1.  2016

2. Utilization Reporting of Subject Inventions o Identifies potentially (at the time of reporting) promising discoveries using the definitions of Patenting: Novel Not Obvious (to a person of ordinary skill in the area) Has Utility (Useful) & also Plant Variety Protectable (different definitions than above; uncommon for NIH – very common for USDA/Agricultural Colleges) o These are indications of the productivity of Research Funding measured by items in the above area in addition to research publications 2

3. Links the potentially patentable (or plant variety protectable) Subject Inventions o To the Scientific Programs that funded them via the Award number(s) cited. o Provides a conceptual basis of the discovery that may lead to a patent/PVP application in the future. o Ensures that different Agencies are aware of combined efforts that may result in a single invention through the funding of multiple Federal Agencies. o Is a required obligation of the Contractor – patenting, though desirable, is not required, however Invention and Patent reporting is a requirement. 3

4. o Identifies Commercialization activities and progress for Subject Inventions o A utilization report is a one-year snapshot of data – the status of the commercialization of the Subject Invention as of that year and includes: Latest Stage of Development Date of First Commercial Sale or Use Number of licenses (exclusive, non-exclusive, small business, etc.) in force during the year Total Income (licenses and option agreements) Commercial name(s) of any FDA-approved products 4

5. General Steps to Create a Utilization Report: o Go to Edison.gov and log-in. o Main Edison page: select create a utilization report. o Answer all questions. 5

6. A few points: 1. A Utilization Reporting ‘fiscal’ year is defined by the month, which is set by the Contractor prior to submitting any utilization report. 1.Once contractor/grantee chooses its “fiscal year” it cannot be changed and applies to all Edison reporting. 2.Utilization reporting is due for each year. 3.Can use the government’s fiscal year 10/1 through 9/30. 2. Utilization Reporting begins for each subject invention on the day that title is elected for that subject invention. 3. Utilization Reporting is cumulative for each fiscal year for all Patents/applications and child Inventions covered by a particular Subject Invention. 1.Only 1 utilization report is due for a subject invention’s “family” of patents. 4. A license is “in force” or “active” if it is valid for any portion of the reporting year. 6

7. NIH’s utilization report and questions have not changed since 2002. See: https://public.era.nih.gov/iedison/public/utilization/ utilization_reporting.jsp https://public.era.nih.gov/iedison/public/utilization/ utilization_reporting.jsp o Can also access NIH utilization information by clicking on NIH on the right-hand side of the Edison home page. o Or, go to https://public.era.nih.gov/iedison/public/nihprocs.jsp https://public.era.nih.gov/iedison/public/nihprocs.jsp o Then go to the 2 nd entry from the bottom of the list: “Renewed importance of Invention Utilization Reporting” 7

8. There are 9 questions that need to be answered each year for NIH Utilization Reporting. Utilization Reporting is confidential and has a statutory FOIA exemption. NIH and other federal agencies may reasonably specify other questions on a case-by-case basis to supplement its standard utilization questions at their discretion. 8

9. NIH Contact Information: o Edison.gov 9