Stevenson-Wydler Technology Innovation
Act of 1980
Public Law 96-480, October 21, 1980,
96th Congress,
94 Stat. 2311, 15 U.S.C. 3701
An Act
To promote the United States
technological innovation for the achievement
of national economic, environmental, and
social goals, and for other purposes.
Be it enacted by the Senate and House
of Representatives of the United States
of America in Congress assembled,
That this Act may be cited as the "Stevenson-Wydler
Technology Innovation Act of 1980".
SEC. 2. FINDINGS.
The Congress finds and declares that:
(1) Technology and industrial innovation
are central to the economic, environmental,
and social well-being of citizens of the
United States.
(2) Technology and industrial innovation
offer an improved standard of living, increased
public and private sector productivity,
creation of new industries and employment
opportunities, improved public services
and enhanced competitiveness of United
States products in world markets.
(3) Many new discoveries and advances
in science occur in universities and Federal
laboratories, while the application of
this new knowledge to commercial and useful
public purposes depends largely upon actions
by business and labor. Cooperation among
academia, Federal laboratories, labor,
and industry, in such forms as technology
transfer, personnel exchange, joint research
projects, and others, should be renewed,
expanded, and strengthened.
(4) Small businesses have performed an
important role in advancing industrial
and technological innovation.
(5) Industrial and technological innovation
in the United States may be lagging when
compared to historical patterns and other
industrialized nations.
(6) Increased industrial and technological
innovation would reduce trade deficits,
stabilize the dollar, increase productivity
gains, increase employment, and stabilize
prices.
(7) Government antitrust, economic, trade,
patent, procurement, regulatory, research
and development, and tax policies have
significant impacts upon industrial innovation
and development of technology, but there
is insufficient knowledge of their effects
in particular sectors of the economy.
(8) No comprehensive national policy
exists to enhance technological innovation
for commercial and public purposes. There
is a need for such a policy, including
a strong national policy supporting domestic
technology transfer and utilization of
the science and technology resources of
the Federal Government.
(9) It is in the national interest to
promote the adaptation of technological
innovations to State and local government
uses. Technological innovations can improve
services, reduce their costs, and increase
productivity in State and local governments.
(10)(1) The
Federal laboratories and other performers
of federally funded research and development
frequently provide scientific and technological
developments of potential use to State
and local governments and private industry.
These developments, which include inventions,
computer software, and training technologies,
should be made accessible to those governments
and industry. There is a need to provide
means of access and to give adequate personnel
and funding support to these means.
(11) The Nation should give fuller recognition
to individuals and companies which have
made outstanding contributions to the promotion
of technology or technological manpower
for the improvement of the economic, environmental,
or social well-being of the United States.
SEC. 3. PURPOSE.
It is the purpose of this Act to improve
the economic, environmental, and social
well-being of the United States by-
(1) establishing organizations in the
executive branch tostudy and stimulate
technology;
(2)(2) promoting
technology development through the establishment
of cooperative research centers;
(3)(3) stimulating
improved utilization of federally funded
technology developments, including inventions,
software, and training technologies, by
State and local governments and the private
sector;
(4) providing encouragement for the development
of technology through the recognition of
individuals and companies which have made
outstanding contributions in technology;
and
(5) encouraging the exchange of scientific
and technical personnel among academia,
industry, and Federal laboratories.
SEC. 4. DEFINITIONS.
As used in this Act, unless the context
otherwise requires, the term-
(1)(4) "office" means
the Office of Technology Policy established
under section 5 of this Act.
(2) "Secretary" means the Secretary
of Commerce.
(3)(5) "Under
Secretary" means the Under Secretary
of Commerce for Technology appointed under
section 5(b)(1).
(4)(6) "Centers" means
the Cooperative Research Centers established
under section 6 or section 8 of this Act.
(5) "Nonprofit institution" means
an organization owned and operated exclusively
for scientific or educational purposes,
no part of the net earnings of which inures
to the benefit of any private shareholder
or individual.
(6)(7) "Federal
laboratory" means any laboratory,
any federally funded research and development
center, or any center established under
section 6 or section 8 of this Act that
is owned, leased, or otherwise used by
a Federal agency and funded by the Federal
Government, whether operated by the Government
or by a contractor.
(7)(8) "Supporting
agency" means either the Department
of Commerce or the National Science Foundation,
as appropriate.
(8)(9) "Federal
agency" means any executive agency
as defined in section 105 of title 5, United
States Code, and the military departments
as defined in section 102 of such title,
as well as any agency of the legislative
branch of the Federal Government.
(9)(10) "Invention" means
any invention or discovery which is or
may be patentable or otherwise protected
under title 35, United States Code, or
any novel variety of plant which is or
may be protectable under the Plant Variety
Protection Act (7 U.S.C. 2321 et seq.).
(10)(11) "Made" when
used in conjunction with any invention
means the conception or first actual reduction
to practice of such invention.
(11)(12) "Small
business firm" means a small business
concern as defined in section 2 of Public
Law 85-536 (15 U.S.C. 632) and implementing
regulations of the Administrator of the
Small Business Administration.
(12)(13) "Training
technology" means computer software
and related materials which are developed
by a Federal agency to train employees
of such agency, including but not limited
to software for computer-based instructional
systems and for interactive video disc
systems.
(13)(14) "Clearinghouse" means
the Clearinghouse for State and Local Initiatives
on Productivity, Technology, and Innovation
established by section 6.
SEC. 5. COMMERCE AND TECHNOLOGICAL INNOVATION.
(a)(15) ESTABLISHMENT.--There
is established in the Department of Commerce
a Technology Administration, which shall
operate in accordance with the provisions,
findings, and purposes of this Act. The
Technology Administration shall include-
(1) the National Institute of Standards
and Technology;
(2) the National Technical Information
Service; and
(3) a policy analysis office, which shall
be known as the Office of Technology Policy.
(b)(16) UNDER
SECRETARY AND ASSISTANT SECRETARY.--The
President shall appoint, by and with the
advice and consent of the Senate, to the
extent provided for in appropriations Acts--
(1) an Under Secretary of Commerce for
Technology, who shall be compensated at
the rate provided for level III of the
Executive Schedule in section 5314 of title
5, United States Code; and
(2) an Assistant Secretary of Commerce
for Technology Policy, who shall serve
as policy analyst for the Under Secretary.
(C)(17) DUTIES.--The
Secretary, through the Under Secretary,
as appropriate, shall--
(1) manage the Technology Administration
and supervise its agencies, programs, and
activities;
(2) conduct technology policy analyses
to improve United States industrial productivity,
technology, and innovation, and cooperate
with United States industry in the improvement
of its productivity, technology, and ability
to compete successfully in world markets;
(3) carry out any functions formerly
assigned to the Office of Productivity,
Technology, and Innovation;
(4) assist in the implementation of the
Metric Conversion Act of 1975;
(5) determine the relationships of technological
developments and international technology
transfers to the output, employment, productivity,
and world trade performance of United States
and foreign industrial sectors;
(6) determine the influence of economic,
labor and other conditions, industrial
structure and management, and government
policies on technological developments
in particular industrial sectors worldwide;
(7) identify technological needs, problems,
and opportunities within and across industrial
sectors that, if addressed, could make
a significant contribution to the economy
of the United States;
(8) assess whether the capital, technical
and other resources being allocated to
domestic industrial sectors which are likely
to generate new technologies are adequate
to meet private and social demands for
goods and services and to promote productivity
and economic growth;
(9) propose and support studies and policy
experiments, in cooperation with other
Federal agencies, to determine the effectiveness
of measures with the potential of advancing
United States technological innovation;
(10)(18) provide
that cooperative efforts to stimulate industrial
innovation be undertaken between the Under
Secretary and other officials in the Department
of Commerce responsible for such areas
as trade and economic assistance;
(11)(19) encourage
and assist the creation of centers and
other joint initiatives by State or local
governments, regional organizations, private
businesses, institutions of higher education,
nonprofit organizations, or Federal laboratories
to encourage technology transfer, to stimulate
innovation, and to promote an appropriate
climate for investment in technology-related
industries;
(12)(20) propose
and encourage cooperative research involving
appropriate Federal entities, State or
local governments, regional organizations,
colleges or universities, nonprofit organizations,
or private industry to promote the common
use of resources, to improve training programs
and curricula, to stimulate interest in
high technology careers, and to encourage
the effective dissemination of technology
skills within the wider community;
(13)(21) serve
as a focal point for discussions among
United States companies on topics of interest
to industry and labor, including discussions
regarding manufacturing and discussions
regarding emerging technologies;
(14)(22) consider
government measures with the potential
of advancing United States technological
innovation and exploiting innovations of
foreign origin; and
(15)(23) publish
the results of studies and policy experiments.
(d)(24) JAPANESE
TECHNICAL LITERATURE.--(1) In addition
to the duties specified in subsection (c),
the Secretary and the Under Secretary shall
establish, and through the National Technical
Information Service and with the cooperation
of such other offices within the Department
of Commerce as the Secretary considers
appropriate, maintain a program (including
an office in Japan) which shall, on a continuing
basis--
(A) monitor Japanese technical activities
and developments;
(B) consult with businesses, professional
societies, and libraries in the United
States regarding their needs for information
on Japanese developments in technology
and engineering;
(C) acquire and translate selected Japanese
technical reports and documents that may
be of value to agencies and departments
of the Federal Government, and to businesses
and researchers in the United States; and
(D) coordinate with other agencies and
departments of the Federal Government to
identify significant gaps and avoid duplication
in efforts by the Federal Government to
acquire, translate, index, and disseminate
Japanese technical information.
Activities undertaken pursuant to subparagraph
(C) of this paragraph shall only be performed
on a cost-reimbursable basis. Translations
referred to in such subparagraph shall
be performed only to the extent that they
are not otherwise available from sources
within the private sector in the United
States.
(2) Beginning in 1986, the Secretary
shall prepare annual reports regarding
important Japanese scientific discoveries
and technical innovations in such areas
as computers, semiconductors, biotechnology,
and robotics and manufacturing. In preparing
such reports, the Secretary shall consult
with professional societies and businesses
in the United States. The Secretary may,
to the extent provided in advance by appropriation
Acts, contract with private organizations
to acquire and translate Japanese scientific
and technical information relevant to the
preparation of such reports.
(3) The Secretary also shall encourage
professional societies and private businesses
in the United States to increase their
efforts to acquire, screen, translate,
and disseminate Japanese technical literature.
(4) In addition, the Secretary shall
compile, publish, and disseminate an annual
directory which lists--
(A) all programs and services in the
United States that collect, abstract, translate,
and distribute Japanese scientific and
technical information; and
(B) all translations of Japanese technical
documents performed by agencies and departments
of the Federal Government in the preceding
12 months that are available to the public.
(5) The Secretary shall transmit to the
Congress, within 1 year after the date
of enactment of the Japanese Technical
Literature Act of 1986, a report on the
activities of the Federal Government to
collect, abstract, translate, and distribute
declassified Japanese scientific and technical
information.
(e)(25) REPORT.--The
Secretary shall prepare and submit to the
President and Congress, within 3 years
after the date of enactment of this Act,
a report on the progress, findings, and
conclusion of activities conducted pursuant
to sections 5, 6, 8, 11, 12, and 13 of
this Act (as then in effect) and recommendations
for possible modifications thereof.
SEC. 6.(26) CLEARINGHOUSE
FOR STATE AND LOCAL INITIATIVES ON PRODUCTIVITY,
TECHNOLOGY, AND INNOVATION.
(a) ESTABLISHMENT.--There is established
within the Office of Productivity, Technology,
and Innovation a Clearinghouse for State
and Local Initiatives on Productivity,
Technology, and Innovation. The Clearinghouse
shall serve as a central repository of
information on initiatives by State and
local governments to enhance the competitiveness
of American business through the stimulation
of productivity, technology, and innovation
and Federal efforts to assist State and
local governments to enhance competitiveness.
(b) RESPONSIBILITIES.--The Clearinghouse
may--
(1) establish relationships with State
and local governments, and regional and
multistate organizations of such governments,
which carry out such initiatives;
(2) collect information on the nature,
extent, and effects of such initiatives,
particularly information useful to the
Congress, Federal agencies, State and local
governments, regional and multistate organizations
of such governments, businesses, and the
public throughout the United States;
(3) disseminate information collected
under paragraph (2) through reports, directories,
handbooks, conferences, and seminars;
(4) provide technical assistance and
advice to such governments with respect
to such initiatives, including assistance
in determining sources of assistance from
Federal agencies which may be available
to support such initiatives;
(5) study ways in which Federal agencies,
including Federal laboratories, are able
to use their existing policies and programs
to assist State and local governments,
and regional and multistate organizations
of such governments, to enhance the competitiveness
of American business;
(6) make periodic recommendations to
the Secretary, and to other Federal agencies
upon their request, concerning modifications
in Federal policies and programs which
would improve Federal assistance to State
and local technology and business assistance
programs;
(7) develop methodologies to evaluate
State and local programs, and, when requested,
advise State and local governments, and
regional and multistate organizations of
such governments, as to which programs
are most effective in enhancing the competitiveness
of American business through the stimulation
of productivity, technology, and innovation;
and
(8) make use of, and disseminate, the
nationwide study of State industrial extension
programs conducted by the Secretary.
(c) CONTRACTS.--In carrying out subsection
(b), the Secretary may enter into contracts
for the purpose of collecting information
on the nature, extent, and effects of initiatives.
(d) TRIENNIAL REPORT.--The Secretary
shall prepare and transmit to the Congress
once each 3 years a report on initiatives
by State and local governments to enhance
the competitiveness of American businesses
through the stimulation of productivity,
technology, and innovation. The report
shall include recommendations to the President,
the Congress, and to Federal agencies on
the appropriate Federal role in stimulating
State and local efforts in this area. The
first of these reports shall be transmitted
to the Congress before January 1, 1989.
SEC. 7.(27) COOPERATIVE
RESEARCH CENTERS.
(a)(28) ESTABLISHMENT.--The
Secretary shall provide assistance for
the establishment of Cooperative Research
Centers. Such Centers shall be affiliated
with any university, or other nonprofit
institution, or group thereof, that applies
for and is awarded a grant or enters into
a cooperative agreement under this section.
The objective of the Centers is to enhance
technological innovation through--
(1) the participation of individuals
from industry and universities in cooperative
technological innovation activities;
(2) the development of the generic research
base, important for technological advance
and innovative activity, in which individual
firms have little incentive to invest,
but which may have significant economic
or strategic importance, such as manufacturing
technology;
(3) the education and training of individuals
in the technological innovation process;
(4) the improvement of mechanisms for
the dissemination of scientific, engineering,
and technical information among universities
and industry;
(5) the utilization of the capability
and expertise, where appropriate, that
exists in Federal laboratories; and
(6) the development of continuing financial
support from other mission agencies, from
State and local government, and from industry
and universities through, among other means,
fees, licenses, and royalties.
(b) ACTIVITIES.--The activities of the
Centers shall include, but need not be
limited to--
(1)(29) research
supportive of technological and industrial
innovation including cooperative industry-university
research;
(2) assistance to individuals and small
businesses in the generation, evaluation,
and development of technological ideas
supportive of industrial innovation and
new business ventures;
(3) technical assistance and advisory
services to industry, particularly small
businesses; and
(4) curriculum development, training,
and instruction in invention, entrepreneurship,
and industrial innovation.
Each Center need not undertake all of
the activities under this subsection.
(c) REQUIREMENTS.--Prior to establishing
a Center, the Secretary shall find that--
(1) consideration has been given to the
potential contribution of the activities
proposed under the Center to productivity,
employment, and economic competitiveness
of the United States;
(2) a high likelihood exists of continuing
participation, advice, financial support,
and other contributions from the private
sector;
(3) the host university or other nonprofit
institution has a plan for the management
and evaluation of the activities proposed
within the particular Center, including:
(A) the agreement between the parties
as to the allocation of patent rights on
a nonexclusive, partially exclusive, or
exclusive license basis to any inventions
conceived or made under the auspices of
the Center; and
(B) the consideration of means to place
the Center, to the maximum extent feasible,
on a self-sustaining basis;
(4) suitable consideration has been given
to the university's or other nonprofit
institution's capabilities and geographical
location; and
(5) consideration has been given to any
effects upon competition of the activities
proposed under the Center.
(d) PLANNING GRANTS.--The Secretary is
authorized to make available nonrenewable
planning grants to universities or nonprofit
institutions for the purpose of developing
a plan required under subsection (c)(3).
(e)(30) RESEARCH
AND DEVELOPMENT UTILIZATION.--In the promotion
of technology from research and development
efforts by Centers under this section,
chapter 18 of title 35, United States Code,
shall apply to the extent not inconsistent
with this section.(31)
SEC. 8.(32) GRANTS
AND COOPERATIVE AGREEMENTS.
(a) IN GENERAL.--The Secretary may make
grants and enter into cooperative agreements
according to the provisions of this section
in order to assist any activity consistent
with this Act, including activities performed
by individuals. The total amount of any
such grant or cooperative agreement may
not exceed 75 percent of the total cost
of the program.
(b)(33) ELIGIBILITY
AND PROCEDURE.--Any person or institution
may apply to the Secretary for a grant
or cooperative agreement available under
this section. Application shall be made
in such form and manner, and with such
content and other submissions, as the Assistant
Secretary shall prescribe. The Secretary
shall act upon each such application within
90 days after the date on which all required
information is received.
(c) TERMS AND CONDITIONS.--
(1) Any grant made, or cooperative agreement
entered into, under this section shall
be subject to the limitations and provisions
set forth in paragraph (2) of this subsection,
and to such other terms, conditions, and
requirements as the Secretary deems necessary
or appropriate.
(2) Any person who receives or utilizes
any proceeds of any grant made or cooperative
agreement entered into under this section
shall keep such records as the Secretary
shall by regulation prescribe as being
necessary and appropriate to facilitate
effective audit and evaluation, including
records which fully disclose the amount
and disposition by such recipient of such
proceeds, the total cost of the program
or project in connection with which such
proceeds were used, and the amount, if
any, of such costs which was provided through
other sources.
SEC.9.(34) NATIONAL
SCIENCE FOUNDATION COOPERATIVE RESEARCH
CENTERS.
(a)(35) ESTABLISHMENT
AND PROVISION.--The National Science Foundation
shall provide assistance for the establishment
of Cooperative Research Centers. Such Centers
shall be affiliated with a university,
or other nonprofit institution, or a group
thereof. The objective of the Centers is
to enhance technological innovation as
provided in section 6(a) through the conduct
of activities as provided in section 6(b).
(b) PLANNING GRANTS.--The National Science
Foundation is authorized to make available
nonrenewable planning grants to universities
or nonprofit institutions for the purpose
of developing the plan, as described under
section 6(c)(3).
(c) TERMS AND CONDITIONS.--Grants, contracts,
and cooperative agreements entered into
by the National Science Foundation in execution
of the powers and duties of the National
Science Foundation under this Act shall
be governed by the National Science Foundation
Act of 1950 and other pertinent Acts.
SEC. 10.(36) ADMINISTRATIVE
ARRANGEMENTS.
(a) COORDINATION.--The Secretary and
the National Science Foundation shall,
on a continuing basis, obtain the advice
and cooperation of departments and agencies
whose missions contribute to or are affected
by the programs established under this
Act, including the development of an agenda
for research and policy experimentation.
These departments and agencies shall include
but not be limited to the Departments of
Defense, Energy, Education, Health and
Human Services, Housing and Urban Development,
the Environmental Protection Agency, National
Aeronautics and Space Administration, Small
Business Administration, Council of Economic
Advisers, Council on Environmental Quality,
and Office of Science and Technology Policy.
(b) COOPERATION.--It is the sense of
the Congress that departments and agencies,
including the Federal laboratories, whose
missions are affected by, or could contribute
to, the programs established under this
Act, should, within the limits of budgetary
authorizations and appropriations, support
or participate in activities or projects
authorized by this Act.
(c) ADMINISTRATIVE AUTHORIZATION.--
(1) Departments and agencies described
in subsection (b) are authorized to participate
in, contribute to, and serve as resources
for the Centers and for any other activities
authorized under this Act.
(2) The Secretary and the National Science
Foundation are authorized to receive moneys
and to receive other forms of assistance
from other departments or agencies to support
activities of the Centers and any other
activities authorized under this Act.
(d)(37) COOPERATIVE
EFFORTS.--The Secretary and the National
Science Foundation shall, on a continuing
basis, provide each other the opportunity
to comment on any proposed program of activity
under sections 7, 9, 11, 15, 17, or 20
of this Act before funds are committed
to such program in order to mount complementary
efforts and avoid duplication.
SEC. 11.(38) UTILIZATION
OF FEDERAL TECHNOLOGY.
(a) POLICY.--(1)(39) It
is the continuing responsibility of the
Federal Government to ensure the full use
of the results of the Nation's Federal
investment in research and development.
To this end the Federal Government shall
strive where appropriate to transfer federally
owned or originated technology to State
and local governments and to the private
sector.
(2)(40) Technology
transfer, consistent with mission responsibilities,
is a responsibility of each laboratory
science and engineering professional.
(3)(41) Each
laboratory director shall ensure that efforts
to transfer technology are considered positively
in laboratory job descriptions, employee
promotion policies, and evaluation of the
job performance of scientists and engineers
in the laboratory.
(b)(42) ESTABLISHMENT
OF RESEARCH AND TECHNOLOGY APPLICATIONS
OFFICES.--Each Federal laboratory shall
establish an Office of Research and Technology
Applications. Laboratories having existing
organizational structures which perform
the functions of this section may elect
to combine the Office of Research and Technology
Applications within the existing organization.
The staffing and funding levels for these
offices shall be determined between each
Federal laboratory and the Federal agency
operating or directing the laboratory,
except that (1) each laboratory having
200 or more full-time equivalent scientific,
engineering, and related technical positions
shall provide one or more full-time equivalent
positions(43) as staff for its Office of Research and Technology
Applications, and (2) each Federal agency
which operates or directs one or more Federal
laboratories shall make available sufficient
funding, either as a separate line item
or from the agency's research and development
budget, to support the technology transfer
function at the agency and at its laboratories,
including support of the Offices of Research
and Technology Applications. Furthermore,
individuals filling positions in an Office
of Research and Technology Applications
shall be included in the overall laboratory/agency
management development program so as to
ensure that highly competent technical
managers are full participants in the technology
transfer process.(44) The
agency head shall submit to Congress at
the time the President submits the budget
to Congress an explanation of the agency's
technology transfer program for the preceding
year and the agency's plans for conducting
its technology transfer function for the
upcoming year, including plans for securing
intellectual property rights in laboratory
innovations with commercial promise and
plans for managing such innovations so
as to benefit the competitiveness of United
States industry.
(c) FUNCTIONS OF RESEARCH AND TECHNOLOGY
APPLICATIONS OFFICES.--
It shall be the function of each Office
of Research and Technology Applications--
(1)(45) to
prepare application assessments for selected
research and development projects in which
that laboratory is engaged and which in
the opinion of the laboratory may have
potential commercial applications;
(2) to provide and disseminate information
on federally owned or originated products,
processes, and services having potential
application to State and local governments
and to private industry;
(3)(46) to
cooperate with and assist the National
Technical Information Service, the Federal
Laboratory Consortium for Technology Transfer,
and other organizations which link the
research and development resources of that
laboratory and the Federal Government as
a whole to potential users in State and
local government and private industry;
(4)(47) to
provide technical assistance to State and
local government officials; and
(5)(48) to
participate, where feasible, in regional,
State, and local programs designed to facilitate
or stimulate the transfer of technology
for the benefit of the region, State, or
local jurisdiction in which the Federal
laboratory is located. Agencies which have
established organizational structures outside
their Federal laboratories which have as
their principal purpose the transfer of
federally owned or originated technology
to State and local government and to the
private sector may elect to perform the
functions of this subsection in such organizational
structures. No Office of Research and Technology
Applications or other organizational structures
performing the functions of this subsection
shall substantially compete with similar
services available in the private sector.
(d)(49) DISSEMINATION
OF TECHNICAL INFORMATION.--The National
Technical Information Service shall--
(1) serve as a central clearinghouse
for the collection, dissemination and transfer
of information on federally owned or originated
technologies having potential application
to State and local governments and to private
industry;
(2)(50) utilize
the expertise and services of the National
Science Foundation and the Federal Laboratory
Consortium for Technology Transfer; particularly
in dealing with State and local governments;
(3)(51) receive
requests for technical assistance from
State and local governments, respond to
such requests with published information
available to the Service, and refer such
requests to the Federal Laboratory Consortium
for Technology Transfer to the extent that
such requests require a response involving
more than the published information available
to the Service;
(4)(52) provide
funding, at the discretion of the Secretary,
for Federal laboratories to provide the
assistance specified in subsection (c)(3);
(5)(53) use
appropriate technology transfer mechanisms
such as personnel exchanges and computer-based
systems; and
(6)(54) maintain
a permanent archival repository and clearinghouse
for the collection and dissemination of
nonclassified scientific, technical, and
engineering information.
(e)(55) ESTABLISHMENT
OF FEDERAL LABORATORY CONSORTIUM FOR TECHNOLOGY
TRANSFER.--(1) There is hereby established
the Federal Laboratory Consortium for Technology
Transfer (hereinafter referred to as the "Consortium")
which, in cooperation with Federal Laboratories
and the private sector, shall--
(A) develop and (with the consent of
the Federal laboratory concerned) administer
techniques, training courses, and materials
concerning technology transfer to increase
the awareness of Federal laboratory employees
regarding the commercial potential of laboratory
technology and innovations;
(B) furnish advice and assistance requested
by Federal agencies and laboratories for
use in their technology transfer programs
(including the planning of seminars for
small business and other industry);
(C) provide a clearinghouse for requests,
received at the laboratory level, for technical
assistance from States and units of local
governments, businesses, industrial development
organizations, not-for-profit organizations
including universities, Federal agencies
and laboratories, and other persons, and--
(i) to the extent that such requests
can be responded to with published information
available to the National Technical Information
Service, refer such requests to that Service,
and
(ii) otherwise refer these requests to
the appropriate Federal laboratories and
agencies;
(D) facilitate communication and coordination
between Offices of Research and Technology
Applications of Federal laboratories;
(E) utilize (with the consent of the
agency involved) the expertise and services
of the National Science Foundation, the
Department of Commerce, the National Aeronautics
and Space Administration, and other Federal
agencies, as necessary;
(F) with the consent of any Federal laboratory,
facilitate the use by such laboratory of
appropriate technology transfer mechanisms
such as personnel exchanges and computer-based
systems;
(G) with the consent of any Federal laboratory,
assist such laboratory to establish programs
using technical volunteers to provide technical
assistance to communities related to such
laboratory;
(H) facilitate communication and cooperation
between Offices of Research and Technology
Applications of Federal laboratories and
regional, State, and local technology transfer
organizations;
(I) when requested, assist colleges or
universities, businesses, nonprofit organizations,
State or local governments, or regional
organizations to establish programs to
stimulate research and to encourage technology
transfer in such areas as technology program
development, curriculum design, long-term
research planning, personnel needs projections,
and productivity assessments; and
(J) seek advice in each Federal laboratory
consortium region from representatives
of State and local governments, large and
small business, universities, and other
appropriate persons on the effectiveness
of the program (and any such advice shall
be provided at no expense to the Government).
(2)(56) The
membership of the Consortium shall consist
of the Federal laboratories described in
clause (1) of subsection (b) and such other
laboratories as may choose to join the
Consortium. The representatives to the
Consortium shall include a senior staff
member of each Federal laboratory which
is a member of the Consortium and a senior
representative appointed from each Federal
agency with one or more member laboratories.
(3) The representatives to the Consortium
shall elect a Chairman of the Consortium.
(4) The Director of the National Institute
of Standards and Technology shall provide
the Consortium, on a reimbursable basis,
with administrative services, such as office
space, personnel, and support services
of the Institute, as requested by the Consortium
and approved by such Director.
(5) Each Federal laboratory or agency
shall transfer technology directly to users
or representatives of users, and shall
not transfer technology directly to the
Consortium. Each Federal laboratory shall
conduct and transfer technology only in
accordance with the practices and policies
of the Federal agency which owns, leases,
or otherwise uses such Federal laboratory.
(6)(57) Not
later than one year after the date of the
enactment of this subsection, and every
year thereafter, the Chairman of the Consortium
shall submit a report to the President,
to the appropriate authorization and appropriation
committees of both Houses of the Congress,
and to each agency with respect to which
a transfer of funding is made (for the
fiscal year or years involved) under paragraph
(7), concerning the activities of the Consortium
and the expenditures made by it under this
subsection during the year for which the
report is made. Such report shall include
an annual independent audit of the financial
statement of the Consortium, conducted
in accordance with generally accepted accounting
principles.
(7)(58) (A)
Subject to subparagraph (B), an amount
equal to 0.008 percent of the budget of
each Federal agency from any Federal source,
including related overhead, that is to
be utilized by or on behalf of the laboratories
of such agency for a fiscal year referred
to in subparagraph (B)(ii) shall be transferred
by such agency to the National Institute
of Standards and Technology at the beginning
of the fiscal year involved. Amounts so
transferred shall be provided by the Institute
to the Consortium for the purpose of carrying
out activities of the Consortium under
this subsection.
(B)(59) A
transfer shall be made by any Federal agency
under subparagraph (A), for any fiscal
year, only if--
(i) the amount so transferred by that
agency (as determined under such subparagraph)
would exceed $10,000; and (ii) such transfer
is made with respect to the fiscal year
1987, 1988, 1989, 1990, 1991, 1992, 1993,
1994, 1995, or 1996.
(C) The heads of Federal agencies and
their designees, and the directors of Federal
laboratories, may provide such additional
support for operations of the Consortium
as they deem appropriate.
(f)(60) AGENCY
REPORTING.--Each Federal agency which operates
or directs one or more Federal laboratories
shall report annually to the Congress,
as part of the agency's annual budget submission,
on the activities(61) performed
by that agency and its Federal laboratories
pursuant to the provisions of this section.
(g)(62) FUNCTIONS
OF THE SECRETARY.--(1) The Secretary, through
the Under Secretary, and in consultation
with other Federal agencies, may--
(A) make available to interested agencies
the expertise of the Department of Commerce
regarding the commercial potential of inventions
and methods and options for commercialization
which are available to the Federal laboratories,
including research and development limited
partnerships;
(B) develop and disseminate to appropriate
agency and laboratory personnel model provisions
for use on a voluntary basis in cooperative
research and development arrangements;
and
(C) furnish advice and assistance, upon
request, to Federal agencies concerning
their cooperative research and development
programs and projects.
(2) Two years after the date of the enactment
of this subsection and every two years
thereafter, the Secretary shall submit
a summary report to the President and the
Congress on the use by the agencies and
the Secretary of the authorities specified
in this Act. Other Federal agencies shall
cooperate in the report's preparation.
(3) Not later than one year after the
date of the enactment of the Federal Technology
Transfer Act of 1986, the Secretary shall
submit to the President and the Congress
a report regarding--
(A) any copyright provisions or other
types of barriers which tend to restrict
or limit the transfer of federally funded
computer software to the private sector
and to State and local governments, and
agencies of such State and local governments;
and
(B) the feasibility and cost of compiling
and maintaining a current and comprehensive
inventory of all federally funded training
software.
(h)(63) REPEALED.
(i)(64) RESEARCH
EQUIPMENT.--The Director of a laboratory,
or the head of any Federal agency or department,
may give research equipment that is excess
to the needs of the laboratory, agency,
or department to an educational institution
or nonprofit organization for the conduct
of technical and scientific education and
research activities. Title of ownership
shall transfer with a gift under the section.
SEC. 12.(65) COOPERATIVE
RESEARCH AND DEVELOPMENT AGREEMENTS.
(a)(66) GENERAL
AUTHORITY.--Each Federal agency may permit
the director of any of its Government-operated
Federal laboratories, and to the extent
provided in an agency-approved joint work
statement, the director of any of its Government-owned,
contractor-operated laboratories--
(1) to enter into cooperative research
and development agreements on behalf of
such agency (subject to subsection (c)
of this section) with other Federal agencies;
units of State or local government; industrial
organizations (including corporations,
partnerships, and limited partnerships,
and industrial development organizations);
public and private foundations; nonprofit
organizations (including universities);
or other persons (including licensees of
inventions owned by the Federal agency);
and
(2) to negotiate licensing agreements
under section 207 of title 35, United States
Code, or under other authorities (in the
case of a Government-owned, contractor-operated
laboratory, subject to subsection (c) of
this section) for inventions made or other
intellectual property developed at the
laboratory and other inventions or other
intellectual property that may be voluntarily
assigned to the Government.
(b)(67) ENUMERATED
AUTHORITY.--Under agreements entered into
pursuant to subsection (a)(1), a Government-operated
Federal laboratory, and, to the extent
provided in an agency-approved joint work
statement, a Government-owned, contractor-operated
laboratory, may (subject to subsection
(c) of this section)--
(1) accept, retain, and use funds, personnel,
services, and property from collaborating
parties and provide personnel, services,
and property to collaborating parties;
(2) grant or agree to grant in advance,
to a collaborating party, patent licenses
or assignments, or options thereto, in
any invention made in whole or in part
by a laboratory employee under the agreement,
retaining a nonexclusive, nontransferable,
irrevocable, paid-up license to practice
the invention or have the invention practiced
throughout the world by or on behalf of
the Government and such other rights as
the Federal laboratory deems appropriate;
(3) waive, subject to reservation by
the Government of a nonexclusive, irrevocable,
paid-up license to practice the invention
or have the invention practiced throughout
the world by or on behalf of the Government,
in advance, in whole or in part, any right
of ownership which the Federal Government
may have to any subject invention made
under the agreement by a collaborating
party or employee of a collaborating party;
(4) determine rights in other intellectual
property developed under an agreement entered
into under subsection (a)(1); and
(5) to the extent consistent with any
applicable agency requirements and standards
of conduct, permit employees or former
employees of the laboratory to participate
in efforts to commercialize inventions
they made while in the service of the United
States.
A Government-owned, contractor-operated
laboratory that enters into a cooperative
research and development agreement under
subsection (a)(l) may use or obligate royalties
or other income accruing to such laboratory
under such agreement with respect to any
invention only (i) for payments to inventors;
(ii) for the purposes described in section
14(a)(1)(B)(i), (ii), and (iv); and (iii)
for scientific research and development
consistent with the research and development
mission and objectives of the laboratory.
(c) CONTRACT CONSIDERATIONS.--(1) A Federal
agency may issue regulations on suitable
procedures for implementing the provisions
of this section; however, implementation
of this section shall not be delayed until
issuance of such regulations.
(2) The agency in permitting a Federal
laboratory to enter into agreements under
this section shall be guided by the purposes
of this Act.
(3)(A)(68) Any
agency using the authority given it under
subsection (a) shall review standards of
conduct for its employees for resolving
potential conflicts of interest to make
sure they adequately establish guidelines
for situations likely to arise through
the use of this authority, including but
not limited to cases where present or former
employees or their partners negotiate licenses
or assignments of titles to inventions
or negotiate cooperative research and development
agreements with Federal agencies (including
the agency with which the employee involved
is or was formerly employed).
(B) If, in implementing subparagraph
(A), an agency is unable to resolve potential
conflicts of interest within its current
statutory framework, it shall propose necessary
statutory changes to be forwarded to its
authorizing committees in Congress.
(4) The laboratory director in deciding
what cooperative research and development
agreements to enter into shall--
(A) give special consideration to small
business firms, and consortia involving
small business firms; and
(B) give preference to business units
located in the United States which agree
that products embodying inventions made
under the cooperative research and development
agreement or produced through the use of
such inventions will be manufactured substantially
in the United States and, in the case of
any industrial organization or other person
subject to the control of a foreign company
or government, as appropriate, take into
consideration whether or not such foreign
government permits United States agencies,
organizations, or other persons to enter
into cooperative research and development
agreements and licensing agreements.
(5)(A)(69) If
the head of the agency or his designee
desires an opportunity to disapprove or
require the modification of any such agreement
presented by the director of a Government-operated
laboratory, the agreement shall provide
a 30-day period within which such action
must be taken beginning on the date the
agreement is presented to him or her by
the head of the laboratory concerned.
(B)(70) In
any case in which the head of an agency
or his designee disapproves or requires
the modification of an agreement presented
by the director of a Government-operated
laboratory under this section, the head
of the agency or such designee shall transmit
a written explanation of such disapproval
or modification to the head of the laboratory
concerned.
(C)(i)(71) Any
agency which has contracted with a non-Federal
entity to operate a laboratory shall review
and approve, request specific modifications
to, or disapprove a joint work statement
that is submitted by the director of such
laboratory within 90 days after such submission.
In any case where an agency has requested
specific modifications to a joint work
statement, the agency shall approve or
disapprove any resubmission of such joint
work statement within 30 days after such
resubmission, or 90 days after the original
submission, whichever occurs later. No
agreement may be entered into by a Government-owned,
contractor-operated laboratory under this
section before both approval of the agreement
under clause (iv) and approval under this
clause of a joint work statement.
(ii) In any case in which an agency which
has contracted with a non-Federal entity
to operate a laboratory disapproves or
requests the modification of a joint work
statement submitted under this section,
the agency shall promptly transmit a written
explanation of such disapproval or modification
to the director of the laboratory concerned.
(iii) Any agency which has contracted
with a non-Federal entity to operate a
laboratory or laboratories shall develop
and provide to such laboratory or laboratories
one or more model cooperative research
and development agreements, for the purposes
of standardizing practices and procedures,
resolving common legal issues, and enabling
review of cooperative research and development
agreements to be carried out in a routine
and prompt manner.
(iv) An agency which has contracted with
a non-Federal entity to operate a laboratory
shall review each agreement under this
section. Within 30 days after the presentation,
by the director of the laboratory, of such
agreement, the agency shall, on the basis
of such review, approve or request specific
modification to such agreement. Such agreement
shall not take effect before approval under
this clause.
(v) If an agency fails to complete a
review under clause (iv) within the 30-day
period specified therein, the agency shall
submit to the Congress, within 10 days
after the end of that 30-day period, a
report on the reasons for such failure.
The agency shall, at the end of each successive
30-day period thereafter during which such
failure continues, submit to the Congress
another report on the reasons for the continuing
failure. Nothing in this clause relieves
the agency of the requirement to complete
a review under clause (iv).
(vi) In any case in which an agency which
has contracted with a non-Federal entity
to operate a laboratory requests the modification
of an agreement presented under this section,
the agency shall promptly transmit a written
explanation of such modification to the
director of the laboratory concerned.
(6) Each agency shall maintain a record
of all agreements entered into under this
section.
(7)(A)(72) No
trade secrets or commercial or financial
information that is privileged or confidential,
under the meaning of section 552(b)(4)
of title 5, United States Code, which is
obtained in the conduct of research or
as a result of activities under this Act
from a non-Federal party participating
in a cooperative research and development
agreement shall be disclosed.
(B) The director, or in the case of a
contractor-operated laboratory, the agency,
for a period of up to 5 years after development
of information that results from research
and development activities conducted under
this Act and that would be a trade secret
or commercial or financial information
that is privileged or confidential if the
information had been obtained from a non-Federal
party participating in a cooperative research
and development agreement, may provide
appropriate protections against the dissemination
of such information, including exemption
from subchapter II of chapter 5 of title
5, United States Code.
(d)(73) DEFINITIONS.--As
used in this section--
(1) the term "cooperative research
and development agreement" means any
agreement between one or more Federal laboratories
and one or more non-Federal parties under
which the Government, through its laboratories,
provides personnel, services, facilities,
equipment, intellectual property, or other
resources with or without reimbursement
(but not funds to non-Federal parties)
and the non-Federal parties provide funds,
personnel, services, facilities, equipment,
intellectual property, or other resources
toward the conduct of specified research
or development efforts which are consistent
with the missions of the laboratory; except
that such term does not include a procurement
contract or cooperative agreement as those
terms are used in sections 6303, 6304,
and 6305 of title 31, United States Code;
(2) the term "laboratory" means--
(A) a facility or group of facilities
owned, leased, or otherwise used by a Federal
agency, a substantial purpose of which
is the performance of research, development,
or engineering by employees of the Federal
Government;
(B) a group of Government-owned, contractor-operated
facilities under a common contract, when
a substantial purpose of the contract is
the performance of research and development
for the Federal Government; and
(C) a Government-owned, contractor-operated
facility that is not under a common contract
described in subparagraph (B), and the
primary purpose of which is the performance
of research and development for the Federal
Government, but such term does not include
any facility covered by Executive Order
No. 12344, dated February 1, 1982, pertaining
to the naval nuclear propulsion program;
and
(3) the term "joint work statement" means
a proposal prepared for a Federal agency
by the director of a Government-owned,
contractor-operated laboratory describing
the purpose and scope of a proposed cooperative
research and development agreement, and
assigning rights and responsibilities among
the agency, the laboratory, and any other
party or parties to the proposed agreement.
(e) DETERMINATION OF LABORATORY MISSIONS.--For
purposes of this section, an agency shall
make separate determinations of the mission
or missions of each of its laboratories.
(f) RELATIONSHIP TO OTHER LAWS.--Nothing
in this section is intended to limit or
diminish existing authorities of any agency.
(g)(74) PRINCIPLES.--In
implementing this section, each agency
which has contracted with a non-Federal
entity to operate a laboratory shall be
guided by the following principles:
(1) The implementation shall advance
program missions at the laboratory, including
any national security mission.
(2) Classified information and unclassified
sensitive information protected by law,
regulation, or Executive order shall be
appropriately safeguarded.
SEC. 13.(75) REWARDS
FOR SCIENTIFIC, ENGINEERING, AND TECHNICAL
PERSONNEL OF FEDERAL AGENCIES.
The head of each Federal agency that
is making expenditures at a rate of more
than $50,000,000 per fiscal year for research
and development in its Government-operated
laboratories shall use the appropriate
statutory authority to develop and implement
a cash awards program to reward its scientific,
engineering, and technical personnel for--
(1)(76) inventions,
innovations, computer software, or other
outstanding scientific or technological
contributions of value to the United States
due to commercial application or due to
contributions to missions of the Federal
agency or the Federal government(77),
or
(2) exemplary activities that promote
the domestic transfer of science and technology
development within the Federal Government
and result in utilization of such science
and technology by American industry or
business, universities, State or local
government | 
