INTELLECTUAL PROPERTY REPORTING FOR NIH GRANTEES THAT ALSO HAVE INVOLVEMENT WITH 
THE VETERAN’s ADMINISTRATION [DEPARTMENT OF VETERAN’s AFFAIRS]

Release Date:  April 23, 2001

NOTICE:  NOT-OD-01-033

National Institutes of Health

In response to concerns raised by a number of recipients of NIH funds, 
we have reviewed the issue of conflicting reporting requirements when 
recipients of NIH funds also have involvement with the Veteran"s 
Administration [Department of Veteran’s Affairs] (VA).  Based on our 
review and discussions with our legal staff, members of the recipient 
community and VA and Department of Commerce officials, we are issuing 
the following statement of clarification.

This is to confirm that inventions arising out of any NIH funded 
research must be reported to the NIH by the recipient institution as 
required under NIH policy, which is based upon the Bayh-Dole Act.  
Details of reporting requirements can be found at http://iedison.gov. 
IN CASES WHERE THE RECIPIENT INSTITUTION CHOOSES NOT TO ELECT TITLE OR 
PURSUE PRACTICAL APPLICATION OF AN INVENTION, THE INSTITUTION MUST 
PROPERLY NOTIFY THE NIH IN CONFORMANCE WITH THE TERMS AND CONDITIONS OF 
THE FUNDING AGREEMENT.

In these cases, when the VA is involved with the invention, we request 
that recipients note such involvement on their notice to the NIH and 
provide a courtesy copy of the NIH notification to the appropriate VA 
office.  The NIH will notify the recipient institution and the VA 
whether or not NIH has an interest in taking title and/or continuing 
the pursuit of practical application of the invention.

The NIH also wishes to remind recipient institutions and investigators 
that they must:

(1) Have policies and procedures in place to ensure that any agreements 
entered into with third parties are consistent with the terms and 
conditions of their award, including the provision of intellectual 
property rights to the NIH, and third parties are informed of the NIH 
requirements [see the NIH Grants Policy Statement for guidance 
(http://grants.nih.gov/grants/policy/policy.htm)],  

(2) Revise any agreements with third parties that are inconsistent with 
the terms and conditions of an NIH award to remain in compliance with 
the NIH award [see,   Developing Sponsored Research Agreements: 
Considerations for Recipients of NIH Research Grants and Contracts  for 
guidance (http://grants.nih.gov/grants/guide/notice-files/not94-327.html)],

(3) Seek approval from the NIH should they wish to waive or assign 
title to another party, and 

(4) Ensure that rights to inventions arising out of NIH funding agreements 
are properly assigned to the institution in order to fulfill their 
responsibilities under the funding agreement.

For further information on extramural intellectual property reporting 
requirements and related IP policies, please email [email protected] 
or call (301) 435-1986 for the Division of Extramural Inventions & 
Technology Resources (DEITR), OPERA in the NIH Office of Extramural 
Research (OER).

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