[Congressional Bills 107th Congress]
[From the U.S. Government Publishing Office]
[S. 517 Introduced in Senate (IS)]
107th CONGRESS
1st Session
S. 517
To authorize funding the Department of Energy to enhance its mission
areas through technology transfer and partnerships for fiscal years
2002 through 2006, and for other purposes.
_______________________________________________________________________
IN THE SENATE OF THE UNITED STATES
March 12, 2001
Mr. Bingaman (for himself, Mr. Domenici, and Mrs. Murray) introduced
the following bill; which was read twice and referred to the Committee
on Energy and Natural Resources
_______________________________________________________________________
A BILL
To authorize funding the Department of Energy to enhance its mission
areas through technology transfer and partnerships for fiscal years
2002 through 2006, and for other purposes.
Be it enacted by the Senate and House of Representatives of the
United States of America in Congress assembled,
SECTION 1. SHORT TITLE.
This Act may be cited as the ``National Laboratories Partnership
Improvement Act of 2001''.
SEC. 2. DEFINITIONS.
For purposes of this Act--
(1) the term ``Department'' means the Department of Energy;
(2) the term ``departmental mission'' means any of the
functions vested in the Secretary of Energy by the Department
of Energy Organization Act (42 U.S.C. 7101 et seq.) or other
law;
(3) the term ``institution of higher education'' has the
meaning given such term in section 1201(a) of the Higher
Education Act of 1965 (20 U.S.C. 1141(a));
(4) the term ``National Laboratory'' means any of the
following institutions owned by the Department of Energy--
(A) Argonne National Laboratory;
(B) Brookhaven National Laboratory;
(C) Idaho National Engineering and Environmental
Laboratory;
(D) Lawrence Berkeley National Laboratory;
(E) Lawrence Livermore National Laboratory;
(F) Los Alamos National Laboratory;
(G) National Renewable Energy Laboratory;
(H) Oak Ridge National Laboratory;
(I) Pacific Northwest National Laboratory; or
(J) Sandia National Laboratory;
(5) the term ``facility'' means any of the following
institutions owned by the Department of Energy--
(A) Ames Laboratory;
(B) East Tennessee Technology Park;
(C) Environmental Measurement Laboratory;
(D) Fermi National Accelerator Laboratory;
(E) Kansas City Plant;
(F) National Energy Technology Laboratory;
(G) Nevada Test Site;
(H) Princeton Plasma Physics Laboratory;
(I) Savannah River Technology Center;
(J) Stanford Linear Accelerator Center;
(K) Thomas Jefferson National Accelerator Facility;
(L) Waste Isolation Pilot Plant;
(M) Y-12 facility at Oak Ridge National Laboratory;
or
(N) other similar organization of the Department
designated by the Secretary that engages in technology
transfer, partnering, or licensing activities;
(6) the term ``nonprofit institution'' has the meaning
given such term in section 4 of the Stevenson-Wydler Technology
Innovation Act of 1980 (15 U.S.C. 3703(5));
(7) the term ``Secretary'' means the Secretary of Energy;
(8) the term ``small business concern'' has the meaning
given such term in section 3 of the Small Business Act (15
U.S.C. 632);
(9) the term ``technology-related business concern'' means
a for-profit corporation, company, association, firm,
partnership, or small business concern that--
(A) conducts scientific or engineering research,
(B) develops new technologies,
(C) manufacturers products based on new
technologies, or
(D) performs technological services;
(10) the term ``technology cluster'' means a concentration
of--
(A) technology-related business concerns;
(B) institutions of higher education; or
(C) other nonprofit institutions,
that reinforce each other's performance through formal or
informal relationships;
(11) the term ``socially and economically disadvantaged
small business concerns'' has the meaning given such term in
section 8(a)(4) of the Small Business Act (15 U.S.C.
637(a)(4)); and
(12) the term ``NNSA'' means the National Nuclear Security
Administration established by title XXXII of the National
Defense Authorization Act for Fiscal Year 2000 (Public Law 106-
65).
SEC. 3. TECHNOLOGY INFRASTRUCTURE PILOT PROGRAM.
(a) Establishment.--The Secretary, through the appropriate
officials of the Department, shall establish a Technology
Infrastructure Pilot Program in accordance with this section.
(b) Purpose.--The purpose of the program shall be to improve the
ability of National Laboratories or facilities to support departmental
missions by--
(1) stimulating the development of technology clusters that
can support the missions of the National Laboratories or
facilities;
(2) improving the ability of National Laboratories or
facilities to leverage and benefit from commercial research,
technology, products, processes, and services; and
(3) encouraging the exchange of scientific and
technological expertise between National Laboratories or
facilities and--
(A) institutions of higher education,
(B) technology-related business concerns,
(C) nonprofit institutions, and
(D) agencies of State, tribal, or local
governments,
that can support the missions of the National Laboratories and
facilities.
(c) Pilot Program.--In each of the first three fiscal years after
the date of enactment of this section, the Secretary may provide no
more than $10,000,000, divided equally, among no more than ten National
Laboratories or facilities selected by the Secretary to conduct
Technology Infrastructure Program Pilot Programs.
(d) Projects.--The Secretary shall authorize the Director of each
National Laboratory or facility designated under subsection (c) to
implement the Technology Infrastructure Pilot Program at such National
Laboratory or facility through projects that meet the requirements of
subsections (e) and (f).
(e) Program Requirements.--Each project funded under this section
shall meet the following requirements:
(1) Minimum participants.--Each project shall at a minimum
include--
(A) a National Laboratory or facility; and
(B) one of the following entities--
(i) a business,
(ii) an institution of higher education,
(iii) a nonprofit institution, or
(iv) an agency of a State, local, or tribal
government.
(2) Cost sharing.--
(A) Minimum amount.--Not less than 50 percent of
the costs of each project funded under this section
shall be provided from non-Federal sources.
(B) Qualified funding and resources.--
(i) The calculation of costs paid by the
non-Federal sources to a project shall include
cash, personnel, services, equipment, and other
resources expended on the project.
(ii) Independent research and development
expenses of government contractors that qualify
for reimbursement under section 31-205-18(e) of
the Federal Acquisition Regulations issued
pursuant to section 25(c)(1) of the Office of
Federal Procurement Policy Act (41 U.S.C.
421(c)(1)) may be credited towards costs paid
by non-Federal sources to a project, if the
expenses meet the other requirements of this
section.
(iii) No funds or other resources expended
either before the start of a project under this
section or outside the project's scope of work
shall be credited toward the costs paid by the
non-Federal sources to the project.
(3) Competitive selection.--All projects where a party
other than the Department or a National Laboratory or facility
receives funding under this section shall, to the extent
practicable, be competitively selected by the National
Laboratory or facility using procedures determined to be
appropriate by the Secretary or his designee.
(4) Accounting standards.--Any participant receiving
funding under this section, other than a National Laboratory or
facility, may use generally accepted accounting principles for
maintaining accounts, books, and records relating to the
project.
(5) Limitations.--No Federal funds shall be made available
under this section for--
(A) construction; or
(B) any project for more than five years.
(f) Selection Criteria.--
(1) Threshold funding criteria.--The Secretary shall
authorize the provision of Federal funds for projects under
this section only when the Director of the National Laboratory
or facility managing such a project determines that the project
is likely to improve the participating National Laboratory or
facility's ability to achieve technical success in meeting
departmental missions.
(2) Additional criteria.--The Secretary shall also require
the Director of the National Laboratory or facility managing a
project under this section to consider the following criteria
in selecting a project to receive Federal funds--
(A) the potential of the project to succeed, based
on its technical merit, team members, management
approach, resources, and project plan;
(B) the potential of the project to promote the
development of a commercially sustainable technology
cluster, one that will derive most of the demand for
its products or services from the private sector, that
can support the missions of the participating National
Laboratory or facility;
(C) the potential of the project to promote the use
of commercial research, technology, products,
processes, and services by the participating National
Laboratory or facility to achieve its departmental
mission or the commercial development of technological
innovations made at the participating National
Laboratory or facility;
(D) the commitment shown by non-Federal
organizations to the project, based primarily on the
nature and amount of the financial and other resources
they will risk on the project;
(E) the extent to which the project involves a wide
variety and number of institutions of higher education,
nonprofit institutions, and technology-related business
concerns that can support the missions of the
participating National Laboratory or facility and that
will make substantive contributions to achieving the
goals of the project;
(F) the extent of participation in the project by
agencies of State, tribal, or local governments that
will make substantive contributions to achieving the
goals of the project; and
(G) the extent to which the project focuses on
promoting the development of technology-related
business concerns that are small business concerns or
involves such small business concerns substantively in
the project.
(3) Savings clause.--Nothing in this subsection shall limit
the Secretary from requiring the consideration of other
criteria, as appropriate, in determining whether projects
should be funded under this section.
(g) Report to Congress on Full Implementation.--Not later than 120
days after the start of the third fiscal year after the date of
enactment of this section, the Secretary shall report to Congress on
whether the Technology Infrastructure Program should be continued
beyond the pilot stage, and, if so, how the fully implemented program
should be managed. This report shall take into consideration the
results of the pilot program to date and the views of the relevant
Directors of the National laboratories and facilities. The report shall
include any proposals for legislation considered necessary by the
Secretary to fully implement the program.
SEC. 4. SMALL BUSINESS ADVOCACY AND ASSISTANCE.
(a) Advocacy Function.--The Secretary shall direct the Director of
each National Laboratory, and may direct the Director of each facility
the Secretary determines to be appropriate, to establish a small
business advocacy function that is organizationally independent of the
procurement function at the National Laboratory or facility. The person
or office vested with the small business advocacy function shall--
(1) work to increase the participation of small business
concerns, including socially and economically disadvantaged
small business concerns, in procurements, collaborative
research, technology licensing, and technology transfer
activities conducted by the National Laboratory or facility;
(2) report to the Director of the National Laboratory or
facility on the actual participation of small business concerns
in procurements and collaborative research along with
recommendations, if appropriate, on how to improve
participation;
(3) make available to small business concerns training,
mentoring, and clear, up-to-date information on how to
participate in the procurements and collaborative research,
including how to submit effective proposals;
(4) increase the awareness inside the National Laboratory
or facility of the capabilities and opportunities presented by
small business concerns; and
(5) establish guidelines for the program under subsection
(b) and report on the effectiveness of such program to the
Director of the National Laboratory or facility.
(b) Establishment of Small Business Assistance Program.--The
Secretary shall direct the Director of each National Laboratory, and
may direct the Director of each facility the Secretary determines to be
appropriate, to establish a program to provide small business
concerns--
(1) assistance directed at making them more effective and
efficient subcontractors or suppliers to the National
Laboratory or facility; or
(2) general technical assistance, the cost of which shall
not exceed $10,000 per instance of assistance, to improve the
small business concern's products or services.
(c) Use of Funds.--None of the funds expended under subsection (b)
may be used for direct grants to the small business concerns.
SEC. 5. TECHNOLOGY PARTNERSHIPS OMBUDSMAN.
(a) Appointment of Ombudsman.--The Secretary shall direct the
Director of each National Laboratory, and may direct the Director of
each facility the Secretary determines to be appropriate, to appoint a
technology partnership ombudsman to hear and help resolve complaints
from outside organizations regarding each laboratory's policies and
actions with respect to technology partnerships (including cooperative
research and development agreements), patents, and technology
licensing. Each ombudsman shall--
(1) be a senior official of the National Laboratory or
facility who is not involved in day-to-day technology
partnerships, patents, or technology licensing, or, if
appointed from outside the laboratory, function as such a
senior official; and
(2) have direct access to the Director of the National
Laboratory or facility.
(b) Duties.--Each ombudsman shall--
(1) serve as the focal point for assisting the public and
industry in resolving complaints and disputes with the
laboratory regarding technology partnerships, patents, and
technology licensing;
(2) promote the use of collaborative alternative dispute
resolution techniques such as mediation to facilitate the
speedy and low-cost resolution of complaints and disputes, when
appropriate; and
(3) report, through the Director of the National Laboratory
or facility, to the Department annually on the number and
nature of complaints and disputes raised, along with the
ombudsman's assessment of their resolution, consistent with the
protection of confidential and sensitive information.
(c) Dual Appointment.--A person vested with the small business
advocacy function of section 4 may also serve as the technology
partnership ombudsman.
SEC. 6. STUDIES RELATED TO IMPROVING MISSION EFFECTIVENESS,
PARTNERSHIPS, AND TECHNOLOGY TRANSFER AT NATIONAL
LABORATORIES.
(a) Studies.--The Secretary shall direct the Laboratory Operations
Board to study and report to him, not later than one year after the
date of enactment of this section, on the following topics--
(1) the possible benefits from and need for policies and
procedures to facilitate the transfer of scientific, technical,
and professional personnel among National Laboratories and
facilities; and
(2) the possible benefits from and need for changes in--
(A) the indemnification requirements for patents or
other intellectual property licensed from a National
Laboratory or facility;
(B) the royalty and fee schedules and types of
compensation that may be used for patents or other
intellectual property licensed to a small business
concern from a National Laboratory or facility;
(C) the licensing procedures and requirements for
patents and other intellectual property;
(D) the rights given to a small business concern
that has licensed a patent or other intellectual
property from a National Laboratory or facility to
bring suit against third parties infringing such
intellectual property;
(E) the advance funding requirements for a small
business concern funding a project at a National
Laboratory or facility through a Funds-In-Agreement;
(F) the intellectual property rights allocated to a
business when it is funding a project at a National
Laboratory or facility through a Funds-In-Agreement;
and
(G) policies on royalty payments to inventors
employed by a contractor-operated National Laboratory
or facility, including those for inventions made under
a Funds-In-Agreement.
(b) Definition.--For the purposes of this section, the term
``Funds-In-Agreement'' means a contract between the Department and a
non-Federal organization where that organization pays the Department to
provide a service or material not otherwise available in the domestic
private sector.
(c) Report to Congress.--Not later than one month after receiving
the report under subsection (a), the Secretary shall transmit the
report, along with his recommendations for action and proposals for
legislation to implement the recommendations, to Congress.
SEC. 7. OTHER TRANSACTIONS AUTHORITY.
(a) New Authority.--Section 646 of the Department of Energy
Organization Act (42 U.S.C. 7256) is amended by adding at the end the
following new subsection:
``(g) Other Transactions Authority.--(1) In addition to other
authorities granted to the Secretary to enter into procurement
contracts, leases, cooperative agreements, grants, and other similar
arrangements, the Secretary may enter into other transactions with
public agencies, private organizations, or persons on such terms as the
Secretary may deem appropriate in furtherance of basic, applied, and
advanced research functions now or hereafter vested in the Secretary.
Such other transactions shall not be subject to the provisions of
section 9 of the Federal Nonnuclear Energy Research and Development Act
of 1974 (42 U.S.C. 5908).
``(2)(A) The Secretary of Energy shall ensure that--
``(i) to the maximum extent practicable, no transaction
entered into under paragraph (1) provides for research that
duplicates research being conducted under existing programs
carried out by the Department of Energy; and
``(ii) to the extent that the Secretary determines
practicable, the funds provided by the Government under a
transaction authorized by paragraph (1) do not exceed the total
amount provided by other parties to the transaction.
``(B) A transaction authorized by paragraph (1) may be used for a
research project when the use of a standard contract, grant, or
cooperative agreement for such project is not feasible or appropriate.
``(3)(A) The Secretary shall not disclose any trade secret or
commercial or financial information submitted by a non-Federal entity
under paragraph (1) that is privileged and confidential.
``(B) The Secretary shall not disclose, for five years after the
date the information is received, any other information submitted by a
non-Federal entity under paragraph (1), including any proposal,
proposal abstract, document supporting a proposal, business plan, or
technical information that is privileged and confidential.
``(C) The Secretary may protect from disclosure, for up to five
years, any information developed pursuant to a transaction under
paragraph (1) that would be protected from disclosure under section
552(b)(4) of title 5, United States Code, if obtained from a person
other than a Federal agency.''.
(b) Implementation.--Not later than six months after the date of
enactment of this section, the Department shall establish guidelines
for the use of other transactions. Other transactions shall be made
available, if needed, in order to implement projects funded under
section 3.
SEC. 8. CONFORMANCE WITH NNSA ORGANIZATIONAL STRUCTURE.
All actions taken by the Secretary in carrying out this Act with
respect to National Laboratories and facilities that are part of the
NNSA shall be through the Administrator for Nuclear Security in
accordance with the requirements of title XXXII of the National Defense
Authorization Act for Fiscal Year 2000.
SEC. 9. COOPERATIVE RESEARCH AND DEVELOPMENT AGREEMENTS FOR GOVERNMENT-
OWNED, CONTRACTOR-OPERATED LABORATORIES.
(a) Strategic Plans.--Subsection (a) of section 12 of the
Stevenson-Wydler Technology Innovation Act of 1980 (15 U.S.C. 3710a) is
amended by striking ``joint work statement,'' and inserting ``joint
work statement or, if permitted by the agency, in an agency-approved
annual strategic plan,''.
(b) Experimental Federal Waivers.--Subsection (b) of that section
is amended by adding at the end the following new paragraph:
``(6)(A) In the case of a Department of Energy laboratory,
a designated official of the Department of Energy may waive any
license retained by the Government under paragraph (1)(A), (2),
or (3)(D), in whole or in part and according to negotiated
terms and conditions, if the designated official finds that the
retention of the license by the Department of Energy would
substantially inhibit the commercialization of an invention
that would otherwise serve an important Federal mission.
``(B) The authority to grant a waiver under subparagraph
(A) shall expire on the date that is 5 years after the date of
the enactment of the National Defense Authorization Act for
Fiscal Year 2001.
``(C) The expiration under subparagraph (B) of authority to
grant a waiver under subparagraph (A) shall not effect any
waiver granted under subparagraph (A) before the expiration of
such authority.''.
(c) Time Required for Approval.--Subsection (c)(5) of that section
is amended--
(1) by striking subparagraph (C);
(2) by redesignating subparagraph (D) as subparagraph (C);
and
(3) in subparagraph (C) as so redesignated--
(A) in clause (i)--
(i) by striking ``with a small business
firm''; and
(ii) by inserting ``if'' after
``statement''; and
(B) by adding at the end the following new clauses:
``(iv) Any agency that has contracted with
a non-Federal entity to operate a laboratory
may develop and provide to such laboratory one
or more model cooperative research and
development agreements, for the purposes of
standardizing practices and procedures,
resolving common legal issues, and enabling
review of cooperative research and development
agreements to be carried out in a routine and
prompt manner.
``(v) A Federal agency may waive the
requirements of clause (i) or (ii) under such
circumstances as the agency considers
appropriate. However, the agency may not take
longer than 30 days to review and approve,
request modifications to, or disapprove any
proposed agreement or joint work statement that
it elects to receive.''.
SEC. 10. COOPERATIVE RESEARCH AND DEVELOPMENT OF THE NATIONAL NUCLEAR
SECURITY ADMINISTRATION.
(a) Objective for Obligation of Funds.--It shall be an objective of
the Administrator of the National Nuclear Security Administration to
obligate funds for cooperative research and development agreements (as
that term is defined in section 12(d)(1) of the Stevenson-Wydler
Technology Innovation Act of 1980 (15 U.S.C. 3710a(d)(1))), or similar
cooperative, cost-shared research partnerships with non-Federal
organizations, in a fiscal year covered by subsection (b) in an amount
at least equal to the percentage of the total amount appropriated for
the Administration for such fiscal year that is specified for such
fiscal year under subsection (b).
(b) Fiscal Year Percentages.--The percentages of funds appropriated
for the National Nuclear Security Administration that are obligated in
accordance with the objective under subsection (a) are as follows:
(1) In each of fiscal years 2001 and 2002, 0.5 percent.
(2) In any fiscal year after fiscal year 2002, the
percentage recommended by the Administrator for each such
fiscal year in the report under subsection (c).
(c) Recommendtions for Percentages in Later Fiscal Years.--Not
later than one year after the date of the enactment of this Act, the
Administrator shall submit to the congressional defense committees a
report setting forth the Administrator's recommendations for
appropriate percentages of funds appropriated for the National Nuclear
Security Administration to be obligated for agreements described in
subsection (a) during each fiscal year covered by the report.
(d) Consistency of Agreements.--Any agreement entered into under
this section shall be consistent with and in support of the mission of
the National Nuclear Security Administration.
(e) Reports on Achievement of Objective.--(1) Not later than March
30, 2002, and each year thereafter, the Administrator shall submit to
the congressional defense committees a report on whether funds of the
National Nuclear Security Administration were obligated in the fiscal
year ending in the preceding year in accordance with the objective for
such fiscal year under this section.
(2) If funds were not obligated in a fiscal year in accordance with
the objective under this section for such fiscal year, the report under
paragraph (1) shall--
(A) describe the actions the Administrator proposes to take
to ensure that the objective under this section for the current
fiscal year and future fiscal years will be met; and
(B) include any recommendations for legislation required to
achieve such actions.
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