[Code of Federal Regulations]
[Title 37, Volume 1]
[Revised as of July 1, 2003]
From the U.S. Government Printing Office via GPO Access
[CITE: 37CFR501.6]

[Page 652]
 
              TITLE 37--PATENTS, TRADEMARKS, AND COPYRIGHTS
 
    CHAPTER V--UNDER SECRETARY FOR TECHNOLOGY, DEPARTMENT OF COMMERCE
 
PART 501--UNIFORM PATENT POLICY FOR RIGHTS IN INVENTIONS MADE BY GOVERNMENT 
EMPLOYEES--Table of Contents
 
Sec. 501.6  Criteria for the determination of rights in and to inventions.

    (a) The following rules shall be applied in determining the 
respective rights of the Government and of the 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 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 on 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 
(a)(1) of this section, to the invention is insufficient equitably to 
justify a requirement of assignment to the Government of the entire 
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 right, title and interest therein (although the Government could 
obtain same under paragraph (a)(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 purposes. The terms of such reservation 
will appear, where practicable, in any patent, domestic or foreign, 
which may issue on such invention. Reference is made to section 15 of 
the Federal Technology Transfer Act of 1986 (15 U.S.C. 3710d) which 
requires a Government agency to allow the inventor to retain title to 
any covered invention when the agency does not intend to file a patent 
application or otherwise promote commercialization.
    (3) In applying the provisions of paragraphs (a)(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 or process, 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 (a)(1) of this section, and it 
shall be presumed that any invention made by any other employee falls 
within the provisions of paragraph (a)(2) of this section. Either 
presumption may be rebutted by a showing of the facts and circumstances 
in the case 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 right, title and interest in and to an 
invention pursuant to the provisions of paragraph (a)(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 (a)(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.

[53 FR 39735, Oct. 11, 1988, as amended at 61 FR 40999, Aug. 7, 1996]