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Administrative Manual - 503 Technology Transfer

503.03 Partnerships

  1. TECHNOLOGY TRANSFER - COOPERATIVE RESEARCH AND DEVELOPMENT WORK WITH NON FEDERAL PARTNERS
    1. General

      JLab encourages the joint development of technology with commercial firms, not for profit laboratories and educational institutions in order to strengthen U. S. manufacturing capabilities and increase trade by bringing new products or processes to the marketplace, thereby increasing jobs in the U. S. economy and enhancing the technology base of both parties.

      1. In these instances a partner perceives that JLab owns a particular technology or has a unique expertise which could be leveraged to develop a new product or process or enhance an existing product or process which is beneficial to both parties.
      2. It is of course necessary that the JLab technology or expertise is derived from or is directly related to the assigned JLab mission.
      3. It is necessary that JLab afford Fairness of Opportunity to all potential partners when soliciting firms to commercialize JLab technologies. Additionally special efforts are made to outreach to Small and Small Disadvantaged Businesses as possible partners.
    2. Agreements
      1. CRADA

        Initially the work is governed by a Cooperative Research and Development Agreement (CRADA) executed between the Laboratory Director and the partner.

        1. The CRADA is defined as a written agreement under which JLab provides personnel, facilities, equipment or other resources with or without reimbursement to a jointly conducted developmental project.
        2. Funds are not provided to the partners under such agreements, although the partners are encouraged to grant some funds to JLab as part of the partnership.
        3. Generally a Non Disclosure Agreement will be executed at or before the initial meeting to ensure protection of any proprietary data which may be disclosed by either party.
      2. License Agreement

        Typically a License Agreement providing royalties and other consideration to JLab and JLab employee inventors would be executed at a later date if the patented or copyrighted JLab technology is used in the resultant commercialized product or process.

    3. Responsibility

      The Technology Transfer Manager must approve any initial discussions of a formal CRADA which are generated by a potential partner or by a JLab sponsor. The Office of Technology Applications will assist the partner and/or sponsor in making the initial contacts, establishing lines of communication, obtaining project approval and finalizing the CRADA contract document.

    4. Procedures
      1. If an agreement to partner in principle is reached, a jointly developed Joint Work Statement (JWS-essentially a project proposal) must be submitted to DOE for approval, signed by interested JLab management and forwarded by the Laboratory Director.
      2. Following or concurrent with DOE approval of the JWS, the CRADA contract document itself must be negotiated and then approved by DOE before signature by both the partner and the Laboratory Director.
      3. The joint work can then begin under management of the JLab Principal Investigator or sponsor and the Technology Transfer Manager.
  2. TECHNOLOGY TRANSFER - OTHER TYPES OF PARTNERSHIP AGREEMENTS

    JLab is allowed to enter into various types of agreements or mechanisms in order to accomplish Technology Transfer. The use of any of these mechanisms must be approved by the Technology Transfer Manager and will be processed through the Office of Technology Applications. Certain documents will also require DOE approval:

    1. Personnel Exchanges: These agreements involve the transfer of personnel either to the laboratory from another party or from the laboratory to another party to exchange expertise and information. JLab costs which can be expended for such agreements are limited by the DOE in its annual program funding guidance. Generally JLab participation is limited to approximately 1/2 of a man year within 1 full year per exchange. In addition certain travel related costs of the partner can be funded by JLab.
    2. Consortia: This is a recognized method of leveraging DOE research and providing new technology to a broad segment of industry. It requires a significant involvement by the industrial sector and is evidence of a major commitment by JLab and the DOE to diffuse the technology throughout the interested industries.
    3. Small Business Innovation Research (SBIR) and Related Programs: These programs are highly competitive federally funded grants directed to Small Business to develop and eventually commercialize concepts or technologies. JLab supports Small Businesses in those instances where a JLab technology or particular expertise could be leveraged by the Small Business in winning and performing the grant. JLab will assist the partner in enhancing its proposal, if JLab is a performing partner, and will perform work for the partner under other technology transfer type mechanisms.
    4. Technical Assistance Agreements: JLab provides technical assistance to a private sector party to further the transfer of technology from the lab to the marketplace. In these instances JLab may provide a small amount of free assistance (generally up to 3 days) to a requesting commercial firm to solve a particular technical problem or explore in detail the potential for a future partnership. The work performed by JLab must of course be directly related to core technologies and expertise and must not place JLab in competition with commercial sources.
    5. Technical Maturation Project: These are projects which support the further development of promising technologies for use in collaboration with industry to meet industry needs. It is expected that CRADAs will be executed following strengthening and broadening of the technologies at the lab using directed Technology Transfer funding. This project funding mechanism is used infrequently and must be approved by the DOE. Costs are also limited by annual DOE program funding guidance.
    6. User Facility Agreements: JLab is authorized to enter into User Facility Agreements for those situations where a sponsor requests the use of certain JLab facilities for research and development activities. It can be appropriate for all types of sponsors, most particularly in those instances of proprietary research by commercial firms. Use of JLab facilities for such proposed work must meet the same five criteria as are necessary for Work for Others projects. The Office of Technology Applications is assigned responsibility for the overall coordination of User Facility Agreements and all are specifically approved by the Technology Transfer Manager and the DOE.
    7. License Agreement: Licensing is the transfer of less than ownership rights in intellectual property, such as patented inventions to a third party in order to permit that party to use the property for specified applications and field of use. In return for the license the partner pays JLab a negotiated royalty. Licenses can be exclusive or non exclusive, for a specific field of use, geographic area or U. S. or foreign usage and are subject to Fairness of Opportunity rules, Conflict of Interest considerations and U. S. preference provisions. Laboratory licenses require that a major portion of the royalties return to the lab for specific technology transfer activities and that the royalties are shared with the JLab inventors. The Federal Government always obtains a non exclusive, royalty free world wide license to JLab inventions. The JLab Invention Review Committee tracks and approves all patents and copyrights. Licenses are negotiated by a team consisting of the JSA/JLab Legal Counsel and the Office of Technology Applications supplemented by technical expertise if required. All JLab licenses are approved by the Technology Manager. Additional information and guidance is provided in the Intellectual Property section of this manual.
  3. MEMORANDUM OF UNDERSTANDING (MOU)

    An MOU (occasionally referred to as a Memorandum of Agreement [MOA]) is a written agreement broadly stating basic understandings and describing a mechanism for further agreement and for coordinating activities to be engaged in by JLab and other signatory authorities. Such agreements are not used to embody enforceable agreements, nor are they used to obligate or commit funds or as the basis for the transfer of funds from one party to another. If a commitment, obligation, or transfer of funds is required, a specific contractual agreement or other reimbursable agreement must be developed between JLab and the participating organization to provide specific funding, obligation and billing data. The Technology Transfer Manager should coordinate on all technology transfer related MOUs signed by JLab.


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