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Section 1245.105, NASA Patent Waiver Regulations (1964)--Incidental Commercial Utility--Government Funding v. Private Funding--Competition in Contract Field--Patent Position of Petitioner--Possibility of Preference or Dominance--Advance Over Existing Knowledge--Technical Competence of Petitioner--Research and Development of an Advanced Type of Oxygen Reclamation System--Environmental Control Systems--PETITION GRANTED

FINDINGS AND RECOMMENDATION OF THE INVENTIONS AND CONTRIBUTIONS BOARD:

STATEMENT OF FACTS: The Petitioner, United Aircraft Corporation, is a contractor of the National Aeronautics and Space Administration, under Contract NAS 1-4154. The petition was submitted to NASA within the time allowed by the Regulations for consideration of waiver of title to all inventions made or that may be made under the above-identified contract, and was considered by the Inventions and Contributions Board on May 28, 1965.

The Board, having duly considered the allegations and claims of the petition, expressly makes the findings under Section 1245.104(a) of the NASA Patent Waiver Regulations (1964), (which Section, in its entirety, is expressly incorporated herein by reference), as required by Section 1245. 105(b); concludes that the Petitioner fully satisfies each of the criteria specifically enumerated by the indicated Section as a condition; further concludes that the interests of the United States would best be served by waiving title under Section 1245. 105 of the Regulations, and therefore RECOMMENDS THE GRANT OF THE PETITION. The reasons for the Board's findings are stated below, corresponding in each case to the respective criterion set forth in each subsection of Section 1245.104(a) of the Regulations.

SECTION 1245.104(a)(1). A principal purpose of the contract is to perform research and development of an advanced type of oxygen reclamation system for use by NASA in a space vehicle environment. Since the work to be performed under the contract

involves the reduction of carbon dioxide to oxygen and carbon, inventions may be developed which may have commercial utility, especially for the production of carbon; such utility, however, is only incidental to the purpose of the contract. The work is being performed pursuant to a contractual effort to advance the space program; therefore, inventions likely to arise out of this effort will not be required by governmental regulations for use by the general public.

SECTION 1245.104(a)(2). A principal purpose of the contract is to perform research and development of a carbon dioxide removal and reduction system. The system to be developed is intended primarily for use in a space environment; consequently, the work to be performed will not require exploration into fields which directly concern the public health or public welfare.

SECTION 1245.104(a)(3). The field of technology involved in this contract relates to habitable environmental conditioning systems. This field, which includes air conditioning, temperature controls, heat exchangers, water separates, and life support systems, has been extensively explored by private industry. In this regard, the contractor alleges that it has been engaged in the research and development, manufacture, and sale of environmental control systems for more than 15 years, and that many of its systems are widely used in both commercial and military aircraft. In terms of dollars, the contractor has indicated that from 1955 to 1963 it has expended

approximately $25 million of its own funds in the development of such systems and more than $1 million of its own funds in the area of carbon dioxide removal and attendant life support systems, which technology is directly related to the work to be performed under the contract. The brochures submitted by the contractor that define its product line in this field illustrate commercial applications of the environmental control systems that it manufactures. Other large companies are also actively engaged in the field of technology, including General Electric, Westinghouse, and Honeywell, Numerous patents have been issued in this field to the contractor and others; for example, the contractor has identified 53 such patents in which it has a proprietary interest. In view of the past and current activity by the contractor and others in this field of technology, and in view of the numerous patents that have been issued relating to environmental control systems, the acquisition of exclusive rights at the time of contracting would not confer a preferred or dominant position on the contractor.

SECTION 1245.104(a)(4). The contract requires the contractor to provide the necessary personnel, facilities, equipment, and materials to perform the contract work.

SECTION 1245.104(a)(5). The purpose of the contract is to conduct research and development of an advanced type of oxygen reclamation system for use by NASA in a space

vehicle environment. Since prior-art devices are not satisfactory for the space mission under consideration, the work to be performed under the contract will build upon this existing knowledge.

SECTION 1245.104(a)(6). The contractor alleges that it has been actively engaged in the research and development, manufacture, and sale of environmental control systems since 1949, and that its systems are widely used in both military and commercial aircraft. The contractor's other experience includes more than five years of work in the area of electrochemistry, as it relates to carbon dioxide removal and attendant life support systems, and more than two years of work relating to systems designed to reduce carbon dioxide by electrolysis of fused salts. The vast background of experience and the activity of the contractor in the field of environmental control systems is further evidenced by the 53 patents that it has received; moreover, the contractor has stated that 15 patent applications relating to this technology were pending in the United States Patent Office at the time of filing this petition for waiver. The contractor has submitted sales brochures that identify its product line, and that support the allegation that it has for many years manufactured and sold environmental control systems, such as water separator systems, contaminant control systems, and humidity control systems, to the aircraft industry, for use in both military and civilian aircraft.

NATIONAL AERONAUTICS AND SPACE ADMINISTRATION

PETITIONER: CONTRACT:

Litton Industries, Data Systems Division
NAS 9-3512

DESCRIPTION: Scan Converter Feasibility Study

Section 1245.105, NASA Patent Waiver Regulations (1964)--Commercial Use as Principal Purpose of Contract--Extent of Experience Outside of Government-Funded Work-Government as Principal Developer of Field--Patent Position of Petitioner--Technical Competence of Petitioner as Related to Nongovernmental Commercial Position--Adequacy of Definition of Field--Scan Converter Feasibility Study--PETITION DENIED

FINDINGS AND RECOMMENDATION OF THE INVENTIONS AND CONTRIBUTIONS BOARD:

STATEMENT OF FACTS: The Petitioner, Litton Industries Data Systems Division, is a contractor of the National Aeronautics and Space Administration, under Contract NAS 9-3512. This petition was submitted to NASA within the time allowed by the Regulations for consideration of waiver of title to all inventions made or that may be made under the above-identified contract, and was considered by the Inventions and Contributions Board on March 30, 1965.

The Board, having considered the allegations and claims of the petition, is unable to make all of the findings under Section 1245.104(a) of the NASA Patent Waiver Regulations (1964), as required by Section 1245.105(b) and therefore RECOMMENDS THE DENIAL OF THE PETITION. The reason for the Board's findings are stated below.

SECTION 1245.104(a)(1). The contract includes as a principal purpose the determination of the feasibility of a means to convert slow scan television data to commercial television picture rates, specifically for live television broadcasts of Apollo TV to the general public.

SECTION 1245.104(a)(2). The purpose of the contract, to develop a scan converter for converting relatively slow scan incoming Apollo TV pictures to standard commercial television picture rates, obviously does not involve the health or welfare of the public.

SECTION 1245.104(a)(3). Petitioner has not specifically defined the over-all field of

science or technology involved in the present contract, even though it is apparent that a number of particular fields are involved in the specific subject-matter of the contract. Likewise, insufficient information has been submitted regarding the experience gained in either the subject-matter of the contract or in an appropriately defined contract field, by either private sources or the Government. The Petitioner's sole statement in this regard, that the field of science or technology involved in the subject-matter of the contract is "one of great breadth and not restricted to work funded by the Government or in which the Government has been the principal developer," obviously constitutes a naked assertion without documentary support. Petitioner likewise makes a bare allegation regarding the effect of its acquisition of exclusive patent rights; accordingly, it has failed to meet the criteria of this subsection.

SECTION 1245.104(a)(4). It is apparent that the present contract contemplates use by the contractor of its own equipment, facilities, and personnel in its perform

ance.

SECTION 1245.104(a)(5). The purpose of the contract is to determine the feasibility of Petitioner's Electrostatic Image Recorder as a means to convert slow scan television to conventional television. It follows, therefore, that the purpose of the contract is to build upon existing knowledge and technology for use by the Government.

SECTION 1245.104(a)(6). Although the overall field involved in the contract has not been specifically identified, nevertheless Petitioner's development of the Litton Electrostatic Image Recorder and its Printapix Recording Tube, which are to be utilized in the performance of the contract, appears to establish its technical competence in a field or fields appropriate to the contract.

However, this information alone is considered inadequate to support a finding of an established nongovernmental commercial position in an "area" to which the field in which Petitioner has technical competence is directly related or applicable; accordingly, Petitioner has likewise failed to establish the basis for a favorable finding under this subsection.

NATIONAL AERONAUTICS AND SPACE ADMINISTRATION

PETITIONER: CONTRACT:

UNIVAC, Division of Sperry Rand Corporation
NAS 5-9518

DESCRIPTION: The Development of a Reliable Miniature Space-Borne Memory

Section 1245.105, NASA Patent Waiver Regulations (1964)--Scope of Contract Field of Technology--Comparative Government and Private Contributions to Field--Possibility of Preference or Dominance--Technical Competence of Petitioner--Direct Relation of Nongovernmental Commercial Position to Contract Field of Technology--Patent Position-Development of a Reliable Miniature Space-Borne Memory--Plated Wire or Thin Film Memory Devices--PETITION GRANTED

FINDINGS AND RECOMMENDATION OF THE INVENTIONS AND CONTRIBUTIONS BOARD:

STATEMENT OF FACTS: The Petitioner, UNIVAC, Division of Sperry Rand Corporation, is a contractor of the National Aeronautics and Space Administration, under Contract NAS 5-9518. The petition was submitted to NASA within the time allowed by the Regulations for consideration of waiver of title to all inventions made or that may be made under the above-identified contract. The petition was considered by the Inventions and Contributions Board on March 30, 1965.

The Board, having duly considered the allegations and claims of the Petition, expressly makes the findings under Section 1245.104(a) of the NASA Patent Waiver Regulations (1964), (which Section, in its entirety, is expressly incorporated herein by reference), as required by Section 1245.105(b); concludes that the Petitioner fully satisfies each of the criteria specifically enumerated by the cited Section as a condition; further concludes that the interests of the United States would best be served by waiving title under Section 1245.105 of the Regulations, and therefore RECOMMENDS THE GRANT OF THE PETITION. The reasons for the Board's findings are stated below, corresponding in each instance to the respective criterion. set forth in each subsection of Section 1245.104(a) of the Regulations.

SECTION 1245.104(a)(1). The principal purpose of this contract was to develop an improved memory device for use by the Government in advanced meteorological satellites such as NIMBUS, with no intent

to utilize the same for the general public, although commercialization of any inventions arising out of the contract might

materialize.

SECTION 1245.104(a)(2). While the improved memory device contemplated under the contract as a replacement for the usual tape recorder on meteorological satellites certainly would offer broad use to the public in providing weather information, such use is considered remote and incidental to the public health or public welfare.

SECTION 1245.104(a)(3). The pertinent field of science or technology involved in the present contract is considered as being "plated wire or thin film memory devices". In this field, the present contract alone has authorized an expenditure of $535,000, and, in addition, the Petitioner has performed work in the same field under a number of other Government contracts; it is therefore quite clear that the Government has made significant contributions to the defined field of technology. However, the Petitioner submits exhibits in support of its claimed contribution to the field, and appropriate NASA technical personnel in effect reinforce Petitioner's claim by stating that the Petitioner itself, as well as others, has made significant contributions in this field. through private funding that collectively outweighs development by the Government; accordingly, the Government is not considered the principal developer of the field.

Moreover, the above-mentioned NASA technical personnel also point out that "success

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