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ROBERT A Of, New Jersey, CHAIRMAN

GEORGE E BROWN. J California
JAMESH SCHEUER New York
MARILYN LLOYD. Tennesse
DOUG WALGAEN, Pennsylvania
DAN GLICKMAN. Kansas
HAROLO VOLKMER, Missouri
HOWARD WOLPE. Michigan
BILL NELSON Florida

RALPH M HALL T

DAVE MCCURDY Oklahoma
NORMAN Y MINETA California

TIM VALENTINE, North Carolina
ROBERT G TORRICELL! New Jersey

RICK BOUCHER Virginia

TERRY L. SAUCE ins
RICHARD H STALLINGS, Idaho
JAMES A. TRAFICANT. Jr. Ohio
LEEN HAMILTON Indiana
MENRY J NOWAK New York
CARL C PERKINS Kentucky

TOM MEMELLEN Maryland
DAVID L. PRICE North Carolina
DAVID R NAGLE low
JIMMY HAYES Louisiana
DAVID E SKAGGS. Colorado
JERRY F COSTELLO. a
HARRY JOHNSTON Fleride
JOHN TANNER, Tennessee
GLEN BROWDER Alstems

U.S. HOUSE OF REPRESENTATIVES
COMMITTEE ON SCIENCE, SPACE,
AND TECHNOLOGY

DW:Wcw
Enclosure

SUITE 2321 RAYBURN HOUSE OFFICE BUILDING
WASHINGTON, DC 205 15
(202) 225-6371

June 9, 1989

ROBERT S WALKER Penneylvania
F. JAMES SENSENBRENNER Jr
CLAUDINE SCHNEIDER, Rhode island
SHERWOOD BOEHLERT, New York
TOM LEWIS. Florida

DON RITTER Pennsylvania

Sincerely,

SID MORRISON Washington
RON PACKARD. California

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Mr. George T. Singley, III, Director
Office of the Asst. Secretary of the Army
(Research, Development and Acquisition)
Department of the Defense

Washington, D.C. 20301-1155

Dear Mr. Singley:

Thank you for testifying last Thursday at the Subcommittee's hearing on the Federal
Technology Transfer Act. We appreciated learning from you the progress that the Army
has made in implementing the Act in the two and one-half years since passage.

ROBERT C SMITH, New Hampshire

PAUL B. HENRY, Michigan

HARRIS W. FAWELL, Minis

Because of the time constraints imposed by the services for Hon. Claude Pepper, we were not able to ask the DOD panel questions. Attached is a list of questions to which we would appreciate your early reply.

Again, thank you for your testimony.

D FRENCH SLAUGHTER Jo, Virginia
LAMAR SMITH Tessa
JACK BUECHNER Mistur
CONSTANCE A MORELLA Maryland
CHRISTOPHER SMAYS Connectio
DANA ROHRABACHER Costurni
STEVEN H. SCHIFF New Mexico
TOM CAMPBELL, Californis

HAROLD P. MANSON
Executive Director
ROBERT C. KETCHAM
General Counsel
DAVID D. CLEMENT
Republican Chief of Staff

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DOUG WANGREN

Chairman, Subcommittee on Science,
Research and Technology

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Questions for Mr. Singley

At the present time, what review of laboratory-negotiated cooperative research and development agreements and licensing agreements is required at the Army headquarters level?

Is the requirement that adverse action on any such negotiations be handled within 30 days from date of receipt by your department being complied with?

What regulations and instructions still must be promulgated by your service to fully implement the cooperative R&D authority? What is the timetable?

In the next year or so, what level of growth do you expect in the number of cooperative R&D agreements negotiated by Department of the Army laboratories?

With regard to Section 11(a)(3), how has your Service insured that technology transfer is being considered positively in laboratory job descriptions, employee promotion policies and evaluation of job performance of scientists and engineers in your laboratories?

Have your laboratories established Offices of Research and Technology Applications (ORTA's) and staffed them as required by the law?

Are there any legislative changes to the law which you believe would be desirable?

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Honorable Doug Walgren

U. S. House of Representatives
Washington, D. C. 20515

Dear Congressman Walgren:

This is in response to your June 9, 1989 letter
(Attachment 1) concerning the Subcommittee's hearing on
the Federal Technology Transfer Act. Answers to your
questions are as follows:

STATES

DEPARTMENT

1. Following execution of the agreement by the Laboratory Commander or Director, the agreements are reviewed by the Army Domestic Technology Transfer Program Manager on behalf of the Office of the Assistant Secretary of the Army for Research, Development and Acquisition in accordance with the guidelines provided as Attachment 2. The 30-day limit on handling adverse actions is being met in compliance with the legislation.

2. The delegation of authority to the Commanders or Directors of Army Laboratories and Research, Development and Engineering Centers (RDECs) to enter into Cooperative Research and Development Agreements has been formally completed, and interim guidelines on processing the agreements have been issued (Attachment 2). Revision of the Army Regulation (AR 70-57) to include the detailed guidance on establishing cooperative agreements is scheduled for completion by June 1990. No further action on the delegation of authority is needed.

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3.
The Army currently has 17 cooperative agreements
in place, and this number is forecasted to be 100 or more
by the end of FY90.

4. Information regarding legal requirements,
including those of Section 11(a)(3), to the Commanders or
Directors of all Army Laboratories and RDECs has been
distributed; however, implementation has been uneven and
incomplete. A more uniform and vigorous implementation
of this Section of the law will result from a current
intensive review of the Domestic Technology Transfer
Program by this office.

8

BICENT

DEFENSE.

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5. All Army Laboratories have established an Office of Research and Technology Applications, and 80 percent of these organizations are staffed with at least one full-time equivalent in conformance with the law. This entire issue will be resolved as part of the current program review.

6. Two actions by the Congress to enhance the technology transfer effort are recommended:

a. Congress should consider providing copyright protection for computer software and courseware created by Federal employees and provide for royalties in licensing agreements as with government patents.

b. Clear protection from unwarranted disclosure under an FOI Act request should be given to the information generated by the Federal collaborators in accordance with a statement of work under a CRDA.

Attachments

We would be pleased to provide any additional information that you might desire. Thank you for the opportunity to explain the Army's program on Domestic Technology Transfer.

Sincerely,

Co.T.

George T. Singley III
Director

Research and Technology

3E510

SARDA-TR

REVISED INTERIM GUIDELINES POR PREPARATION AND REVIEW OF COOPERATIVE RESEARCH
AND DEVELOPMENT AGREEMENTS (CRDAS) AND PATENT LICENSE AGREEMENTS (PLAs)

b. At the end of paragraph 11.2 of the model, add the words "under the provision of the Federal Tort Claims Act."

C. If the other party (ABX Company, Inc.) insists, the following provision may be inserted at an appropriate location (such as paragraph 13.3 of the Model Agreement):

13.3 Ratification. In the event that the Assistant Secretary of the Army (Research Development and Acquisition) exercises the authority reserved by paragraph 8.1.3. ABX Company, Inc. shall have 30 days from notification of the required modification to ratify the modifications or terminate the Agreement.

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3 The final negotiated version of the CRDA or PLA as signed by the laboratory commanders/directors will be provided with a cover sheet having the following information:

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b.

&. Name of company(ies) with which agreement was made

Name, address and telephone number of company POC

Name and phone number of laboratory POC

Name and phone number of laboratory legal counsel

Summary of agreement stating specifically the contributions of each

C.

d.

..

f. Principal differences between the agreement and the Department of Commerce Model

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4 The original and 2 copies of the completed CRDA or PLA (with cover sheets) will be prepared by the laboratory. The original will be sent to the Domestic Technology Transfer Program Manager, US Army Harry Diamond Laboratories, ATTN: SLCHD-TT (Mr. Clifford Lanham), 2800 Powder Mill Road, Adelphi, MD 20783-1197 where its receipt will be logged on behalf of the Office of the Assistant Secretary, the review will be coordinated, and records of each original CRDA and PLA will be maintained for the Army. At the same time one copy will be sent to the Office of the Assistant Secretary of the Arwy for Research, Development, and Acquisition, ATTN: SARD-TR (Dr. H. El-Bisi), Room S, The Pentagon, Washington, DC 20310-0103 and the other copy to the Army Counsel for Intellectual Property. Office of the Judge Advocate General, ATTN: JALS-PC (Mr. A. Lane), Room 332A Nassis Building, Soll Columbia Pike, Falls Church, VA 22041-5013 for review.

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