[Code of Federal Regulations]

[Title 37, Volume 1]

[Revised as of July 1, 2005]

From the U.S. Government Printing Office via GPO Access

[CITE: 37CFR401.11]



[Page 700-701]

 

              TITLE 37--PATENTS, TRADEMARKS, AND COPYRIGHTS

 

  CHAPTER IV--ASSISTANT SECRETARY FOR TECHNOLOGY POLICY, DEPARTMENT OF 

                                COMMERCE

 

PART 401_RIGHTS TO INVENTIONS MADE BY NONPROFIT ORGANIZATIONS AND SMALL 

 

Sec. 401.11  Appeals.



    (a) As used in this section, the term standard clause means the 

clause at Sec. 401.14 of this part and the clauses previously 

prescribed by either OMB Circular A-124 or OMB Bulletin 81-22.

    (b) The agency official initially authorized to take any of the 

following actions shall provide the contractor with a written statement 

of the basis for his or her action at the time the action is taken, 

including any relevant facts that were relied upon in taking the action.

    (1) A refusal to grant an extension under paragraph (c)(4) of the 

standard clauses.

    (2) A request for a conveyance of title under paragraph (d) of the 

standard clauses.

    (3) A refusal to grant a waiver under paragraph (i) of the standard 

clauses.

    (4) A refusal to approve an assignment under paragraph (k)(1) of the 

standard clauses.

    (5) A refusal to grant an extension of the exclusive license period 

under paragraph (k)(2) of the clauses prescribed by either OMB Circular 

A-124 or OMB Bulletin 81-22.

    (c) Each agency shall establish and publish procedures under which 

any of the agency actions listed in paragraph (b) of this section may be 

appealed to the head of the agency or designee. Review at this level 

shall consider both the factual and legal basis for the actions and its 

consistency with the policy and objectives of 35 U.S.C. 200-206.

    (d) Appeals procedures established under paragraph (c) of this 

section shall include administrative due process procedures and 

standards for fact-finding at least comparable to those set forth in 

Sec. 401.6 (e) through (g) whenever there is a dispute as to the 

factual basis for an agency request for a conveyance of title under 

paragraph (d) of the standard clause, including any dispute as to 

whether or not an invention is a subject invention.

    (e) To the extent that any of the actions described in paragraph (b) 

of this section are subject to appeal under the



[[Page 701]]



Contract Dispute Act, the procedures under the Act will satisfy the 

requirements of paragraphs (c) and (d) of this section.