Subject: NASA Technology Transfer Requirements

Responsible Office: Space Technology Mission Directorate

Chapter 3: Documenting NASA-Funded Technology

3.1 Overview of NASA-Funded Technology

What qualifies as a new NASA-funded technology is very broad. It includes any invention, discovery, improvement, or innovation that was made in the performance of NASA work to the extent as referenced or identified in the appropriate contracts, grants, or agreements. This includes any new and useful process, machine, article of manufacture, or composition of matter; or any new and useful improvement of an existing processes, machine, article of manufacture, or composition of matter, whether or not patentable. Also included are new computer programs, and improvements to, or new applications of, existing computer programs, whether or not copyrightable. A representative list of new innovations includes, but is not limited to: new or improved techniques, products, devices, materials, methods, processes, chemical compositions, systems, machines, apparatuses, articles, fixtures, tools, or software. With such a broad definition, new technologies can come from almost any type of NASA activity. In addition, new technology may occur at a system, subsystem, or component level. The development of a "system" or overall "technology area" could, therefore, yield numerous innovations. Each contract, grant or agreement defines what is a reportable subject innovation and/or item.

3.2 Engagement with NASA Community to Support Technology Reporting

3.2.1 NASA program managers, project managers, and innovators shall engage the technology transfer process at all stages of technology development, ensuring that technology transfer is considered at the earliest phases of program and project formulation and acquisition planning. This is ultimately achieved by ensuring that new technologies being developed by projects at a Center are brought to the attention of the Center Technology Transfer Officer on a timely and consistent basis.

3.2.2 To the extent feasible, the Center Technology Transfer Officer shall ensure awareness at their Center that new innovations (including software) are reported. The reporting requirements are:

a. Reporting is required of NASA employees according to NPD 2091.1

b. Reporting new technologies via invention.nasa.gov shall be done prior to public disclosure, publication, or presentation, allowing the Center's Patent Counsel to file a patent application prior to possible statutory bars being set which may preclude patent protection.

3.2.3 Benefits of reporting new technology are:

a. Reporting new technologies allows the Center's Intellectual Property Counsel to determine ownership and whether intellectual property protection is appropriate and/or available;

b. Identification of a new technology can result in benefits to the U.S. economy and to NASA;

c. Identification of a new technology may provide professional recognition; and

d. Reporting provides the possibility for monetary incentive awards for the innovators.

3.2.4 While reporting new technologies is the responsibility of every employee of NASA, the Center Technology Transfer Officer should strive to have in place mechanisms to ensure that new technologies are reported fully and in a timely manner, and to promote successful technology transfer to the greatest extent possible. Mechanisms might include, but are not limited to:

a. Review of documents to be published to determine if new technology was created in the course of the work described, as required by NPD 2200, "Requirements for Documentation, Approval, and Dissemination of NASA Scientific and Technical Information".

b. Timely engagement with the Contracting Officer's Representative (COR) to ensure that all new technology is reported before a contract, cooperative agreement or grant is closed.

c. Recognition and awards for New Technology Reports (see below) and patents.

d. Routine educational outreach and training sessions for technical staff, New Technology Representatives, CORs and program and project managers.

3.3 New Technology Reports (NTRs)

3.3.1 In order to facilitate and minimize the burden of reporting, NASA has developed an electronic New Technology Reporting (e-NTR) capability. e-NTR (http://invention.nasa.gov) provides web-based tools which allow the innovator to prepare and work on the New Technology Report locally and, when ready, the NTR is electronically submitted to a Center's New Technology Representative, who will in turn ensure that it is complete and entered into the NASA Technology Transfer System (NTTS).

3.3.2 Although the electronic filing is the preferred submission method, new technologies can also be reported with a paper form. NASA Form (NF) 1679, "Disclosure of Invention and New Technology (Including Software)", is the preferred form. However, NASA Partners may use their own invention disclosure forms as long as the form provides information equivalent to that requested in NF 1679. NASA contractors, grantees, and recipients can submit NF 1679 or other appropriate reporting forms to the NASA New Technology Representative named in the contract, grant, or cooperative agreement.

3.3.3 Only those people who have made a direct and unique contribution to the conception of an innovation shall be identified when reporting new technology. A "joint inventor" is an individual who contributed to the conception of the claimed invention.

3.3.4 New technology (including software) will be reported by:

a. Civil servants during the course of their work as soon as they realize they may have developed a new technology and before public disclosure.

b. Large commercial firms awarded NASA contracts, grants, or cooperative agreements, to the extent required in the New Technology Clause in their award. The New Technology Representative, according to "Designation of New Technology Representative and Patent Representative", NFS 1852.227-72, is responsible for ensuring that New Technology reporting requirements are being met according to the terms of the contract.

c. Small businesses, nonprofit organizations, colleges, and universities awarded NASA contracts, grants, or cooperative agreements to the extent required in the Patent Rights Clause in the contract, grant, or cooperative agreement. The New Technology Representative, in accordance with "Designation of New Technology Representative and Patent Representative", NFS 1852.227-72 is responsible for ensuring that New Technology reporting requirements are being met according to the terms of the contract.

d. Other NASA Partners, if required by the subject agreement.

3.3.5 Appendix B further describes the requirements associated with NASA's New Technology Reporting.

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