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SECTION 2 -- INFORMATION ON LICENSES, PATENTS AND ROYALTIES

NOTE: In section 2. question 28 was added after mail-out in late July of the advance copy questionnaire.

Please indicate the name, title, unit or office, and telephone number of the person(s) completing this section:

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PURPOSE

We ask that each section be completed by the staff member with the greatest pertinent knowledge. In some instances, it may be necessary to involve more than one person or office in answering questions. For your convenience each section of the questionnaire can be separated from the package.

The purpose of this questionnaire is to gather information about the implementation and impact, at Federal laboratories, of the Stevenson-Wydler Technology Innovation Act of 1980 and the Federal Technology Transfer Act of 1986. Each Federal agency which operates one or more laboratories has been sent a copy of this questionnaire. The agency-level questionnaire asks for information not available at the laboratory level, but which is necessary to complete an assessment of the legislation's impact. Separate questionnaires, collecting data available at the laboratory level, have been sent to those laboratories within your agency that fall under some or all of the provisions of the legislation, or that we have determined to be appropriate units to receive the questionnaire

To increase the reliability of the responses to each of the five sections, key terms have been defined either in the "definitions segment" or, in some cases, within the questionnaire. These definitions should be followed when answering questions.

We are primarily gather We are primarily gathering FY 1989 data during this first year of implementation. In each of the next several years, your organization should expect to receive a similar questionnaire to update the account of its technological transfer activities. INSTRUCTIONS

Many questions can be answered with hard data. However, some answers will be based necessarily on rough estimates. You should not be overly concemed about generating such estimates. Please use your best professional judgment in extrapolating from existing data. For some questions, we ask for both FY 1986 and FY 1989 data in order to make a before-and-after comparison of changes since the Federal Technology Transfer Act of 1986.

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DEFINITIONS

AGENCY: The following cabinet-level departments, independent agencies, or dependent agencies within cabinet departments are considered "agencies" for this questionnaire:

--Department of the Air Force

--Department of the Amy
--Department of the Navy
-- Within Department of the Agriculture
Agriculture Research Service, Forest Service

COOPERATIVE RESEARCH AND DEVELOPMENT AGREEMENT (CRDA): AS specified in the Federal Technology Transfer Act of 1986, CRDAs include agreements between one or more federal laboratories and one or more nonfederal parties under which the laboratory provides personnel, services, facilities, equipment or other resources (but not funds). with or without reimbursement, and the nonfederal parties provide funds, personnel, services, facilities, equipment or other resources toward the conduct of specified research or development efforts which are consistent with the missions of the laboratory. The term does not include procurements, grants or other types of cooperative agreements made under the authority of any Other legislation, regardless of whether your laboratory provided funds for the work.

--Within Department of Commerce NIST, NOAA, NTIA

- Within Department of Energy Fossile Energy, Energy Research, Defense Programs, Conservation and Renewable Energy

- Within Department of Interior
Geological Survey, Bureau of Mines, Fish and Wild
Life Service, Bureau of Land Management, Bureau
Reclamation

--Within Department of Transportation
FAA, Federal Highway Administration, Coast Guard

FEDERAL TECHNOLOGY TRANSFER ACT OF 1986 (P.L. 99-502): A congressional amendment to the Stevenson-Wydler Technology Innovation Act of 1980 (P.L. 96-480). Major facets of PL. 99-502 include directing heads of all federal agencies to authorize their government-owned and government-operated laboratories to enter into cooperative R&D agreements with universities and the private sector, formally chartering the Federal Laboratory Consortium for Technology Transfer as a national mechanism to promote and strengthen technology transfer

, mandating that agencies pay at least 15% of the royalties from inventions made at laboratories to the inventor(s); allowing agencies to assign tide to inventions (with restrictions) to current or former govemment employee inventors; and allowing agencies to grant, in advance, to collaborating parties patent licenses or assignments on inventions made under cooperative R&D agreements (CRDAs). INVENTION DISCLOSURE: An invention disclosure is a description including possibly a sketch of the proposed invention. (DEFINITIONS CONTINUED)

EPA

-NASA

--Veteran's Affairs

--Public Health Service's
NIH, CDC, FDA, ADAMHA

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