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GIM 39 Attachment: Final Invention Statement

All University employees must report inventions and discoveries to the University of Washington Center For Commercialization (C4C), per University of Washington Executive Order 36. A Record of Innovation Form (ROI) is submitted to C4C for its review.

At the end of a project, most federal sponsors require a final invention statement. The statement requires that the University disclose either a positive or negative report, depending on whether there was a disclosure of a subject invention during the project. A subject invention is defined by the Code of Federal Regulations as "any invention of the contractor (grantee) conceived or first actually reduced to practice in the performance of work under the contract (grant) …."

All information reported on sponsor forms must be provided by the Principal Investigator. A positive invention statement must be submitted to C4C directly. A negative invention statement is provided to the OSP Closeout Specialist.

The OSP Closeout Specialist will include the final invention statement in the official sponsored program file and provide institutional approval of the statement, if required by the Sponsor.

Below are the processes and forms used, by some federal sponsors. If your sponsor is not listed, please refer to your award documents or ask the OSP Closeout Specialist for assistance:

NIH: NIH requires submission of Form HHS568 via eRACommons.

The PI logs into eRA Commons and clicks the Status tab at the top of the screen. The PI selects the "Requires Closeout" hyperlink in the Action column on the award. When the closeout status screen appears, the PI clicks the Process Final Invention Statement hyperlink. Once the PI has completed the Final Invention Statement Form HHS568 electronically, he/she contacts closeout@uw.edu. The OSP Closeout Specialist can then provide the Institutional Approval of the Final Invention Statement in eRA Commons.

In some cases, the hyperlink to the closing NIH project is not available in eRACommons. In that case, the PI should prepare an HHS568 Final Invention Statement and submit as en electronic attachment to C4C, if a positive invention statement. If there are no inventions to report, the PI must confirm and forward this confirmation to closeout@uw.edu.

NSF: NSF requires that grant recipients use the iEdison system to disclose NSF subject inventions. NSF does not have a standard Final Invention Statement. If you are the PI of an NSF sponsored project and need to make a subject invention disclosure, please use the ROI Form to disclose the invention to C4C. C4C will review the disclosure and submit via iEdison, as necessary.

DOE: DOE requires submission of a Patent Certification Form DOE F2050-11 (OAO). If there are invention disclosures to report, the Form is prepared by the PI and forwarded to C4C. If there are no inventions to report, the PI must confirm and forward this confirmation to closeout@uw.edu.

DOD: DoD requires submission of Form DD882. The form is completed by the PI. If there are invention disclosures to report, the Form is forwarded to C4C. If there are no inventions to report, the PI must confirm and forward this confirmation to closeout@uw.edu.

NASA: NASA requires submission of the NASA New Technology Summary Report Form. If there are invention disclosures to report, the Form is prepared by the PI and forwarded to C4C. If there are no inventions to report, the PI must confirm and forward this confirmation to closeout@uw.edu.