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SUBCHAPTER B-GOVERNMENT INVENTIONS JURISDICTION

PART 100—ADMINISTRATION OF A UNIFORM PATENT POLICY WITH RESPECT TO THE DOMESTIC RIGHTS IN INVENTIONS MADE BY GOVERNMENT EMPLOYEES

Sec. 100.1 Purpose. 100.2 Authority. 100.3 Scope. 100.4 Definitions. 100.5 Determination of invention. 100.6 Determination of rights in and to in

ventions. 100.7 Appeals by employees. 100.8 Patent protection. 100.9 Report forms. 100.10 Liaison. 100.11 Dissemination of this part.

AUTHORITY: Sec. 4, E.O. 10096, 3 CFR 1949-1953 Comp., p. 292, as amended by E.O. 10930, 3 CFR 1959-1963 Comp., p. 456; and Delegation of Authority by the Acting Secretary of Commerce, Mar. 24, 1961, 26 FR 3118.

SOURCE: 27 FR 3289. Apr. 6, 1962, unless otherwise noted. Redesignated at 34 FR 20383, Dec. 31, 1969.

$ 100.4 Definitions.

(a) The term “Government agency," as used in this part, means any Executive department or independent establishment of the Executive branch of the Government (including any independent regulatory commission or board, any corporation wholly owned by the United States, and the Smithsonian Institution), but does not include the Atomic Energy Commission.

(b) The term “Government employee,” as used in this part, means any officer or employee, civilian or military, of any Government agency, including any part-time consultant or part-time employee except as may otherwise be provided for by agency regulation approved by the Commissioner.

(c) The term “invention,” as used in this part, means 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.

(d) The term “Commissioner,” as used in this part, means the Commissioner of Patents and Trademarks or any Assistant Commissioner who may act for the Commissioner of Patents and Trademarks.

$ 100.1 Purpose.

The purpose of this part is to provide for the administration of a uniform patent policy for the Government with respect to the domestic rights in inventions made by Government employees and to prescribe rules and regulations for implementing and effectuating such policy.

$ 100.5 Determination of invention.

Each Government agency will determine whether the results of research, development, or other activity within the agency constitute invention within the purview of E.O. 10096, as amended by E.O. 10930.

$ 100.2 Authority.

Authority for the administration of a uniform patent policy is provided in E.O. 10096, dated January 23, 1950, 15 FR 389, as amended by E.O. 10930, Mar. 24, 1961, 26 FR 2583, and Delegation of Authority by Acting Secretary of Commerce, Mar. 24, 1961, 26 FR 3118.

$ 100.6 Determination of rights in and to

inventions. (a) Subject to review by the Commissioner as provided for in this part, each Government agency will determine the respective rights of the Government and of the inventor in and to any invention made by a Government employee while under the administrative jurisdiction of such agency.

(b) The following rules shall be applied in determining the respective rights of the Government and of the

$ 100.3 Scope.

This part applies to any invention made by a Government employee on or after January 23, 1950, and to any action taken with respect thereto.

on

inventor in and to any invention that is subject to the provisions of this part:

(1) The Government shall obtain, except as herein otherwise provided, the entire domestic right, title and interest in and to any invention made by any Government employee: (i) During working hours, or (ii) with a contribution by the Government of facilities, equipment, materials, funds or information, or of time or services of other Government employees official duty, or (iii) which bears a direct relation to or is made in consequence of the official duties of the inventor.

(2) In any case where the contribution of the Government, as measured by any one or more of the criteria set forth in paragraph (b)(1) of this section, to the invention is insufficient equitably to justify a requirement of assignment to the Government of the entire domestic right, title, and interest in and to such invention, or in any case where the Government has insufficient interest in an invention to obtain the entire domestic right, title, and interest therein (although the Government could obtain same under paragraph (b)(1) of this section), the Government agency concerned shall leave title to such invention in the employee, subject however, to the reservation to the Government of a nonexclusive, irrevocable, royalty-free license in the invention with power to grant licenses for all governmental purposessuch reservation, in the terms thereof or where applicable in the terms required by 35 U.S.C. 266, to appear, where practicable, in any patent, domestic or foreign, which may issue on such invention.

(3) In applying the provisions of paragraphs (b) (1) and (2) of this section to the facts and circumstances relating to the making of a particular invention, it shall be presumed that an invention made by an employee who is employed or assigned: (i) To invent or improve or perfect any art, machine, design, manufacture, or composition of matter, (ii) to conduct or perform research, development work, or both, (iii) to supervise, direct, coordinate, or review Government financed or conducted research, development work, or both, or (iv) to act in a liaison capacity

among governmental or non-governmental agencies or individuals engaged in such research or development work, falls within the provisions of paragraph (b)(1) of this section, and it shall be presumed that any invention made by any other employee falls within the provisions of paragraph (b)(2) of this section. Either presumption may be rebutted by a showing of the facts and circumstances and shall not preclude a determination that these facts and circumstances justify leaving the entire right, title and interest in and to the invention in the Government employee, subject to law.

(4) In any case wherein the Government neither: (i) Obtains the entire domestic right, title and interest in and to an invention pursuant to the provisions of paragraph (b)(1) of this section nor (ii) reserves a nonexclusive, irrevocable, royalty-free license in the invention, with power to grant licenses for all governmental purposes, pursuant to the provisions of paragraph (b)(2) of this section, the Government shall leave the entire right, title and interest in and to the invention in the Government employee, subject to law.

(c) In the event that a Government agency determines, pursuant to paragraph (b) (2) or (4) of this section, that title to an invention will be left with an employee, the agency shall notify the employee of this determination and promptly prepare, and preserve in appropriate files, accessible to the Commissioner, a written, signed, and dated statement concerning the invention including the following:

(1) A description of the invention in sufficient detail to identify the invention and show its relationship to the employee's duties and work assignments;

(2) The name of the employee and his employment status, including a detailed statement of his official duties and responsibilities at the time the invention was made; and

(3) A statement of agency determination and reasons therefor. The agency shall, subject to considerations of national security, or public health, safety, or welfare, submit to the Commissioner a copy of this written statement. This submittal in a case falling

within the provisions of paragraph longer period as the Commissioner (b)(2) of this section shall be made may, for good cause shown, fix in any after the expiration of the period pre- case) after the transmission of a copy scribed in $ 100.7 for the taking of an of the agency report to the employee, appeal, or it may be made prior to the the employee may file a reply thereto expiration of such period if the em- with the Commissioner and file one ployee acquiesces in the agency deter

copy thereof with the agency. mination. The Commissioner there

(c) After the time for the inventor's upon shall review the determination

reply to the Government agency's of the Government agency, and his de

report has expired and if the inventor cision respecting the matter shall be

has so requested in his appeal, a date final, subject to the right of the em

will be set for the hearing of oral arguployee or the agency to submit to the Commissioner within 30 days (or such

ments by the employee (or by an at

torney whom he designates by written longer period as the Commissioner may, for good cause, shown in writing,

power of attorney filed before, or at fix in any case) after receiving notice

the hearing) and a representative of of such decision, a petition for the re

the Government agency involved. consideration of the decision. A copy

Unless it shall be otherwise ordered of any such petition must also be filed

before the hearing begins, oral arguby the inventor with the employing

ments will be limited to thirty minutes agency within the prescribed period. for each side. The employee need not

retain an attorney or request an oral 8 100.7 Appeals by employees.

hearing to secure full consideration of (a) Any Government employee who

the facts and his arguments. He may is aggrieved by any agency determina- expedite such consideration by notifytion pursuant to $ 100.6(b) (1) or (2) ing the Commissioner when he does may obtain a review of the agency de

not intend to file a reply to the agency termination by filing, within 30 days report. (or such longer period as the Commis- (d) After a hearing on the appeal, if sioner may for good cause shown in a hearing was requested, or after expiwriting, fix in any case) after receiving ration of the period for the inventor's notice of such determination, two reply to the agency report if no hearcopies of an appeal with the Commis- ing is set, the Commissioner shall issue sioner. The Commissioner then shall a decision on the matter, which deciforward one copy of the appeal to the sion shall be final after the period for agency.

asking reconsideration expires or on (b) On receipt of a copy of an appeal the date that a decision on a petition filed pursuant to paragraph (a) of this

for reconsideration is finally disposed section, the Government agency which

of. Any request for reconsideration or made the determination shall, subject

modification of the decision must be to considerations of national security,

filed within 30 days from the date of or public health, safety, or welfare,

the original decision (or within such promptly furnish both the Commissioner and the inventor with a copy of

an extension thereof as may be set by

the Commissioner before the original a report containing the following information about the invention in

period expires). The Commissioner's volved in the appeal:

decision shall be made after consider(1) A copy of a statement by the

ation of the statements of fact in the agency containing the information employee's appeal, the agency's specified in § 100.6(c), and

report, and the employee's reply, but (2) A detailed statement of the

the Commissioner, at his discretion points of dispute or controversy, to- and with due respect to the rights and gether with copies of any statements convenience of the inventor and the or written arguments filed with the Government agency, may call for furagency, and of any other relevant evi- ther statements on specific questions dence that the agency considered in of fact or may request additional evimaking its determination of Govern- dence in the form of affidavits or disment interest. Within 25 days (or such positions on specific facts in dispute.

(1) Description of the invention in sufficient detail to permit a satisfactory review;

(2) Name of the inventor and his employment status; and

(3) Statement of agency determination and reasons therefor. The Commissioner may, if he determines that the interest of the Government so requires and subject to considerations of national security, or public health, safety, or welfare, bring the invention to the attention of any Government agency to whose activities the invention may be pertinent, or cause the invention to be fully disclosed by publication thereof; Provided, however, That no application for patent respecting any variety of plant invented by an employee of the Department of Agriculture shall be filed without the approval of the Secretary of Agriculture.

$ 100.9 Report forms.

The Commissioner will prescribe the forms to be used by Government agencies in submitting the reports specified in this part.

100.8 Patent protection.

(a) A Government agency, upon determining that an invention coming within the scope of $ 100.6(b) (1) or (2) has been made, shall thereupon determine whether patent protection will be sought in the United States by the agency for such invention. A controversy over the respective rights of the Government and of the employee in any case shall not delay the taking of the actions provided for in this section. In cases coming within the scope of $ 100.6(b)(2), agency action looking toward such patent protection shall be contingent upon the consent of the employee.

(b) Where there is a dispute as to whether $ 100.6(b) (1) or (2) applies in determining the respective rights of the Government and of an employee in and to any invention, the agency will determine whether patent protection will be sought in the United States pending the Commission's decision on the dispute and, if it decides that an application for patent should be filed, will take such rights as are specified in § 100.6(b)(2), but this shall be without prejudice to acquiring the rights specified in paragraph (b)(1) of that section should the Commissioner so decide.

(c) Where an agency has determined to leave title to an invention with an employee under $ 100.6(b)(2), the agency will, upon the filing of an application for patent and pending review of the determination by the Commissioner, take the rights specified in that paragraph without prejudice to the subsequent acquisition by the Government of the rights specified in paragraph (b)(1) of that section should the Commissioner so decide.

(d) In the event that a Government agency determines that an application for patent will not be filed on an invention made under the circumstances specified in $ 100.6(b)(1), giving the United States the right to title thereto, the agency shall, subject to considerations of national security, or public health, safety, or welfare, report to the Commissioner, promptly upon making such determination, the following information concerning the invention:

8 100.10 Liaison.

Each Government agency shall designate a liaison officer at the agency level to deal with the Commissioner: Provided, however, That the Departments of the Army, the Navy, and the Air Force may each designate a liaison officer.

8 100.11 Dissemination of this part.

Each Government agency shall make appropriate arrangements for the dissemination to its employees of the provisions of this part.

PART 101-ACQUISITION AND PROTECTION OF FOREIGN RIGHTS IN INVENTIONS

Sec. 101.1 Purpose. 101.2 Authority. 101.3 Scope. 101.4 Option to be obtained. 101.5 Action by agency concerned. 101.6 Action by the Department of Com

merce. 101.7 Publication in lieu of patenting. 101.8 Foreign filing by inventor.

vention, the Government agency concerned shall, when the agency deems it desirable, obtain an option to acquire such rights.

Sec.
101.9 Administration of foreign patents.
101.10 Reports and records.
101.11 Dissemination of this part.

AUTHORITY: E.O. 9865, 3 CFR 1943-1948 Comp., p. 651, E.O. 10096, 3 CFR 1948-1953 Comp., p. 292.

SOURCE: Administrative Order 6, 19 FR 3937, June 29, 1954, unless otherwise noted. Redesignated at 34 FR 20383, Dec. 31, 1969.

$ 101.1 Purpose.

The purpose of this part is to provide for the administration of a uniform policy for the Government with respect to the acquisition and protection of foreign rights in and to certain inventions.

$ 101.2 Authority.

Authority for the issuance of this part is provided in E.O. 9865, dated June 14, 1947 (12 FR 3907), as amended by paragraph 5 of E.O. 10096, dated January 23, 1950 (15 FR 389).

8 101.5 Action by agency concerned.

Subject to the approval of the Chairman of the Government Patents Board on all matters of policy, the Government agency concerned shall, with respect to each invention on which the option specified in § 101.4 is obtained or

on which

the foreign rights have been acquired, determine whether or not and in what foreign jurisdictions patent protection should be sought in the public interest. Upon determining that foreign patent protection is desirable, the agency shall:

(a) To the extent of available funds within its own appropriation, take or cause to be taken all action necessary to secure such foreign patent protection of the invention, consistent with existing law and the requirements of the Government; and

(b) If suffic nt funds are not available within its own appropriation or the agency does not see fit to use funds when available, furnish the Secretary of Commerce as soon as practicable, preferably not later than two months after the filing of the application for United States patent on the invention, through the use of Foreign Patent Protection Reporting Form TS-12, sufficient information concerning the invention and the easons for its determination with respect to the desirability of foreign patent protection, to enable the Secretary of Commerce to seek the financial support of other interested Government agencies and/or of industry in securing foreign patent protection of the invention.

$ 101.3 Scope.

This part is restricted to inventions to which the Government is entitled to acquire, or may acquire, title or the right to file foreign patent applications or otherwise to seek protection abroad thereon. Exempted from the provisions of this part are (a) inventions within the jurisdiction of the Atomic Energy Commission, except in such cases as the said Commission specifically authorizes the inclusion of an invention, and (b) inventions officially classified for reasons of the national security, until such inventions become declassified.

§ 101.6 Action by the Department of Com

merce.

§ 101.4 Option to be obtained.

(a) When the Government is entitled to acquire foreign rights in and to an invention made by a Government employee, including the right to file foreign patent applications or otherwise to seek protection abroad on the invention, the Government agency concerned shall obtain an option to acquire such rights.

(b) When the Government is entitled to acquire foreign rights in and to an invention made pursuant to contract, including the right to file foreign patent applications or otherwise to seek protection abroad on the in

Subject to the approval of the Chairman of the Government Patents Board on all matters of policy, the Secretary of Commerce shall, immediately upon receipt of a Foreign Patent Protection Reporting Form TS-12 on an invention, pursuant to § 101.5(b):

(a) Consult with Government agencies and with United States industry and commerce, familiar with the tech

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