U. S. Department of health and human services (hhs), the national institutes of health (nih) and the centers for disease control and prevention (cdc) small business innovative research (sbir) program


aw.2Special Contract Requirements



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aw.2Special Contract Requirements


Specific contract requirements relating to research involving the use of Human Subjects or Vertebrate Animals will be required in any contract awarded for a project involving the use of Human Subjects or Vertebrate Animals.

aw.3Copyrights


With prior written permission of the Contracting Officer, the awardee may copyright material developed with HHS support. HHS receives a royalty-free license for the Federal Government and requires that each publication contain an appropriate acknowledgment and disclaimer statement.

aw.4Patents


Small business firms normally may retain the principal worldwide patent rights to any invention developed with Government support. The Government receives a royalty-free license for its use, reserves the right to require the patent holder to license others in certain limited circumstances, and requires that anyone exclusively licensed to sell the invention in the United States must normally manufacture it domestically. To the extent authorized by 35 USC 205, the Government will not make public any information disclosing a Government-supported invention for a period of four years to allow the awardee to pursue a patent. See also Invention Reporting in Section 5.6.

Inquiries or information about additional requirements imposed by 37 CFR 401 should be obtained from local counsel or from:

Office of Policy for Extramural

Research Administration,

Division of Extramural Inventions and

Technology Resources,

National Institutes of Health (NIH)

6705 Rockledge Drive, MSC 7980

Bethesda, MD 20892-7980

Phone: (301) 435-0679

Fax: (301) 480-0272

E-mail: jpkim@nih.gov

See also Invention Reporting in Section 5.6.

aw.5Technical Data Rights


Rights in Data Developed Under SBIR Funding Agreement. The Act provides for “retention by an SBC of the rights to data generated by the concern in the performance of an SBIR award.”

  1. Each agency must refrain from disclosing SBIR technical data to outside the Government (except reviewers) and especially to competitors of the SBC, or from using the information to produce future technical procurement specifications that could harm the SBC that discovered and developed the innovation.

ax.SBIR agencies must protect from disclosure and non-governmental use all SBIR technical data developed from work performed under an SBIR funding agreement for a period of not less than four years from delivery of the last deliverable under that agreement (either Phase I, Phase II, or Federally-funded SBIR Phase III) unless, subject to paragraph (b) (3) of this section, the agency obtains permission to disclose such SBIR technical data from the awardee or SBIR applicant. Agencies are released from obligation to protect SBIR data upon expiration of the protection period except that any such data that is also protected and referenced under a subsequent SBIR award must remain protected through the protection period of that subsequent SBIR award. For example, if a Phase III award is issued within or after the Phase II data rights protection period and the Phase III award refers to and protects data developed and protected under the Phase II award, then that data must continue to be protected through the Phase III protection period. Agencies have discretion to adopt a protection period longer than four years. The Government retains a royalty-free license for Government use of any technical data delivered under an SBIR award, whether patented or not. This section does not apply to program evaluation.

ay.SBIR technical data rights apply to all SBIR awards, including subcontracts to such awards, that fall within the statutory definition of Phase I, II, or III of the SBIR Program, as described in section 4 of the SBIR Policy Directive. The scope and extent of the SBIR technical data rights applicable to Federally-funded Phase III awards is identical to the SBIR data rights applicable to Phases I and II SBIR awards. The data rights protection period lapses only:



  1. Upon expiration of the protection period applicable to the SBIR award; or

az.By agreement between the awardee and the agency.

az.1Invention Reporting


The reporting of inventions may be accomplished by submitting paper documentation, including fax, or through the Edison Invention Reporting System for those agencies participating in iEdison.

Inventions must be reported promptly—within two months of the inventor’s initial report to the contractor organization—to:

Office of Policy for Extramural

Research Administration,

Division of Extramural Inventions and

Technology Resources,

National Institutes of Health (NIH)

6705 Rockledge Drive, MSC 7980

Bethesda, MD 20892-7980

Phone: (301) 435-0679

Fax: (301) 480-0272

E-mail: jpkim@nih.gov

This should be done prior to any publication or presentation of the invention at an open meeting, since failure to report at the appropriate time is a violation of 35 U.S.C. 202, and may result in loss of the rights of the small business concern, inventor, and Federal Government in the invention. All foreign patent rights are immediately lost upon publication or other public disclosure unless a United States patent application is already on file. In addition, statutes preclude obtaining valid United States patent protection after one year from the date of a publication that discloses the invention.

If no invention is disclosed or no activity has occurred on a previously disclosed invention during the applicable reporting period, a negative report shall be submitted to the Contracting Officer at the address listed above.

To assist contractors in complying with invention reporting requirements of the clause, the NIH has developed "Interagency Edison," an electronic invention reporting system. Use of Interagency Edison is encouraged as it streamlines the reporting process and greatly reduces paperwork. Access to the system is through a secure interactive Web site to ensure that all information submitted is protected. Interagency Edison and information relating to the capabilities of the system can be obtained from the Web.




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