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identity of confidential sources and re- 1974) from Privacy Act subsections veal confidential information supplied (c)(3) and (c)(4); (d); (e)(1) through by these sources.

(e)(3), (e)(4)(G) through (e)(4)(I), (e) 5 (iii) 5 U.S.C. 552a(e)(4)(I) requires the and (e)(8); (f); and (g); in addition, they publication of the categories of sources are exempted [pursuant to 5 U.S.C. of records in each system of records. 552a(k)(2) of the Privacy Act of 1974 The application of this provision could from Privacy Act subsections (CX3L disclose sufficient information to dis- (d); (e)(1), (e)(4)(G) through (e)(4)(I); and close the identity of a confidential (f). source and cause sources to refrain (2) These records contained in the Pofrom giving such information because

lice and Security Records—VA of fear of reprisal, or fear of breach of (103VA076B) are exempted for the folpromises of anonymity and confiden- lowing reasons: tiality. This would compromise the

(i) The application of Privacy Ac: ability to conduct background suit

subsection (c)(3) would alert subjects to ability investigations.

the existence of the investigation and (iv) 5 U.S.C. 552a(e)(1) requires each

reveal that they are subjects of that inagency to maintain in its records only

vestigation. Providing subjects with insuch information about an individual

formation concerning the nature of the that is relevant and necessary to ac

investigation could result in alteration complish a purpose of the agency re

or destruction of evidence which is obquired by statute or Executive order.

tained from third parties, improper inThis system of records is exempt from

fluencing of witnesses, and other acthe foregoing provision because:

tivities that could impede or com(A) It is not possible to detect relevance and necessity of specific infor

promise the investigation. mation from a confidential source in

(ii) The application of Privacy Ac: the early stages of an investigation.

subsections (c)(4); (d); (e)(4)(G) and (B) Relevance and necessity are ques

(e)(4)(H); (f); and (g) could interfere tions of judgment and timing. What ap

with investigative and enforcement pears relevant and necessary when col

proceedings, threaten the safety of inlected may ultimately be determined

dividuals who have cooperated with auto be unnecessary. It is only after the

thorities, constitute an unwarranted information is evaluated that the rel

invasion of personal privacy of others. evance and necessity of such informa

disclose the identity of confidential tion can be established regarding suit

sources, reveal confidential informaability for VA approval as a fee ap

tion supplied by these sources, and dispraiser or compliance inspector.

close investigative techniques and pro(C) In interviewing persons or obtain

cedures. ing other forms of evidence during an

(iii) The application of Privacy Act investigation for suitability for VA ap

subsection (e)(4)(I) could disclose invesproval, information may be supplied to

tigative techniques and procedures and the investigator which relates to mat- cause sources to refrain from giving ters incidental to the main purpose of

such information because of fear of rethe investigation but which is appro

prisal, or fear of breach of promises of priate in a thorough investigation. Of- anonymity and confidentiality. This tentimes, such information cannot could compromise the ability to conreadily be segregated and disclosure duct investigations and to identify, demight jeopardize the identity of a con- tect and apprehend violators. Even fidential source.

though the agency has claimed an ex(d) Exemption of Police and Security emption from this particular requireRecords. VA provides limited access to ment, it still plans to generally idenone Security and Law Enforcement tify the categories of records and the System of Records, Police and Security sources of these records in this system. Records—VA (103VA07B).

However, for the reason stated in para(1) The investigations records and re- graph (d)(2)(ii) of this section, this exports contained in this System of emption is still being cited in the event Records are exempted [pursuant to 5 an individual wants to know a specific U.S.C. 552a(j)(2) of the Privacy Act of source of information.

(iv) These records contained in the Police and Security Records—VA (103V A076B) are exempt from Privacy Act subsection (e)(1) because it is not possible to detect the relevance or necessity of specific information in the early stages of a criminal or other investigation. Relevance and necessity are questions of judgment and timing. What appears relevant and necessary may ultimately be determined to be unnecessary. It is only after the information is evaluated that the relevance and necessity of such information can be established. In any investigation, the Office of Security and Law Enforcement may obtain information concerning violations of laws other than those within the scope of its jurisdiction. In the interest of effective law enforcement, the Office of Security and Law Enforcement should retain this information as it may aid in establishing patterns of criminal activity and provide leads for those law enforcement agencies charged with enforcing other segments of civil or criminal law.

(v) The application of Privacy Act subsection (e)(2) would impair investigations of illegal acts, violations of the rules of conduct, merit system and any other misconduct for the following

Records—VA (103VA07B) from Privacy Act subsection (e)(3) are as follows:

(A) The disclosure to the subject of the purposes of the investigation would provide the subject with substantial information relating to the nature of the investigation and could impede or compromise the investigation.

(B) Informing the complainant or the subject of the information required by this provision could seriously interfere with undercover activities, jeopardize the identities of undercover agents and impair their safety, and impair the successful conclusion of the investigation.

(C) Individuals may be contacted during preliminary information gathering in investigations before any individual is identified as the subject of an investigation. Informing the individual of the matters required by this provision would hinder or adversely affect any present or subsequent investigations.

(vii) Since the Privacy Act defines "maintain” to include the collection of information, complying with subsection (e)(5) would prevent the collection of any data not shown to be accurate, relevant, timely, and complete at the moment of its collection. In gathering information during the course of an investigation, it is not always possible to make this determination prior to collecting the information. Facts are first gathered and then placed into

logical order which objectively proves or disproves criminal behavior on the part of the suspect. Material that may seem unrelated, irrelevant, incomplete, untimely, etc., may take on added meaning as an investigation progresses. The restrictions in this provision could interfere with the preparation of a complete investigative report.

(viii) The notice requirement of Privacy Act subsection (e)(8) could prematurely reveal an ongoing criminal investigation to the subject of the investigation. (Authority: 5 U.S.C. 552a (j) and (k); 38 U.S.C. 501) [48 FR 29847, June 29, 1983, as amended at 68 FR 35298, June 13, 2003]



(A) In order to successfully verify a complaint, most information about a complainant or an individual under investigation must be obtained from third parties such as witnesses and informers. It is not feasible to rely upon the subject of the investigation as a source for information regarding his/ her activities because of the subject's rights against self-incrimination and because of the inherent unreliability of the suspect's statements. Similarly, it is not always feasible to rely upon the complainant as a source of information regarding his/her involvement in an investigation.

(B) The subject of an investigation will be alerted to the existence of an investigation if an attempt is made to obtain information from the subject. This would afford the individual the opportunity to conceal any criminal activities to avoid apprehension.

(vi) The reasons for exempting these records in the Police and Security

$$ 1.583–1.584 [Reserved]


(b) Ownership in and to inventions arising under Cooperative Research and Development Agreements (CRADAs) pursuant to 15 USC 3710a shall be governed by the provisions of the pertinent CRADA, as authorized by the Federal Technology Transfer Act. (Authority: 15 U.S.C. 3710a; 37 CFR part 501) [61 FR 29658, June 12, 1996)

AUTHORITY: Sections 1.650 to 1.666 issued under sect. 1, 66 Stat. 811, 72 Stat. 1114; 35 U.S.C. 266; 15 U.S.C. 3710a; 38 U.S.C. 501; E.O. 10096, E.O. 10930, 15 FR 389; 3 CFR 1949-1953 Comp.

$1.650 Purpose.

The purpose of these regulations is to prescribe the procedure to be followed in determining and protecting the respective rights of the United States Government and of Department of Veterans Affairs employees who make inventions.

[21 FR 10377, Dec. 28, 1956, as amended at 61 FR 29658, June 12, 1996)

$ 1.653 Delegation of authority.

The General Counsel, Deputy General Counsel or Assistant General Counsel for Professional Staff Group IV is authorized to act for the Secretary of Veterans Affairs in matters concerning patents and inventions, unless otherwise required by law. The determination of rights to an invention as between the Government and the employee where there is no cooperative research and development agreement shall be made by the General Counsel, Deputy General Counsel or the Assistant General Counsel for Professional Staff Group IV, in accordance with 37 CFR part 500. [62 FR 14822, Mar. 28, 1997)

$ 1.651 Definitions.

The terms as used in the regulations concerning inventions by employees of the Department of Veterans Affairs are defined as follows:

(a) The term invention includes 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 under the patent laws of the United States.

(b) The term employee or Government employee means any officer or employee, civilian or military, of the Department of Veterans Affairs. Parttime, without compensation (WOC) employees and part-time consultants are included.

(c) The term Secretary of Commerce means the Under Secretary of Commerce for Technology. [21 FR 10377, Dec. 28, 1956, as amended at 31 FR 5291, Apr. 2, 1966; 61 FR 29658, June 12, 1996)

$ 1.654 Patenting of inventions.

Any invention owned by the Government under the criteria as set forth in 37 CFR 501.6 should be protected by an application for a domestic patent and other necessary documents executed by the employee inventor prepared by or through the General Counsel, Deputy General Counsel or Assistant General Counsel for Professional Staff Group IV, unless some other agency has primary interest or it is decided to dedicate the invention to the public. Such dedication requires approval of the Secretary of Commerce. Applications on behalf of the Government for foreign patents may be made if determined to be in the public interest. The payment of necessary expenses in connection with any application filed or patent obtained under this section by the Department of Veterans Affairs is authorized.

$ 1.652 Criteria for determining rights

to employee inventions. (a) The criteria to be applied in determining the respective rights of the Government and of the employee-inventor in and to any invention subject to these provisions shall be in accordance with the Uniform Patent Policy regulations found at 37 CFR 501.6 and 501.7.

(31 FR 5291, Apr. 2, 1966, as amended at 54 FR 26027, June 21, 1989; 61 FR 29658, June 12, 1996; 62 FR 14822, Mar. 28, 1997]

$1.655 Government license in inven

tion of employee. If an invention is made by an employee and it is determined that the employee inventor is entitled to full ownership under 37 CFR 501.6, subject to a nonexclusive, irrevocable, royaltyfree license in the Government with power to grant sublicenses for all Governmental purposes, it shall be the duty of the employee inventor to notify the Office of General Counsel of the status of the patent application, including the patent application number, so that the Department may protect the interests reserved to the Government under 37 CFR 501.6.

date of the invention; when and where it was conceived, constructed and tested; whether it was made entirely during working hours; whether, and to what extent there was a contribution by the Government of any of the following: Facilities; equipment; materials or supplies; funds; information; time or services of other Government employees on duty. When the invention is disclosed through publication, or in consultation with a manufacturer or attorney, simultaneous notification of the publication shall be given to the Office of General Counsel. A copy of the article will accompany the notification.

(b) The inventor's immediate superior shall promptly review the statement of the employee inventor for completeness and accuracy, and shall certify that the employee's statement of circumstances attending the invention is or is not correct, giving reasons if pertinent. The file should then be submitted through the facility head (or administration heads or top staff officials in the case of Central Office employees) to the General Counsel together with any comments ommendations.

[61 FR 29658, June 12, 1996)



(61 FR 29658, June 12, 1996)

$ 1.656 Information to be submitted by

inventor. (a) In the case of an invention or believed invention, the inventor will prepare a statement for submission to his or her immediate superior. It will be submitted regardless of where the ownership is believed to exist. The statement will consist of two parts:

(1) One part of the statement will be a disclosure of the invention sufficient to permit the preparation of a patent applicant. It shall consist of a description, including where applicable, of the parts or components of the invention as shown on the drawings or blueprints, accompanied further by a description of the construction and operation of the invention. Photographs of the invention may be included. The inventor should state pertinent prior art known to him or her, and set forth in detail as clearly as possible the respects which his or her invention differs.

(2) The other part of the statement will set forth the circumstances attending the making of the invention. It will include the full name and address of the inventor; the grade and title of his or her position; whether full time or part time; his or her duties at the time the invention was made; the facts pertinent to a determination whether the invention bore a direct relation to or was made in consequence of such official duties; whether there was, and if so, the terms of any special agreement or understanding with respect to use or manufacture of his or her invention;

$ 1.657 Determination of rights.

The General Counsel, Deputy General Counsel or Assistant General Counsel for Professional Staff Group IV will make a determination of rights subject to review where required by the Secretary of Commerce. The determination will be in accordance with 37 CFR 501.7.

[61 FR 29658, June 12, 1996, as amended at 62 FR 14822, Mar. 28, 1997]

$ 1.658 Right of appeal.

In accordance with 37 CFR 501.8, the employee has a right of appeal to the Secretary of Commerce within 30 days of receipt of the Department's determination of ownership rights. The decision reached by the Secretary of Commerce will be communicated to the employee.

[61 FR 29658, June 12, 1996)

shall be a condition of employment of all employees. [21 FR 10378, Dec. 28, 1956. Redesignated at 61 FR 29659, June 12, 1996)

$ 1.659 Relationship to incentive

awards program. Procedures set out in the regulations concerning inventions by employees of the Department of Veterans Affairs are not affected by the submission or proposed submission of an employee suggestion or idea on an item which may be patentable. Consideration of an item for a determination of ownership rights and also for an incentive award will proceed simultaneously, usually on separate correspondence. An employee suggestion or copies and extracts of the file may be forwarded to the General Counsel by the reviewing or awarding authority, or by the facility head, for an ownership determination where the employee idea or suggestion involves an invention. The employee shall be directed to submit a disclosure of invention in accordance with these regulations if such has not been previously submitted.

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$ 1.663 Licensing of Government

owned inventions. (a) The licensing of Governmentowned inventions under VA control and custody will be conducted pursuant to the regulations on the licensing of Government-owned inventions contained in 37 CFR part 404, and 15 U.S.C. 3710a, as appropriate.

(b) Any person whose application for a license in an invention under VA control and custody has been denied; whose license in such an invention has been modified or terminated, in whole or in part; or who timely filed a written objection in response to a proposal to grant an exclusive or partially exclusive license in an invention under VA control or custody, may, if damaged, appeal any decision or determination concerning the grant, denial, interpretation, modification, or termination of a license to the Secretary of Veterans Affairs. Such appeal shall be in writing; shall set forth with specificity the basis of the appeal; and shall be postmarked not later than 60 days after the action being appealed. Upon request of the appellant, such appeal may be considered by one to three persons appointed on a case-by-case basis by the Secretary of Veterans Affairs. Such a request will be granted only if it accompanies the written appeal. Appellant may appear and be represented by counsel before such a panel, which will sit in Washington, DC. If the appeal challenges a decision to grant an exclusive or partially exclusive license in an invention under VA control or custody, the licensee shall be furnished a copy of the appeal, shall be given the opportunity to respond in writing, may appear and be represented by counsel at any hearing requested by appellant, and may request a hearing if appellant has not, under the same terms and conditions, at which the appellant may also appear and be represented by counsel.

[61 FR 29659, June 12, 1996)

$ 1.661 Information to be kept con

fidential. All information pertaining to inventions and pending patent applications is confidential, and employees having access to such information are forbidden to disclose or reveal the same except as required in the performance of their official duties.

[21 FR 10378, Dec. 28, 1956. Redesignated at 61 FR 29659, June 12, 1996)

$ 1.662 Provisions of regulations made

a condition of employment. The provisions of the regulations concerning inventions by employees of the Department of Veterans Affairs

(61 FR 29659, June 12, 1996)

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