81 FR 73024 - Technology Innovation-Personnel Exchanges
DEPARTMENT OF COMMERCE
National Institute of Standards and Technology Federal Register Volume 81, Issue 205 (October 24, 2016)
National Institute of Standards and Technology
Federal Register Volume 81, Issue 205 (October 24, 2016)
| Page Range | 73024-73026 | |
| FR Document | 2016-25355 |
[Federal Register Volume 81, Number 205 (Monday, October 24, 2016)] [Rules and Regulations] [Pages 73024-73026] From the Federal Register Online [www.thefederalregister.org] [FR Doc No: 2016-25355] [[Page 73024]] ======================================================================= ----------------------------------------------------------------------- DEPARTMENT OF COMMERCE National Institutes of Standards and Technology 15 CFR Part 17 [Docket No.: 160311228-6788-02] RIN 0693-AB62 Technology Innovation--Personnel Exchanges AGENCY: National Institute of Standards and Technology (NIST), United States Department of Commerce. ACTION: Final rule. ----------------------------------------------------------------------- SUMMARY: This final rule clarifies the appropriate use of Cooperative Research and Development Agreement (CRADA) authority by a Federal laboratory for personnel exchanges where the Federal laboratory has an existing relationship with the potential partner through another legal mechanism, as well as in the context of joint research projects or the development of existing laboratory technology, and through use of the General Services Administration's Presidential Innovation Fellows program for Federal laboratory Entrepreneur-In-Residence programs. Another objective of this rulemaking is to remove outdated regulations addressing the licensing of inventions owned by the Department of Commerce. DATES: Effective Date: This rule is effective November 23, 2016. FOR FURTHER INFORMATION CONTACT: Courtney Silverthorn, via email: [email protected], or by telephone: 301-975-4189. SUPPLEMENTARY INFORMATION: The Stevenson-Wydler Technology Innovation Act of 1980, Public Law 96-480, as amended (codified at title 15 of the United States Code (U.S.C.), Section 3701 et seq.) (the Stevenson-Wydler Act), sets forth a national policy to promote cooperation among academia, Federal laboratories, labor, and industry in order to facilitate the transfer of innovative federal technologies to United States and world markets. In furtherance of that policy, the Administration's Lab to Market initiative seeks to ``significantly accelerate and improve technology transfer by streamlining administrative processes, facilitating partnerships with industry, evaluating impact, and opening federal research and development (R&D) assets as a platform for innovation and economic growth.'' (Lab to Market: Cross Agency Priority Goal Quarterly Progress Update, Fiscal Year 2015 Quarter 4). One proven method to ensure that federal innovations are made available to industry and the public is to encourage frequent interactions among Federal laboratories, academic institutions, and industry, including small businesses. The final rule clarifies the appropriate use of CRADA authority under 15 U.S.C. 3710a for personnel exchanges where a Federal laboratory has an existing relationship with the potential partner through another legal mechanism, such as a grant or cooperative agreement. The final rule also promotes the use of existing authorities to implement personnel exchange programs at Federal Laboratories: (1) By utilizing the existing CRADA authority to transfer personnel to and from a Federal laboratory for joint research projects or the development of existing laboratory technology; and (2) by utilizing the General Services Administration (GSA)'s Presidential Innovation Fellows program to offer Federal laboratories additional options for implementing Entrepreneur-In-Residence programs. The final rule also provides for the deletion of all existing provisions in part 17 of title 15 of the Code of Federal Regulations (CFR), ``Licensing of Government-Owned Inventions in the Custody of the Department of Commerce,'' which are outdated. Outdated subpart A implemented for the Department of Commerce licensing rules found at 41 CFR part 101-4, which were themselves removed at 50 FR 28402, July 12, 1985. Outdated subpart B was reserved. Outdated subpart C set forth appeal procedures addressed to the outdated licensing rules of subpart A. All subparts are obsolete, and the rules governing the licensing of government-owned inventions are today found in 37 CFR part 404. The heading of part 17 will be revised to read ``Personnel Exchanges Between Federal Laboratories and Non-Federal Entities,'' and five new sections are added. Section 17.1, Scope, sets forth the scope of revised part 17, which is to implement 15 U.S.C. 3712 and clarifies the appropriate use of personnel exchanges in relation to Federal laboratory CRADAs under the authority of 15 U.S.C. 3710a(a)(1), including CRADAs involving as parties recipients of Federal funding under grants (including cooperative agreements) and contracts, which could include National Network for Manufacturing Innovation awardees. Section 17.2, Definitions, provides definitions for certain terms used in this part. Section 17.3, Exchange of Federal Laboratory Personnel with Recipients of Federal Funding, provides in paragraph (a) that the existence of a funding agreement (as defined in 35 U.S.C. 201(b)) between a Federal laboratory and a contractor shall not preclude a CRADA with that contractor, where the Federal laboratory director makes a determination that the technical subject matter of the funding agreement is sufficiently distinct from that of the CRADA. Paragraph (a) also provides that a contractor which is a collaborating party shall in no event transfer funds to a Federal laboratory under a CRADA using funds awarded to the contractor by that laboratory. Paragraph (b) of Sec. 17.3 provides that a Federal laboratory may exchange personnel with a contractor under a CRADA where the determination required under paragraph (a) cannot be made, provided that the CRADA includes at least one collaborating party in addition to the Federal laboratory and that contractor. In that circumstance, the Federal laboratory shall not provide services, property, or other resources to that contractor under the CRADA, and if any individual terms of that contractor's funding agreement conflict with the terms of the multi-party CRADA, then the funding agreement terms will control as applied to that contractor and the Federal laboratory only. Paragraph (c) of Sec. 17.3 sets forth a number of factors which may be taken into account in making the ``sufficiently distinct'' determination required under paragraph (a), including whether the conduct of specified research or development efforts under the CRADA would require the contractor to perform tasks identical to those required under the funding agreement; whether existing intellectual property to be provided by the Federal laboratory or the contractor under the CRADA is the same as that provided under, or referenced in, the funding agreement; whether the contractor's employees performing the specified research or development efforts under the CRADA are the same employees performing the tasks required under the funding agreement; and whether services, property or other resources contemplated by the Federal Laboratory to be provided to the contractor for the specified research or development efforts under the CRADA would materially benefit the contractor in the performance of tasks required under the funding agreement. Section 17.4, Personnel Exchanges from a Federal Laboratory, provides in paragraph (a)(1) that a Federal laboratory may exchange its personnel with a collaborating party under a CRADA where no invention currently exists. Under paragraph (a)(2), a Federal laboratory may exchange personnel with [[Page 73025]] a non-Federal collaborating party for the purposes of developing or commercializing an invention in which the Federal government has an ownership interest, including an invention made by an employee or former employee while in the employment or service of the Federal government, and such personnel exchanged may include such employee who is an inventor. Paragraph (a)(2) also provides that funding may be provided by the non-federal collaborating party to the Federal laboratory for the participation of the Federal employee in developing or commercializing an invention, including costs for salary and other expenses, such as benefits and travel. Consistent with guidance in the Office of Legal Counsel's Memorandum for Gary Davis, Acting Director, Office of Government Ethics, September 7, 2000, ``Application of 18 U.S.C. 209 to Employee-Inventors Who Receive Outside Royalty Payments,'' \1\ paragraph (a)(2) also sets forth that royalties from inventions received through a license agreement negotiated with the Federal laboratory and paid by the laboratory to an inventor who is a Federal employee are considered Federal compensation. Paragraph (a)(3) provides that where an employee leaves Federal service in order to receive salary or other compensation from a non-Federal organization, a Federal laboratory may use reinstatement authority in accordance with 5 CFR 315.401, or other applicable authorities, to rehire the former Federal employee at the conclusion of the exchange. --------------------------------------------------------------------------- \1\ https://www.oge.gov/web/oge.nsf/Legal%20Interpretation/ 604EE82C4CA3404A85257EF200502488/$FILE/op-olc-v024-p0170_0.pdf?open. --------------------------------------------------------------------------- In exchanging personnel with a collaborating party under a CRADA, as in any other exercise of the CRADA authority, a Federal Laboratory should take into account the provisions of 15 U.S.C. 3710a(c)(3) regarding standards of conduct for its employees for resolving potential conflicts of interest. Section 17.5, Personnel Exchanges to a Federal laboratory, provides that a Federal laboratory may provide funds for non-federal personnel exchanged in order to bring into a Federal laboratory outside personnel with expertise in scientific commercialization through the Presidential Innovation Fellows program, and that a laboratory will engage with the General Services Administration (GSA) to transfer funding for exchanged personnel and to select and place Entrepreneurs-In-Residence at the laboratory for the purposes of evaluating the laboratory's technologies, and providing technical consulting to facilitate readying a technology for commercialization by an outside entity. Response to Comments During the proposed rule comment period, NIST received one written comment that noted that the changes likely posed no additional burden to universities, but requested additional time to provide comments due to the academic schedule of university staff. Discussion: NIST appreciates the interest of the academic community in the rule. It is anticipated that these clarifications will strengthen the ability of Federal laboratories and partners through other agreements to work together with a third party, often a university, to support economic development and commercialization in the United States. NIST conducted extensive outreach to multiple groups that support universities to note the availability of the proposed rulemaking, and provided a link to the proposed rulemaking to the National Academies of Science Government-University-Industry Research Roundtable, which was distributed to their mailing list. We believe, as noted within the comment, that these changes are clarifications and that the lack of substantive comments from academia, as well as industry, is indicative of a lack of specific concerns rather than a lack of time and therefore do not believe an extended comment period is warranted. Changes From the Proposed Rule The final rule contains no substantive changes from the proposed rule. Classification NIST has determined that the final rule is consistent with the Stevenson-Wydler Act of 1980 and its amendments and other applicable law. Executive Order 12866 This final rule was determined to be not significant for purposes of Executive Order 12866. Executive Order 13132 This final rule does not contain policies with Federalism implications as defined in Executive Order 13132. Regulatory Flexibility Act The Chief Counsel for Regulation of the Department of Commerce certified to the Chief Counsel for Advocacy of the Small Business Administration during the proposed rule stage that this action would not have a significant economic impact on a substantial number of small entities. The factual basis for the certification was published in the proposed rule and is not repeated here. No comments were received regarding this certification. As a result, a regulatory flexibility analysis was not required and none was prepared. Paperwork Reduction Act This final rule contains no new collection of information subject to the Paperwork Reduction Act, 44 U.S.C. 3501 et seq. National Environmental Policy Act This rule will not significantly affect the quality of the human environment. Therefore, an environmental assessment or Environmental Impact Statement is not required to be prepared under the National Environmental Policy Act of 1969. List of Subjects in 15 CFR Part 17 Federal employees, Inventions and patents, Laboratories, Research and development, Science and technology, Technology transfer. Kent Rochford, Associate Director for Laboratory Programs, National Institute of Standards and Technology. For the reasons stated in the preamble, the National Institute of Standards and Technology revises 15 CFR part 17 as follows: PART 17--PERSONNEL EXCHANGES BETWEEN FEDERAL LABORATORIES AND NON- FEDERAL ENTITIES Sec. 17.1 Scope. 17.2 Definitions. 17.3 Exchange of Federal laboratory personnel with recipients of Federal funding. 17.4 Personnel exchanges from a Federal laboratory. 17.5 Personnel exchanges to a Federal laboratory. Authority: 15 U.S.C. 3712. Sec. 17.1 Scope. (a) The Stevenson-Wydler Technology Innovation Act of 1980, Public Law 96-480, as amended (codified at title 15 of the United States Code (U.S.C.), section 3701 et seq.) (the Stevenson-Wydler Act), sets forth a national policy to renew, expand, and strengthen cooperation among academia, Federal laboratories, labor, and industry, in forms including personnel exchanges (15 U.S.C. 3701(3)). One proven method to ensure that Federal innovations are passed to industry and the public is to encourage frequent interactions among Federal laboratories, academic institutions, and industry, including both large and small businesses. In [[Page 73026]] accordance with applicable ethics regulations and Agency policies, exchanges of personnel between Federal laboratories and outside collaborators should be encouraged (15 U.S.C. 3702(5)). Models that include Federal funding, as well as those that are executed without Federal funding, are encouraged. (b) This part implements 15 U.S.C. 3712 and provides clarification regarding the appropriate use of personnel exchanges in relation to Federal laboratory Cooperative Research and Development Agreements (CRADAs) under the authority of 15 U.S.C. 3710a. (c) This part is applicable to exchanges of personnel between Federal laboratories and parties to a CRADA under 15 U.S.C. 3710a(a)(1). Sec. 17.2 Definitions. (a) The term funding agreement shall have the meaning according to it under 35 U.S.C. 201(b). (b) The term contractor shall have the meaning according to it under 35 U.S.C. 201(c). (c) The term Federal laboratory shall have the meaning according to it under 15 U.S.C. 3703(4). Sec. 17.3 Exchange of Federal laboratory personnel with recipients of Federal funding. (a) In accordance with 15 U.S.C. 3710a(b)(3)(A) and 3710a(d)(1), a Federal laboratory may provide personnel, services, property, and other resources to a collaborating party, with or without reimbursement (but not funds to non-Federal parties) for the conduct of specified research or development efforts under a CRADA which are consistent with the missions of the Federal laboratory. The existence of a funding agreement between a Federal laboratory and a contractor shall not preclude the Federal laboratory from using its authority under 15 U.S.C. 3710a to enter into a CRADA with the contractor as a collaborating party for the conduct of specified research or development efforts, where the director of the Federal laboratory determines that the technical subject matter of the funding agreement is sufficiently distinct from that of the CRADA. In no event shall a contractor which is a collaborating party transfer funds to a Federal laboratory under a CRADA using funds awarded to the contractor by that laboratory. (b) (1) A Federal laboratory may enter into a CRADA with a contractor as a collaborating party for the purpose of exchange of personnel for the conduct of specified research or development efforts where the determination required under paragraph (a) of this section could not be made, provided that: (i) The CRADA includes at least one collaborating party in addition to the Federal laboratory and that contractor; and (ii) The Federal laboratory shall not provide services, property or other resources to that contractor under the CRADA. (2) Where a Federal laboratory enters into a CRADA with a contractor under this paragraph (b), the terms of that contractor's funding agreement shall normally supersede the terms of the CRADA, to the extent that any individual terms conflict, as applied to that contractor and the Federal laboratory only. (c) In making the determination required under paragraph (a) of this section, the director of a Federal laboratory may consider factors including the following: (1) Whether the conduct of specified research or development efforts under the CRADA would require the contractor to perform tasks identical to those required under the funding agreement; (2) Whether existing intellectual property to be provided by the Federal laboratory or the contractor under the CRADA is the same as that provided under, or referenced in, the funding agreement; (3) Whether the contractor's employees performing the specified research or development efforts under the CRADA are the same employees performing the tasks required under the funding agreement; and (4) Whether services, property or other resources contemplated by the Federal laboratory to be provided to the contractor for the specified research or development efforts under the CRADA would materially benefit the contractor in the performance of tasks required under the funding agreement. Sec. 17.4 Personnel exchanges from a Federal laboratory. (a) For personnel exchanges in which a Federal laboratory maintains funding for Federal personnel provided to a collaborating party-- (1) in accordance with 15 U.S.C. 3710a(b)(3)(A), a Federal laboratory may exchange personnel with a collaborating party for the purposes of specified scientific or technical research towards a mutual goal consistent with the mission of the Agency, where no invention currently exists, or (2) in accordance with 15 U.S.C. 3710a(b)(3)(C), a Federal laboratory may exchange personnel with a non-Federal collaborating party for the purposes of developing or commercializing an invention in which the Federal government has an ownership interest, including an invention made by an employee or former employee while in the employment or service of the Federal government, and such personnel exchanged may include such employee who is an inventor. (i) Funding may be provided under a CRADA by the non-Federal collaborating party to the Federal laboratory for the participation of the Federal employee in developing or commercializing an invention, including costs for salary and other expenses, such as benefits and travel. (ii) Royalties from inventions received through a license agreement negotiated with the Federal laboratory and paid by the Federal laboratory to an inventor who is a Federal employee are considered Federal compensation. (3) Where an employee leaves Federal service in order to receive salary or other compensation from a non-Federal organization, a Federal laboratory may use reinstatement authority in accordance with 5 CFR 315.401, or other applicable authorities, to rehire the former Federal employee at the conclusion of the exchange. Sec. 17.5 Personnel exchanges to a Federal laboratory. For exchanges in which a Federal laboratory provides funds for the non-federal personnel-- (a) Outside personnel with expertise in scientific commercialization may be brought in to a Federal laboratory through the Presidential Innovation Fellows program or related programs (see 5 CFR 213.3102(r)) for Entrepreneur-In-Residence programs or similar, related programs run by the General Services Administration (GSA) or other Federal Agencies. (b) A laboratory may engage with the GSA or other relevant Agency to transfer funding for exchanged personnel, and may work with such agency to select and place Entrepreneurs-In-Residence at the laboratory for the purposes of evaluating the laboratory's technologies, and providing technical consulting to facilitate readying a technology for commercialization by an outside entity. Phillip Singerman, Associate Director for Innovations and Industry Services. [FR Doc. 2016-25355 Filed 10-21-16; 8:45 am] BILLING CODE 3510-13-P
![73024 Federal Register / Vol. 81, No. 205 / Monday, October 24, 2016 / Rules and Regulations
DEPARTMENT OF COMMERCE innovations are made available to agreement (as defined in 35 U.S.C.
industry and the public is to encourage 201(b)) between a Federal laboratory
National Institutes of Standards and frequent interactions among Federal and a contractor shall not preclude a
Technology laboratories, academic institutions, and CRADA with that contractor, where the
industry, including small businesses. Federal laboratory director makes a
15 CFR Part 17 The final rule clarifies the appropriate determination that the technical subject
use of CRADA authority under 15 U.S.C. matter of the funding agreement is
[Docket No.: 160311228–6788–02]
3710a for personnel exchanges where a sufficiently distinct from that of the
RIN 0693–AB62 Federal laboratory has an existing CRADA. Paragraph (a) also provides that
relationship with the potential partner a contractor which is a collaborating
Technology Innovation—Personnel through another legal mechanism, such party shall in no event transfer funds to
Exchanges as a grant or cooperative agreement. The a Federal laboratory under a CRADA
AGENCY: National Institute of Standards final rule also promotes the use of using funds awarded to the contractor
and Technology (NIST), United States existing authorities to implement by that laboratory.
Department of Commerce. personnel exchange programs at Federal Paragraph (b) of § 17.3 provides that a
ACTION: Final rule.
Laboratories: (1) By utilizing the Federal laboratory may exchange
existing CRADA authority to transfer personnel with a contractor under a
SUMMARY: This final rule clarifies the personnel to and from a Federal CRADA where the determination
appropriate use of Cooperative Research laboratory for joint research projects or required under paragraph (a) cannot be
and Development Agreement (CRADA) the development of existing laboratory made, provided that the CRADA
authority by a Federal laboratory for technology; and (2) by utilizing the includes at least one collaborating party
personnel exchanges where the Federal General Services Administration in addition to the Federal laboratory and
laboratory has an existing relationship (GSA)’s Presidential Innovation Fellows that contractor. In that circumstance, the
with the potential partner through program to offer Federal laboratories Federal laboratory shall not provide
another legal mechanism, as well as in additional options for implementing services, property, or other resources to
the context of joint research projects or Entrepreneur-In-Residence programs. that contractor under the CRADA, and
the development of existing laboratory The final rule also provides for the if any individual terms of that
technology, and through use of the deletion of all existing provisions in contractor’s funding agreement conflict
General Services Administration’s part 17 of title 15 of the Code of Federal with the terms of the multi-party
Presidential Innovation Fellows Regulations (CFR), ‘‘Licensing of CRADA, then the funding agreement
program for Federal laboratory Government-Owned Inventions in the terms will control as applied to that
Entrepreneur-In-Residence programs. Custody of the Department of contractor and the Federal laboratory
Another objective of this rulemaking is Commerce,’’ which are outdated. only.
to remove outdated regulations Outdated subpart A implemented for Paragraph (c) of § 17.3 sets forth a
addressing the licensing of inventions the Department of Commerce licensing number of factors which may be taken
owned by the Department of Commerce. rules found at 41 CFR part 101–4, which into account in making the ‘‘sufficiently
were themselves removed at 50 FR distinct’’ determination required under
DATES: Effective Date: This rule is
28402, July 12, 1985. Outdated subpart paragraph (a), including whether the
effective November 23, 2016.
B was reserved. Outdated subpart C set conduct of specified research or
FOR FURTHER INFORMATION CONTACT: forth appeal procedures addressed to development efforts under the CRADA
Courtney Silverthorn, via email: the outdated licensing rules of subpart would require the contractor to perform
courtney.silverthorn@nist.gov, or by A. All subparts are obsolete, and the tasks identical to those required under
telephone: 301–975–4189. rules governing the licensing of the funding agreement; whether existing
SUPPLEMENTARY INFORMATION: government-owned inventions are today intellectual property to be provided by
The Stevenson-Wydler Technology found in 37 CFR part 404. The heading the Federal laboratory or the contractor
Innovation Act of 1980, Public Law 96– of part 17 will be revised to read under the CRADA is the same as that
480, as amended (codified at title 15 of ‘‘Personnel Exchanges Between Federal provided under, or referenced in, the
the United States Code (U.S.C.), Section Laboratories and Non-Federal Entities,’’ funding agreement; whether the
3701 et seq.) (the Stevenson-Wydler and five new sections are added. contractor’s employees performing the
Act), sets forth a national policy to Section 17.1, Scope, sets forth the specified research or development
promote cooperation among academia, scope of revised part 17, which is to efforts under the CRADA are the same
Federal laboratories, labor, and industry implement 15 U.S.C. 3712 and clarifies employees performing the tasks
in order to facilitate the transfer of the appropriate use of personnel required under the funding agreement;
innovative federal technologies to exchanges in relation to Federal and whether services, property or other
United States and world markets. In laboratory CRADAs under the authority resources contemplated by the Federal
furtherance of that policy, the of 15 U.S.C. 3710a(a)(1), including Laboratory to be provided to the
Administration’s Lab to Market CRADAs involving as parties recipients contractor for the specified research or
initiative seeks to ‘‘significantly of Federal funding under grants development efforts under the CRADA
accelerate and improve technology (including cooperative agreements) and would materially benefit the contractor
transfer by streamlining administrative contracts, which could include National in the performance of tasks required
processes, facilitating partnerships with Network for Manufacturing Innovation under the funding agreement.
industry, evaluating impact, and awardees. Section 17.4, Personnel Exchanges
jstallworth on DSK7TPTVN1PROD with RULES
opening federal research and Section 17.2, Definitions, provides from a Federal Laboratory, provides in
development (R&D) assets as a platform definitions for certain terms used in this paragraph (a)(1) that a Federal
for innovation and economic growth.’’ part. laboratory may exchange its personnel
(Lab to Market: Cross Agency Priority Section 17.3, Exchange of Federal with a collaborating party under a
Goal Quarterly Progress Update, Fiscal Laboratory Personnel with Recipients of CRADA where no invention currently
Year 2015 Quarter 4). One proven Federal Funding, provides in paragraph exists. Under paragraph (a)(2), a Federal
method to ensure that federal (a) that the existence of a funding laboratory may exchange personnel with
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![73026 Federal Register / Vol. 81, No. 205 / Monday, October 24, 2016 / Rules and Regulations
accordance with applicable ethics efforts where the determination required collaborating party for the purposes of
regulations and Agency policies, under paragraph (a) of this section could developing or commercializing an
exchanges of personnel between Federal not be made, provided that: invention in which the Federal
laboratories and outside collaborators (i) The CRADA includes at least one government has an ownership interest,
should be encouraged (15 U.S.C. collaborating party in addition to the including an invention made by an
3702(5)). Models that include Federal Federal laboratory and that contractor; employee or former employee while in
funding, as well as those that are and the employment or service of the
executed without Federal funding, are (ii) The Federal laboratory shall not Federal government, and such
encouraged. provide services, property or other personnel exchanged may include such
(b) This part implements 15 U.S.C. resources to that contractor under the employee who is an inventor.
3712 and provides clarification CRADA.
regarding the appropriate use of (2) Where a Federal laboratory enters (i) Funding may be provided under a
personnel exchanges in relation to into a CRADA with a contractor under CRADA by the non-Federal
Federal laboratory Cooperative Research this paragraph (b), the terms of that collaborating party to the Federal
and Development Agreements contractor’s funding agreement shall laboratory for the participation of the
(CRADAs) under the authority of 15 normally supersede the terms of the Federal employee in developing or
U.S.C. 3710a. CRADA, to the extent that any commercializing an invention,
(c) This part is applicable to individual terms conflict, as applied to including costs for salary and other
exchanges of personnel between Federal that contractor and the Federal expenses, such as benefits and travel.
laboratories and parties to a CRADA laboratory only. (ii) Royalties from inventions received
under 15 U.S.C. 3710a(a)(1). (c) In making the determination through a license agreement negotiated
required under paragraph (a) of this with the Federal laboratory and paid by
§ 17.2 Definitions. section, the director of a Federal the Federal laboratory to an inventor
(a) The term funding agreement shall laboratory may consider factors
have the meaning according to it under who is a Federal employee are
including the following:
35 U.S.C. 201(b). (1) Whether the conduct of specified considered Federal compensation.
(b) The term contractor shall have the research or development efforts under (3) Where an employee leaves Federal
meaning according to it under 35 U.S.C. the CRADA would require the service in order to receive salary or
201(c). contractor to perform tasks identical to other compensation from a non-Federal
(c) The term Federal laboratory shall those required under the funding organization, a Federal laboratory may
have the meaning according to it under agreement; use reinstatement authority in
15 U.S.C. 3703(4). (2) Whether existing intellectual accordance with 5 CFR 315.401, or other
property to be provided by the Federal applicable authorities, to rehire the
§ 17.3 Exchange of Federal laboratory
laboratory or the contractor under the former Federal employee at the
personnel with recipients of Federal
funding. CRADA is the same as that provided conclusion of the exchange.
under, or referenced in, the funding
(a) In accordance with 15 U.S.C. § 17.5 Personnel exchanges to a Federal
agreement;
3710a(b)(3)(A) and 3710a(d)(1), a (3) Whether the contractor’s laboratory.
Federal laboratory may provide employees performing the specified
personnel, services, property, and other For exchanges in which a Federal
research or development efforts under laboratory provides funds for the non-
resources to a collaborating party, with the CRADA are the same employees
or without reimbursement (but not federal personnel—
performing the tasks required under the
funds to non-Federal parties) for the funding agreement; and (a) Outside personnel with expertise
conduct of specified research or (4) Whether services, property or in scientific commercialization may be
development efforts under a CRADA other resources contemplated by the brought in to a Federal laboratory
which are consistent with the missions Federal laboratory to be provided to the through the Presidential Innovation
of the Federal laboratory. The existence contractor for the specified research or Fellows program or related programs
of a funding agreement between a development efforts under the CRADA (see 5 CFR 213.3102(r)) for
Federal laboratory and a contractor shall would materially benefit the contractor Entrepreneur-In-Residence programs or
not preclude the Federal laboratory from in the performance of tasks required similar, related programs run by the
using its authority under 15 U.S.C. under the funding agreement. General Services Administration (GSA)
3710a to enter into a CRADA with the or other Federal Agencies.
contractor as a collaborating party for § 17.4 Personnel exchanges from a
the conduct of specified research or Federal laboratory. (b) A laboratory may engage with the
development efforts, where the director (a) For personnel exchanges in which GSA or other relevant Agency to transfer
of the Federal laboratory determines a Federal laboratory maintains funding funding for exchanged personnel, and
that the technical subject matter of the for Federal personnel provided to a may work with such agency to select
funding agreement is sufficiently collaborating party— and place Entrepreneurs-In-Residence at
distinct from that of the CRADA. In no (1) in accordance with 15 U.S.C. the laboratory for the purposes of
event shall a contractor which is a 3710a(b)(3)(A), a Federal laboratory may evaluating the laboratory’s technologies,
collaborating party transfer funds to a exchange personnel with a collaborating and providing technical consulting to
Federal laboratory under a CRADA party for the purposes of specified facilitate readying a technology for
jstallworth on DSK7TPTVN1PROD with RULES
using funds awarded to the contractor scientific or technical research towards commercialization by an outside entity.
by that laboratory. a mutual goal consistent with the
(b) (1) A Federal laboratory may enter Phillip Singerman,
mission of the Agency, where no
into a CRADA with a contractor as a invention currently exists, or Associate Director for Innovations and
collaborating party for the purpose of (2) in accordance with 15 U.S.C. Industry Services.
exchange of personnel for the conduct 3710a(b)(3)(C), a Federal laboratory may [FR Doc. 2016–25355 Filed 10–21–16; 8:45 am]
of specified research or development exchange personnel with a non-Federal BILLING CODE 3510–13–P
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Document Created: 2016-10-21 23:46:33
Document Modified: 2016-10-21 23:46:33
| Category | Regulatory Information | |
| Collection | Federal Register | |
| sudoc Class | AE 2.7: GS 4.107: AE 2.106: | |
| Publisher | Office of the Federal Register, National Archives and Records Administration | |
| Section | Rules and Regulations | |
| Action | Final rule. | |
| Contact | Courtney Silverthorn, via email: [email protected], or by telephone: 301-975-4189. | |
| FR Citation | 81 FR 73024 | |
| RIN Number | 0693-AB62 | |
| CFR Associated | Federal Employees; Inventions and Patents; Laboratories; Research and Development; Science and Technology and Technology Transfer |
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