. Regulations-31 F.R. 12842, October 1, 1966, 45 CFR Subtitle A, Parts 6 and 8.

C. OTHER-HEW General Administration Manual, Part 6, Patents and Inventions, Chapter 6-10, Regulations and Produres; HEW Organization Manual, Part 1, General Chapter 1-901 Department Patent Activities; HEW Procurement Manual Circular HEW-66; Patent Rights Clause 20 of HEW General Provisions; PHS Policy Statement-Grants for Research, Projects, PHS Publication No. 1301. The Secretary of Health, Education, and Welfare has approved a standard form of Institutional Patent Agreement for use in conjunction with Part 8, Section 8.1 (b) of the HEW General Administration Manual.

D. INFORMAL LITERATURE-None.

E. PRESIDENTIAL POLICY STATEMENT-Regulations were not specifically rewritten following the issuance of the October 1963 Presidential Policy Statement since they were considered to be in conformity thereto.

F. Mr. Norman J. Latker, Patent Counsel, Department of Health, Education, and Welfare, Room 5A03, Westwood Building, Bethesda, Maryland 20014; Phone: A.C. 301 496-7056.

DEPARTMENT OF JUSTICE

LAW ENFORCEMENT ASSISTANCE ADMINISTRATION

A. STATUTORY AUTHORITY-The Omnibus Crime Control and Safe Streets Act of 1968, 42 U.S.C. §3701, et seq., as amended by Omnibus Crime Control Act of 1970, Pub. L. 91-644, 84 Stat. 1880 (Jan. 2, 1971), the Crime Control Act of 1973, Pub. L. 93-83, 87 Stat. 197 (Aug. 6, 1973), and the Juvenile Justice and Delinquency Prevention Act of 1974, Pub. L. 93-415, 88 Stat. 1109 (Sept. 7, 1974).

B. REGULATIONS-28 C.F.R. §50.4. (28 C.F.R. §50.4. is being revised.)

C. OTHER-41 C.F.R. Part 1-9; GSA Federal Management Circular 74-7, Attachment E, Par. 5, and Attachment N, Par. 7.

D. INFORMAL LITERATURE-LEAA Guideline Manual M 7100.1A, Appendix 9, paragraph 7; LEAA General Contract Provisions, Nos. 41, 42, and 43 (Revised March 1972); LEAA Form 4202/1-Planning Grant Application Form, LEAA Form 4402/1-Application for Action Grant; LEAA Form 4000/3 and 4000/4-Applications for Federal Assistance, see Assurances.

E. PRESIDENTIAL POLICY STATEMENT-Determinations with respect to the administration and allocation of title to and rights in patentable items, processes, or inventions are governed by the criteria provided in the Government Patent Policy (President's Memorandum for Heads of Executive Departments and Agencies, August 23, 1971, and Statement of Government Patent Policy as printed in 36 Fed. Reg. 16889).

F. Mr. Thomas J. Madden, General Counsel, Law Enforcement Assistance Administration, Department of Justice, 633 Indiana Avenue, N.W., Washington, D. C. 20531; Phone A.C. 202 376-3691.

DEPARTMENT OF AGRICULTURE

A. STATUTORY AUTHORITY-Research and Marketing Act of 1946, Public Law 79-733, 60 Stat. 1085 and 1090, 7 U.S.C. 4271 and 1624, respectively.

B. REGULATIONS

(1) Title 4, Section 54 (d) (11) of the internal Administrative Regulations of the U.S. Department of Agriculture (pertains to Cooperative Agreements).

(2) Department of Agriculture Procurement Regulations 41 CFR 4-7.5101-17.

C. Other

(1) Form AD-452, General Provisions for Research Agreements, Educational Institutions (same patent clause as shown at 41 CFR 4-7.5101–17).

(2) Form AD-264, General Provisions for Research and Service Contracts.

(3) Form AD-455, Guidelines for Research Agreements, PL 85-934 and PL 89-106 (Grant Authorities).

(4) General Provisions Applicable to Public Law 480, Agricultural Research Grants (no form number).

D. INFORMAL LITERATURE-None.

E. PRESIDENTIAL POLICY STATEMENT-Policy of this statement is followed, unless confiicting statutory authority.

F. Mr. M. Howard Silverstein, Deputy Director (Patents), Research and Operations Division, Office of General Counsel, Department of Agriculture, Washington, D. C. 20250; Phone: A.C. 202 447-5474.

CENTRAL INTELLIGENCE AGENCY

A.-E. Agency follows the regulations of the Department of Defense in all patent matters.

F. Mr. Robert J. Bladergroen, Associate General Counsel, Central Intelligence Agency, Washington, D. C. 20505; Phone: A.C. 703 281-8190.

U. S. POSTAL SERVICE

A. STATUTORY AUTHORITY-Public Law 91-375, 84 Stat. 719, 39 U.S.C. 101, 201, 401, 404, Chapter 1, U.S. Postal Service, Subchapter H. Procurement System for the U.S. Postal Service, Part 601, Procurement of Property and Services. Patent Rights Policy and Office of Contracts Administrative Instruction No. 76-2 dated June 27, 1975.

B. REGULATIONS-Postal Contracting Manual, Section 9, Patents, Data and Copyrights.

C. OTHER-None

D. INFORMAL LITERATURE-None

E. PRESIDENTIAL POLICY STATEMENT-The criteria of this Statement is followed by the U.S. Postal Service.

F. Mr. Luther A. Marsh, Patent Counsel, Procurement Division, Office of Contracts and Property Law, U.S. Postal Service, 475 L'Enfant Plaza West, S.W., Washington, D. C. 20260; Phone: A.C. 202 245-4062.

NATIONAL SCIENCE FOUNDATION

A. STATUTORY AUTHORITY-National Science Foundation Act of 1950, Public Law 81-507, 76 Stat. 1253, 42 USC 1870 (e) and 1871 (a).

B. REGULATIONS-41 CFR 650 (Grants) and 41 CFR 25-9 (Contracts) issued and effective on December 4, 1974.

C. OTHER NSF Patent Policy (NSB 73-157, March 1973). D. INFORMAL LITERATURE-Staff Memorandum O/D 75-6 (February 14, 1975) "Disposition of Rights in Inventions Made in the Course of or Under NSF Awards" and Section 241 of the NSF Grant Administration Manual.

E. PRESIDENTIAL POLICY STATEMENT-The disposition of rights to any invention arising under NSF grants and contracts are governed by the criteria set forth in this Statement as implemented by the NSF Patent Regulations.

F. Mr. Martin Lefcowitz, Office of the General Counsel, National Science Foundation, 1800 G Street, N.W., Washington, D.C., 20550; Phone: A.C. 202 632-5837.