PETITIONER: California Institute of Technology

CONTRACT: NAS 7-100

INVENTION: Dicyanoacetylene Polymers

STATEMENT OF FACTS: The Petitioner, California Institute of Technology, is a contractor of the National Aeronautics and Space Administration, under Contract NAS 7-100. The petition was made for waiver of title of the United States in an invention entitled "Dicyanoacetylene Polymers," described in an attachment to the petition. The invention was made by Alan Rembaum and Arnold W. Henry, employees of the Petitioner, in the performance of work required under the above-identified contract, and in the manner specified in Section 305(a) of the National Aeronautics and Space Act of 1958, as determined by the Administrator. The petition was considered by the Inventions and Contributions Board on August 29, 1966.

The Board, having duly considered the allegations and claims of the above-identified petition, expressly makes the findings required under Section 1245.106(b) of the NASA Patent Waiver Regulations (1966), (which Section, in its entirety, is hereby expressly incorporated by reference), and concludes that the invention does not fall within the enumerated proscriptions of the cited Section. The reasons for the Board's findings are stated below, corresponding in each case to the respective criterion set forth in each subsection.

SECTION 1245.106(b)(1). The present invention relates to polymers of dicyanoacetylene and its copolymers that are improved organic compounds having unusual thermal stability at temperatures higher than is normal for such compounds, and that may be used as a semiconductor per se or applied as a coherent film having highly desirable semiconductor properties.

Although it is obvious that this material may have numerous commercial uses, for example as a temperature-stable coating or as a semiconductor for the manufacture of certain solid-state electronic devices, the principal intended application thereof by NASA is to further the governmental space research and exploration prograins. Accordingly, the improved polymeric material of the present invention is intended by the Government to be utilized only in space-related applications of such products as thermoelectric devices and transistors, and in other principally space-oriented applications, such as solar batteries, rocket motor casings, and nose cones. Therefore, it appears quite evident that the invention is not directly related to a governmental program for creating, developing, or improving products, processes, or methods for use by the general public.

SECTION 1245.106(b)(2). Although the present invention consists of an improved organic polymer having utility in the field of semiconductors, and therefore exhibiting commercial potential, its principal intended application in the space field, for example as a film for the glass fiber filament which is wound to form a rocket motor casing or a nose cone, makes it highly improbable that use of the invention by the general public will be required by governmental regulations.

SECTION 1245.106(b)(3). The present invention consists of an improved organic polymeric and/or copolymeric material incorporating important semiconductor and electrical conductivity characteristics, high thermal stability, and strong adherence to substrate materials such as glass and

ceramics. While it is clear that such a development offers commercial utility, and is particularly well-suited for application in the space program of the Government, for example as a solid-state electronic device itself or as a coating or film for microminiaturized electronic circuitry, it is equally clear that the invention has no direct application or relation to the field of public health or public welfare.

SECTION 1245.106(b)(4). The invention is considered to be included in the field of semiconductor technology. The Petitioner, in supporting a showing that there has been more than a little significant experience in this field outside of work funded by the Government, notes that there has been worldwide interest in the possibility of developing semiconductors from materials that are generally classified as organic compounds. The Petitioner further states that a large amount of privately-financed work has been accomplished in the contract field, and it submits an exhibit with the petition giving a bibliography of literature references describing some of the private work performed by others in the field, and includes in addition a typical article generally characterizing the work done in this field outside of Government-funding. Moreover, the NASA technical evaluator states that, although the Government has expended significant funds in the field of semiconductor development, it cannot be said that it is the principal developer thereof, since it is well-known that research and development of semiconductors, as well as materials therefor, has been privately pursued with diligence in recent years by numerous individuals and organizations. Therefore, it is recognized that considerable privatelyfunded developments have been made by the active engagement of many others in the field, and that the competition indicated thereby would negate any finding that the acquisition of exclusive rights might confer on the Petitioner a preferred or dominant position.

The Board further expressly finds, as required by Section 1245.106(c), that although the Petitioner is an educational institution, and as such is not engaged in the manufacture

and sale of commercial or industrial products, it is nevertheless considered that waiver of title would be an effective incentive to bring the invention to the point of practical application at the earliest practicable date. The Petitioner is well-known as one of the world's leading scientific research facilities and a recognized source of scientific information, advances in basic research, and new technology, and its technical competence to proceed with developments in the invention field is therefore unquestionable. In this regard, since the Petitioner is not a manufacturing facility, and therefore is considered not to have an organic capability in itself to commercially exploit the invention, it does have an active licensing program calculated actively to seek potential licensees capable of accomplishing development of its inventions to the point of practical application. In this connection, the Petitioner has submitted information as to its past licensing efforts, and in fact indicates a relatively high degree of success in ensuring the placement of products embodying its inventions on the commercial market through its licensing program. Furthermore, this program involves a high degree of selectivity for both inventions and licensees, and is coupled with continuing diligent efforts to ensure that such inventions are actually being worked toward further development and commercialization. With particular regard to the present case, the Petitioner notes that it has already included the present invention in its licensing program by specifically calling it to the attention of at least three major companies and the Petitioner clearly indicates the considerable interest of these companies in considering the potential for the further development and commercial exploitation of the invention, provided, of course, the Petitioner has the proprietary rights therein.

On the basis of all the above-enumerated findings, the Inventions and Contributions Board concludes that the interests of the United States would be best served by waiving title under Section 1245.106 of the NASA Patent Waiver Regulations of June 1, 1966, and therefore RECOMMENDS THE GRANT OF THE PETITION.

374

potential space applications of said brushless DC motor, and therefore it is not likely to issue regulations requiring use of the present invention by the general public.

SECTION 1245.106(b)(3). The present invention involves an improved brushless direct-current motor specifically developed for extended periods of operation in the space environment, preferably up to 10,000 hours and at increased efficiencies, thereby reducing the amount of power required to be supplied by available primary sources. It therefore appears obvious that the invention would not have any effect on, and is completely unrelated to, the public health or public welfare.

SECTION

1245.106(b)(4). The field of science or technology of the invention is identified as DC brushless motors. In successfully showing significant experience in this field outside of work funded by the Government, the Petitioner clearly indicates its own extensive work in the development of DC brushless motors, including such motors using Hall-effect device commutators. For example, it notes the work of some 20 years by its Instrument Department in related fields, and cites one of its patents entitled "Hall Effect Commutating Apparatus" as representative of some of the work done in this Department. Other Departments cited by the Petitioner as representative of the extensive privatelyfunded work in the defined invention field include its Avionics Controls Business Section (work exemplified by the citation of several patents), and its Direct Current Motor and Generator Department, which includes work of over a decade in the invention field, with private expenditures in this Department alone involving in excess of $200,000.

Moreover, the Petitioner cites a number of other companies actively engaged in privately-funded developments in the invention field; these include Sperry Rand, Kearfott Division of General Precision, Inc., Inland Motor Corp., Lamb Electric, Astro Dynamics, and Knox Instruments, Inc. The activity of these companies is not only

considered as showing clearly the existence of significant privately-funded experience in the field, but also as demonstrating both that the Government has not been the principal developer of the field and that considerable competition exists therein, thereby obviously negating any finding that acquisition of exclusive rights might confer on the Petitioner a preferred or dominant position.

The Board further expressly finds, as required by Section 1245.106(c), that, in view of the Petitioner's plans and intentions, waiver of title would be an effective incentive to bring the invention to the point of practical application at the earliest practicable date. The Petitioner has both the technical capability and the business outlets to place the invention in the marketplace, it it so desires. To establish its intent to market the present invention, the Petitioner submits an affidavit that its Direct-Current Motor and Generator Department is an existing operation in the business of manufacturing and selling various types of directcurrent motors; that this facility has existing facilities and capabilities to manufacture and market a brushless direct-current motor when it is developed; that this Department is presently extensively developing a marketable design for a brushless DC motor, to enable the Petitioner to compete with others presently marketing such devices; and that the brushless DC motor of the present petition is one of the types presently being considered in the development of marketable General Electric brushlessmotor systems. Accordingly, the Board finds that the Petitioner has submitted sufficient information of its plans and intentions to proceed with the requisite further development of the invention, and has therefore shown the effective-incentive criterion of this subsection.

On the basis of all the above-enumerated findings, the Inventions and Contributions Board concludes that the interests of the United States would best be served by waiving title under Section 1245.106 of the NASA Patent Waiver Regulations of June 1, 1966, and therefore RECOMMENDS THE GRANT OF THE PETITION.

1

PETITIONER: Kollsman Instrument Corporation

FINDINGS AND RECOMMENDATION OF THE STATEMENT OF FACTS: The Petitioner, Kollsman Instrument Corporation, is a contractor of the National Aeronautics and Space Administration, under Subcontract FNP 12776, awarded under Prime Contract NAS 9-497 with General Motors Corp., AC Spark Plug Div. The petition was made for waiver of title of the United States in an invention entitled "Wide Angle, Long Eye Relief Eyepiece," described in an attachment to the petition. The invention was made by Seymour Rosin, et al., employees of the Petitioner, in the performance of work required under the above-identified contract, and in the manner specified in Section 305(a) of the National Aeronautics and Space Act of 1958, as determined by the Administrator. The petition was considered by the Inventions and Contributions Board on August 29, 1966.

The Board, having duly considered the allegations and claims of the above-identified petition, expressly makes the findings required under Section 1245.106(b) of the NASA Patent Waiver Regulations (1966), (which Section, in its entirety, is hereby expressly incorporated by reference), and concludes that the invention does not fall within the enumerated proscriptions of the cited Section. The reasons for the Board's findings are stated below, corresponding in each case to the respective criterion set forth in each subsection.

SECTION 1245,106(b)(1). This invention is an improved eyepiece for a scanning telescope (or sextant) wherein the eye relief of the eyepiece is longer than the focal length, and astigmatism and chromatic aberration are corrected by an aspheric surface combined with zero power cemented

INVENTIONS AND CONTRIBUTIONS BOARD: lens, permitting use of a relatively short focal length eyepiece. The eyepiece is to be used for instrumentation in the Apollo Command Module, and was accordingly specifically designed to accommodate an astronaut in a pressurized suit. The longer eye relief enables the astronaut to obtain the same field of view from the suit visor to his eye as though his eye were directly against the eyepiece. Thus, it is manifest that the invention is directly related only to a governmental program designed to improve the use of optical instruments by the astronauts while on a space mission, and not to develop, create, or improve products, processes, or methods for use by the general public.

SECTION 1245.106(b)(2). Since the improved eyepiece device of the present invention was initially developed only for specialized application to optical instruments to be used by astronauts in the performance of a governmental space mission, it is not considered to be such a device as would be suitable for widespread use by members of the public; the Government would therefore not be likely to issue regulations requiring use of the invention by the general public.

SECTION 1245.106(b)(3). The present invention concerns a unique eyepiece calculated to facilitate use of optical instruments involved, for example, in the control, navigation, and/or maneuvering of manned spacecraft. Therefore, while the health and/or welfare of the astronauts and other crew members on a space mission appears to be clearly directly involved, it is equally clear that use of the inventive eyepiece for