Tech Transfer Handbook

7/24/2019 Tech Transfer Handbook

http://slidepdf.com/reader/full/tech-transfer-handbook 1/138

Technology Transfer Handbookfor the U.S. Geological Survey

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2003

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ABBREVIATIONS USED IN THIS HANDBOOK........................................................................4

EXECUTIVE SUMMARY..........................................................................................................5-61. What is !"!#a$ T!%h&'$'() T#a&s*!#+............................................................................5,. Wh) Sh'$" T!%h&'$'() T#a&s*!# B! I/'#ta&t t' Y'+................................................50. H' This Ha&"2''3 Ca& H!$/.......................................................................................5

I. WHY TECHNOOY TRANSER IS IMORTANT...........................................................7-81. T!%h&'$'() T#a&s*!# D!*i&!"..........................................................................................7,. #/'s! '* T!%h&'$'() T#a&s*!#......................................................................................70. B!&!*its...........................................................................................................................74. I/'#ta&%!......................................................................................................................7

II. THE EDERA ENVIRONMENT......................................................................................9-141. Hist'#)..............................................................................................................................9,. USS '$i%) *'# T!%h&'$'() T#a&s*!#...........................................................................10

III. HOW TO DO IT..............................................................................................................15-1,91. T)/!s '* T''$s..........................................................................................................15-17

A. #''ti'&a$ T''$s............................................................................................15B. #'a%ti:! T!%h&'$'() T#a&s*!# T''$s...............................................................16

,. R!$at!" #'%!"#!s.................................................................................................18-,;A. C'&t#i2ti'&s....................................................................................................18B. W'#3-*'#-Oth!#s...............................................................................................18C. Us!# a%i$iti!s...................................................................................................,;

M'"!$ C'&t#a%t '# W'#3-'#-Oth!#s .................................................,1-010. Ma#3!ti&( !"!#a$$)-D!:!$'/!" T!%h&'$'()...........................................................0,-05

A. Ma#3!ti&(< What Is It+.....................................................................................0,B. C'/'&!&ts '* th! Ma#3!ti&( $a&..................................................................0,

Sa/$! Ma#3!t $a&s............................................................................06-474. C''/!#ati:! R!s!a#%h a&" D!:!$'/!&t A(#!!!&ts =CRADAs>..........................48-97

A. CRADAs a&" Th!i# B!&!*its............................................................................48B. Wh' Ma) E&t!# I&t' a CRADA With th! USS..............................................49C. T)/!s '* R!s'#%!s a#t&!#s Ma) C'&t#i2t!..................................................49D. O2$i(ati'&s '* CRADA a#ti!s.........................................................................49E. C'/$!ti&( th! !(a$?i&a&%ia$ C'/'&!&ts '* th! CRADA..........................49. St!/s *'# C#!ati&( a&" E@!%ti&( a CRADA....................................................49CRADA '#s..................................................................................................54-97

'# 1< I&"st#ia$ a#ti%i/a&t !sti'&&ai#!............................................55'# ,< Sa/$!s '* !"!#a$ R!(ist!# A&&'&%!!&ts..............................58'# 0< Th! CRADA D'%!&t...............................................................61'# 4< Dis%i/$i&! #'/'sa$......................................................................8;'# 5< C'&*$i%t '* I&t!#!st Stat!!&t......................................................8,

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'#s 6a - 62< CRADA D!%isi'&-T#!! a&" CRADA C#it!#ia Ch!%3$ist....84'# 7< Dis%i/$i&! R!%'!&"ati'& M!'#a&".................................87'# 8< T#a&sitta$ !tt!#........................................................................89'# 9< R!/'#t '* I&:!&ti'& '#............................................................91'# 1;< CRADA R!/'#t.........................................................................95

5. I&:!&ti'&s a&" at!&ts...........................................................................................98-1;0A. Ba%3(#'&"......................................................................................................98B. Ri(hts i& I&:!&ti'&s..........................................................................................98C. T)/!s '* at!&ts................................................................................................99D. Basi% R!s/'&si2i$it)..........................................................................................99E. at!&t A//$i%ati'& #'%!ss...............................................................................99. Aa#"s a&" R')a$ti!s......................................................................................1;1. I&:!&ti'& Dis%$'s#!.......................................................................................1;1H. #'t!%ti&( !"!#a$ I&:!&ti'&s #' Dis%$'s#!.............................................1;1I. R!%'#" 3!!/i&(................................................................................................1;0

6. at!&t i%!&s!s....................................................................................................1;4-1,9A. '$i%) *'# Aa#"i&( i%!&s!s.........................................................................1;4B. Ba%3(#'&"....................................................................................................1;4C. i%!&s!s..........................................................................................................1;5D. Ri(hts t' S2$i%!&s!.......................................................................................1;8E. i%!&s! A//$i%ati'&s.......................................................................................1;8. #i:at! S!%t'# I&:!&ti'& i%!&si&( t' th! ':!#&!&t...................................1;8. C'/)#i(hts......................................................................................................1;9H. T#a"!a#3s?S!#:i%! Ma#3s..............................................................................1;9I&:!&ti'&?i%!&si&( '#s............................................................................11;-1,9

'#s 11< N'&-Dis%$'s#! A(#!!!&ts...................................................111

'# 1,< at!&t i%!&s! A//$i%ati'& a&" Sa/$! i%!&s! A(#!!!&t....116

IV. OSSIBE ITAS.........................................................................................................10;1. Iss!s '* C'&%!#& i& T!%h&'$'() T#a&s*!#..................................................................10;,. Ba##i!#s t' T!%h&'$'() T#a&s*!#..................................................................................10;

V. RESOURCES OR ASSISTANCE........................................................................................10,1. Th! Bsi&!ss D!:!$'/!&t B#a&%h.................................................................................10,,. Oth!# S'#%!s *'# Assista&%!......................................................................................10,

AENDIX A< OSSARY O TERMS USED WITH TECHNOOY TRANSER...... ....100

AENDIX B< MANUA CHATERS AND OTHER DOCUMENTS....................................106

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A!"#$AT$%&S US"' $& TH$S HA&'%%(

BD Bsi&!ss D!:!$'/!&t B#a&%h

BEC Bsi&!ss E&t!#/#is! C'&%i$CR C'"! '* !"!#a$ R!($ati'&sCRADA C''/!#ati:! R!s!a#%h a&" D!:!$'/!&t A(#!!!&tDOI U.S. D!/a#t!&t '* th! I&t!#i'# AR !"!#a$ A%isiti'& R!($ati'&sI !"!#a$ I&*'#ati'& #'%!ssi&(C !"!#a$ a2'#at'#) C'&s'#tiOIA #!!"' '* I&*'#ati'& A%tOCO ':!#&!&t-'&!" C'&t#a%t'#-'/!#at!"OO ':!#&!&t-'&!" ':!#&!&t-'/!#at!"A 'i&t &"i&( A(#!!!&tMOA M!'#a&" '* A(#!!!&tMOU M!'#a&" '* U&"!#sta&"i&( NIST Nati'&a$ I&stitt! *'# Sta&"a#"s a&" T!%h&'$'()

NTIS Nati'&a$ T!%h&i%a$ I&*'#ati'& S!#:i%!ORTA O**i%! '* R!s!a#%h a&" T!%h&'$'() Ass!ss!&t.. 2$i% aRD #!s!a#%h a&" "!:!$'/!&tSIC Sta&"a#" I&"st#ia$ C$assi*i%ati'&SOW Stat!!&t '* W'#3 TT t!%h&'$'() t#a&s*!# USC U&it!" Stat!s C'"!USTO U&it!" Stat!s at!&t a&" T#a"!a#3 O**i%!

See A))endi* A for Glossary of Ter+s

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"-"UT$#" SU//A!

1. hat is ederal Technology TransferTh! %'&%!/t '* t!%h&'$'() t#a&s*!#F *#' !"!#a$ $a2'#at'#i!s is t' (!t th! i"!asG i&:!&ti'&sG a&"t!%h&'$'(i!s "!:!$'/!" ith ta@/a)!# "'$$a#s i&t' th! ha&"s '* th! /#i:at! s!%t'# as i%3$) as /'ssi2$!G a&" i& *'#s s!*$ t' that %'&it). Th! i"!a is t' (!t U.S. %'/a&i!s a&" 'th!# /#i:at! s!%t'# !&titi!s i&:'$:!" i& th! "!:!$'/!&t '* !"!#a$ t!%h&'$'() a&" t!%h&'$'() /#'"%tsat a& !a#$) sta(! s' that th! !&" #!s$t is s!*$ t' U.S. i&"st#) a&" %a& a3! th! U&it!" Stat!s'#! %'/!titi:! i& '#$" a#3!ts. I& 'th!# '#"sG $!ts s! th! t!%h&'$'() 2!i&( /ai" *'# 2)ta@/a)!#s t' 2!&!*it U.S. s'%i!t) 2) st#!&(th!&i&( th! U.S. !%'&') th#'(h 2!tt!# /#'"%ts a&"s!#:i%!s '**!#!" t' '#$" a#3!ts.

2. hy Should Technology Transfer e $+)ortant to ouT!%h&'$'() t#a&s*!# is a&"at!" 2) $a. !"!#a$ #!s!a#%h a(!&%i!s st s//'#t a%ti:iti!s t'!&ha&%! th! aa#!&!ssG a"'/ti'&G a&" s! '* th!i# t!%h&'$'() /#'"%ts. B) $aG t!%h&'$'()t#a&s*!# sh'$" 2! a& !$!!&t i& a$$ !"!#a$ #!s!a#%h!#s /!#*'#a&%! /$a&s. Th! $a stat!sGT!%h&'$'() T#a&s*!# %'&sist!&t ith th! issi'& #!s/'&si2i$iti!sG is a #!s/'&si2i$it) '* !a%h

$a2'#at'#) s%i!&%! a&" !&(i&!!#i&( /#'*!ssi'&a$. =Cha/t!# 60 USC 15G S!%. 071;G =a>=,>>

T!%h&'$'() t#a&s*!# /#'(#as a#! th! a) t' ':! *!"!#a$$) *&"!" #!s!a#%h /#'"%ts a&"t!%h&'$'(i!s i&t' %'!#%ia$ /#a%ti%!. '# #!s!a#%h!#s a&" !"!#a$ a&a(!#sG this !a&s that th! /#'"%ts '* )'# #!s!a#%h /#'(#as %a& '2tai& i&%#!as!" :isi2i$it) a&" :a$!G a&" "!'&st#at! th!#!$!:a&%! '* a& a(!&%) i& !!ti&( th! &!!"s '* )'# %'&stit!&ts. This a$s' 2#i&(s #!%'(&iti'& t')' as i&:!&t'#s a&" a&a(!#s '* th! #!s!a#%h "!:!$'/!&t.

T!%h&'$'() t#a&s*!# /#'(#as '**!# 'th!# 2!&!*its i&%$"i&(<

' /!#itti&( )' t' /a#t&!# ith /#i:at! s!%t'# %'/a&i!sG $!:!#a(! )'# #!s'#%!sG

st#!t%h )'# #!s!a#%h 2"(!tsG a&" sha#! i"!as i& a /#'t!%t!" !&:i#'&!&tJ

' !&a2$i&( )' t' !a#& a""iti'&a$ i&%'! *'# s'! '* )'# #!s!a#%hJ

' a$$'i&( )' t' sha#! i&t!$$!%ta$ /#'/!#t) a&" '2tai& #')a$ti!s. This %a& !a&a""iti'&a$ "'$$a#s *'# )'# #!s!a#%h /#'(#aG a&" '&!ta#) #!a#"s t' i&:!&t'#s '* /at!&t!" a&" $i%!&s!" t!%h&'$'().

Th! 2'tt' $i&!< 2) /a#ti%i/ati&( i& t!%h&'$'() t#a&s*!# a%ti:iti!sG )' %a& h!$/ a%%!$!#at! th!a"'/ti'& a&" s! '* )'# ta@/a)!#-*&"!" #!s!a#%h hi$! '/tiii&( )'# #!s'#%!s.

3. Ho5 This Handbook an Hel)This ha&"2''3 has 2!!& "!si(&!" t' a(!&t a ,-"a) t#ai&i&( '#3sh'/ i& t!%h&'$'() t#a&s*!#a&" t' s!#:! as a #!*!#!&%! '& th! s2L!%t. Th! ha&"2''3 "is%ss!s<

' A "!*i&iti'& '* t!%h&'$'() t#a&s*!# a&" t!%h&'$'() t#a&s*!# t!#s

' H' C''/!#ati:! R!s!a#%h a&" D!:!$'/!&t A(#!!!&ts =CRADAs> %a& h!$/ )'

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$!:!#a(! )'# #!s!a#%h #!s'#%!s

' Wh) /at!&ts a#! i/'#ta&t+

' Wh) i&:!&t'#s sh'$" a:'i" "is%$'si&( i&*'#ati'& a2't i&:!&ti'&s &ti$ a /at!&ta//$i%ati'& has 2!!& *i$!"

' H' t' $i%!&s! *!"!#a$$)-"!:!$'/!" i&:!&ti'&s a&" (!&!#at! #')a$t) i&%'!

' Wa)s t' s! :a#i's a#3!ti&( a&" t!%h&'$'() t#a&s*!# t''$s

' H' t' "!si(& a a#3!ti&( /$a&

' Eas) a)s t' i"!&ti*) s!#s a&" a#3!ts *'# )'# t!%h&'$'()

!sti'&s a2't at!#ia$ %'&tai&!" i& th! ha&"2''3 a) 2! a""#!ss!" t' th! U.S. !'$'(i%a$

S#:!)G Bsi&!ss D!:!$'/!&t B#a&%hG 1,,;1 S&#is! Va$$!) D#i:!G 5;; Nati'&a$ C!&t!#G R!st'&GVA ,;19,G *a@< =7;0> 648-47;6.

B!th D** 7;0 648-46,1St!:! St#a"!# 7;0-648-465,

O# t' U.S. !'$'(i%a$ S#:!)G T!%h&'$'() T#a&s*!#G 1,,;1 S&#is! Va$$!) D#i:!G ,;1 Nati'&a$ C!&t!#G R!st'&G VA ,;19,G *a@< 7;0-648-7,19

N!i$ Ma#3 7;0-648-4044

Cha/t!# V '* this ha&"2''3 $ists 'th!# s'#%!s '* i&*'#ati'& a2't t!%h&'$'() t#a&s*!# i& th!!"!#a$ ':!#&!&t.

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$. H T"H&%8%G T!A&S"! $S $/9%!TA&T

1. Technology Transfer 'efinedT!%h&'$'() T#a&s*!# is a /#'%!ss th#'(h hi%h t!%h&i%a$ i&*'#ati'& a&" /#'"%ts "!:!$'/!" 2)th! !"!#a$ ':!#&!&t a#! /#':i"!" t' /'t!&tia$ s!#s i& a a&&!# that !&%'#a(!s a&"a%%!$!#at!s th!i# !:a$ati'& a&"?'# s!. M'#! tha& !#!$) "iss!i&ati&( i&*'#ati'&G t!%h&'$'()t#a&s*!# t!%h&i!s *!at#! a#3!ti&( '* *!"!#a$$) "!:!$'/!" t!%h&'$'() a&" /#'"%ts as !$$ as"!'&st#ati&( th! s! '* th!s! &! t!%h&'$'(i!s h!& &!%!ssa#). Ma#3!ti&( t''$s a) i&%$"!*a%t sh!!ts a&" s/!%ia$ /2$i%ati'&sG a(ai&! a#ti%$!sG s!i&a#sG '#3sh'/sG !@hi2itsG"!'&st#ati'&s '* &! *!"!#a$$) "!:!$'/!" /#'"%tsG :i"!'ta/!sG a&" a#3!t s#:!)s. Oth!#t!%h&'$'() t#a&s*!# t''$s a#! ai!" at /#':i"i&( i&%!&ti:!s t' /'t!&tia$ s!#s a&" %'!#%ia$i!#s'* th! t!%h&'$'() a&" i&%$"! C''/!#ati:! R!s!a#%h a&" D!:!$'/!&t A(#!!!&ts =CRADAs>a&" !@%$si:! /at!&t $i%!&s!s. T!%h&'$'() t#a&s*!# a%ti:iti!s i&%$"! th! /#'a%ti:! i"!&ti*i%ati'& '* !"!#a$ #!s!a#%h "!:!$'/!&ts '# t!%h&'$'(i!s ith a hi(h /'t!&tia$ *'# %'!#%ia$iati'&J th!i"!&ti*i%ati'& '* a#3!t s!(!&ts a&" s!# (#'/sJ a)s t' a":!#tis! a&" hi(h$i(ht th!s! /#'"%tsJa&" assista&%! i& %'!#%ia$ii&( !"!#a$ "!:!$'/!&ts. Cha/t!# III '* this ha&"2''3 /#':i"!s'#! i&*'#ati'& a2't T!%h&'$'() T#a&s*!# T''$s a&" Ma#3!ti&( i& th! !"!#a$ ':!#&!&t.

2. 9ur)ose of Technology TransferTh! ai& /#/'s! '* t!%h&'$'() t#a&s*!# is t' ai" th! U.S. !%'&') 2) a3i&( U.S. /#'"%ts'#! %'/!titi:! i& '#$" a#3!ts. Th! %'&%!/t '* t!%h&'$'() t#a&s*!# *#' !"!#a$ $a2'#at'#i!sis t' (!t th! i"!asG i&:!&ti'&s a&" t!%h&'$'(i!s "!:!$'/!" ith ta@ "'$$a#s i&t' th! ha&"s '* th! /#i:at! s!%t'# as i%3$) as /'ssi2$! i& a *'# s!*$ t' that %'&it). Th! i"!a is t' (!t th! /#i:at! s!%t'# i&:'$:!" i& th! "!:!$'/!&t '* !"!#a$ t!%h&'$'() a&" t!%h&'$'() /#'"%ts at a&!a#$) sta(! s' that th! !&" #!s$t is a s!*$ &! U.S. /#'"%t '# s!#:i%! '**!#!" '& '#$"a#3!ts. I& 'th!# '#"sG $!t s s! th! t!%h&'$'() 2!i&( /ai" *'# 2) ta@/a)!#s t' 2!&!*it th! Nati'& 2) st#!&(th!&i&( th! U.S. !%'&') th#'(h 2!tt!# /#'"%ts a&" s!#:i%!s '**!#!" t' '#$"a#3!ts.

3. enefitsTh!#! a#! a $tit"! '* 2!&!*its t' a$$ /$a)!#s i& th! t!%h&'$'() t#a&s*!# a#!&a. U.S. i&"st#) 2!&!*its ith &! a&" 2!tt!# /#'"%tsG /#'%!ss!sG a&" s!#:i%!s that $!a" t' i&%#!as!" !**i%i!&%) a&"!**!%ti:!&!ssG (#!at!# a#3!t sha#! a&" i&%#!as!" /#'*its. B) 2!&!*iti&( U.S. i&"st#i!sG th! U.S.!%'&') is st#!&(th!&!" hi%hG i& t#&G 2!&!*its a$$ %iti!&s. !"!#a$ $a2'#at'#i!s 2!&!*it 2) 2!%'i&( '#! #!s/'&si:! t' th! &!!"s '* th! %'&stit!&ts that th!) s!#:!G "!'&st#ati&( th!i#:ia2i$it) a&" '#th t' th! !"!#a$ s!%t'#G a&" (!&!#ati&( &'&-a//#'/#iat!" *&"s t' ai" th! i& /!#*'#i&( th!i# i/'#ta&t #!s!a#%h a&" "!:!$'/!&t issi'&s. I&"i:i"a$ !"!#a$ !/$')!!s %a& 2!&!*it 2) !a#&i&( #!a#"s a2':! a&" 2!)'&" th!i# #!($a# sa$a#) th#'(h /at!&tsG $i%!&s!sG a&"'th!# t!%h&'$'() t#a&s*!# aa#"s. Th!) a$s' %a& 2!&!*it i&t!$$!%ta$$) a&" /#'*!ssi'&a$$) th#'(h'#3i&( %'$$a2'#ati:!$) ith th!i# /!!#s i& th! i&"st#ia$ s!%t'#.

4. $+)ortanceAs %a& 2! s!!& *#' th! /#/'s! a&" 2!&!*itsG t!%h&'$'() t#a&s*!# is i/'#ta&t *'# s!:!#a$ #!as'&si&%$"i&( th! *'$$'i&(<

' It !&%'#a(!s s! '* t!%h&'$'() "!:!$'/!" si&( ta@/a)!# "'$$a#s t' 2!&!*its'%i!t).



' It "!'&st#at!s #!s!a#%h /#'(#a #!$!:a&%) a&" :a$!.

' It /!#its !"!#a$ #!s!a#%h!#s t' /a#t&!# ith th! /#i:at! s!%t'#G $!:!#a(!#!s'#%!sG a&" sha#! i"!as i& a /#'t!%t!" !&:i#'&!&t.

' It (i:!s i&%#!as!" :isi2i$it) t' #!s!a#%h!#s a&" !&a2$!s th! t' (!&!#at! a&" !a#&#')a$t) i&%'!.



$$. TH" "'"!A8 "&#$!%&/"&T

1. HistoryO:!# th! )!a#sG ':!#&!&ts #!%'(&iti'& '* th! &!!" *'# !@/a&"i&( t!%h&'$'() t#a&s*!# !**'#ts t'!&s#! th! i"!st /'ssi2$! s! '* its t!%h&'$'(i%a$ a%hi!:!!&ts has 2!!& s!!& i& a &2!# '*$!(is$ati:! a%ti'&s i&%$"i&( th! !sta2$ish!&t '* th! Nati'&a$ S%i!&%! '&"ati'& i& 195;G th!D!*!&s! T!%h&i%a$ I&*'#ati'& C!&t!# i& 1951G a&" th! Nati'&a$ T!%h&i%a$ I&*'#ati'& S!#:i%! i&197;. B) 1968G it ha" 2!%'! %$!a# t' s'! !2!#s '* C'&(#!ss that th! !"!#a$ $a2'#at'#)s)st! %'$" 2! 2!tt!# ti$i!" i& s'$:i&( &ati'&a$ /#'2$!s. Th! I&t!#(':!#&!&ta$ C''/!#ati'&A%t '* 1968 !&%'#a(!" i&t!#a(!&%) %''/!#ati'& a&" ath'#i!" !"!#a$ a(!&%i!s t' /#':i"!s'! s!#:i%!s t' Stat! a&" $'%a$ (':!#&!&ts.

Si(&i*i%a&t !**'#ts t' ti$i! !"!#a$ $a2'#at'#i!s a&" th!i# t!%h&'$'(i!s t' h!$/ s'$:! (#'i&(s'%i!ta$ /#'2$!s a&" t' ai" U.S. i&"st#) 2!(a& i& th! !a#$) 197;s. R!s'#%! a&" !&:i#'&!&ta$ /#'2$!s !#! 2!%'i&( '#s! a&" th!#! as a /!#%!/ti'& that U.S. i&"st#) ha" $'st its%'/!titi:! !"(! i& '#$" a#3!ts. W! !#! &' $'&(!# /!#%!i:!" as th! $!a"i&( &ati'& i& th!"!:!$'/!&t '* &! t!%h&'$'(i!s a&" t!%h&'$'(i%a$ /#'"%ts. Th! !"!#a$ C'&%i$ *'# S%i!&%!

a&" T!%h&'$'() =CST> iss!" a /'$i%) !&tit$!"G '$i%) *'# E@/a&"!" I&t!#a(!&%) C''/!#ati'&i& Us! '* !"!#a$ a2'#at'#i!sGF hi%h as a//#':!" i& a&a#) 197,. It stat!" that i&t!#a(!&%)#!$ati'&shi/s sh'$" 2!<

C'&sist!&t ith th! !@isti&( $as a&" ith !sta2$ish!" #!$ati'&shi/s ith /#i:at! i&"st#)G&i:!#siti!sG a&" &'&-/#'*it i&stitti'&s. It is th! /'$i%) '* th! E@!%ti:! B#a&%h that!@isti&( RD %a/a2i$iti!s i& !"!#a$ !sta2$ish!&ts 2! ti$i!" !**!%ti:!$) t' "!*i&! a&"s'$:! "!%isi'&s #!$ati&( t' s'! '* th! #(!&t &ati'&a$ %i:i$ia& &!!"sG !.(.G !&:i#'&!&tG /'$$ti'&G t#a&s/'#tati'&G h!a$thG h'si&(G %'&i%ati'&sG a(#i%$t#! a&" *'#!st#!s'#%!sG at!# a&" $a&" #!s'#%!sG a&" !&!#().F

Oth!# a%ti:iti!s "#i&( th!s! )!a#s i&%$"!" th! issa&%! '* a !&!#a$ A%%'&ti&( O**i%! =AO>#!/'#t st#!ssi&( th! &!!" t' s! "!*!&s! t!%h&'$'() t' !!t %i:i$ia& &!!"sG a (#a&t /#'(#as/'&s'#!" 2) th! Nati'&a$ S%i!&%! '&"ati'& =NS> a&" NASA t' t#a&s*!# a!#'s/a%! t!%h&'$'()t' &i%i/a$ (':!#&!&tsG a&" th! !sta2$ish!&t '* th! R!s!a#%h R!$at!" t' Nati'&a$ N!!"s /#'(#a ithi& NS.

A D!/a#t!&t '* D!*!&s! C'&s'#ti *'# t!%h&'$'() t#a&s*!# !:'$:!" i&t' th! !"!#a$ a2'#at'#)C'&s'#ti =C> i& 1975 ith th! a""iti'& '* !2!#s *#' &'&-"!*!&s! !"!#a$ $a2'#at'#i!s.Th! C as &'t '**i%ia$$) #!%'(&i!" a&" *&"!" 2) C'&(#!ss &ti$ 1986 ith th! /assa(! '* th!T!%h&'$'() T#a&s*!# A%t. Y!t 2!t!!& 1975 a&" 1986G th! '#(a&iati'& (#! a&" 2!%a! th!a":'%at! *'# a&" /#''t!# '* t!%h&'$'() t#a&s*!# th#'(h't th! !"!#a$ $a2'#at'#) s)st!.

Th#'(h't th!s! !a#$i!# )!a#s a&" i&t' th! /#!s!&tG th! !"!#a$ $a2'#at'#i!s %'&ti&! t' )i!$" at#!!&"'s a'&t '* :a$a2$! i&*'#ati'&G &! t!%h&'$'()G a&" s!*$ /#'"%ts. A 1985 #!/'#t 2) th! Nati'&a$ S%i!&%! '&"ati'& a&" th! I&"st#ia$ R!s!a#%h I&stitt! &'t!" that th! !"!#a$

':!#&!&t !/$')s a2't '&!-si@th '* a$$ s%i!&tists i& th! U&it!" Stat!s a&" s//'#ts a2't '&!-thi#" '* U.S. i&"st#ia$ #!s!a#%h a&" "!:!$'/!&t. A sa$$ /!#%!&ta(! '* th! ':!#&!&ts



!@/!&"it#! is s/!&t '& 2asi% #!s!a#%h ith't s/!%i*i% %'!#%ia$ '2L!%ti:!s. Th! aL'#it)Gh'!:!#G is a$$'%at!" t' a//$i!" #!s!a#%h a&" th! "!:!$'/!&t '* /#'"%t /#'t't)/!s a&" /#'%!ss!s #!$ati&( t' !@isti&( '# /'t!&tia$ 2si&!ss a#3!ts. Th!s! !**'#ts #!s$t i& a&) &!Gsa2$! t!%h&'$'(i!s that a) ha:! "i#!%t %'!#%ia$ a//$i%ati'&.

I& 198;G th! U.S. C'&(#!ss *'#a$$) #!%'(&i!" th! :a$! '* th!s! t!%h&'$'(i!s a&" th!':!#&!&ts #!s/'&si2i$it) t' th! Nati'&s ta@/a)!#s t' a3! this !a$th '* s%i!&ti*i% i&*'#ati'&a&" /#'"%ts '#! #!a"i$) a:ai$a2$!. It /ass!" th! i$!st'&! $!(is$ati'& *'# t!%h&'$'() t#a&s*!#Gth! St!:!&s'&-W)"$!# A%t =2$i% a 96-48;>. This as th! /i'&!!# $!(is$ati'& i& /#''ti&(t!%h&'$'() t#a&s*!# *#' th! !"!#a$ $a2'#at'#i!s t' th! /#i:at! s!%t'#. This $a #!%'(&i!" th!&!!" *'# !&ha&%!" i&*'#ati'& "iss!i&ati'& *#' th! !"!#a$ ':!#&!&t i&t' /#i:at! i&"st#).It a$s' #!i#!" !"!#a$ $a2'#at'#i!s t' ta3! '#! a%ti:! #'$!s i& t!%h&i%a$ %''/!#ati'& ith /'t!&tia$ s!#s '* *!"!#a$$) "!:!$'/!" t!%h&'$'(). With this A%tG t!%h&'$'() t#a&s*!# 2!%a! aa&"at! *'# !"!#a$ $a2'#at'#i!s.

Si&%! 198;G th! '#i(i&a$ A%t has 2!!& a(!&t!" a&" a!&"!" t' #!':! #!st#i%ti'&s a&" 2''stth! t#a&s*!# '* *!"!#a$$) "!:!$'/!" t!%h&'$'() i&t' th! /#i:at! s!%t'#. Th! t'ta$ $a *'#s

Cha/t!# 60G U&it!" Stat!s C'"!G Tit$! 15G s!%ti'&s 07;1-0715G '# t!%h&'$'() i&&':ati'& $a.

O&! '* th! 'st si(&i*i%a&t a!&"!&ts as th! T!%h&'$'() T#a&s*!# A%t '* 1986. This A%t%#!at!" C''/!#ati:! R!s!a#%h a&" D!:!$'/!&t A(#!!!&ts =CRADAs>G '**i%ia$$) #!%'(&i!" th!!"!#a$ a2'#at'#) C'&s'#tiG !sta2$ish!" #')a$t) sha#i&( ith !"!#a$ i&:!&t'#sG a&"!sta2$ish!" a&) 'th!# i/'#ta&t /#!%!"!&ts. This is th! A%t that i&stitt!" a&" /#''t!" th!%'$$a2'#ati:! /a#t&!#shi/s that ! &' ha:! ith i&"st#).

A sa#) '* th! %'&t!&ts '* th! 198; A%tG its a!&"!&tsG a&" 'th!# #!$at!" statt!s *'$$'.

Stevenson:ydler Technology $nnovation Act 1;<0 =9ublic 8a5 ;6:4<0>

- '%s!" '& "iss!i&ati'& '* i&*'#ati'&.

- R!i#!" !"!#a$ $a2'#at'#i!s t' ta3! a& a%ti:! #'$! i& t!%h&i%a$ %''/!#ati'&

- Esta2$ish!" O**i%!s '* R!s!a#%h a&" T!%h&'$'() A//$i%ati'& =ORTA> at aL'# !"!#a$$a2'#at'#i!s. At a&) $a2'#at'#i!s a&" a(!&%i!sG th!s! a#! si/$) %a$$!" t!%h&'$'()t#a&s*!# '**i%!s.

- Esta2$ish!" th! C!&t!# *'# th! Uti$iati'& '* !"!#a$ T!%h&'$'() =i& th! Nati'&a$T!%h&i%a$ I&*'#ati'& S!#:i%!>

ayh:'ole Act of 1;<0 =9ublic 8a5 ;6:,17>

- !#itt!" &i:!#siti!sG &'&-/#'*it '#(a&iati'&sG a&" sa$$ 2si&!ss!s t' '2tai& tit$! t'i&:!&ti'&s "!:!$'/!" ith (':!#&!&ta$ s//'#t.



- A$$'!" ':!#&!&t-'&!"G ':!#&!&t-'/!#at!" =OO> $a2'#at'#i!s t' (#a&t!@%$si:! $i%!&s!s t' /at!&ts.

Trade+ark larification Act of 1;<4 =9ublic 8a5 ;<:620>

- #ia#i$) /!#tai&s t' &'&-D!/a#t!&t '* th! I&t!#i'# $a2'#at'#i!sG s%h as D!/a#t!&t '*E&!#() Nati'&a$ $a2'#at'#i!s =a&) '* hi%h a#! ':!#&!&t-'&!"G C'&t#a%t'#-'/!#at!"-OCOs>.

- !#itt!" "!%isi'&s t' 2! a"! at th! $a2'#at'#) $!:!$ i& ':!#&!&t-'&!"GC'&t#a%t'#-'/!#at!" =OCO> $a2'#at'#i!s #!(a#"i&( th! aa#"i&( '* $i%!&s!s *'# /at!&ts.

- !#itt!" %'&t#a%t'#s t' #!%!i:! /at!&t #')a$ti!s *'# s! i& RDG aa#"sG '# *'#!"%ati'&

- !#itt!" /#i:at! %'/a&i!sG #!(a#"$!ss '* si!G t' '2tai& !@%$si:! $i%!&s!s.

- !#itt!" $a2'#at'#i!s #& 2) &i:!#siti!s a&" &'&-/#'*it i&stitti'&s t' #!tai& tit$! t'i&:!&ti'&s ithi& $iitati'&s.

ederal Technology Transfer Act =1;<6>

- Ma"! t!%h&'$'() t#a&s*!# a #!s/'&si2i$it) '* a$$ !"!#a$ $a2'#at'#) s%i!&tists a&"!&(i&!!#s.

- Ma&"at!" that t!%h&'$'() t#a&s*!# #!s/'&si2i$it) 2! %'&si"!#!" i& !"!#a$ $a2'#at'#)!/$')!! /!#*'#a&%! !:a$ati'&s.

- D!*i&!" a &! 3i&" '* %'$$a2'#ati:! a(#!!!&t t' !&%'#a(! !"!#a$ $a2'#at'#) a&" /#i:at! s!%t'# /a#t&!#shi/s< th! C''/!#ati:! R!s!a#%h a&" D!:!$'/!&t A(#!!!&t=CRADA>.

- Esta2$ish!" #')a$t) sha#i&( *'# !"!#a$ i&:!&t'#s =15 i&i> a&" s!t / a #!a#"s)st! *'# 'th!# i&&':at'#s.

- Cha#t!#!" th! !"!#a$ a2'#at'#) C'&s'#ti *'# T!%h&'$'() T#a&s*!# =C>.

- #':i"!" s/!%i*i% #!i#!!&tsG i&%!&ti:!s a&" ath'#iti!s *'# th! !"!#a$$a2'#at'#i!s.

- E/'!#!" !a%h a(!&%) t' (i:! th! "i#!%t'# '* OO $a2'#at'#i!s ath'#it) t' !&t!#i&t' %''/!#ati:! RD a(#!!!&ts =CRADAs> a&" &!('tiat! $i%!&si&( a(#!!!&ts ithst#!a$i&!" h!a"a#t!#s #!:i!.

- A$$'!" $a2'#at'#i!s t' a3! a":a&%! a(#!!!&ts ith $a#(! a&" sa$$ %'/a&i!s '&tit$! a&" $i%!&s! t' i&:!&ti'&s #!s$ti&( *#' C''/!#ati:! RD A(#!!!&ts =CRADAs>ith (':!#&!&t $a2'#at'#i!s.



- A$$'!" "i#!%t'#s '* OO $a2'#at'#i!s t' &!('tiat! $i%!&si&( a(#!!!&ts *'# i&:!&ti'&sa"! at th!i# $a2'#at'#i!s.

- #':i"!" *'# th! !@%ha&(! '* OO $a2'#at'#) /!#s'&&!$G s!#:i%!sG a&" !i/!&t ith#!s!a#%h /a#t&!#s.

- Ma"! it /'ssi2$! t' (#a&t a&" ai:! #i(hts t' OO $a2'#at'#) i&:!&ti'&s a&"i&t!$$!%ta$ /#'/!#t).

"*ecutive %rders 12,;1 and 1261< =1;<7>? acilitating Access to Science and Technology

- #''t!" th! %'!#%ia$iati'& '* !"!#a$ s%i!&%! a&" t!%h&'$'().

%+nibus Trade and o+)etitiveness Act of 1;<< =9ublic 8a5 100:41<>

- $a%!" !/hasis '& th! &!!" *'# /2$i%?/#i:at! %''/!#ati'& t' ass#i&( *$$ s! '* #!s$ts

'* #!s!a#%h.

- Esta2$ish!" %!&t!#s *'# t#a&s*!##i&( a&*a%t#i&( t!%h&'$'().

- Esta2$ish!" I&"st#ia$ E@t!&si'& S!#:i%!s ithi& stat!s a&" a& i&*'#ati'& %$!a#i&(h's!'& s%%!ss*$ stat! a&" $'%a$ t!%h&'$'() /#'(#as.

- Cha&(!" th! &a! '* th! Nati'&a$ B#!a '* Sta&"a#"s t' th! Nati'&a$ I&stitt! '*Sta&"a#"s a&" T!%h&'$'() a&" 2#'a"!&!" its t!%h&'$'() t#a&s*!# #'$!.

- E@t!&"!" #')a$t) /a)!&t #!i#!!&ts t' &'&-(':!#&!&t !/$')!!s '* !"!#a$

$a2'#at'#i!s.

- Ath'#i!" T#ai&i&( T!%h&'$'() T#a&s*!# %!&t!#s a"i&ist!#!" 2) th! D!/a#t!&t '*E"%ati'&.

&ational o+)etitiveness Technology Transfer Act 1;<; =9ublic 8a5 101:1<;> =i&%$"!" asS!%ti'& 0101 !t s!. '* D!/a#t!&t '* D!*!&s! =DOD> Ath'#iati'& A%t *'# Y 199;>

- #a&t!" OCO $a2'#at'#i!s '//'#t&iti!s t' !&t!# i&t' CRADAs a&" 'th!#a%ti:iti!s ith &i:!#siti!s a&" /#i:at! i&"st#)G i& !ss!&tia$$) th! sa! a)s as hi(h$i(ht!"&"!# th! !"!#a$ T!%h&'$'() T#a&s*!# A%t '* 1986 *'# OOs.

- A$$'!" i&*'#ati'& a&" i&&':ati'&s 2#'(ht i&t'G a&" %#!at!" th#'(hG CRADAs t' 2! /#'t!%t!" *#' "is%$'s#!.

- #':i"!" a t!%h&'$'() t#a&s*!# issi'& *'# th! &%$!a# !a/'&s $a2'#at'#i!s.

A+erican Technology 9ree+inence Act 1;;1 =9ublic 8a5 102:24,>



- E@t!&"!" th! !"!#a$ a2'#at'#) C'&s'#ti =C> a&"at!G #!':!" C#!s/'&si2i$it) *'# %'&"%ti&( a (#a&t /#'(#aG a&" #!i#!" th! i&%$si'& '* th! #!s$ts '*a& i&"!/!&"!&t a&&a$ a"it i& th! C A&&a$ R!/'#t t' C'&(#!ss a&" th! #!si"!&t.

- I&%$"!" i&t!$$!%ta$ /#'/!#t) as a /'t!&tia$ %'&t#i2ti'& &"!# CRADAs

- R!i#!" th! S!%#!ta#) '* C'!#%! t' #!/'#t '& th! a":isa2i$it) '* ath'#ii&( a &!*'# '* CRADA that /!#its !"!#a$ %'&t#i2ti'&s '* *&"s.

- A$$'!" $a2'#at'#) "i#!%t'#s t' (i:! !@%!ss !i/!&t t' !"%ati'&a$ i&stitti'&s a&"&'&-/#'*it '#(a&iati'&s as a (i*t.

The &ational Technology Transfer and Advance+ent Act of 1;;6

- a#a&t!!s a C''/!#ati:! R!s!a#%h a&" D!:!$'/!&t A(#!!!&t =CRADA> i&"st#ia$ /a#t&!# th! '/ti'& t' %h''s! a& !@%$si:! $i%!&s! t' th! #!s$ti&( i&:!&ti'& i& a *i!$"-'*-s!.

- C$a#i*i!s that a(!&%i!s a) s! #')a$ti!s t' hi#! t!/'#a#) /!#s'&&!$ t' assist i& CRADA'# #!$at!" /#'L!%ts.

- i:!s *i#st ,G;;; '* #')a$t) i&%'! t' th! i&:!&t'#s a&" i&%#!as!s a& i&:!&t'#sa@i #')a$t) aa#" t' 15;G;;; /!# )!a#.

- A$$'s $a2'#at'#i!s t' s! #')a$ti!s *'# #!$at!" #!s!a#%h i& th! $a2'#at'#).

- R!*i&!s th! $as %'&%!#&i&( !@%!ss s%i!&ti*i% !i/!&t

2. USGS 9olicy for Technology TransferTh! U.S. !'$'(i%a$ S#:!) =USS> has "!*i&!" a *$!@i2$! /'$i%) *'# its t!%h&'$'() t#a&s*!# /#'(#as. This /'$i%)G !@/#!ss!" i& th! St#at!(i% $a&1G is ai!" at<

' i/#':i&( USS #!$ati'&shi/s ith /a#t&!#s i& 2'th th! /2$i% a&" /#i:at!s!%t'#sJ

' "!:!$'/i&( &!t'#3s a&" !@/a&"i&( /a#t&!#shi/s t' /#''t! %'$$a2'#ati'& 2!t!!& th!USSG /#i:at! %'/a&i!s a&" &'&/#'*it '#(a&iati'&sG i&%$"i&( &i:!#siti!sJ

' t#a&s*!##i&( t!%h&'$'(i!s 2) t!a%hi&( a&" t#ai&i&( USS !/$')!!sG /a#t&!#sG a&" th! /2$i%J

' %#!ati&( '//'#t&iti!s t' t#a&s*!# a&" a#3!t USS-"!:!$'/!" t!%h&'$'(i!s i&%$"i&( /#''ti&( th! /2$i% a:ai$a2i$it) a&" %'!#%ia$iati'& '* USS i&:!&ti'&sJ

T' i/$!!&t this /'$i%)G th! USS /#''t!s th! %'!#%ia$iati'& '* !/$')!! i&:!&ti'&sth#'(h /at!&ts a&" $i%!&si&( a&" th! "!:!$'/!&t '* %'$$a2'#ati:! /a#t&!#shi/s ith th! /#i:at!



s!%t'# th#'(h C''/!#ati:! R!s!a#%h a&" D!:!$'/!&t A(#!!!&ts =CRADAs>. Cha/t!# IIIGs!%ti'&s 4G 5G a&" 6G '* this ha&"2''3G !@/$'#!s 2'th '* th!s! t!%h&'$'() t#a&s*!# t''$s i& '#!"!tai$.

1 St#at!(i% $a& *'# th! U.S. !'$'(i%a$ S#:!)< 1996 t' ,;;5G /2$ish!" Ma) 1996.



$$$. H% T% '% $T

1. Ty)es of Tools

A. 9ro+otional ToolsS!:!#a$ t''$s '# !%ha&iss a#! s!" t' sh'%as! *!"!#a$$) "!:!$'/!" t!%h&'$'(i!s a&" !&ha&%!th! !**!%ti:! t#a&s*!# '* th!s! /#'"%ts t' %'!#%ia$ s!. A$$ '* th!s! t''$s a#! (!a#!" t'a#"a$!#ti&( th! (!&!#a$ /2$i% '# t!%h&i%a$ s!(!&ts '* s'%i!t) t' t!%h&'$'() t#a&s*!# '//'#t&iti!s.S'! s!*$ /#''ti'&a$ t''$s i&%$"!<

act sheets - i%3G si/$!G '&!-/a(! "!s%#i/ti'&s '* *!"!#a$$) "!:!$'/!" t!%h&'$'(i!sG /at!&t$i%!&si&( '//'#t&iti!sG a&" /'t!&tia$ /a#t&!#shi/s. Th!s! a) 2! a:ai$a2$! !$!%t#'&i%a$$) th#'(hth! I&t!#&!t a&" W'#$" Wi"! W!2G a&" a#! sita2$! *'# "ist#i2ti'& as /a/!# %'/i!s at !@hi2itsG%'&*!#!&%!sG a&" t#a"! sh'%as!s. Th!) a#! "!si(&!" t' sti$at! i&t!#!st a&" /#':i"! /'i&ts-'*-%'&ta%t *'# a""iti'&a$ i&*'#ati'&.

9ublications - ':!#&!&t #!s!a#%h a&" "!:!$'/!&t #!s$ts a#! *#!!&t$) /2$ish!" i& $!a#&!"

L'#&a$sG '/!& *i$! #!/'#ts a&" 'th!# t!%h&i%a$ !"ia. A#ti%$!s /2$ish!" i& &'&-!"!#a$ '# t#a"! /2$i%ati'&s '*t!&G 2t &'t a$a)sG i&%# a *!!.

':!#&!&t /2$i%ati'&s a#! &'#a$$) "ist#i2t!" 2) th! ath'#i&( a(!&%) as !$$ as th#'(h th!U.S. D!/a#t!&t '* C'!#%!s Nati'&a$ T!%h&i%a$ I&*'#ati'& S!#:i%! =NTIS>. #i:at!$)'&!"G %'/)#i(ht!" at!#ia$ sh'$" &'t 2! i&%$"!" i& /2$i%ati'&s ith't #itt!& /!#issi'&*#' th! %'/)#i(ht '&!#. A$$ a&s%#i/tsG h!& #!:i!!" ithi& th! Discipline /#i'# t' /2$i%ati'&G sh'$" 2! !@ai&!" *#' th! :i!/'i&t '* /#!:!&ti&( i&a":!#t!&t $'ss '* /at!&t #i(htsth#'(h /#!at#! "is%$'s#! '* /#'/#i!ta#) i&*'#ati'& as !$$ as *'# t!%h&i%a$ %'&t!&t a&" !#it.

#ideota)es - E@%!$$!&t !"ia *'# t#ai&i&( a//$i%ati'&s '# *'# "!'&st#ati&( a /#'"%t '# /#'%!ss

t' 2!tt!# "!s%#i2! #!s!a#%h "!:!$'/!&ts a&" att#a%t att!&ti'&. Vi"!'ta/!s a#! '*t!& s!" at!@hi2its a&" sh'%as!sJ i& th!s! a//$i%ati'&sG th! $!&(th '* :i"!'ta/!s sh'$" 2! 3!/t t' , i&t!s'# $!ss t' h'$" :i!!# att!&ti'&.

':!%/s - V!#sati$! a&" i&t!#a%ti:!G CDs a) '*t!& %'&tai& s!:!#a$ /2$i%ati'&sG "ata s!tsG(#a/hi%s a&"?'# /h't'(#a/hsG '# 2! s!" i& t#ai&i&( a//$i%ati'&s.

"*hibits - Stati% "is/$a)s h!$" at t#a"! sh's a&" %'&*!#!&%!s. E@hi2its a) #a&(! *#' sa$$ta2$!t'/ "is/$a)s #!i#i&( &' att!&"a&t t' $a#(! sh'%as!s !&%'/assi&( s!:!#a$ h&"#!" sa#!*!!t '* !@hi2iti'& s/a%! a&" #!i#i&( a $a#(! sta**. Th! /#/'s! '* a *!"!#a$$) s/'&s'#!" !@hi2it=*'# !@a/$!G i&*'#ati'& "iss!i&ati'&G a":!#tis!!&t '* /a#t&!#i&( '//'#t&iti!sG '# h!i(ht!&i&(aa#!&!ss '* &! t!%h&'$'()> sh'$" 2! %$!a#$) &"!#st''" 2!*'#! a& !@hi2it is /$a&&!".

/eetings - M!!ti&(sG hi%h %a& ta3! th! *'# '* s!i&a#sG '#3sh'/s a&" "!'&st#ati'&sG %a& 2! !**!%ti:! a)s t' "is%ss *!"!#a$$) "!:!$'/!" t!%h&'$'() a&" t!%h&'$'() t#a&s*!# '//'#t&iti!sith ta#(!t!" s!#s. M!!ti&(s !&%'#a(! t'-a) i&t!#a%ti'&. !"!#a$ s%i!&tists %a& '*t!& !!tith /'t!&tia$ s!#s '* th!i# t!%h&'$'() a&" sha#! i"!as '# '2tai& *!!"2a%3. W'#3sh'/s a#!"!si(&!" t' t#ai& /'t!&tia$ %'!#%ia$i!#s i& th! s! '* th! t!%h&'$'(). D!'&st#ati'&sG

16



s'!ti!s %'&"%t!" at *i!$"-t!sti&( $'%ati'&sG sh' th! t!%h&'$'() i& '/!#ati'&.

$nternet +arketing - Hi(h$i(hti&( t!%h&'$'() t#a&s*!# '//'#t&iti!s th#'(h B#!a H'! /a(!s '& th! I&t!#&!t a&" W'#$" Wi"! W!2 %a& 2! !**!%ti:! i& i&%#!asi&( :isi2i$it). Th!s! %a& a$s'sti$at! th! i&t!#!st '* /'t!&tia$ %st'!#s a&" /a#t&!#s i& DOI t!%h&'$'().

Advertising - !"!#a$ a(!&%i!s %a& /$a%! a":!#tis!!&ts i& a&) a(ai&!sG &!s/a/!#sG a&" 'th!# s'#%!s t' hi(h$i(ht t!%h&'$'() t#a&s*!# '//'#t&iti!s. !!s a#! sa$$) #!i#!". It is %''& /#a%ti%! *'# a(!&%i!s t' /$a%! a"s i& th! !"!#a$ R!(ist!# a&" C'!#%! Bsi&!ss Dai$) t' !&s#!*ai#&!ss-'*-'//'#t&it) *'# CRADAsG %'&t#a%ts '# /#'%#!!&t a%ti:iti!s. Ca#! sh'$" 2!!@!#%is!" h!& si&( th! C'!#%! Bsi&!ss Dai$) t' /#''t! t!%h&'$'() si&%! this %'$" 2!isi&t!#/#!t!" as a #!!st *'# a 2i" '# %'&t#a%t.

S!%ti'& 0 '* this %ha/t!# *#th!# !@/$'#!s th! s! '* th!s! t''$s i& th! %'&t!@t '* a#3!ti&(.

. 9roactive Technology Transfer ToolsR!%!&t C'&(#!ssi'&a$ $!(is$ati'& has 2''st!" th! s! '* s'! &i! a&" /#'a%ti:! t!%h&'$'()

t#a&s*!# t''$s. Th!s! i&%$"! C''/!#ati:! R!s!a#%h a&" D!:!$'/!&t A(#!!!&ts =CRADAs>a&" /at!&t $i%!&s!s. S!%ti'&s 4G 5G a&" 6 '* this %ha/t!# i$$ "!s%#i2! th!s! !%ha&iss i& "!tai$a&" (i:! a& ':!#:i! '* DOI /#'%!"#!s a&" /'$i%i!s. A sh'#t "!*i&iti'& '* th!s! a&" s'! 'th!# /#'a%ti:! t!%h&'$'() t#a&s*!# t''$s *'$$'s<

oo)erative !esearch and 'evelo)+ent Agree+ents =!A'As> - A CRADA is 2asi%a$$) a#itt!& a(#!!!&t 2!t!!& a /#i:at! s!%t'# '#(a&iati'& a&" a (':!#&!&t a(!&%) t' '#3t'(!th!# '& a /#'L!%t. Th! a(#!!!&t i&:'$:!s &' t#a&s*!# '* *&"s *#' th! ':!#&!&t a&" is&'t %'&si"!#!" a /#'%#!!&t a%ti'&. Th#'(h a CRADAG a$$ /a#ti!s a) a(#!! t' 3!!/ #!s!a#%h#!s$ts !!#(i&( *#' th! CRADA a%ti:it) %'&*i"!&tia$ t' th! !@t!&t /!#itt!" 2) th! $a =/ t' 5)!a#s> '# &ti$ th!) a#! /2$ish!" i& s%i!&ti*i% $it!#at#! '# /#!s!&t!" at a /2$i% *'#. Th!

/a#t&!#s %a& a(#!! t' sha#! /at!&t a&" i&t!$$!%ta$ /#'/!#t) #i(hts i& a&) a&&!# a(#!!a2$! t' 2'th /a#ti!s. Th! CRADA :!hi%$! a$s' !&a2$!s th! ':!#&!&t t' /#'t!%t th! /a#t&!#s t#a"! s!%#!tsa&" /#'/#i!ta#) "ata. C#it!#ia *'# !&t!#i&( i&t' a CRADA a#! %':!#!" ithi& Cha/t!# 5;;.,; '*th! S#:!) Ma&a$ =s!! A//!&"i@ B *'# /'i&t!#s t' th! S#:!) Ma&a$>.

9atents - !"!#a$ t!%h&'$'() t#a&s*!# /'$i%) a$$'s th! s! '* th! /at!&t s)st! a&" $i%!&si&( t' /#''t! th! s! '* i&:!&ti'&s a#isi&( *#' *!"!#a$$) s//'#t!" #!s!a#%h a&" "!:!$'/!&t.T'a#" this !&"G a /at!&t h!$/s /#'t!%t a a#3!t 2) (i:i&( th! '&!# th! #i(ht t' !@%$"! a&)'&!!$s! *#' a3i&(G si&(G '# s!$$i&( a& i&:!&ti'& *'# ,; )!a#s *#' th! "at! '* th! /at!&ta//$i%ati'&. at!&ts iss!" 2) th! U&it!" Stat!s at!&t a&" T#a"!a#3 O**i%! =USTO> a#! :a$i"th#'(h't th! U&it!" Stat!s. '#!i(& /at!&t /#'t!%ti'& is a$s' a:ai$a2$!. Th! U.S. D!/a#t!&t'* th! I&t!#i'# /'$i%) a&" /#'%!"#!s a#! s!t *'#th i& 450 DM1. Th! USS /'$i%) a&" /#'%!"#!is %':!#!" i& S#:!) Ma&a$ Cha/t!# 450.1 =s!! A//!&"i@ B *'# /'i&t!#s>.

9atent 8icenses - A $i%!&s! is a& a(#!!!&t 2!t!!& th! '&!# '* a /at!&t '# i&t!$$!%ta$ /#'/!#t) a&" a&'th!# /a#t) i&t!#!st!" i& si&( th! '&!" /#'/!#t) '# /#'t!%t!" i&:!&ti'&. I& th!!"!#a$ ':!#&!&tG $i%!&s!s a#! sa$$) (#a&t!" t' a /#i:at! s!%t'# /a#t&!# *'# th! #i(ht t' /#a%ti%!G a3! a&"?'# s!$$ a /at!&t!" i&:!&ti'&. i%!&s!s a) 2! (#a&t!" i& s/!%i*i% *i!$"s-'*-s!.

17



!"!#a$ ':!#&!&t $i%!&si&( /'$i%) #!i#!s that th! i&"st#) /a#t&!# st "!:!$'/ a&" !@!%t! a /$a& *'# %'!#%ia$ii&( th! i&:!&ti'&. Th! /a#t&!# st a$s' a(#!! that a&) /#'"%ts "!:!$'/!"th#'(h s! '* th! i&:!&ti'& i$$ 2! a&*a%t#!" s2sta&tia$$) i& th! U&it!" Stat!s. at!&ts'&!" 2) th! D!/a#t!&t '* th! I&t!#i'# a#! '**!#!" *'# $i%!&si&( th#'(h th! O**i%! '* th!S'$i%it'# '# th! B#!a h'$"i&( th! /at!&t.

/%As@/%Us - M!'#a&"s '* A(#!!!&t =MOA> a&" M!'#a&"s '* U&"!#sta&"i&(=MOU> a#! a(#!!!&ts 2!t!!& /a#ti!s i"!&ti*)i&( a&" "!*i&i&( /'t!&tia$ a#!as '* %''#"i&ati'&a&" %''/!#ati'&. Usa$$) th!) a#! !/$')!" 2!t!!& t' '# '#! !"!#a$ a(!&%i!s '# a !"!#a$a(!&%) a&" *'#!i(& (':!#&!&tG 2t th!) %a& 2! s!" 2!t!!& a&) t' /a#ti!s. USS /'$i%) '&'#3 *'# &'&-!"!#a$ a(!&%i!s is s!t *'#th i& S#:!) Ma&a$ Cha/t!# 5;;.,. '$i%) '& '#3 *'#'th!# !"!#a$ a(!&%i!s is %':!#!" i& S#:!) Ma&a$ Cha/t!# 5;;.0 =A//!&"i@ B>.

A - A 'i&t &"i&( A(#!!!&t =A> /!#its a DOI B#!a t' !&t!# i&t' %''/!#ati:! /#'(#as ithG a&" at th! #!!st '*G Stat!G $'%a$G '# #!(i'&a$ a(!&%i!sG A!#i%a& I&"ia&?A$as3a Nati:! (':!#&!&tsG '# 'th!# !&titi!s ha:i&( ta@i&( ath'#it) ='# /2$i% i&stitti'&s that a#!i&t!(#a$ /a#ts '* s%h !&titi!s>G !ith!# *'#a$$) '# i&*'#a$$)G h!&!:!# it is ta$$) a":a&ta(!'s

a&" *!asi2$!. Th!s! a(#!!!&ts #!i#! %'st sha#i&( 2) th! DOI B#!a a&" /a#t&!# '#(a&iati'&a&" %a&&'t 2! s!" ith /#i:at! %'/a&i!s. USS /'$i%) a&" /#'%!"#!s *'# As a#! s!t *'#thi& S#:!) Ma&a$ Cha/t!# 5;;.1 =A//!&"i@ B>.

!esearch ello5shi)s - A& i&"st#ia$ R!s!a#%h Ass'%iat! #'(#a has 2!!& !sta2$ish!" ithi& th!USS *'# th! /#/'s! '* /#''ti&( t!%h&'$'() t#a&s*!# 2!t!!& th! ':!#&!&t a&" th! /#i:at!s!%t'# %'&sist!&t ith th! issi'& '* th! USS. Th! /#'(#a !&a2$!s th! S#:!) t' a%%!/tR!s!a#%h Ass'%iat!s '& a t!/'#a#) 2asis i& '#"!# t' %'$$a2'#at! ith !"!#a$ s%i!&tists '&s/!%i*i% /#'L!%ts /#'/'s!" 2) th! Ass'%iat!s s/'&s'#i&( '#(a&iati'&. '$i%) a&" /#'%!"#!s *'#this /#'(#a a#! %':!#!" i& S#:!) Ma&a$ Cha/t!# 5;;.,1 =A//!&"i@ B>.

Th! Di#!%t'# '* th! USS is #!s/'&si2$! *'# *'#a$$) a%%!/ti&( s/'&s'#!" /#'/'sa$s i&t' th!I&"st#ia$ R!s!a#%h Ass'%iat! #'(#aG s2L!%t t' s/!%i*i!" t!#s a&" %'&"iti'&s. R!s!a#%hAss'%iat! #'(#as a) '&$) 2! !sta2$ish!" at (':!#&!&t *a%i$iti!s "!si(&at!" as !"!#a$$a2'#at'#i!s &"!# 15 U.S.C. 071;.

18



2. !elated 9rocedures

A$th'(h &'t as "i#!%t$) #!$at!" t' t!%h&'$'() t#a&s*!# as th! a*'#!!&ti'&!" t''$sG th! USS hast' a""iti'&a$ /#'%!"#!s *'# '#3i&( ithG a&" a%%!/ti&( *&"s *#'G th! /#i:at! s!%t'#. Th!s!t' a%%!/ta2$! /#'%!"#!sG a&" '&! unacceptable =Us!# a%i$iti!s> /#'%!"#!G a#! "is%ss!" 2!$'.

A. ontributions : Th! USS is a$$'!" t' a%%!/t $a&"sG 2i$"i&(sG !i/!&tG '# 'th!#%'&t#i2ti'&s *#' /2$i% '# /#i:at! s'#%!s 2) 40 USC 06C. It is USS /'$i%) t' a%%!/t '&$)%'&t#i2ti'&s that s//'#t s%i!&ti*i% #!s!a#%hG t!%h&'$'(i%a$ "!:!$'/!&tG a&" "ata s)st!s /!#tai&i&( th!#!t'. USS i$$ &'t a%%!/t %'&t#i2ti'&s '* !"!#a$ I&*'#ati'& #'%!ssi&( =I>#!s'#%!s s/!%i*i%a$$) /#'hi2it!" 2) 076 DM 4.4. USS S#:!) Ma&a$ Cha/t!# 5;;.19 is a'#! %'/#!h!&si:! stat!!&t '* USS /'$i%) a&" /#'%!"#!s *'# a%%!/ti&( %'&t#i2ti'&s=A//!&"i@ B>.

. ork:for:%thers : Th! USS has !sta2$ish!" th! *'$$'i&( sta&"a#"s *'# %'&"%ti&( '#3-*'#-'th!#sF<

1> Th! s!#:i%! 2!i&( '**!#!" is &'t #!a"i$) a:ai$a2$!F 'tsi"! th! USS.

,> Th!#! is &' %'&*$i%t '* i&t!#!st '# a//a#!&t %'&*$i%t '* i&t!#!st *'# th! USS '# its !/$')!!s /!#*'#i&( th! s!#:i%!.

0> Th! s!#:i%! #!&"!#!" /#''t!s th! '2L!%ti:!s '* th! USS.F

4> E:!& th'(h th! ai& 2!&!*it is t' th! /#i:at! /a#t) #!!sti&( th! s!#:i%!G th!#! is a s!%'&"a#) 2!&!*it t' th! USS i& /#':i"i&( th! s!#:i%!. Th! USS has a& i&t!#!st i& !&s#i&( that "ataGt!%h&'$'(i!sG a//#aisa$sG a&"?'# !:a$ati'&sG a"! 2) th! /#i:at! s!%t'# i& Dis%i/$i&!s #!$at!" t'

th! USS issi'&G a#! a%%#at! =*'# !@a/$!< /#'/!#$) %a$i2#at!" a!#ia$ %a!#as a&" %##!&t!t!#s>.

5> A$$ "ata a&" i&*'#ati'& /#'"%!" as a /#'"%t '* '#3-*'#-'th!#sF sha$$ 2! a:ai$a2$! t' th! /2$i%.

6> I& (!&!#a$G %'sts ass'%iat!" ith %'&"%ti&( '#3-*'#-'th!#sF sh'$" 2! *$$) #!%':!#!" as#!i#!" 2) 01 USC 97;1 a&" th! USS #i%i&( '$i%). As "is%ss!" i& 01 USC 97;1G th!%ha#(!s st 2!<

a> ai#J a&"

2> Bas!" /'&<

1> C'sts t' (':!#&!&tG,> Va$! '* s!#:i%! '# thi&( t' th! #!%i/i!&tG0> 2$i% /'$i%) '# i&t!#!st s!#:!"G a&"4> Oth!# #!$!:a&t *a%ts.

19



'i&t!#s t' 01 USC 97;1 a&" th! USS #i%i&( '$i%) a#! i&%$"!" i& A//!&"i@ B.

Th!#! a#! t' "isti&%t 3i&"s '* a%ti:iti!s i&:'$:!" i& '#3-*'#-'th!#s<

1> Sta&"a#"G #!/!titi:! a%ti:it)G !.(.G i&st#!&t %a$i2#ati'& '# sa/$! a&a$)s!sG a&"

,> U&i!G %'/$!@G "!tai$!" a%ti:iti!sG !.(.G /!#*'#i&( a& !@/!#i!&t '# 'th!# 3i&"s '* #!s!a#%h.

T)/! 1 a%ti:iti!s #!i#! a /#!-!sta2$ish!" /#i%! $ist *'# th! s!#:i%!s '**!#!". That $ist is /#'i&!&t$) "is/$a)!" i& th! a#!a h!#! s!#s %'! *'# th! s!#:i%!s '# is a"! #!a"i$) a:ai$a2$! asa ha&"'t.

T)/! , a%ti:iti!s i&:'$:! a #itt!& %'&t#a%t 2!t!!& th! USS =%'&t#a%t!!> a&" th! /a#t)#!%!i:i&( th! s!#:i%! =%'&t#a%t'#>. Th! *'$$'i&( a#! th! /'$i%) (i"!$i&!s t' 2! %'&si"!#!" 2!*'#! !&t!#i&( i&t' a&) %'&t#a%ta$ a##a&(!!&t h!#! th! USS is th! %'&t#a%t!! /#':i"i&(s!#:i%!s i& a '#3-*'#-'th!#s a##a&(!!&t.

A %'&t#a%t is s!" h!& a /#i:at! s'#%! /#':i"!s *&"s t' th! USSG 2t a&ts s'! ass#a&%!'& h' th! '&!) i$$ 2! s/!&t. Th!#! sh'$" 2! $itt$! "i**!#!&%! 2!t!!& #!s!a#%h t' 2! "'&! 2)USS &"!# a %'&t#a%t a&" '#3 that is s//'#t!" 2) '&!) (i:!& t' USS as a %'&t#i2ti'&.H'!:!#G a %'&t#a%t %a& s/!%i*) a /a#ti%$a# a#!a '* #!s!a#%h t' 2! "'&!G a ti! *#a! *'# th!'#3G a&" #!/'#ti&( #!i#!!&ts.

I& a""iti'& t' th! sta&"a#"s that st 2! !t h!& %'&si"!#i&( '#3-*'#-'th!#sG th! *'$$'i&(%'&"iti'&s st 2! %'&si"!#!" /#i'# t' !&t!#i&( a&) %'&t#a%ta$ a##a&(!!&t<

' A %'&t#a%t t' "' '#3 sh'$" 2! a%%!/t!" '&$) i* th! '#3 t' 2! "'&! is %'/ati2$! ith th!

USS issi'&G a&" !@/!%t!" t' ai" USS /#'(#as.

' Th! %'&t#a%t i$$ i& &' a) a":!#s!$) a**!%t th! s%i!&ti*i% i&t!(#it) '* th! USS.

' Th! '#3 /!#*'#!" &"!# th! %'&t#a%t i$$ &'t 2! i& %'&*$i%t ith th! USS O#(a&i% A%t '#'th!# a//$i%a2$! $as.

' Th! %'&t#a%t sha$$ &'t 2! #itt!& t' si(&i*i%a&t$) a":a&ta(! '# "isa":a&ta(! a&) /#i:at! '# /2$i%(#'/. A$th'(h th! #!s$ts *#' th! '#3 /!#*'#!" &"!# th! %'&t#a%t a) !&" / !a3!&i&('# st#!&(th!&i&( th! s//'#t *'# a /a#ti%$a# /#'"%t '# /'i&t '* :i!G th! 't%'! '* th! st")i$$ &'t 2! i&*$!&%!" 2) th! s'#%! '* *&"i&( a&" #!s$ts i$$ 2! s%i!&ti*i%a$$) &2ias!".

' A$$ i&*'#ati'& '2tai&!" &"!# th! %'&t#a%t i$$ 2! a:ai$a2$! i& th! /2$i% "'ai&. #'(#!ss#!/'#ts t' th! *&"i&( !&tit) i$$ 2! i& th! *'# '* a USS !'#a&" '# '/!&-*i$! #!/'#t '#'th!# /2$i%ati'& *'#at that has 2!!& USS-a//#':!". Th! *i&a$ #!/'#t i$$ 2! /2$ish!"G /#!*!#a2$) i& a /!!#-#!:i!!" L'#&a$ '# i& a i"!$) "iss!i&at!" USS /2$i%ati'&.

' Th! USS i$$ #!tai& th! *#!!"' t' "!%i"! h' th! '#3 s/!%i*i!" 2) th! %'&t#a%t i$$ 2!

20



"'&! a&" h!#! th! #!s$ts *#' th! '#3 i$$ 2! /2$ish!".

' Ea%h %'&t#a%t i$$ 2! %'&si"!#!" '& a %as!-2)-%as! 2asis. A %'&t#a%t i$$ 2! a%%!/t!" '&$) i*th!#! is &' /!#%!i:!" a":a&ta(! t' th! /#i:at! *&"i&( s'#%!. I& (!&!#a$G a %'&t#a%t i$$ &'t 2!a%%!/t!" i* it is ith a /#i:at! i&"i:i"a$ '# a si&($! /#i:at! %'/a&). A %'&t#a%t ith a $a#(!%'&s'#ti '* %'/a&i!s is '#! $i3!$) t' 2! a%%!/t!"G 2t th! %'&t#a%t st i& &' a) 2! #itt!&t' /#':i"! a& a":a&ta(! t' that %'&s'#ti.

' Th! '&!) *#' a %'&t#a%t i$$ 2!&!*it th! USSG &'t a&) i&"i:i"a$.

W'#3-*'#-'th!#s %'&t#a%ts st 2! #!%'!&"!" 2) th! Dis%i/$i&! h!#!i& th! '#3 is t' 2! /!#*'#!" a&" th! Bsi&!ss E&t!#/#is! C'&%i$ =BEC> /#i'# t' a//#':a$ a&" si(&at#! 2) '&! '*th! Ass'%iat! Di#!%t'#s. Th!s! %'&t#a%ts st (' th#'(h th! sa! i&t!#&a$ #!:i! /#'%!ss asCRADAs. Th! %'&t#a%t is *i#st #!:i!!" a&" #!%'!&"!"G i& #iti&(G 2) th! a//#'/#iat!Ass'%iat! Di#!%t'#. It is th!& s2itt!" t' th! BECG th#'(h th! Dis%i/$i&! #!/#!s!&tati:!B *'#*i&a$ #!:i! a&" #!%'!&"ati'& /#i'# t' a//#':a$ a&" si(&at#! 2) th! Ass'%iat! Di#!%t'#.R!:i! 2) th! DOI O**i%! '* th! S'$i%it'# i$$ 2! /a#t '* th! BEC a//#':a$ /#'%!ss h!&

&!%!ssa#).

'$$'i&( is a (!&!#i% '"!$ '* a %'&t#a%t that %a& 2! s!" i& '#3-*'#-'th!#s sitati'&s. Usa$$)Gth'(hG th! %'&t#a%t'#G #ath!# tha& th! %'&t#a%t!! =USS>G i$$ /#':i"! th! %'&t#a%t. This '"!$i$$st#at!s th! a#ti%$!s that a) 2! i&%$"!" a&" t!#s t' hi%h th! USS %a& a(#!!. I* th!%'&t#a%t'# #!!sts t!#s a&"?'# a#ti%$!s "i**!#!&t *#' th's! /#!s!&t!" h!#!G th! O**i%! '* th!S'$i%it'#G DOIG st #!:i! th! %'&t#a%t 2!*'#! it %a& 2! a//#':!". Th! Bsi&!ss D!:!$'/!&t

B#a&%h a) 2! %a$$!" /'& t' s!%#! this D!/a#t!&ta$ #!:i!.

. User acilities - This is a !%ha&is that a$$'s /#i:at! s!%t'# !&titi!s t' s! &i!!i/!&t '# *a%i$iti!s '&!" a&" '/!#at!" 2) a !"!#a$ a(!&%). Basi%a$$)G it is a #!&ta$ '* th!

!i/!&t '# *a%i$it) t' th! /#i:at! s!%t'# /a#t) ith i&ia$ '# &' /a#ti%i/ati'& 2) th! !"!#a$a(!&%)s sta** i& th! /a#t)s s! '* that *a%i$it).

It is th! /'$i%) '* th! USS not t' !&t!# i&t' this 3i&" '* a%ti:it) ith th! /#i:at! s!%t'#.CRADAs a&" '#3-*'#-'th!#s a%ti:iti!s a#! *a# 2!tt!# a)s t' ti$i! '# *a%i$iti!s i& s!#:i&( th! /#i:at! s!%t'#.

21



/odel ontract or ork:or:%thers



AG!""/"&T

bet5een CCCCCCCCCCCCCCCCCCCCCCCCCCCCC

=The "*ternal %rganiDation>

and the

U.S. G"%8%G$A8 SU!#"

"*ternally unded Agree+ent &o.? CCCCCCCCCCCCCCCCCCCCCC

9roEect Title? CCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCC

AG!""/"&T dated this CCCCCCday of CCCCCCCCCCCCCCCC by and bet5een

CCCCCCCCCCCCCCCCCCCCCCCCCCCC =the F"*ternal %rganiDationF> and the U.S. GeologicalSurvey =FUSGSF> 5hose )rinci)al office is located at 12201 Sunrise #alley 'riveB !estonB

#irginia 201;2.

Article $

'efinitions

S!%ti'& 1.;1. D!*i&iti'&s. U&$!ss th! %'&t!@t 'th!#is! #!i#!sG th! t!#s "!*i&!" 2!$'sha$$ ha:!G *'# /#/'s!s '* this A(#!!!&tG th! #!s/!%ti:! !a&i&(s s!t *'#th 2!$'G th! *'$$'i&("!*i&iti'&s t' 2! !a$$) a//$i%a2$! t' 2'th th! si&($a# a&" /$#a$ *'#s '* a&) '* th!t!#s "!*i&!"<

E@t!#&a$ O#(a&iati'&< A &'&-':!#&!&ta$ !&tit) that is /#':i"i&( *&"s a&" '# /#'/!#t)t' th! USS t' /#s! a /#'L!%t ta$$) 2!&!*iti&( 2'th /a#ti!s.

E@t!#&a$$) &"!" A(#!!!&t< This A(#!!!&t a&" E@hi2its AG BG a&" C atta%h!"h!#!t'G hi%h a#! a"! a /a#t h!#!'* as th'(h s!t *'#th i& *$$ h!#!i&. This t)/! '* a(#!!!&t iss!" h!#! th! %'&"iti'&s '* th! !'$'(i%a$ S#:!) Ma&a$ Cha/t!# '& W'#3 *'# Oth!#sF a#!!t.

B"(!t< Th! B"(!t s!t *'#th i& E@hi2it C h!#!t'.

A(#!!!&t A"i&ist#at'#< Th! A(#!!!&t A"i&ist#at'# sha$$ 2! PPPPPPPPPPPPPPPPPPPPPPG '# s%h 'th!# /!#s'& h' a) 2! "!si(&at!"G i& #iti&(G 2) th!E@t!#&a$ O#(a&iati'&.



i&a$ R!/'#t< Th! i&a$ R!/'#t #!i#!" 2) S!%ti'& 0.;, h!#!'*.

#'(#!ss R!/'#ts< Th! #!/'#ts #!i#!" 2) S!%ti'& 0.;1 h!#!'*.

S%h!"$! '* W'#3< Th! S%h!"$! '* W'#3 s!t *'#th i& E@hi2it B.

Stat!!&t '* W'#3< Th! Stat!!&t '* W'#3 atta%h!" h!#!t' as E@hi2it A.

W'#3< Th! W'#3 "!s%#i2!" i& E@hi2it A =i&%$"i&( th! /#'%#!!&t '* !i/!&t a&"s//$i!s i& %'&&!%ti'& th!#!ith> a&" th! /!#*'#a&%! '* a$$ 'th!# #!i#!!&ts i/'s!" /'& th!USS &"!# this A(#!!!&t.

Article $$

9erfor+ance of ork Ty)e of Agree+ent

S!%ti'& ,.;1. Ma&&!# '* !#*'#a&%!. Th! USS sha$$ /!#*'# a$$ '* th! W'#3 "!s%#i2!"i& th! Stat!!&t '* W'#3 i& a& !**i%i!&t a&" !@/!"iti's a&&!# a&" i& a%%'#"a&%! ith a$$ '* th!t!#s a&" /#':isi'&s '* this A(#!!!&t. Th! USS sha$$ /!#*'# th! W'#3 i& a%%'#"a&%! ithth! hi(h!st s%i!&ti*i% sta&"a#"s. Th! USS sha$$ *#&ish s%h /!#s'&&!$ a&" sha$$G &$!ss'th!#is! /#':i"!" 2) th! E@t!#&a$ O#(a&iati'& as sti/$at!" i& E@hi2it CG /#'%#! s%hs//$i!sG !i/!&tG a&" 'th!# it!s as a) #!as'&a2$) 2! &!%!ssa#) '# a//#'/#iat! t' /!#*'#th! W'#3 i& a%%'#"a&%! ith this A(#!!!&t.

S!%ti'& ,.;,. #'L!%t !#s'&&!$. It is &"!#st''" a&" a(#!!" that PPPPPPPPPPPPPPPPP=USS-PPPPPPPPPPPPP>G as /#i&%i/a$ i&:!sti(at'#G sha$$ "i#!%t a&" /!#s'&a$$) s/!#:is! th! W'#3'& 2!ha$* '* th! USS a&" that th! /!#s'&s "!s%#i2!" i& th! Stat!!&t '* W'#3 sha$$ s!#:! i& th!

%a/a%iti!s "!s%#i2!" th!#!i&. Th! USS sha$$ &'ti*) th! E@t!#&a$ O#(a&iati'& i& #iti&( '* a&)%ha&(! i& 3!) /#'L!%t /!#s'&&!$.

S!%ti'& ,.;0. '#at. A$$ %'##!s/'&"!&%!G #!/'#tsG i&:'i%!sG a&" a&s%#i/ts %'&%!#&i&(this /#'L!%t sha$$ %'&tai& th! a2':! E@t!#&a$$) &"!" A(#!!!&t N2!# a&" PPPPPPPPPPPPPPPPPPPP =th! i"!&ti*)i&( &2!# /#':i"!" 2) th! E@t!#&a$ O#(a&iati'&> a&" sha$$ 2! i& E&($ish.

S!%ti'& ,.;4 T)/! '* A(#!!!&t< This is a %'stG $!:!$-'*-!**'#t a(#!!!&t.

Article $$$

Technical !e)orts@'eliverables

S!%ti'& 0.;1. #'(#!ss R!/'#ts. Th! USS sha$$ /#':i"! t' th! E@t!#&a$ O#(a&iati'& '&a s!i-a&&a$ 2asis a #itt!& /#'(#!ss #!/'#t "!s%#i2i&( th! W'#3 /!#*'#!" "#i&( th! /#!:i's6 '&ths. Th! #'(#!ss R!/'#ts a) i&%$"! a& a//#':!" USS O/!& i$! R!/'#t a&"sha$$ 2! i& th! /2$i% "'ai&. Th! #'(#!ss R!/'#ts sha$$ i&%$"! a "!s%#i/ti'& '* th! W'#3



%'/$!t!" "#i&( th! #!/'#ti&( /!#i'" a&" a&) si(&i*i%a&t *i&"i&(s a&" '2s!#:ati'&s a"! a&"sha$$ 2! i& a *'#at a(#!!a2$! t' th! /a#ti!s. S%h #!/'#ts sha$$ "!s%#i2! a&) %i#%sta&%!s'%%##i&( "#i&( th! #!/'#ti&( /!#i'" that a) a**!%t th! a$it) '# i&t!(#it) '* th! #!s!a#%h #!s$tsa&" a&) 'th!# "i**i%$ti!s !&%'&t!#!" "#i&( th! #!/'#ti&( /!#i'" a&" th! #!!"ia$ a%ti'& ta3!&.A ti!ta2$! *'# %'/$!ti'& '* th! W'#3 sha$$ 2! i&%$"!" i& !a%h #'(#!ss R!/'#tG i&%$"i&( a&ass!ss!&t '* th! /#'(#!ss t' "at! %'/a#!" ith th! S%h!"$! '* W'#3 s!t *'#th i& E@hi2it B.A&) "!$a)s that ha:! '%%##!" '# a#! !@/!%t!" t' a**!%t th! ti!$) %'/$!ti'& '* th! W'#3 sha$$ 2!a""#!ss!" i& th! #'(#!ss R!/'#t t'(!th!# ith a& !@/$a&ati'& *'# s%h "!$a)s. Th! #'(#!ssR!/'#t a$s' sha$$ i&%$"! a stat!!&t '* a%ti:it) a&ti%i/at!" *'# th! &!@t #!/'#ti&( /!#i'".#'(#!ss R!/'#ts sha$$ 2! s2itt!" !$!%t#'&i%a$$)G i* /#a%ti%a2$!G i& a a&&!# ta$$) a(#!!a2$!t' th! /a#ti!s.

S!%ti'& 0.;,. i&a$ R!/'#t. Th! USS sha$$ /#!/a#! a "!tai$!" *i&a$ #!/'#t %':!#i&( a$$ '* th! W'#3 /!#*'#!" =th! i&a$ R!/'#t>. Th! i&a$ R!/'#t sha$$ %'/$) ith th! #!i#!!&tss!t *'#th i& th! Stat!!&t '* W'#3 a&" sha$$ i"!&ti*) th! '2L!%ti:!s '* th! W'#3G "!s%#i2! th!!th'"'$'() !/$')!"G #!%'#" !ss!&tia$ "ataG a&" "is%ss USS #!s$ts a&" %'&%$si'&s.A//#'/#iat! (#a/hi%sG '#3sh!!tsG $isti&(s a&" ta2$ati'&s '* "ata a&" #!*!#!&%!s sha$$ 2!

i&%$"!". Th! #!/'#t st i&"i%at! DRAT INA REORT '& th! %':!# a&" a$$ /a(!s '* th!#!/'#t. i:! =5> %'/i!s '* a "#a*t '* th! i&a$ R!/'#t sha$$ 2! s2itt!" t' th! E@t!#&a$O#(a&iati'& &'t $at!# tha& PPPPPPPPPP *'# %'&*i"!&tia$ #!:i!. Th! E@t!#&a$ O#(a&iati'& sha$$ /#':i"! its %'!&ts t' th! USS ithi& 45 "a)s a*t!# #!%!i/t '* s%h "#a*t. Withi& ,; '#3i&("a)s a*t!# #!%!i/t '* th! %'!&tsG th! USS sha$$ /#!/a#! th! i&a$ R!/'#t i& a ta$$) a(#!!"t' *'#at a&" sha$$ s2it '&! =1> &2'&" %a!#a-#!a") ast!# %'/) a$'&( ith PPP =PP> 2'&"%'/i!s t' th! E@t!#&a$ O#(a&iati'&. Th! #!/'#t st 2! a#3!" INA REORT '& th! %':!# a&" i&%$"! th! "at! iss!". C'/i!s '* th! i&a$ R!/'#t sha$$ 2! s2itt!" t' th! E@t!#&a$O#(a&iati'& &'t $at!# tha& PPPPPPPPPPPPPPPPP.

Article $#

o+)ensation

S!%ti'& 4.;1. C'/!&sati'&. Th! USS sha$$ 2! %'/!&sat!"G '& a& a":a&%! 2asisG *'#th! s!#:i%!s /!#*'#!" 2) its !/$')!!s &"!# th! t!#s '* this A(#!!!&t at th! #at!s s!t *'#th i&th! B"(!t sh'& i& E@hi2it C. S%h #at!s sha$$ &'t 2! i&%#!as!" "#i&( th! t!# h!#!'* ith'tth! #itt!& %'&s!&t '* th! E@t!#&a$ O#(a&iati'&. Th! E@t!#&a$ O#(a&iati'& a(#!!s t'%'/!&sat! th! USS *'# th! $!:!$-'*-!**'#t !@/!&"!"G a&" 'th!# "i#!%t a&" i&"i#!%t %'sts asa(#!!" 2) th! /a#ti!sG i& /#sit '* th! '2L!%ti:!s '* th! /#'L!%t. Whi$! a2s'$t! satis*a%ti'& '* 2'th /a#ti!s ith th! #!s$ts '* th! /#'L!%t %a&&'t 2! (a#a&t!!"G 2'th /a#ti!s i$$ st#i:! *'# that#!s$t i& th! /#'L!%t. E:!#) #!as'&a2$! !**'#t i$$ 2! a"! t' ass#! that 2'th /a#ti!s a(#!! thatth! *i&a$ #!/'#t is a& a%%!/ta2$! "'%!&t.

=a> '#!i(& t#a:!$ %'sts a#! a$$'a2$! '&$) h!& !a%h s%h *'#!i(& t#i/ has 2!!& a//#':!"i& #iti&( 2) th! A(#!!!&t A"i&ist#at'# /#i'# t' th! t#i/ '# is s/!%i*i!" i& th! B"(!t. '# /#/'s!s '* this A(#!!!&tG *'#!i(& t#a:!$ is "!*i&!" as a&) t#a:!$ 'tsi"! th! %'&t#) '* th!#!s!a#%h!#s /#i&%i/a$ /$a%! '* 2si&!ss. =N't!< Th! USS is a$s' #!i#!" t' '2tai& i&t!#&a$':!#&!&ta$ a//#':a$s *'# *'#!i(& t#a:!$. I* s%h a//#':a$s a#! "!&i!"G th! &!!" *'# *'#!i(&



t#a:!$ a&" th! i/a%t '& th! A(#!!!&tG i* a&)G i$$ &!!" t' 2! #!:i!!" 2) th! /a#ti!s a&"a//#'/#iat! a%ti'&s i$$ &!!" t' 2! ta3!&.>

=2> a)!&t '* %'/!&sati'& as h!#!i& /#':i"!" i&%$"!s a&" %':!#s a$$ %ha#(!s *'# "i#!%ta&" i&"i#!%t !@/!&s!s '* !:!#) &at#! *'# th! /!#*'#a&%! '* th! W'#3G i&%$"i&(G ith't$iitati'&G *'# #!%':!#) '* th! %a/ita$ %'st '* i&:!st!&t i& *a%i$iti!sG !i/!&tG s!%#!ta#ia$G a&"'th!# s//'#t %'sts.

S!%ti'& 4.;,. a)!&ts. Th! USS sha$$ s2it #!!sts *'# a":a&%! /a)!&ts as*'$$'s< =1> /'& si(&at#! '* th! A(#!!!&t *'# th! %'sts !stiat!" t' 2! !@/!&"!" i& th! *i#st 6'&ths '* th! a(#!!!&tG a&"J =,> Lst /#i'# t' !a%h s%%!!"i&( 6-'&th /!#i'". S%h #!!stssha$$ 2! i& s%h *'# a&" i&%$"! s%h i&*'#ati'& a&" "'%!&tati'& as a) 2! #!as'&a2$)#!!st!" 2) th! E@t!#&a$ O#(a&iati'&G i&%$"i&( !@/!&s!s *'# sa$a#i!sG s//$i!sG !i/!&tGt#a:!$ a&" ':!#h!a" a&" 'th!# i&"i#!%t !@/!&s! ass!ss!&ts. Th! E@t!#&a$ O#(a&iati'& #!i#!sthat i&:'i%!s?2i$$i&(s 2! s!&t t'<

PPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPP PPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPP

PPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPP PPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPP

S2s!!&t t' th! i&itia$ i&:'i%!G i&:'i%!s i$$ &'t 2! %'&si"!#!" *'# /a)!&t &ti$ th!%'##!s/'&"i&( #'(#!ss R!/'#t #!i#!" /#sa&t t' S!%ti'& 0.;1 has 2!!& #!%!i:!" a&" a%%!/t!" 2) th! E@t!#&a$ O#(a&iati'&.

Th! E@t!#&a$ O#(a&iati'& sha$$ /a) t' th! USSG ithi& 0; "a)s a*t!# #!%!i/t '* a& i&:'i%!?2i$$i&(*'# /a)!&t a&" th! %'##!s/'&"i&( #'(#!ss R!/'#tG th! a'&t s' #!!st!"G &$!ss th! E@t!#&a$O#(a&iati'& sh'$" "!t!#i&! that a&) s%h a'&ts a#! i&%'##!%t '# that th! /a)!&t '# a&) /a#t th!#!'* is 'th!#is! &'t /#'/!#$) /a)a2$! /#sa&t t' th! t!#s '* this A(#!!!&t '# th!

B"(!t.

S!%ti'& 4.;0. i&a$ E@/!&s! R!/'#t. U/'& #!%!i/t 2) th! E@t!#&a$ O#(a&iati'& '* th!i&a$ R!/'#t /#sa&t t' S!%ti'& 0.;, a&" S!%ti'& 6.;, h!#!'*G th! USS sha$$ s2it a $ists!tti&( *'#th a "!s%#i/ti'& '* a$$ !i/!&t /#%has!" &"!# th! a(#!!!&t that as /ai" *'# 2)th! E@t!#&a$ O#(a&iati'&. A""iti'&a$$)G th! USS sha$$ s2it a stat!!&t as t' h!th!# it is /'ssi2$! that a&) i&:!&ti'& '# /at!&ta2$! "!:i%!s #!s$t!" *#' th! /!#*'#a&%! '* th! '#3 &"!# this A(#!!!&t.

S!%ti'& 4.;4. Tit$! t' Ei/!&t. Tit$! t' !i/!&t /#':i"!" t' th! USS *'# s! &"!# this A(#!!!&t 2) th! E@t!#&a$ O#(a&iati'&G i* a&)G sha$$ 2! #!tai&!" 2) th! E@t!#&a$O#(a&iati'&. Tit$! sha$$ :!st i& th! E@t!#&a$ O#(a&iati'& t' a$$ !i/!&t /#%has!" 2) th!USS th! %'st '* hi%h has 2!!& /ai" 2) th! E@t!#&a$ O#(a&iati'& h!#!&"!#. Th! %'st '*shi//i&( a&) !i/!&t t' a %'&si(&!! "!si(&at!" 2) th! E@t!#&a$ O#(a&iati'& at th! %'/$!ti'&'* th! A(#!!!&t sha$$ 2! 2'#&! 2) th! E@t!#&a$ O#(a&iati'& !ith!# as /a#t '* this a(#!!!&t '#&"!# a s!/a#at! 2i$$i&(.

S!%ti'& 4.;5. Th! /a#ti!s t' this A(#!!!&t a)G 2) ta$ a(#!!!&tG a3! #itt!&%ha&(!s t' it. I* a&) s%h %ha&(! %as!s a "!%#!as! i& th! %'st '*G '# th! ti! #!i#!" *'#G th!



/!#*'#a&%! '* th! W'#3G '# 'th!#is! a**!%ts a&) 'th!# /#':isi'& '* this A(#!!!&tG a& !ita2$!a"Lst!&t sha$$ 2! a"! =i> i& th! %'st *'# s%h W'#3J a&" =ii> i& s%h 'th!# /#':isi'&s '* thisA(#!!!&t as a) 2! s' a**!%t!"G a&" th! A(#!!!&t sha$$ 2! '"i*i!" i& #iti&( a%%'#"i&($). I*a&) s%h %ha&(! %as!s a& i&%#!as! i& th! %'st '* th! /!#*'#a&%! '* th!W'#3G th! USS sha$$G ithi& 1; "a)s '* #!%!i/t '* s%h &'ti%!G &'ti*) th! E@t!#&a$ O#(a&iati'&i& #iti&( '* th! i&%#!as! i& %'sts. I& s%h !:!&tG th! USS sha$$ &'t 2! '2$i(at!" t' /!#*'# a&)s%h %ha&(! &ti$ a #itt!& a!&"!&t t' th! A(#!!!&t s!tti&( *'#th th! i&%#!as! i& %'stssha$$ ha:! 2!!& !@!%t!" 2) th! /a#ti!s h!#!t'.

S!%ti'& 4.;6. Mai&t!&a&%! '* R!%'#"s. Th! USS sha$$ 3!!/G ai&tai&G a&" /#!s!#:! atits /#i&%i/a$ '**i%! th#'(h't th! t!# '* this A(#!!!&t a&" *'# a /!#i'" '* 1 )!a# a*t!#%'/$!ti'& '* th! W'#3G *$$ a&" "!tai$!" 2''3sG a%%'&tsG a&" #!%'#"s /!#tai&i&( t' th! /!#*'#a&%! '* this A(#!!!&tG i&%$"i&( ith't $iitati'&G a$$ 2i$$sG i&:'i%!sG /a)#'$$sGa&" 'th!# "ata !:i"!&%i&( '# i& a&) at!#ia$ a) #!$at!" t' th! %'sts a&" !@/!&s!s i&%##!" 2) th!USS i& th! %'#s! '* s%h /!#*'#a&%!. Th! USS a%%'&ti&( /#a%ti%!s a&" /#'%!"#!s a#!a&&a$$) #!:i!!" 2) th! D!/a#t!&t '* th! I&t!#i'# O**i%! '* th! I&s/!%t'# !&!#a$ &"!# th!Chi!* i&a&%ia$ O**i%!# A%tG a&" th! USS %'its t' th! E@t!#&a$ O#(a&iati'& that th! a'&ts

2i$$!" i$$ #!*$!%t a%%#at! a%%'&ti&( '* th! !@/!&s!s i&%##!" t' th! a@i !@t!&t /'ssi2$!.

Article #

Assign+ents and Subcontracts

S!%ti'& 5.;1. !&!#a$ R!st#i%ti'&s. E@%!/t as s/!%i*i%a$$) /#':i"!" 'th!#is! i& thisA#ti%$!G th! assi(&!&tG t#a&s*!#G %'&:!)a&%!G s2%'&t#a%ti&( '# 'th!# "is/'sa$ '* this A(#!!!&t'# a&) '* th! USS #i(htsG '2$i(ati'&sG i&t!#!sts '# #!s/'&si2i$iti!s h!#!&"!#G i& h'$! '# i& /a#tGith't th! !@/#!ss %'&s!&t i& #iti&( '* th! E@t!#&a$ O#(a&iati'& sha$$ 2! :'i" a&" '* &' !**!%t

as t' th! E@t!#&a$ O#(a&iati'&. A #!i2#sa2$! a(#!!!&t ith a&'th!# U.S. ':!#&!&ti&st#!&ta$it) sha$$ &'t 2! %'&si"!#!" a s2%'&t#a%t. #%has!s '* (''"s '# s!#:i%!s /#'/'s!"i&itia$$) i& E@hi2it C sha$$ 2! "!!!" t' ha:! !t ith th! E@t!#&a$ O#(a&iati'&s a//#':a$ /'&si(&at#! '& th! A(#!!!&t.

S!%ti'& 5.;,. S2%'&t#a%t #'%!"#!s. With't #!$i!:i&( it '*G '# i& a&) a) $iiti&(G its'2$i(ati'&s t' th! E@t!#&a$ O#(a&iati'& &"!# this A(#!!!&tG th! USS a) !&t!# i&t's2%'&t#a%ts *'# th! /!#*'#a&%! '* W'#3G /#':i"!"G h'!:!#G that th! USSG /#i'# t' !@!%ti'&'* a&) s2%'&t#a%t sha$$ ha:! '2tai&!" *#' th! A(#!!!&t A"i&ist#at'# #itt!& a//#':a$th!#!'*G 2t s!! th! $ast s!&t!&%! '* S!%ti'& 5.;1. A$$ s2%'&t#a%ts sha$$ 2! s2L!%t t' a$$ '* th!t!#sG %':!&a&tsG a&" %'&"iti'&s %'&tai&!" i& this A(#!!!&t. Th! a//#':a$ '* th! E@t!#&a$O#(a&iati'& sha$$ 2! 2as!" '& th! t!%h&i%a$ Lsti*i%ati'& a&" 2"(!t %'&si"!#ati'&s. Th! USSsha$$ *'$$' th! !"!#a$ A%isiti'& R!($ati'&sG C'/!titi'& i& C'&t#a%ti&( A%tG a&" th!#'%#!!&t I&t!(#it) A%t i& !sta2$ishi&( h' sha$$ 2! aa#"!" a&) s2%'&t#a%t. A%%'#"i&($)G th!E@t!#&a$ O#(a&iati'& sha$$ &'t 2! /#':i"!" s'#%! s!$!%ti'& i&*'#ati'& #!(a#"i&( a&)s2%'&t#a%t /#i'# t' it 2!i&( a"! /2$i% i&*'#ati'& 2) th! USS.

S!%ti'& 5.;0. !#*'#a&%!. Th! USS sha$$ /#'/t$) a&" "i$i(!&t$) %'/$) ith its'2$i(ati'&s &"!# !a%h s2%'&t#a%t a&" sha$$ ta3! &' a%ti'& that '$" i/ai# its #i(hts



th!#!&"!#.

Article #$

Schedule of ork 8evel:of:"ffort %bEectives

S%h!"$! '* W'#3. Th! "#a*t a&" *i&a$ :!#si'&s '* th! i&a$ R!/'#t sha$$ 2! s2itt!" 2)th! "at!s s/!%i*i!" i& S!%ti'& 0.;, h!#!'*. I*G *'# a&) #!as'&G a&) "!$a) has '%%##!" '# is!@/!%t!" t' a**!%t th! ti!$) %'/$!ti'& '* th! "#a*t '# i&a$ R!/'#tG th! USS st s2it a#itt!& #!!st t' th! E@t!#&a$ O#(a&iati'& *'# a #!:is!" %'/$!ti'& "at! a&" st i&%$"! i&s%h #!!st a Lsti*i%ati'& *'# th! !@t!&si'&. Bas!" /'& this #!!st th! E@t!#&a$ O#(a&iati'&a&" th! USS sha$$ ta$$) a(#!! h!th!# t' #!:is! th! A(#!!!&ts %'/$!ti'& "at!. S%h#!!st sh'$" 2! a"! as s''& as th! &!!" *'# a""iti'&a$ ti! 2!%'!s !:i"!&t. E@%!/t h!#!i/#a%ti%a2$!G &' #!!st *'# a& !@t!&si'& sha$$ 2! a"! $!ss tha& 0; "a)s /#i'# t' th! '#i(i&a$%'/$!ti'& "at!.

Article #$$

9resentation of !esearch !esults

S!%ti'& 7.;1. Data a&" at!&t Ri(hts. A$$ "ata a&" "!$i:!#a2$!s /#'"%!" 2) th! USS i& /!#*'#i&( th! W'#3 i$$ *a$$ i&t' th! /2$i% "'ai& a&" i$$ &'t 2! a:ai$a2$! *'# %'/)#i(ht. B'thth! USS a&" th! E@t!#&a$ O#(a&iati'& a) #!/#'"%! a&" "ist#i2t! s%h "'%!&ts ith't#!st#i%ti'&. Withi& th! $iits '* th! #!!"' '* I&*'#ati'& A%t =5 U.S.C. S 5,,>G th! USS sha$$!@/!&" #!as'&a2$! !**'#t t' !&s#! that "ata a&" "!$i:!#a2$!s a#! &'t #!$!as!" 'tsi"! '* th!':!#&!&t 2!*'#! th!) a#! #!$!as!" t' th! E@t!#&a$ O#(a&iati'&. I* th! USS "is%':!#s a&)

/at!&ta2$! i&:!&ti'& i& th! %'#s! '* /!#*'#i&( th! W'#3G th! #i(hts t' /at!&t s%h i&:!&ti'&sa&" !@/$'it th! #!s$ti&( /at!&ts sha$$ :!st i& th! U.S. D!/a#t!&t '* th! I&t!#i'#GU.S. !'$'(i%a$ S#:!).

S!%ti'& 7.;,. A%3&'$!"(!&t a&" Dis%$ai!#. Th! USS a) a%3&'$!"(! *i&a&%ia$s//'#t *#' th! E@t!#&a$ O#(a&iati'& i& th! i&a$ R!/'#t a&" a&) 'th!# /2$i%ati'&s #!$ati&( t'th! W'#3. I& th! !:!&t that th! USS "'!s a%3&'$!"(! s%h *i&a&%ia$ s//'#tG th! #!/'#t '# /2$i%ati'& a) i&%$"! th! *'$$'i&( stat!!&t<

This '#3 has 2!!& *&"!" i& h'$! '# /a#t 2) th! PPPPPPPPPPPPPP &"!# A(#!!!&t PPPPPPPPPPPPPPPPPP t' th! U.S. !'$'(i%a$ S#:!).

Article #$$$

uality Assurance

A%%!ss. Th! !/$')!!s '* th! E@t!#&a$ O#(a&iati'&G #!/#!s!&tati:!s '* %'/a&i!s a&"%'&s$ta&ts #!tai&!" 2) th! E@t!#&a$ O#(a&iati'&G sha$$ ha:! a%%!ssG at a$$ #!as'&a2$! ti!sG t' th!



USS /!#s'&&!$ a&" *a%i$iti!s !&(a(!" i& th! W'#3 i& '#"!# t' ass#! a//#'/#iat! a$it) %'&t#'$'* th! W'#3.

Article $-

onflicts of $nterest

C'&*$i%ts '* I&t!#!st. Th! USS a(#!!s t' "is%$'s! /#'/t$) t' th! E@t!#&a$ O#(a&iati'&a&) %'&*$i%t '* i&t!#!st =h!th!# 2si&!ssG *i&a&%ia$ '# 'th!# #!$ati'&shi/> that i(ht a**!%t '#a//!a# t' i&t!#*!#! ith th! '2L!%ti:! /!#*'#a&%! '* th! W'#3 t' 2! /#':i"!" 2) th! USSh!#!&"!#.

Article -

onfidentiality

C'&*i"!&tia$it). N'tithsta&"i&( a&)thi&( t' th! %'&t#a#) i& this A(#!!!&t th! USSsha$$ &'t "is%$'s!G /2$ishG '# #!/#'"%!G i& h'$! '# i& /a#tG a&) i&*'#ati'&G 2'th '#a$ a&"#itt!&G '# !2'"i!" i& at!#ia$s /#':i"!" t' th! USS 2) th! E@t!#&a$ O#(a&iati'& a&"i"!&ti*i!" as %'&*i"!&tia$. This '2$i(ati'& '* %'&*i"!&tia$it) sha$$ &'t a//$) t' i&*'#ati'& hi%h<

=a> Is s2L!%t t' "is%$'s#! &"!# th! #!!"' '* I&*'#ati'& A%tJ

=2> Th! E@t!#&a$ O#(a&iati'& i&*'#s th! USS is t' 2! a"! a:ai$a2$! t' th! /2$i%. Itis a&ti%i/at!" that #!s!a#%h *&"!" 2) this A(#!!!&t i$$ 2! a"! a:ai$a2$! t' th! /2$i% /#'/t$)a*t!# %'/$!ti'& 2t i$$ #!i#! #!:i! 2) s%i!&ti*i% /!!#s '* th! #!s!a#%h!#s. S%h i&*'#ati'&

a) 2! a"! a:ai$a2$! t' 'th!# #!s!a#%h!#s h!#! a//#'/#iat! as s''& as &!!"!" t' a":a&%! th!stat! '* th! s%i!&%! that a#! th! s2L!%t '* /#'(#aJ

=%> Was a$#!a") 3&'& t' th! USS at th! ti! it is #!%!i:!" 2) th! USS as sh'& 2) its /#i'# #itt!& #!%'#"sJ

="> Is '# 2!%'!s /2$i%$) 3&'& ith't 2#!a%h '* this A(#!!!&t 2) th! USSJ

=!> B!%'!s a:ai$a2$! t' th! USS *#' a thi#" /a#t) !&tit$!" t' "is%$'s! th! i&*'#ati'&J'#

=*> S2s!!&t '* #!%!i/t it is "!:!$'/!" 2) a& !/$')!! '# %'&s$ta&t '* th! USSG th!!/$')!! '# %'&s$ta&t ha:i&( &' 3&'$!"(! '* a$$ '# /a#t '* th! i&*'#ati'& '* th! !a#$i!#"is%$'s#! t' th! USS.

Article -$

Ter+ination



T!#i&ati'&. Eith!# /a#t) a) t!#i&at! this A(#!!!&t at a&) ti! "#i&( th! t!# '*this A(#!!!&tG /'& 6; "a)s /#i'# #itt!& &'ti%! t' th! 'th!# /a#t). I& s%h !:!&tG %'/!&sati'&sha$$ 2! /ai" *'# W'#3 /!#*'#!" a&" !@/!&s!s i&%##!" /#i'# t' th! !**!%ti:! "at! '* t!#i&ati'&i& a%%'#"a&%! ith th! /#':isi'&s '* A#ti%$! IVG i&%$"i&( #!as'&a2$! a&" &!%!ssa#) !@/!&s!si&%##!" i& t!#i&ati&( th! W'#3 i& a& a//#'/#iat! a&&!# a&" i& /a)!&t *'# th! /#'/!# st'#a(!'* th! #a "ata *#' th! %'/$!t!" /'#ti'& '* t!sti&( *'# a #!as'&a2$! /!#i'"G as a(#!!" t' 2) th! /a#ti!sG a&" i& #!i2#s!!&t '* a&) a'&ts #!i#!" t' 2! /ai" 2) th! USS /#sa&t t' s2%'&t#a%tsJ /#':i"!"G h'!:!#G that /'& #!%!i/t '* a&) s%h&'ti%! '* t!#i&ati'&G th! USS sha$$ %!as! th! /!#*'#a&%! '* W'#3G sha$$ a3! &' *#th!#%'it!&ts ith #!s/!%t th!#!t' a&" sha$$ #!"%! i&s'*a# as /'ssi2$! th! a'&t '* 'tsta&"i&(%'it!&ts =i&%$"i&(G t' th! !@t!&t #!!st!" 2) th! E@t!#&a$ O#(a&iati'&G th#'(ht!#i&ati'& '* s2%'&t#a%ts %'&tai&i&( /#':isi'&s th!#!*'#>. U/'& s%h t!#i&ati'&G th! USSsha$$ "!$i:!# t' th! E@t!#&a$ O#(a&iati'& ithi& 45 "a)s '* th! &'ti%! '* t!#i&ati'&G a$$ "ata a&"i&*'#ati'& #!$at!" t' th! W'#3 a%%'/$ish!" /#i'# t' th! "at! '* t!#i&ati'&.

Article -$$

$nde)endent "ntity

I&"!/!&"!&t !&tit). Th! USS a%3&'$!"(!s that it i$$ #!tai& th! #i(ht t' s!$!%t its '&!th'"s '# a&&!# '* /!#*'#i&( th! W'#3G /#':i"! its '& *a%i$iti!sG a&" ha:! !@%$si:! %'&t#'$':!# its !/$')!!s a&" a(!&ts i& th! /!#*'#a&%! '* th! W'#3. Th! stats '* th! USS &"!# thisA(#!!!&t sha$$ 2! that '* a& i&"!/!&"!&t !&tit) a&" &'t that '* a& a(!&tG a&" i& a%%'#"a&%! iths%h statsG th! USSG th! s2%'&t#a%t'#sG a&" th!i# #!s/!%ti:! '**i%!#sG a(!&tsG !/$')!!sG#!/#!s!&tati:!s a&" s!#:a&ts sha$$ at a$$ ti!s "#i&( th! t!# '* this A(#!!!&t %'&"%tth!s!$:!s i& a a&&!# %'&sist!&t ith s%h stats a&" sha$$ &!ith!# h'$" th!s!$:!s 't asG &'#

%$ai t' 2! a%ti&( i& th! %a/a%it) '*G '**i%!#sG !/$')!!sG a(!&tsG #!/#!s!&tati:!s '# s!#:a&ts '* th!E@t!#&a$ O#(a&iati'&.

Article -$$$

/iscellaneous

S!%ti'& 10.;1. N'ti%!s. A$$ &'ti%!sG #!!stsG %'&s!&tsG a//#':a$s a&" 'th!#%'&i%ati'&s hi%h a) '# a#! #!i#!" t' 2! (i:!& 2) !ith!# /a#t) t' th! 'th!# &"!# thisA(#!!!&t sha$$ 2! "!!!" t' ha:! 2!!& s**i%i!&t$) (i:!& *'# a$$ /#/'s!s h!#!&"!# h!&"!$i:!#!" '# ai$!" 2) #!(ist!#!" '# %!#ti*i!" ai$G /'sta(! /#!/ai"G #!t#& #!%!i/t #!!st!"G=i> I* t' th! E@t!#&a$ O#(a&iati'&G t' th! att!&ti'& '*<

PPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPP PPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPP PPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPP

O# at s%h 'th!# a""#!ss as th! E@t!#&a$ O#(a&iati'& sha$$ ha:! *#&ish!" t' th! USS i& #iti&(G



=ii> I* t' th! USSG t' th! att!&ti'& '*< PPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPP PPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPP PPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPP

O# at s%h 'th!# a""#!ss as th! USS sha$$ ha:! *#&ish!" t' th! E@t!#&a$ O#(a&iati'& i& #iti&(.

S!%ti'& 10.;,. W#itt!& Stat!!&t. Th! USS a(#!!sG /'& #!!st 2) th! E@t!#&a$O#(a&iati'&G t' /#!/a#! a #itt!& stat!!&t '& th! s%i!&ti*i% as/!%ts '* th! W'#3G i* &'t a$#!a")i&%$"!" i& th! Stat!!&t '* W'#3. Th! USS *!!s *'# th! /#!/a#ati'& '* s%h #itt!& stat!!&ti$$ 2! &!('tiat!" 2!t!!& th! /a#ti!s.

S!%ti'& 10.;0. E&ti#! A(#!!!&tG A!&"!&t. This A(#!!!&t !2'"i!s th! !&ti#!A(#!!!&t a&" &"!#sta&"i&( 2!t!!& th! E@t!#&a$ O#(a&iati'& a&" th! USS a&" s/!#s!"!s a$$ /#i'# a(#!!!&ts a&" &"!#sta&"i&(s #!$ati&( t' th! s2L!%t att!# h!#!'*. E@%!/t as 'th!#is!!@/#!ss$) /#':i"!" *'# h!#!i&G this a(#!!!&t a) 2! %ha&(!"G ai:!"G "is%ha#(!" '# t!#i&at!" '&$) 2) a& i&st#!&t i& #iti&(G si(&!" 2) th! /a#t) a(ai&st hi%h !&*'#%!!&t '* s%h %ha&(!G ai:!#G"is%ha#(! '# t!#i&ati'& is s'(ht.

S!%ti'& 10.;4. Dis/t!s. Th! '&it'#s '* th! A(#!!!&t sha$$ !@/!&" th!i# 2!st !**'#ts t'ai%a2$) #!s'$:! a&) "is/t! that a) a#is! &"!# this A(#!!!&t. A&) "is/t! th!) a#! &a2$! t'#!s'$:! sha$$ 2! s2itt!"G i& #iti&(G t' th! Di#!%t'# '* th! USS *'# #!s'$ti'&. Th! "!%isi'& '*th! Di#!%t'# sha$$ 2! 2i&"i&( /'& th! USS. Th! E@t!#&a$ O#(a&iati'& a) $tiat!$) %'&t!st s%h"!%isi'& i& th! a//#'/#iat! !"!#a$ %'#t. B!*'#! #!s'#ti&( t' th! %'#ts t' #!s'$:! a&) "is/t!sG th! /a#ti!s a(#!! that th!) i$$ %'&si"!# att!/ti&( t' #!s'$:! th! iss! :ia a& A$t!#&ati:! Dis/t!sR!s'$ti'& /#'%!ss.

S!%ti'& 10.;5. as a&" R!($ati'&s. Th! !"!#a$ ':!#&!&t is (':!#&!" 2) th! $as '*th! U&it!" Stat!s.

S!%ti'& 10.;7. B!&!*it. Th! /#':isi'&s '* this A(#!!!&t sha$$ 2! 2i&"i&( /'& a&" i&#! t'th! 2!&!*it '* !a%h '* th! /a#ti!s a&" th!i# #!s/!%ti:! s%%!ss'#s a&" assi(&!!s.

IN WITNESS WHEREOG th! /a#ti!s h!#!t' ha:! !@!%t!" this A(#!!!&t as '* th! "a)G'&th a&" )!a# *i#st a2':! #itt!&.

"-T"!&A8 %!GA&$IAT$%& U. S. G"%8%G$A8 SU!#"

B) B)

#i&t!" Na! #i&t!" Na!

Tit$! Tit$! Ass'%iat! Di#!%t'#

Dat! Dat!





3. /arketing ederally 'evelo)ed Technology

T!%h&'$'() t#a&s*!# i& th! !"!#a$ ':!#&!&t s!s a#3!ti&( %'&%!/ts '* th! /#i:at! s!%t'#. Th!'2L!%ti:!s '* 2'th a#3!ti&( a&" t!%h&'$'() t#a&s*!# a#! t' ta#(!t s!# a"i!&%!s a&" !&%'#a(! th!a"'/ti'&G s!G a&" %'!#%ia$iati'& '* /#'"%ts. Ma&) '* th! t''$s s!" i& !"!#a$ t!%h&'$'()t#a&s*!# /#'(#as a#! /#':!& a#3!ti&( t''$s =s'! '* th!s! !#! "!s%#i2!" i& s!%ti'& 1 '* this%ha/t!#>. Ma#3!ti&( '**!#s a !a&s '* !&ha&%i&( t!%h&'$'() t#a&s*!# a%ti:iti!s. Ma#3!ti&( %'&%!/ts%a& h!$/ #!s!a#%h!#s a&" t!%h&'$'() t#a&s*!# /#'*!ssi'&a$s ta#(!t a"i!&%!s a&" i"!&ti*) a//#'/#iat!s!# s!(!&ts. B!%as! '* its i/'#ta&%! t' t!%h&'$'() t#a&s*!#G this %ha/t!# *'%s!s '& a#3!ti&(Gits "!*i&iti'&G a&" its *&%ti'&s.

A. /arketing? hat $s $tMa#3!ti&( is th! /#'%!ss '* "!t!#i&i&( th! ta#(!t a"i!&%! '# s!t '* s!#s *'# a /#'"%t '# s!#:i%!G&"!#sta&"i&( th! &!!"s '* this a"i!&%!G a&" at%hi&( th!s! &!!"s t' a &! /#'"%t i& a a&&!#that %as!s th!s! s!#s t' /#!*!# th! &! /#'"%t ':!# !@isti&( /#'"%ts. T' a#3!t !**!%ti:!$)Ga#3!ti&( /$a&s a#! "!:!$'/!". Th! /$a& is a& a##a&(!" st#%t#! "!si(&!" t' (i"! th! a#3!ti&( /#'%!ss. A (''" a#3!ti&( /$a& sa$$) i&%$"!s hat is %a$$!" a a#3!t a&a$)sis '# a#3!t s#:!).

Th! a#3!t s#:!) a&a$)!s th! %##!&t a#3!t/$a%! a&" !@isti&( /#'"%ts '# %'/!titi'&. Th!a#3!t s#:!) a$s' h!$/s i"!&ti*) /'t!&tia$ /#'2$!s =i&%$"i&( h!a$th a&" sa*!t)G #!($at'#)G /'$iti%a$Ga&" !%'&'i%> as !$$ as '//'#t&iti!s =/'t!&tia$ (#'th a#!as> a&" /#':i"!s a (a(! *'# !stiati&(th! s%%!ss '* a &! /#'"%t.

O&%! th! a#3!t s#:!) is %'/$!t!"G it is i&t!(#at!" i&t' a /$a& '* a%ti'& that "!*i&!s th! ta#(!t!"a#3!tG i&%$"!s sa$!s '2L!%ti:!s ='# i& th! %as! '* th! !"!#a$ ':!#&!&tG %'!#%ia$iati'&'2L!%ti:!s>G '**!#s a#3!ti&( st#at!(i!s *'# !!ti&( th's! '2L!%ti:!sG /#':i"!s a 2"(!t *'#a%%'/$ishi&( th! '2L!%ti:!sG a&" "!s%#i2!s a& a&&a$ !:a$ati'& /$a&.

. o+)onents of the /arketing 9lan

Th! *'$$'i&( a#! %'/'&!&ts '* a t)/i%a$ a#3!ti&( /$a&<

A o++ercialiDation %bEective? A (''" a#3!ti&( /$a& is "#i:!& 2) th! %'!#%ia$iati'&'2L!%ti:!s *'# a (i:!& t!%h&'$'(). This s!%ti'& '* a a#3!ti&( /$a& "!s%#i2!s th! /#'"%t t' 2!%'!#%ia$i!"G its /#i&%i/a$ s!sG its 2!&!*itsG its a":a&ta(!s ':!# th! %'/!titi'&G a&"%'!#%ia$iati'& ('a$s =&2!# '* &its t' 2! s'$" a&" a ti! *#a! *'# *$$ %'!#%ia$iati'&>.

'efining the Target Users and /arket? Th! *i#st st!/ i& !&s#i&( th! ti!$) t#a&s*!# '* *!"!#a$$)"!:!$'/!" t!%h&'$'() is t' i"!&ti*) /'t!&tia$ s!#s '* that t!%h&'$'(). Th!#! a#! a&) t''$s a:ai$a2$!*'# this /#/'s!. Standard $ndustrial lassification =S$> odesG a:ai$a2$! i& a$'st a&) $i2#a#)G$ist a$$ i&"st#i!s a&" a#3!t s!%t'#s 2) &!#i%a$ %'"!s a&" s2-%'"!s. Th!s! %'"!s %a& 2! s!" t''2tai& $ists '* %'/a&i!s i& th!s! a#3!ts a&" a#3!t s!(!&ts. S!(!&ts a#! a&a(!a2$! (#'/sith %''& %ha#a%t!#isti%s '* a 2#'a" %'&si&( a#3!t that !&a2$! a#3!t!#s t' ta#(!t s!#s ithth! hi(h!st $i3!$ih''" '* a"'/ti&( t!%h&'$'() hi$! i&iii&( %'sts. Ta#(!ti&( s/!%i*i%"!'(#a/hi% a&" (!'(#a/hi% a#3!t /#'*i$!s %a& *#th!# &a##' th!s! s!(!&ts. I& a""iti'&Ga#3!ts %a& 2! "i:i"!" i&t' /#ia#) a&" s!%'&"a#) (#'/s. #ia#) a#3!ts a) 2! th! "i#!%t%'&s!#s '* a t!%h&'$'(). S!%'&"a#) a#3!ts a#! '*t!& th! a&*a%t#!#s '* th! t!%h&'$'().T!%h&'$'() t#a&s*!# !**'#ts sh'$" %'&si"!# 2'th a#3!ts si&%! '&! a#3!t i$$ %#!at! a "!a&"that i(ht $!a" t' %'!#%ia$iati'& 2) th! 'th!# (#'/.



Th!#! a#! s!:!#a$ /2$i%ati'&s a:ai$a2$! at 'st $i2#a#i!s that $ist associations '* i&"st#) (#'/s a&"s!(!&ts. Ass'%iati'&s a) a$s' h!$/ %#!at! a "!a&" '# i&t!#!st i& th! t!%h&'$'() 2!i&(t#a&s*!##!". I"!&ti*)i&( t#a"! L'#&a$s s!" 2) s/!%i*i% a#3!t (#'/s a&" s!(!&ts is a$s' h!$/*$ i&ta#(!ti&( /'t!&tia$ s!#s. A""iti'&a$$)G technical e*)erts i& th! t!%h&'$'() *i!$" a) 2! a2$! t' '**!#%'&ta%ts that %a& $!a" t' *#th!# i"!&ti*i%ati'& '* /'t!&tia$ s!#s. Stat! Bsi&!ss D!:!$'/!&tC!&t!#sG Cha2!#s '* C'!#%!G a&" Sa$$ Bsi&!ss D!:!$'/!&t C!&t!#s %a& a$s' 2! '*assista&%!.

/arket surveys i$$ 2! :!#) h!$/*$ i& i"!&ti*)i&( /'t!&tia$ s!#s. Ma#3!t s#:!)s '*t!& %'&tai& $ists'* %'/a&i!s that i(ht ha:! a& i&t!#!st i& th! /#'"%t. A a#3!t s#:!) sa$$) /#':i"!s th!*'$$'i&( i&*'#ati'&<

HAT A /A!("T SU!#" $88 T"88 %U

- A "!s%#i/ti'& '* th! &! t!%h&'$'() a&" its /'t!&tia$ *&%ti'&s a&"?'# a//$i%ati'&s

- A "!s%#i/ti'& '* !@isti&( t!%h&'$'() that /!#*'#s th! sa! 2asi% *&%ti'&s a&"a//$i%ati'&s

- Th! a#3!t si! '* th! !@isti&( t!%h&'$'()?/#'"%t i& &its a&"?'# "'$$a#s

- Th! a":a&ta(!s '* th! &! t!%h&'$'() ':!# !@isti&( t!%h&'$'(). Th!s! %a& 2!a":a&ta(!s i& *&%ti'&G s/!%i*i% a#3!tsG /#i%i&(G a&*a%t#i&( %a/a2i$it)G !t%.

- I"!&ti*i%ati'& a&" #a&3i&( '* th! t'/ th#!! t' *i:! !&"-s!# i&"st#i!s ith th! (#!at!st$i3!$ih''" '* a"'/ti&( th! &! t!%h&'$'()?/#'"%t.

- I"!&ti*i%ati'& a&" #a&3i&( '* th! 'st i/'#ta&t !&"-s! /#'"%ts that %'$" #!s$t *#' a(i:!& t!%h&'$'() 2) /'t!&tia$ a#3!t si!

- A #a&3i&( '* %'/a&i!s as /'t!&tia$ $i%!&s!!s

- A #!:i! '* /2$ish!" $it!#at#! a:ai$a2$! '& th! t!%h&'$'()?/#'"%t a&" s/!%i*i% %'/a&i!ssi&(G a3i&(G a&"?'# s!$$i&( th! t!%h&'$'()?/#'"%t

C'&"%ti&( a a#3!t ass!ss!&t i&:'$:!s i"!&ti*)i&( /'t!&tia$ s!#s =2) si&( Sta&"a#" I&"st#ia$C$assi*i%ati'& =SIC> C'"!sG ass'%iati'& $isti&(sG '&-$i&! a#3!t "ata2as!s>G %'&ta%ti&( a %#'ss-s!%ti'&'* a&ti%i/at!" s!#sG a&" i&t!#:i!i&( /'t!&tia$ s!#s #!(a#"i&( th! :ia2i$it) '* th! t!%h&'$'()G%'&"%ti&( $it!#at#! a&" '&-$i&! %'/t!# s!a#%h!s *'# sii$a# t!%h&'$'()G a&" "is%ssi&( th!t!%h&'$'() ith t!%h&i%a$ !@/!#ts i& th! *i!$". Ma#3!t s#:!)s a#! %'&"%t!" i& %$'s! %''#"i&ati'&ith #!s!a#%h "!:!$'/!&t /#i&%i/a$s a&" i&:!&t'#s. I& s'! %as!sG !"!#a$ a(!&%i!s ha:! s!"%'&t#a%t'#s t' %'&"%t a#3!t s#:!)s '* th!i# t!%h&'$'(i!s. I& 'th!# %as!sG %!#tai& !"!#a$$a2'#at'#i!sG s%h as th! Nati'&a$ I&stitt! *'# Sta&"a#"s a&" T!%h&'$'() =NIST>G ha:! th! !@/!#tis!&!!"!" t' %'&"%t a#3!t ass!ss!&ts.



Ma&) !"!#a$ a(!&%i!s ha:! s!" a#3!t s#:!)s &'t '&$) t' h!$/ th! ass!ss th! %'!#%ia$:ia2i$it) '* th!i# #!s!a#%h "!:!$'/!&tsG 2t a$s' t' assist i& a3i&( *t#! #!s!a#%h *&"i&("!%isi'&s.

A&'th!# t''$ *'# i"!&ti*)i&( s!#s '* *!"!#a$$) "!:!$'/!" t!%h&'$'() a&" its ti$it) is a citation

analysis '& a& a(!&%)s !@isti&( /at!&ts. A %itati'& a&a$)sis $ists #!*!#!&%!s t' a s/!%i*i% a(!&%) /at!&t i& 'th!# i&:!&t'#s /at!&ts a&" /at!&t a//$i%ati'&s.

/arketing Strategies? O&%! /'t!&tia$ s!#s ha:! 2!!& i"!&ti*i!"G a#3!ti&( '* th! t!%h&'$'() %a& /#'%!!" 2) si&( a#3!ti&( st#at!(i!s. Ma#3!ti&( st#at!(i!s *'# th! %'#! '* a a#3!ti&( /$a&.Ma&) '* th! t!%h&'$'() t#a&s*!# t''$s "is%ss!" i& s!%ti'& 1 '* this %ha/t!# a#! a#3!ti&( st#at!(i!s'* '&! *'# '# a&'th!#. Th!) i&%$"!<

A":!#tisi&( - Bi$"i&( aa#!&!ss '* th! t!%h&'$'() 2) /ai" !"ia s%h as a(ai&!sG &!s/a/!#sGa&" t!$!:isi'& a&" #a"i'G a&" "i#!%t ai$. Th! !"!#a$ ':!#&!&t %a& a":!#tis! its t!%h&'$'(i!sG 2t /#"!&%! sh'$" 2! !@!#%is!" h!& "'i&( s'. A":!#tis!!&ts a#! &'t i&!@/!&si:!G 2t a#! sa$$)%h '#! !**!%ti:! tha& /2$i%it) =hi%hG 2) "!*i&iti'&G is *#!!>G 2!%as! th! a":!#tis!# is i& %'&t#'$

'* th! %'&i%ati'&.

2$i%it) - N'&-/ai" !"ia %'&i%ati'& that h!$/s 2i$" ta#(!t a#3!t aa#!&!ss a&" /'siti:!$)a**!%ts attit"!s a2't th! t!%h&'$'() 2!i&( t#a&s*!##!". 2$i%it) %a& 2! '2tai&!" th#'(h /#!ss#!$!as!sG &!s st'#i!s a&" a#ti%$!sG '/i&i'& /i!%!sG i&t!#:i!sG /2$i% s!#:i%! a&&'&%!!&tsG a&":isi2i$it) at %'&:!&ti'&sG s!i&a#sG a&" /2$i% !:!&ts. I& "!:!$'/i&( /2$i%it) st#at!(i!sG it is s!*$ t'%'&si"!# /#':i"i&( a &i! tist t' i&t!#!st th! !"ia a&" t' *'$$'-/ t' !&s#! that &!s #!$!as!si$$ 2! s!".

M!#%ha&"isi&( - A !th'" s!" t' #!i&*'#%! a":!#tisi&( !ssa(!s a&" t' %'&i%at! /#'"%ti&*'#ati'& a&" /#''ti'&s th#'(h &'&-ass %'&i%ati'&s :!hi%$!s. M!#%ha&"isi&( i&%$"!s

2#'%h#!sG s!$$ sh!!tsG /#'"%t "is/$a)s a&" !@hi2itsG :i"!' /#!s!&tati'&sG 2a&&!#sG /'st!#sG '# 'th!#t''$s that %a& 2! s!" t' "!s%#i2! th! t!%h&'$'()s att#i2t!sG /'siti'&i&( i& th! a#3!t/$a%! =h) th!t!%h&'$'() is s/!#i'# t' !@isti&( t!%h&'$'()>G a&" !%'&'i%s. M!#%ha&"isi&( t!%h&i!s a) 2!!@/!&si:!G 2t th!) a#! sa$$) ta#(!t!" t' s/!%i*i% s!#s a"i!&%!s. Sh'%asi&( a&" !@hi2its a#!!#%ha&"isi&( !th'"sG as a#! !!ti&(s. S!i&a#sG "!'&st#ati'&s a&" '#3sh'/s ith %'/a&i!si&t!#!st!" i& !"!#a$ t!%h&'$'() a&" /#!s!&tati'&s at t!%h&i%a$ !!ti&(sG a&" '&!-'&-'&! !!ti&(s 2!t!!& #!s!a#%h!#s a&" i&t!#!st!" /a#ti!s %a& '*t!& 2! '&! '* th! 2!st !a&s *'# t#a&s*!##i&(t!%h&'$'()G !@/!#tis! a&" 3&'-h'G 2t %'$" i&:'$:! t#a:!$ a&" th! &!!" *'# &'&-"is%$'s#!a(#!!!&ts. ai#&!ss-'*-'//'#t&it) st *a%t'# i&t' '&!-'&-'&! "is%ssi'&s.

"valuation? Th! *i&a$ i/'#ta&t %'/'&!&t '* a&) a#3!ti&( /$a& is !:a$ati'&. At a i&iG /#'(#!ss t'a#" t!%h&'$'() t#a&s*!# sh'$" 2! ass!ss!" '& a& a&&a$ 2asis a&" th! a#3!ti&( /$a&#!*i&!" a%%'#"i&($). O*t!&G i&itia$ a#3!ti&( !**'#ts $!a" t' *!!"2a%3 *#' /'t!&tia$ s!#s that %a& 2!s!" t' i/#':! th! s2L!%t t!%h&'$'() '# /#'"%ts. Ma#3!ti&( !**'#ts %a& a$s' $!a" t' CRADAs.Ma#3!ti&( /$a&s a) &!!" t' 2! a"Lst!" t' a%%''"at! sitati'& %ha&(!s %#!at!" "#i&( th!s! /a#t&!#shi/s. Th!s! t!%h&'$'() t#a&s*!# a%ti:iti!s %a& h!$/ i&%#!as! th! $i3!$ih''" '* s%%!ss*$%'!#%ia$iati'&.

A si+)le +arketing )lan and sa+)le +arket search conducted for an actual USGS invention



follo5s.



Sa+)le /arket 9lans



Quick Market Search forHydrothermal Reactor CellUsers



%ffice of Technology Transferuly 1;;6



uick /arket !esearch on!osenbauer Hydrother+al !eactor ells

About the DevelopmentUSGS researchers have designed and constructed two reactor cells thatprovide a new level of eperimental capa!ility in terms of corrosion resistance" #he cells are useful for testing and research aimed at understandingcharacteristics of $uids% particularly their response to high temperatures andpressures"

&ne of the new cells is an all gold $ei!le cell with iridium gaskets" #he goldtop on this cell replaces the current design% which uses a titanium top% a sourceof corrosion in reducing environments" #he iridium seal prevents self'alloyingpro!lems"

#he second cell is a (ed'volume Rene autoclave with a )t'Rh liner" #he cell isdesigned for use with etremely corrosive $uids to *++o C"

Possible Markets #he cells o,er widespread potential application to diverse industries involvedin highly corrosive and high'temperature and pressure systems% such asnuclear% geothermal power% and oil"

Market segment search categories include-

petroleum researchgeothermal power researchnuclear power researchchemical researchminerals researchassociations related to these areassuppliers of analytical and la!oratory e.uipment

Project Objective #he cells !oth re.uire etensive testing !efore they are ready for transfer tothe private sector" / partnership with a company with interest in the cells will!e pursued under the auspices of a Cooperative Research and Development/greement"

Promotional Strategy)romotional strategies include conducting a .uick market search and providingfact sheets to companies and associations identi(ed through the search" /



market search of potential petroleum research entities and associations has!een conducted and is attached" &ther searches can !e conducted uponre.uest"

0n addition% this partnership opportunity will !e highlighted on the USGS

#echnology #ransfer Home )age"

/dditional searches can provide lists of periodicals% newsletters% 1ournals% etc"of interest to speci(c market segments% such as the petroleum researchsegment"



U.S. 'e)art+ent of the $nteriorU.S. Geological Survey

Technology Transfer %))ortunities?9artnershi)s

'evelo)+ent of orrosion:!esistant Hydrother+al ells

About the 'evelo)+entR!s!a#%h!#s at th! U.S. !'$'(i%a$ S#:!)=USS> ha:! "!si(&!" a&" %'&st#%t!" t'$a2'#at'#) t!st %!$$s that /#':i"! a &! $!:!$ '* !@/!#i!&ta$ %a/a2i$it) i& t!#s '* %'##'si'&#!sista&%!. A USS $a2'#at'#) tas3!" ith%'&"%ti&( #!s!a#%h '& s2a#i&!

h)"#'th!#a$ a&" %'&ti&!&ta$ (!'th!#a$s)st!s has s!" th! %!$$s. R!s!a#%h!#s ha:!s!" th! hi(h t!/!#at#! a&" hi(h /#!ss#!t!sti&( %!$$s t' i&:!sti(at! th! %h!i%a$ a&"i&!#a$'(i%a$ %ha&(!s that '%%# "#i&(#'%3?at!# i&t!#a%ti'&s at !$!:at!"t!/!#at#!. Th!s! t!sts a#! %'&"%t!" i&*i@!" a&" *$!@i2$! :'$! #!a%ti'& %!$$s. Th!USS has %'&"%t!" %'&si"!#a2$! #!s!a#%ha&" !@/!#i!&tati'& t' "!si(& a&" 2i$"#!a%ti'& %!$$s that a#! i&!#t a&" a$s' ha:!"!si#a2$! !%ha&i%a$ /#'/!#ti!s. A &!*$!@i2$! a&" a &! *i@!" #!a%ti'& %!$$ a#! th! /#'"%ts '* this #!s!a#%h.

The le*ible and i*ed ellsO&! '* th! &! USS %!$$s is a& a$$ ('$"*$!@i2$! %!$$ ith i#i"i (as3!ts. Th! ('$"t'/ '& this %!$$ #!/$a%!s th! %##!&t "!si(&Ghi%h s!s tita&iG a s'#%! '* %'##'si'& i&#!"%i&( !&:i#'&!&ts. Th! i#i"i s!a$ /#!:!&ts s!$*-a$$')i&( /#'2$!s.

Th! 'th!# USS %!$$ is a *i@!"-:'$!R!&! at'%$a:! ith a t-Rh $i&!#. This %!$$is "!si(&!" *'# s! ith !@t#!!$)%'##'si:! *$i"s a&" t!/!#at#!s / t'5;;' C.

9artnershi) %))ortunity

B!*'#! th! t' &! #!a%ti'& %!$$s %a& 2!t#a&s*!##!" t' th! /#i:at! s!%t'# *'#%'!#%ia$ s!G USS #!s!a#%h!#s &!!" t'#!*i&! a&" t!st th!. Th! USS is s!!3i&(a& i&"st#ia$ /a#t&!# t' '#3 ith itth#'(h a C''/!#ati:! R!s!a#%h a&"D!:!$'/!&t A(#!!!&t =CRADA>. Th!i&"st#ia$ /a#t&!# '$" assist th! USS i&t!sti&( th! %!$$s a&" i& "!:!$'/!&ta$ '#3.

or /ore $nfor+ationA""iti'&a$ i&*'#ati'& a2't th! #!a%ti'&%!$$s a&" th! /a#t&!#shi/ '//'#t&it) %a& 2!'2tai&!" 2) %'&ta%ti&(<

R'2!#t R's!&2a!# U.S. !'$'(i%a$ S#:!)!'$'(i% Dis%i/$i&!045 Mi""$!*i!$" R'a"M.S. 999M!&$' a#3G CA 94;,5T!$< =415> 0,9-4198AX< 415?0,9-4460

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8ist of o+)anies@Associations ith 9ossible $nterest inHydrother+al !eactor ells

Associations

A!#i%a& Ha#"a#! Ma&*a%t#!#s Ass&901 N. $ #':! R"S%ha2#(G I 6;170-4796t!$< 7;8?6;5-1;,5

A!#i%a& Ma%hi&! T''$ Dist#i2t'#s Ass&1005 R'%3:i$$! i3!R'%3:i$$!G MD ,;85,-14;;t!$< 0;1?708-1,;;

A!#i%a& !t#'$! I&stitt!1,,; St#!!tG NWWashi&(t'&G DC ,;;;5-4;70t!$< ,;,?68,-8;;;

A!#i%a& S'%i!t) *'# a$it) C'&t#'$01; W. Wis%'&si& A:!&!Mi$a3!!G WI 50,;0-,,11t!$< 414?,7,-8575

A!#i%a& S//$) Ass'%iati'&

,; N. Wa%3!# D#i:!G Sit! ,,6;Chi%a('G I 6;6;6-0;;0T!$< 01,?,06-4;8,

Ass'%iat!" Ei/!&t Dist#i2t'#s615 W. ,,&" StOa3 B#''3G I 6;5,1-1977T!$< 6;8?574-;65;

Ch!i%a$ S/!%ia$ti!s Ma&*a%t#!#s Ass&1;;1 C'&&!%ti%t A:!&! NW

Sit! 11,;Washi&(t'&G DC ,;;06-5594T!$< ,;,?87,-811;

E&:i#'&!&ta$ I&"st#) C'&%i$18,5 K St#!!tG NWG Sit! ,1;Washi&(t'&G DC ,;;;6-1,;,t!$< ,;,?001-77;6

a2#i%at'#s a&" Ma&*a%t#!#s Ass&I&t!#&ati'&a$5411 E Stat! StR'%3*'#"G I 611;8-,076

T!$< 815?009-87;;

$i" C'&t#'$s I&stitt! I&%.01 S'th StG Sit! 0;0M'##ist'&G N ;796;-4107t!$< ,;1?8,9-;99;

I&"!/!&"!&t !t#'$! Ass& '* A!#i%a11;1 16th St NWWashi&(t'&G DC ,;;06-4886t!$< ,;,?857-47,,

I&"st#ia$ R!s!a#%h I&st.155; M St. G NWG 11th *$''# Washi&(t'&G DC ,;;06-;;;;t!$< ,;,?87,-605;

Nati'&a$ Ass& '* Ma&*a%t#!#s1001 !&&s)$:a&ia A:!G NWSit! 15;;NWashi&(t'&G DC ,;;;4-17;0t!$< ,;,?607-0;;;

Nati'&a$ !t#'$! R!*i&!#s Ass&1899 St NWG Sit! 1;;Washi&(t'&G DC ,;;06-0896t!$< ,;, 457-;48;

Nati'&a$ S'$i" Wast!s Ma&a(!!&t Ass&170; Rh'"! Is$a&" A:!G NWSit! 1;;;

Washi&(t'&G DC ,;;06-0196t!$< ,;,?659-4610



A!#i%a& I&stitt! '* Mi&i&(G M!ta$$#(i%a$a&" !t#'$! E&(i&!!#s045 E 47th StG 14th *$''# N! Y'#3G NY 1;;17-,00;t!$< ,1,?7;5-7695

M!ta$$#(i%a$ S'%i!t) '* AIME4,; C''&!a$th D#i:!Wa##!&"a$!G A 15;86-7514t!$< 41,?776-9;;;

Nati'&a$ Ass& '* C'##'si'& E&(i&!!#s.O. B'@ ,1804;H'st'&G TX 77,18-804;t!$< 710-49,-;505

S'%i!t) '* !t#'$! E&(i&!!#s

,,, a$isa"!s C#!!3 D#i:!Ri%ha#"s'&G TX 75;8;-,;4;t!$< ,14?669-0077

A!#i%a& Ass& '* !t#'$! !'$'(ists1444 S B'$"!# A:!T$saG OK 74119-06;4t!$< 918?584-,555

A!#i%a& N%$!a# E&!#() C'&%i$41; 1st St SE

Washi&(t'&G DC ,;;;0-1894t!$< ,;,?484-,67;

A!#i%a& S'%i!t) *'# th! T!sti&( '* Mat!#ia$s1916 Ra%! Sthi$a"!$/hiaG A 191;0-11;8t!$< ,15?,99-54;;

I&stitt! '* N%$!a# '!# O/!#ati'&s11;; Ci#%$! 75 3)G NWG Sit! 15;;At$a&taG A 0;009-0;,4t!$< 4;4?950-06;;

Mat!#ia$s #'/!#ti!s C'&%i$045 E 47th StG 14th *$ N! Y'#3G NY 1;;17-,00;t!$< ,1,?7;5-7690

S%i!&ti*i% A//a#ats Ma3!#s Ass&11;1 16th St NWG Sit! 0;;Washi&(t'&G DC ,;;06-4884t!$< ,;,?,,0-106;



$ndustrial or)orations ith !esearch 8aboratories : %il and Gas "*traction

A'%' #'"%ti'& C',;; E Ra&"'$/h D# Chi%a('G I

t!$< 01,?856-,,,,

C'asta$ Oi$ a&" as C'#/9 #!!&a) $aaH'st'&G TX 77;46-;979t!$< 710?877-14;;

C'&'%' I&%1;;; S i&! St'&%a Cit)G OK 746;0-;;;1t!$< 4;5?767-0456

C'&'%' I&%6;; N Dai#) Ash*'#" R'a"H'st'&G TX 77;79-11,1t!$< 710?,90-1;;;

C'&ti&!&ta$ a2'#at'#i!s I&%66;; ai#2a&3s-N'#th H'st'& R"H'st'&G TX 77;4;-40;9t!$< 710?46;-;78;

Dis%':!#) Oi$ t"

,;49 C!&t#) a#3 E Sit! 190;'s A&(!$!sG CA 9;;67-01,1t!$< ,10?,77-769,

D/'&t E$ "! N!'#s C' I&%!t#'%h!i%a$s Di:1;;7 Ma#3!t StWi$i&(t'&G DE 19898-;;;1t!$< 0;,?774-1;;;

E@@'& Ch!i%a$ A!#i%as

105;1 Kat) #!!a)H'st'&G TX 77;79-1098t!$< 710?87;-6;;;

E@@'& C' USA8;; B!$$ StH'st'&G TX 77;;,-74,6

t!$< 710?656-0606

#!!/'#t-M%M'#a& Oi$ a&" as10;1 a&&i& StH'st'&G TX 77;;,-7;;8t!$< 710?658-7145

I&t!#&ati'&a$ Mi&!#a$ a&" Ch!i%a$ C'#/,015 Sa&"!#s R" N'#th2#''3G I 6;;6,-61;8t!$< 7;8??564-86;;

M!#i"ia& Oi$ I&%8;1 Ch!##) St'#t W'#thG TX 761;,-68;0t!$< 5;4?58,-4;;;

M'2i$ E@/$'#ati'& #'"%i&( US I&%1,45; #!!&s 'i&t D# H'st'&G TX 77;6;-;;;;t!$< 710?775-,;;;

M'2i$ Oi$ C'#/ E@/$'#ati'& #'"%ti'&

15; E 4,&" St N! Y'#3G NY 1;;17-5666t!$< ,1,?880-7400

N!ha$$ R!*i&i&( C' I&%,,674 N C$a/itt R" N!ha$$G CA 910,1-;;;;t!$< 8;5?,59-,66;

O%%i"!&ta$ !t#'$! C'#/1;889 Wi$shi#! B$:"

's A&(!$!sG CA 9;;,4-4,;1t!$< ,10?879-17;;

a%i*i% E&t!#/#is!s Oi$

a%i*i% E&t!#/#is!s Oi$,;;1 R'ss A:! Sit! 1;;;Da$$asG TX 75,;1-,916

t!$< ,14?979-69;;

hi$$i/s !t#'$! C'4th K!!$!# StsBa#t$!s:i$$!G OK 74;;4-;;;1



t!$< 918?661-66;;

a3!# Stat! C'#/,55 E$ StOi$ %it)G A 160;1-141,t!$< 814?676-7676

i&'%' !t#'$! I&%458, S U$st!# St 3) Sit! 17;;D!&:!#G CO 8;,07-,641t!$< 0;0?85;-7070

R')a$ Oi$ as C'#/.O. B'@ 8;9I&"ia&aG A 157;1-;8;9t!$< 41,?460-;,46

Sa&ta ! E&!#() C'1,;7; T!$!(#a/h R"Sa&ta ! S/#i&(sG CA 9;67;-0746t!$< ,10?944-;011

Sh!$$ Oi$ C'9;; 'isia&a StH'st'&G TX 77;;,-49;1t!$< 710?,41-6161

T!@as M!#i"ia& R!s'#%!s I&%

58; W!st$a3! 3 Sit! 8,5H'st'&G TX 77;7;-,676t!$< 710?558-8;8;

T!@as Oi$ a&" as C'#/17;; a%i*i% A:!&!Da$$asG TX 75,;1-4618t!$< ,14?954-,;;;T'ta$ !t#'$! N'#th A!#i%a t"999 18th St Sit! ,,;1D!&:!# CO 8;,;,-,49,t!$< 0;0?,91-,;;;

U&i'& a%i*i% C'#/8th Eat'& A:!sB!th$!h!G A 18;18-,,97t!$< ,15?861-0,;;



A /odel F/arketing 9lanF

=N't!< This /$a& is i&t!&"!" t' s!#:! as a& ':!#a$$ (i"!J it %'&tai&s s'! s/!%i*i%s t' %'&:!) i&(!&!#a$ h' s%h a /$a& a) 2! #itt!&.>

Tit$!< T!%h&'$'() T#a&s*!# '* a R!s!a#%h #'"%t

!#s'& R!s/'&si2$!< #i&%i/a$ I&:!sti(at'#G B#!a R!s!a#%h C!&t!#

YXXX &"i&(< XXXX

TEs< X

R!$at!" #'L!%ts< Tit$! '* R!$at!" #'L!%ts

Ba%3(#'&"< =SAME> Th! U.S. B#!a '* Mi&!s %'&"%ts #!s!a#%h t' !&s#! that th! Nati'&si&!#a$s a&" i&!#a$ at!#ia$s s//$i!s a#! #!a"i$) a:ai$a2$! t' %'&s!#s. R!s!a#%h *'%s!s '&

a3i&( i&i&( a sa*!# a&" h!a$thi!# '%%/ati'& *'# i&! '#3!#sG a3i&( th! i&!#a$s i&"st#) '#!%'/!titi:! th#'(h th! "!:!$'/!&t '* a":a&%!" i&i&( a&" i&!#a$ /#'%!ssi&( t!%h&'$'(i!sG a&"h!$/i&( th! Nati'& %'&s!#:! its :a$a2$! i&!#a$ #!s'#%!s 2) "!:!$'/i&( i&!#a$s a&" !ta$s%'&s!#:ati'& a&" #!%)%$i&( t!%h&i!s. A&'th!# :!#) i/'#ta&t *a%!t '* th! B#!as #!s!a#%h /#'(#a is t' a3! i&i&( a&" i&!#a$s /#'%!ssi&( %'/ati2$! ith th! !&:i#'&!&t.

A2't =th! R!s!a#%h #'"%t>< =SAME> R!s!a#%h '& th! =/#'"%t> as %'&"%t!" i& %'&%!#tith th! B#!as issi'& t' a3! i&i&( a&" i&!#a$s /#'%!ssi&( '#! %'/ati2$! ith th!!&:i#'&!&t a&" t' /#':i"! i&! a&" i&!#a$ /#'%!ssi&( /$a&t '/!#at'#s ith $'-%'stG !**!%ti:!t!%h&'$'() t' !!t th!i# !&:i#'&!&ta$ #!s/'&si2i$iti!s a&" '2$i(ati'&s. =C'&ti&! ith a "!s%#i/ti'&'* hat th! /#'"%t isG hat it "'!sG h) it is i/'#ta&t.>

=Ma#3!t 'siti'& Stat!!&t> 'a$ '* Ma#3!t $a&< It is th! '2L!%ti:! '* this /$a& t' t#a&s*!# th!=#!s!a#%h /#'"%t> t' =%'&ti&! ith a "!s%#i/ti'& '* hat i$$ 2! a%%'/$ish!" ith this /#'L!%tGi.!.G that th! /#'"%t 2! t#a&s*!##!" t' at $!ast '&! '# t' %'!#%ia$ a&*a%t#!#sG h' i$$ /#'"%! XXX a&titi!s '* th! /#'"%t "#i&( th! &!@t XXX )!a#s.>

=Basi% S!$$i&( I"!a> B!&!*its t' I&"st#)< =Sta#t ith a /#'2$! stat!!&t a&" ti! i&t' th! #!s!a#%h /#'"%t. H' "'!s th! #!s!a#%h /#'"%t a""#!ss th! /#'2$!G hat 2!&!*its "'!s it '**!# th!i&"st#) '# /'t!&tia$ a#3!t!#s a&" th!i# %st'!#sG !t%.>

=Ma#3!t A&a$)sisG C##!&t Ma#3!t--a a#3!t a&a$)sis a) 2! a tas3 '* th! TT #'L!%t> Th! Ma#3!t<Th! i!"iat!G ta#(!t a#3!t *'# th! =#!s!a#%h /#'"%t> is.... =Whi%h t)/! '* i&"st#)+ Wh' i& th!i&"st#) s/!%i*i%a$$) i* this is 3&'&+ What i&%!&ti:!s "'!s this i&"st#) ha:! t' s! th! t!%h&'$'()Gi.!.G a#! th!#! !@/!%t!" #!($at'#) #!i#!!&ts ithi& th! &!@t *! )!a#s+ What 'th!# s!(!&ts '* th! i&"st#) a) 2! i&t!#!st!" i& a#3!ti&(+ Th! %'&st#%ti'&+ A(#i%$t#!+ A!#'s/a%!+ Wh' i$$th! %st'!#s '* th! a#3!t!#s 2!+>

=#''ti'&a$ St#at!()> T!%h&'$'() T#a&s*!# St#at!()< W! /#'/'s! th! *'$$'i&( as /a#t '* '# ':!#a$$ st#at!() /$a& t' a%ti:!$) t#a&s*!# th! =#!s!a#%h /#'"%t> t!%h&'$'(). This /$a& i$$ s!



!%'&'i% 2!&!*its "ata "!$i&!at!" th#'(h a st") %'&"%t!" 2) th! XY '**i%!?%'/a&).

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Tas3 ,< C'&"%t a a#3!t a&a$)sis '* i&"st#i!s a&" s!#s h' '$" s!#:! as th! %st'!# 2as!?a#3!t *'# th! =#!s!a#%h /#'"%t>.Ta#(!t "at!< XXGXXG9X-------------------- XG;;;

Tas3 0< I"!&ti*) /#'%!"#!sG !i/!&tG /#'%!ss!s *'# =/#'"%i&( $a#(! a&titi!s '* #!s!a#%h /#'"%t '# a%%''"ati&( /#'%!ss?t!%h&'$'()>.Ta#(!t "at!< XXGXXG9X-------------------- XG;;;

Tas3 4< #!/a#! a& i&*'#ati'&a$ ha&"'t '& th! =#!s!a#%h /#'"%t> a&" s!&" this t'

%'/a&i!s i"!&ti*i!" i& a#3!t s#:!).---------------------------- XG;;;Ta#(!t "at!< XXGXXG9X

Tas3 5< C'&"%t sa$!s :isits t' /#'isi&( %'/a&i!s i"!&ti*i!" th#'(h a#3!t s#:!). #!s!&t%'&%!/t a&" !%'&'i% 2!&!*its "ata t' %'/a&).------------------XXG;;;

Ta#(!t "at!< XXGXXG9X

Tas3 6< I"!&ti*) a sita2$! sit! h!#! t!%h&'$'() %a& 2! "!'&st#at!". ------------------XX


Tas3 7< S%h!"$! a&" %'&"%t a "!'&st#ati'& '* th! =#!s!a#%h /#'"%t> at th! i"!&ti*i!" sit!.I&:it! i&t!#!st!" %'/a&i!s i"!&ti*i!" i& a#3!t s#:!). I&:it! 'th!# %'/a&i!s h'a#! i&t!#!st!" i& si&( th! t!%h&'$'(). I&:it! s!%'&"a#) a&" t!#tia#) a#3!t%'/a&i!s t' (!&!#at! i&t!#!st ithi& th!s! s!%t'#s.-------------XXG;;;Ta#(!t "at!< XXGXXG9X

Tas3 8< '$$'-/ ith a""iti'&a$ sa$!s :isits t' %'/a&i!s a//!a#i&( t' ha:! *#th!# i&t!#!st i& a#3!ti&( th! #!s!a#%h /#'"%t.

Tas3 9< A":!#tis! !@%$si:! /at!&t $i%!&si&( '//'#t&it) i& th! C'!#%! Bsi&!ss Dai$).S!$!%t $i%!&s!!=s> =t' 2! %''#"i&at!" th#'(h WO>--------------------X


Tas3 1;< Esta2$ish MOAs '# CRADAs ith $i%!&s!!=s> t' st") s%a$!-/ '* =#!s!a#%h /#'"%t>"!:!$'/!&t?*a2#i%ati'&.--------------------X


Tas3 11< C'&"%t $a#(!-s%a$! t!sti&( ith %''/!#at'#.Ta#(!t "at!< XXGXXG9X---------------------XX



Tas3 1,< I&itiat! %'!#%ia$ /#'"%ti'&?*a2#i%ati'& a&" /#'"%! at $!ast XXXX.Ta#(!t "at!< XXGXXG9X---------------------XX

Estiat!" C'st t' I/$!!&t $a&<=2as!" '& tas3s $ist> XXXXGXXXX

#'(#!ss a&" E:a$ati'&<



4. oo)erative !esearch and 'evelo)+ent Agree+ents =!A'As>

A. !A'As and Their enefitsC''/!#ati:! R!s!a#%h a&" D!:!$'/!&t A(#!!!&ts =CRADAs> a#! a 3!) *!at#! '* th! !"!#a$T!%h&'$'() T#a&s*!# A%t '* 1986. Th! A%t /!#its CRADAs t' 2! "!:!$'/!" 2) !"!#a$ $a2'#at'#i!st' !&%'#a(! &'&-!"!#a$ /a#ti!s a&" th! ':!#&!&t t' '#3 t'(!th!# a&" st#!t%h th!i# #!s!a#%h 2"(!ts. B) !&t!#i&( i&t' a CRADAG th! !"!#a$ ':!#&!&t %a& '/tii! its #!s'#%!s a&" %'st-!**!%ti:!$) /!#*'# #!s!a#%h 2) sha#i&( th! %'sts '* this #!s!a#%h ith th! CRADA /a#t&!#. Th!%'$$a2'#ati&( /a#t&!# a(#!!s t' /#':i"! #!s'#%!s that a) %'&sist '* *&"sG /!#s'&&!$G s!#:i%!sG*a%i$iti!sG !i/!&t '# 'th!# #!s'#%!s &!!"!" t' %'&"%t a s/!%i*i% #!s!a#%h '# "!:!$'/!&t !**'#thi$! th! !"!#a$ $a2'#at'#) a(#!!s t' /#':i"! sii$a# #!s'#%!s but not funds "i#!%t$) t' th! /a#t&!#.

Th! CRADA :!hi%$! /#':i"!s i&%!&ti:!s that h!$/ s/!!" th! %'!#%ia$iati'& '* *!"!#a$$)"!:!$'/!" t!%h&'$'(). Th! ':!#&!&t /#'t!%ts a&) /#'/#i!ta#) i&*'#ati'& 2#'(ht t' th!CRADA !**'#t 2) th! /a#t&!#. !"!#a$ s%i!&tists %a& '#3 %$'s!$) ith th!i# &'&-!"!#a$%'&t!#/a#ts !@%ha&(i&( i"!as a&" i&*'#ati'& hi$! /#'t!%ti&( %'/a&) s!%#!ts. A$s'G a$$ /a#ti!s

a) ta$$) a(#!! t' 3!!/ #!s!a#%h #!s$ts !!#(i&( *#' th! CRADA %'&*i"!&tia$ a&" 't '* /2$i% "'ai& *'# / t' 5 )!a#s. CRADAs a$s' !&a2$! th! ':!#&!&t a&" th! %'$$a2'#ati&( /a#t&!# t' sha#! /at!&ts a&" /at!&t $i%!&s!s. This %a& $tiat!$) #!s$t i& #')a$ti!s /ai" t' th! ':!#&!&ta&" t' th! !"!#a$ i&:!&t'#=s>.

T' sa#i!G CRADAs '**!# th! *'$$'i&( 2!&!*its<

- E&a2$! 2'th /a#t&!#s t' $!:!#a(! th!i# #!s!a#%h 2"(!ts a&" '/tii! #!s'#%!s.

- #':i"! a !a&s *'# sha#i&( t!%h&i%a$ !@/!#tis!G i"!asG a&" i&*'#ati'& i& a /#'t!%t!"!&:i#'&!&t. Th! !"!#a$ ':!#&!&t %a& /#'t!%t *#' "is%$'s#! a&) /#'/#i!ta#)

i&*'#ati'& 2#'(ht t' th! CRADA !**'#t 2) th! /a#t&!#=s>.

- !#it !"!#a$ s%i!&tists t' '#3 %$'s!$) ith th!i# &'&-!"!#a$ %'&t!#/a#ts.

- O**!# &'&-!"!#a$ /a#t&!#s a%%!ss t' a i"! #a&(! '* !@/!#tis! i& a&) Dis%i/$i&!s.

- A$$' th! /a#t&!#s t' a(#!! t' sha#! i&t!$$!%ta$ /#'/!#t) !!#(i&( *#' th! !**'#t. This%a& #!s$t i& #')a$ti!s t' th! ':!#&!&t a&" th! !"!#a$ i&:!&t'#.

- !#it th! !"!#a$ ':!#&!&t t' /#'t!%t i&*'#ati'& !!#(i&( *#' th! CRADA *#'"is%$'s#! *'# / t' 5 )!a#sG i* this is "!si#a2$!.

A CRADA is &'t a /#'%#!!&t %'&t#a%tG (#a&tG '# %''/!#ati:! a(#!!!&t as th's! t!#s a#! s!" i&01 USC 60;0-60;5. I& 'th!# '#"s< a CRADA "'!s &'t *a$$ &"!# !"!#a$ A%isiti'& R!($ati'&s=AR>.

CRADAs t)/i%a$$) %'&sist '* t' ai& %'/'&!&ts< !&!#a$ #':isi'&s =th! $!(a$ *#a!'#3> a&" aStat!!&t '* W'#3 '# SOW =th! '2L!%ti:!sG tas3sG a&" "!$i:!#a2$!s '* th! CRADA a%ti:it)>.



. ho /ay "nter $nto a !A'A ith the USGSVi#ta$$) a&) '#(a&iati'& a) !&t!# i&t' a CRADA ith th! USS. A%%'#"i&( t' statt! =..99-5;,>G &its '* Stat! '# $'%a$ (':!#&!&tJ i&"st#ia$ '#(a&iati'&s =i&%$"i&(G 2t &'t $iit!" t'G%'#/'#ati'&sG /a#t&!#shi/sG $iit!" /a#t&!#shi/sG a&" i&"st#ia$ "!:!$'/!&t '#(a&iati'&s>J /2$i%a&" /#i:at! *'&"ati'&sJ &'&/#'*it '#(a&iati'&s =i&%$"i&( &i:!#siti!s>J '# /!#s'&s =i&%$"i&($i%!&s!!s '* i&:!&ti'&s '&!" 2) th! !"!#a$ a(!&%)> a) !&t!# i&t' CRADAs ith th! USS.

. Ty)es of !esources 9artners /ay ontribute N'&-!"!#a$ /a#t&!#s a) %'&t#i2t! *&"sG /!#s'&&!$G !i/!&tG *a%i$iti!sG s!#:i%!sG a&" i&t!$$!%ta$ /#'/!#t) t' a %''/!#ati:! #!s!a#%h a&" "!:!$'/!&t !**'#t. !"!#a$ $a2'#at'#i!s a) a$s' %'&t#i2t! /!#s'&&!$G !i/!&tG *a%i$iti!sG s!#:i%!sG a&" i&t!$$!%ta$ /#'/!#t) t' th! %''/!#ati:! !**'#t t' th!&'&-!"!#a$ /a#t&!#.

USS *&"sG h'!:!# ='# 'th!# !"!#a$ *&"s %'&t#i2t!" t' th! CRADA>G %a&&'t *$' t' th!&'&-!"!#a$ /a#t&!#--"i#!%t$) '# i&"i#!%t$). '# !@a/$!G s'*ta#! '# !i/!&t %'&t#i2ti'&s 2) th!&'&-!"!#a$ /a#t&!# that a#! /a#t '* th! CRADA %a&&'t ha:! ai&t!&a&%! %'&t#a%ts that #!i#! /a)!&t 2) th! !"!#a$ /a#t&!#. A$s'G h!& /#%hasi&( s//$i!sG !i/!&tG '# s!#:i%!s ith

CRADA *&"sG th! USS st *'$$' ':!#&!&t /#'%#!!&t #$!s.

'. %bligations of !A'A 9artiesO2$i(ati'&s '* th! CRADA /a#t&!#s a#! "!s%#i2!" i& th! Stat!!&t '* W'#3 =SOW>. Th! SOW is th!t!%h&i%a$ %'#! '* th! CRADAG th! 2asis *'# i&itia$ a//#':a$?#!L!%ti'& 2) USSG a&" th! s'#%! '* t!%h&i%a$ i&*'#ati'& i& %!#tai& a#ti%$!s '* th! CRADA. It "!s%#i2!s th! CRADA !**'#tG th!i&"i:i"a$ tas3s i&:'$:!" a&" th! a&ti%i/at!" 't%'!s. Th! SOW st 2! sh'#t !&'(h t'!&%'#a(! si*t #!:i! a&" a%ti'&G 2t $'&( !&'(h t' a$$' a #!:i! '* its !#its. I&*'#ati'&ithi& th! SOW *#' th! '2$i(at!" /a#ti!s sh'$" 2! %'/$!t! !&'(hG a&" %$!a# !&'(hG t' /!#itth! #i&%i/a$ I&:!sti(at'# a&" th! Bsi&!ss D!:!$'/!&t B#a&%h t' i&"!/!&"!&t$) !:a$at! th!s%%!ss '* th! /#'L!%t. Th! ('a$ st 2! :!#i*ia2$! a&" th! '2L!%ti:!s st 2! !as#a2$!.

". o+)leting the 8egal@inancial o+)onents of the !A'AA CRADA is a $!(a$ %'&t#a%t *'#i&( a 2si&!ss a(#!!!&t. U&$i3! th! t)/i%a$ %'&t#a%t *'# /#'%#!"s!#:i%!s #!($at!" 2) !"!#a$ A%isiti'& R!($ati'&sG th! CRADA 2!t!!& th! USS a&" a /#i:at!s!%t'# /a#t&!# is a t)/! '* "!a$.F U&$!ss th! &'&-USS /a#t&!# /!#%!i:!s s**i%i!&t sa*!t) i& th!a%ti:it) =*'# !@a/$!G th! /#'t!%ti'& '* /#'/#i!ta#) "ata> a&" a hi(h !&'(h !@/!%t!" #!t#&G it i$$&'t i&:!st its #!s'#%!s '# #is3 its 3&'-h' '& th! /#'L!%t. O%%asi'&a$$) th! !"!#a$ #!s!a#%h /#i&%i/a$ i&:!sti(at'# a) ha:! a %h'i%! '* /'t!&tia$ /a#t&!#s a&" a) 2! $''3i&( *'# th! 2!st "!a$F*'# th! a(!&%) a&" *'# th! USS i&:!&t'#.

M'st a#ti%$!s i& th! CRADA !&!#a$ #':isi'&s a#! &!('tia2$!. N!('tia2$! it!s i&%$"! i&t!$$!%ta$ /#'/!#t) #i(htsG /#'t!%ti'& '* i&*'#ati'&G /2$i%ati'& #i(htsG a&" "!a"$i&!s.

. Ste)s for reating and "*ecuting a !A'ATh!#! a#! 2asi%a$$) *i:! st!/s *'# !sta2$ishi&( a&" !@!%ti&( a CRADA ith th! USS<

ST"9S %! "-"UT$&G A !A'A1. D!t!#i&! th! Va$i"it) '* a 't!&tia$ a#t&!# ,. N!('tiati'& '* th! CRADA T!#s a&" Stat!!&t '* W'#3 =SOW>



0. A//$i%a2$! B#!a Dis%i/$i&! R!:i! a&" R!%'!&"ati'&4. Ass'%iat! Di#!%t'# A//#':a$5. 'st-#'L!%t E:a$ati'&

C'/$!!&ti&( th!s! *i:! st!/s a#! s!:!& 3!) "'%!&ts a&" *'#s that sh'$" 2! %'/$!t!" t''#(a&i! a&" !sta2$ish a CRADA<

(" '%U/"&TS %! A !A'ASte)s here

Used1. O/ti'&a$ I&"st#ia$ a#ti%i/a&t !sti'&&ai#!

1,. !"!#a$ R!(ist!# N'ti%!

,0. CRADA D'%!&t =C':!# a(!G Stat!!&t '* W'#3G a&"

!&!#a$ #':isi'&s>

,4. Th! Dis%i/$i&! #'/'sa$

05. Th! #i&%i/a$ I&:!sti(at'#s C'&*$i%t '* I&t!#!st Stat!!&t 06. Th! CRADA D!%isi'&-T#!! a&" C#it!#ia Ch!%3$ist

0

7. Th! Dis%i/$i&!s R!%'!&"ati'& M!'#a&"0

Ste) 1? 'eter+ine the #alidity of a 9otential 9artnerM'st t!%h&'$'() t#a&s*!# a&" C''/!#ati:! R!s!a#%h a&" D!:!$'/!&t A(#!!!&t a%ti:iti!s '%%# atth! $a2'#at'#)G 2#a&%h a&" Dis%i/$i&! $!:!$s '* a& a(!&%). Th! #!s!a#%h!# '# #i&%i/a$ I&:!sti(at'# =I> a) 2! th! *i#st /'i&t-'*-%'&ta%t *'# a /'t!&tia$ CRADA %''/!#at'#. T' assist th! #!s!a#%h!# i&"!t!#i&i&( h!th!# '# &'t th! /#'s/!%ti:! /a#t&!# is t!%h&i%a$$) a&" *i&a&%ia$$) sita2$! *'# aCRADAG a& '/ti'&a$ I&"st#ia$ a#ti%i/a&t !sti'&&ai#! ='# 1> has 2!!& /#!/a#!". A$th'(hth!#! is &' #!i#!!&t *'# %'/$!ti&( this *'#G th! #!s!a#%h!# sh'$" s! s'! "'%!&t!" s)st!that i$$ /#':i"! a satis*a%t'#) a"it t#ai$ a&" "!'&st#at! that a& !**'#t as a"! t' !sta2$ish th!:ia2i$it) '* a /'t!&tia$ %''/!#at'#. This i&*'#ati'& sh'$" 2! /#':i"!" t' th! a//$i%a2$! #!s!a#%h"i:isi'&.

Sita2i$it) '* a /'t!&tia$ /a#t&!# a$s' st 2! %'&si"!#!" *#' !thi%a$ a&" /2$i% /!#%!/ti'& /'i&ts '* :i!. Th! D!%isi'&-T#!! ='# 6a> has 2!!& /#!/a#!" t' h!$/ th! #!s!a#%h!# !:a$at! th!s! s2t$!# 2t :!#) i/'#ta&t iss!s h!& %'&si"!#i&( a /'t!&tia$ /a#t&!#. It is hi(h$) #!%'!&"!" that th!#!s!a#%h!# s!#i's$) (' th#'(h th! "!%isi'& t#!! at this /'i&t i& %'&si"!#i&( a /'t!&tia$ CRADA /a#t&!#. I* th! D!%isi'&-T#!! %#!at!s "'2ts '# "!:!$'/s !sti'&sG th! #!s!a#%h!# sh'$" %'&s$t ith



his '# h!# s/!#:is'#s a&"?'# th! Bsi&!ss D!:!$'/!&t B#a&%h 2!*'#! /#'%!!"i&( *#th!# t'a#"s aCRADA. I* th! D!%isi'&-T#!! is %'/$!t!" s%%!ss*$$)G /#'%!!" ith th! !sti'&s '& '# 62 a&"a3! s#! th!) a#! a&s!#!" /#'/!#$).

Ste) 2? &egotiation of !A'A Ter+s and State+ent of ork Stat!!&t '* W'#3 =SOW>O&%! th! #!s!a#%h!# "!t!#i&!s that th! t!%h&i%a$ a&" !%'&'i% '2L!%ti:!s '* a& i&"st#ia$ /a#t&!# at%h!s th! &!!"s '* his?h!# #!s!a#%h /#'(#aG th! #!s!a#%h!# sh'$" '#3 ith th! /'t!&tia$%''/!#at'# t' "#a*t a Stat!!&t '* W'#3 =SOW> that "!s%#i2!s th! CRADA !**'#t a&" its 't%'!s.Th! SOW sh'$" 2! a %'&%is!G t!%h&i%a$ /#'/'sa$ %'&tai&i&( th! 3i&"s '* i&*'#ati'& *'&" i&t)/i%a$ %'&t#a%ts. It sh'$" %'&sist '* th! *'$$'i&( s2s!%ti'&s<

Ba%3(#'&" I&%$"! th! hist'#) '* th! '//'#t&it) '# /#'2$!J th! a#3!t "!a&"Gi&"st#) &!!"G '# %'!#%ia$ /'t!&tia$ '* th! i"!aJ !a#$i!# att!/ts t' s'$:! th! /#'2$! '# !@/$'it th! '//'#t&it)J /#'L!%ti'&s '* i&%#!asi&( &!!" '# "!a&".

O2L!%ti:! I&%$"! th! s/!%i*i% !as#a2$! #!s$t '* th! %##!&t RD ='# !:a$ati'&> /#'L!%t<th! /#'2$! t' 2! s'$:!"J th! "!:i%! t' 2! "!si(&!"G !&ha&%!"G t!st!"G '# #!*i&!".

Tas3s I"!&ti*) !a%h tas3 '# st!/ &!%!ssa#) t' #!a%h th! stat!" '2L!%ti:! sh'$" 2! "!s%#i2!"i& "!tai$. I&%$"!" i& th! "!s%#i/ti'& sh'$" 2! a $ist '* th! !"!#a$ $a2'#at'#) #!s/'&si2i$iti!s*'# that tas3 a&" th! #!s/'&si2i$iti!s '* th! CRADA /a#t&!#.

E@/!%t!" R!s$ts D!t!#i&! th! i/$i%ati'&s '* th! /#'L!%tJ sh'#t-t!# (!&!#ati'&s '* a""iti'&a$ /#'L!%ts '# #!s!a#%hJ $'&(!#-t!# %'!#%ia$iati'& '* th! #!s!a#%h at!#ia$sJ!stiat!s '* !@/!%t!" *i&a&%ia$ #!t#& '& th! i&:!&ti'&s ass'%iat!" ith th! /#'L!%t.

C'&st#ai&ts I"!&ti*) &%!#tai&ti!s i& th! *t#! '# !stiat!s ass'%iat!" ith th! /#'L!%tJass/ti'&s a2't *t#! !:!&ts a&" th! a:ai$a2i$it) '* #!s'#%!sG /!#s'&&!$G '# !i/!&tJ!sti'&s '* t!%h&i%a$ *!asi2i$it)J "!a"$i&!sG i&"'s-'*-'//'#t&it)G '# 'th!# %'&st#ai&ts.

R!s'#%!s - A "!tai$!" $ist '* a$$ #!s'#%!s 2!i&( s//$i!" t' th! CRADA 2) th! /a#t&!#si&%$"i&( %ash %'&t#i2ti'&s a&" a& !stiat! '* i&-3i&" !@/!&s!s /UST 2! i&%$"!".

O&%! a//#':!"G th! SOW 2!%'!s th! 3!) /a#t '* th! %'/$!t!" CRADA.

D!tai$!" i&st#%ti'&s *'# %'/$!ti&( th! C':!# a(! =*'# 9 - ,;4;> a&" Stat!!&t '* W'#3 a#!i&%$"!" &"!# CRADA *'# 0. A$s'G th!s! i&st#%ti'&s %':!# a!&"!&ts t' a CRADA.

!"!#a$ R!(ist!# N'ti%!It is s((!st!" that 2!*'#! /#si&( *#th!# &!('tiati'&sG a !"!#a$ R!(ist!# &'ti%! sii$a# t' th!sa/$!s i&%$"!" i& '#s ,a a&" ,2 sh'$" 2! /#!/a#!" a&" /2$ish!" 2) th! a//$i%a2$! B#!aDis%i/$i&! t' s2sta&tiat! that th! B#!a has !t th! *ai#&!ss-'*-'//'#t&it) '2$i(ati'&s #!i#!" 2)t!%h&'$'() t#a&s*!# statt!s. Th! *ai#&!ss-'*-'//'#t&it) sta&"a#" !&%'/ass!s t' !$!!&ts<

1> Th! ':!#&!&t a(!&%) '# B#!a !&(a(i&( i& th! t!%h&'$'() t#a&s*!# a%ti:it) has i"!$)



%'&i%at!" '# a":!#tis!" its s%i!&ti*i% %a/a2i$it) a&" its i&t!#!st i& %'$$a2'#ati'&sJ a&"

,> Th! s!$!%ti'& '* a si&($! %'/a&) *#' $ti/$! a//$i%a&ts is 2as!" '& '2L!%ti:! %#it!#ia.Th! '2L!%ti:! '* 'st !"!#a$ a(!&%i!s '# B#!as sh'$" 2! t' a%%''"at! as a&) %'$$a2'#ati:! /a#t&!#s as /'ssi2$! i& a si&($! CRADAJ h'!:!#G i& a&) sitati'&sG a si&($! /a#t&!# is th! 2!sta//#'a%h *'# t#a&s*!##i&( a /a#ti%$a# t!%h&'$'().

'#s ,a a&" ,2 sh' t' t)/!s '* !"!#a$ R!(ist!# &'ti%!s. Th! *i#st *'#at is 'st sit!" *'# CRADAs h!#! '&$) '&! /a#t&!# is a//#'/#iat!. Th! s!%'&" *'#at is a//#'/#iat! *'# sitati'&s i&hi%h th! /#ia#) %'$$a2'#at'# is i$$i&( t' '/!& th! CRADA t' 'th!#s i& '#"!# t' i&%#!as! th!#!s'#%! /''$ '# !@/!#tis! 2as!.

O&%! #!/$i!s ha:! 2!!& #!%!i:!" i& #!s/'&s! t' th! !"!#a$ R!(ist!# &'ti%!G th! /#i&%i/a$ i&:!sti(at'# a) ish t' %'&"%t /#!$ii&a#) "is%ssi'&s a2't /'ssi2$! /a#t&!#shi/ '//'#t&iti!s ith 'th!# %'/a&i!s !@/#!ssi&( i&t!#!st.

Sha#i&( th! CRADA !&!#a$ #':isi'&s

At th! sa! ti! h!?sh! is /#!/a#i&( th! !"!#a$ R!(ist!# &'ti%!G th! /#i&%i/a$ i&:!sti(at'# sh'$"s!&" th! /'t!&tia$ %''/!#at'# a %'/) '* th! B#!as !&!#a$ #':isi'&s *'# a CRADA. Th!#!s!a#%h!# a) ish t' i&"i%at! t' th! %''/!#at'# that !$!!&ts '* th! CRADA a#! &!('tia2$!Gh'!:!#G t!#s '* th! !&!#a$ #':isi'&s %a&&'t 2! %ha&(!" *#' th! '"!$ ith't i&:'$:i&( th!Bsi&!ss D!:!$'/!&t B#a&%h. I* th! /'t!&tia$ /a#t&!# has a&) !sti'&s %'&%!#&i&( th! !&!#a$#':isi'&s '# ish!s t' %ha&(! a&) '* th! a#ti%$!sG th!) sh'$" 2! #!*!##!" t' th! Bsi&!ssD!:!$'/!&t B#a&%h. C'/i!s '* th! USS !&!#a$ #':isi'&s a#! i&%$"!" as /a#t '* '# 0 '* thiss!%ti'&.

Th! /#i&%i/a$ i&:!sti(at'# st 3!!/ his?h!# #!s/!%ti:! 2#a&%hG '**i%! a&"?'# Dis%i/$i&! a//#is!" '* "is%ssi'&s %'&"%t!" ith th! /'t!&tia$ %''/!#at'# si&%! a$$ /#'/'s!" CRADAs st 2! s//'#t!"

2) th! #!s!a#%h!#s i!"iat! s/!#:is'# a&" Dis%i/$i&! %hi!*. Th! /#i&%i/a$ i&:!sti(at'# st *'$$'a&) a//$i%a2$! Dis%i/$i&! /'$i%) '& th! s2issi'& '* CRADAs.

Ste) 3? A))licable ureau 'isci)line !evie5Th! #!s!a#%h!# '$" /#!/a#! a Dis%i/$i&! /#'/'sa$ =s!! '# 4> *'# '**i%ia$ Dis%i/$i&! #!:i! hi$!*i&a$ &!('tiati'&s a#! &"!#a). #'/'sa$s sh'$" 2! s2itt!" *'# Dis%i/$i&! #!:i!G as s''& as /'ssi2$!G t' a$$' ti! *'# '"i*i%ati'&s '# %$a#i*i%ati'&s. i&a$ Dis%i/$i&! a(#!!!&t is &'#a$$) &'t(#a&t!" &ti$ th! &!('tiati'&s a#! %'&%$"!".

Th! #!s!a#%h!# sh'$" a$s' %'/$!t! a C'&*$i%t '* I&t!#!st Stat!!&t ='# 5>. This *'# i"!&ti*i!sa&) /'t!&tia$ %'&*$i%t that th! #!s!a#%h!# a) ha:! 'th!# tha& /'ssi2$! /at!&t #')a$ti!s.

C'/$!ti'& '* th! CRADA D!%isi'&-T#!! ='# 6a> a&" !!ti&( th! %#it!#ia *'# a%%!/ta&%! as!:i"!&%!" 2) a /#'/!#$) %'/$!t!" %h!%3$ist ='# 62>G as !$$ as a 2#i!* !'#a&" ='# 7>si(&!" 2) th! Dis%i/$i&!s a//#':i&( ath'#it) %'/$!t! th! Dis%i/$i&! A//#':a$ a%3a(!. This /a%3a(! 2asi%a$$) %!#ti*i!s that th! Dis%i/$i&! has th! #!s'#%!s a&" i&t!#!st i& /#si&( th! CRADAa%ti:it).

Ste) 4? Associate 'irectorJs A))roval



Th! Dis%i/$i&!-a//#':!" CRADA /a%3a(!G i&%$"i&(<

1> Th! %'/$!t! CRADA "'%!&t %'&sisti&( '* %':!# /a(!G stat!!&t '* '#3G a&"!&!#a$ #':isi'&s ='# 0>G

,> A %'/) '* th! !"!#a$ R!(ist!# &'ti%! ='# ,>G

0> A %'/) '* th! Dis%i/$i&!-a//#':!" C'&*$i%t '* I&t!#!st Stat!!&t ='# 5>G

4> C'/$!ti'& '* th! D!%isi'&-T#!! a&" a %'/) '* th! CRADA C#it!#ia *'# A%%!/ta&%!%h!%3$ist ='# 62>G a&"

5> Th! !'#a&" *#' th! Dis%i/$i&! #!%'!&"i&( th! CRADA *'# a//#':a$ ='# 7>

sh'$" 2! *'#a#"!" t' !2!#s '* th! Bsi&!ss E&t!#/#is! C'&%i$ =BEC> th#'(h th!Dis%i/$i&!s #!/#!s!&tati:! '& th! BEC. This %'&%i$G %'&sisti&( '* #!/#!s!&tati:!s *#' th!O**i%! '* th! Di#!%t'#G Bsi&!ss D!:!$'/!&t B#a&%h a&" th! Dis%i/$i&!sG #!:i!s a$$

CRADAs. I* th! CRADA !**'#t !!ts USS '2L!%ti:!s a&" sta&"a#"sG th! %'&%i$#!%'!&"s a//#':a$ '* th! CRADA. A&) &!('tiati'&s ':!# %ha&(!s t' th! !&!#a$#':isi'&s i$$ ha:! '%%##!" /#i'# t' th! Dis%i/$i&! a//#':a$ '* th! CRADA. Withi& th!USSG th!s! &!('tiati'&s a#! %'&"%t!" 2) Bsi&!ss D!:!$'/!&t B#a&%h /!#s'&&!$ iths//'#t *#' th! D!/a#t!&ts O**i%! '* th! S'$i%it'#.

O&%! th! BEC #!%'!&"s a//#':a$ '* th! CRADAG th! Dis%i/$i&! is &'ti*i!". Th!Dis%i/$i&! /#!/a#!s th! t#a&sitta$ $!tt!# *'# th! Ass'%iat! Di#!%t'#s si(&at#! ='# 7>. Th!Ass'%iat! Di#!%t'# si(&s th! t' %'/i!s '* th! CRADA a&" *'#a#"s 2'th t' th! /a#t&!# *'# si(&at#!. Th! Ass'%iat! Di#!%t'#s $!tt!# '* t#a&sitta$ t' th! /a#t&!# as3s that th! /a#t&!# si(& 2'th %'/i!sG #!tai& '&! %'/) a&" #!t#& th! 'th!# t' th! Bsi&!ss D!:!$'/!&t B#a&%h.

=S!! '# 8>.

Wh!& th! '#i(i&a$ si(&!" CRADA %'/) is #!t#&!" t' th! Dis%i/$i&!G it sh'$" 2! t#!at!" as a:a$a2$! "'%!&tG /a#ti%$a#$) si&%! th! *i&a$ a(#!!!&t a) %'&tai& s'! /#'/#i!ta#) "ata*#' th! /a#t&!#.

Ste) ,? 9ost:9roEect "valuationTh! /#i&%i/a$ #!s!a#%h!# i&:'$:!" ith th! CRADA !**'#t sh'$" t#a%3 /#'(#!ss a&" !&s#! that!@/!&"it#!s '* a&) i&%'i&( %'$$a2'#at'# "'$$a#s a&" /#'(#a *&"s a#! #!/'#t!" as /!# th!i# Dis%i/$i&!s /'$i%). '# 1; a) assist i& a&&a$ /#'L!%t #!/'#ti&( a&" %$'s!'t t' th! Dis%i/$i&!%'&%!#&i&( CRADA /#'(#!ssG !@/!&"it#!sG a&" i$!st'&!s. This t)/! '* #!/'#ti&( a$s' /#':i"!sa"it t#ai$s.

U&"!# th! t!#s '* th! CRADAG !a%h /a#t) t' th! a(#!!!&t has th! '2$i(ati'& t' #!/'#t i&:!&ti'&st' th! 'th!# /a#t&!#. Th! CRADAs !&!#a$ #':isi'&s at A#ti%$! 4 =at!&t Ri(hts> /#':i"!s a"!tai$!" i&:!&ti'& "is%$'s#! *'#at. USS !/$')!!s %a& s! th! D!/a#t!&ts *'# DI-1,15=sh'& i& this ha&"2''3 as '# 9>. Th! %''/!#at'# %a& s! a&) *'#at that /#':i"!s th! "!tai$s%a$$!" *'# i& th! CRADA. It is th! /#i&%i/a$ #!s!a#%h!#s #!s/'&si2i$it) t' a3! s#! that th!s!"is%$'s#!s a#! i&%'#/'#at!" i&t' th! Dis%i/$i&!s '&it'#i&( /#'(#a *'# !a%h /#'L!%t.



!A'A or+s



or+ 1? $ndustrial 9artici)ant uestionnaire

=%9T$%&A8>



INDUSTRIA ARTICIANT UESTIONNAIRE

'# t' 2! s!&t a&" %'/$!t!" 2) th! I&"st#ia$ a#ti%i/a&tG U&i:!#sit) '# C'&s'#tia i&t!#!st!" i& a CRADA '# a /'ssi2$! $i%!&s! ith USS.

or)orate $nfor+ation

1. !(a$ Na!?A""#!ss<

a. A#! )' a s2si"ia#) '* a $a#(!# %'#/'#ati'&+ PPPPY!s PPP N'

I* )!sG /$!as! $ist /a#!&t %'/a&) a&" &ati'&a$it) '* /a#!&t %'#/'#ati'&.

2. I* )' '/!#at! i& '#! tha& '&! $'%ati'& i& hat stat! '# %'&t#) %'$" #!s!a#%h '#a&*a%t#! ta3! /$a%!+

,. D' )' a$i*) as a&) '* th! *'$$'i&(<

a. a sa$$ 2si&!ss PPPPY!s PPPN'.

2. a i&'#it) '# 'a& '&!" 2si&!ss PPPP Y!s PPPN'

%. U&i:!#sit) PPPPY!s PPPPN'

". C'&s'#tia PPPPY!s PPPPN'

0. What USS t!%h&'$'()?/at!&t )' a#! i&t!#!st!" i&+

4. H' "i" )' $!a#& a2't USS t!%h&i%a$ %a/a2i$it) i& this a#!a+ =E@a/$!< Att!&"!" a t!%h&i%a$ ta$3G att!&"!" a

t!%h&'$'() t#a&s*!# s!ssi'&.>

5. What t)/! '* t!%h&i%a$ !@%ha&(! a#! )' i&t!#!st!" i&+

PPPPCRADA PPPi%!&s! PPPOth!#

a. I* )' a#! i&t!#!st!" i& a CRADAG i"!&ti*) th! t)/!s '* #!s'#%!s that )' %'$" %'&t#i2t! t' th! /#'L!%t 2)%h!%3i&( a$$ a//#'/#iat! 2'@!s.

=1> PPP/!#s'&&!$ PPP!&(i&!!#i&( PPPs%i!&ti*i%

PPPa#3!ti&( PPP'th!# !stiat!" :a$!PPP

=,> PPP*a%i$iti!s PPP!i/!&t !stiat!" :a$!PPP

6. What is )'# /#ia#) 2si&!ss t!%h&'$'() '# /#'"%t+ H' "'!s th! USS t!%h&'$'() %'/$i!&t '# !&ha&%!)'# '#(a&iati'&s %##!&t /#'"%ts+ Is this t!%h&'$'() i&t!&"!" as a &! /#'"%t $i&!+

7. What a//$i%ati'&s *'# th! t!%h&'$'() a#! )' i&t!#!st!" i&+ =E@a/$!< !"i%a$G at''ti:!G !&:i#'&!&ta$#!i"ati'& *'# at!#.>



8. D'!s )'# %'/a&) a$#!a") ha:! t!%h&i%a$ 2a%3(#'&" '# /at!&ts i& this a#!a+ PPPY!s PPPN'I* )!sG /$!as! "!s%#i2! 2#i!*$).

9. Is )'# '#(a&iati'& '& a&) "!/a#t!&t $ist '# &"!# a&) t)/! '* EA &'&-%'/$ia&%! $ist+



or+ 2? Sa+)les of ederal !egister Announce+ents



SA/98" "'"!A8 !"G$ST"! &%T$" or+at 2a

Geological Survey

Technology Transfer Act of 1;<6

Agency? U&it!" Stat!s !'$'(i%a$ S#:!)G I&t!#i'#.

Action? N'ti%! '* /#'/'s!" %''/!#ati:! #!s!a#%h a&" "!:!$'/!&t a(#!!!&t =CRADA>&!('tiati'&s.

SU//A!? Th! U&it!" Stat!s !'$'(i%a$ S#:!) =USS> is %'&t!/$ati&( !&t!#i&( i&t' aC''/!#ati:! R!s!a#%h a&" D!:!$'/!&t A(#!!!&t =CRADA> ith =insert )artner

na+e> t' =insert )ur)ose of !A'A>.

$&U$!$"S? I* a&) 'th!# /a#ti!s a#! i&t!#!st!" i& sii$a# a%ti:iti!s ith th! USSG /$!as! %'&ta%t<=insert )rinci)al investigator or designated USGS contact>.

SU998"/"&TA! $&%!/AT$%&? This &'ti%! is t' !!t th! USS #!i#!!&t sti/$at!" i&th! S#:!) Ma&a$.

Dat!"< =insert date>

=&a+e of ederal !egister notice sub+itter>



SA/98" "'"!A8 !"G$ST"! &%T$" or+at 2b

Geological Survey

Technology Transfer Act of 1;<6

Agency? U&it!" Stat!s !'$'(i%a$ S#:!)G I&t!#i'#.

Action? N'ti%! '* /#'/'s!" %''/!#ati:! #!s!a#%h a&" "!:!$'/!&t a(#!!!&t =CRADA>&!('tiati'&s a&" i&:itati'&s *'# 'th!# /a#ti%i/a&ts.

SU//A!? Th! U&it!" Stat!s !'$'(i%a$ S#:!) a&" =insert )artner na+e> a#! %'&si"!#i&(*'#i&( a C''/!#ati:! R!s!a#%h a&" D!:!$'/!&t A(#!!!&t =CRADA> t' =insert )ur)ose>. W!a#! i&t!#!st!" i& 'th!# /'ssi2$! /a#t&!#s i& this !**'#t. W! a#! $''3i&( *'# a /a#t&!# '# /a#t&!#s that!!t th! *'$$'i&( #!i#!!&ts< =insert )artner reKuire+entsB i.e.B ca)abilitiesB etc.>

R!i#!!&t 1< =insert>R!i#!!&t , =etc.>

INUIRIES< I* )'# %'/a&) is i&t!#!st!" a&" it !!ts th! a*'#!!&ti'&!" #!i#!!&tsG /$!as!s2it a $!tt!# '* i&t!#!st a""#!ssi&( th!s! #!i#!!&ts t'< =na+e of )rinci)al investigator or

designated USGS contact>.

SU998"/"&TA! $&%!/AT$%&? This &'ti%! is t' !!t th! USS #!i#!!&t sti/$at!" i&th! S#:!) Ma&a$.

Dat!"< =insert date>

=&a+e of ederal !egister sub+itter>



or+ 3? The !A'A 'ocu+ent

a> %#"! 9AG" =%!/ ; : 2040>

b> STAT"/"&T % %!(

c> G"&"!A8 9!%#$S$%&S

d> %!/ %! A/"&'/"&TS =%!/ ; : 2041>

e> $&ST!UT$%&S %! %/98"T$&G TH" !A'A'%U/"&T A&' A/"&'/"&TS





9age CCC of CCCC

STAT"/"&T % %!(

=A detailed State+ent of ork =S%> follo5s the over 9age. See the follo5ing instructionsfor contents of the S%. All )ages throughout the entire !A'A docu+entB over 9age

through General 9rovisionsB are seKuentially nu+bered.>



%%9"!AT$#" !"S"A!H A&' '"#"8%9/"&T AG!""/"&T%! A 9!%"T "T""& TH" U.S. G"%8%G$A8 SU!#" A&'

%&" %88A%!AT%!

!&!#a$ #':isi'&s

This C''/!#ati:! R!s!a#%h a&" D!:!$'/!&t A(#!!!&t =CRADA> is !&t!#!" i&t' 2) a&" 2!t!!& PPPPPPPPPPPPPPPPPPPPPPP =th! C'$$a2'#at'#>G a&" PPPPPPPPPPPPPPPPPPP'* th!U&it!" Stat!s !'$'(i%a$ S#:!)=USS>. Th! /a#ti!s a(#!! as *'$$'s<

A#ti%$! 1. 'efinitions1.1 Th! t!# C''/!#ati:! R!s!a#%h a&" D!:!$'/!&t A(#!!!&t =CRADA> !a&s th!"'%!&t "!s%#i2i&( #!s!a#%h a%ti:iti!s that a#! L'i&t$) &"!#ta3!& 2) th! USS a&" '&! '# '#!&'&-!"!#a$ /a#ti!s that ha:! !&t!#!" i&t' a CRADA ith USS *'# that /#/'s!.

1., Th! t!# I&:!&ti'& !a&s a&) i&:!&ti'& '# "is%':!#) hi%h is '# a) 2! /at!&ta2$! &"!#Tit$! 05 '* th! U&it!" Stat!s C'"!.

1.0 Th! t!# a"! i& #!$ati'& t' a&) i&:!&ti'& !a&s th! %'&%!/ti'& '# *i#st a%ta$ #!"%ti'& t' /#a%ti%! '* s%h i&:!&ti'&.

1.4 Th! t!# #'/#i!ta#) I&*'#ati'& !a&s i&*'#ati'& hi%h !2'"i!s t#a"! s!%#!ts"!:!$'/!" at /#i:at! !@/!&s! 'tsi"! '* this CRADA '# hi%h is %'&*i"!&tia$ t!%h&i%a$G 2si&!ssG '#*i&a&%ia$ i&*'#ati'& /#':i"!" that s%h i&*'#ati'&<

=i> Is &'t (!&!#a$$) 3&'& '# a:ai$a2$! *#' 'th!# s'#%!s ith't '2$i(ati'&s %'&%!#&i&(its %'&*i"!&tia$it)J

=ii> Has &'t 2!!& a"! a:ai$a2$! 2) th! '&!#s t' 'th!#s ith't '2$i(ati'& %'&%!#&i&(

its %'&*i"!&tia$it)J a&"=iii> Is &'t a$#!a") a:ai$a2$! t' th! ':!#&!&t ith't '2$i(ati'& %'&%!#&i&( its

%'&*i"!&tia$it).

1.5 Th! t!# S2L!%t Data !a&s a$$ #!%'#"!" i&*'#ati'& *i#st /#'"%!" i& th! /!#*'#a&%! '* this CRADA.

1.6 Th! t!# S2L!%t I&:!&ti'& !a&s a&) i&:!&ti'& '* th! C'$$a2'#at'# '# USS %'&%!i:!" '# *i#st a%ta$$) #!"%!" t' /#a%ti%! i& th! /!#*'#a&%! '* '#3 &"!# this CRADA.

1.7 Th! t!# I&t!$$!%ta$ #'/!#t) !a&s /at!&tsG t#a"!a#3sG %'/)#i(htsG t#a"! s!%#!tsG as3'#3s a&" 'th!# *'#s '* %'/a#a2$! /#'/!#t) /#'t!%ta2$! 2! !"!#a$G Stat!G '# *'#!i(& $as.

1.8 Th! t!# Ba%3(#'&" I&t!$$!%ta$ #'/!#t) =BI> #!*!#s t' a /at!&t '# /at!&t a//$i%ati'&%':!#i&( a& i&:!&ti'& '# "is%':!#) '* !ith!# /a#t)G '# a %'/)#i(ht!" '#3G a as3 '#3G t#a"! s!%#!t'# t#a"!a#3 "!:!$'/!" ith s!/a#at! *&"s 'tsi"! '* th! CRADA 2) '&! '* th! /a#ti!s '# ith'th!#s. BI is &'t %'&si"!#!" as a S2L!%t I&:!&ti'&.

1.9 Th! t!# C#!at!" i& #!$ati'& t' a&) %'/)#i(hta2$! s'*ta#! '#3 !a&s h!& th! '#3



is *i@!" i& a&) ta&(i2$! !"i '* !@/#!ssi'& *'# th! *i#st ti!G as /#':i"!" *'# at 17 U.S.C. 1;1.

1.1; Th! t!# !&!#at!" I&*'#ati'& !a&s i&*'#ati'& /#'"%!" i& th! /!#*'#a&%! '* th!CRADA.

1.11 Th! t!# #'t!%t!" CRADA I&*'#ati'& !a&s !&!#at!" I&*'#ati'& hi%h is a#3!"as 2!i&( #'t!%t!" CRADA I&*'#ati'& 2) a /a#t) t' this a(#!!!&t a&" hi%h '$" ha:! 2!!&#'/#i!ta#) I&*'#ati'& ha" it 2!!& '2tai&!" *#' a &'&-!"!#a$ !&tit).

1.1, Th! t!# C'$$a2'#at'#s Assi(&!" E/$')!!s !a&s th's! !/$')!!s '* th!C'$$a2'#at'# h' a#! /#!s!&t at USS *a%i$iti!s *'# a %'&ti&'s /!#i'" '* '#! tha& , !!3s.

A#ti%$! ,. State+ent of ork C''/!#ati:! #!s!a#%h /!#*'#!" &"!# this CRADA sha$$ 2! /!#*'#!" i& a%%'#"a&%! ith th!Stat!!&t '* W'#3 atta%h!" h!#!t' as /a(!s , th#'(h PPP. A&) '"i*i%ati'& t' this i&itia$ s%'/!sha$$ 2! a"! 2) ta$ a(#!!!&t 2!t!!& th! C'$$a2'#at'# a&" USS a&" sha$$ 2! i&%'#/'#at!"h!#!i& 2) a *'#a$$) !@!%t!" #itt!& a!&"!&t t' this CRADA as /!# A#ti%$! 1,.5.

A#ti%$! 0. inancial %bligation0.1 Th! t!# '* th! L'i&t /#'L!%t is *#' PPPPPPPPP t'PPPPPPPPPP. Th! C'$$a2'#at'#s t'ta$%'&t#i2ti'& is !stiat!" at PPPPPPPPPPPPP. O* th! t'ta$ stat!" a2':!G PPPPPPPPP is "i#!%t%'&t#i2ti'& t' th! USS a&" PPPPPPPPPPP is i&-3i&" s!#:i%!s a&" #!s'#%!s. M!th'" a&"s%h!"$i&( '* /a)!&t *'# %##!&t a&" s2s!!&t )!a#s is i&%$"!" '& %':!# atta%h!&t9-,;4; '# i$$ 2! /#':i"!" a&&a$$) 2) a!&"!&t t' th! CRADA !&!#a$ #':isi'&s.

0., Th! %'&t#i2ti'& '* USS sha$$ 2! i& th! *'# '* $a2'#G !i/!&tG *a%i$iti!sG i&*'#ati'&Ga&"?'# %'/t!# s'*ta#! !stiat!" at PPPPPPPPPPPPPs2L!%t t' a:ai$a2$! *&"i&(.

0.0 R')a$t) /a)!&tsG h!& #!i#!"G sha$$ 2! a"! 2) th! C'$$a2'#at'# t' USS i&a%%'#"a&%! ith /#':isi'&s '* A#ti%$!s 4.6. a&" 6.1. A$$ /a)!&ts 2) th! C'$$a2'#at'# sha$$ 2!a"! /a)a2$! t' th! U&it!" Stat!s !'$'(i%a$ S#:!) a&" ai$!" t' th! *'$$'i&( a""#!ss<

U.S. !'$'(i%a$ S#:!)R!st'&G Vi#(i&ia ,;19,

A#ti%$! 4. 9atent !ights4.1 !e)orting. Th! /a#ti!s a(#!! t' "is%$'s! t' !a%h 'th!# !:!#) S2L!%t I&:!&ti'&G hi%h a) 2! /at!&ta2$! '# 'th!#is! /#'t!%ta2$!G ithi& 6; "a)s '* th! ti! that a& i&:!&ti&( /a#t) #!/'#ts s%hi&:!&ti'& t' th! /!#s'&=s> #!s/'&si2$! *'# /at!&t att!#s i& th! i&:!&ti&( '#(a&iati'&. Th!s!"is%$'s#!s sh'$" 2! i& s**i%i!&t !&'(h "!tai$ t' !&a2$! a #!:i!!# t' a3! a&" s! th! i&:!&ti'&&"!# 05 U.S.C. 11,. Th! "is%$'s#! sha$$ a$s' i"!&ti*) a&) statt'#) 2a#sG i.!.G /#i&t!" /2$i%ati'&s"!s%#i2i&( th! i&:!&ti'& '# /2$i% s! '# sa$! '* th! i&:!&ti'& i& this %'&t#). Th! /a#ti!s *#th!#a(#!! t' "is%$'s! t' !a%h 'th!# a&) s2s!!&t statt'#) 2a# that '%%#s *'# a& i&:!&ti'& "is%$'s!" 2t*'# hi%h a /at!&t a//$i%ati'& has &'t 2!!& *i$!". A$$ i&:!&ti'& "is%$'s#!s sha$$ 2! a#3!" as%'&*i"!&tia$ &"!# 05 U.S.C. ,;5.



4., ollaborator "+)loyee $nventions. USSG '& 2!ha$* '* th! U.S. ':!#&!&tG ai:!s a&)'&!#shi/ #i(hts th! U.S. ':!#&!&t a) ha:! i& S2L!%t I&:!&ti'&s a"! 2) th! C'$$a2'#at'#s!/$')!!s &"!# th! A(#!!!&t a&" a(#!!s that th! C'$$a2'#at'# sha$$ ha:! th! '/ti'& t' #!tai& tit$!t' a&) s%h !/$')!! S2L!%t I&:!&ti'&. Th! C'$$a2'#at'# sha$$ /#'/t$) &'ti*) USS /'& a3i&(this !$!%ti'& a&" a(#!!s t' *i$! /at!&t a//$i%ati'&s '& s%h S2L!%t I&:!&ti'& at its '& !@/!&s! a&" i&a ti!$) *ashi'&. Th! C'$$a2'#at'# a(#!!s t' (#a&t t' th! U.S. ':!#&!&t '& its !/$')!!s S2L!%tI&:!&ti'&s a &'&!@%$si:!G i##!:'%a2$!G /ai"-/ $i%!&s! i& th! /at!&ts %':!#i&( a S2L!%t I&:!&ti'& t' /#a%ti%! '# ha:! /#a%ti%!"G th#'(h't th! '#$" 2)G '# '& 2!ha$* '* th! U.S. ':!#&!&t. S%h&'&!@%$si:! $i%!&s! sha$$ 2! !:i"!&%!" 2) a %'&*i#at'#) $i%!&s! a(#!!!&t /#!/a#!" 2) th!C'$$a2'#at'# i& a *'# satis*a%t'#) t' USS. =S!! A#ti%$! 4.4>

4.0 USGS "+)loyee $nventions.4.0.1 USSG '& 2!ha$* '* th! U.S. ':!#&!&tG sha$$ ha:! th! i&itia$ '/ti'& t' #!tai& tit$! t' !a%hS2L!%t I&:!&ti'& a"! 2) its !/$')!!s &"!# this A(#!!!&t. I* a& i&:!&ti'& is a"! L'i&t$) 2) /!#s'&&!$ '* 2'th /a#ti!s &"!# this A(#!!!&tG it a&" a$$ /at!&t a//$i%ati'&s a&"'# /at!&ts iss!"th!#!'& sha$$ 2! L'i&t$) '&!" 2) th! /a#ti!sG a&" a:ai$a2$! *'# s! a&" $i%!&si&( ith't '2$i(ati'& t'a%%'&t t' th! 'th!# /a#t)G s2L!%t t' th! '2$i(ati'&s %'&tai&!" i& A#ti%$!s 4G 7G a&" 9. USS a)

#!$!as! th! #i(hts /#':i"!" *'# 2) this A#ti%$! t' !/$')!! i&:!&t'#s '# t' th! C'$$a2'#at'# s2L!%t t' a$i%!&s! i& USS =S!! A#ti%$! 4.4>.

4.0., I* th! USS a(#!!s t' (#a&tG %'&:!)G a&" assi(& th! !&ti#! tit$! t' a&) i&:!&ti'& a"! &"!#this a(#!!!&t t' th! C'$$a2'#at'# *'# $!ss tha& th! *ai# a#3!t :a$! '* th! i&:!&ti'& '# th! /'#ti'&%'&:!)!"G a&" i* th! i&:!&t'# is a& !/$')!! '* th! U.S. ':!#&!&t at th! ti! th! i&:!&ti'& isa"! '# a&) /'#ti'& th!#!'*G th!& th! USS a&" th! C'$$a2'#at'# sha$$ ta$$) a(#!! ith #!s/!%t t'a& a//#'/#iat! s '* '&i!s t' 2! (i:!& as *ai# %'/!&sati'& t' th! (':!#&!&t !/$')!!. Thisa(#!!!&t sha$$ 2! #!a%h!" 2!*'#! s%h %'&:!)a&%! is %'&sat!". C'/!&sati'& a(#!!!&ts sha$$ 2! a"! i& a%%'#"a&%! ith th! !"!#a$ T!%h&'$'() A%t '* 1986 a&" E@!%ti:! O#"!# 1,591 "at!"A/#i$ 1;G 1987.

4.4 iling of 9atent A))lications. Th! /a#t) ha:i&( th! #i(ht t' #!tai& tit$! a&" *i$! /at!&ta//$i%ati'&s '& a s/!%i*i% S2L!%t I&:!&ti'& a) !$!%t &'t t' *i$! /at!&t a//$i%ati'&s th!#!'& /#':i"!"that it s' a":is!s th! 'th!# /a#t) ithi& 9; "a)s *#' th! "at! it #!/'#ts th! S2L!%t I&:!&ti'& t' th!'th!# /a#t). Th!#!a*t!#G th! 'th!# /a#t) a) !$!%t t' *i$! /at!&t a//$i%ati'&s '& th! S2L!%t I&:!&ti'&a&" th! /a#t) i&itia$$) #!/'#ti&( s%h S2L!%t I&:!&ti'& a(#!!s t' assi(& its #i(ht tit$! a&" i&t!#!st i& s%hS2L!%t I&:!&ti'& t' th! 'th!# /a#t) a&" %''/!#at! ith s%h /a#t) i& th! /#!/a#ati'& a&" *i$i&( '* /at!&t a//$i%ati'&s th!#!'&. Th! assi(&!&t '* th! !&ti#! #i(ht tit$! a&" i&t!#!st t' th! /a#t) /#sa&t t'this A#ti%$! sha$$ 2! s2L!%t t' th! #!t!&ti'& 2) th! /a#t) assi(&i&( tit$! '* a &'&!@%$si:!G i##!:'%a2$!G /ai"-/ $i%!&s! t' /#a%ti%!G '# ha:! /#a%ti%!"G th! S2L!%t I&:!&ti'& th#'(h't th! '#$". I& th! !:!&tthat &!ith!# '* th! /a#ti!s t' this a(#!!!&t !$!%t t' *i$! a /at!&t a//$i%ati'& '& s2L!%t i&:!&ti'&G !ith!#'# 2'th =i* a L'i&t i&:!&ti'&> a)G at th!i# s'$! "is%#!ti'& a&" s2L!%t t' #!as'&a2$! %'&"iti'&sG #!$!as!th! #i(ht t' *i$! t' th! i&:!&t'#=s> ith a $i%!&s! i& !a%h /a#t) '* th! sa! s%'/! as s!t *'#th i& th!i!"iat! /#!%!"i&( s!&t!&%!.

4.5 9atent "*)enses. A$$ '* th! !@/!&s!s att!&"a&t t' th! *i$i&( '* /at!&t a//$i%ati'&s as s/!%i*i!"i& 4.4 a2':!G sha$$ 2! 2'#&! 2) th! /a#t) *i$i&( th! /at!&t a//$i%ati'&. A&) /'st *i$i&( a&" /'st /at!&t*!!s sha$$ a$s' 2! 2'#&! 2) th! sa! /a#t). Ea%h /a#t) sha$$ /#':i"! th! 'th!# /a#t) ith %'/i!s '* th! /at!&t a//$i%ati'&s it *i$!s '& a&) S2L!%t I&:!&ti'& a$'&( ith th! /'!# t' i&s/!%t a&" a3! %'/i!s '*



a$$ "'%!&ts #!tai&!" i& th! '**i%ia$ /at!&t a//$i%ati'& *i$!s 2) th! a//$i%a2$! /at!&t '**i%!.

4.6 8icense 9rovisions. I* #!!st!"G th! USS a(#!!s t' &!('tiat! ith th! C'$$a2'#at'# *'# a&!@%$si:! $i%!&s! t' s'$! '# L'i&t$) "!:!$'/!" i&:!&ti'&s i& th! *'$$'i&( i"!&ti*i!" *i!$" '* s! PPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPP. A&) s%h $i%!&s! sha$$ 2! &!('tiat!" i&"!/!&"!&t$)*#' th! CRADA a&" sha$$ i&%$"! #!as'&a2$! %'!#%ia$ t!#s. Th! %'$$a2'#at'#s #i(ht t' &!('tiat!a $i%!&s!=s> 2!(i&s at th! ti! that a& i&:!&ti'& "is%$'s#! is *i$!" a&" %!as!s 6 '&ths a*t!# th!t!#i&ati'& '* this CRADA *'# a$$ s2L!%t i&:!&ti'&s.

A#ti%$! 5. o)yrights5.1 Th! C'$$a2'#at'# sha$$ ha:! th! '/ti'& t' '& th! %'/)#i(ht i& a$$ s'*ta#! =i&%$"i&('"i*i%ati'&s a&" !&ha&%!!&t th!#!t'>G "'%!&tati'&G '# 'th!# '#3s %#!at!" i& h'$! '# i& /a#t 2)th! C'$$a2'#at'# &"!# this CRADAG hi%h is s2L!%t t' 2!i&( %'/)#i(ht!" &"!# Tit$! 17G U&it!"Stat!s C'"!. Th! C'$$a2'#at'# sha$$ a#3 a&) s%h '#3s ith a %'/)#i(ht &'ti%! sh'i&( th!C'$$a2'#at'# as th! ath'# '# %-ath'# a&" sha$$ i& its #!as'&a2$! "is%#!ti'& "!t!#i&! h!th!# t' *i$!a//$i%ati'&s *'# #!(ist#ati'& '* %'/)#i(ht.

5., Th! C'$$a2'#at'# a(#!!s t' (#a&t t' th! U.S. ':!#&!&tG s'$!$) *'# U.S. ':!#&!&t /#/'s!sG a &'&!@%$si:!G i##!:'%a2$!G /ai"-/G '#$"i"! $i%!&s! =h!#!i&a*t!# #!*!##!" t' as':!#&!&t #/'s! i%!&s!> i& a$$ %'/)#i(ht!" s'*ta#! '# 'th!# '#3s "!:!$'/!" &"!# thisa(#!!!&t. Th! ':!#&!&t #/'s! i%!&s! => %'&:!)s t' th! ':!#&!&t th! #i(ht t' s!G"/$i%at! '# "is%$'s! th! %'/)#i(ht!" s'*ta#! '# 'th!# '#3s i& h'$! '# i& /a#tG a&" i& a&) a&&!#G*'# (':!#&!&t /#/'s!s '&$)G a&" t' ha:! '# /!#it 'th!#s t' "' s' *'# (':!#&!&t /#/'s!s '&$).':!#&!&t /#/'s!s i&%$"! %'/!titi:! /#'%#!!&tG 2t "' &'t i&%$"! th! #i(ht t' ha:! '# /!#it'th!#s t' s! th! %'/)#i(ht!" s'*ta#! '# 'th!# '#3s *'# &'&-':!#&!&ta$ '# %'!#%ia$ /#/'s!s.

5.0 Th! C'$$a2'#at'# i$$ %$!a#$) a#3 a$$ %'/)#i(ht!" s'*ta#! '# 'th!# '#3s s2L!%t t' th! ith th!i# &a! a&" th! '#"s ':!#&!&t #/'s! i%!&s!.

5.4 Th! C'$$a2'#at'# sha$$ *#&ish USS at &' %'st t' USS at $!ast '&! %'/) '* !a%h s'*ta#!G"'%!&tati'&G '# 'th!# '#3 "!:!$'/!" i& h'$! '# i& /a#t 2) th! C'$$a2'#at'# &"!# this CRADAGs2L!%t t' th! t!#s a&" %'&"iti'&s '* th! (#a&t!" t' USS at A#ti%$! 5.,.

A#ti%$! 6. o)yright !oyalties6.1 I* at!#ia$ is %'/)#i(ht!"G a& a!&"!&t t' this CRADA i$$ 2! &!('tiat!" *'# #')a$ti!s that#!*$!%ts th! USS %'&t#i2ti'& t' th! %'/)#i(ht!" it!=s>. Th! C'$$a2'#at'# sha$$ /a) t' USSG at a#at! t' 2! "!t!#i&!" ithi& th! a!&"!&tG #')a$ti!s ':!# th! $i*! '* th! %'/)#i(ht 2) th! C'$$a2'#at'#'# its a**i$iat!s *#' th! $i%!&si&(G assi(&!&tG sa$!G $!as! a&"?'# #!&ta$ =h!#!i&a*t!# "is/'siti'&> '* a&)%'/)#i(ht!" '#3 %#!at!" &"!# this CRADA. a)!&ts 2) th! C'$$a2'#at'# t' USS sha$$ 2! a"! /a)a2$! t' USSG a&" s!&t t' USSG R!st'&G Vi#(i&iaG ,;19,G a&" s2itt!" &'t $at!# tha& si@t) =6;>"a)s a*t!# th! %a$!&"a# )!a# !&"i&( D!%!2!# 01st i& hi%h th! C'$$a2'#at'# #!%!i:!s th! #')a$ti!s '#'th!# i&%'!. R')a$t) /a)!&ts a"! &"!# this A#ti%$! 2) th! C'$$a2'#at'# t' USS sha$$ %'&ti&!*'# th! $i*! '* th! %'/)#i(ht=s>G h!th!# '# &'t this CRADA has 2!!& t!#i&at!" '# has !@/i#!".

6., C'&%##!&t$) ith !a%h /a)!&t '* #')a$ti!s as #!i#!" i& A#ti%$! 6.1 '* this CRADAG '# ats%h 'th!# ti! as /a)!&ts a#! "!G th! C'$$a2'#at'# sha$$ s2it a #itt!& #!/'#t s!tti&( *'#th th! /!#i'" *'# hi%h th! /a)!&t is a"!G th! a'&t a&" a "!s%#i/ti'& '* th! %'/)#i(ht!" '#3s /'&



hi%h a #')a$t) is /a)a2$! as /#':i"!" at A#ti%$! 6.1G th! &!t sa$!s a&" 'th!# i&%'! #!%!i:!" th!#!*#' 2) th! C'$$a2'#at'#G a&" th! a'&t '* #')a$ti!s "! th!#!'&. I* &' #')a$ti!s a#! "! USS *'# a&)#!/'#t /!#i'"G th! #!/'#t sha$$ s' stat!. Th! #!/'#ts #!i#!" &"!# this a#ti%$! sha$$ a$s' 2! a"! ithi&0; "a)s '* th! t!#i&ati'& '* this CRADA. Th! C'$$a2'#at'# a(#!!s t' 3!!/ #!%'#"s sh'i&( th! sa$!s'# 'th!# "is/'siti'&s '* th! %'/)#i(ht!" '#3s /'& hi%h #')a$ti!s a#! "! &"!# th! /#':isi'&s '*A#ti%$! 6.1 i& s**i%i!&t "!tai$ t' !&a2$! th! #')a$ti!s /a)a2$! h!#!&"!# 2) th! C'$$a2'#at'# t' 2!"!t!#i&!"G a&" *#th!# a(#!!s t' /!#it its 2''3s a&" #!%'#"s t' 2! !@ai&!" *#' ti! t' ti! "#i&(its '#"i&a#) 2si&!ss h'#s a&" &'t '#! '*t!& tha& '&%! a )!a# t' !@t!&t &!%!ssa#) t' :!#i*) th! #!/'#ts /#':i"!" *'# i& this a#ti%$!G s%h !@ai&ati'& t' 2! a"! at th! !@/!&s! '* USS 2) a&) a"it'#a//'i&t!" 2) USS h' sha$$ 2! a%%!/ta2$! t' th! C'$$a2'#at'#. A"it'# a//#':a$ sha$$ &'t 2!&#!as'&a2$) ithh!$" 2) th! C'$$a2'#at'#.

A#ti%$! 7. 'ata and 9ublication7.1 !elease !estrictions. USS sha$$ ha:! th! #i(ht t' s! a$$ S2L!%t Data *'# a&) (':!#&!&ta$ /#/'s!G 2t sha$$ &'t #!$!as! s%h S2L!%t Data /2$i%$) !@%!/t< =i> USS h!& #!/'#ti&( '& th!#!s$ts '* s/'&s'#!" #!s!a#%h a) /2$ish S2L!%t DataG s2L!%t t' th! /#':isi'&s '* A#ti%$! 7.4 2!$'Ja&" =ii> USS a) #!$!as! s%h S2L!%t Data h!#! s%h #!$!as! is #!i#!" /#sa&t t' a #!!st

&"!# th! #!!"' '* I&*'#ati'& A%t =5 U.S.C. S!%ti'& 55,>J /#':i"!"G h'!:!#G that s%h "ata sha$$&'t 2! #!$!as!" t' th! /2$i% i* a /at!&t a//$i%ati'& is t' 2! *i$!" =05 U.S.C. S!%ti'& ,;5> &ti$ th! /a#t)ha:i&( th! #i(ht t' *i$! has ha" a #!as'&a2$! ti! t' *i$!.

7., $nfor+ation $dentification7.,.1 9ro)rietary $nfor+ation. Th! C'$$a2'#at'# sha$$ /$a%! a #'/#i!ta#) &'ti%! '& a$$i&*'#ati'& it "!$i:!#s t' USS &"!# this CRADA hi%h th! C'$$a2'#at'# ass!#ts is /#'/#i!ta#).USS a(#!!s that a&) i&*'#ati'& "!si(&at!" as /#'/#i!ta#) hi%h is *#&ish!" 2) th! C'$$a2'#at'#t' USS &"!# this CRADAG sha$$ 2! s!" 2) USS '&$) *'# th! /#/'s! '* %a##)i&( 't thisCRADA. I&*'#ati'& "!si(&at!" as /#'/#i!ta#) sha$$ &'t 2! "is%$'s!"G %'/i!"G #!/#'"%!"G '#'th!#is! a"! a:ai$a2$! i& a&) *'# hats'!:!# t' a&) 'th!# /!#s'&G *i#G %'#/'#ati'&G /a#t&!#shi/G

ass'%iati'&G '# 'th!# !&tit) ith't th! %'&s!&t '* th! C'$$a2'#at'# !@%!/t as s%h i&*'#ati'& a) 2! s2L!%t t' "is%$'s#! &"!# th! #!!"' '* I&*'#ati'& A%t =5 U.S.C. 55,>.

USS a(#!!s t' s! its 2!st !**'#ts t' /#'t!%t i&*'#ati'& "!si(&at!" as /#'/#i!ta#) *#'&ath'#i!" "is%$'s#!. Th! C'$$a2'#at'# a(#!!s that USS is &'t $ia2$! *'# th! "is%$'s#! '*i&*'#ati'& "!si(&at!" as /#'/#i!ta#) hi%hG a*t!# &'ti%! t' a&" %'&s$tati'& ith th! C'$$a2'#at'#GUSS "!t!#i&!s a) &'t $a*$$) 2! ithh!$" '# hi%h a %'#t '* %'/!t!&t L#is"i%ti'& #!i#!s"is%$'s#!.

7.,., ackground $ntellectual 9ro)erty. B'th /a#ti!s a(#!! t' i"!&ti*) i& a":a&%! '# "#i&( th!%'#s! '* th! CRADA Ba%3(#'&" I&t!$$!%ta$ #'/!#t) =BI> that has :a$! *'# L'i&t #!s!a#%h 2thi%h as "!:!$'/!" ith s!/a#at! *&"s 'tsi"! th! CRADA. BI "'!s &'t a$i*) as a s2L!%ti&:!&ti'&=s> a&" is &'t s2L!%t t' a (':!#&!&t s! $i%!&s! &$!ss '#i(i&a$$) "!:!$'/!" ith &'&-CRADA (':!#&!&t *&"s.

7.0 9rotected !A'A $nfor+ation.7.0.1 Ea%h /a#t) a) "!si(&at! as #'t!%t!" CRADA I&*'#ati'&G as "!*i&!" i& A#ti%$! 1G a&)!&!#at!" I&*'#ati'& /#'"%!" 2) its !/$')!!sG a&" ith th! a(#!!!&t '* th! 'th!# /a#t)G a#3a&) !&!#at!" I&*'#ati'& /#'"%!" 2) th! 'th!# /a#t)s !/$')!!s. A$$ s%h "!si(&at!" #'t!%t!"



CRADA I&*'#ati'& sha$$ 2! a//#'/#iat!$) a#3!".

7.0., '# a /!#i'" '* PPPPPPPPP =&'t t' !@%!!" 5 )!a#s> *#' th! "at! #'t!%t!" CRADAI&*'#ati'& is /#'"%!"G a#ti!s a(#!! &'t t' *#th!# "is%$'s! s%h I&*'#ati'& !@%!/t<

=1> as &!%!ssa#) t' /!#*'# this CRADAJ=,> as ta$$) a(#!!" 2) th! a#ti!s i& a":a&%!.

7.0.0 Th! '2$i(ati'& '* 7.0., a2':! sha$$ !&" s''&!# *'# a&) #'t!%t!" CRADA I&*'#ati'& hi%hsha$$ 2!%'! /2$i%$) 3&'& ith't *a$t '* !ith!# /a#t)G sha$$ %'! i&t' a /a#t)s /'ss!ssi'&ith't 2#!a%h 2) that /a#t) '* th! '2$i(ati'&s '* 7.0., a2':!G '# sha$$ 2! i&"!/!&"!&t$) "!:!$'/!" 2) a /a#t)s !/$')!!s h' "i" &'t ha:! a%%!ss t' th! #'t!%t!" CRADA I&*'#ati'& '# as #!i#!" 2) th! #!!"' '* I&*'#ati'& A%t.

7.4 9ublication.7.4.1 USS a) s2it *'# /2$i%ati'& th! #!s$ts '* th! #!s!a#%h '#3 ass'%iat!" ith this /#'L!%t.D!/!&"i&( '& th! !@t!&t '* %'&t#i2ti'& a"!G !/$')!!s '* th! C'$$a2'#at'# a) 2! %it!" as%'ath'#s. I& &' !:!&tG h'!:!#G sha$$ th! &a! '* th! C'$$a2'#at'# '# a&) '* its t#a"!a#3s a&"

t#a"! &a!s 2! s!" i& a&) /2$i%ati'&s ith't its /#i'# #itt!& %'&s!&t.

7.4., USS a&" th! C'$$a2'#at'# a(#!! t' %'&*!# a&" %'&s$t at $!ast 0; "a)s /#i'# t' !ith!# /a#t)ss2issi'& *'# /2$i%ati'& '* S2L!%t Data t' ass#! that &' #'/#i!ta#) I&*'#ati'& '# #'t!%t!"CRADA I&*'#ati'& is #!$!as!" a&" that /at!&t #i(hts a#! &'t L!'/a#"i!". Th! /a#t) #!%!i:i&( th!"'%!&t *'# #!:i! has 0; "a)s *#' #!%!i/t t' '2L!%t i& #iti&( "!tai$i&( th! '2L!%ti'&s t' th! /#'/'s!" s2issi'&s.

A#ti%$! 8. !ights $n Generated $nfor+ationTh! a#ti!s &"!#sta&" that th! ':!#&!&t sha$$ ha:! &$iit!" #i(hts i& a$$ !&!#at!" I&*'#ati'&'# i&*'#ati'& /#':i"!" t' th! a#ti!s &"!# this CRADA hi%h is &'t a#3!" as 2!i&( %'/)#i(ht!"

=s2L!%t t' A#ti%$! 5> '# as #'/#i!ta#) I&*'#ati'& '# as Ba%3(#'&" I&t!$$!%ta$ #'/!#t) =s2L!%tt' A#ti%$! 7.,> '# as #'t!%t!" CRADA I&*'#ati'& =s2L!%t t' A#ti%$! 7.0>.

A#ti%$! 9. Ter+ination9.1 Th! C'$$a2'#at'# a&" USS !a%h ha:! th! #i(ht t' t!#i&at! this a(#!!!&t /'& 0; "a)s &'ti%!i& #iti&( t' th! 'th!# /a#t).

9., I& th! !:!&t '* ith"#aa$ '* th! C'$$a2'#at'#G /a)!&ts /#!:i's$) #!%!i:!" 2) USS /#sa&tt' A#ti%$! 0 '* this CRADA i$$ 2! #!tai&!" 2) USS t' 2! s!" i& s//'#t '* th! /#'L!%t.

9.0 I& th! !:!&t '* t!#i&ati'& 2) USSG USS sha$$ #!/a) th! C'$$a2'#at'# a&) /#'#at!" /'#ti'&'* /a)!&ts /#!:i's$) a"! t' USS /#sa&t t' A#ti%$! 0.1 '* th! CRADA i& !@%!ss '* a%ta$%'sts i&%##!" 2) USS i& /#si&( this /#'L!%t. A #!/'#t '& #!s$ts t' "at! '* t!#i&ati'& i$$ 2! /#!/a#!" 2) USS a&" th! %'st '* th! #!/'#t i$$ 2! "!"%t!" *#' a&) a'&ts "! t' /a#ti%i/a&ts*#' USS.

9.4 T!#i&ati'& '* this CRADA 2) !ith!# /a#t) *'# a&) #!as'& sha$$ &'t a**!%t th! #i(hts a&"'2$i(ati'&s '* th! /a#ti!s a%%#!" /#i'# t' th! !**!%ti:! "at! '* t!#i&ati'& '* this CRADA. N't!#i&ati'& '# !@/i#ati'& '* this CRADAG h'!:!# !**!%tat!"G sha$$ #!$!as! th! /a#ti!s h!#!t' *#'



th!i# #i(htsG "ti!sG a&" '2$i(ati'&s &"!# A#ti%$!s 0.0G 4G 5G 6G 7G 8G a&" 11.

A#ti%$! 1;. 'is)utes1;.1 Settle+ent. A&) "is/t! a#isi&( &"!# this CRADA hi%h is &'t "is/'s!" '* 2) a(#!!!&t '*th! /a#ti!s sha$$ 2! s2itt!" L'i&t$) t' th! si(&at'#i!s '* this CRADA. A L'i&t "!%isi'& '* th!si(&at'#i!s '# th!i# "!si(&!!s sha$$ 2! th! "is/'siti'& '* s%h "is/t!.

1;., I* th! si(&at'#i!s a#! &a2$! t' L'i&t$) #!s'$:! a "is/t! ithi& a #!as'&a2$! /!#i'" '* ti! a*t!# s2issi'& '* th! "is/t! *'# #!s'$ti'&G th! att!# sha$$ 2! s2itt!" t' th! Di#!%t'# '* th! USSG'# his "!si(&!! *'# #!s'$ti'&.

1;.0 ontinuation of ork . !&"i&( th! #!s'$ti'& '* a&) "is/t! '# %$ai /#sa&t t' this a#ti%$!Gth! /a#ti!s a(#!! that /!#*'#a&%! '* a$$ '2$i(ati'&s sha$$ 2! /#s!" "i$i(!&t$) i& a%%'#"a&%! ith th!"i#!%ti'& '* th! USS si(&at'#).

A#ti%$! 11. 8iability11.1 9ro)erty. Th! U.S. ':!#&!&t sha$$ &'t 2! #!s/'&si2$! *'# "aa(!s t' a&) /#'/!#t) '* th!

C'$$a2'#at'# /#':i"!" t' USS /#sa&t t' this CRADA.

11., ollaboratorLs "+)loyees.11.,.1 D#i&( a&) t!/'#a#) assi(&!&t at USS *a%i$iti!s that a) #!s$t *#' this A(#!!!&tG th!C'$$a2'#at'#s Assi(&!" E/$')!!s =as "!*i&!" i& A#ti%$! 1.1, '* this A(#!!!&t> sha$$ /#s! th!i#a%ti:iti!s '& th! '#3 s%h!"$! ta$$) a(#!!" /'& 2!t!!& th!G th! C'$$a2'#at'#G a&" th!USS. Th! C'$$a2'#at'#s Assi(&!" E/$')!!s st a(#!! t' %'/$) ith !"!#a$ ':!#&!&ts!%#it) a&" %'&"%t #!($ati'&s that a//$) t' USS !/$')!!s. Th! C'$$a2'#at'#s Assi(&!"E/$')!!s sha$$ %'&*'# t' th! #!i#!!&t '* th! O**i%! '* ':!#&!&t Ethi%s Sta&"a#"s '*Ethi%a$ C'&"%t *'# E/$')!!s '* th! E@!%ti:! B#a&%h =5 CR a#ts ,605 a&" ,606> a&" S!%#it)R!($ati'&sG h!#!2) a"! /a#t '* this A(#!!!&tG t' th! !@t!&t that th!s! #!($ati'&s /#'hi2it /#i:at!

2si&!ss a%ti:it) '# i&t!#!st i&%'/ati2$! ith th! 2!st i&t!#!sts '* th! D!/a#t!&t.

11.,., Th! C'$$a2'#at'#s Assi(&!" E/$')!!s sha$$ %'/$) ith #!($ati'&s that a//$) t' USS!/$')!!s ith #!(a#" t' "is%$'s#! '* /#'/#i!ta#) '# /#'%#!!&t-s!&siti:! i&*'#ati'&G #!%sa$*#' a&) a%ti:iti!s hi%h a) /#!s!&t a %'&*$i%t '* i&t!#!stG i&%$"i&( /#'%#!!&ts '# 'th!# a%ti'&si& hi%h th! C'$$a2'#at'# a) ha:! a& i&t!#!st. Th! C'$$a2'#at'#s Assi(&!" E/$')!!s a) &'t#!/#!s!&t th! C'$$a2'#at'# '# '#3 *'# th! C'$$a2'#at'# i& %'/!ti&( *'# aa#" *#' a&) 'th!#!"!#a$ a(!&%) "#i&( th! t!# '* th! CRADA =s!! A#ti%$! 0> '# !@t!&si'& th!#!t'.

11.,.0 Th! C'$$a2'#at'#s Assi(&!" E/$')!!s a#! /!#a&!&t$) /#'hi2it!" *#' #!/#!s!&ti&( '# /!#*'#i&( a%ti:iti!s *'# th! C'$$a2'#at'# '& a&) att!#s 2!*'#! th! USS '& hi%h th!C'$$a2'#at'#s !/$')!!s '#3!" at th! USS hi$! assi(&!" t' this /#'L!%t.

11.,.4 Th! C'$$a2'#at'#s !/$')!!s a#! /#'hi2it!" *#' a%ti&( as (':!#&!&t !/$')!!sG i&%$"i&(a3i&( "!%isi'&s '& 2!ha$* '* th! ':!#&!&t '# /!#*'#i&( i&h!#!&t$) (':!#&!&ta$ *&%ti'&shi$! '#3i&( at th! USS.

11.3 &o arranty. E@%!/t as /#':i"!" i& Tit$! ,8G U&it!" Stat!s C'"!G s!%ti'& 1498G th! U&it!"Stat!s sha$$ &'t 2! $ia2$! *'# th! s! '# a&*a%t#! '* a&) i&:!&ti'& a"! &"!# this a(#!!!&t &'#



*'# th! i&*#i&(!!&t '* a&) /at!&t '# %'/)#i(ht "#i&( th! /!#*'#a&%! '* this a(#!!!&t. Th!USS a3!s &' !@/#!ss '# i/$i!" a##a&t) as t' a&) att!# hats'!:!#G i&%$"i&( th! %'&"iti'&s '* th! #!s!a#%h '# a&) i&:!&ti'& '# /#'"%tG h!th!# ta&(i2$! '# i&ta&(i2$!G a"! '# "!:!$'/!" &"!#this CRADAG '# th! '&!#shi/G !#%ha&ta2i$it)G '# *it&!ss *'# a /a#ti%$a# /#/'s! '* th! #!s!a#%h '#a&) i&:!&ti'& '# /#'"%t. Th!s! /#':isi'&s sha$$ s#:i:! t!#i&ati'& '* th! CRADA.

11.4 $nde+nification11.4.1 ollaboratorJs "+)loyees. Th! C'$$a2'#at'# a(#!!s t' i&"!&i*) a&" h'$" ha#$!ss th!U.S. ':!#&!&t *'# a&) $'ssG %$aiG "aa(!G '# $ia2i$it) '* a&) 3i&" i&:'$:i&( a& !/$')!! '* th!C'$$a2'#at'# a#isi&( i& %'&&!%ti'& ith this CRADAG !@%!/t t' th! !@t!&t that s%h $'ssG %$aiG"aa(! '# $ia2i$it) a#is!s *#' th! &!($i(!&%! '* USS '# its !/$')!!s. USS sha$$ 2! s'$!$)#!s/'&si2$! *'# th! /a)!&t '* a&! U.S. ':!#&!&t ha#$!ss a&" i&"!&i*i!s th! ':!#&!&t *'#a$$ $ia2i$iti!sG "!a&"sG "aa(!sG !@/!&s!sG a&" $'ss!s a#isi&( 't '* th! s! 2) th! C'$$a2'#at'#G '#a&) /a#t) a%ti&( '& its 2!ha$* '# &"!# its ath'#iati'&G '* USSs #!s!a#%h a&" t!%h&i%a$"!:!$'/!&ts '# 't '* a&) s!G sa$!G '# 'th!# "is/'siti'& 2) th! C'$$a2'#at'#G '# 'th!#s a%ti&( '& its 2!ha$* '# ith its ath'#iati'&G '* /#'"%ts a"! 2) th! s! '* USSs t!%h&i%a$ "!:!$'/!&ts. I&#!s/!%t t' this A#ti%$!G th! ':!#&!&t sha$$ &'t 2! %'&si"!#!" a& assi(&!! '# $i%!&s!! '* th!

C'$$a2'#at'#. This /#':isi'& sha$$ s#:i:! t!#i&ati'& '* this CRADA.

11.4., Technical 'evelo)+ents and 9roducts. Th! C'$$a2'#at'# h'$"s th! U.S. ':!#&!&tha#$!ss a&" i&"!&i*i!s th! ':!#&!&t *'# a$$ $ia2i$iti!sG "!a&"sG "aa(!sG !@/!&s!sG a&" $'ss!sa#isi&( 't '* th! s! 2) th! C'$$a2'#at'#G '# a&) /a#t) a%ti&( '& its 2!ha$* '# &"!# its ath'#iati'&G'* USSs #!s!a#%h a&" t!%h&i%a$ "!:!$'/!&t '# 't '* a&) s!G sa$!G '# 'th!# "is/'siti'& 2) th!C'$$a2'#at'# '# 'th!#s a%ti&( '& its 2!ha$* '# ith its ath'#iati'&G '* /#'"%ts a"! 2) th! s!s '*USSs t!%h&i%a$ "!:!$'/!&ts. I& #!s/!%t t' this A#ti%$!G th! ':!#&!&t sha$$ &'t 2! %'&si"!#!"as a& assi(&!! '# $i%!&s!! '* th! C'$$a2'#at'#. This /#':isi'& sha$$ s#:i:! t!#i&ati'& '* th!CRADA.

11.5 orce /aEeure. N!ith!# /a#t) sha$$ 2! $ia2$! *'# a&) &*'#!s!!a2$! !:!&t 2!)'&" its #!as'&a2$!%'&t#'$ &'t %as!" 2) th! *a$t '# &!($i(!&%! '* s%h /a#t)G hi%h %as!s s%h /a#t) t' 2! &a2$! t' /!#*'# its '2$i(ati'&s &"!# this CRADA =a&" hi%h it has 2!!& &a2$! t' ':!#%'! 2) th! !@!#%is!'* "! "i$i(!&%!>G i&%$"i&(G 2t &'t $iit!" t'G *$''"G "#'(htG !a#tha3!G st'#G *i#!G /!sti$!&%!G$i(ht&i&(G a&" 'th!# &at#a$ %atast#'/h!sG !/i"!i%G a#G #i'tG %i:i$ "ist#2a&%! '# "is'2!"i!&%!Gst#i3!sG $a2'# "is/t!G '# *ai$#!G th#!at '* *ai$#! '# sa2'ta(! '* th! USS *a%i$iti!sG '# a&) '#"!# '#i&L&%ti'& a"! 2) a %'#t '# /2$i% a(!&%). I& th! !:!&t '* th! '%%##!&%! '* s%h a *'#%! aL!#!!:!&tG th! /a#t) &a2$! t' /!#*'# sha$$ /#'/t$) &'ti*) th! 'th!# /a#t). It sha$$ *#th!# s! its 2!st!**'#ts t' #!s! /!#*'#a&%! as i%3$) as /'ssi2$! a&" sha$$ ss/!&" /!#*'#a&%! '&$) *'# s%h /!#i'" '* ti! as is &!%!ssa#) as a #!s$t '* th! *'#%! aL!#! !:!&t.

A#ti%$! 1,. /iscellaneous1,.1 &o enefits. N' !2!# '*G '# "!$!(at! t' th! U&it!" Stat!s C'&(#!ssG '# #!si"!&t%'issi'&!#G sha$$ 2! a"itt!" t' a&) sha#! '# /a#t '* this CRADAG &'# t' a&) 2!&!*it that a)a#is! !@t!&" t' this CRADA i* a"! ith a %'#/'#ati'& *'# its (!&!#a$ 2!&!*it.

1,., Governing 8a5. A//$i%a2$! !"!#a$ $as sha$$ (':!#& th! %'&st#%ti'& :a$i"it)G /!#*'#a&%!a&" !**!%t '* this CRADA *'# a$$ /#/'s!s.



1,.0 "ntire Agree+ent. This CRADA %'&stitt!s th! !&ti#! a(#!!!&t 2!t!!& th! /a#ti!s%'&%!#&i&( th! s2L!%t att!# h!#!t' a&" s/!#s!"!s a&) /#i'# &"!#sta&"i&( '# #itt!& '# '#a$a(#!!!&t #!$ati:! t' sai" att!#.

1,.4 Headings. Tit$!s a&" h!a"i&(s '* th! S!%ti'&s a&" S2s!%ti'&s '* this CRADA a#! *'# th!%'&:!&i!&%! '* #!*!#!&%!s '&$) a&" "' &'t *'# a /a#t '* this CRADA a&" sha$$ i& &' a) a**!%t th!i&t!#/#!tati'& th!#!'*..

1,.5 A+end+ents. I* !ith!# /a#t) "!si#!s a '"i*i%ati'& i& this CRADAG th! /a#ti!s sha$$G /'&#!as'&a2$! &'ti%! '* th! /#'/'s!" '"i*i%ati'& 2) th! /a#t) "!si#i&( th! %ha&(!G %'&*!# i& (''" *aitht' "!t!#i&! th! "!si#a2i$it) '* s%h '"i*i%ati'&. S%h '"i*i%ati'& sha$$ &'t 2! !**!%ti:! &ti$ a#itt!& a!&"!&t is si(&!" 2) a$$ /a#ti!s h!#!t' 2) th!i# #!/#!s!&tati:!s "$) ath'#i!" t' !@!%t!s%h a!&"!&t.

1,.6 Assign+ent. N!ith!# this CRADA &'# a&) #i(hts '# '2$i(ati'&s '* a&) /a#t) h!#!&"!# sha$$ 2!assi(&!" '# 'th!#is! t#a&s*!##!" 2) !ith!# /a#t) ith't th! /#i'# #itt!& %'&s!&t '* th! 'th!# /a#t)!@%!/t that th! C'$$a2'#at'# a) assi(& this CRADA t' th! s%%!ss'#s '# assi(&!!s '* a s2sta&tia$

/'#ti'& '* th! C'$$a2'#at'#s 2si&!ss i&t!#!sts t' hi%h this CRADA "i#!%t$) /!#tai&s.

1,.7 &otices. A$$ &'ti%!s /!#tai&i&( t' '# #!i#!" 2) this CRADA sha$$ 2! i& #iti&( a&" sha$$ 2!"i#!%t!" t' th! si(&at'#)=s>.

1,.8 $nde)endent ontractors. Th! #!$ati'&shi/ '* th! /a#ti!s t' this CRADA is that '*i&"!/!&"!&t %'&t#a%t'#s a&" &'t as a(!&ts '* !a%h 'th!# '# as L'i&t :!&t#!#s '# /a#t&!#s. USSsha$$ ai&tai& s'$! a&" !@%$si:! %'&t#'$ ':!# its /!#s'&&!$ a&" '/!#ati'&s.

1,.9 Use of &a+e or "ndorse+ents.1,.9.1 Th! C'$$a2'#at'# sha$$ &'t s! th! &a! '* USS '# th! D!/a#t!&t '* th! I&t!#i'# '& a&)

/#'"%t '# s!#:i%! hi%h is "i#!%t$) '# i&"i#!%t$) #!$at!" t' !ith!# this CRADA '# a&) /at!&t $i%!&s!'# assi(&!&t a(#!!!&t hi%h i/$!!&ts this CRADA ith't th! /#i'# a//#':a$ '* USS. Th!C'$$a2'#at'# sha$$ &'t /2$i%i!G '# 'th!#is! %i#%$at!G /#''ti'&a$ at!#ia$ =s%h asa":!#tis!!&tsG sa$!s 2#'%h#!sG /#!ss #!$!as!sG s/!!%h!sG sti$$ a&" 'ti'& /i%t#!sG a#ti%$!sGa&s%#i/ts '# 'th!# /2$i%ati'&s>G hi%h stat!s '# i/$i!s (':!#&!&ta$G "!/a#t!&ta$G B#!aG '#(':!#&!&t !/$')!! !&"'#s!!&t '* a /#'"%tG s!#:i%! '# /'siti'& hi%h th! C'$$a2'#at'##!/#!s!&ts. N' #!$!as! '* i&*'#ati'& #!$ati&( t' this CRADA a) stat! '# i/$) that th!':!#&!&t a//#':!s '* th! C'$$a2'#at'#s '#3 /#'"%tG '# %'&si"!#s th! C'$$a2'#at'#s '#3 /#'"%t t' 2! s/!#i'# t' 'th!# /#'"%ts '# s!#:i%!s.

1,.9., Th! C'$$a2'#at'# st '2tai& /#i'# (':!#&!&t a//#':a$ *#' USS *'# a&) /2$i% i&*'#ati'& #!$!as!s hi%h #!*!# t' th! D!/a#t!&t '* th! I&t!#i'#G a&) B#!a '# !/$')!! =2) &a!'# tit$!>G '# this a(#!!!&t. Th! s/!%i*i% t!@tG $a)'tG /h't'(#a/hsG !t%.G '* th! /#'/'s!" #!$!as! st 2! s2itt!" ith th! #!!st *'# a//#':a$.

1,.9.0 B) !&t!#i&( i&t' this CRADAG USS "'!s &'t "i#!%t$) '# i&"i#!%t$) !&"'#s! a&) /#'"%t '#s!#:i%! /#':i"!"G '# t' 2! /#':i"!"G 2) th! C'$$a2'#at'#G its s%%!ss'#sG assi(&!!sG '# $i%!&s!!s.

A#ti%$! 10. 'uration of Agree+ent and "ffective 'ate



10.1 'uration of Agree+ent. It is ta$$) #!%'(&i!" that th! "!:!$'/!&t /#'(#a %a&&'t 2!#i(i"$) "!*i&!" i& a":a&%!G a&" that th! %'&t!/$at!" ti! /!#i'"s *'# %'/$!ti'& '* !a%h /has! a#!(''" *aith (i"!$i&!s s2L!%t t' a"Lst!&t 2) ta$ a(#!!!&tG t' *it %i#%sta&%!s as th!"!:!$'/!&t /#'(#a /#'%!!"s. I& &' %as! i$$ this CRADA !@t!&" 2!)'&" th! !&"i&( "at!s/!%i*i!" i& A#ti%$! 0.1 G &$!ss it is #!:is!" i& a%%'#"a&%! ith A#ti%$! 1,.5 '* this a(#!!!&t.C!#tai& /#':isi'&s s#:i:! th! t!#i&ati'& '* this CRADAG as s/!%i*i!" i& A#ti%$! 9.4.

10., "ffective 'ate. This CRADA sha$$ !&t!# i&t' *'#%! as '* th! "at! '* th! $ast si(&at#! '* th! /a#ti!s as sh'& '& th! tit$! /a(!.

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Agree+ent &u+ber? CCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCC

A+end+ent &u+ber? CCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCC

The oo)erative !esearch and 'evelo)+ent Agree+ent =!A'A> bet5een the U.S. Geological Survey and CCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCB dated CCCCCCCCCCCCCCCCCCCCCCCCB for the )ur)ose of =ollaborating 9arty> CCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCC=Title or 9roEect> CCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCC

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%! TH" U.S. G"%8%G$A8 SU!#"

y CCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCC Associate 'irector

%! TH" %88A%!AT$&G 9A!T

y CCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCCC ollaborator !e)resentative

INSTRUCTIONS OR REARATION OG AND CHANES TOG

76



A COOERATIVE RESEARCH AND DEVEOMENT AREEMENT =CRADA>

1. #!/a#ati'& '* a CRADA. Th! CRADA "'%!&t %'&sists '* th#!! /a#ts< th! %':!# sh!!t=USS '# 9-,;4;>G th! Stat!!&t '* W'#3 =i&%$"i&( s/!%ia$ /#':isi'&sG i* a&)>G a&" th!!&!#a$ #':isi'&s.

A. C'/$!t! th! CRADA %':!# sh!!t as *'$$'s. Th! it!s a#! &2!#!" t' %'##!s/'&"t' th! &2!#!" s/a%!s '& th! *'#.

=1> #'/'sa$ N2!# - Th! /#'/'sa$s a#! $'((!" i& a&" s!#ia$$) &2!#!" 2) th!#!%!i:i&( '**i%!.

=,> E**!%ti:! Dat! - E&t!# th! "at! th! a(#!!!&t ('!s i&t' !**!%t.

=0> A(#!!!&t N2!# - Th! CRADAs a#! s!#ia$$) &2!#!" a&" i"!&ti*i!" as t'

*is%a$ )!a#. This &2!# i$$ 2! s!" t' #!%'#" th! a(#!!!&t i& th! !"!#a$i&a&%ia$ S)st! =S>.

=4> R!it C'&t#i2ti'& T' - USS '**i%! #!%!i:i&( th! %'&t#i2ti'&G !.(.G O**i%!'* i&a&%ia$ Ma&a(!!&tG ,71 Nati'&a$ C!&t!#G R!st'&G VA ,,;19,.

=5> USS #'L!%t O**i%!# - E&t!# &a! '* th! /#i&%i/a$ %'&ta%t at th! USS.

=6> S!$*-!@/$a&at'#).

=7> S!$*-!@/$a&at'#).

=8> A"i&ist#ati:! O**i%! - E&t!# &a! a&" a""#!ss '* USS '**i%! a"i&ist!#i&(th! a(#!!!&t.

=9> S!$*-!@/$a&at'#).

=1;> A%%'&ti&( a&" A//#'/#iati'& Data - I&"i%at! th! S a(#!!!&t&2!#G %st'!# &2!#G a&" a%%'&t &2!#.

=11> a)!&t Wi$$ B! Ma"! B) - Th! a""#!ss '* th! %'$$a2'#ati&( /a#t)s*i&a&%! '**i%!.

=1,> Ath'#it) - Cit! th! T!%h&'$'() T#a&s*!# A%t '* 1986 =2. a 99-5;,>.

=10> S!$*-!@/$a&at'#).

=14> S!$*-!@/$a&at'#).

77



=1,> a)!&t S%h!"$! - ist a'&ts t' 2! t#a&sitt!" a&" "at!s. S!! i&st#%ti'&s*'# A#ti%$! 0.1 '* th! !&!#a$ #':isi'&s *'# '#! i&*'#ati'& =4>> .

=16> #i&%i/a$ I&:!sti(at'# - Th! %'$$a2'#ati&( /a#t)s #!/#!s!&tati:! h'i$$ 2! th! USS %'&ta%t *'# th! /#'L!%t.

=17> S!$*-!@/$a&at'#).

=18> S!$*-!@/$a&at'#).

=19> S!$*-!@/$a&at'#).

=,;> S!$*-!@/$a&at'#).

B. Th! Stat!!&t '* W'#3 =SOW> sh'$" 2! t)/!" '& s!!&tia$$)-&2!#!" /a(!s. Th! /#/'s! '* th! SOW is t' "!*i&! th! /#'L!%t a&" its tas3s as !$$ as th! %'&t#i2ti'&s

'* !a%h '* th! /a#ti!s. It "'!s &'t &!!" t' i&%$"! a (#!at a'&t '* t!%h&i%a$i&*'#ati'& '# "ata 2t st i&%$"! %$!a# /#!%is! stat!!&ts '* '2L!%ti:!sG tas3sG#!s/'&si2i$iti!sG "!$i:!#a2$!sG a&" %'sts.

Th! ai '* th! SOW is t' a":is! th! #!:i!!# '# $!(a$ "!/a#t!&t '* hat !a%h /a#t)is /#':i"i&( i& t!#s '* "'$$a#s a&" !**'#t. Th! SOW st i&%$"!<

=1> A #/'s!?Ba%3(#'&" s!%ti'& that /#':i"!s a *! A#ti%$!s a2't th! /#'L!%tith a& ':!#:i! '* h) !a%h /a#t) is i&t!#!st!" i& /a#ti%i/ati'&G h' th! /#'L!%t #!$at!s t' th! USS issi'& a&" /#'(#asG a&" a& !@a%t "!s%#i/ti'& '* th! ('a$s a&" '2L!%ti:!s '* th! /#'L!%t i& t!#s '* th! #!s$tsG s!#:i%!sG a&"?'#

/#'"%ts t' 2! /#':i"!".

=,> A has!s?Tas3?D!$i:!#a2$!s s!%ti'& that i"!&ti*i!s hat !a%h /a#t) is "'i&( '&th! /#'L!%t. This %a& 2! t!@ta$ '# a ta2$! '* th! i&t!##!$at!" #!s!a#%h a%ti:iti!sas $'&( as it "!s%#i2!s th! tas3s t' 2! /!#*'#!" t' !!t th! '2L!%ti:!s '* th! /#'L!%t a&" th! #'$! a&" #!s/'&si2i$iti!s '* !a%h /a#ti%i/a&t '& !a%h tas3.

=0> A& !stiat!" !%'&'i% :a$! '* !a%h /a#t)s %'&t#i2ti'& as #!$at!" t' !a%hs/!%i*i!" tas3 '# "!$i:!#a2$!. Th!#! sh'$" 2! a& it!iati'& '* #!s'#%!s 2)tas3. This it!iati'& st "!si(&at! #!s'#%!s /#':i"!" 2) th!%'$$a2'#at'#=s> s!/a#at!$) *#' #!s'#%!s /#':i"!" 2) th! USS. A$$#!s'#%!s st 2! i&%$"!" as %a& 2!st 2! a//#'@iat!" i&%$"i&( "i#!%t

%'&t#i2ti'&sG $a2'# %'stsG *a%i$it) %'stsG !t%.

=4> A& i"!&ti*i%ati'& '* th! #i&%i/a$ I&:!sti(at'#s *'# !a%h /a#t) t' th! CRADAGi&%$"i&( th!i# a**i$iati'&G a""#!ssG a&" /h'&! N'.

C. A&) s/!%ia$ /#':isi'&s a//$i%a2$! t' th! CRADA sh'$" a$s' 2! i&%$"!" i& th! SOW.

7<



E@a/$!s '* s/!%ia$ /#':isi'&s a#!<

=1> R!/'#ti&( - a "!s%#i/ti'& '* th! #!/'#ts t' 2! /#!/a#!" "'%!&ti&( th! /#'L!%ts /#'(#!ss '# 't%'!.

=,> D!$i:!#a2$!s - a "!s%#i/ti'& '* /#'"%ts #!s$ti&( *#' th! /#'L!%tG s%h as"ata *i$!sG i$$st#ati'&sG #'%3 sa/$!sG !t%.

=0> D!$i:!#) S%h!"$! - "! "at!s *'# s2issi'& '* "!$i:!#a2$!s.

=4> O/ti'&s - /#':isi'& *'# !@t!&si'& '* th! CRADA 2!)'&" th! !&" '* th!%##!&t *is%a$ )!a#.

=5> I&s/!%ti'& a&" A%%!/ta&%! - a "!s%#i/ti'& '* th! %#it!#ia t' 2! a//$i!" i&!:a$ati&( "!$i:!#a2$!s /#'"%!" 2) !ith!# /a#t).

D. Th! !&!#a$ #':isi'&s a#! th! 2'") '* th! CRADA a&" a#! t' 2! %'/$!t!" a&"atta%h!" i& th!i# !&ti#!t) t' th! '# 9-,;4; C':!# a(! a&" Stat!!&t '* W'#3. N'CRADA is %'/$!t! ith't th!. N' %ha&(!s a) 2! a"! t' th! !&!#a$#':isi'&s ith't s/!%i*i% a//#':a$ '* th! T!%h&'$'() T#a&s*!# O**i%!.

=1> Tit$! - i$$ i& th! &a! '* th! %'$$a2'#at'# =sa! as 2$'%3s 7 a&" 18 '& '#9-,;4;> a&" th! Dis%i/$i&! '* th! USS /a#ti%i/ati&( i& th! a(#!!!&t.

=,> A#ti%$! ,. Stat!!&t '* W'#3. i$$ i& th! t'ta$ &2!# '* /a(!s %'/#isi&( th!Stat!!&t '* W'#3 *'# this CRADA.

=0> A#ti%$! 0.1. i$$ i& *i#st $i&! t' %'##!s/'&" ith 2$'%3s 10 a&" 14 '* th! %':!#sh!!t. i$$ i& th! a'&t '* th! t'ta$ "i#!%t *&"i&( t' USS *#' th!%'$$a2'#at'# =i* a&)> '& $i&! th#!!. i$$ i& th! t'ta$ a&ti%i/at!" i&-3i&"%'&t#i2ti'&s '* th! %'$$a2'#at'# '& $i&! *'#. Th! s '* th! :a$!s '& $i&!sth#!! a&" *'# is th! t'ta$ :a$! #!%'#"!" '& $i&! t'. I* th! /#'L!%t is *'#'#! tha& '&! )!a#G a "!tai$!" s%h!"$! '* /a)!&ts *'# th! s%%!ssi:! )!a#ssh'$" 2! atta%h!" t' '# 9-,;4; as a& a!&"!&t t' th! CRADA as#!*!#!&%!" i& this a#ti%$!. A$s'G th! s%h!"$! '* /a)!&ts &!!"s t' 2!sa#i!" i& 2$'%3 15 '& th! %':!# sh!!t.

=4> A#ti%$! 0.,. i$$ i& th! !stiat!" t'ta$ %'&t#i2ti'& '* th! USS t' th! /#'L!%ti& $a2'#G ':!#h!a"G !i/!&tG !t%. %'stsG as stat!".

=5> A#ti%$! 7.0.,. i$$ i& a ti! "#ati'& *'# &'&-"is%$'s#! '* #'t!%t!" CRADAI&*'#ati'&. This "#ati'& st 2! a(#!!" t' 2) th! %'$$a2'#at'# a&" %a&&'t!@%!!" *i:! )!a#s.

=6> Si(&at#!s - Ma3! s#! th! CRADA is si(&!" '& th! $ast /a(! '* th! !&!#a$#':isi'&s as !$$ as th! %':!# sh!!t.

7;



,. Cha&(!s. A!&"!&ts a#! &!!"!" *'# %ha&(!s t' th! CRADA =A#ti%$! 1,.5> as !$$ as *'#th! s%h!"$! '* /a)!&ts *'# 't )!a#s =A#ti%$! 0.1>. Th!#! a#! t' t)/!s '* %ha&(!s<A. E@t!&si'& - E@t!&si'&s a#! "is%ss!" &"!# A#ti%$! 10.1. I* %i#%sta&%!s a##a&t

!@t!&si'& '* a CRADAG th! '&!-/a(! !@t!&si'& *'# =USS '# 9-,;41> a) 2!s!" i* %ha&(!s t' th! CRADA a#! i&'#. Th! %ha&(!s a#! $ist!" '& th! sh!!t i& th!s/a%! /#':i"!". A""iti'&a$ i&'# %ha&(!s a) 2! t)/!" '& a CRADA C'&ti&ati'&Sh!!t a&" atta%h!" t' '# 9-,;41 as /a#t '* th! sa! a!&"!&t. Th! a!&"!&t&2!# is /$a%!" i& th! s/a%! /#':i"!".

B. M'"i*i%ati'& - S2sta&tia$ %ha&(!s i& a CRADA a) 2! !**!%t!" at a&) ti!. Th!'"i*i%ati'& is /#!/a#!" si&( '# 9-,;4; ith %'&ti&ati'& sh!!ts !@%!/t that i& 2$'%3 N'. 0 '* th! %':!# sh!!t th! '#"s A!&"!&t N'. a#! t)/!" 2!$' th!A(#!!!&t &2!#.

A$$ a!&"!&tsG h!th!# si/$! !@t!&si'&sG '"i*i%ati'&sG '# /a)!&t s%h!"$!sG a#! &2!#!"

%'&s!%ti:!$). '# !@a/$!G i* a CRADA has 2!!& !@t!&"!" '&%! =A!&"!&t N'. ;1>G a&" is s2s!!&t$) '"i*i!"G A!&"!&t N'. ;, '$" 2! t)/!" '& th! #!:is!" %':!#sh!!t.

<0



or+ 4? 'isci)line 9ro)osal!A'A 9!%9%SA8 %UT8$&"

CRADA ROOSA OUTINE

T'< =Dis%i/$i&! C'&ta%t>

#< =#i&%i/a$ I&:!sti(at'#>

1. #'L!%t Tit$!<

,. Na! A""#!ss '* th! I&"st#ia$ a#ti%i/a&t<

0. #':i"! a 2#i!* 2i'(#a/h) '* th! i&"st#ia$ /a#ti%i/a&t. =N't! h!th!# th!) a#! a sa$$ 2si&!ssG i&'#it) '&!"GU&i:!#sit) '# C'&s'#tiaG a$s' i&"i%at! h!#! th! #!s!a#%h a%ti:iti!s '* th! i&"st#ia$ /a#ti%i/a&t i$$ ta3! /$a%!>. 4. Dat! '* !"!#a$ R!(ist!# CRADA A&&'&%!!&t< =Atta%h %'/)>

5. C'&*$i%t '* I&t!#!st I&*'#ati'&< =Atta%h C!#ti*i%at!>

6. #'L!%t D!s%#i/ti'&

a. #/'s!<

2. B!&!*its<

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=1> #':i"! a& !stiat!" 2#!a3"'& *'# !a%h )!a# '* th! /#'L!%t. PPPPPPPPPPPPP =%'$$a2'#at'#> i$$ /#':i"! th! *'$$'i&( t' th! /#'L!%t<

Y 1

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Di#!%t C'&t#i2ti'&s t' USS !#s'&&!$ I&-3i&"

a%i$iti!sCa/ita$Ei/!&t

Oth!# =S//$i!sG &"s s/!&t I&-h's!>

T'ta$s

=,> #':i"! a& !stiat!" USS 2#!a3"'& *'# !a%h )!a# '* th! /#'L!%t si&( th! sa! %at!('#i!s '*i&*'#ati'&.

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!#s'&&!$ C'stsa%i$iti!sEi/!&t

Oth!# =S//$i!sG USS &"s s/!&t '& #'L!%t>T'ta$s

N't!< I* s!%'&" '# 't )!a# %'it!&ts 2) th! i&"st#ia$ /a#t&!# '# th! USS a#! s2L!%t t' *i#st )!a# #!s$ts. I"!&ti*)th! *$$ s%'/! '* th! /#'L!%ts "'$$a#s *'# 2'th th! i&"st#ia$ /a#ti%i/a&t a&" th! USS *''t&'ti&( that s!%'&" )!a#'&!) i$$ 2! "!/!&"!&t '& #!s$ts !t%. At this sta(! th! i&*'#ati'& is a "!tai$!" /#'/'sa$. &'thi&( is )!t 2i&"i&( '&th! i&"st#ia$ /a#ti%i/a&t. H'!:!#G #!s!a#%h i& '#"!# t' !:a$at! h!th!# it '# a&'th!# '//'#t&it) that a) 2! /#!s!&t!" t' th! Dis%i/$i&! is th! 'st 2!&!*i%ia$ t' th! USS issi'&.

7. T!%h&i%a$ Stat!!&t<

a. Tas3s S%h!"$!s '* C'/$!ti'&

Th! *i&a$ CRADA /a%3a(! i$$ i&%$"! a "!tai$!" Stat!!&t '* W'#3 hi%h i"!&ti*i!s th! tas3s '* !a%h /a#t) a&" th!s'#%!s '* *&"s *'# th! /#'/'s!" tas3. I* th! Stat!!&t '* W'#3 is i& "#a*t *'# it %a& 2! atta%h!" t' th! #'/'sa$.

2. D!s%#i2! th! aL'# "!$i:!#a2$!=s> !@/!%t!" *#' th! %'$$a2'#ati:! #!s!a#%h<

8. I"!&ti*) th! #!/'#ts that a#! !@/!%t!" a&" h' has th! /#!/a#ati'& '2$i(ati'&.

9. D'!s th! Dis%i/$i&! ha:! !@isti&( CRADAs i& this t!%h&'$'() a#!aG '# a#! 'th!#s &"!# &!('tiati'&+ E@/$ai& a&))!s a&s!#s 2) "i**!#!&tiati&( this #!s!a#%h *#' th's! 'th!# CRADAs /#'L!%ts. /#':i"! a&) /!#ti&!&t i&*'#ati'&a2't th! "!:!$'/!&t '* th! t!%h&'$'() at USS t' "at! that '$" 2! '* :a$! i& a//#':i&( this /#'L!%t.

1;. ist a&) !@isti&( 2a%3(#'&" i&t!$$!%ta$ /#'/!#t)G t!%h&'$'()G "ata 2as! '# 3&'Ph' that USS !@/!%ts t' s!i& th! CRADA<

11. ist th! !@isti&( 2a%3(#'&" I&t!$$!%ta$ /#'/!#t) '* th! I&"st#ia$ /a#ti%i/a&t that th!) i$$ 2! ti$ii&( i& th!CRADA. I"!&ti*) a&) %'!#%ia$iati'& i&*'#ati'& *#' th! i&"st#ia$ /a#t&!# that a) 2! '* i/'#ta&%! t' th!#!:i!!#.

PPPPPPPPPPPPPPPPPPPPPPP PPPPPPPPPPP #i&%i/a$ I&:!sti(at'# Dat!

Dis%i/$i&! A//#':a$<

PPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPP Tit$!

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or+ ,? onflict of $nterest State+ent



CONICT O INTEREST STATEMENT

CRADA PPPP

D!/a#t!&t '* I&t!#i'#G U&it!" Stat!s !'$'(i%a$ S#:!)

a&" PPPPPPPPPPPPPPPPPPPP

I PPPPPPPPPPPPPPPPPPPPPPh!#!2) %!#ti*) that t' th! 2!st '* ) 3&'$!"(! &!ith!# IG &'# ) s/'s!G %hi$"G /a#!&tGsi2$i&(G '# /a#t&!#G '# a& '#(a&iati'& i& hi%h I?! s!#:! as '**i%!#G "i#!%t'#G t#st!! /a#t&!#G '# !/$')!!<

1. h'$"s *i&a&%ia$ i&t!#!st i& th! a2':! C'#/'#ati'& '# a&) !&tit) hi%h has a s2sta&tia$ i&t!#!st i& th! /#!/a#ati'&G &!('tiati'&G '# a//#':a$ '* this CRADAJ

,. has #!%!i:!" a (i*t '# (#atit) *#' th! a2':! C'#/'#ati'& '# a&) !&tit) that has a s2sta&tia$ i&t!#!st i& th! /#!/a#ati'&G &!('tiati'& '# a//#':a$ '* this CRADAJ a&"

0. a&" that I a &'t &!('tiati&( &'# "' I ha:! a& a##a&(!!&t %'&%!#&i&( %##!&t '# /#'s/!%ti:! !/$')!&tith th! C'#/'#ati'& '# !&tit) that has a s2sta&tia$ i&t!#!st i& th! /#!/a#ati'&G &!('tiati'& '# a//#':a$ '* thisCRADA.

E@%!/t as *'$$'s< PPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPP PPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPP PPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPP

=I&s!#t &'&!G '# i&*'#ati'& a2't th! %'&*$i%t. Th! *a%t that )' a#! a& i&:!&t'# '& a& !@isti&( /at!&t '# *t#! /at!&thi%h a) 2! "!:!$'/!" &"!# a CRADA a&" that )' i(ht #!%!i:! #')a$t) /a)!&ts "'!s &'t &!!" &'t 2! #!/'#t!".A&) 'th!# t)/! '* /'siti:! "is%$'s#! sh'$" 2! i&%$"!" a&" #!:i!!" t' "!t!#i&! h!th!# a ai:!# '#"isa$i*i%ati'& is a//#'/#iat!. >

#th!#'#!G I &"!#sta&" that "#i&( th! t!# '* th! CRADA i* th! a2':! i&*'#ati'& %ha&(!sG that I ha:! a&'2$i(ati'& t' a":is! ) Dis%i/$i&! Chi!* i& #iti&(.

B)PPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPP A//#':!" 2) Dis%i/$i&!< =Si(&at#! I>

Dat! PPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPP R!:i!!#PPPPPPPPPPPPPPP Dat!PPPPPPPPPP



or+s 6a and 6b? !A'A 'ecision:Tree and !A'A riteria hecklist



CRADA DECISION-TREE

1> D'!s th! /'t!&tia$ /a#t&!# s//'#t s%i!&ti*i% #!s!a#%hG t!%h&'$'(i%a$ "!:!$'/!&tG '# "atas)st!s /!#tai&i&( th!#!t'+

YES< ' t' !sti'& ,. NO< S#:!) Ma&a$ Cha/t!# SM 5;;.,; /#'hi2its *'#i&( a CRADA ith this

/'t!&tia$ /a#t&!#.

,> Wi$$ this CRADA 2! i& %'/$ia&%! ith $as a&" #!($ati'&s that a**!%t th! USS+

YES< ' t' !sti'& 0. NO< D' &'t !:!& %'&si"!# *'#i&( a CRADA &$!ss this !sti'& %a& 2! a&s!#!"

i& th! a**i#ati:!.

0> Is this CRADA %'/ati2$! ith th! USS issi'&+

YES< ' t' !sti'& 4. NO< D' &'t (' a&) *#th!# i& /$a&&i&( this /#'L!%t &ti$ this !sti'& %a& 2!

a&s!#!" i& th! a**i#ati:!.

4> Is this CRADA a"!at!$) s//'#t!" ith *i&a&%ia$ a&" 'th!# #!s'#%!s 2) 2'th th! /a#t&!#a&" th! USS+

YES< ' '& t' !sti'& 5. NO< D' &'t (' a&) *#th!# i& /$a&&i&( this /#'L!%t &ti$ this !sti'& %a& 2!

a&s!#!" i& th! a**i#ati:!.

5> Wi$$ th! CRADA a**!%t th! s%i!&ti*i% i&t!(#it) '* th! USS i& a /'siti:! a)+

YES< ' '& t' !sti'& 6. NO< D' &'t /#'%!!" ith this /'t!&tia$ /a#t&!# '# /#'L!%t &ti$ this !sti'& %a& 2!

a&s!#!" i& th! a**i#ati:!. I* th!#! is a&) "'2tG %'&s$t )'# Dis%i/$i&!Chi!*G th! Bsi&!ss E&t!#/#is! C'&%i$G '# th! Bsi&!ss D!:!$'/!&t B#a&%h.

6> Wi$$ th! CRADA ai&tai& '# !&ha&%! th! /2$i% ia(! '* th! USS+

YES< C'/$!t! th! C#it!#ia *'# A%%!/ta&%! '* a CRADA %h!%3$ist ='# 6B> i& th!CRADA Ha&"2''3.

NO< D' &'t /#'%!!" ith this /'t!&tia$ /a#t&!# '# /#'L!%t &ti$ this !sti'& %a& 2!a&s!#!" i& th! a**i#ati:!. I* th!#! is a&) "'2tG %'&s$t )'# Dis%i/$i&!Chi!*G th! Bsi&!ss E&t!#/#is! C'&%i$G '# th! Bsi&!ss D!:!$'/!&t B#a&%h.

CRITERIA OR ACCETANCE O A CRADA



Yes No

1. Is it i& th! /2$i% i&t!#!st+

Is t!%h&'$'() 2!i&( t#a&s*!##!"+

Is th!#! a 2!&!*it t' th! C'$$a2'#at'#+

Is th!#! a 2!&!*it t' th! USS+

,. Th!#! i$$ 2! &' si(&i*i%a&t "isa":a&ta(! t' a&) /2$i% (#'/+

0. Is a CRADA th! '#! a//#'/#iat! :!hi%$! ':!# a "i#!%t %'&t#i2ti'&+ =D!*i&!" i& SM 5;;.19>

4. Was th! CRADAG as s/!%i*i!" i& SM 5;;.,;G "!:!$'/!" *ai#$)+

Was a /2$i% a&&'&%!!&t /$a%!" i& th! !"!#a$ R!(ist!# a2't th! /!&"i&( CRADA+

Was th!#! !a$ a%%!ss t' a$$ i&t!#!st!" /a#ti!s+

Is th! /#'%!"#! *'# %'$$a2'#at'# s!$!%ti'& "'%!&t!"+

Is th! 2asis *'# %'$$a2'#at'# s!$!%ti'& *ai#+

5. Is th! CRADA ithi& '# &'#a$ a&" $!(a$ ath'#it)+

6. D' ! ha:! a &i! '# s/!%ia$ %'/!t!&%! '# *a%i$it) &'t a:ai$a2$! !$s!h!#!+

7. Ca& th! '#3 '& this CRADA 2!st 2! "'&! 2) th! USS a&" is &'t /#!s!&t$) 2!i&( "'&! i& asatis*a%t'#) a&&!# 2) a /#i:at! %'/a&) '# a&'th!# a(!&%)+

8. Ca& th! CRADA a%ti:it) 2! /!#*'#!" ith't "!*!##i&(G "!$a)i&(G "/$i%ati&(G '# /#!%$"i&(a%ti:iti!s '# /#'(#as ath'#i!" &"!# a//#'/#iati'&s t' th! USS 2) C'&(#!ss+

9. A#! th! "!s%#i/ti'& a&" stat!!&t '* '#3 %$!a# a&" %'&%is!+

Is th! #!$ati'&shi/ '* th! /#'L!%t t' th! USS issi'& a&" /#'(#as !$$ "!*i&!"+

A#! th! ('a$s a&" '2L!%ti:!s %$!a#$) "!*i&!"+

A#! th! %'$$a2'#ati&( /a#t)s #'$! a&" %'&t#i2ti'&s !$$ "!*i&!"+

A#! th! S#:!)s #'$! a&" %'&t#i2ti'&s !$$ "!*i&!"+

A#! th! tas3s t' 2! /!#*'#!" a&" #!s/'&si2i$iti!s '* !a%h /a#t&!# '& !a%h tas3 !$$ "!*i&!"+

1;.A#! th!#! a&) s/!%ia$ /#':isi'&s i& this CRADA+

A#! th!) %$!a#$) "!*i&!" i& th! /#'L!%t "!s%#i/ti'&+



or+ 7? 'isci)line !eco++endation /e+orandu+



T'< Bsi&!ss E&t!#/#is! C'&%i$

#'< =Dis%i/$i&!>

S2L!%t< C''/!#ati:! R!s!a#%h a&" D!:!$'/!&t A(#!!!&t =CRADA> Tit$!"

Atta%h!" is th! %'/$!t!" /a%3a(! *'# th! a2':! CRADA. #sa&t t' U.S. !'$'(i%a$ S#:!) /'$i%) it%'&tai&s th! C':!# a(!G Stat!!&t '* W'#3G !&!#a$ #':isi'&sG C'&*$i%t '* I&t!#!st Stat!!&tG a %'/) '*th! !"!#a$ R!(ist!# A&&'&%!!&tG th! %'/$!t!" D!%isi'&-T#!!G a&" th! CRADA C#it!#ia Ch!%3$ist.

Th! Dis%i/$i&! has #!:i!!" th! #'/'sa$G th! CRADAs Stat!!&t '* W'#3G a&" th! !&!#a$ #':isi'&s. Th!Dis%i/$i&! is satis*i!" that 2as!" '& %##!&t 2"(!ts a&" /#'L!%ti'&s it has s**i%i!&t #!s'#%!s t' a%%'/$ish

th! /#'L!%t a&" that th! ('a$s '* th! CRADA %a& 2! !t ith th! /#'L!%t!" a&" %'itt!" #!s'#%!s.

PPPPPPPPPPPPPPPPPP is #!%'!&"i&( this /#'L!%t *'# Ass'%iat! Di#!%t'#s O**i%! a//#':a$.



or+ <? Trans+ittal 8etter



D!a#<

W! a#! /$!as!" t' *'#a#" *'# )'# a//#':a$ a&" si(&at#!G t' '#i(i&a$ %'/i!s '* th!C''/!#ati:! R!s!a#%h a&" D!:!$'/!&t A(#!!!&t =CRADA> hi%h /#'/'s!s that th!U.S. !'$'(i%a$ S#:!) =USS> a&" /a#ti%i/at! i& a%''/!#ati:! . This /#'L!%t i$$ s!#:!th! /2$i% 2) /#':i"i&( *'# '#! !**i%i!&t !@/!&"it#!s '* ':!#&!&t *&"sG a&" *'# th!"!:!$'/!&t '* PPPPPPPPPPPPPPPPPPPP. I& a""iti'&G this /#'L!%t has (#!at /'t!&tia$ *'# th!"!:!$'/!&t '* &! sa$$ 2si&!ss!s *'# th! Stat!.

$!as! si(&G '# ha:! )'# "!si(&!! si(& 2'th '#i(i&a$ CRADAs i& t' /$a%!s =/a(! 1 a&" at th!!&" '* th! !&!#a$ #':isi'&s>. K!!/ '&! %'/) *'# PPPPPPPPPPPPPPPPPPPG a&" #!t#& '&!si(&!" %'/) t'<

U.S. !'$'(i%a$ S#:!) Bsi&!ss D!:!$'/!&t B#a&%h

5;; Nati'&a$ C!&t!# 1,,;1 S&#is! Va$$!) D#i:! R!st'&G Vi#(i&ia ,;19,

W! $''3 *'#a#" t' th! '//'#t&it) t' '#3 ith )'# '#(a&iati'& '& this i/'#ta&t /#'L!%ta&" a#! %'&*i"!&t '* a ta$$) 2!&!*i%ia$ 't%'!.

Si&%!#!$) )'#sG

Ass'%iat!Di#!%t'#

E&%$'s#!s



or+ ;? !e)ort of $nvention or+ '$:121,









or+ 10? !A'A !e)ort



CRADA ANNUA?INA REORT

CRADA N'<

CRADA Tit$!<

CRADA a#ti%i/a&ts<

#i&%i/a$ I&:!sti(at'#<

!#i'" %':!#!" 2) th! R!/'#t<

1. I"!&ti*) th! "!$i:!#a2$!s *#' th! Stat!!&t '* W'#3 that !#! t' 2! %'/$!t!" i& thisti!*#a!. W!#! th!) %'/$!t!"+ I* &'tG 2#i!*$) !@/$ai& th! "is%#!/a&%).

,. What as th! *&"i&( /#'*i$! *'# th! ti! /!#i'" %':!#!" *'# !a%h /a#t)+ =I& th!

a$t!#&ati:! th! I i(ht s! a (#a/h *'# *&"s.>

a. Di" th! USS !@/!&" its !stiat!" #!s'#%!s a&" !@/$ai& a&) si(&i*i%a&t "!:iati'&s+

2. Di" th! i&"st#ia$ /a#ti%i/a&t %'/$!t! its "!$i:!#a2$!sG hat !#! th!i# !stiat!"%'sts?!@/!&s!s+ H' "'!s this %'/a#! a(ai&st th! i&itia$ !stiat!s+

%. Bas!" '& th! #!s$tsG is th! USS satis*i!" that th! '#3 /!#*'#!" 2) th! i&"st#ia$ /a#t&!# as '* :a$! a&" %'&t#i2t!" t' th! #!s!a#%h /#'L!%t.

0. D#i&( this ti! /!#i'" "i" th! i&"st#ia$ /a#t&!# '# th! USS i"!&ti*) a&) #'t!%t!"

CRADA I&*'#ati'&+ Y!s?N'

I* )!sG has it 2!!& /#'/!#$) a#3!" *'# %'&t#'$ *'# th! /!#i'" s/!%i*i!" i& th! %'&t#a%t+

4. Ha:! a$$ th! #!/'#ts #!i#!" *'# this /!#i'" '# th! /#'L!%t 2!!& %'/$!t!"+ Y!s?N'

I* N'G /$!as! i"!&ti*) h' has th! a%ti'& it! *'# th! #!/'#t a&" h!& it i$$ 2! %'/$!t!".

5. Was a&) %'/)#i(ht at!#ia$ /#'"%!" "#i&( this /!#i'"?'# th! /#'L!%t+

I* )!sG 2#i!*$) 't$i&! h!th!# a&) st!/s ha:! 2!!& ta3!& t' $i%!&s! th! %'/)#i(hts.

6. W!#! th!#! a&) /at!&t "is%$'s#!sG '# /at!&t a//$i%ati'&s *i$!" "#i&( this /!#i'" as a #!s$t '* th! #!s!a#%h+ N'?Y!s

I* )!sG /$!as! /#':i"! a $isti&( '* s%h "is%$'s#!s a&" i&:!&ti'&s.

7. I* this is a *i&a$ #!/'#tG has a&) $'a&!" !i/!&t 2!t!!& th! /a#ti!s 2!!& #!t#&!" t' its'&!#+

8. A#! th!#! a&) it!s i& "is/t! #!s'$ti'& 2!t!!& th! /a#ti!s+



9. Has th!#! 2!!& a t!#i&ati'& !!ti&( '# t!$!/h'&! %'&:!#sati'& ith th! I&"st#ia$a#ti%i/a&t+ N'?Y!s

I* )!sG "at! a&" *i&a$ a%ti'&.

PPPPPPPPPPPPPPPPPPPPPPP PPPPPPPPPPPPPP I Si(&at#! Dat!



,. $nventions and 9atents

A. ackgroundat!&ti&( a&" $i%!&si&( '* i&t!$$!%ta$ /#'/!#t) a#! 3!) %'/'&!&ts '* :i#ta$$) a&) s%%!ss*$a#3!ti&( /#'(#a h!th!# it is %'&"%t!" 2) th! !"!#a$ ':!#&!&t '# 2) /#i:at! i&"st#). Th!#i(hts t' i&t!$$!%ta$ /#'/!#t) %a& 2! 2'(ht a&" s'$"G $!as!" '# #!&t!"G '# 'th!#is! t#a&s*!##!" 2!t!!& /a#ti!s i& %h th! sa! a) that #!a$ /#'/!#t) '# 'th!# /!#s'&a$ /#'/!#t) %a& 2!t#a&s*!##!".

I&t!$$!%ta$ /#'/!#t) is '*t!& a s2sta&tia$ %'/'&!&t '* th! t!%h&'$'() t#a&s*!# /#'%!ss. It st 2! /#'t!%t!" i& th! t#a&s*!# '* t!%h&'$'() t' !&s#! th! %'!#%ia$ :ia2i$it) '* th! t!%h&'$'().I&t!$$!%ta$ /#'/!#t) is 'st '*t!& t#a&s*!##!" th#'(h %'&t#a%ts '# $i%!&s!s. S'! '* th! a)s t' /#'t!%t i&t!$$!%ta$ /#'/!#t) #i(hts i& th! U&it!" Stat!s a#! th#'(h /at!&tsG %'/)#i(htsG t#a"!s!%#!tsG t#a"! a#3s a&" t#a"! &a!s. D!*i&iti'&s *'# th!s! t!#s a#! /#':i"!" i& A//!&"i@ A '* thisha&"2''3.

B'th th! D!/a#t!&t '* th! I&t!#i'# a&" th! USS !&%'#a(! i&&':ati:! a%ti:it) 2) th!i# !/$')!!sa&" /#''t! th! %'!#%ia$iati'& '* !/$')!! i&:!&ti'&s th#'(h /at!&ts a&" $i%!&si&(. B'th /#''t! t!%h&'$'() t#a&s*!# '* i&:!&ti'&s th#'(h C''/!#ati:! R!s!a#%h a&" D!:!$'/!&tA(#!!!&ts =CRADAs>. '$i%) a&" /#'%!"#!s *'# #!/'#ti&( i&:!&ti'&s a&" s!!3i&( /at!&ts a#!%':!#!" i& th! DOI Ma&a$ Cha/t!# 450 DM 1 a&" th! USS Ma&a$ Cha/t!# 450.1 =A//!&"i@ B>.

. !ights in $nventionsTh! ':!#&!&ts /'siti'& #!(a#"i&( !/$')!!-"!:!$'/!" i&:!&ti'&s is *$$) s!t *'#th i& D!/a#t!&t'* th! I&t!#i'# =DOI> Ma&a$ Cha/t!# 450 DM 1G 2t is h!#! sa#i!"<

' Th! ':!#&!&t is !&tit$!" t' th! #i(htG tit$! a&" i&t!#!st '* (':!#&!&t i&:!&ti'&s hi%h 2!a# a

"i#!%t #!$ati'& t' '# a#! a"! i& %'&&!%ti'& ith a& !/$')!!s '**i%ia$ "t). Th! !@%!/ti'& t' thisi$$ 2! i& CRADAs h!#! th! tit$! a&" i&t!#!st %a& 2! '"i*i!" 2) %'&t#a%t.

' Wh!& th! i&:!&ti'& "'!s &'t /!#tai& t' th! !/$')!!s "i#!%t "ti!sG 2t is %'&%!i:!" "#i&('#3i&( h'#sG '# 2i$t '# t!st!" si&( (':!#&!&t /#'/!#t)G th! ':!#&!&t is !&tit$!" t' a &'&-!@%$si:!G i##!:'%a2$!G #')a$t) *#!! $i%!&s! i& th! i&:!&ti'& ith th! /'!# t' (#a&t s2$i%!&s!sG a&"th! i&:!&t'# a) a$s' #!tai& tit$! t' a&" i&t!#!st i& th! /at!&t.

' I* th! /at!&t as "!:!$'/!" i&"!/!&"!&t '* (':!#&!&t ti! a&" '&!) a&" is &'t #!$at!" t' th!A(!&%)s '2L!%ti:!sG th! !/$')!! a) #!tai& th! !&ti#! #i(ht a&" tit$! t' th! i&:!&ti'&. Wh!& th!':!#&!&t is &'t !&tit$!" t' th! i&:!&ti'&G th! !/$')!! %a& #!!st that USS *i$! th! /at!&ta//$i%ati'& '& th! i&:!&ti'& i& #!t#& *'# a $i%!&s! t' th! ':!#&!&t. Th! USS a) a(#!! t' "'

s' h!& it a//!a#s t' 2! i& th! ':!#&!&ts i&t!#!st t' "' s' =!.(.G (':!#&!&t /#'%#!s $a#(!a&titi!s '* a "!:i%! '# /#'"%t '# at!#ia$ a"! 2) /#a%ti%i&( th! i&:!&ti'&.>

' I* a& i&:!&ti'& is assi(&a2$! t' th! ':!#&!&tG it a) 2! /#'t!%t!" 2) /at!&ti&( i& th! U&it!"Stat!s a&" i& s!$!%t!" *'#!i(& %'&t#i!sJ 2) /at!&ti&( i& th! U&it!" Stat!s '&$)J '# 2) /2$ishi&( a"!s%#i/ti'& '* th! i&:!&ti'&. Th! "!(#!! '* /#'t!%ti'& s'(ht is "!/!&"!&t /'& th! i&t!#!st '* th!':!#&!&t a&" th! /2$i% i& th! i&:!&ti'&.

' at!&ts h!$" i& th! &a! '* a&) DOI !/$')!!-i&:!&t'# 2!$'&( t' th! D!/a#t!&t 2t a#!



a&a(!" 2) th! B#!a '* th! !/$')!!-i&:!&t'#. This is h) th! /at!&t-s!!3i&( /#'%!ss i&:'$:!s 2'th th! USS a&" th! DOI O**i%! '* th! S'$i%it'#.

' DOIs /'$i%) is t' s!!3 /at!&ts /#'t!%ti&( i&:!&ti'&s a"! 2) !/$')!!s h!& it is *'&" t' 2!&!%!ssa#) t' /#!s!#:! (':!#&!&t i&t!#!sts i& i&:!&ti'&s #!s$ti&( *#' th! D!/a#t!&ts /#'(#asa&" a%ti:iti!sG a&" t' /#':i"! *'# a@i 2!&!*its t' th! /2$i% *'# s%h i&:!&ti'&s.

. Ty)es of 9atentsTh!#! a#! th#!! t)/!s '* /at!&ts &"!# U.S. $a< ti$it) /at!&tsG "!si(& /at!&tsG a&" /$a&t /at!&ts.Uti$it) /at!&ts %':!# i&:!&ti'&sJ "!si(& /at!&ts /#'t!%t %!#tai& "!si(&s *'# a&*a%t#!J a&" /$a&t /at!&ts a#! *'# &! :a#i!ti!s '* as!@a$$) #!/#'"%i&( /$a&ts.

!#s'&s i&:!&ti&( '# "is%':!#i&( a&) &! a&" s!*$ /#'%!ssG a%hi&!G a&*a%t#! '# %'/'siti'&'* att!#G '# a&) &! a&" s!*$ i/#':!!&t th!#!'*G a) a//$) *'# /at!&t. Th!#! a#! t' %a:!atst' this< 1> th! i&:!&t'# st 2! a2$! t' %ha#a%t!#i! th! i&:!&ti'& as a /#'%!ssG a%hi&!Ga&*a%t#!G '# %'/'siti'& '* att!# a&" ,> th! i&:!&ti'& st 2! &! '# &':!$ a&" s!*$. Th!#!

a#! a *! !@%!/ti'&s t' /at!&ta2i$it). It!s that %a&&'t 2! /at!&t!" i&%$"!<

$as '* &at#!&at#a$ *'#%!s 2asi% /#i&%i/$!s!#! %h!i%a$ *'#$as 2si&!ss !th'"ss)st!s '* 2''33!!/i&(!th'"s '* %a$%$ati'&!&ta$ st!/si"!as

'. asic !es)onsibilityI* )' a#! a& !/$')!! h' has i&:!&t!" s'!thi&( #!$at!" t' )'# '#3G hi%h )' a&" )'#s/!#:is'# %'&si"!# /at!&ta2$!G )' a#! !@/!%t!" t' a3! a #!/'#t '* i&:!&ti'&.

E:!& i* a& i&:!&ti'& as %'&%!i:!" a&" "!:!$'/!" '& th! !/$')!!s '& ti!G th! !/$')!! st#!/'#t it i* it #!$at!s t' th! !/$')!!s '#3. !&!#a$$)G h!& a& i&:!&ti'& is %'&%!i:!" a&""!:!$'/!" '& th! !/$')!!s ti!G th! !/$')!! is !$i(i2$! t' %$ai a&" #!%!i:! th! /at!&t #i(hts.

". 9atent A))lication 9rocessTh! *'$$'i&( /#'%!ss is i& /$a%! *'# /at!&t /#!/a#ati'& =s!! SM Cha/t!# 450.1><

' E/$')!!s a#! #!s/'&si2$! *'# 3!!/i&( a//#'/#iat! #!%'#"s '& th!i# i&:!&ti'&s a&" *'# /#!/a#i&( ati!$) i&:!&ti'& #!/'#t '& '# DI-1,15. A %'/) is i&%$"!" as '# 9 i& th! /#!:i's s!%ti'& '*this ha&"2''3.

' S/!#:is'#s a#! #!s/'&si2$! *'#<

a. I&st#%ti&( th!i# !/$')!!s t' #!%'#" th!i# i&:!&ti'&s a&" #!/'#t th! /#'/t$)J

2. Ma3i&( s#! !a%h i&:!&ti'& #!/'#t =DI-1,15> is %'/$!t! a&" a$$ i&:!&t'#s a#!





ith th! DOI #!tai&i&( a ':!#&!&t-s! $i%!&s! i* th! i&:!&ti'& is /at!&t!". Th! i&:!&t'#=s> a)th!& /#s! a /at!&t si&( th!i# '& ti! a&" #!s'#%!s i* th! i&:!&t'#=s> s' "!si#!. !"!#a$!/$')!!s aa#"!" /at!&t #i(hts a) &'t s!!3 a /at!&t '& that i&:!&ti'& "#i&( th!i# *!"!#a$$) /ai"'#3 h'#s '# ti$i! a&) 'th!# !"!#a$ #!s'#%!s *'# th!i# /#i:at! (ai&.

. A5ards and !oyaltiesTh! D!/a#t!&t '* th! I&t!#i'#s /at!&t /'$i%) i&%$"!s #!a#"i&( i&:!&t'#s. I&:!&t'#s a#! aa#"!"5;; !a%h 2) th!i# a(!&%) h!& th!i# /at!&t a//$i%ati'& is *i$!". I* th! i&:!&ti'& is /at!&t!"Gi&:!&t'#s a#! aa#"!" 8;; 2) th!i# a(!&%). Withi& th! USSG th!s! aa#"s a#! t' 2! /ai" 2) !a%hDis%i/$i&! *#' th!i# '& *&"s t' i&:!&t'#s ithi& that Dis%i/$i&!.

I* a& i&:!&t'#s /at!&t '# i&t!$$!%ta$ /#'/!#t) is $i%!&s!" 2) th! D!/a#t!&t *'# s!G a&*a%t#! '#sa$!G a $i%!&si&( a(#!!!&t i$$ 2! "!:!$'/!" 2!t!!& th! '&!# '* th! /at!&t =th! ':!#&!&t> a&"th! $i%!&s!! =sa$$) a /#i:at! %'/a&)>. Th! $i%!&si&( a(#!!!&t i$$ 't$i&! #')a$t) /a)!&ts t' 2! a"! 2) th! $i%!&s!! t' th! D!/a#t!&t. I&:!&t'#s a#! !&tit$!" t' th! *i#st ,G;;; a&" ai&i '* 15 '* th! #')a$ti!s %'$$!%t!" /!# )!a# 2) th! a(!&%) t' a a@i '* 15;G;;;.

Th!s! #')a$ti!s i$$ *$' t' th! i&:!&t'#s th#'(h th! Bsi&!ss D!:!$'/!&t B#a&%h.

G. $nvention 'isclosure Patent law requires inventors to apply for a patent within one year from the time an invention is first disclosed, put into public use, or offered for sale. If this is not done within the specifiedtime frame, the inventor waives his/her right to a patent. It should be noted that an inventorcannot file for foreign patent rights once a disclosure has been made. A$th'(h th! U&it!" Stat!sassi(&s /at!&t #i(hts '& a *i#st-t'-i&:!&tF 2asisG a&) *'#!i(& %'&t#i!s s! a *ast-t'-*i$!F /#'%!ssG(#a&ti&( #i(hts t' h'!:!# *i$!s *'# a& i&:!&ti'& *i#st.

I* at a$$ /'ssi2$!G th!#! sh'$" 2! &' "is%$'s#! &ti$ a*t!# a /at!&t a//$i%ati'& has 2!!& *i$!".

Dis%$'s#!F !a&s that !&'(h i&*'#ati'& a2't th! i&:!&ti'& has 2!!& /2$i%$) #!$!as!" 2) th!i&:!&t'# ='#a$$)G i& #iti&(G a&" !$!%t#'&i%a$$) 2) !ai$ '# th! I&t!#&!tG th#'(h t!@tG "#ai&(s a&"?'#s3!t%h!s> that s'!'&! t!%h&i%a$$) s3i$$!" i& th! i&:!&ti'& *i!$" %'$" "/$i%at! th! i&:!&ti'& 2as!"'& th! i&*'#ati'& #!$!as!". A//!&"i@ A i&%$"!s a !'#a&" *#' th! DOI O**i%! '* th!S'$i%it'# that /#':i"!s (i"a&%! '& th! "!*i&iti'& '* '#a$ "is%$'s#!.

H. 9rotecting ederal $nventions ro+ 'isclosureWh!& i"!as a#! /#!at#!$) "is%$'s!"G '/ti'&s #!$at!" t' /#'t!%ti&( i&t!$$!%ta$ /#'/!#t) a&"t!%h&'$'() t#a&s*!# a#! #!"%!". With "is%$'s#! '* a& i&:!&ti'&G a statt'#) ti! %$'%3 #!i#!s a"!%isi'& t' 2! a"! #!$ati:! t' /at!&ti&(. I& s'! %as!sG th! i"!a '# %'&%!/t a) &'t 2! "!:!$'/!"!&'(h t' a$$' a& a"!at! /at!&t a//$i%ati'& t' 2! /#!/a#!". O# a$$ th! /#!$ii&a#) '#3 thati(ht s//'#t a st#'&( /at!&t a//$i%ati'& a) &'t ha:! 2!!& %'/$!t!". #!at#! "is%$'s#! i&

th!s! %as!s '*t!& #!i#!s th! /#!/a#ati'& '* a& a//$i%ati'& i& $!ss tha& i"!a$ %i#%sta&%!s thati(ht &'t !&s#! s'$i" %$ais. Premature disclosure, therefore, should be avoided, and disclosure

in general should be planned in advance.

I* a&) '&! '* th! *'$$'i&( '%%#s '#! tha& '&! )!a# 2!*'#! th! *i$i&( '* a /at!&t a//$i%ati'& ithth! U.S. at!&t a&" T#a"!a#3s O**i%!G a "is%$'s#! i$$ 2! a"! that #!s$ts i& th! $'ss '* /at!&t#i(hts *'# th! i&:!&ti'& i& th! U&it!" Stat!s. '#!i(& #i(hts a#! (!&!#a$$) $'st ith any /2$ish!"a#ti%$!.



' 2$i%ati'&G ith't th! #!i#!!&t '* s!%#!%)G '* a "!tai$!" "!s%#i/ti'& '* th! i&:!&ti'&'# h' it '#3s. 2$i%ati'&s i&%$"! &!s/a/!#G a(ai&!G a&" t#a"! L'#&a$ a#ti%$!sG /2$i%$)a:ai$a2$! (':!#&!&t #!/'#tsG a&" Dis%i/$i&! sa#i!s '* !@/!#i!&ta$ #!s!a#%h /#'L!%ts. A /2$i%ati'& %a& a$s' 2! !$!%t#'&i%G '#a$ '# :isa$ i&%$"i&( a /#!s!&tati'& '* :i!-(#a/hs.

' 2$i% s! '* th! i&:!&ti'& i& th! U&it!" Stat!s. E@/!#i!&ta$ s!s '* a& i&:!&ti'& a#!(!&!#a$$) a& !@%!/ti'&G 2t th! "!*i&iti'& '* !@/!#i!&ta$ is '*t!& "i**i%$t t' as%!#tai&. 2$i% s!%a& i&%$"! a "!'&st#ati'& at a s%i!&ti*i% !!ti&( '* a '#3i&( /#'t't)/! '# "!'&st#ati'&s t' /#i:at! %'/a&i!s *'# a&) /#/'s! s%h as "!:!$'/i&( a $i%!&s!G a CRADAG '# a /#'%#!!&t.

Th! h'$! %'&%!/t '* /#!at#! "is%$'s#! '* i&:!&ti'&s i$$ i&t!&si*) i& th! *t#! as th! U&it!"Stat!s ':!s t'a#" th! a"'/ti'& '* '#$" /at!&t ha#'&iati'&. I& ha#'&iati'&G th! *i#st /!#s'&h' *i$!s a /at!&t a//$i%ati'& 2!%'!s that i&:!&ti'&s '&!#. This !a&s that ! st 2! %h'#! aa#! '* th! #!s/'&si2i$iti!s #!$at!" t' i&:!&ti'& /#'t!%ti'&. U&"!# ha#'&iati'&G th! U&it!"Stat!s *i#st-t'-i&:!&t /'$i%) i$$ &' $'&(!# 2! a//$i%a2$!. i#st-t'-i&:!&tF !a&s that th! *i#st /!#s'& h' i&:!&t!"F th! s2L!%t '* a /at!&t a//$i%ati'& 2!%'!s that i&:!&ti'&s '&!#. A

"!%isi'& t' #!tai& th! *i#st-t'-i&:!&t /'$i%) i& th! U&it!" Stat!s *'# th! ti! 2!i&( as a"! 2) th!S!%#!ta#) '* C'!#%! i& 1994. H'!:!#G th! att!# #!ai&s &"!# %'&si"!#ati'&.

Wh!& *'# #!as'&sG #!s!a#%h '# 'th!#is!G it 2!%'!s &!%!ssa#) *'# a !"!#a$ ':!#&!&t /a#t) t'"is%$'s! %'&*i"!&tia$G s!&siti:!G '# /#'/#i!ta#) i&*'#ati'& t' a&'th!# /a#t)G it 2!%'!s &!%!ssa#) a&"i& th! 2!st i&t!#!st '* th! ':!#&!&t t' #!i#! th! 'th!# /a#t) t' si(& hat is %a$$!" a &'&-"is%$'s#! a(#!!!&t. U&"!# this a(#!!!&tG th! /a#t) #!%!i:i&( %'&*i"!&tia$ i&*'#ati'& a(#!!s t' /#'t!%t this i&*'#ati'& as /#'/#i!ta#). I&:!&t'#s sh'$" %'/$!t! a&" !@!%t! this "'%!&t 2!*'#!!!ti&(s '# "is%ssi'&s ith i&"i:i"a$ %'/a&i!s h!#! i&*'#ati'& /!#tai&i&( t' a &! i&:!&ti'&is "is%$'s!". A& !@a/$! '* t' *'#s *'# s%h a& a(#!!!&t %a& 2! *'&" as '# 11a a&" 2 at th!!&" '* this s!%ti'&.

I& sa#)G t' /#!:!&t /'ssi2$! "is%$'s#! a&" $'ss '* a /'t!&tia$ /at!&tG '% &%T?

1> /2$ish a&)thi&( a2't )'# &! i"!aG i&:!&ti'& '# /#'%!ss '& /a/!# '# ':!# )'#%'/t!#G,> (i:! a /#!s!&tati'& a2't th! i&:!&ti'&G i"!a '# /#'%!ssG0> t!$$ a&)'&! 'tsi"! )'# i!"iat! '#3(#'/ a2't th! i"!aG i&:!&ti'& '# /#'%!ssG

&ti$ a /at!&t a//$i%ati'& is *i$!".

It is also important to note that once disclosure occurs, an inventor has one year in which to filea patent application. This means that the patent application must be filed at the U.S. Patent and Trademar !ffice within one year.

T' a:'i" th! $'ss '* a /at!&t 2!%as! th! '&!-)!a# $iitati'& has 2!!& !@%!!"!"G DOI #!($ati'&s#!i#! that i&:!&ti'&s 2! #!/'#t!" /#'/t$). Th! USS has i&t!#/#!t!" this i&st#%ti'& t' stat! that#!/'#ts '* i&:!&ti'& =DI-1,15> sh'$" 2! s2itt!" 2) th! i&:!&t'#s t' th!i# a//#'/#iat! s/!#:is'#ithi& 6; "a)s '* i&:!&ti'&.

$. !ecord (ee)ing#' a R!%'#" 3!!/i&( sta&"/'i&tG i&:!&ti'& a&" "!:!$'/!&t #!%'#"s that ha:! 2!!& 3!/t i& a /!#a&!&t$) 2'&" &'t!2''3 ha:! th! st#'&(!st !:i"!&tia#) :a$! i* %ha$$!&(!s t' ath'#shi/ a#!



/#!s!&t!". I& s%h a s)st! th! si(&i*i%a&t '#3sh!!ts '# /a(!s sh'$" 2! it&!ss!"G "at!"G a&"si(&!". I& '#"!# *'# a %'-'#3!# t' s!#:! as it&!ss t' a& i&:!&ti'& h!?sh! st ha:! a (!&!#a$&"!#sta&"i&( '* th! i&:!&ti'&. Th! i&:!&t'# a) i&%'#/'#at! %!#tai& it!s 2) #!*!#!&%! a&" %!#tai&#'ti&! att!#s &!!" &'t 2! !@/$ai&!" i& "!tai$.

N't!2''3s sh'$" 2! "at!" a&" 3!/t i&"!*i&it!$) i& %as! #!*!#!&%! !sti'&s sh'$" a#is! at a $at!#"at!.

Th! %'&%!/ti'& '* a& i&:!&ti'& sh'$" 2! #!%'#"!" 2) "!s%#i2i&( th! i&:!&ti'& as %'/$!t!$) as /'ssi2$! i& th! 2'&" &'t!2''3s. Th! #!%'#" sh'$" 2! *'$$'!" 2) %h#'&'$'(i%a$ !&t#i!s i& th!&'t!2''3 "!s%#i2i&( th! st!/s ta3!& t' #!"%! th! i&:!&ti'& t' /#a%ti%!. Th!s! sh'$" 2! si(&!"G"at!" a&" it&!ss!" as "!s%#i2!" a2':!.

I* th! i&:!&ti'& is #!"%!" t' /#a%ti%!G th! t!st s!t/G /#'%!"#!s a&" "ata sh'$" 2! "!s%#i2!" as%'/$!t!$) as /'ssi2$! i& th! 2'&" &'t!2''3. S!/a#at! %ha#t #!%'#"i&(sG /h't'(#a/hsG !t%.G sh'$" 2! $a2!$!"G "at!" a&" /ast!" '# 'th!#is! #!*!#!&%!" i& th! &'t!2''3. T' "isi&t!#!st!" it&!ss!s

=&'t %'-i&:!&t'#s> sh'$" '2s!#:! '# /#!*!#a2$) /a#ti%i/at! i&G th! t!sti&( a&" '# #!%'#"i&( '* th!"ata. Th!s! it&!ss!s t' th! #!%'#" '* #!"%ti'& sh'$" 2! a2$! t' stat! that th!) it&!ss!" a&"&"!#st''" th! t!sti&(.



6. 9atent 8icenses

A. 9olicy for A5arding 8icensesTh! !"!#a$ T!%h&'$'() T#a&s*!# A%t '* 1986 =TTA> a"! t!%h&'$'() t#a&s*!# a #!s/'&si2i$it) '*a$$ !"!#a$ $a2'#at'#) s%i!&tists a&" !&(i&!!#s. It !/'!#!" !a%h a(!&%) t' (i:! th! Di#!%t'# '*':!#&!&t-'&!" ':!#&!&t-'/!#at!" =OO> $a2'#at'#i!s th! ath'#it) t' !&t!# i&t'C''/!#ati:! R!s!a#%h a&" D!:!$'/!&t A(#!!!&ts =CRADAs> ith i&"st#)G &i:!#siti!sG Stat!a&" 'th!# !"!#a$ a(!&%i!s a&" &!('tiat! $i%!&si&( a(#!!!&ts.

A""iti'&a$$)G it a$$'!" !"!#a$ $a2'#at'#i!s t' a3! a":a&%! a(#!!!&ts ith $a#(! a&" sa$$%'/a&i!s '& th! tit$! t' a&" th! $i%!&si&( '* i&:!&ti'&s #!s$ti&( *#' th! CRADAs ith th's!$a2'#at'#i!s. A$s'G th! $a /!#its Di#!%t'#s '* OO $a2'#at'#i!s t' &!('tiat! $i%!&si&(a(#!!!&ts *'# i&:!&ti'&sG '# ai:! a&" (#a&t #i(hts t' 'th!#s *'# i&:!&ti'&s a&" i&t!$$!%ta$ /#'/!#t) a"! at th!i# $a2'#at'#i!s.

I& 1990G th! USS *'#a$i!" its CRADA /#'%!ss ith /'$i%) a&" S#:!) Ma&a$ /#':isi'&s

#!$ati&( t' th! *'# a&" %'&t!&t '* a CRADA =s!! SM Cha/t!# 5;;.,;>. Th!s! (i"!$i&!s a#! /#!/a#!" t' s//$!!&t th! CRADA /'$i%) a&" /#':i"! %'&sist!&%) i& th! *'#$ati'& '* sta&"a#"si&:'$:i&( $i%!&s!sG ai:!#s t' a&" th! (#a&ti&( '* i&t!$$!%ta$ /#'/!#t)G a&" #i(hts /#'"%!" &"!# a%'$$a2'#ati:! a(#!!!&t. Th!s! $i%!&si&( %'&si"!#ati'&s a#! a$s' a//#'/#iat! t' i&"!/!&"!&t$) /#'"%!" USS i&t!$$!%ta$ /#'/!#t).

A'&( th! %'/'&!&ts %'&si"!#!" 2) USS i& $i%!&si&(G (#a&ti&(G '# ai:i&( #i(hts a#!<

1> th! &at#! '* th! /#i'# (':!#&!&t i&:!st!&tG

,> th! #!$ati:! /'siti'&G %a/a2i$it) a&" %'it!&t '* th! i&"st#ia$ /a#t&!#G

0> th! s%'/! '* th! %'!#%ia$ $i%!&s! &!!"!" t' !**!%ti:!$) t#a&s*!# t!%h&'$'()G a&"

4> %'&si"!#ati'&s '* hat is i& th! /2$i% i&t!#!st.

Th!s! (i"!$i&!s %a& 2! a(!&t!" 2) "i#!%t $!(a$ assista&%! *#' th! D!/a#t!&ts S'$i%it'#s O**i%!'# h!$/ *#' th! Bsi&!ss D!:!$'/!&t B#a&%h.

. ackgroundI& th! t)/i%a$ CRADA !a%h /a#t) t' th! a(#!!!&t 2#i&(s !@isti&( t!%h&'$'() a&" 3&'-h' t' th!%'$$a2'#ati'& as !$$ as a %'it!&t *'# *t#! !**'#t. This /#!-!@isti&( !@/!#tis! is %a$$!"Ba%3(#'&" I&t!$$!%ta$ #'/!#t). O& th! i&"st#ia$ si"! this !@/!#tis! a) 2! !:i"!&%!" 2)

/#'/#i!ta#) 3&'-h'G t#a"! s!%#!tsG /at!&tsG /at!&t a//$i%ati'&sG '# %'/)#i(hts a&" '& th!':!#&!&t si"! this !@/!#tis! a) 2! &'&-%'/)#i(ht!" "ataG t!%h&'$'() 3&'-h'G sh'-h'G /at!&tsG a&" /at!&t a//$i%ati'&s.

Th! i&t!$$!%ta$ /#'/!#t) "!:!$'/!" "#i&( a CRADA a&" "!tai$!" i& th! Stat!!&t '* W'#3 %a& 2!s'$!$) "!:!$'/!" =2) '&! /a#t)> '# it a) 2! L'i&t$) "!:!$'/!" =t' '# '#! '* th! /a#ti!s>. S'$!$)"!:!$'/!" t!%h&'$'() 2!$'&(s t' th! %#!ati&( /a#t) &$!ss th! /a#ti!s i& th! CRADA ha:! &!('tiat!""i**!#!&t t!#s a&" %'&"iti'&s.



I* th! t!%h&'$'() "!:!$'/!" &"!# a CRADA is L'i&t$) %#!at!"G !a%h /a#t) sha#!s '&!#shi/ i& th!"!:!$'/!" t!%h&'$'(). A L'i&t '&!# is (!&!#a$$) *#!! t' $i%!&s! '# %'!#%ia$i! a$$ th! L'i&t$)%#!at!" i&t!$$!%ta$ /#'/!#t) ith't a%%'&ti&( t' th! 'th!# L'i&t '&!#=s>. I& '#"!# t' '"i*) th!#i(hts %'&&!%t!" ith L'i&t '&!#shi/ th! /a#ti!s st !&t!# i&t' a s/!%i*i% a(#!!!&t that %ha&(!sth!s! t!#s.

. 8icensesA $i%!&s! is a& a(#!!!&t that a$$'s '&! /a#t) t' s! a&'th!#s i&t!$$!%ta$ /#'/!#t)G t#a"!a#3G%'/)#i(htG !t%. T)/i%a$$) a $i%!&s! (i:!s th! $i%!&s!! th! #i(ht t' a3!G s! a&" s!$$ '# ha:! a"! *'#its '& /#/'s!s a /a#ti%$a# /#'"%t '# /#'%!ss. A $i%!&s! %'$" a$s' (i:! th! $i%!&s!! th! #i(ht t's2$i%!&s! 'th!#s t' a3!G s!G s!$$ a&" ti$i! th! /#'"%t. Usa$$)G $i%!&s!s i&:'$:! #')a$t) /a)!&tsG a&&a$ ai&t!&a&%! *!!sG a&" s'!ti!s th! %'sts '* /at!&ts '# %'/)#i(ht.

i%!&s!s %a& 2! &!('tiat!" i& /at!&t!" i&:!&ti'&sG i&:!&ti'& a//$i%ati'&sG sh'-h'G 3&'-h'Gt#a"!a#3sG a&" i& %'/)#i(hts. A$th'(h th! ':!#&!&t %a&&'t a//$) *'# %'/)#i(ht "i#!%t$) it %a&

$i%!&s! %'/)#i(hts assi(&!" t' it 2) 'th!#s. A$s'G it a) &!('tiat! *'# #')a$t) /a)!&ts as /a#t '* aCRADA ith a %'$$a2'#at'# 2) a$$'i&( th! %'$$a2'#at'# t' ta3! tit$! t' %'/)#i(hts i& !@%ha&(! *'#%'/)#i(ht #')a$ti!s.

U&"!# USS (i"!$i&!s !a%h /#'s/!%ti:! $i%!&s!! is !@/!%t!" t' %'/$!t! a 2si&!ss /$a&G 't$i&i&(its %'!#%ia$iati'& /$a& *'# th! i"!&ti*i!" USS t!%h&'$'(). '$$'i&( is a $ist '* th! "i**!#!&tt)/!s '* $i%!&s!s that %a& 2! '**!#!" a&" *a%t'#s t' 2! %'&si"!#!" h!& "!%i"i&( hi%h t)/! t' s!.H'!:!#G th! USS #!s!#:!s th! #i(ht t' '"i*) th!s! *a%t'#s '& a %as!-2)-%as! 2asis as th! /2$i%i&t!#!st '# !iti!s a##a&t.

Th! *'$$'i&( t)/!s '* $i%!&s! a#! $ist!" i& '#"!# '* 'st /'/$a# s!<

N'&-E@%$si:! i%!&s!s a) 2! a//#'/#iat! *'# CRADA-(!&!#at!" '# 'th!# USSt!%h&'$'() h!&<

USS has %'&t#i2t!" th! aL'#it) '* th! t!%h&'$'() '# s%i!&%! s!" i& th! %'$$a2'#ati'&J

th! t!%h&'$'() has a$#!a") 2!!& $i%!&s!" t' 'th!#s '& a &'&-!@%$si:! 2asisJ

th! i"!&ti*i!" USS t!%h&'$'() is '&$) a sa$$ /!#%!&ta(! '* th! i&"st#ia$ /a#ti%i/a&tst'ta$ /#'"%t '# a//$i%ati'&J

th! t!%h&'$'() is %'&si"!#!" t' 2! /#!-%'/!titi:! a&" it is "!t!#i&!" 2) USS that

a$$'i&( a&) %'/a&i!s t' ha:! a%%!ss 2!tt!# s!#:!s /2$i%s i&t!#!stJ

h!#! a &'&-!@%$si:! $i%!&s! is a$$ that is &!%!ssa#) t' a%%'/$ish a& i&"st#ia$ /a#t&!#s'2L!%ti:!G a&" th! (#a&t '* a &'&-!@%$si:! $i%!&s! "'!s &'t L!'/a#"i! th! %'!#%ia$ /'t!&tia$ '* a t'ta$ t!%h&i%a$ a#!a.

iit!" E@%$si:! i%!&s!s i& "!*i&!" *i!$"s '* s! '# a//$i%ati'&s a) 2! (#a&t!" 2) th!USS h!&<



Th! i&"st#ia$ /a#ti%i/a&t has /#':i"!" a s2sta&tia$ %'$$a2'#ati:! !**'#t *'# th! #!s!a#%h=(#!at!# tha& 4;>.

Th! !@isti&( t!%h&'$'() i$$ #!i#! a aL'# i&:!st!&t 2!)'&" th! #!s!a#%h sta(! *'# *i&a$%'!#%ia$iati'&.

Th! &at#! '* th! t!%h&'$'() '# a#3!t is s%h that ith't th! /#'t!%ti'& *#'%'/!titi'& a**'#"!" 2) !@%$si:it)G th!#! is i&s**i%i!&t i&%!&ti:! *'# a %'/a&) t'%'!#%ia$i! th! t!%h&'$'().

Th! i&"st#ia$ /a#ti%i/a&t has s%h a a#3!ti&( '# "ist#i2ti'& /#!s!&%! i& th! /#ia#)a#3!ts that this is s!!& as th! 3!) t' #!a%hi&( th! 2#'a"!st %'&s!# 2as! a&" ths /#!s!&tsth! 2#'a"!st t!%h&'$'() t#a&s*!# '//'#t&it).

Th! i&"st#ia$ /a#ti%i/a&t has &i! %a/a2i$iti!s &'t a:ai$a2$! t' 'th!# i&"st#) a//$i%a&ts.

Th! i&"st#ia$ /a#ti%i/a&t has a t#a%3 #!%'#" '* !ith!# "!:!$'/i&( &! /#'"%ts '# is a#!%'(&i!" !@/!#t i& th! i"!&ti*i!" a//$i%ati'&.

Th! i&"st#ia$ /a#ti%i/a&t is i$$i&( t' s2si"i! s'! /'#ti'& '* th! %'sts '* th! /at!&ts.

Wh!& th! i&"st#ia$ /a#ti%i/a&t is i$$i&( t' !@!%t! a %'!#%ia$ $i%!&s! a(#!!!&t hi%his i& th! /2$i% i&t!#!st a&" i&%$"!s /#'"%t $ia2i$it)G "! "i$i(!&%!G a&" a#%h-i& /#':isi'&s.

C'-E@%$si:! i%!&s!s a#! $i%!&s!s (#a&t!" t' s!:!#a$ "i**!#!&t %'/a&i!s *'# th! sa!sii$a# a//$i%ati'&s. Th! USS a) %h''s! t' &!('tiat! this t)/! '* $i%!&s! h!&<

Th!#! is a sia2$! %'st-sha#!G '# i&-3i&" %'it!&t 2) th! i&"st#ia$ !&titi!s *'# th! /#'L!%t.

Th! "!:!$'/!&t %'sts *'# th! t!%h&'$'() a#! 2!)'&" th! s%'/! '* a si&($! %'/a&) '# th!CRADA /a#ti%i/a&t.

Th! CRADA /a#ti%i/a&t "'!s &'t &!!" t'ta$ !@%$si:it) '# 2!%as! '* its si! a&" #!s'#%!s%'$" &'t %'!#%ia$i! th#'(h't th! U.S. *'# th! *'#!s!!a2$! *t#!.

Th! a#3!t *'# th! t!%h&'$'() is &'t )!t "!:!$'/!" a&" th! *a%t that a &2!# '* s//$i!#si$$ 2! a2$! t' s//'#t th! t!%h&'$'() a) a3! it '#! att#a%ti:! *'# /'t!&tia$ %st'!#s.

Th! &at#! '* th! t!%h&'$'() '# a#3!t a#! s%h that ith't th! /#'t!%ti'& *#'%'/!titi'& a**'#"!" 2) s'! !as#! '* !@%$si:it)G th!#! is &'t s**i%i!&t i&%!&ti:! *'# a%'/a&) t' %'!#%ia$i! th! t!%h&'$'()G )!t ith't $ti/$! /a#ti%i/a&tsG a#3!t /!&!t#ati'& %a&&'t #!a%h '/tia$ $!:!$s.

M$ti/$! %'/a&i!sG as !$$ as th! USSG ha:! "!:!$'/!" 2a%3(#'&" t!%h&'$'() hi%h is%'/$i!&ta#) t' th! CRADA t!%h&'$'().

USS ha" a (#!at!# 2a%3(#'&" t!%h&'$'() /'siti'& tha& a&) si&($! $i%!&s!! i& th!



t!%h&'$'() a&" this /'siti'& as "!:!$'/!" at %'&si"!#a2$! ta@ /a)!# !@/!&s!.

Ea%h %'/a&) i$$ a(#!! t' !@!%t! a& a//#'/#iat! $i%!&s! %'&tai&i&( #')a$t) #at!sG a#%h-i& #i(hts a&" /#'"%t $ia2i$it).

A& E@%$si:! i%!&s! i& a$$ *i!$"s '* s! is th! 2#'a"%ast t)/! '* $i%!&s!. Th! USS(!&!#a$$) i$$ &'t &!('tiat! this t)/! '* $i%!&s! &$!ss th! /2$i% i&t!#!st is %$!a#$) a":a&%!" 2) s%h a& a(#!!!&t. H'!:!#G *'# a& i&"st#ia$ /a#ti%i/a&t t' 2! %'&si"!#!" *'# s%h a$i%!&s! it '$" ha:! t' satis*) th! %'&si"!#ati'&s s!t *'#th i& th! a2':! iit!" E@%$si:!i%!&s!s s!%ti'&G as !$$ as a%%!/t a $i%!&s! ith th! *'$$'i&( t!#s a&" %'&"iti'&s<

Th! !@%$si:! $i%!&s!! '$" 2! #!i#!" t' /$!"(! a 2!st !**'#ts =&'t Lst #!as'&a2$!!**'#ts> t' %'!#%ia$i! th! i&:!&ti'& as !$$ as /#':i"! a "!:!$'/!&t a&"%'!#%ia$iati'& /$a& that !as#! th!s! !**'#ts.

Th! USS '$" ha:! th! #i(htG a*t!# (i:i&( &'ti%! t' th! $i%!&s!! t' ta3! #!!"ia$ a%ti'&

a&" a$$'i&( ti! *'# th's! a%ti'&sG t' t!#i&at! '# #!&"!# &'&!@%$si:! a&) $i%!&s! (#a&t!"i*<

1> th! $i%!&s!! as &'t !&(a(!" i& #!as'&a2$! #!s!a#%hG "!:!$'/!&t t#ia$sGa&*a%t#i&(G a#3!ti&(G s2$i%!&si&(G '# 'th!# a%ti:iti!s &!%!ssa#) t' !@/!"it! th!%'!#%ia$ "iss!i&ati'& '* th! $i%!&s!" i&:!&ti'&J

,> th! $i%!&s!! %'$" &'t satis*) h!a$th a&" sa*!t) #!i#!!&ts *'# th! a&*a%t#!'* a&) /#'"%tJ

0> th! $i%!&s!! as i& 2a&3#/t%)J '#

4> th!#! as a& assi(&!&t '* s2sta&tia$$) a$$ th! ass!ts hi%h &!(at!" 'th!# $!(a$#!i#!!&ts '* th! $i%!&s! =!.(. !@/'#t %'&t#'$>.

Th! USS *'# %!#tai& !&!#ati'& sitati'&s '$" #!s!#:! th! #i(ht t' #!i#! th!$i%!&s!! t' (#a&t s2$i%!&s!s t' #!s/'&si2$! a//$i%a&ts i& 'th!# *i!$"s '* s!.

Th! /#'/'s!" !@%$si:! $i%!&s!! st a(#!! &'t t' &#!as'&a2$) "!&) *t#! CRADA%'$$a2'#at'# #!!sts *'# s2$i%!&s!s a&" %#'ss $i%!&s! #i(htsG h!& th! "!#i:ati:! #i(hts a#!&!%!ssa#) t' *#th!# a""iti'&a$ /#'/'s!" CRADAs ith th! USS.

'. !ights to Sublicense

Th! #i(ht t' s2$i%!&s! is a&'th!# i&%i"!&%! '* '&!#shi/ that %a& 2! i&%$"!" at th! CRADA sta(!'# i& a&) *i&a$ $i%!&s! a(#!!!&t. This is a :a$a2$! #i(ht *'# th! $i%!&s!!. I* s2$i%!&si&( #i(hts a#!&!('tiat!" ith a CRADA /a#t&!# th!& th! USS sh'$" i&s#! that it '2tai&s a #')a$t) '&s2$i%!&s! sa$!s a&" that a&) /#'"%t $ia2i$it) /#'t!%ti'& #!i#!" *'# th! ':!#&!&t i& th! '#i(i&a$$i%!&s! a#! /ass!" th#'(h t' th! s!%'&" ti!# '* $i%!&s!!s.

". 8icense A))licationsA /'t!&tia$ $i%!&s!! a) a//$) *'# a $i%!&s! t' (':!#&!&t-'&!" i&t!$$!%ta$ /#'/!#t). A sa/$!$i%!&s! a//$i%ati'& a) 2! *'&" as '# 1, '* this s!%ti'&. Th! ':!#&!&t (!&!#a$$) *'$$'s



%a#!*$ s!$!%ti'& /#'%!"#!sG 't$i&!" i& 07 CR 4;4G as s//$!!&t!" 2) 1; CR 781 =i&:!&ti'&'&$)>G h!& %h''si&( a $i%!&s!!. S'! s!$!%ti'& (i"!$i&!s i&%$"! th! *'$$'i&(<

' Th! /'t!&tia$ $i%!&s!! st /#!s!&t /$a&s a&" i&t!&ti'&s t' %'!#%ia$i! th! i&:!&ti'&.

' O*t!&G &'&-!@%$si:! $i%!&s!s a#! /#!*!##!" ':!# !@%$si:! $i%!&s!sG 2t th!#! a#! a$s' /#':isi'&s *'# $iit!" !@%$si:! $i%!&s!s a&" %'-!@%$si:! $i%!&s!s.

' '# !@%$si:! $i%!&s!sG a &'ti%! '* a:ai$a2i$it) a&" a& '//'#t&it) *'# th! /2$i% t'%'!&t a#! #!i#!". This a) ta3! th! *'# '* a& a":!#tis!!&t /$a%!" i& th! !"!#a$R!(ist!#.

' i%!&si&( a) a//$) t' /at!&t!" i&:!&ti'&sG %'/)#i(htsG a&" t#a"!a#3s.

' Th! ':!#&!&t %a& $i%!&s! %'/)#i(hts assi(&!" t' it 2) 'th!#s a&" &!('tiat! #')a$t) /a)!&ts as /a#t '* a CRADAG 2t %a& &'t a//$) "i#!%t$) *'# %'/)#i(hts.

O&%! a $i%!&s!! has 2!!& s!$!%t!" a&" t!#s a#! &!('tiat!" a&" a(#!!" /'&G a *'#a$ #itt!&$i%!&si&( a(#!!!&t is !@!%t!". A sa/$! a//$i%ati'& a&" a(#!!!&t a) 2! *'&" as '# 1, i&this %ha/t!#.

. 9rivate Sector $nvention 8icensing to the Govern+entat!&t #i(hts %$as!s %'&tai&!" i& RD %'&t#a%ts a&" CRADAs /!#it th! ':!#&!&t t' '2tai& a /ai"-/G &'&-!@%$si:!G #')a$t)-*#!!G '#$"i"! $i%!&s! =':!#&!&t-Us! i%!&s!> i& a$$ s2L!%ti&:!&ti'&s "!:!$'/!" &"!# a AR-%'&t#'$$!" %'&t#a%t '# CRADA a%ti'&. A$s'G $a#(! 2si&!ss!s i$$sa$$) 2! #!i#!" t' $i%!&s! 2a%3(#'&" /at!&ts t' th! ':!#&!&t *'# /#a%ti%i&( a s2L!%t '* th!

%'&t#a%t. R!s!a#%h a&" "!:!$'/!&t %'&t#a%ts *'# /!#a&!&t i&sta$$ati'& '* !i/!&t at a$a2'#at'#) #!i#! a 2a%3(#'&" $i%!&s! t' th! *a%i$it).

G. o)yrightsA %'/)#i(ht is a& !@%$si:! #i(ht (#a&t!" 2) th! U.S. ':!#&!&t t' th! ath'#sG %'/'s!#sG a#tistsG'# th!i# assi(&!!s *'# th! $i*! '* th! i&"i:i"a$ /$s 5; )!a#sG t' %'/)G !@hi2itG "ist#i2t!G '# /!#*'#th!i# '#3s. As ith /at!&t #i(htsG th!s! #i(hts (' t' th! i&"i:i"a$ %#!ati&( th! '#3G &$!ss /#':isi'&s a#! a"! t' th! %'&t#a#). C'/)#i(hts %a& %':!# #itt!& '#3sG a#tG si%a$ %'/'siti'&sGa&" %'/t!# s'*ta#!.

A %'/)#i(ht !@ists h!& th! '#3 is %#!at!". Th! $a &' $'&(!# #!i#!s th! '#3 t' 2! a#3!"

ith a %'/)#i(ht &'ti%!G 2t it is sti$$ a (''" i"!a t' "' s'. R!(ist#ati'& '* %'/)#i(hts ith th!!"!#a$ ':!#&!&t is '/ti'&a$ a&" %a& 2! "'&! at a&) ti! "#i&( th! $i*! '* th! %'/)#i(ht.R!(ist#ati'& a$s' /!#its si&( th! !"!#a$ %'#t s)st! t' /#'s!%t! th's! h' i&*#i&(! '& th!%'/)#i(ht a&" /#':i"!s %!#tai& a&"at'#) !"!#a$ "aa(!s a(ai&st th's! %'&:i%t!" '* i&*#i&(!!&t.R!(ist#ati'& a) 2! #!%'!&"!" i* s'*ta#! is th! s2L!%t '* a $i%!&s! a(#!!!&t.

B) $aG th! !"!#a$ ':!#&!&t %a&&'t '2tai& %'/)#i(ht /#'t!%ti'& *'# '#3s '* !"!#a$ !/$')!!s%#!at!" "#i&( th!i# L'2s. H'!:!#G th! ':!#&!&t is &'t /#!%$"!" *#' #!%!i:i&( a&" h'$"i&(%'/)#i(hts t#a&s*!##!" t' it 2) assi(&!&tG 2!!stG '# 'th!#is!. Th! %'/)#i(ht!" '#3s '* OCO



!/$')!!s a#! (!&!#a$$) #!(a#"!" as '#3s *'# hi#! a&" th! %'/)#i(hts a#!G th!#!*'#!G '&!" 2) th!OCO !/$')!#.

C'/t!# s'*ta#! "!:!$'/!" 2) !"!#a$ i&:!&t'#s a) 2! /#'t!%t!" 2) a /at!&t. Bt th!s! %as!sa#! #a#!G a&" th! s'*ta#! st *a$$ i&t' /at!&t !$i(i2i$it) %#it!#ia =s!! s!%ti'& 5A '* this %ha/t!#>.

H. Trade+arks@Service +arksA t#a"!a#3 is a '#3G &a!G s)2'$G "!:i%!G $!tt!#G &!#a$G '# /i%t#!G '# a&) %'2i&ati'& '*th!G i& a&) *'# '# a##a&(!!&t that is s!" 2) a /a#t) t' i"!&ti*) th! '#i(i& '* (''"s. A S!#:i%!a#3 i"!&ti*i!s th! '#i(i& '* s!#:i%!s. T#a"!a#3s a&" S!#:i%! a#3s st 2! i&"i:i"a$$)i"!&ti*ia2$! a&" "isti&(isha2$! *#' th's! '* 'th!#s '**!#i&( sii$a# (''"s '# s!#:i%!sG a&" a#!a//#'/#iat! '&$) i* th!i# s! is &'t /#'hi2it!" 2) $!(is$ati:! !&a%t!&t '# 2) a&'th!# /2$i% /'$i%).

T#a"!a#3s a&" S!#:i%! a#3s ass#! th! 2)!# '* th! ath!&ti%it) '* a /#'"%t '# s!#:i%! a&" i/$)that th! s!$$!# has !@!#%is!" s'! sta&"a#"s '* a$it) ass'%iat!" ith th! a#3. A /!#s'& a)!sta2$ish a t#a"!a#3 si/$) 2) si&( it i& i&t!#stat! %'!#%!G i.!.G th! (''" st 2! a#3!" a&"

st 2! s'$" a%#'ss stat! $i&!s. i3! %'/)#i(htsG t#a"!a#3s a&" S!#:i%! a#3s a) a$s' 2!#!(ist!#!".

Th! !"!#a$ ':!#&!&t a&" its $a2'#at'#i!s a) a//$) *'# t#a"!a#3s a&" S!#:i%! a#3s. At th!DOIG this is si/$) a att!# '* *i$i&( *'# th! a#3 th#'(h th! O**i%! '* th! S'$i%it'#G /a)i&( a *!!Ga&" #!(ist!#i&( th! a#3 ith th! U.S. at!&t a&" T#a"!a#3s O**i%!.



$nvention@8icensing or+s



or+ 11? &on:'isclosure Agree+ents



$llustration A : 8ong or+

NONDISCOSURE AREEMENTWITH THE

U.S. !'$'(i%a$ S#:!)

This NONDISCOSURE AREEMENT is !&t!#!" i&t' as '* this PPP "a) '* PPPPPPPPPG 199PP 2)th! U.S. !'$'(i%a$ S#:!)G hi%h is th! /a#t) "is%$'si&( %'&*i"!&tia$ i&*'#ati'& =Dis%$'s!#G a&" PPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPG hi%h is th! /a#t) #!%!i:i&( %'&*i"!&tia$ i&*'#ati'&=R!%i/i!&t>G i& '#"!# t' /#'t!%t th! %'&*i"!&tia$ i&*'#ati'& that is "is%$'s!" t' R!%i/i!&t 2)Dis%$'s!# "

NOW THEREOREG i& %'&si"!#ati'& '* th! ta$ %':!&a&ts %'&tai&!" h!#!i&G th! /a#ti!s h!#!t'a(#!! as *'$$'s<

1. Th! R!%i/i!&ts #!/#!s!&tati:!s *'# #!%!i:i&( %'&*i"!&tia$ i&*'#ati'&a#!<PPPPPPPPPPPPPPPPPPPPPPPPPPPPJ R!%i/i!&t=s> sha$$ &'t "is%$'s! th! %'&*i"!&tia$ i&*'#ati'&t' a&) '* its !/$')!!s 'th!# tha& th's! h' ha:! a &!!" t' #!:i! it a&" hi%h !/$')!!s a#!$!(a$$) '2$i(at!" t' h'&'# th! %'&*i"!&tia$it) /#':isi'&s h!#!i&.

,. Th! %'&*i"!&tia$ i&*'#ati'& "is%$'s!" &"!# this A(#!!!&t is "!s%#i2!" as< PPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPP PPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPP PPPPPPPPPPPPPP

0. Th! R!%i/i!&t sha$$ 3!!/ th! i&*'#ati'& %'&*i"!&tia$ a&" sha$$ s! th! %'&*i"!&tia$ i&*'#ati'&

'&$) *'# /#i:at! !@/!#i!&ta$ /#/'s!s '# !:a$ati'& '* th! %'&*i"!&tia$ i&*'#ati'&. Th! R!%i/i!&tsha$$ &'t a3! a&) %'/i!s '* th! %'&*i"!&tia$ i&*'#ati'& !@%!/t as &!%!ssa#) *'# its !/$')!!s h'a#! !&tit$!" t' #!:i! it &"!# S!%ti'& 1 a2':!. A&) %'/i!s that a#! a"! sha$$ 2! i"!&ti*i!" as 2!$'&(i&( t' th! Dis%$'s!# a&" a#3!" %'&*i"!&tia$G /#'/#i!ta#)G '# ith a sii$a# $!(!&".

4. T' th! !@t!&t /!#itt!" 2) $aG th! R!%i/i!&t sha$$ /#'t!%t th! "is%$'s!" %'&*i"!&tia$ i&*'#ati'& 2) si&( th! sa! "!(#!! '* %a#!G 2t &' $!ss tha& a #!as'&a2$! "!(#!! '* %a#!G t' /#!:!&t th!&ath'#i!" s!G "iss!i&ati'& '# /2$i%ati'& '* th! %'&*i"!&tia$ i&*'#ati'& as th! R!%i/i!&t s!st' /#'t!%t its '& %'&*i"!&tia$ i&*'#ati'& '* a $i3! &at#!.

5. Th! R!%i/i!&t sha$$ ha:! a "t) t' /#'t!%t a$$ %'&*i"!&tia$ i&*'#ati'& hi%h is "is%$'s!" t' itGh!th!# "is%$'s!" i& #iti&(G '#a$$) '# i& a&) 'th!# a&&!# a&" hi%h is i"!&ti*i!" as %'&*i"!&tia$ atth! ti! '* "is%$'s#!. I* th! "is%$'s#! is i& #iti&(G it sha$$ 2! a#3!" %'&*i"!&tia$. I* th!"is%$'s#! is &'t i& #iti&(G Dis%$'s!# sha$$ /#':i"! R!%i/i!&t ith a #itt!& !'#a&"sa#ii&( a&" "!si(&ati&( s%h i&*'#ati'& as %'&*i"!&tia$ ithi& thi#t) =0;> "a)s '* th!"is%$'s#!.

2" #his /greement imposes no o!ligation upon the Recipient with respect tocon(dential information which 3a4 was in the Recipient5s possession !eforereceipt from the Discloser6 3!4 is or !ecomes a matter of pu!lic knowledge



through no fault of the Recipient6 3c4 is rightfully received !y the Recipientfrom a third party without a duty of con(dentiality6 3d4 is disclosed !yDiscloser to a third party without a duty of con(dentiality on the third party63e4 is independently disclosed !y the Recipient with Discloser5s prior written

approval"

7" #he Discloser warrants that it has the right to make the disclosures underthe /greement"

8" #he Recipient ac.uires no intellectual property rights under this /greement"

9" :either party has an o!ligation under this /greement to purchase% sell orlicense any service or item from the other party"

;+" #he Recipient shall adhere to the U"S" <port /dministration =aws and

Regulations and shall not eport or re'eport technical data or products fromthe Discloser or the direct product of such technical data to any proscri!edcountry listed in the U"S" <port /dministration Regulations% unless properlyauthori>ed !y the U"S" Government"

;;" #he parties do not intend that any agency or partnership relationship !ecreated !etween them !y this /greement"

;?" /ll additions or modi(cations to this /greement must !e in writing andsigned !y !oth parties"

;@" #his /greement is made under and shall !e governed !y the laws of theUnited States"

AAAAAAAAAAAAAAAAAAAAAAAAAAA Company :ame

ByAAAAAAAAAAAAAAAAAAAAAAAA

)rint :ameAAAAAAAAAAAAAAAAA

#itleAAAAAAAAAAAAAAAAAAAAAA

/ddressAAAAAAAAAAAAAAAAAAAAAAAAA



Illustration B - Short Form

Non-Disclosure Agreement RE:

, a corporation having an ofce in in view o thedisclosure o the above mentioned inormation that has been led in a U.S. patent application, agrees to the ollowing:

1. will not disclose the inormation supplied b the U.S.Geological Survey with regard to the claim rom the date set orth below toan third part without written permission rom the U.S. Geological Survey and will treat the inormation supplied b the U.S. Geological Survey inrespect o the claims as it treats its own proprietar inormation and will onldisclose the claims to those o its emploees who are under an obligation to, not to disclose proprietar inormation described in titled

.!

". #he ollowing inormation supplied b the U.S. Geological Survey in respect o the claims shall be e$cluded rom the obligations imposed under paragraph 1:

%a& 'normation which was (nown to , prior to receipthereunder,

%b& 'normation which at the time o disclosure to , was generall available to the public or which ater

disclosure hereunder becomes generall available to the public through no ault attributable to, or

%c& 'normation which is hereater made available to., rom an third part who is not under a nondisclosureobligation to the U.S. Geological Survey and who placesno nondisclosure obligation on ., inrespect o such inormation.

). *othing contained in this +greement shall be construed as

preventing , rom contesting in the U.S. atent and#rademar( -fce and the ourts the sub/ect inormation as well as an U.S.atent application and0or patent which result rom said application nor doesthis agreement grant an license under an patents.

+2REE3 #- +*3 +E#E3 45: 66666666666666666666666666666666666666666666666 %+ 3ul +uthori7ed ompan Representative& 66666666666666666666666666666666666666 666666666666666666666



#itle 3ate



"*a+)le of a o+)leted Short or+: Underlined text should be changed to suit the individualagreement.

"!"#$IS%&!SU'( )*'((+("T RE: "Recovery of Metal Values from Waste Waters Using Immobilied Extractants"

oulder Innovative Technologies,Inc ! a cororation having an office in #oulder!$olorado! %&'&(!in vie) of the disclosure of the above mentioned information that has been filed in a U.*. atentalication! agrees to the follo)ing:

(. oulder Innovative Technologies, Inc. )ill not disclose the information sulied by the U.S.*eological Survey )ith regard to the claim from the date set forth belo) to any third arty )ithout)ritten ermission from the U.S. *eological Survey and )ill treat the information sulied by theU.S. *eological Survey in resect of the claims as it treats its o)n rorietary information and )ill only disclose the claims to those of its emloyees )ho are under an obligation to oulder

Innovative Technologies, Inc. ! not to disclose rorietary information described in U.*. +atent ,lication - /0!/'1! titled "Recovery of Metal Values from Waste Waters Using Immobilied

Extractants."

/. 2he follo)ing information sulied by the U.S. *eological Survey in resect of theclaims shall be excluded from the obligations imosed under aragrah (:

3a4 Information )hich )as 5no)n to oulder Innovative Technologies, Inc. ! rior to receit hereunder!

3b4 Information )hich at the time of disclosure to oulder InnovativeTechnologies, Inc. , )as generally available to the ublic or )hich afterdisclosure hereunder becomes generally available to the ublic through no

fault attributable to oulder Innovative Technologies, Inc. ! or

3c4 Information )hich is hereafter made available to oulder InnovativeTechnologies, Inc.! from any third arty )ho is not under a nondisclosureobligation to the U.S. *eological Survey and )ho laces no nondisclosureobligation on oulder Innovative Technologies, Inc.! in resect of suchinformation.

3. 6othing contained in this ,greement shall be construed as reventing oulder

Innovative Technologies, Inc. , from contesting in the U.*. +atent and 2rademar5 7ffice and the $ourts the sub8ect information as )ell as any U.*. +atentalication and9or atent )hich result from said alication nor does thisagreement grant any license under any atents.

,;REE< 27 ,6< ,$$E+2E< #=:>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>



or+ 12? 9atent 8icense A))lication andSa+)le 8icense Agree+ent



)pplication for a &icense

is hereby made to ractice the ;overnment?7)ned invention identified belo) in accordance )ith the alicable +atent @icensing Regulations. 2he follo)ing information is submitted in suort of this alication.

Identification of Invention for -hich &icense is $esired

(. 2itle of Invention

/. United *tates +atent ,lication *erial 6umber3s4'. United *tates +atent 6umber3s4 3if issued4

. *ource of Information $oncerning ,vailability of a @icense

)pplicants ualifications, Plans and Intentions for Practicing Invention

A. 6ame B ,ddress of ,licant 1. 6ame! 2itle! ,ddress! and 2elehone 6o. of ,licantCs Reresentative

D. *tate of Incororation 3if cororation4 or $itienshi 3if anindividual4

%. ,roximate number of ersons emloyed by alicant

0. Is alicant a small business firm yes

no

)pplicants ualifications, Plans and Intentions for Practicing Invention

+lease resond to each of these issues 3in seFuence4 in attachments to this sheet in as much detail as ossible. 3$omlete resonses )ill exedite thelicensing rocess.4 2he commercial and financial information in resonses )ill be treated as rivileged and confidential as rovided in (A United *tates $ode /&03a4.

(&. Exlain the urose for )hich this license is desired.

((. Exlain the nature and tye of alicantCs business and its relationshi to commercial alication of this invention. @ist related roducts and services )hich the alicant has successfully commercialied.

(/. <escribe ho) alicant lans to use! develo and mar5et this invention. +lease give Fuantitative values for time! money and ersonnel that )ill be committed to the lan! and any lans for financing to bring this invention to commercialiation. ;ive ro8ected dates for commercial alicationsand any intermediate milestones. Include any )or5 or money already invested.

('. Identify the fields of use in )hich alicant intends to commercialie this invention.

(. Is alicant )illing to accet a license for less than all fields of use of the invention 3If "=es!" lease exlain in detail.4

(A. $ountries in )hich alicant intends to ractice the invention! including locations )here any licensed roducts )ill be manufactured.

(1. Identify the tye of license and any secial terms or conditions reFuested by alicant. ;ive reasons for the reFuest3s4.

(D. Identify any licenses under federally?o)ned inventions reviously granted to alicant.

(%. Is the alicant a)are of any use of the invention by industry or government If so! lease give details 5no)n to alicant.

(0. +lease add any additional information alicant considers ertinent to this alication for license.

Title 0 Signature of )pplicant or )uthori1ed 'epresentative $ate



I!"#S" FO$ D"%"OPM"#& A#D 'S"

#his =icense /greement is made and entered !y and !etween the Director of theUnited States Geological Survey 3USGS4% Department of the 0nterior as arepresentative of the United States of /merica 3hereinafter =icensor4% acting under

authority of ;* U"S"C" S @7;+a 3a4 3?4% anda Corporation% having a place of !usiness at3hereinafter called =icensee4"

hereas% the Department of the 0nterior through the USGS has sponsored research onvarious % and as a result the Government has received a valua!lefederally owned U"S" )atent :o" titled 6and

hereas% the =icensor desires the products and methods claimed in the U"S" )atenta!ove to !e made availa!le to the pu!lic in the shortest possi!le time% there!yserving the pu!lic interest !y providing improved products and processes for6 and

hereas% =icensee has reviewed the )atent and the USGS prototype and is interestedin licensing the technology to develop with its eisting product line% and

hereas% USGS has advertised the interest of the =icensee in ac.uiring an eclusivepatent in the (eld of use of pursuant to the re.uirements of @7 CRE+E"76 and

hereas% =icensee wishes to ac.uire% and USGS is willing to grant an eclusive licensein the identi(ed (eld of use6 and

hereas% =icensee has provided a satisfactory development plan which meets there.uirements of @7 CR E+E"*6

:ow% therefore in consideration of the promises% as well as the o!ligations hereinmade and undertaken% the parties hereto intending to !e legally !ound% agree asfollows-

A$&I!" I

D"FI#I&IO#S

;"+; #erms in this =0C<:S< /GR<<M<:# 3other than names of parties and /rticleheadings4 which are set forth in upper case letters have the meanings esta!lished forsuch terms in the succeeding /R#0C=<S of the /R#0C=< 0"

;"+? =0C<:S< /GR<<M<:# means this =icense for Development and Use% includingany ehi!its attached hereto"

;"+@ =0C<:S< means the license granted pursuant to paragraph ?"+; of this



=0C<:S< /GR<<M<:#"

;"+E =0C<:S<D )/#<:# /))=0C/#0&:3S4 M</:S U"S" )atent /pplication Serial :o3s4"% any continuations% continuation'in'part% Disciplines or reissues thereof% any patent orpatents granted thereon% and any foreign patents or patent applications

corresponding thereto"

;"+* =0C<:S<D #<CH:0C/= 0:&RM/#0&: means technical information including% !utnot limited to% data% know'how% trade secrets% calculations% writing% and drawings%whether or not patented% relating to the licensed patent applications and developedunder the governing CR/D/"

;"+2 =0C<:S<D #<CH:&=&GF means =0C<:S<D #<CH:0C/= 0:&RM/#0&: and anyproducts% methods% processes% or uses which are disclosed and claimed in the=0C<:S<D )/#<:# /))=0C/#0&:3S4"

;"+7 =0C<:S<D /R</ means

;"+8 #H< )&0:# & )R/C#0C/= /))=0C/#0&: means the condition such that the=0C<:S<D #<CH:&=&GF is !eing utili>ed and the !ene(ts of the =0C<:S<D

#<CH:&=&GF are% to the etent permitted !y law% !eing made availa!le to the pu!licon reasona!le terms on or !efore % in accordance with the plan fordevelopment and marketing the =0C<:S<D #<CH:&=&GF attached as <hi!it /"

;"+9 =0C<:S&R5S R<)R<S<:#/#0< means the Director of the U"S" Geological Survey%Reston% irginia"

;";+ R&F/=#F'B/S< C&:#R/C# means any contract or group of related contracts

under which products% methods% processes% or uses descri!ed and claimed in the=0C<:S<D )/#<:# /))=0C/#0&:3S4 play a role in the performance of at least one of thecontracts"

;";; :<# S/=<S means the total amount invoiced !y =0C<:S<< /:D its su! licenseeson sales of products or services pursuant to any R&F/=#F'B/S< C&:#R/C#% less-

a4 Customary trade% .uantity% or cash discounts including allowances or creditson account of retroactive price reductions and nonaliated !rokers5 or agents5commissions actually allowed and taken6

!4 /mounts unpaid% repaid% or credited !y reason of re1ections or returns6 and

c4 /ny freight or other transportation costs% insurance charges% duties% tari,s%and all sales and ecise taes !ased directly on sales of products or servicespursuant to the R&F/=#F'B/S< C&:#R/C#"

A$&I!" II

I!"#S" ($A#&



?"+; Upon the terms and conditions set forth herein and su!1ect to the payment of royalties as set forth herein% =0C<:S&R grants to =0C<:S<< an eclusive license tomake% have made% use and sell the =0C<:S<D #<CH:&=&GF throughout the =0C<:S<D

/R</Ior 0<=D & US< for the term set forth in paragraph 9"+? of this =0C<:S</GR<<M<:#"

A$&I!" III

$O)A&I"S A#D PA)M"#&S

@"+; =0C<:S<< shall pay =0C<:S&R royalties at the rate of percent 3 J4 on its andits su! licensees5 :<# S/=<S under all R&F/=#F'B/S< C&:#R/C#S"

@"+? ithin @+ days after the e,ective date of this agreement% =0C<:S<< shall pay to=0C<:S&R Dollars 3K 4"

@"+@ 0n case the royalties paid do not aggregate a minimum of Dollars3K 4 for the year ending Decem!er @;% ;99AA % and for each succeedingcalendar year during the life of this =0C<:S<< /GR<<M<:#% the =0C<:S<< will withinninety 39+4 days of the end of such year make up the de(ciency of the royaltiesactually paid to such minimum sum% provided however% that the =0C<:S<< must makeup the de(ciency for such year !efore it may surrender this eclusive =0C<:S<"

@"+E #he royalties provided for in paragraph @"+; shall !e paid !y =0C<:S<< on the

total amount invoiced under any R&F/=#F'B/S< C&:#R/C# utili>ing the =0C<:S<D #<CH:&=&GF6 provided% however% that if =etters of )atent do not issue within @ yearsfrom the date of this =0C<:S< /GR<<M<:# with a claim or claims covering aninvention utili>ed in =0C<:S<<5s products or services% and none of the =0C<:S<D)/#<:# /))=0C/#0&:S pending at the end of the three years contains an allowedclaim having such coverage% =0C<:S<< may thereafter% at its option% terminate this=0C<:S< /GR<<M<:# !y giving sity 32+4 days notice to that e,ect to =0C<:S&RR<)R<S<:#/#0<"

@"+* Royalties shall !e paya!le in United States dollars% paid !y check made paya!leto U"S" Geological Survey and mailed to-

U"S" Geological Survey;??+; Sunrise alley DriveReston% irginia ?+;9?

#he check shall !e accompanied !y copies of the (rst page and signature page of this/greement"

@"+2 =0C<:S<< shall pay royalties accrued for amounts paid under any R&F/=#F'B/S<C&:#R/C# not later than ninety 39+4 days after each calendar half year ending Lune



@+th and Decem!er @;st" =0C<:S<< shall su!mit with its payment the written reportre.uired in paragraph E"+; of this =0C<:S<< /GR<<M<:#" 0f no royalties are due% thereport shall so state" Sales shall !e considered to !e made% for purposes of this/R#0C=<% sity 32+4 days after invoiced% ecept that upon any termination of this=0C<:S< /GR<<M<:#% all products shipped or services performed prior to the day of

such termination though not invoiced prior thereto shall nevertheless !e consideredas sold and therefore su!1ect to royalty" 0f sales of products or services pursuant to aR&F/=#F'B/S<C&:#R/C# are within 39+4 days after !eing invoiced% unpaid% repaid% or credited to thecustomer% royalties% paid on such sales shall !e returned to =0C<:S<<"

@"+7 =0C<:S<< shall pay within sity 32+4 days from any termination of this/greement royalties accrued for payment at time of any such termination"@"+8 Royalty payments not received !y =0C<:S&R !y the due date shall !e su!1ect tointerest charges computed at ten percent 3;+J4 per annum"

@"+9 :o royalty shall !e paya!le under this =0C<:S< /GR<<M<:# for direct sales of products or services pursuant to a R&F/=#F'B/S< C&:#R/C# !y =0C<:S<< or its su!licensees with the United States Government or any of its agencies for governmentalpurposes"

A$&I!" I%

$"PO$&S A#D $"!O$DS

E"+; =0C<:S<< shall provide =0C<:S&R5S R<)R<S<:#/#0< with written annual

progress reports within ninety 39+4 days of the end of each calendar year descri!ingits e,orts% and the e,orts of any su! licensee% to !ring the products and methodslicensed under this =0C<:S< /GR<<M<:# to #H< )&0:# & )R/C#0C/= /))=0C/#0&:":o further annual progress reports will !e re.uired after noti(cation of the (rstcommercial sale of products or services pursuant to a R&F/=#F'B/S< C&:#R/C#unless otherwise re.uested !y =0C<:S&R"

E"+? Concurrently with each payment of royalties as re.uired in /R#0C=< 000 of this/GR<<M<:#% or at the time such payments are due although no royalties haveaccrued% =0C<:S<< shall su!mit a written report to =0C<:S&R5S R<)R<S<:#/#0<setting forth for the preceding si 324 month period the amount of products or servicesdelivered pursuant to any R&F/=#F'B/S< C&:#R/C# made% used% sold or otherwise

disposed or distri!uted !y =0C<:S<< and its su! licensees in the =0C<:S<D /R</% the:<# S/=<S thereof% and the amount of royalties due thereon" 0f no royalties are due=0C<:S&R for any report period% the report shall so state"

E"+@ #he reports re.uired under this /R#0C=< 0 shall also !e made within sity 32+4days of the termination of the /greement"

E"+E =0C<:S<< agrees to keep records showing all sales or other disposition of products or services pursuant to any R&F/=#F'B/S< C&:#R/C# or otherwise disposed



of or distri!uted under the =0C<:S< granted in this =0C<:S< /GR<<M<:#" #heserecords shall !e retained for three years !eyond the date of disposal or distri!ution orsale and shall !e in sucient detail to ena!le the royalties paya!le hereunder !y=0C<:S<< to !e determined" #hese records may !e eamined from time to time to theetent necessary to verify the reports provided for in this /R#0C=< 0% such

eamination to !e made at the epense of the =0C<:S&R !y any auditor appointed !y=0C<:S&R who shall !e accepta!le to =0C<:S<<% or% at the option and epense of =0C<:S<<% !y a certi(ed pu!lic accountant appointed !y =0C<:S&R"

A$&I!" %

S'BI!"#SI#(

*"+; =0C<:S<< shall have the right to grant su!licenses to others under thiseclusive =0C<:S< so long as royalties are paid !y =0C<:S<< to =0C<:S&R on sales of products or services made pursuant to any R&F/=#F'B/S< C&:#R/C# !y such su!licensees at the rates set forth in paragraph @"+; of this =0C<:S< /GR<<M<:# and solong as the su!licenses are su!1ect to the provisions of this =0C<:S< /GR<<M<:#" /nysu!license shall make reference to this =0C<:S< /GR<<M<:# including those rightsretained !y =0C<:S&R" / copy of any su!license shall !e furnished to a =0C<:S&R5SR<)R<S<:#/#0< within (fteen 3;*4 days after its eecution"

*"+? 0n the event of termination of this =0C<:S< /GR<<M<:# or the conversion of the eclusive =0C<:S< granted hereunder to a noneclusive license under any of theprovisions of paragraphs 7"+@ or 9"+@ of this =0C<:S< /GR<<M<:#- 3;4 =0C<:S<< mayconvert the su! licensees to su!licenses under its noneclusive license which it willretain following any such termination or conversion% or 3?4 su! licensees may eercise

their option to convert their su!licenses to licenses directly form =0C<:S&R" /nysu!license granted !y =0C<:S<< shall contain provisions corresponding to those of this /R#0C=< respecting termination or conversion and the conditions of continuanceof su!licenses"

*"+@ =0C<:S&R reserves the right to re.uire =0C<:S<< to grant su!licenses toresponsi!le applicants on reasona!le terms to the etent that the =0C<:S<D

#<CH:&=&GF is re.uired for pu!lic health% welfare% or safety needs" /ny decision !y=0C<:S&R to re.uire such a su!license may !e appealed !y =0C<:S<< under theprocedures set forth in paragraph ;;"+7"

A$&I!" %I

I!"#S"" P"$FO$MA#!"

2"+; =0C<:S<< shall epend reasona!le e,orts and resources to carry out thedevelopment and marketing of the =0C<:S<D #<CH:&=&GF and to !ring the=0C<:S<D #<CH:&=&GF to #H< )&0:# & )R/C#0C/= /))=0C/#0&:"



2"+? /fter !ringing the =0C<:S<D #<CH:&=&GF to #H< )&0:# & )R/C#0C/=/))=0C/#0&: in the =0C<:S< /R</% =0C<:S<< agrees to make the =0C<:S<D

#<CH:&=&GF availa!le to the pu!lic on reasona!le terms during the term of this=0C<:S< /GR<<M<:#" =0C<:S<< shall promptly report discontinuance of its makingthe !ene(ts of the products and methods reasona!ly accessi!le to the pu!lic"

2"+@ ailure to comply with the terms of this /R#0C=< shall !e cause for modi(cationor termination of this =0C<:S< /GR<<M<:# in accordance with the provisions of /R#0C=< 0 !elow" :o other rights or remedies accrue to =0C<:S&R or any thirdparties !y reason of such failure"

A$&I!" %II

PA&"#& "#FO$!"M"#&

7"+; =0C<:S&R and =0C<:S<< shall notify each other promptly in writing of anyinfringement of patents granted from the =0C<:S<D )/#<:# /))=0C/#0&:3S4 which!ecomes known to either of them" =0C<:S<< shall notify =0C<:S&R promptly of anyaction permitted !y this /R#0C=< 00 that it takes to eliminate such infringement"

7"+? hile and as long as its =0C<:S< under this =0C<:S< /GR<<M<:# remainseclusive% =0C<:S<< is authori>ed pursuant to the provisions of Chapter ?9 of #itle @*%United States Code% or other statues-

a" #o !ring suit in its own name or% if re.uired !y law% 1ointly with =0C<:S&R% atits own epense and on its own !ehalf% for infringement of any patents grantedfrom the =0C<:S<D )/#<:# /))=0C/#0&:3S46

!" 0n any such suit% to en1oin infringement and to collect damages% pro(ts% andawards of whatever nature recovera!le for such infringement6 and

c" #o settle any claim or suit for infringement of any patents granted from the=0C<:S<D )/#<:# /))=0C/#0&:3S4 !y granting the infringing party a su!licenseunder the provisions of /R#0C=< of this =0C<:S< /GR<<M<:#" =0C<:S<< shallpay royalties to =0C<:S&R !ased on sales !y such su! licensee in accordancewith paragraph *"+;"

7"+@ 0n the event =0C<:S&R shall !ring to the attention of =0C<:S<< any unlicensedinfringement of patents granted from the =0C<:S<D )/#<:# /))=0C/#0&:3S4% and=0C<:S<< shall not% within si months-

a" Secure cessation of the infringement% or

!" <nter suit against the infringer% or

c" )rovide =0C<:S&R with evidence of the pendency of a !ona(denegotiation for the acceptance !y the infringer of a su!license under patents grantedfrom the =0C<:S<D )/#<:# /))=0C/#0&:S% the =0C<:S< herein granted to =0C<:S<<may% at =0C<:S&R5S option% !ecome noneclusive% and =0C<:S&R shall thereafter



have the right to sue for the infringement at =0C<:S&R5s own epense% and to collectfor its own use all damages% pro(ts% and awards of whatever nature recovera!le forsuch infringement"

7"+E =0C<:S&R and =0C<:S<< mutually agree to furnish technical and other

necessary assistance to each other in conducting any litigation necessary to enforcepatents granted from the =0C<:S<D )/#<:# /))=0C/#0&:3S4 against others" <pensesfor such assistance will !e paid !y the party re.uesting such assistance"

A$&I!" %III

$"S"$%A&IO# OF $I(*&S

8"+; #he =0C<:S< granted in /R#0C=< 00 of this =0C<:S< /GR<<M<:# shall !e su!1ectto the irrevoca!le% royalty'free right of the Government of the United States topractice and have practiced on !ehalf of any foreign government or internationalorgani>ation pursuant to any eisting or future treaty or agreement with the UnitedStates% the =0C<:S<D #<CH:&=&GF% including the products and methods descri!edand claimed in the =0C<:S<D )/#<:#S /))=0C/#0&:S and in any patents grantedtherefrom"

A$&I!" I+

&"$M A#D &"$MI#A&IO#

9"+; #he <,ective Date of the =0C<:S< /GR<<M<:# is the date of the last signatureto this =0C<:S< /GR<<M<:#"

9"+? #he term of this =0C<:S< /GR<<M<:# !egins on its <,ective Date as set forth inparagraph 9"+;" Unless sooner terminated or otherwise modi(ed as provided for inthis /R#0C=< 0% this =0C<:S< /GR<<M<:# shall remain in full force and e,ect for aninitial term of 3 4 years from the <,ective Date" =0C<:S<< shall have the right torenew this =0C<:S< /GR<<M<:# for successive periods up to (ve 3*4 years uponwritten notice mailed to =0C<:S&R5S R<)R<S<:#/#0< at least sity 32+4 days prior tothe epiration of the initial term and each su!se.uent renewal term% provided%however% that =0C<:S<< shall have no right to renew this =0C<:S< /GR<<M<:# in the

event that either party hereto has eercised a right of termination under this /R#0C=<0 or in the event that =0C<:S<< in not making good faith e,orts to !ring the=0C<:S<D #<CH:&=&GF to #H< )&0:# & )R/C#0C/= /))=0C/#0&:"

9"+@ #he =0C<:S&R may modify or terminate this eclusive license% in whole or inpart% if-

a" =0C<:S<< fails to meet the o!ligations set forth in /R#0C=< 0 a!ove6



!" #he =0C<:S&R determines that such action is necessary to meetre.uirements for pu!lic use speci(ed !y ederal regulations issued after thedate of this =0C<:S< /GR<<M<:# and such re.uirements are not reasona!lysatis(ed !y the =0C<:S<<6

c" #he =0C<:S<< has willfully made a false statement or willfully omitted amaterial fact in its license application or in any report re.uired !y this =0C<:S</GR<<M<:#6

d" #he =0C<:S<< commits a su!stantial !reach of a covenant or agreementcontained in this =0C<:S< /GR<<M<:#6

e" #he =0C<:S<< defaults in making any payment or report re.uired !y this=0C<:S< /GR<<M<:#6

f" #he =0C<:S<< is ad1udged as !ankrupt or has its assets placed in the handsof a receiver or makes any assignment or other accommodation for the !ene(tof creditors6 or

g" #he =0C<:S<< or any of its su! licensees misuses the =0C<:S<D )/#<:#S"

9"+E )rior to any modi(cation or termination of this =0C<:S< /GR<<M<:# !y=0C<:S&R% =0C<:S&R shall furnish =0C<:S<< and any su! licensee of record a writtennotice of =0C<:S&RNs intention to modify or terminate% and the =0C<:S<< and anynoti(ed su! licensee shall !e allowed sity 32+4 days after the date of such notice toremedy any !reach or default of any covenant or agreement of this =0C<:S</GR<<M<:# or to show cause why this =0C<:S< /GR<<M<:# should not !e modi(edor terminated"

9"+* =0C<:S<< may terminate this =0C<:S< /GR<<M<:# at any time !y giving=0C<:S&R5S R<)R<S<:#/#0< prior written notice not less than sity 32+4 days !eforethe date of such termination"

9"+2 #he word OterminationO and cognate words% such as OtermO and Oterminate%Oused in this /R#0C=< 0 and elsewhere in this =0C<:S< /GR<<M<:# are to read% eceptwhere the contrary is speci(cally indicated% as omitting from their e,ect the followingrights and o!ligations% all of which survive any termination to the degree necessary topermit their complete ful(llment or discharge-

a" =0C<:S<<5s o!ligation to supply a terminal report as speci(ed in /R#0C=< 0

of this =0C<:S< /GR<<M<:#6

!" =0C<:S<<5s right to complete and sell =0C<:S<D #<CH:&=&GF on which=0C<:S<< has an outstanding order6

c" =0C<:S&R5S right to receive or recover and =0C<:S<<5s o!ligation to payroyalties 3including prorated minimum royalties4 accrued for payment at thetime of any termination% including royalties for sales pursuant to9"+2 3!46



d" =0C<:S<<5s o!ligation to maintain records and =0C<:S&R5S right to conducta (nal audit as provided in /R#0C=< 0 of this =0C<:S< /GR<<M<:#6

e" =icenses% releases% and agreements of non'assertion running in favor of

customers or transferees of =0C<:S< in respect to products or services providedpursuant to any R&F/=#F'B/S< C&:#R/C# prior to any termination and onwhich royalties shall have !een paid as provided in /R#0C=< 000 of this =0C<:S</GR<<M<:#6

f" /ny cause of action or claim of =0C<:S&R accrued or to accrue% !ecause of any !reach or default !y =0C<:S<<"

9"+7 0n the event of termination of this =0C<:S< /GR<<M<:# or conversion of thelicense granted hereunder% any e,ected su!license of record granted pursuant to this=0C<:S< /GR<<M<:# may !e converted to a license with the =0C<:S&R in accordancewith the provisions of /R#0C=< herein"

9"+8 =0C<:S&R and =0C<:S<< shall pay their own termination costs out of their ownfunds" 0n no event shall =0C<:S&R or =0C<:S<< !e lia!le for the direct terminationcosts of the other party or the other party5s epenses caused !y or related to thetermination"

A$&I!" +

$"P$"S"#&A&IO# A#D ,A$$A#&I"S

;+"+; =0C<:S&R represents and warrants as follows-

a" #he U"S" Geological Survey is a ederal la!oratory of the Department of the0nterior wholly owned !y the U"S" Government% whose su!stantial purpose is theperformance of research% development% or engineering !y employees of saidgovernment6

!" #he performance of the activities speci(ed !y this =0C<:S< /GR<<M<:# areconsistent with the mission of the U"S" Geological Survey6

c" /ll prior reviews and approvals re.uired !y regulations or law have !eeno!tained !y the =0C<:S&R prior to the eecution of this =0C<:S< /GR<<M<:#"

#he =a!oratory ocial eecuting of this =0C<:S< /GR<<M<:# on !ehalf of =0C<:S&R has the re.uisite authority to do so6

d" =0C<:S&R is the lawful owner of the =0C<:S<D )/#<:# /))=0C/#0&:3S4 andthe =0C<:S<D #<CH:&=&GF" =0C<:S&R has the right to license the =0C<:S<D

#<CH:&=&GF including the =0C<:S<D )/#<:# /))=0C/#0&:3S4 and =0C<:S&Rhas not eecuted and is not aware of any assignment% license% or otheragreement con$icting with any of the grants% assignments% and transferscontained in this =0C<:S< /GR<<M<:#6



e" :o claim% whether or not em!odied in an action past or present% of infringement !y the =0C<:S<D #<CH:&=&GF has !een made or is pendingagainst =0C<:S&R"

;+"? =0C<:S<< represents and warrants as follows-

a" =0C<:S<< is a corporation duly organi>ed% validly eisting and in a goodstanding under the laws of the State of 3S&A&" OF I#!O$PO$A&IO#6

!" =0C<:S<< has the re.uisite power and authority to enter into this =0C<:S</GR<<M<:# and to perform according to the terms thereof6

c" #he Board of Directors and shareholders of =0C<:S<< have taken all actions%if any% re.uired to !e taken !y law% =0C<:S<<5s /rticles of 0ncorporation% its!ylaws or otherwise% to authori>e the eecution and delivery of this =0C<:S</GR<<M<:#6d" #he eecution and delivery of this =0C<:S< /GR<<M<:# does not contraveneany material provision of% or constitute a material default under% any materialagreement !inding on =0C<:S<< or any valid order of any court% or anyregulatory agency or other !ody having authority to which =0C<:S<< is su!1ect%nor% to the !est of its knowledge% is =0C<:S<< the su!1ect of any adversarialproceeding !y any regulatory governmental agency"

A$&I!" +I

("#"$A

;;"+; #his =0C<:S< /GR<<M<:# shall etend to any reissued patent which mayderived from any patent granted from the =0C<:S<D )/#<:# /))=0C/#0&:3S4% providedthat =0C<:S&R has custody of the right thereto and is a!le to grant a license withoutincurring lia!ility to third parties"

;;"+? #his =0C<:S< /GR<<M<:# shall not !e transferred or assigned !y =icensee toany party other than to successor or assignee of the !usiness interest of =0C<:S<<relating to the =0C<:S<D #<CH:&=&GF without the approval of =0C<:S&R5SR<)R<S<:#/#0<"

;;"+@ #his =0C<:S< /GR<<M<:# does not confer any immunity from or defensesunder the antitrust laws% the eport laws% the laws and regulations of the United

States pertaining to or administered !y the U"S" Geological Survey or the Departmentof the 0nterior% not does it confer immunity from a charge of patent misuse"urthermore% =0C<:S<<5S or su! licenseeNs ac.uisition and eercise of rights hereunderare not immuni>ed from the operation of any state of ederal law !y reason of thesource of the grant" #his =0C<:S< /GR<<M<:# does not constitute an endorsement!y =0C<:S&R of the =0C<:S<D #<CH:&=&GF and =0C<:S<< shall not state or imply inany medium that such endorsement eists as the result of this =0C<:S< /GR<<M<:#"

;;"+E =0C<:S<< agrees to maintain any =0C<:S<D )/#<:#S or any patents granted



from the =0C<:S<D )/#<:# /))=0C/#0&:3s4 in force during the term of this =0C<:S</GR<<M<:# !y paying% when due% the fees re.uired !y @* U"S"C" E;3!4"

;;"+* =0C<:S&R makes no warranty% epress or implied% regarding the patenta!ilityof the inventions disclosed in the =0C<:S<D )/#<:# /))=0C/#0&:3S4 or the validity of

any patents granted from the =0C<:S<D )/#<:# /))=0C/#0&:3S4 and makes norepresentations whatsoever with regard to the scope of such patents or that suchpatents may !e eploited without infringing other patents"

;;"+2 =0C<:S&R assumes no lia!ility resulting from =0C<:S<<5s eercise of its rightsunder this =0C<:S< /GR<<M<:# or from =0C<:S&R5s eercise of its B/S< C&:#R/C#Sin the =0C<:S<D /R</% =0C<:S<< agrees to apply its !est e,orts to use% sell% orotherwise distri!ute products manufactured su!stantially in the United States"

;;"+8 #he decision of =0C<:S&R5S R<)R<S<:#/#0< on any re.uirement% dispute%interpretation% modi(cation% or termination of this =0C<:S< /GR<<M<:# shall !ereduced to writing and a copy mailed or otherwise furnished to =0C<:S<<" Suchdecision shall !e (nal% provided that =0C<:S<< may% within thirty 3@+4 days of receiving notice of such decision% su!mit a written appeal through =0C<:S&R5SR<)R<S<:#/#0< to the Senior /ttorney% Branch of )rocurement and )atents%Solicitor5s &ce% U"S" Department of the 0nterior% which appeal shall set forth in detailthe decision !eing appealed and the !asis of the appeal and may include appropriatesupporting materials" 0mplementation of such decision shall !e stayed pending a (nalresolution of such appeal" )ending such (nal resolution% =0C<:S<< shall proceeddiligently with the performance of its o!ligations under this =0C<:S< /GR<<M<:#"

;;"+9 #he parties shall notify each other of any changes in name% address% or!usiness status% and any notice% payment or report re.uired to !e given under the

provisions of this =0C<:S< /GR<<M<:# shall !e considered duly given if mailed !y (rstclass mail% postage prepaid% and addressed as follows-

a" 0f to =0C<:S&R- Director% U"S" Geological Survey% ;;E :ational Center%Reston% irginia ?+;9?"

!" 0f to =0C<:S<<- .&I&"/ .!OOP"$A&O$ #AM" A#D ADD$"SS

;;";+ #he interpretation and application of the provisions of this =0C<:S</GR<<M<:# shall !e governed !y the laws of the United States as interpreted andapplied !y the ederal courts in the District of Colum!ia% United States of /merica"

;;";; #his =0C<:S< /GR<<M<:# constitutes the entire understanding !etween theparties and neither party shall !e o!ligated !y any condition or representation otherthan those epressly stated herein or as may !e su!se.uently agreed to !y theparties hereto in writing"

;;";? #itles and headings of the /rticles and paragraphs of this =0C<:S< /GR<<M<:#are for the convenience of reference only and do not form a part of this =0C<:S</GR<<M<:# and shall in no way a,ect the interpretation thereof"



;;";@ :one of the provisions of this =0C<:S< /GR<<M<:# shall !e considered waived!y any party hereto unless such waiver is given in writing to all other parties" #hefailure of any party to insist upon strict performance of any of the terms andconditions hereof% or failure or delay to eercise any rights provided herein or !y law%shall not !e deemed a waiver of any rights of any party hereto"

;;";E #he illegality or invalidity of any provisions of this =0C<:S< /GR<<M<:# shallnot impair% a,ect% or invalidate the other provisions of this =0C<:S< /GR<<M<:#"

;;";* 0f =0C<:S&R or =0C<:S<< desires a modi(cation in this =0C<:S< /GR<<M<:#%the parties shall% upon reasona!le notice of the proposed modi(cation !y the partydesiring the change% confer in good faith to determine the desira!ility of suchmodi(cation" Such modi(cation shall not !e e,ective until a written amendment issigned !y the representatives of =0C<:S&R and =0C<:S<< duly authori>ed to eecutesuch amendment"

;;"2 #he relationship of the =0C<:S&R and =0C<:S<< is that of independent partiesand not as agents of each other or as 1oint ventures or partners" =0C<:S&R shallmaintain sole eclusive control over its personnel and operations" =0C<:S<< shallmaintain sole and eclusive control over its personnel operations"

0: 0#:<SS H<R<&% each of the parties hereto has caused this =0C<:S</GR<<M<:# to !e eecuted in duplicate originals !y its duly authori>ed ocers orrepresentatives"

&R =0C<:S&R- &R =0C<:S<<-

:ame- :ame-

Director #itle-

U"S" Geological Survey 3C&&)<R/#0< :/M< /:D /DDR<SS4

Date- Date-



$#. 9%SS$8" 9$TA88S

This s!%ti'& '**!#s iss!s a&" /'t!&tia$ 2a##i!#s '*t!& ass'%iat!" ith t#a&s*!##i&( *!"!#a$$) "!:!$'/!"#!s!a#%h /#'"%ts a&" t!%h&'$'(i!s. T!%h&'$'() t#a&s*!# $!(is$ati'& has h!$/!" (':!#&!&t a(!&%i!s':!#%'! a&) '* th! 2a##i!#s "is%ss!". Th#'(h i&%#!as!" aa#!&!ss a&" s!&siti:it) t' th! iss!s'* %'&%!#& $ist!" i& s!%ti'& 1 a&" s'! '* th! 2a##i!#s '* s!%ti'& ,G a(!&%i!s %a& ':!#%'! s'! '* th!s! %ha$$!&(!s. 1. $ssues of oncern in Technology TransferS!:!#a$ iss!s sh'$" 2! %'&si"!#!" i& '#"!# t' !**!%ti:!$) t#a&s*!# *!"!#a$$) "!:!$'/!" t!%h&'$'()a&" /#'"%ts. Th!s! iss!s i&%$"!<

U.S. o+)etitiveness - Th! 'st i/'#ta&t iss! s##'&"i&( t!%h&'$'() t#a&s*!# is its #'$!i& %'&t#i2ti&( t' a& i/#':!" U.S. /#!s!&%! a&" %'/!titi:! /'siti'& i& th! '#$" a#3!t/$a%!. N! /#'"%tsG a""iti'&s t' !@isti&( /#'"%tsG a&" th! "!:!$'/!&t '* a %'$$a2'#ati:! %$t#!

2!t!!& ':!#&!&t a&" U.S. i&"st#) a#! a$$ ('a$s that i$$ 2! s!#:!" h!& ! a%ti:!$) /#s! th!t#a&s*!# '* *!"!#a$$) *&"!" RD t' th! /#i:at! s!%t'#.

airness of %))ortunity - T!%h&'$'() t#a&s*!# a%ti:iti!s a#! ai!" at %'!#%ia$ii&(!"!#a$ #!s!a#%h /#'"%ts. A 3!) st!/ i& %'!#%ia$iati'& is t' *i&" a#3!t!#s '# %'!#%ia$i!#st' th! t!%h&'$'() t' 2! t#a&s*!##!". C!#tai& t!%h&'$'() t#a&s*!# a%ti:iti!sG s%h as C''/!#ati:!R!s!a#%h a&" D!:!$'/!&t A(#!!!&ts =CRADAs> a&" /at!&t $i%!&s!sG /#':i"! i&%!&ti:!s *'# %'/a&i!s t' a"'/tG a#3!tG a&" s!$$ *!"!#a$$) "!:!$'/!" /#'"%ts. It is /#"!&t t' a3! s#! thati&*'#ati'& a2't %'$$a2'#ati:! a&" /at!&t-$i%!&si&( '//'#t&iti!s is a"! #!a"i$) a&" i"!$)a:ai$a2$! t' a&)'&! i&t!#!st!" i& ta3i&( a":a&ta(! '* th!s!. This %a& 2! "'&! 2) a":!#tisi&( th!'//'#t&it) i& L'#&a$s s%h as th! !"!#a$ R!(ist!#G "is%ssi&( th! a%ti:it) at %'&*!#!&%!sG

"ist#i2ti&( *a%t sh!!tsG a&" /#':i"i&( i&*'#ati'& a2't th! t!%h&'$'() '& th! I&t!#&!t.

onflict of $nterest - A$$ !/$')!!sG %'&t#a%t'#sG a&" '#(a&iati'&s &"!# th! L#is"i%ti'& '* DOI a#! s2L!%t t' %'&*$i%t-'*-i&t!#!st /#':isi'&s. Th!s! /#':isi'&s /#'hi2it i&"i:i"a$sG'#(a&iati'&sG '# i&stitti'&s '#3i&( *'# '# ith th! !"!#a$ ':!#&!&t *#' si&( th!i# /'siti'&G'# 3&'$!"(! (ai&!" 2) :i#t! '* that /'siti'&G *'# &"! (ai&G *i&a&%ia$ '# 'th!#is!. DOI /'$i%)G*'# !@a/$!G "is%'#a(!s %$'s! i&:'$:!!&t '* i&:!&t'#s i& &!('tiati&( /at!&t $i%!&s! #')a$ti!s. Th! /#ia#) /#/'s! '* t!%h&'$'() t#a&s*!# a%ti:iti!s is t' sti$at! %'!#%ia$ "!:!$'/!&tG a"'/ti'&Ga&" s! '* USS-"!:!$'/!" /#'"%ts &'t t' !&%'#a(! /!#s'&a$ (ai&.

2. arriers to Technology TransferTh!#! a#! a&) 2a##i!#s t' !**!%ti:! t!%h&'$'() t#a&s*!#. Aa#!&!ss '* th!s! /'t!&tia$ 2a##i!#s %a&

h!$/ i&%#!as! th! $i3!$ih''" '* s%%!ss. S'! '* th!s! a#!<

!esistance to hange. Ma&) (''"G &! i"!as a#! &'t a%%!/t!" i&itia$$) 2!%as! '* th! 2asi%ha& t!&"!&%) t' #!sist %ha&(! a&" t' #!sist ':i&( 'tsi"! '* '# '& /a#a"i(s. Th! '#i(i&a$ /h't'%'/)i&( /#'%!ssG *'# !@a/$!G as &'t ta3!& s!#i's$) i& 194; h!& its i&:!&t'# /#!s!&t!" it t' /'t!&tia$ a#3!t!#s. Th! a#3!t!#s *ai$!" t' s!! th! /'t!&tia$ '* this &! /#'%!ss a&" it as &'t &ti$1958 that th! t!%h&'$'() as %'!#%ia$i!" 2) X!#'@. I& a&'th!# %as!G th! Siss "!:!$'/!" th!



a#t at%hG 2t it as %'&si"!#!" t'' #a"i%a$$) "i**!#!&t. It ha" &' s/#i&(sG &' (!a#s. Th! Sisssa &' #!as'& t' a2a&"'& t#a"iti'&a$ at%h-a3i&( t!%h&'$'(). As a #!s$tG th! Siss $'st a%'&si"!#a2$! a#3!t 2!%as! t' *'#!i(& %'/!tit'#s "i" ta3! th! #is3.

8ag Ti+e. I& th! U&it!" Stat!sG th!#! is a& a:!#a(! $a( ti! '* 5-1; )!a#s *#' /#'"%t%'&%!/ti'& i& a $a2'#at'#) t' %'!#%ia$iati'& a&" s!. O*t!&G it ta3!s this $'&( t' "!:!$'/ aa#3!t *'# a &! /#'"%t. Th! t!$!:isi'& s!tG a$th'(h "!$a)!" 2) W'#$" Wa# IIG ha" 2!!& a#'&"*'# at $!ast 15 )!a#s 2!*'#! it as *i#st s!" %'!#%ia$$). Ma&) /!'/$! th'(ht it '$" &!:!# #!/$a%! th! 2!$':!" #a"i'G 2t t'"a) a&) h's!h'$"s '& th#!! '# *'# t!$!:isi'& s!ts.

$nsufficient /arketing. Th! !"!#a$ ':!#&!&t has t#a"iti'&a$$) 2!!& %'&s!#:ati:! a&"has "'&! t'' $itt$! t' s!$$ its!$*. Th's! h' a) 2!&!*it *#' si&( (':!#&!&t t!%h&'$'() &!!" t'3&' '#! a2't hat !"!#a$ $a2'#at'#i!s ha:! "!:!$'/!". Th! '&$) a) this %a& 2! a%%'/$ish!"is t' ta$3 a2't th!s! "!:!$'/!&tsG a3! th! :isi2$!G a&" *'%s '& th! 2!&!*itsG &'t Lst th!*!at#!sG '* &! t!%h&'$'(). I& a""iti'&G th! ':!#&!&t st sha#! its 3&'-h'F a&" h!$/%st'!#s $!a#& h' t' s! th! &! t!%h&'$'() it '**!#s.

8ack of /arketing $ncentive. Ma&) (':!#&!&t-"!:!$'/!" #!s!a#%h /#'"%ts a#! a:ai$a2$!t' a&)'&! i&t!#!st!". Ma&) %'/a&i!s s!! this as a "isi&%!&ti:!. Th!) %a& /i%3 / a&" a#3!t a(':!#&!&t t!%h&'$'() *#!!$)G 2t s' %a& th!i# %'/!tit'#s. Ma&) t!%h&'$'(i!sG as a #!s$tG (' &-a"'/t!" '# &s!". #i'# t' /assa(! '* !"!#a$ t!%h&'$'() t#a&s*!# $!(is$ati'& i& th! 198;sG th!#!ha" 2!!& $itt$! i&%!&ti:! *'# %'/a&i!s t' /i%3 / *!"!#a$$) "!:!$'/!" t!%h&'$'() a&" a//$) this t'hat %a& '*t!& 2! sa$$G %'/!titi:! a&" %'&s!#:ati:! a#3!t s!(!&ts.

8ack of $nvolve+ent by $nventors. M'st $a2'#at'#) #!s!a#%h!#s a#! '#! %'*'#ta2$! atth! #!s!a#%h 2!&%h tha& ta$3i&( ith /'t!&tia$ s!#s a2't th!i# i&:!&ti'&s '# #!s$ts. Bt th!i&:!&t'#s a#! %#%ia$ t' th! s%%!ss*$ t#a&s*!# '* t!%h&'$'(). Th! i&:!&t'#s '**!# 3&'-h' a&"

t!%h&i%a$ !@/!#tis! that %a&&'t 2! #!/$i%at!" 2) a&)'&! !$s!G a&" th!) &!!" t' 2! i&:'$:!" i& th!a#3!ti&( a&" "!'&st#ati'& /#'%!ss. I&:!&t'#s a3! th! 2!st %ha/i'&s *'# #!s!a#%h"!:!$'/!&ts.

8ack of Trust in orking 5ith ederal 8aboratories. #i'# t' t!%h&'$'() t#a&s*!# $!(is$ati'& i& th! 198;sG th!#! !#! *! a:!&!s '/!& t' th! /#i:at! s!%t'# t' '#3 ith !"!#a$$a2'#at'#i!s i& a /#'t!%t!" !&:i#'&!&t. I&*'#ati'& a2't %'$$a2'#ati:! a%ti:iti!s as a:ai$a2$!G *'# th! 'st /a#tG t' a&)'&! #!!sti&( itG a&" th!#! !#! *! a)s t' /#'t!%t /#'/#i!ta#) i&*'#ati'& 2#'(ht t' th! a%ti:it) 2) th! %'/a&) s%h as t#a"! s!%#!ts '# %'/a&) "ata. I& a""iti'&G th! /#i:at! s!%t'# "i" &'t t#st th! !"!#a$ $a2'#at'#i!s t' "!$i:!# '& /#'is!s a"! "#i&( %'$$a2'#ati:!a%ti:iti!s. T!%h&'$'() t#a&s*!# $as ha:! h!$/!" !$ii&at! th!s! /#'2$!s.



#. !"S%U!"S %! ASS$STA&"

1. The usiness 'evelo)+ent ranchTh! USS Bsi&!ss D!:!$'/!&t B#a&%h has th! #!s/'&si2i$it) *'# !&%'#a(i&( a&" $!a"i&( th!t!%h&'$'() t#a&s*!# a%ti:iti!s ithi& th! S#:!). Its sta** is a:ai$a2$! t' a&s!# !sti'&sG h!$/ /#!/a#! "'%!&tsG &!('tiat! CRADAs a&" $i%!&s!sG as !$$ as !as! a&" s/!!" th! /#'%!ss i& a&)a) /'ssi2$!. Th! O**i%! a$s' h!$/s t' /#''t! )'# '//'#t&iti!s *'# /a#t&!#shi/sG /at!&tsG a&"$i%!&s!s '& th's! /at!&ts. What!:!# )'# !sti'& '# /#'2$! i& a&) '* th! s2L!%t a#!as %':!#!" i&this a&a$G /$!as! *!!$ *#!! t' %'&ta%t th! B#a&%h *'# a&s!#s a&" h!$/.

Th! Bsi&!ss D!:!$'/!&t B#a&%h is $'%at!" ithi& th! !'(#a/h) Dis%i/$i&!.

B!th D** h'&!< 7;0-648-46,1St!:! St#a"!# h'&!< 7;0-648-465,

2. %ther Sources for Assistance

Th! !"!#a$ ':!#&!&t '**!#s s!:!#a$ 'th!# s'#%!s '* t!%h&'$'() t#a&s*!# i&*'#ati'& a&"t#ai&i&(. S'! '* th!s! a#! $ist!" 2!$' ith a""#!ss!s a&" t!$!/h'&! &2!#s<

Nati'&a$ T!%h&'$'() T#a&s*!# C!&t!# =NTTC>< '%at!" i& Wh!!$i&(G WVG th! NTTC '**!#s t#ai&i&(i& C''/!#ati:! R!s!a#%h a&" D!:!$'/!&t A(#!!!&t =CRADA> &!('tiati'&G I&t!$$!%ta$ #'/!#t)a&" i%!&si&( &!('tiati'&G Ma#3!ti&( T!%h&i!sG a&" T!%h&'$'() Ass!ss!&tG as !$$ as 'th!# (!#a&! a#!as. NTTCG Wh!!$i&( !sit C'$$!(!G 016 Washi&(t'& A:!&!G Wh!!$i&(G WV ,6;;0.T!$< =0;4> ,40-44;;. AX< =0;4> ,40-4089. UR< htt/<??.&tt%.!"

!"!#a$ a2'#at'#) C'&s'#ti *'# T!%h&'$'() T#a&s*!#=C>< Th! C $i&3s !"!#a$ $a2'#at'#i!sa&" th!i# #!/#!s!&tati:!s t'(!th!# t' sha#! i"!as a&" i&*'#ati'& :a$a2$! t' !"!#a$ T!%h&'$'()

T#a&s*!# !**'#ts. C as %ha#t!#!" 2) th! St!:!&s'&-W)"$!# T!%h&'$'() I&&':ati'& A%t '* 198;.C /#':i"!s t#ai&i&( i& :a#i's a#!as #!$at!" t' t!%h&'$'() t#a&s*!# a&" h'sts S/#i&( a&" a$$%'&*!#!&%!s th#'(h hi%h !"!#a$ a(!&%) t!%h&'$'() t#a&s*!# #!/#!s!&tati:!s %a& &!t'#3 a&"i&t!#a%t ith &'&-!"!#a$ #!/#!s!&tati:!s i&t!#!st!" i& !"!#a$ t!%h&'$'(). C a$s' /2$ish!s a&!s$!tt!# %a$$ N!si&3. T!$< 856-667-77,7. O&-$i&! s2s%#i/ti'&< *$%&!sQt#sai$.%' UR<htt/<??.*!"!#a$$a2s.'#(?

mailto:[email protected]

mailto:[email protected]



A99"&'$- A? G8%SSA! % T"!/S US"'$TH T"H&%8%G T!A&S"!

Wh!& '#3i&( i& th! *i!$" '* t!%h&'$'() t#a&s*!#G it is h!$/*$ t' &"!#sta&" th! $a&(a(!. H!#! a#! s'!t!#s '*t!& s!" i& %'&L&%ti'& ith t!%h&'$'() t#a&s*!# a%ti:iti!s a&" th!i# !a&i&(s<

ackground 9atent - A /at!&t that as i& !@ist!&%! /#i'# t' a C''/!#ati:! R!s!a#%h a&" D!:!$'/!&tA(#!!!&t '# CRADAG i.!. th! i&:!&ti'& "!s%#i2!" a&" %$ai!" i& th! /at!&t st ha:! 2!!& %'&%!i:!"'tsi"! '* th! CRADA a&" &'t *i#st a%ta$$) #!"%!" t' /#a%ti%! &"!# th! CRADA.

!A'A - A C''/!#ati:! R!s!a#%h a&" D!:!$'/!&t A(#!!!&t as "!s%#i2!" i& Tit$! 15 '* th! U&it!" Stat!sC'"! =USC>. This a(#!!!&t is a %'$$a2'#ati:! /a#t&!#shi/ 2!t!!& '&! '# '#! !"!#a$ $a2'#at'#i!s a&" '&!'# '#! &'&-!"!#a$ /a#ti!s. U&"!# s%h a& a(#!!!&tG th! ':!#&!&tG th#'(h its $a2'#at'#i!sG /#':i"!s /!#s'&&!$G *a%i$iti!sG !i/!&tG i&t!$$!%ta$ /#'/!#t) '# 'th!# #!s'#%!s ith '# ith't #!i2#s!!&t. Th!!"!#a$ ':!#&!&t /a#t&!# %a&&'t /#':i"! *&"s t' its %'$$a2'#at'#=s>. Th! %'$$a2'#at'#s a) /#':i"! *&"sG /!#s'&&!$G s!#:i%!sG *a%i$iti!sG !i/!&tG '# 'th!# #!s'#%!s t' %'&"%t s/!%i*i% #!s!a#%h '# "!:!$'/!&t!**'#ts that a#! %'&sist!&t ith th! !"!#a$ $a2'#at'#)s issi'&.

ontractor - A&) /!#s'&G sa$$ 2si&!ss *i#G '# &'&/#'*it '#(a&iati'& that is a /a#t) t' a *&"i&(a(#!!!&t.

o)yright - Th! #i(ht (#a&t!" 2) $a t' a& ath'#G /$a)#i(htG /2$ish!#G %'/'s!#G s'*ta#! "!:!$'/!#Ga#tistG '# "ist#i2t'# t' !@%$si:! /2$i%ati'&G /#'"%ti'&G sa$! '# "ist#i2ti'& '* $it!#a#)G si%a$G "#aati%Ga#tisti%G '# %'/t!# s'*ta#! '#3s as "!s%#i2!" i& Tit$! 17 '* th! U&it!" Stat!s C'"!. E@a/$!s '* s'!'#3s that a) 2! %'/)#i(hta2$!< #iti&(sG "#ai&(sG ':i!sG (#a/hsG s%$/t#!sG a&" %'/t!# s'*ta#!.

ederal agency - A&) !@!%ti:! a(!&%) as "!*i&!" i& s!%ti'& 1;5 '* Tit$! 5G U&it!" Stat!s C'"!G a&" th!i$ita#) "!/a#t!&ts as "!*i&!" 2) s!%ti'& 1;, '* Tit$! 5G U&it!" Stat!s C'"!.

ield:of:use - A s/!%i*i% a#!a '* s! *'# hi%h a& !@%$si:! $i%!&s! t' a /at!&t a) 2! (#a&t!"G *'# !@a/$!G a

s/!%i*i% a#3!t a#!a s%h as 2i'!"i%a$ '# (#a/hi% a#ts.

unding agree+ent - A %'&t#a%tG (#a&tG '# %''/!#ati:! a(#!!!&t !&t!#!" i&t' 2!t!!& a&) !"!#a$ a(!&%)G'th!# tha& th! T!&&!ss!! Va$$!) Ath'#it)G a&" a&) %'&t#a%t'# *'# th! /!#*'#a&%! '* !@/!#i!&ta$G"!:!$'/!&ta$G '# #!s!a#%h '#3 *&"!" i& h'$! '# i& /a#t 2) th! !"!#a$ ':!#&!&t. This t!# i&%$"!sa&) assi(&!&tG s2stitti'& '* /a#ti!sG '# s2%'&t#a%t '* a&) t)/! !&t!#!" i&t' *'# th! /!#*'#a&%! '*!@/!#i!&ta$G "!:!$'/!&ta$G '# #!s!a#%h '#3 &"!# a *&"i&( a(#!!!&t as h!#!i& "!*i&!".

':!#&!&t Us! i%!&s! - A (':!#&!&t s! $i%!&s! sti/$at!s that i* a /at!&t is '2tai&!" '& a s2L!%ti&:!&ti'&G th! i&:!&t'# =s> a(#!!s t' (#a&t t' th! U.S. ':!#&!&t a '#$"-i"!G &'&!@%$si:!G #')a$t)-*#!!$i%!&s! t' s! th! i&:!&ti'& *'# (':!#&!&t /#/'s!s.

$ntellectual 9ro)erty - I&ta&(i2$! /#'/!#t)G i&%$"i&( i"!asG /#'%!ss!sG a&" "is%':!#i!s that is /#'t!%t!" 2) a /at!&tG t#a"!a#3G %'/)#i(htG t#a"! s!%#!tG '# 'th!# !a&s. Th! #i(hts t' this /#'/!#t) %a& 2! 2'(ht a&" s'$"G$!as!" '# #!&t!"G '# 'th!#is! t#a&s*!##!" 2!t!!& /a#ti!s i& %h th! sa! a) that #i(hts t' #!a$ /#'/!#t) '#'th!# /!#s'&a$ /#'/!#t) %a& 2! t#a&s*!##!".

$nvention - A "is%':!#)G &! "!:i%! '# /#'%!ss "!:!$'/!" *#' st")G #!s!a#%h a&"?'# !@/!#i!&tati'& that is'# a) 2! /at!&ta2$! &"!# Tit$! 17 '* th! U&it!" Stat!s C'"! =U.S.C.>.

8icense - !&!#a$$)G a $!(a$ #i(htG $!ss tha& a tit$!G hi%h !&tit$!s th! /'ss!ss'# t' s!G a3! '# s!$$ th!



/a#ti%$a# s2L!%t att!# &"!# %'&si"!#ati'&. '# t!%h&'$'() t#a&s*!# /#/'s!sG a $i%!&s! sa$$) %':!#s a /at!&t!" i&:!&ti'&G a t#a"!a#3!"?s!#:i%! a#3!" /#'"%t '# s!#:i%!G a %'/)#i(ht!" '#3G /#'t!%t!" "ataG '# at#a"! s!%#!t. i%!&s!s %a& 2! &!('tiat!" '& a (!'(#a/hi%a$ '# *i!$"-'*-s! =s/!%i*i% s! a#!a> 2asis.

/ade - I& #!$ati'& t' a&) i&:!&ti'& '# %'/)#i(htG it !a&s th! %'&%!/ti'& '# *i#st a%ta$ #!"%ti'& t' /#a%ti%!.

/ask ork - A s!#i!s '* #!$at!" *i@!" '# !&%'"!" ia(!sG s%h as i& s!i%'&"%t'# %hi/sG ha:i&( '##!/#!s!&ti&( th! /#!"!t!#i&!"G th#!!-"i!&si'&a$ /att!#& '* !ta$$i% i&s$ati&( '# s!i%'&"%t'# at!#ia$J a&"i& hi%h th! #!$ati'& '* th! ia(!s t' '&! a&'th!# is s%h that !a%h ia(! has th! /att!#& '* th! s#*a%! '* '&!*'# '* th! s!i%'&"%t'# %hi/ /#'"%t. S'#%!< 17 U.S. C'"! 9;1 =a> =,>

&on)rofit organiDation - U&i:!#siti!s a&" 'th!# i&stitti'&s '* hi(h!# !"%ati'& '# a& '#(a&iati'& '* th! t)/!"!s%#i2!" i& s!%ti'& 5;1=%>=0> '* th! I&t!#&a$ R!:!&! C'"! '* 1954 =,6 U.S.C. 5;1=%>> a&" !@!/t *#'ta@ati'& &"!# s!%ti'& 5;1=a> '* th! I&t!#&a$ R!:!&! C'"! =,6 U.S.C. 5;1=a>> '# a&) &'&/#'*it s%i!&ti*i% '#!"%ati'& '#(a&iati'& a$i*i!" &"!# a Stat! &'&/#'*it '#(a&iati'& stat!.

%ral 'isclosure - S!! th! *'$$'i&( !'#a&".

%!TA - Th! O**i%! '* R!s!a#%h a&" T!%h&'$'() A//$i%ati'&s. Th! St!:!&s'&-W)"$!# T!%h&'$'() I&&':ati'&A%t /#':i"!" *'# th! %#!ati'& '* this '**i%! ithi& aL'# !"!#a$ $a2'#at'#i!s. It is 2asi%a$$) a t!%h&'$'()t#a&s*!# '**i%!.

9artners - Th! /a#t)=s> '#3i&( ith a !"!#a$ $a2'#at'#) i& a /a#t&!#shi/ '# C''/!#ati:! R!s!a#%h a&"D!:!$'/!&t A(#!!!&t =CRADA>. A$s' #!*!##!" t' as %'$$a2'#at'#s.F

9atent - A (#a&t *#' th! !"!#a$ ':!#&!&t t' a& i&:!&t'# h!#!i&G i& !@%ha&(! *'# th! i&:!&t'# /#':i"i&(a& !&a2$i&( "is%$'s#! '* th! i&:!&ti'& a&" %'/$)i&( ith 'th!# $!(a$ #!i#!!&tsG th! ':!#&!&t aa#"sth! i&:!&t'# ith th! #i(ht t' !@%$"! 'th!#s *#' a3i&(G si&(G '# s!$$i&( th! %$ai!" i&:!&ti'&G i& th! U&it!"Stat!sG *'# ,; )!a#s *#' th! "at! '* /at!&t a//$i%ati'&. I& *'#!i(& %'&t#i!sG th! t!# '* th! /at!&t a) :a#)s'!hat.

9ractical a))lication - T' a&*a%t#! =i& th! %as! '* a %'/'siti'& '# /#'"%t>G t' /#a%ti%! =i& th! %as! '* a /#'%!ss '# !th'">G '# t' '/!#at! =i& th! %as! '* a a%hi&! '# s)st!>J a&" i& !a%h %as!G &"!# s%h %'&"iti'&sas t' !sta2$ish that th! i&:!&ti'& is 2!i&( ti$i!" a&" that its 2!&!*its a#! a:ai$a2$! t' th! /2$i% '& #!as'&a2$!t!#s t' th! !@t!&t /!#itt!" 2) $a '# (':!#&!&t #!($ati'&s.

9ro)rietary $nfor+ation - Withi& a CRADAG i&*'#ati'& '&!" 2) th! /a#t&!# /#i'# t' th! *'#ati'& '* th!CRADA a&" s' "!si(&at!". #'/#i!ta#) i&*'#ati'& !2'"i!s t#a"! s!%#!ts "!:!$'/!" at /#i:at! !@/!&s! a&"%'!#%ia$ '# *i&a&%ia$ i&*'#ati'& that is /#i:i$!(!" '# %'&*i"!&tia$ &"!# th! #!!"' '* I&*'#ati'& A%t.'# s%h i&*'#ati'& t' 2! a**'#"!" $!(a$ /#'t!%ti'&G it sh'$" 2! #!%'#"!" a&" a#3!" as /#'/#i!ta#) h!& itis *i#st i&t#'"%!" *'# s! i& a CRADA a%ti:it).9rotected 'ata - '# t!%h&'$'() t#a&s*!# /#/'s!sG /#'t!%t!" "ata a#! %'!#%ia$$)-:a$a2$! "ata that a#!ithh!$" *#' "iss!i&ati'& t' th! /2$i%. Th!s! a#! "ata (!&!#at!" a&" "!:!$'/!" &"!# a CRADA.

!ights - Th! $!(a$ ath'#it) that %a& 2! (i:!& 2) th! DOI t' its /a#t&!#s '# i&:!&t'#s t' s!G a3!G s!$$G '#ha:! a"! s/!%i*i% i&t!$$!%ta$ /#'/!#t). Ri(hts a) ta3! th! *'# '* /at!&t $i%!&s!s '# assi(&!&tsG '#'/ti'&sG i& a&) i&:!&ti'& a"! 2) a !"!#a$ !/$')!!. H'!:!#G th! DOI a$a)s #!tai&s a &'&!@%$si:!G&'&t#a&s*!#a2$!G i##!:'%a2$!G /ai"-/ $i%!&s! t' /#a%ti%! th! i&:!&ti'& th#'(h't th! '#$"G 2)G '# '& 2!ha$*'*G th! ':!#&!&tG a&" s%h 'th!# #i(hts as th! DOI "!!s a//#'/#iat!.

!oyalties - I&%'! (!&!#at!" *#' th! $i%!&si&( '* !"!#a$ i&t!$$!%ta$ /#'/!#t). R')a$t) i&%'! *#'



i&:!&ti'&s i$$ 2! /a)a2$! t' th! i&:!&t'#=s>G i* th!) !#! !/$')!" 2) th! a(!&%) at th! ti! '* th! i&:!&ti'&.Th! /a)!&ts i$$ %'&ti&! *'# as $'&( as th! DOI %'&ti&!s t' #!%!i:! s%h i&%'!G #!(a#"$!ss '* th! !:!&ta$!/$')!&t stats '* th! !/$')!!. I* a& i&:!&ti'& is $i%!&s!" *'# %'!#%ia$ s!G a&" #')a$t) '# 'th!#i&%'! #!s$tsG th! i&:!&t'# #!%!i:!s th! *i#st ,G;;; i& #')a$ti!s /$s a t'ta$ '* 15 /!#%!&t '* th! i&%'!.a)!&ts *#' #')a$ti!s t' a& !/$')!! %a&&'t !@%!!" 15;G;;; /!# )!a# ith't #!si"!&tia$ a//#':a$.

State+ent of ork =S%> - Th! "!tai$!" "!s%#i/ti'& '* th! '#3 t' 2! a%%'/$ish!" &"!# a %'&t#a%ta$a(#!!!&t. Withi& a CRADAG a Stat!!&t '* W'#3 "!s%#i2!s i& "!tai$ hat !a%h /a#t&!# i$$ "' t' #!a%h th!stat!" '2L!%ti:!.

Service +ark - A $!(a$$) #!%'(&i!"G &i! !@/#!ssi'& that i"!&ti*i!s th! s'#%! '* s!#:i%!s *'# %'!#%ia$ /#/'s!s. S!#:i%! a#3 #!(ist#ati'& %a& 2! '2tai&!" *#' th! U.S. at!&t a&" T#a"!a#3 O**i%!.

Title - A $!(a$ #i(ht '* '&!#shi/ t' ta&(i2$! '# i&ta&(i2$! /#'/!#t).

Trade Secret - !(a$$) ithh!$" %'!#%ia$ *'#$aG "!:i%!G /att!#&G /#'%!ssG '# i&*'#ati'& that a**'#"s a 2si&!ss a& a":a&ta(! ':!# 'th!#s h' "' &'t ha:! th! s!%#!t.

Trade+ark - A $!(a$$)-#!%'(&i!"G &i! !@/#!ssi'& that i"!&ti*i!s th! s'#%! '* (''"s *'# %'!#%ia$ /#/'s!s. T#a"!a#3 #!(ist#ati'& %a& 2! '2tai&!" *#' th! U.S. at!&t a&" T#a"!a#3 O**i%!.

aiver - Th! #!$i&ish!&t '* a $!(a$ #i(ht t' "' '# '& s'!thi&(. O*t!& i& t!%h&'$'() t#a&s*!#a(#!!!&tsG th! !"!#a$ ':!#&!&t i$$ #!$i&ish its #i(hts t' '2tai& tit$! t' i&:!&ti'&s "!:!$'/!" &"!# thata(#!!!&t th#'(h a ai:!# t' th! %'$$a2'#ati&( /a#t).



APP"#DI+ B0 MA#'A !*AP&"$S A#D O&*"$ DO!'M"#&S

)ointers to these supporting documents can !e found at the Business Development0ntranet site at-

http-IImapnet"er"usgs"govIpartnerships"html

#he Survey Manual chapters also can !e located directly on the USGS 0ntranet at-

http-IIwww"usgs"govIusgs'manualI

Date post:	21-Feb-2018
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