(2) When technical information is supplied by one government to the other for information only, the recipient government undertakes to treat the information as disclosed in confidence and to use its best endeavors to ensure that the information is not dealt with in any manner likely to prejudice the rights of the owner to obtain patent or similar statutory protection.

(3) When technical information supplied by one government to the other discloses an invention which is the subject of a patent or patent application held in secrecy in the country of origin, the recipient government undertakes to accord similar treatment to a corresponding patent application filed in that country.

(4) When privately owned technical information is released by one government to the other and the recipient government uses or discloses the information, the owner shall, subject to the extent that the owner may be entitled thereto under the applicable law and subject to arrangements between the contracting governments regarding the assumption as between them of liability for compensation, receive prompt, just and effective compensation for such use and for any damages resulting from such use or disclosure.

(5) Each government is entitled to use for defense purposes without cost any invention which the other government (including government corporations) owns or to which it has the right to grant a license to use, except to the extent that there may be liability to any private owner of an interest in the invention.

(b) Each of these agreements establishes a Technical Property Committee, consisting of a representative of each contracting government, whose function it is to consider and make recommendations to the contracting governments on all matters relating to the subject of the agreement and to assist where appropriate in the negotiation of commercial or other agreements for the use of patent rights and technical information in the military assistance program.

(1) The Patent Advisor assigned to the Defense Staff of the U.S. Mission to the North Atlantic Treaty Organization and European Regional Organizations (USRO), Paris, France, is the United States representative to the Technical Property Committees in Europe. The J-4, Hq, United States Forces Japan, Tokyo, Japan is the United States repre

(2) These representatives receive policy guidance from the Department of Defense. The Assistant Secretary of Defense for International Security Affairs is responsible within the Department of Defense for transmitting such policy guidance through appropriate channels. Guidance transmitted for the United States representative in Europe shall be forwarded to the Defense Advisor, USRO; guidance transmitted for the United States representative in Japan shall be transmitted to the Commanding General, United States Forces Japan.

(c) Department of Defense problems arising in the United States in connection with the interchange of patent rights and privately owned technical information should be referred to the patent activity of the appropriate Military Department.

[25 F.R. 14456, Dec. 31, 1960, as amended at 26 F.R. 1993, Mar. 8, 1961; 26 F.R. 6479, July 19, 1961]

§ 264.4 Policy.

It is the policy of the Department of Defense to encourage and facilitate international interchanges of patent rights and technical information to further the common defense of the United States and friendly nations. In achieving this purpose, the following principles shall be observed.

(a) Classified military information shall be released only through Government channels and only when consistent with the National Disclosure Policy, or when approved as an exception to that policy.

(b) In accordance with the Congressional policy prescribed by section 413(a) of the Mutual Security Act of 1954, as amended (22 U.S.C. 1933(a)), and pursuant to the bilateral agreements referred to in § 264.3, commercial relationships shall be utilized whenever appropriate and to the maximum extent feasible in order to encourage the participation of private enterprise in the

Mutual Security Program, to relieve the Department of Defense of administrative burdens, and to reduce the costs to the United States of such interchanges.

(c) In accordance with section 414 of the Mutual Security Act of 1954, as amended (22 U.S.C. 1934), the utilization of commercial channels for the exportation of unclassified privately owned technical information relating to articles designated as arms, ammunition, and implements of war in the United States Munitions List shall be subject to the regulations issued by the Secretary of State pursuant to section 414 of the Mutual Security Act of 1954, as amended (22 U.S.C. 1934) (Title 22, Code of Federal Regulations, Chapter I, Subchapter M). (The term "technical

data" is used in those regulations to describe technical information relating to such articles).

(d) Technical information which might be privately owned may be released under paragraph (e) (1) or (2) of this section by Department of Defense Agencies to foreign governments if any one of the following conditions are met:

(1) The owner expressly consents to the proposed release;

(2) The United States, by contract or otherwise, has acquired or is entitled to acquire, the information under circumstances which permit the proposed release; or

(3) The Secretary of the Military Department concerned, or his designee, determines, under the authority of the Mutual Security Act of 1954, as amended, that:

(i) The exigencies of the requirement for release to further the common defense do not allow sufficient time to obtain the consent of the owner; or

(ii) The owner refuses consent and the best interests of the United States would be served by the release.

(e) In accordance with the provisions of the agreements referred to in § 264.3, the release to foreign governments by Department of Defense agencies of technical information which might be privately owned shall normally be in accord with the following two step procedure:

(1) Release for information only. (2) Permission for manufacture, or use, for defense purposes.

(f) (1) All technical information, whether privately owned or government owned, released to a foreign government by Department of Defense Agencies

shall be marked with the following restrictions:

1. This information is accepted for defense purposes only.

2. This information shall be accorded substantially the same degree of security protection as such information has in the United States.

3. This information shall not be disclosed to another country without the consent of the United States.

(2) When technical information which might be privately owned is released for information only, the restrictive marking shall also contain these additional notations:

4. This information is accepted upon the understanding that it might be privately

owned.

5. This information is accepted solely for the purpose of information and shall accordingly be treated as disclosed in confidence. The recipient Government shall use its best endeavors to ensure that the information is not dealt with in any manner likely to prejudice the rights of the private owner thereof to obtain patent or other like statutory protection therefor.

6. The recipient Government shall obtain the consent of the United States if it desires that this information be made available for manufacture, or use, for defense purposes.

(g) When technical information which might be privately owned is released under the procedures set forth herein, the owner, if known, shall be furnished: (1) Notice of the release;

(2) The identity of the recipient, if not contrary to security regulations;

(3) Notice that the recipient has been advised that the information might be privately owned; and

(4) Notice of the restrictions to which the release is subject.

§ 264.5 Claims for compensation.

(a) With respect to interchanges in furtherance of the purposes of the Mutual Security Act of 1954, as amended, section 506 of the Mutual Security Act of 1954, as amended (22 U.S.C. 1758) provides the exclusive remedy for compensation for infringement within the United States of a patent issued by the United States and for damage resulting from the disclosure by the United States of privately owned technical information.

(b) The Secretaries of the Military Departments are hereby authorized to exercise the power and authority conferred by section 506 of the Mutual Security Act of 1954, as amended (22 U.S.C. 1758) to enter into agreements with claimants in

full settlement and compromise of any claim against the United States thereunder, subject to such rules and regulations, if any, as the Secretary of Defense may promulgate from time to time. The Secretaries of the Military Departments are authorized to make successive redelegations in writing of this power and authority to any officer, employee, board or agent of their respective departments.

(c) Funds appropriated for military assistance pursuant to the Mutual Security Act of 1954, as amended, which have been made available to a Military Department may be used to settle claims under section 506 of the Mutual Security Act of 1954, as amended (22 U.S.C. 1758). In addition, in those cases where the provisions of 10 U.S.C. 2386 are applicable, funds appropriated for a Military Department available for making or procuring supplies may be used to settle such claims.

(b) The objectives and concept of this part are as follows:

(1) Scientific and technical information is a primary product of research and development activities. Effective handling of the scientific and technical information is an integral part of the work performed under R&D.

(2) Effective communication of scientific and technical information can be achieved, in part, by timely preparation and primary distribution of technical reports prepared by the organization performing the R&D. Handling of reports by receiving organizations can be simplified and improved if standard documentation procedures are adopted.

(3) Long-term availability of the scientific and technical information to scientists and engineers not included in the primary distribution of a technical report depends upon efficient, comprehensive systems for storage and retrieval of technical reports containing the scientific and technical information.

(4) Both the primary distribution of technical reports and the documentary processes for storage and retrieval of the reports can be made more efficient if all DOD technical reports adhere to a single standard for presentation of data used in descriptive cataloging and in the storage and retrieval of reports.

§ 265.2 Applicability and scope.

(a) The provisions of this part apply to the Military Departments and to other DoD components performing R&D. This part covers technical reports prepared by in-house laboratories, contractors, subcontractors, and grantees.

(b) Progress reports containing scientific and technical information of more than transient interest are included within the scope of this part as a special form of technical report; administrative and managerial progress reports are not included. However, the Document Control Data form provided in this part may be used in any report where subsequent storage and retrieval or bibliographic control is desirable.

(c) It is not intended that the provisions of this part affect the content, mode of presentation, or editorial style of the technical report.

technical activities relating to a single project, task, or contract or relating to a small group of closely connected efforts within the DoD R&D program.

(b) An "abstract" is a brief and factual summary of a document. An indicative abstract tells what the author wrote about. It refers to the purpose, the method, the results, and the conclusions. For documentation purposes, it is highly desirable that the abstract of classified reports be unclassified. Therefore, the abstract should include only descriptive statements with the lowest possible security classification.

(a) Internal technical reports. All DoD components responsible for R&D work shall arrange for inclusion of a DD Form 1473,2 Document Control Data-R&D, in each copy of all technical reports issued on work performed in DoD laboratories and offices.

(b) Contractor, subcontractor, and grantee technical reports. (1) All DoD scientific, technical and/or military personnel responsible for the management and direction of R&D work shall indicate in their statement of procurement requirements that a completed DD Form 1473 shall be included in each copy of all technical reports prepared by their contractors, subcontractors, and grantees.

(2) Section 4.211 of this chapter specifies this requirement. Failure to include the Form 1473 in DoD scientific and technical reports shall bring into effect the provisions of § 9.207 of this chapter. § 265.5

Standards for documentation of technical reports.

(i) Reproduced text material will be in the form of black characters on white opaque paper.

(ii) Halftones will be kept at an absolute minimum consistent with the communication of technical information; black-and-white linework is preferred. Linework will be sharp and clear, of consistent density, and reproduced on white opaque paper. Color will be used only when it serves a functional purpose.

(iii) Material presented in the form of charts, tables, or graphs will appear in a final reproduced size large enough to be clearly legible. Graph coordinate rulings or grid lines will be spaced as far apart as practical.

(b) Document control data-R&D. DD Form 1473 will be completed and provided as the last pages of each DoD technical report. Instructions for preparation (including Item 10, "Distribution Statements," in accordance with DoD Directive 5200.20)1, are contained on the form.

(c) Optional data. (1) If possible, the important terms (key words) shall have their roles and weights listed under the column headings “A," "B," and "C" which in turn shall refer to paragraphs in the Abstract.

(2) The "role indicators" shall be numbered from 0 (zero) through 10 (ten) and shall have the following meanings:

(i) (a) The term indexed in Role 8 represents the concept of primary importance in an intellectual relationship of ideas in a document. If there are a number of such intellectual relationships, there may be a number of terms in Role 8. When Role 8 is used on a number of terms to describe the intellectual relationships in a document, indexers must be certain that they determine if all of them can be used in one link or whether two or more links must be used to prevent false retrieval. Once the indexer has determined what term or terms should properly be assigned Role 8, selecting other terms and their proper roles will follow logically. The term(s) in Role 8 is the key idea in an indicative abstract statement of document content.

(b) Role 8 has the following meanings: The primary topic of consideration is; the principal subject of discussion is; the subject reported is; the major topic under discussion is; there is a description of.

1 See footnote 1 on page 400.

(ii) (a) Role 1 is used on terms for materials, devices, apparatus, and equipment which are subjected to processes or operations which modify or change the original identity, composition, configuration, molecular structure, physical state, or physical form of the materials. To be indexed in Role 1, one or more of these characteristics or properties must be changed.

(b) Role 1 is used on a form of energy when the purpose of the operation or system is to change the form of energy.

(c) Role 1 is used on terms for data and data quantities which are inputs to mathematical operations and systems.

(iii) (a) Role 2 is used on terms for materials, alloys, mixtures, devices, equipment, apparatus produced in a process, operation, or system in which materials in Role 1 have had one or more of the following changed or modified: Original identity, composition, configuration, molecular structure, physical state, or physical form.

(b) Use Role 2 on data and data quantities derived in a mathematical process or operation from input data indexed in Role 1.

(c) Use Role 2 on a form of energy to which a form of energy in Role 1 has been converted.

(iv) Role 3 has the following meanings: Undersirable component; waste; scrap; rejects (manufactured devices); contaminant; impurity, pollutant, adulterant, or poison in inputs, environments, and materials passively receiving actions; undersirable material present; unnecessary material present; undesirable product, byproduct, coproduct.

(v) Role 4 is used primarily when a material, mixture, device, etc., is being manufactured, produced, fabricated, or is passively receiving an operation or process, and the content or intent of the information points out how or in what situation or manner it can be or is subsequently used.

(vi) (a) Terms in Role 5 represent only materials present in or introduced into an operation, process, or other material, for the purpose of facilitating completion of the operation or process or to improve the qualities, conditions, or characteristics of the other material.

(b) Materials in Role 5 describe the gas, liquid, or solid in which or on which other materials are processed or operated. Role 5 materials may be present with input materials but are not themselves inputs in the sense of Role 1. In

this sense they are "inert" or "neutral."

(c) Role 5 has the following meanings: Environment; medium; atmosphere; solvent; carrier (material); support (in a process or operation); vehicle (material); host; absorbent, adsorbent.

(vii) (a) Role 6 is used primarily on terms which represent properties, conditions, qualities, and characteristics serving as causes (independent variables). It may be used on terms for processes, operations, and systems to indicate how using or not using a process, operation, or system affects something in Role 7.

(b) Role 6 may be used on terms such as performance, reliability, and dependability, as qualities or influencing factors of equipment, devices, and apparatus.

(c) When two variables alternately or simultaneously affect each other, index both in Role 6 and in Role 7.

(viii) Role 7 is used almost exclusively on terms representing effects (dependent variables), including concepts such as characteristics, qualities, conditions, and properties as well as terms which describe the ability of materials or devices to do something or to have something done to them.

(ix) Role 9 has the following meanings: Passively receiving an operation or process with no change in identity, composition, configuration, molecular structure, physical state, or physical form; possession such as when preceded by the preposition of, in, or on meaning possession; location such as when preceded by the prepositions in, on, at, to, or from meaning location; used with months and years when they locate information (not bibliographic data) on a time continuum.

(x) Role 10 is used to denote means to accomplish the primary topic of consideration or other objective, such as devices, equipment, apparatus, operations, processes, methods, procedures, techniques, test methods, analytical methods, process conditions (if quantified), materials, classes of uses of materials, forms of energy, and inspection methods.

(xi) (a) Role 0 is used with bibliographic or source-identifying data. These are terms such as personal names of authors, corporate authors, dates of publication, and terms which describe the types of documents and which do not describe the informational content of the document.