252.227-7040 Additional preaward requirements for Small Business Technology Transfer Program.
Prescription and Applicability
DFARS Prescription, 227.7104-4(c)
(a)(1) Use the clause at 252.227-7018, Rights in Other Than Commercial Technical Data and Computer Software-Small Business Innovation Research Program and Small Business Technology Transfer Program, in solicitations and contracts, including solicitations and contracts using FAR part 12 procedures for the acquisition of commercial products and commercial services, when SBIR/STTR data are delivered, developed, or generated during contract performance, and when any portion of contract performance is governed by SBIR or STTR policies (e.g., performance of one or more subcontracts qualifies as a phase III SBIR or STTR award). See 227.7104-1(d) for guidance on contracts or subcontracts governed by SBIR or STTR policies.
(2) For the remainder of the technical data or computer software that is delivered, developed, or generated under the contract, use the following clauses as applicable, in accordance with the prescriptions for those clauses:
(i) 252.227-7013, Rights in Technical Data-Other Than Commercial Products and Commercial Services.
(ii) 252.227-7014, Rights in Other Than Commercial Computer Software and Other Than Commercial Computer Software Documentation.
(iii) 252.227-7015, Technical Data-Commercial Products and Commercial Services.
(b) Use the following provision in solicitations and the following clauses in solicitations and contracts that include the clause at 252.227-7018, in accordance with the prescriptions for the provision and clauses:
(1) 252.227-7016, Rights in Bid or Proposal Information.
(2) 252.227-7017, Identification and Assertion of Use, Release, or Disclosure Restrictions.
(3) 252.227-7019, Validation of Asserted Restrictions-Computer Software.
(4) 252.227-7025, Limitations on the Use or Disclosure of Government-Furnished Information Marked with Restrictive Legends.
(5) 252.227-7028, Technical Data or Computer Software Previously Delivered to the Government.
(6) 252.227-7030, Technical Data-Withholding of Payment.
(7) 252.227-7037, Validation of Asserted Restrictions on Technical Data (paragraph (e) of the clause contains information that must be included in a challenge). (c)(1) Use the provision at 252.227-7040, Additional Preaward Requirements for Small Business Technology Transfer Program, in solicitations that contain the clause at 252.227-7041.
(2) Use the clause at 252.227-7041, Additional Postaward Requirements for Small Business Technology Transfer Program, in solicitations and contracts, including solicitations and contracts using FAR part 12 procedures for the acquisition of commercial products and commercial services, for acquisitions under the STTR program.
Current Text
252.227-7040 Additional preaward requirements for Small Business Technology Transfer Program.
As prescribed in 227.7104-4(c)(1), use the following provision:
Additional Preaward Requirements for Small Business Technology Transfer Program (JAN 2025)
(a) Definitions. As used in this provision, the terms "research institution" and "United States" have the meaning given in the 252.227-7041, Additional Postaward Requirements for Small Business Technology Transfer Program, clause of this solicitation.
(b) Offers submitted in response to this solicitation shall include the following:
(1) The written agreement between the Offeror and a research institution, which shall contain—
(i) A specific allocation of ownership, rights, and responsibilities for intellectual property (including inventions, patents, technical data, and computer software) resulting from the Small Business Technology Transfer (STTR) Program award;
(ii) Identification of which party to the written agreement may obtain United States or foreign patents or otherwise protect any inventions that result from a STTR award; and
(iii) No terms or conditions that conflict with the requirements of the clause at 252.227-7018, Rights in Other Than Commercial Technical Data and Computer Software-Small Business Innovation Research Program and Small Business Technology Transfer Program, or this provision, including the rights of the United States, the Offeror, and the research institution regarding intellectual property, and regarding any right to carry out follow-on research.
(2) The Offeror's written representation that—
(i) The Offeror is satisfied with its written agreement with the research institution; and
(ii) The written agreement does not conflict with the requirements of this solicitation.
(c) The Offeror shall submit the written representation required by paragraph (b)(2) of this provision as an attachment to its offer, dated and signed by an official authorized to contractually obligate the Offeror.
(d) The Offeror's failure to submit the written agreement or written representation required by paragraph (b) of this provision with its offer may render the offer ineligible for award.
(e) If the Offeror is awarded a contract, the Contracting Officer will include the written agreement and written representation required by paragraph (b) of this provision in an attachment to that contract.
(End of provision)
[89 FR 103365, Dec. 18, 2024]
Active Class Deviations Affecting This Clause
Class Deviation 2026-O0036, DFARS RFO Implementation (Part 27)
- Status: Active
- Date Issued: 2026-02-01
- Change type: MODIFIED
- Action: Modified by RFO class deviation
Suggested Questions
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