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REF ID : A416:IJ6iP1 ~~kw. Jk_μ.... · 0 · 

GOVERNMENT Pi~TENTS BOARD 'W' ~. ~aJ.>. • ~~ 

Office of. t.'le Chairman. c~~ I (Lit-.]) ~ 

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RULES AND· .REGULATIONS FOR THE ADMINISTAATION OF A-. 

UNH'ORM PATENT POLICY: WITH. RESPECT TO THE: DOMESTIC RIGHTS. IN: 

________ r"-'--NVENTIONS MADE_~y· GOVERNMENT: EM,PLO=Y,_E:=E ..... s _____ ~-------

_' Sectionc. 1.. Eur.pose:· ~:.. 

The purpose of this order is· to provide for-the administration: of a uniform 

patent policy for the Gov:ernment with respect to the domestic. rights in inventions 

made by Gov.ernment. employees and. to prescribe rules and regulations for iipple- ,_ 

menting·and effectuating such policy. 

Sectiott_g~. Au.thoritzl. 

Au.thorLty· for the administration of a. uniform. patent. policy· is. provided in 

Executive- Order 10096,. dated January 2.3., 1950. (15. LR •. .369). · · 

.• This order applieo to any invention made by u Go:~:ernment. employee on or after· 

Januur-f 2J,. ,1950,, .'i.nd to any action taken with. respect there.to~. 

Section 4· Definitions: 

. (a}.· The term 11G6.ver11men:t agency11 , as used in this order:,. met:i.ns. any. Executive: 

de.partment or independent. establishment of the Executi.ve branch. of the Gove1'!l:nent 

{-including. any independent. regulatory commission or board·, ·anY. corpor11tion wholly 

owned by the United S.ta.tes, and· the- Smithsonian Iilsti.tu,tion), but does not include. 

the Ato;oic Energy Cornmi";:;sio'!l .• 

( b) The- term "Government:. employee", as. used in this. order-:,,. means any officeror employ:ee, civilian or· military; of any Gover!lment agency:.:,, includin~ wiy .part-time 

consultant or· part-time· employee excep.t as. may o.ther.wise~ .be pro:v±ded for by. agency 

.. regulation· approved by the Chairman. · 

( c) The term 11 inventi:on11 , as used· in this order:, means· any: art, machine, 

manufacture.,, design, or composi.tio."l of matter, or any new' and useful. improvement , 

thereof,. or any variety of plant, which is or may be .. patentiible under the patent 

laws of the· United Sta teo .•. 

~. . . -('d-) The .tar.m "Chai:rman 11 ,. as used in. this order:,, means the Cha:frman of tile 

·Government Patents. Board. 

@'pproved for Release by NSA on 12-05-2014 pursuantto E.O. 1352a 
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REF ID .: A4161 Eiikf. 

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Each Government agency will d,eter~ine whe.t;1er the results of research, devel_opm·ent, or ·other a.cti vi ty within. the agenC.)' constitute invention within t:he :.purvi:e\v 

of Executive Order 10096. 

(a) Subject t,J review by the Chairman as provided for in this order, each 

Government agency will determin~ the respective rights of the Government _and .of the 

inventor in and to any invention made by a Government employee while under the--a.dministrative jurisd~ction of such agency. 

· ( b) The following_ rules shall be' applied in determining the· r'es·pecti ve d::ghts 

of the Government and of the inventor in and to any invention·that:is subject _to:· 

the provisions of this order: 

(1) The Government shull obti=.:.in the entire domestic right, title -

and interest in and to all inventions :nade by any Goverm1ent employee 

(ij during working hours; or (-ii) wit!'l 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 

bear a. direct relation to or are made in consequence of the official 

duties of the inventor. 

(2) In any case where t~'le contribution of tne GoY~rnment, as". 

measured by any one or more of the criteria set forth in subparagraph 

(1) last above, to the invention is insufficient equitably t:> justify 

a requirement of assignment.to the Government-of the entire domestic 

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. domestic right,; title, and interest therein (although the 

Government could obtain same under·subpa.ragraph (1) above), the 

Government agenc;r concerned, subject to the approval of the Chairina.n, <.: 

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 vd th poVler to grant licenses for· 

all governmental purposes; such reservf.l.tlon, in the terms thereof, : to · 

. appear, where practicable, in any patent, domestic or foreign, which· 

may issue on such invention. 

- (3) In applying the provisions of subpa.ragra:_l:)hs -( l) and ( 2) above 

' to the facts and circuJilBtances relating t:) the making of B.ny pa.rt.icular 

invention, it shall be presumed that an invention made bj an· emplo'.}ree 

who is emplo~red or assigned (i) to invent er improve or perfect any art, 

ma.chine) manufacture; or !eomposition of matter, (ii}· to' conduct "or perform research, development viork, or bot..'!, (iii) to supervise; dfr'ect~ - · 

coordinate, or review Government financed or conciJJcted research, develop- · 

ment work, or botn, or (iv) to act in a liaison capacity among governmental 

or non-governmental agencies or individuals engaged in such work, falls 
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within ·the provisions of subparagraph (1) above, and it shall ·be pre-:. · ' 

sumed.'that any invention· made by ·any other employee falls ·within the,_, 

provisions of subparagraph (2) aboveo Either presumption may~· be 

rebutted by the facts or circumstances attendant upon;_ the conditions · · · = 

under which any particular invention is made and, notwithstanding the 

foregoing, shall not preclude a determination that the invention falls 

within the provisions of subparagraph (4) next belovro 

(4) In any case wherein the Government neither (i) obtains the 

entire domestic right, title and interest in and to an invention ·pursuant to· the provisions of ·subparagraph (1) above Iior (ii) reserves 

a nonexclusive, irrevocable, royalty-free license in· the invention; 

with ~ower to grant licenses for all governoental purposes, pursuant 

to the provisions of subparagraph (2) above, the Governnent sho.11 

leave the entire right, title and interest in and to the invention in 

the Government employee' SU bj ec t t::> law 0 

°( c) In the event that a Government agency determines, pursuant to ·subparagra.ph 

(2) or subparagraph (4) of paragraph (b) of this section, that title to an invention 

will be left with an·employee, the agency shall, subject to considerations of national 

security, or public health, safety, or welfare, report to the Chairman,-·proinptly upon 

making such determination, the following information concerning the inve~tion: 

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(1) description of the invention in sufficient detail to permit 

a satisfactory review; I 

(2) name of inventor and his employment status; and 

(3) stateinent of agency determination and reasons therefor • 

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The report in a case falling within the provisions of subp&.ragr&.ph (2) of paragraph: 

(b),of this section shall be made after the expiration of the period prescribed iri 

section 7 of this .order for the taking of an appeal, or it may be made prior to 

the expiration of such period if the employee acquiesces in the agency determination. The Chairman: thereupon shall review the determination of the Uovernment agency, 

and his decision respecting the matter shall be final, subject to the right of ·the 

inventor to submit to the Chairman, within JO days (or su9h longer period as the·· 

Chairman may, for good cause, fix in any case) after receiving notice of such· de- :· 

cision, a petition for the reconsideration of the decisi.on if it gives to the Government greater rights tha.~ the ag~ncy determinationo A copy of any such petition must 

also be filed by the i~ventor with the employing agency within the prescribed period. 

Section 7o Appeals by employees: 

{a)· Any Government employee who is aggrieved by an· agency determination 

pursuant to subparagraph (1) or subparagraph (2) of paragraph (b) of section 6 of 

this order may obtain a review of the agency determination by filing, within 30 

days (or such longer period as the Chairman may, for good cauJle, fix in any case) 

after receiving notice of such determination, a -written,appeai with the Chairman 

and a copy of the appeal with the Government agency. 
REF ID :A41616.i6 

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(b) In the event of the filing of an appeal pursuant to paragraph (a) of 

~his section, the Government agency which made the determination shall, supject to (£ 

qonsiderations of national security, or public health, safety, or welfare, furnish 

the Chairman in writing, promptly upon the filing of the appeal, the follo~ng information ·concerning the invention involved in the appeal: 

(1) description of the invention in sufficient detail to permit 

a satisfactory review; 

(2) name of the inventor and his employment status, including a 

detailed' statement of his official duties and. responsibilities at the 

time of making the invention; and 

(3) detailed statement of the nature of the dispute or controversy, 

together with copies of the agency determination,of any briefs or written 

arguments that may have been filed, of any statements or other evidence 

that may have been considered b;f the agency, and of other relevwit 

material. 

(c) The decision of the Ch~irman upon ii.ny appeal taken pursuant to this section 

shall be final. 

Section 8. Patent pro1ection: 

(a) A Govern~ent agency, upon determining that an i~vention coming within the 

.scope of subparagraph (1) or subparagraph (2) of para.graph ( b) of section 6 of this 

order has been made, shall thereupon determine whether patent protection will be 

sought in the United States by the agency for such inventi·::m. A controversy over 

the respective rights of the Government and of the inventor in any cuse shall not 

delay the taking of the actions provided for in this section. In cases coming 

within the scope of subparagraph (2) of par~gra.ph (b) of section 6 of this order, 

agency action looking toward such patent protection shall be contingent upon the 

consent of the inventor. 

(b) Where there is a dispute as. to whether subparagrEi.pl! (1) or subparagraph 

(2) of paragr~ph (b) of sectioQ 6 of this order applies in determining the respective rights of the· Government and of an ·employee in and to any invention, the 

agency will determine whether pEJ.tent protect"ion will be sought in the United States 

pending the Chairman's decision on the· dispute, and,. if it decides that an application for pa~ent should be filed, will take such rights as are specified in· · 

·subparagraph (2) of paragraph (b) of section 6 of thib order, but thi~ shall be 

without prejudice to acquiring the rights specified in subparEi.graph' (l) of that 

paragraph should the Chairman so decide. 

(c). Where an agency has determined to leave title to an invention with 

an employee under subparagraph (2) of paragraph (b) of section 6 of this order, 

.the agency will, upon the filing cf an application for patent and pending review 

of the determination by the Chairman, take the rights specified in that subparagraph 

without prejudice :to the subsequent a.cquisi tion b~' the Government of the rights 

specified in subparagraph (1) of that paragraph should the Chairman so d.ecideo 

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. (d) In the event that patent protection is sought by an ~gency for an 

invention made by a Government employee, the agency shall, subject to considerations .of::nationaLsecuri1;y, ox: public health, safet.y, or welfare, report·•to the 

Chainnan, promptly upon the filing of an application for pa.tent;·.the ,following 

information concerning the. invention: · · 

(1) brief description of the inventi_on; 

(2) name of the inventor and his employment status; _and 

· (3) serial number, title of invention, and date on which the 

application was filed. 

(e) ·In. the event that a Government agency determines that·an.applicat~on 

for patent will not·.be filed on an invention made under the circumstances ~pecified. 

in.subparagraph (1) of paragraph (b) of section 6 of this order, giving.the ·united 

States ,the.right to title thereto, the agency shall, subject t~ considerations of 

national security, or public health, safety; or welfare, report to the Chairman1 

promptly .upon·::making ·such determination,· the .following information ~concerning the 

invention: · · 

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.(1) ·description of the invention in sufficient detail to permit 

• a satisfactory review; 

(2) .name of the inventor and.his employment status; -and 

(J) statement of agency determination and reasons thereforo 

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The Chah-.mari~ ,may, if he ,determines. that the interest of the Government so requires 

and subject to considerations of national security, or public health, .safety, or 

welfare, ca.use ,8.n a·pplication for patent .to be filed or cause the -invention to be 

: fully disclosed by publication .thereof:. Prov~, however,. That iio application for 

patent respecting any variety of plant invented ·by an employee of· the Department of 

Agriculture shall be filed without the approval of the Secretary of Agriculture. 

(-r) "Whenever a patent hereafter issues on an invention made by a Government 

employee, .in respect to _which the Government has any ri·ght, title, or. interest,' including a,.license, the Government .agency concerned shall, promptly upon the issuance 

of the patent, furnish to the Chairman: 

(1) an abstract of the .invention; 

(2) name of the inventor and his.employment status; 

(.3) a copy of the patentr.and 

(4) statement of the nature and extent of the right, title, or 

inte~est of the Oovernment in the invention. 
Section 9.· Report forms: 

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The Chairman.will prescribe the forms to be used by Government agencies~in 

subnitting the reports specified in this order. 

Section 10. Liaison: 

Each Government agency shall designate a liaison officer at the agency level 

to deal with the Office of the Chairman: Provi~ed, how~y~, That the Departments 

of the Army, the Navy, and the Air Force may ea.ch designate a liaison officer. 

Section.11. Dissemination of order: 

Each Government agency shall make appropriate arrangements for the dissemination 

to its employees of the provisions of this order. 

Section 12, Revocation: 

~Administrative Order No. l, duted September 6, 1950, is superseded by· the provisions of this order, which shall remain in effect until further notice. 

/s/ Archie M~ Palmer 

Cl:lairnian 

·Approved: 

/s/ Harry So Truman 

President 

Date: April 26, l951 . I 

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