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About the Far West Region
SHARING INFORMATION
Federal laboratories share initial information with you through
workshops, briefings, and visits. Often, the sharing is a
precursor to longer-term interactions between a company and a
federal R&D center. Disseminating information has always been a
responsibility of federal laboratories; now there is an emphasis on
technology use as potential business opportunities for U.S.
companies.
For special situations, the parties sharing information use
non-disclosure agreements prior to receiving or giving out
proprietary information.
Much information is available about federal laboratory R&D through
publications at scientific and technical meetings and in technical
presentations. This information along with other resources such as
licensable technologies, software and research-in-progress are
accessible through commercial and government databases and
specialized technical information centers.
EXCHANGING PERSONNEL
Legislation and policy changes have made personnel exchanges
easier. Industrial staff are assigned to government laboratories;
in some cases, reverse assignments also take place. The employer
pays its own staff salary costs; the host organization provides
services and supplies. Both organizations benefit by learning from
each other. Personnel exchanges are excellent first steps toward
long-term alliances between federal R&D facilities and U.S.
industry.
FINDING TECHNICAL ASSISTANCE
Unique government expertise is available to provide technical
assistance to industry. Small businesses especially benefit from
technical assistance and suggestions from laboratory staff.
Depending on the circumstances, there may be no charge for
technical assistance. Another way to discuss technical problems is
by visiting federal laboratories. Technical assistance may open
the door to a later technology transfer.
USING UNIQUE FEDERAL LABORATORY FACILITIES & CAPABILITIES
Specialized facilities provide unique capabilities not otherwise
available in the private sector. Industry access to such
facilities is often on a cost-reimbursable basis, and the
information acquired generally belongs to the company. Under
circumstances when the information is also of interest to the
government or scientific community at large, industry may be able
to negotiate different terms under cooperative research and
development or other agreements. Some facilities are dedicated to
providing equipment, expertise, information and other types of
assistance to outside organizations.
Some federal laboratories have provisions for undertaking sponsored
research where industry reimburses the laboratory for work done at
the facility. In such instances, the work carried out must require
unique capabilities not available in the private sector.
LICENSING PATENTS AND TECHNICAL KNOW-HOW
Licensing patents and patent applications and transferring
technical know-how have made technology transfer more productive
and helped staff at federal laboratories to recognize and support
their inventions. In fact, exclusive licensing need not inhibit
the broad application of the technology. In many cases, it can be
applied in different industrial sectors and markets, offering an
opportunity for non-competitors to collaborate and obtain exclusive
use of a federal technology for their specific markets.
ACQUIRING SOFTWARE
Although federal and non-federal employees at a federal laboratory
may protect software-related inventions by patent, U.S. law
generally prohibits federal employees from copyrighting software.
However, there are instances when companies have entered into
Cooperative Research and Development Agreements (CRADAs) with
federal software developers and have made such significant
contributions or changes to the software, that the company has been
able to copyright the product resulting from the CRADA effort.
PERFORMING COOPERATIVE R&D
There are many ways the public and private sectors perform
cooperative R&D with the federal laboratories. These include
memoranda of understanding and other cooperative arrangements.
Special authorities have been granted to the Army Corps of
Engineers and the National Aeronautics and Space Administration.
USING COOPERATIVE RESEARCH & DEVELOPMENT AGREEMENTS (CRADAS)
In 1986 and 1989, legislation was enacted as part of the
Stevenson-Wydler Technology Innovation Act to enable federal
laboratories to enter into cooperative research and development
agreements (CRADAs, also known as CRADAs) with private businesses
and other entities. Since then, more than 1000 CRADAs have been
signed based on this authority. CRADAs provide the means to
leverage R&D efforts and to create teams for solving technological
and industrial problems. Through CRADAs, companies or groups of
companies can work with one or more federal laboratories to pool
resources and share risks in developing technologies. The CRADA is
a useful R&D relationship when the transfer of technology and
subsequent transfer of rights are expected to be important to the
collaborating party.
CRADAs are potentially very flexible. There are many benefits. The
law sets the following conditions for a CRADA:
- Collaboration involves the expenditure of federal funds and the
use of federal personnel, services, facilities, equipment,
intellectual property or other resources. However, no federal
funds may flow to the CRADA partner.
- Non-federal contributions include funds, personnel, services,
facilities, equipment, intellectual property or other resources.
- Special consideration is given to small businesses and
consortia involving small businesses.
- Preference is given to businesses that are located in the
United States and undertake to manufacture substantially in the
United States products that embody inventions developed under the
CRADA or are produced using inventions developed under the CRADA.
- The United States Government always retains a nonexclusive or
nontransferable, irrevocable, and paid-up license to practice any
inventions developed under a CRADA for governmental purposes.
- The federal laboratory may in advance grant or agree to grant
to a collaborating party exclusive patent licenses or assignments
for all laboratory employee inventions made under the CRADA.
- Federal laboratories may protect from public access
commercially valuable information produced under CRADAs by both
federal and non-federal participants for up to five years as
negotiated for each CRADA; trade secrets or commercially valuable
information that is privileged or confidential information which is
obtained in the conduct of research or as a result of activities
under a CRADA from a non-federal participant will not be disclosed.
As more experience is gained with CRADAs and Space Act Agreements,
federal departments and agencies are developing general policy
guidelines. For instance, IR&D funds may be used as a CRADA
contribution in the case of DOD and NASA contractors, providing the
costs would have been allowable as IR&D had there been no CRADA.
FORMING CONSORTIA
Federal laboratories and U.S. industry work together within
consortia. Some special centers draw collectively upon the
expertise of laboratories, universities and industry to focus on
broad technologies that can be pursued cooperatively until specific
market opportunities arise. Becoming more common are horizontal
consortia, known as "pre-competitive R&D consortia" where
industrial competitors may pool their resources in research and
development which is pre-competitive. Industrial participants may
protect themselves from possible treble damages imposed under
anti-trust laws by filing with the Department of Justice under The
National Cooperative Research Act of 1984. Vertical consortia are
becoming more common with a company and its vendor collaborating
with a federal laboratory in order to incorporate new technology in
the vendor's product.
USING TECHNOLOGY DEVELOPED UNDER GOVERNMENT CONTRACTS
Government contractors and contractors to government-owned,
contractor operated laboratories already have the commercial rights
to patented inventions made under their contracts. This is a large
resource for potential commercial development.
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