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Creating a Utilization Report

Things to Know About Utilization Reporting

The process for submitting Utilization Reports for 2023 and beyond has changed. The information required to submit a Utilization Report will depend on the development stage and other factors. The new form will at times dynamically generate questions depending on the answer to the previous question.

Please see the Utilization Guidance Document (ENTER LINK) for additional information on how to answer the questions in the Utilization Reports for 2023 forward. If you have questions on how to answers a question in a Utilization Report prior to 2023, please reach out to your funding agency for additional guidance.

Additional questions will be displayed if the underlying invention is funded by NIH or DOE. If you have questions about how to answer a NIH or DOE specific question, please contact the agency.

To submit a Utilization Report, complete the following steps:

  1. Navigate to a new Utilization Report form
    • Method 1
    • Method 2
  2. Enter the year for the utilization you wish to report
  3. Enter the Development Stage
  4. Answer Utilization Questions
  5. Answer Supplemental Questions as required
  6. Submit the Utilization Report

1. Navigate to a new Utilization Report form

There are two ways to create a new Utilization Report form:

Method 1: Creating a Utilization Report through the sidebar

Click "Utilization" under the "Submit Report" section in the sidebar.

 

Sidebar screenshot.

This will create a new Utilization Report form that will be attached to the underlying Invention Report. Under “Choose Invention,” click the magnifying glass icon to search for the Invention Report.

Utilization Choose Invention
Credit: iEdison

A popup window will open asking you to search for the Invention Report. You can search based on the Invention Report Number, the Docket Number, the Invention Title, and the Primary Funding Agency. The search results will appear as you type.

Search Invention
Credit: Bethany Loftin

Once you have located the Invention Report, click the check box to add the Utilization Report.

Method 2: Create a Utilization Report from an Invention Report

Open the Invention Report needing a Utilization Report and click "Add Utilization" from the Action button. This will create a new Utilization Report form auto-populated with information from the Invention Report.

Add Utilization
Credit: Bethany Loftin

2. Enter the Year for the Utilization Report that you wish to report

Enter the year for the Utilization Report that you wish to report by selecting that year in the “Reporting Year (YYYY)” dropdown selection. As reporting requirements have changed for utilizations reported for 2023 and beyond, the year you choose (along with the development stage selected in step 3) will determine the required Utilization Questions in step 4. 

Pick Fiscal Year
Credit: Bethany Loftin

3. Enter the Development Stage

Choose the appropriate development stage from the dropdown menu. Your selection will determine the questions asked in step 4.

Options are:

  • Commercialized
  • Licensed
  • Not Licensed or Commercialized
Select Development Stage
Credit: Bethany Loftin

4. Answer Utilization Questions

Under “Utilization Questions,” answer each question. The questions will change dynamically depending on the utilization year and development stage as entered in step 3.

Not Licensed or Commercialized 

Utilization Not Licensed or Commercialized
Credit: Bethany Loftin

If the product is not licensed or commercialized, you are required to answer the following question: 

  4. What are your current commercialization plans for this invention? 

Current Commercialized Plan
Credit: Bethany Loftin

A "Notes" field will also be available to provide any additional information or context. This field is optional unless you select “Developing and/or using this invention for internal purposes only” or “No current commercialization plan,” in which case the “Notes” field will become a required field.

Licensed 

Licensed
Credit: Bethany Loftin

If the product is licensed, the following questions will be asked (questions marked with an asterisk are required): 

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

If any exclusive licenses and/or options were active, enter the number in the space provided.

Exclusive Licenses
Credit: Bethany Loftin

popup window will open prompting you to enter the name of the licensee(s). A list of Licensee Name(s) entries will show in the popup corresponding to the active number of licensees typed in the space provided.

Add Licensee
Credit: iEdison

Any additional licensees may be added to the active number of licensees one-by-one by clicking the “Add Exclusive Licensee” button.

Add Exclusive Licensee
Credit: iEdison

Each Exclusive Licensee Name must be unique, so please be as specific as possible when entering a licensee’s name. If more than one licensee has the exact same name, please use a unique identifier such as a business division or the license number, to distinguish the licensee. i.e. "Company A/LIC123", "Company A/LIC234".

Add Licensee
Credit: iEdison
Add Exclusive Licensee
Credit: iEdison

Enter the name of the licensee and click the “Save” button. The name will be added to Exclusive Licensee Name field.

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

Question 5 functions the same as question 4 but for non-exclusive licenses.

Add non-exclusive licensee
Credit: iEdison

6. 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? *

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

8. 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) *

If the answer to question 8 is Yes:

9. 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)? *

If the answer to question 8 is No:

9. 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? *

An optional "Notes" field will also be available to provide any additional information or context. 

Commercialized 

If the product is commercialized, the following questions will be asked (questions marked with an asterisk are required): 

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

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

Add exclusive licensees
Credit: iEdison

Questions 4 and 5 function the same as for licensed inventions. See above for details.

6. 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? *

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

8. 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.)? *

If the answer to question 8 is Yes:

9. 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)? *

10. 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)? *

If the answer to question 8 is No:

9. 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? *

10. 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? *

11. What was the calendar year of the first commercial sale? *

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

 

If any products need to be listed for question 12, click the “Add Commercial Product” button.

Add commercial products
Credit: iEdison

A popup window will open prompting you to enter the product name.

Add product
Credit: iEdison

After entering the product name, click the “Add Licensee and Manufacturers” button. Another popup window will open prompting you to select the licensee name.

Add Licensee
Credit: iEdison

Click the “Add Manufacturers” button. A popup window will open prompting you to enter the manufacturer name and location.

Add Manufacturer
Credit: iEdison

After entering the name of the manufacturer and any applicable locations, click the “Save” button for all open popup windows.

The screenshot below depicts a product that has been added and saved.

Product Added
Credit: iEdison

The new iEdison utilization reporting will be implemented on October 1, 2023. For more details, please visit the 2023 Utilization Questions Update site page.

4a. Utilizations prior to 2023

If the utilization occurred in 2022 or earlier, answer the following questions and/or input the appropriate information. Questions 4-12 are all optional:

4. If any product arising from this invention has reached the market, what was the calendar year of the first commercial sale? (YYYY)

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

6. Did the grantee organization/contractor or any of the exclusive licensees request a waiver of the U.S. manufacturing requirements in the designated reporting period?

7. If yes, how many such waivers were obtained?

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

9. Number of domestic manufacturing licenses.

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

11. How many licenses and/or options of any type to small businesses (<500 employees) are active in the designated reporting period?

12. Total Gross Sales.

The following screenshot shows questions for a utilization that occurred in 2022 or prior.

Prior to 2023
Credit: iEdison

5. Answer Supplemental Questions 

5.1. Extra Commercialized Questions for DOE

If one of the funding agencies is DOE and the utilization is for 2023 and beyond and the Commercialization Category is Commercialized, then the following questions below will be provided.

  • Approximate number of new US-based jobs created because of commercialization efforts during the reporting period.  
  • Number of new US-based companies created from the commercialization efforts during the reporting period.  
  • Unique Commercial Products Made Through the Use of or Embodying the Subject Inventions Please note: For each product, also list the associated NAICS code (if applicable)

The following screenshot shows a DOE funded invention with a commercial product (Widget A) added from question 12 in the Utilization Questions section.

DOE Questions
Credit: iEdison

If one of the funding agencies is DOE and the utilization is for 2023 and beyond and the Commercialization Category is NOT Commercialized, i.e., Licensed or Not Licensed or Commercialized, then the following questions will be provided.

  • Approximate number of new US-based jobs created because of commercialization efforts during the reporting period. 
  • Number of new US-based companies created from the commercialization efforts during the reporting period. 
DOE Questions
Credit: iEdison

If, however, one of the funding agencies is DOE and the utilization is for 2022 and previous, regardless of the Commercialization Category, all 4 of the questions from the list below will be provided. 

  1. Approximate number of new US-based jobs created because of commercialization efforts during the reporting period.  
  2. Number of new US-based companies created from the commercialization efforts during the reporting period.  
  3. Describe how the development and commercialization of the subject invention comply with any required U.S. manufacturing requirements (e.g., U.S. Preference, a U.S. Competitive Clause, U.S. Manufacturing Plan, etc.)  
  4. Unique Commercial Products Made Through the Use of or Embodying the Subject Inventions Please note: For each product, also list the associated NAICS code (if applicable)
DOE Questions
Credit: iEdison

The screenshot below depicts the popup to add a DOE Product.

DOE Add Product
Credit: iEdison

The screenshot below depicts the popup to add a Manufacture location.

DOE Add Manufacture Location
Credit: iEdison

The screenshot below shows the saved product.

DOE Saved Product
Credit: iEdison

5.2. Extra Commercialized Questions for NIH

If the invention has funding from the NIH, you will be required to list any FDA approved commercial products. 

FDA Approved Commercial Product
Credit: iEdison

Commercial names should be limited to FDA-approved products that first reached the market during the designated reporting period.

Click the “Add FDA Approved Commercial Product” button. A popup window will open prompting you to complete the following fields (fields with an asterisk are required):

  • Product Name *
  • FDA Approval Number
  • Commercial Product Type
  • Publicly Announced

Answer “No” for any FDA-approved product that you do not want to appear on a publicly available list of products arising from your funding agreement. 

Saved FDA Approved Product
Credit: iEdison

6. Submit the Utilization Report

Click the “Submit Utilization” button at the top of the window. Click the “Confirm” button.

Confirmation
Credit: iEdison
Utilization Submitted
Credit: iEdison

Once a utilization report is submitted to the iEdison system, it can no longer be deleted. However, you will be able to view or modify previously submitted utilization information.

 

Created March 23, 2022, Updated December 11, 2023