02-18

Procurement Information Circular


September 25, 2002

NEW TECHNOLOGY REPORTING

 

PURPOSE:  To recapitulate the interrelated requirements for contract clauses, COTR delegated duties, contract reports, and compliance reviews in new technology identification.  These procurement "tools" are used in most R&D contracts to support NASA's technology commercialization mission.

 

BACKGROUND:  One of NASA's goals is to provide the widest practicable and appropriate dissemination, early utilization, expeditious development, and continued availability of NASA funded and developed technology for the benefit of the United States scientific, industrial, and commercial communities and the general public.  Many commercially valuable technological advances have resulted from innovations developed under NASA funding agreements.  In order for NASA to achieve this goal, NASA must be able to identify and monitor such technologies, and assert intellectual property rights if appropriate. Therefore, technology reporting requirements have been established for contracts, grants, and cooperative agreements.

 

GUIDANCE:

   1.   The "NASA Technology Commercialization Process" (NPG 7500.1) was issued on December 20, 2001.  Contracting Officer Technical Representative and New Technology Representative responsibilities are described in The New Technology Reporting Process (Appendix B).

 

   2.   Contractor responsibilities for reporting inventions are included in their contracts.  Generally, the clauses "Designation of New Technology Representative and Patent Representative" (1852.227-72), and either "New Technology" (NFS 1852.227-70) or "Patent Rights-Retention by the Contractor (Short Form)" (FAR 52.227-11/NFS 1852.227-11), are used, depending on whether the contractor is large or small/nonprofit.  (Detailed prescriptions are at NFS 1827.303-70.) 

 

   3.   The alternative clauses, "New Technology" or "Patent Rights-Retention by the Contractor (Short Form)", require that contractors provide NASA with detailed disclosures of all reportable items or subject inventions made in performance of work under the contract using NF 1679, Disclosure of Invention and New Technology (Including Software) or an equivalent form.  They also require interim reports every 12 months and a final report prior to closeout.  Interim and final reports contain a list of all subject inventions or reportable items made during the reporting period or a certification that none were made.  

 

4.   The clause “Designation of New Technology Representative and Patent Representative” (1852.227-72), required in every contract that includes one of the alternative clauses listed in paragraph 3, identifies the center’s New Technology Representative and directs the contractor to submit disclosures of reportable items or subject inventions, interim and final reports to him. The New Technology Representative is the Technology Utilization Officer (1827.303-70(d)) or Technology Transfer Officer (NPG 7500.1 App. B) or the staff member (by titled position) having cognizance of technology utilization matters for the installation concerned.

 

   5.   In accordance with NPG 7500.1 App. B, the Contracting Officer's Technical Representative (COTR) or Program Manager (if necessary) are responsible for supporting the New Technology Representative in determining whether contractor reports are acceptable and timely.  This responsibility should be reflected in the delegation of COTR responsibility (NF 1634 item "m".)

 

   6.   The Contracting Officer shall not approve release of final payment under the contract and, if applicable, any reserve set aside under the withholding provisions of the clause for deficiencies and delinquent reporting not corrected as of the time of the submission of the final report by the contractor until receipt of the New Technology Representative's certification of compliance, and the Patent Representative's concurrence.

 

EFFECTIVE DATE:  This PIC is effective as dated and shall remain in effect until

September 25, 2003.

 

HEADQUARTERS CONTACT:  Patrick Flynn, Code HK, 202-358-0478, email: patrick.flynn@hq.nasa.gov.

 

 

 

R. Scott Thompson

Director, Contract Management Division