![](media/image1.pct){width="2.0in" height="1.6569444444444446in"}

**Office of Aerospace Technology**

**Office Work Instruction**

**INVENTIONS AND CONTRIBUTIONS BOARD STAFF**

**OPERATIONS AND PROCEDURES**

Approved by: \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Samuel L. Venneri

Associate Administrator for

Aerospace Technology

# DOCUMENT HISTORY LOG

+---------+--------+--------+-----------------------------------------+
| Status  | Doc    | Eff    | Description                             |
|         | u-ment | ective |                                         |
| (Ba     |        |        |                                         |
| seline/ | Re     | Date   |                                         |
|         | vision |        |                                         |
| Re      |        |        |                                         |
| vision/ |        |        |                                         |
|         |        |        |                                         |
| Ca      |        |        |                                         |
| nceled) |        |        |                                         |
+---------+--------+--------+-----------------------------------------+
| B       |        | 1      |                                         |
| aseline |        | /11/00 |                                         |
+---------+--------+--------+-----------------------------------------+
| R       | A      | 4      | Revisions reflect review of HQOWI to    |
| evision |        | /26/00 | address Pre-Assessment Audit of Feb     |
|         |        |        | 2000, as follows: (1) editorial         |
|         |        |        | updates, (2) flow chart modifications.  |
+---------+--------+--------+-----------------------------------------+
| Admin   | A      | 8/2/00 | Administrative Update to change the     |
| Update  |        |        | Responsible Office from Code I to Code  |
|         |        |        | R due to this function being            |
|         |        |        | transferred to Code R. Updated the      |
|         |        |        | cover page header and gave the document |
|         |        |        | a new number. Old number was I018.      |
+---------+--------+--------+-----------------------------------------+
| R       | B      | 1      | Revision to change Approved by from     |
| evision |        | 1/6/00 | Code I to Code R and also to delete OER |
|         |        |        | from definitions and replace with OAT.  |
|         |        |        | This change also updates the actionee   |
|         |        |        | list in Section 6 and changes the       |
|         |        |        | location in Section 7 to RI.            |
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1.  **Purpose**

> The Inventions and Contributions Board (ICB) was created when NASA was
> founded in 1958 and is directed by law under the National Aeronautics
> and Space Act of 1958, as amended. In compliance with the Space Act,
> Section 306, the ICB makes recommendations to the Administrator for
> awards not to exceed \$100,000 for contributions that are significant
> to aeronautics and space activities that are supported, adopted,
> promoted, or used by NASA. The ICB rewards excellence in scientific
> and technological contribution and also rewards contributors who have
> approval for publication of technology summaries in *NASA Tech
> Briefs,* approval for patent applications, or have been approved for
> release of their software by NASA Center Releasing Authority in
> accordance with NPG 2210.1. The awards are issued to employees of NASA
> and its contractors, as well as to other government, university, and
> industry personnel. Section 305(b) of the Space Act provides that the
> ICB transmit to the Administrator its findings of fact and
> recommendations with respect to each proposal for waiver of rights to
> any invention or class of inventions which may be made in the
> performance of work required by any NASA contract. The purpose of the
> HQOWI is to outline the Space Act award and patent waiver processes
> performed by the ICB staff.

2.  **Scope and Applicability**

    1.  This HQOWI covers Inventions and Contributions Staff Office
        process performed in Office of Aerospace Technology.

    2.  These procedures outline ICB operations, procedures, and
        guidelines. In addition, these procedures contain the Board\'s
        staff process and also process and procedures for staffing Board
        action awards, Automatic awards (*NASA Tech Briefs*, patent
        applications, and software dissemination awards), and patent
        waivers. The ICB is covered under the Code of Federal
        Regulations Title 14 CFR Part 1209.4 and Part 1240.1, and the
        patent waiver regulations are identified in Title 14 CFR Part
        1245.1.

.

3.  The NASA Chief Engineer chairs the ICB. The Board membership
    consists of the Chair and up to fourteen Board members. The members
    are selected from various disciplines from NASA Headquarters and the
    Centers. The individual members are very highly qualified personnel
    in the fields of science, technology, engineering, software
    development, and business and legal aspects of innovations within
    the government and industry. The ICB Chair selects the Board members
    with concurrence of the Administrator.

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3.  **Definitions**

    1.  [ALO]{.underline}. Award Liaison Officer

    2.  [CTO]{.underline}. Commercial Technology Office

    3.  [FF&R]{.underline}. Finding of Fact and Recommendation

    4.  [ICB]{.underline}. Inventions and Contributions Board - The ICB
        was established by the 1958 Space Act with the provision that
        the Administrator is authorized, in such amount and upon such
        terms as he shall determine to be warranted, to any person for
        any scientific or technical contribution to NASA which is
        determined by the Administrator to have significant value in the
        conduct of aeronautical and space activities. The ICB is
        empowered to make recommendations to the Administrator the terms
        of any awards made to persons who have applied for a Space Act
        award. The Space Act also provides that the ICB transmit to the
        Administrator its findings of fact and recommendations with
        respect to each proposal for waiver of rights to any invention
        or class of inventions which may be made in the performance of
        work required by any NASA contract.

    5.  [I/W]{.underline}. Instrument of Waiver

    6.  [Monetary Awards Analysis Form]{.underline}. A form used for
        Space Act Award analysis to provide a numerical weighting system
        relative to significance, development, usage, and creativity.

    7.  [NF 163]{.underline}. Procurement Request

    8.  [NF 1329]{.underline}. Space Act Award Application

    9.  [NF 1523]{.underline}. Waiver Questionnaire - Technical
        Evaluation (Advanced Waiver)

    10. [NF 1524]{.underline}. Waiver Questionnaire - Technical
        Evaluation (Invention Waiver)

3.11 [NF 1546]{.underline}. Combined Inventions & Contributions Board
Automatic awards

(Tech Briefs)

3.12 [NF 1548]{.underline}. Combined Inventions & Contributions Board
Automatic awards

(Patent)

3.13 [NF 1661]{.underline}. Combined Inventions & Contributions Board
Automatic awards

(Software)

3.14 [NHQDF 622]{.underline}. Inventions and Contributions Board Award
Check Receipt

3.15 [OAT]{.underline}. Office of Aerospace Technology

16. [Patent Waiver Panel]{.underline}. The Patent Waiver Panel Consists
    of the Counsel to the Inventions and Contributions Board, two Board
    Members, Director of ICB Staff, and ICB Staff Senior Technologist.

**4. References**

4.1 National Aeronautics and Space Act of 1958, as amended, Section
305(f) and Section 306

2.  Code of Federal Regulations - 14 CFR Part 1209.4 (Inventions and
    Contributions Board)

3.  Code of Federal Regulations - 14 CFR Part 1240.1 (Inventions and
    Contributions)

4.  Code of Federal Regulations - 14 CFR Part 1245.1 (Patent Waiver
    Regulations)

5.  NPD-2210.1 External Release of NASA Software

6.  NPD-2091.1 Inventions Made by Government Employees

7.  NPD-2092.1 Royalties and Other Payments by NASA from the Licensing

of Patent and Patent Applications

8.  NPD-2820.1 NASA Software Policies

9.  NPG-2210.1 External Release of NASA Software

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5.  **Flowchart**

![](media/image2.wmf)

![](media/image3.wmf)

![](media/image4.wmf)

![](media/image5.wmf)

![](media/image6.wmf)

**6. Procedures**

The ICB meets bi-monthly to recommend contributions for monetary awards.
The Board is a voting body with the majority prevailing, and in the case
of a tie, the Chair casts the deciding vote. The Board requires a quorum
to approve an award and, as a standard operating policy of the Board,
members who have a significant personal relationship with a contributor
of an award case will be recused. The Board\'s review material will be
prepared by the ICB staff and each award case which has at least one
contributor marked to receive more than \$1,000 will be presented to the
Board with recommendations for approval or disapproval and a recommended
monetary value. Summaries of cases of lesser value will also be provided
to the Board without presentation.

The awards process is a highly structured process for dealing with
inventions, NASA *Tech Briefs,* patent applications, software
dissemination, and patent waivers. The process is outlined in the
following.

**Board Action Awards: Figure 5A**

+-----+---------------+------------------------------------------------+
| ##  | ## Actionee   | ## Action                                      |
|  St |               |                                                |
| ep  |               |                                                |
+-----+---------------+------------------------------------------------+
| 6.1 | ICB Program   | Cases received from the Centers or JPL usually |
|     |               | involve an invention or a software             |
|     | Specialist    | development. The case files consist of NF-1329 |
|     |               | with supporting documentation, signed by the   |
|     |               | Center Awards Liaison Officer (ALO). Each case |
|     |               | is logged with number, title, and filed by     |
|     |               | Center.                                        |
+-----+---------------+------------------------------------------------+
| 6.2 | ICB Staff     | All cases are investigated and verified for    |
|     | Director      | completeness and accuracy of information.      |
+-----+---------------+------------------------------------------------+
| 6.3 | ICB Senior    | Each case is evaluated from information        |
|     | Technologist  | provided, and additional information may be    |
|     |               | obtained during the investigation from         |
|     |               | industry or other Centers. Based on the        |
|     |               | evaluation, an \"ICB Monetary Award Analysis   |
|     |               | Form\" is filled out and provides a numerical  |
|     |               | score for the significance, development, use,  |
|     |               | and creativity of the contribution and         |
|     |               | incorporated into the case file. Add award     |
|     |               | analysis to case file.                         |
+-----+---------------+------------------------------------------------+
| 6.4 | ICB Program   | A Board package is assembled including an      |
|     |               | agenda, patent waivers, and Board action       |
|     | Specialist    | awards. The Board package is sent to the Board |
|     |               | members approximately two weeks prior to the   |
|     |               | Board meeting.                                 |
+-----+---------------+------------------------------------------------+
| 6.5 | ICB Technical | During the Board meeting the ICB technical     |
|     | Staff         | staff presents each case to the members. The   |
|     |               | Board decides whether to accept the staff      |
|     |               | recommendation or to change the amount of the  |
|     |               | recommended award.                             |
+-----+---------------+------------------------------------------------+
| 6.6 | Board         | The Board Secretary records the Board          |
|     | Secretary     | proceedings and documents all decisions and    |
|     |               | actions in board minutes. The monetary award   |
|     |               | values for each case are sent to the           |
|     |               | respective Award Liaison Officers at the       |
|     |               | Centers via e-mail.                            |
+-----+---------------+------------------------------------------------+
| 6.7 | ICB Program   | The ICB Program Specialist sends Word          |
|     |               | diskettes with the title of the contribution   |
|     | Specialist    | and the names of the recipient to Headquarters |
|     |               | Correspondence Management Office and           |
|     |               | Documentation Services to be incorporated on   |
|     |               | the pre-printed exceptional certificates.      |
+-----+---------------+------------------------------------------------+
| 6.8 | ICB Program   | The ICB Program Specialist prepares the case   |
|     |               | approval package for the Administrator\'s      |
|     | Specialist    | signature, which provides the recommendation   |
|     |               | of the ICB for award determination.            |
+-----+---------------+------------------------------------------------+
| 6.9 | ICB Program   | Upon authorization and approval by the         |
|     |               | Administrator the award determination is       |
|     | Specialist    | prepared and electronically forwarded through  |
|     |               | the ICB Director and the Chair of the ICB for  |
|     |               | concurrence and approval. The signed approval  |
|     |               | package is entered into the Case File for      |
|     |               | completion.                                    |
+-----+---------------+------------------------------------------------+
| 6   | ICB Program   | MSFC receives report for Space Act award       |
| .10 |               | distribution.                                  |
|     | Specialist    |                                                |
+-----+---------------+------------------------------------------------+

**Automatic Awards for NASA *Tech Briefs,* Patent Applications, and
Software Dissemination Awards: Figure 5B**

+-----+---------------+------------------------------------------------+
| 6.1 | ICB Staff     | The Centers provide a list of NASA *Tech       |
|     | Specialist    | Briefs,* published patent applications, and    |
|     |               | software approved for release by the NASA      |
|     |               | Center releasing authority. These lists are    |
|     |               | submitted on the following forms               |
|     |               |                                                |
|     |               | \- NASA *Tech Briefs* and software             |
|     |               | dissemination award recommendations are        |
|     |               | provided from the Commercial Technology Office |
|     |               | at each Center, and submitted on NASA          |
|     |               | Form-1546 and 1661 respectively.               |
|     |               |                                                |
|     |               | -Patent applications awards are submitted from |
|     |               | the Awards Liaison Officer on NASA Form-1548.  |
|     |               | Each award list is date stamped and filed.     |
+-----+---------------+------------------------------------------------+
| 6.2 | ICB Staff     | All awards requested are investigated and      |
|     | Specialist    | verified for accuracy and completeness of      |
|     |               | information. All automatic awards lists should |
|     |               | contain the following information:             |
|     |               |                                                |
|     |               | \- Appropriate signature                       |
|     |               |                                                |
|     |               | -   The proper box checked identifying which   |
|     |               |     automatic award type.                      |
|     |               |                                                |
|     |               | -   Complete name(s) list with case number     |
|     |               |                                                |
|     |               | -   Title of contribution                      |
|     |               |                                                |
|     |               | \- Social security number of all individuals   |
|     |               |                                                |
|     |               | \- Home address                                |
|     |               |                                                |
|     |               | -   Company name or government affiliation     |
|     |               |                                                |
|     |               | -   Government/Non-Government                  |
+-----+---------------+------------------------------------------------+
| 6.3 | ICB Staff     | If forms are incomplete, additional            |
|     | Specialist    | information will be requested from the Award   |
|     |               | Liaison Officer or the Commercial Technology   |
|     |               | Officer at the Center/JPL.                     |
+-----+---------------+------------------------------------------------+
| 6.4 | ICB Staff     | The ICB Staff Specialist sends a Word diskette |
|     | Specialist    | with the title of the contribution and the     |
|     |               | name(s) of the recipient to Documentation      |
|     |               | Services to be incorporated on the pre-printed |
|     |               | certificates.                                  |
+-----+---------------+------------------------------------------------+
| 6.5 | ICB Staff     | Individual Procurement Requests (PR) (NF-163)  |
|     | Specialist    | are prepared for NASA *Tech Briefs*, patent    |
|     |               | applications, and software dissemination. All  |
|     |               | PR\'s are electronically forwarded through the |
|     |               | ICB Director for approval. The PR\'s are also  |
|     |               | forwarded to the appropriate Managers of Fund  |
|     |               | Source (FS-41) and (FS-43) in the Office of    |
|     |               | Headquarters Operations for approval.          |
+-----+---------------+------------------------------------------------+
| 6.6 | ICB Staff     | The PR, approval sheet, and a copy of the      |
|     | Specialist    | automatic award list are forwarded to the      |
|     |               | Chair of the ICB for signature.                |
+-----+---------------+------------------------------------------------+
| 6.7 | ICB Staff     | The approved PR, approval sheet, and a copy of |
|     | Specialist    | the automatic award list are forwarded to      |
|     |               | Payroll (Code C) for issuance of award checks. |
+-----+---------------+------------------------------------------------+
| 6.8 | ICB Staff     | The ICB Staff Specialist will prepare a        |
|     | Specialist    | transmittal letter for the ICB Staff           |
|     |               | Director\'s signature. The letter is addressed |
|     |               | to the Award Liaison Officer at the Center(s)  |
|     |               | or JPL and will contain the following          |
|     |               | enclosures: (a) award checks, (b)              |
|     |               | certificates, (c) list of recipients, and (d)  |
|     |               | NASA Headquarters Division Form 622.           |
+-----+---------------+------------------------------------------------+
| 6.9 | ICB Staff     | The transmittal letter will be signed and      |
|     | Director/ICB  | forwarded to the Centers or JPL Award Liaison  |
|     | Staff         | Officer for presentation to the recipient(s).  |
|     | Secretary     | The NASA Headquarters Division Form 622 is to  |
|     |               | be completed and returned to the ICB office.   |
|     |               | The completed receipt form is filed with the   |
|     |               | transmittal letter.                            |
+-----+---------------+------------------------------------------------+

**Patent Waiver Applications: Figure 5C**

+-----+---------------+------------------------------------------------+
| 6.1 | ICB Staff     | The petition for waiver is received from the   |
|     | Specialist    | contractor (petitioner). The letter for        |
|     |               | petition may come directly from the petitioner |
|     |               | or through the Center/JPL Patent Counsel       |
|     |               | Office. A patent waiver case file is prepared  |
|     |               | and assigned a waiver number. All              |
|     |               | correspondence relating to the petition is     |
|     |               | filed in the Patent Waiver Case File. All      |
|     |               | pertinent information is also logged into the  |
|     |               | patent waiver database for tracking the status |
|     |               | of the case throughout the process and         |
|     |               | reporting purposes.                            |
|     |               |                                                |
|     |               | The petition for waiver is reviewed to ensure  |
|     |               | that it contains the following information:    |
|     |               |                                                |
|     |               | -Place of business, address, phone number,     |
|     |               | business counsel contact and/or party with     |
|     |               | whom the Board will communicate;               |
|     |               |                                                |
|     |               | -Signature of the business representative and  |
|     |               | date of the petition;                          |
|     |               |                                                |
|     |               | -A citation to the Patent Waiver Regulations   |
|     |               | (CFR 1245.1 under which the petition is        |
|     |               | submitted, i.e.,                               |
|     |               |                                                |
|     |               | (1245.104) Advance Waivers, (1245.105) Waivers |
|     |               | after reporting inventions, and (1245.106)     |
|     |               | Waiver of Foreign Rights and a designation of  |
|     |               | countries;                                     |
|     |               |                                                |
|     |               | -If the petitioner is an employee inventor of  |
|     |               | the contractor and does the contractor object  |
|     |               | to the petition; and                           |
|     |               |                                                |
|     |               | -Is the petitioner an entity of or under the   |
|     |               | control of a foreign government.               |
|     |               |                                                |
|     |               | The petition for waiver should also include:   |
|     |               |                                                |
|     |               | -The NASA Center's Patent Counsel cover memo   |
|     |               | with comments relative to the petition;        |
|     |               |                                                |
|     |               | -The Contract Specialist's request letter;     |
|     |               |                                                |
|     |               | -A Waiver Questionnaire -- Technical           |
|     |               | Evaluation, (Invention Waiver), NASA Form      |
|     |               | 1524, or (Advance Waiver), NASA Form 1523; and |
|     |               |                                                |
|     |               | -A Statement of Work for an Advance Waiver or  |
|     |               | an Invention Disclosure for an Identified      |
|     |               | Waiver.                                        |
+-----+---------------+------------------------------------------------+
| 6.2 | ICB Staff     | If complete, go to step 6.4. If incomplete, go |
|     | Specialist    | to step 6.3.                                   |
+-----+---------------+------------------------------------------------+
| 6.3 | ICB Staff     | If petition for waiver is not complete,        |
|     | Specialist    | additional information is requested from the   |
|     |               | Center Patent Counsel or the petitioner. All   |
|     |               | additional information provided is entered     |
|     |               | into the patent waiver case file and database. |
+-----+---------------+------------------------------------------------+
| 6.4 | ICB Staff     | The ICB Staff Specialist in conjunction with   |
|     | Specialist/   | ICB Counsel will identify special conditions   |
|     |               | to a requested patent waiver. Examples of      |
|     | ICB Counsel   | waivers subject to special conditions include: |
|     |               |                                                |
|     |               | -All waivers being requested from participants |
|     |               | in the High Speed Civil Transport (HSCT), High |
|     |               | Speed Research (HSR), or the Advanced Subsonic |
|     |               | Technology (AST) Programs, and those alike, in |
|     |               | which the contract has a Limited Exclusive     |
|     |               | Rights Data clause (LERD). The requirement is  |
|     |               | that they share the technical data among all   |
|     |               | members of the group;                          |
|     |               |                                                |
|     |               | -All waivers that have a Government employee   |
|     |               | as a co-inventor; and                          |
|     |               |                                                |
|     |               | -All waivers with joint petitioners.           |
+-----+---------------+------------------------------------------------+
| 6.5 | ICB Staff     | If special conditions are required, go to step |
|     | Specialist    | 6.6. If not go to step 6.7.                    |
+-----+---------------+------------------------------------------------+
| 6.6 | ICB Staff     | Special condition statements will be prepared  |
|     | Specialist    | for inclusion in the Findings of Fact and      |
|     |               | Recommendations (FF&R) and in the Reservations |
|     |               | paragraph in the Instrument of Waiver (I/W).   |
|     |               | Special conditions statement language          |
|     |               | includes:                                      |
|     |               |                                                |
|     |               | -The waiver recipient agrees that it is        |
|     |               | required to license inventions under the       |
|     |               | waiver to other HSR/AST Industry Team members  |
|     |               | for a reasonable royalty;                      |
|     |               |                                                |
|     |               | -Notwithstanding any other provision in this   |
|     |               | Instrument of Waiver, when a Government        |
|     |               | employee is a co-inventor on the invention     |
|     |               | covered by this Instrument of Waiver, then the |
|     |               | waiver recipient and the United States         |
|     |               | Government shall be co-owners of the           |
|     |               | invention. As co-owners, both parties agree to |
|     |               | negotiate in good faith with respect to (1)    |
|     |               | the cost of obtaining and maintaining any      |
|     |               | patent, (2) the exploitation of the invention  |
|     |               | (including the possibility of providing        |
|     |               | exclusive rights to the waiver recipient), and |
|     |               | (3) the sharing of any licensing revenue.      |
|     |               |                                                |
|     |               | Nevertheless, if both parties fail to agree,   |
|     |               | then each co-owner may act separately to the   |
|     |               | extent permitted by law.                       |
|     |               |                                                |
|     |               | -Note: A single representative for purposes of |
|     |               | notice and reporting has been designated for   |
|     |               | the joint petitioner and I/W provides          |
|     |               | specifically that licenses will be executed by |
|     |               | both entities.                                 |
+-----+---------------+------------------------------------------------+
| 6.7 | ICB Staff     | Prepare a draft patent waiver package that     |
|     | Specialist    | includes: a cover letter, the FF&R's, I/W, and |
|     |               | an addendum of foreign countries from the      |
|     |               | completed petition for waiver.                 |
+-----+---------------+------------------------------------------------+
| 6.8 | ICB Senior    | Examine applications for accuracy of technical |
|     | Technologist  | description and that it adequately describes   |
|     |               | the innovation. If the description is          |
|     |               | inaccurate, the ICB Senior Technologist will   |
|     |               | contact the Center Technical Evaluator and/or  |
|     |               | petitioner for clarification.                  |
+-----+---------------+------------------------------------------------+
| 6.9 | ICB Staff     | Prepare Patent Waiver Action sheet that lists  |
|     | Specialist    | all waivers ready for Waiver Panel/Board       |
|     |               | review. The action sheet will include: waiver  |
|     |               | no., Center/JPL, case no., petitioner, title,  |
|     |               | and recommendation for grant or denial. Also,  |
|     |               | prepare the Patent Waiver Case Summaries that  |
|     |               | list descriptions of the inventions for Waiver |
|     |               | Panel/Board review. The documents are filed in |
|     |               | the ICB Patent Waiver Actions' Binder for      |
|     |               | reporting purposes.                            |
+-----+---------------+------------------------------------------------+
| 6   | ICB Staff     | Forward e-mail patent waiver case summaries to |
| .10 | Specialist    | the Waiver Panel for consideration and         |
|     |               | recommendation.                                |
+-----+---------------+------------------------------------------------+
| 6   | ICB Panel     | The Waiver Panel reviews the e-mailed patent   |
| .11 | Members       | waiver case summaries and forwards their       |
|     |               | recommendations for granting or denial to the  |
|     |               | ICB Staff Specialist.                          |
+-----+---------------+------------------------------------------------+
| 6   | ICB Staff     | Upon receipt of the Waiver Panel               |
| .12 | Specialist    | recommendation on the summaries of the         |
|     |               | petition for waiver, the ICB Staff Specialist  |
|     |               | will add these recommendations to the draft    |
|     |               | waiver package.                                |
+-----+---------------+------------------------------------------------+
| 6   | ICB Staff     | The patent waiver packages are forwarded to    |
| .13 | Specialist    | the ICB Chair for review.                      |
+-----+---------------+------------------------------------------------+
| 6   | Board         | The Board considers the Waiver Panel's         |
| .14 | Secretary     | recommendations and votes for grant or denial. |
|     |               | Based on the Panel\'s recommendation, the ICB  |
|     |               | Chair signs the FF&R and cover letter. The ICB |
|     |               | Secretary prepares the minutes that document   |
|     |               | the decisions of the Board's actions.          |
+-----+---------------+------------------------------------------------+
| 6   | Board         | If the Board recommends denial, go to step     |
| .15 | Secretary     | 6.16; if it grants, go to step 6.17.           |
+-----+---------------+------------------------------------------------+
| 6   | ICB Staff     | The ICB Staff Specialist prepares a denial     |
| .16 | Specialist    | letter with a statement of the grounds for     |
|     |               | denial in coordination with ICB Counsel. The   |
|     |               | letter is signed by the ICB Chair. The ICB     |
|     |               | Staff Specialist sends a letter to the         |
|     |               | Petitioner with copies to appropriate          |
|     |               | Center/JPL.                                    |
+-----+---------------+------------------------------------------------+
| 6   | ICB Staff     | When the Board grants the waiver, the granted  |
| .17 | Specialist    | patent waiver package (a cover letter, the     |
|     |               | FF&R, I/W, and an addendum of foreign          |
|     |               | countries) is forwarded to the General Counsel |
|     |               | for legal review and signature. After          |
|     |               | signature, the grant date is logged into the   |
|     |               | patent waiver database.                        |
+-----+---------------+------------------------------------------------+
| 6   | ICB Staff     | Send transmittal grant letter and two signed   |
| .18 | Specialist    | original I/W to the petitioner for signature.  |
|     |               | The petitioner signs both copies, retains one, |
|     |               | and the other is returned to the ICB for       |
|     |               | filing. The patent waiver is granted upon      |
|     |               | signature of the petition. The monetary awards |
|     |               | letter is also sent to the petitioner who is   |
|     |               | the originator of an invention reported under  |
|     |               | a NASA contract. The petitioner shall be       |
|     |               | considered for a monetary Space Act Award upon |
|     |               | the filing of a U.S. patent application for    |
|     |               | the invention.                                 |
+-----+---------------+------------------------------------------------+
| 6   | ICB Staff     | Receive signed (executed) copy of I/W and      |
| .19 | Specialist    | distribute copies to the Center/JPL for filing |
|     |               | and Office of General Counsel for preparation  |
|     |               | of a confirmatory license.                     |
+-----+---------------+------------------------------------------------+
| 6   | ICB Staff     | Complete Patent Waiver case file with all      |
| .20 | Specialist    | pertinent incoming material and update         |
|     |               | database to record closure.                    |
+-----+---------------+------------------------------------------------+

7.  **Quality Records**

+-------+-------+------+----------+--------------+------------------+
| R     | Owner | L    | Record   | Schedule     | Reten            |
| ecord |       | oca- | Media:   | Number and   | tion/Disposition |
| Ident |       | tion | El       | Item Number  |                  |
| ifi-c |       |      | ectronic | (NPG 1441.1) |                  |
| ation |       |      | or Hard  |              |                  |
|       |       |      | Copy     |              |                  |
+-------+-------+------+----------+--------------+------------------+
| Com-  | ICB   | RI   | Hard     | Schedule 1,  | Retire to        |
|       | Dir   |      | Copy     | Item 16D     | Federal Records  |
| p     | ector |      |          |              | Center when 3    |
| leted |       |      |          |              | years old.       |
| Case  |       |      |          |              | Destroy when 22  |
| File  |       |      |          |              | years old.       |
+-------+-------+------+----------+--------------+------------------+
| Board | ICB   | RI   | Hard     | Schedule 1,  | **PERMANENT**    |
| Mi    | Dir   |      | Copy     | Item 16A1    | Transfer to NARA |
| nutes | ector |      |          |              | when 5 years     |
|       |       |      |          |              | old.             |
+-------+-------+------+----------+--------------+------------------+
| T     | ICB   | RI   | Hard     | Schedule 10, | Destroy in 3     |
| rans- | Dir   |      | Copy     | Item 5       | years            |
|       | ector |      |          |              |                  |
| m     |       |      |          |              |                  |
| ittal |       |      |          |              |                  |
| L     |       |      |          |              |                  |
| etter |       |      |          |              |                  |
+-------+-------+------+----------+--------------+------------------+
| S     | ICB   | RI   | Hard     | Schedule 10, | Destroy in 3     |
| igned | Dir   |      | Copy     | Item 5       | years            |
| App   | ector |      |          |              |                  |
| roval |       |      |          |              |                  |
| Pa    |       |      |          |              |                  |
| ckage |       |      |          |              |                  |
+-------+-------+------+----------+--------------+------------------+
| Pr    | ICB   | RI   | Hard     | Schedule 3,  | Destroy in 3     |
| ocure | Dir   |      | Copy     | Item 40D     | years            |
| -ment | ector |      |          |              |                  |
|       |       |      |          |              |                  |
| Re    |       |      |          |              |                  |
| quest |       |      |          |              |                  |
| for   |       |      |          |              |                  |
| Board |       |      |          |              |                  |
| A     |       |      |          |              |                  |
| ction |       |      |          |              |                  |
| A     |       |      |          |              |                  |
| wards |       |      |          |              |                  |
+-------+-------+------+----------+--------------+------------------+
| NHQ   | ICB   | RI   | Hard     | Schedule 10, | Destroy in 3     |
| DIV   | Dir   |      | Copy     | Item 5       | years            |
| FORM  | ector |      |          |              |                  |
| 622   |       |      |          |              |                  |
+-------+-------+------+----------+--------------+------------------+
| Pr    | ICB   | RI   | Hard     | Schedule 3,  | Destroy in 3     |
| ocure | Dir   |      | Copy     | Item 40D     | years            |
| -ment | ector |      |          |              |                  |
| R     |       |      |          |              |                  |
| eques |       |      |          |              |                  |
| t,App |       |      |          |              |                  |
| roval |       |      |          |              |                  |
| Sheet |       |      |          |              |                  |
| and   |       |      |          |              |                  |
|       |       |      |          |              |                  |
| Autom |       |      |          |              |                  |
| a-tic |       |      |          |              |                  |
| Award |       |      |          |              |                  |
| List  |       |      |          |              |                  |
+-------+-------+------+----------+--------------+------------------+
| Pa    | ICB   | RI   | Hard     | Schedule 5,  | Retire to FRC    |
| tent/ | Dir   |      | Copy     | Item 36      | when 2 years     |
|       | ector |      |          |              | old. Destroy     |
| W     |       |      |          |              | when 25 years    |
| aiver |       |      |          |              | old.             |
| Acti  |       |      |          |              |                  |
| ons\' |       |      |          |              |                  |
| B     |       |      |          |              |                  |
| inder |       |      |          |              |                  |
+-------+-------+------+----------+--------------+------------------+
| Tr    | ICB   | RI   | Hard     | Schedule 5,  | Retire to FRC    |
| ans-m | Dir   |      | Copy     | Item 36      | when 2 years     |
| ittal | ector |      |          |              | old. Destroy     |
| Grant |       |      |          |              | when 25 years    |
| L     |       |      |          |              | old.             |
| etter |       |      |          |              |                  |
+-------+-------+------+----------+--------------+------------------+
| S     | ICB   | RI   | Hard     | Schedule 5,  | Retire to FRC    |
| igned | Dir   |      | Copy     | Item 36      | when 2 years     |
| Cover | ector |      |          |              | old. Destroy     |
| L     |       |      |          |              | when 25 years    |
| etter |       |      |          |              | old.             |
+-------+-------+------+----------+--------------+------------------+

  ----------------- ---------- ----------- ------------ --------------- -----------------------
  Record            Owner      Loca-tion   Record       Schedule Number Retention/Disposition
  Identifi-cation                          Media:       and Item Number 
                                           Electronic   (NPG 1441.1)    
                                           or Hard Copy                 

  Signed FF&R       ICB        RI          Hard Copy    Schedule 5,     Retire to FRC when 2
                    Director                            Item 36         years old. Destroy when
                                                                        25 years old.

  Denial Letter     ICB        RI          Hard Copy    Schedule 5,     Retire to FRC when 2
                    Director                            Item 36         years old. Destroy when
                                                                        25 years old.

  Monetary Awards   ICB        RI          Hard Copy    Schedule 5,     Retire to FRC when 2
  Letter            Director                            Item 36         years old. Destroy when
                                                                        25 years old.

  Executed Copy of  ICB        RI          Hard Copy    Schedule 5,     Retire to FRC when 2
  I/W               Director                            Item 36         years old. Destroy when
                                                                        25 years old.
  ----------------- ---------- ----------- ------------ --------------- -----------------------

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