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https://www.nist.gov/iedison/2023-utilization-questions-update

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# 2023 Utilization Questions Update

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### Changes Coming to Utilization Reporting on October 1, 2023

Starting on October 1, 2023,**all**agencies participating in iEdison will begin asking for annual utilization reporting. Users will see notifications requesting utilization reports on all subject inventions to which they have elected title, regardless of the funding agency, starting on that date. iEdison will not trigger utilization notifications retroactively for subject inventions funded by agencies who did not previously ask for utilization reporting within the iEdison system.

The Timing of Utilization Reporting & Reporting periods

The iEdison system paused notifications for new utilization reports on October 2, 2022. This was to prepare for a realignment of the reporting periods and due dates of utilization reporting to coincide with the federal fiscal year as opposed to each contractor's selected fiscal year. Notifications for annual utilization reporting will resume on October 1st, 2023. From that point forward, notifications for utilization reporting will post each year on October 1st for the **reporting period of the preceding October 1st through September 30th**. For example, on October 1, 2023 notifications for utilization reporting for the reporting period of October 1, 2022 through September 30th, 2023 will be posted in iEdison. However, those 2023 utilization reports will not be considered "overdue" until January 1, 2024. Therefore, contractors will have through December 31, 2023 to submit timely utilization reporting for 2023.  Any utilization reporting which is or was due prior to October 1, 2022 will maintain the previous reporting period, which aligned with the contractor's fiscal year.

The Standard Utilization Questions

The Interagency Working Group for Bayh-Dole (IAWGBD) has developed a standard set of questions, listed below, to be asked by every participating agency. However, it should be noted that the wording of these questions may change slightly before they are deployed on October 1, 2023. The IAWGBD will be releasing a guidance document prior to October 1, 2023 to provide contractors with additional information on how to answer the standard questions. *Some agencies may also ask supplemental questions which will only be asked for subject inventions made with funding from that agency; guidance for those supplemental questions will need to be obtained from that funding agency.*Any new or amended utilization questions will be timely published in the Federal Register and reviewed by OMB as required under the Paperwork Reduction Act.

**1.  Please indicate the latest stage of development of any product arising from this invention, according to the following categories:**
                  - Not Licensed or Commercialized
                  - Licensed
                  - Commercialized

**NOTE:**the remaining questions will be dependent on your answer to this first question.  If you select "Not Licensed or Commercialized", you would skip to the "Not Licensed or Commercialized Questions. If you select "Licensed", you would skip to the "Licensed" Questions. If you select "Commercialized", you would skip to the "Commercialized" Questions. ***Click on the response linked above to skip to that options' subsequent questions.***

----

#### **Not Licensed or Commercialized Questions**

2. What are your current commercialization plans for this invention? *(Select the option that most accurately describes your current commercialization plans)*
                  - Seeking additional funding to further develop this invention
                  - Marketing and/or furthering development of this invention to attract commercial partners
                  - Developing and/or preparing this invention with intent to commercialize ourselves
                  - Making available for distribution and/or licensing for research purposes only
                  - Developing and/or using this invention for internal purposes only *(NOTE: if this option is selected, then the Notes field described below will be required to explain how this option still fulfills the Bayh-Dole requirement to seek practical application)*
                  - No current commercialization plan *(NOTE: if this option is selected, then the Notes field described below will be required to provide additional information to the agency as to why you have no commercialization plan)*

An optional "Notes" field will also be available at the end of these questions to provide any additional information or context that you want the funding agency to know. 

----

#### Licensed Questions

2.  In the designated reporting period, how many exclusive licenses and/or options are or were active?

     2(a).  If number other than 0 is answered, list name of each licensee

3.  In the designated reporting period, how many non-exclusive licenses and/or options are or were active?

     3(a).  If number other than 0 is answered, list name of each licensee

4.  In the designated reporting period, how many licenses and/or options of any type to small businesses (as defined by relevant SBA regulations) are or were active?

5.  In the designated reporting period, what was the total gross income received as a result of license or option agreements?

6.  Other than U.S. Preference (35 U.S.C. 204), is the invention subject to any U.S. manufacturing requirements (e.g. U.S. Competitiveness provision, a U.S. Manufacturing DEC, etc.)? (Y/N)

     6(a).  If 6 is NO: In the designated reporting period do all grants to any person of the exclusive  right to use or sell the subject invention in the United States require that any products embodying the subject invention or produced through the use of the subject invention will be manufactured substantially in the United States as required by 35 U.S.C. 204? 

     6(b).  If 6 is YES:  In the designated reporting period, do all licenses include a requirement that any products embodying the subject invention or produced through the use of the subject invention will be manufactured substantially in the United States (including manufacturing requirements other than 35 U.S.C. 204)? 

An optional "Notes" field will also be available at the end of these questions to provide any additional information or context that you want the funding agency to know.  

----

#### Commercialized

2.  In the designated reporting period, how many exclusive licenses and/or options are or were active?

     2(a).  If number other than 0 is answered, list name of each licensee

3.  In the designated reporting period, how many non-exclusive licenses and/or options are or were active?

     3(a).  If number other than 0 is answered, list name of each licensee

4.  In the designated reporting period, how many licenses and/or options of any type to small businesses (as defined by relevant SBA regulations) are or were active?

5.  In the designated reporting period, what was the total gross income received as a result of license or option agreements? 

6.  Other than U.S. Preference (35 U.S.C. 204), is the invention subject to any U.S. manufacturing requirements (e.g. U.S. Competitiveness provision, a U.S. Manufacturing DEC, etc.)? (Y/N)

     a.  If 6 is NO

               6(a)(i).  In the designated reporting period do all grants to any person of the exclusive right to use or sell the subject invention in the United States require that any products embodying the subject invention or produced through the use of the subject invention will be manufactured substantially in the United States as required by 35 U.S.C. 204? 

              6(a)(ii).  In the designated reporting period are all products embodying the subject invention or produced through the use of the subject invention manufactured substantially in the United States for all grants to any person of the exclusive right to use or sell the subject invention in the United States as required by 35 U.S.C. 204? 

     b.  If 6 is YES

               6(b)(i).  In the designated reporting period, do all licenses include a requirement that any products embodying the subject invention or produced through the use of the subject invention will be manufactured substantially in the United States (including manufacturing requirements other than 35 U.S.C. 204)?

               6(b)(ii).  In the designated reporting period, are all products embodying the subject invention or produced through the use of the subject invention manufactured substantially in the United States(including manufacturing requirements other than 35 U.S.C. 204)?  

7.  What was the calendar year of the first commercial sale?

8.  List any products made through the use of or embodying the subject invention(s) 

For each product listed include the following:

     a.  Name of Manufacture(s) – may require multiple entries

For each manufacturer

     b.  Manufacturing Country (provided in a dropdown list)

If United States, enter manufacturing state (provided in a dropdown list)

Beta Testing

NIST is updating the utilization functionality in the iEdison system to make entry of the new utilization reporting as streamlined as possible. It is expected that the new utilization reporting will be available for beta testing in mid-to-late June of 2023. In June, NIST will contact those individuals who previously acted as beta testers to determine interest. If you would like to be a beta tester and have not participated as a beta tester previously, please send an email to iedison [at] nist.gov (iedison[at]nist[dot]gov). Beta testing participation is limited, so please only volunteer if you are willing and able to provide feedback on the functionality of the system. 

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