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PART 14R-9—PATENTS, DATA, AND
Sec. 14R-9.000 Scope of part.
Sec. 14R-9.202-4 Procedures (Government
owned, contractor operated facilities). 14R-9.202-5 Negotiations and deviations.
AUTHORITY: 5 U.S.C. 1976 ed., 301; sec. 2. Reorganization Plan No. 3 of 1950, 15 FR 3174; 42 U.S.C. 7879.
SOURCE: 45 FR 31066, May 12, 1980, unless otherwise noted.
14R-9.100 Scope of subpart. 14R-9.101 Contracting Officer to consult
with Solicitor. 14R-9.102 Authorization and consent. 14R-9.102-1 Authorization and consent in
contracts for supplies or services. 14R-9.102-2 Authorization and consent in
contracts for research, development or
demonstration. 14R-9.103 Patent indemnification of Gov
ernment by contractor. 14R-9.103-1 Patent indemnification in for
mally advertised contracts-commercial
status predetermined. 14R-9.103-2 (Reserved] 14R-9.103-3 Patent indemnification in ne
gotiated contracts. 14R-9.103-4 Waiver of indemnity by the
Government. 14R-9.104 Notice and assistance. 14R-9.105–14R-9.106 [Reserved) 14R-9.107 Patent rights under contracts
for research, development, and demon
stration, and under special contracts. 14R-9.107-1 General. 14R-9.107-2 (Reserved] 14R-9.107-3 Policy. 14R-9.107-4 Procedures. 14R-9.107-5 Clause for contracts (long
form). 14R-9.107-6 Clause for contracts (short
form). 14R-9.107-7 Foreign contracts. 14R-9.108 [Reserved) 14R-9.109 Administration of patent
clauses. 14R-9.109-1 Patent rights follow-up. 14R-9.109-2 Follow-up by contractor. 14R-9.109-3 Follow-up by Government. 14R-9.109-4 Remedies. 14R-9.109-5 Conveyance of invention
rights acquired by the Government. 14R-9.109-6 Waivers. 14R-9.110 Reporting of royalties.
8 14R-9.100 Scope of subpart.
This subpart sets forth policies, procedures, and contract clauses with respect to inventions made or utilized in connection with any contracts, grants, agreements, understandings, or other arrangements entered into with or for the benefit of OWRT. OWRT's primary mission in its R&D procurement process is not oriented toward procurement for Government use, but rather toward the development and ultimate utilization of methodologies and technologies to assure efficient sources of water and water resources. OWRT must work in cooperation with industry in the development of new water sources and resources and in achieving a goal of widespread commercial use. To this end, Congress has provided OWRT with an array of incentives to secure the adoption of new technology developed for OWRT. An important incentive in commercializing technology is that provided by the patent system. As set forth in these regulations, patent incentives, including the Secretary of the Interior's authority to waive the Government's patent rights to the extent provided for by the statute, will be utilized in appropriate situations to encourage industri. al participation, foster commercial utilization and competition, and make the benefits of OWRT's activities widely available to the public. In addition to considering the waiver of patent rights at the time of contracting, OWRT will also consider the in
Subpart 14R-9.2-Technical Data and
Copyrights 14R-9.200 Scope of subpart. 14R-9.201 Definitions. 14R-9.202 Acquisition and use of technical
data. 14R-9.202-1 General. 14R-9.202-2 Policy. 14R-9.202-3 Procedures (supply, research,
development, or demonstrations contracts).
centive of a waiver of patent rights use by or for the United States of an upon the reporting of an identified in- invention described in and covered by vention when requested by the con- a patent of the United States by a contractor, or the employee-inventor with tractor or by a subcontractor (at any the permission of the contractor. tier) can be maintained only against These requests can be made whether the Government in Court of Claims, or not a waiver request was made at
and not against the contractor or subthe time of contracting. Waivers for
contractor, in those cases where the an identified invention will be provid
Government has authorized or coned where it is determined that the
sented to the manufacture or use of patent waiver will be a real incentive
the patented invention. Accordingly, to achieving the development and ulti
to insure that work by a contractor or mate commercial utilization. Where a
subcontractor under a Government waiver of Government patent rights is
contract may not be enjoined by granted, either at the time of contract
reason of patent infringement, authoring or upon request after an invention
ization and consent shall be given as is made, certain safeguards will be required by OWRT to protect the public
provided below. The liability of the interest.
Government for damages in any such
suit against it may, however, ultimate814R-9.101 Contracting Officer to consult ly be borne by a contractor of subconwith Solicitor.
tractor in accordance with the terms (a) Except as is otherwise provided
of any patent indemnity clause also inin this subpart, all authority of the cluded in the contract, and an authoriSecretary of the Department of the zation and consent clause does not deInterior with respect to patent policies tract from any patent indemnification and procedures has been delegated to commitment by a contractor or subthe Solicitor of the Department (De- contractor. Therefore, both a patent partmental Manual, Part 210, Chapter indemnity clause and an authorization 2, paragraph 210.2.2A(5)). Therefore, and consent clause may be included in any action under any contract provi- the same contract. sion required of the Contracting Offi- . (b) In certain contracting situation, cer (or other official having adminis- such as those involving demonstration trative authority over the contract) projects, consideration must be given which affects the disposition of rights to the impact of third party-owned in inventions and in related area of patents covering technology that may data, shall be taken only after consul- be incorporated in the project which tation with and approval of the Solici.
may ultimately affect widespread comtor of the Department. No modifica
mercial use of the project results. In tion or alteration of any contract pro
such situations, the Interior Departvision in these areas shall be made by
ment's Solicitor (Division of General the Contracting Officer without the
Law) should be consulted to determine express written authorization of the
what modifications, if any, should be Solicitor. Requests for deviation shall
made to the utilization of the Authori. be submitted to the Solicitor and the reasons for the actions requested set
zation and Consent and Indemnity forth.
provisions or what other action might (b) The Office of the Solicitor shall
be deemed appropriate. be consulted for policies, instructions,
(c) An Authorization and Consent and contract clauses concerning inven
clause shall not be used in contracts tions, patents, and data for use in con
where both complete performance and tracts which are to be performed out
delivery are to be outside the United side the United States, its possessions,
States, its possessions or Puerto Rico. and Puerto Rico.
8 14R-9.102-1 Authorization and consent $14R-9.102 Authorization and consent.
in contracts for supplies or services. (a) Under 28 U.S.C. 1498, any suit The following contract clause shall for infringement of a United States be included in all contracts for suppatent based on the manufacture orplies or services except:
(a) When prohibited by $ 14R- clause in § 14R-9.102-1 shall not be in9.102(c); or
cluded. (b) In contracts for research, devel
AUTHORIZATION AND CONSENT opment, or demonstration work in which the clause in § 14R-9.102–2 is re The Government hereby gives its authoriquired.
zation and consent for all use and manufac
ture of any invention described in and covAUTHORIZATION AND CONSENT
ered by a patent of the United States in the
performance of this contract or any part The Government hereby gives its authori
hereof or any amendment hereto or any zation and consent (without prejudice to
subcontract hereunder (including all lowerany rights of indemnification) for all use
tier subcontracts). and manufacture, in the performance of this contract or any part hereof or any
8 14R-9.103 Patent indemnification of amendment hereto or any subcontract here
Government by contractor. under (including any lower-tier subcontract), of any invention described in and In order that the Government may covered by a patent of the United States (a) be reimbursed for liability for patent embodied in the structure of composition of infringement arising out of or resultany article the delivery of which is accepted
ing from the performance of construcby the Government under this contract or
tion contracts or contracts for sup(b) utilized in the machinery, tools or meth
plies, including standard parts and ods the use of which necessarily results from compliance by the Contractor or the
components which normally are or using subcontractor with (i) specifications have been sold or offered for sale to or written provisions now or hereafter form the public in the commercial open ing a part of this contract, or (ii) specific market, or which are the same as such written instructions given by the Contract supplies with a relatively minor modiing Officer directing the manner of per fication thereof, a clause providing for formance. The entire liability to the Gov.
indemnification of the Government ernment for infringement of a patent of the
shall be included in such contracts as United States shall be determined solely by
well as in subcontracts, as appropriate, the provisions of the indemnity clauses, if any, included in this contract or any subcon
in accordance with the instructions set tract hereunder (including all lower-tier forth below. However, a Patent Indem. subcontracts), and the Government assumes nity clause normally shall not be used liability for all other infringement to the in contracts or subcontracts: extent of the authorization and consent (a) When the Authorization and hereinabove granted.
Consent clause in § 14R-9.102-2 appli8 14R-9.102-2 Authorization and consent
cable to research, development, or
demonstration contracts is authorized, in contracts for research, development,
except that in contracts calling also or demonstration.
for supplies of the kind described Greater latitude in the use of pat above, or for supplying standard parts ented inventions may be necessary in a or components, the Patent Indemnity contract for research, development, or clause in § 14R-9.103-3(b) may be used demonstration work than in a contract with respect to such supplies; in subfor supplies. Unless prohibited by contracts thereunder, the Patent In$ 14R-9.102(c), the following clause demnity clause of $ 14R-9.103-1 or shall be included in all contracts call- f 14R-9.103-3(b) shall be used as aping exclusively for research, develop propriate: ment, or demonstration work and may (b) When the contract is for supplies be included in contracts calling for which clearly are not, or have not, both supplies and research, develop been sold or offered for sale to the ment, or demonstration work where public in the commercial open market; the latter work is a primary purpose of (c) When both performance and dethe contract. In all other contracts for livery are to be outside the United both supplies and research, develop- States, its possessions, or Puerto Rico, ment, or demonstration work, the Au- unless the contract indicates that the thorization and Consent clause § 14R- supplies are ultimately to be shipped 9.102-1 shall be used. If the following into the United States, its possessions, clause is included in a contract, the or Puerto Rico, in which case the in
struction of $ 14R-9.103-1 or $14R9.103-3 are applicable; or
(d) When the contract is for an amount of $10,000 or less (as a matter of administrative convenience, however, the clause need not be deleted where it is a part of a standard form being used for such contracts since it is self-deleting).
which addition or change was made subsequent to delivery or performance by the Contractor; or (iii) a claimed infringement which is settled without the consent of the Contractor, unless required by final decree of a court of competent jurisdiction.
§ 14R-9.103-1 Patent indemnification in
formally advertised contracts-commercial status predetermined. Except as prohibited by § 14R-9.103, the following clause is appropriate in formally advertised construction contracts and shall be included in formally advertised contracts for supplies when it has been determined in advance of issuing the invitation for bids that the supplies (or such supplies apart from relatively minor modification to be made thereto) normally are or have been sold or offered for sale by any supplier to the public in the commercial open market.
PATENT INDEMNITY If the amount of this contract is in excess of $10,000, the Contractor shall indemnify the Government and its officers, agents, and employees against liability, including costs, for infringement of any United States Letters Patent (except Letters Patent issued upon an application which is now or may hereafter be kept secret or otherwise withheld from issue by order of the Govern. ment) arising out of the manufacture or delivery of supplies or out of construction, alteration, modification, or repair of real property (hereinafter referred to as “construction work") under this contract, or out of the use or disposal by or for the account of the Government of such supplies or construction work. The foregoing indemnity shall not apply unless the Contractor shall have been informed as soon as practicable by the Government of the suit or action alleging such infringement, and shall have been given such opportunity as is afforded by applicable laws, rules, or regulations to participate in the defense thereof; and fur ther, such indemnity shall not apply to: (1) an infringement resulting from compliance with specific written instructions of the Contracting Officer directing a change in the supplies to be delivered or in the materials or equipment to be used, or directing a manner of performance of the contract not normally used by the contractor; (ii) an in fringement resulting from addition to, or change in, such supplies or components fur nished or construction work performed
8 14R-9.103–2 (Reserved) 8 14R-9.103-3 Patent indemnity in negoti
ated contracts. The fact that a contract is negotiated does not preclude inclusion of a Patent Indemnity clause in such a contract, and such clause may be included in negotiated construction contracts and in contracts for supplies when such supplies normally are or have been sold or offered for sale to the public in the commercial open market, or are such supplies with relatively minor modifications made thereto, or in contracts for supplying standard parts or components.
(a) Subject to the foregoing and to the prohibitions in 14R-9.103, the clause in § 14R-9.103-1 is approved for use in negotiated contracts for construction work or supplies.
(b) Except as prohibited by § 14R9.103, the following clause is appropriate in research, development, or demonstration contracts when it has been determined by OWRT in any particular contracting situation that the contract will require standard supplies sold or offered for sale to the public on the commercial open market or utilize the contractor's practices or methods which normally are or have been used in providing goods and services on the commercial open market.
PATENT INDEMNITY The Contractor shall indemnify the Gov. ernment and its officers, agents, and employees against liability, including costs, for infringement of U.S. Letters Patent (except Letters Patent issued upon an application which is now or may hereafter be kept secret or otherwise withheld from issue by order of the Government) resulting from the Contractor's: (a) furnishing or supplying standard parts or components which have been sold or offered for sale to the public on the commercial open market; or (b) utilizing its normal practices or methods which normally are or have been used in providing goods and services in the commercial open market, in the performance of the contract; or (c) utilizing any parts, compo