DEPARTMENT OF ENERGY (DOE) MECHANISMS TO PROMOTE TECHNOLOGY TRANSFER

COLLEGIAL INTERCHANGE & CONSULTING

COOPERATIVE RESEARCH AND DEVELOPMENT AGREEMENT (CRADA)

CONTRACT, GRANT, COOPERATIVE AGREEMENT

EDUCATION AND TRAINING, LICENSING

PERSONNEL EXCHANGES, RESEARCH AND DEVELOPMENT CONSORTIA (R&D), SMALL BUSINESS INNOVATION RESEARCH (SBIR)

TECHNICAL ASSISTANCE AND USER FACILITIES

WORK FOR OTHERS (WFO) PROGRAM

COLLEGIAL INTERCHANGE & CONSULTING
Mechanism Description Characteristics/Features

Collegial interchange, conference, publication The informal and free exchange of information among professional colleagues is encouraged. Includes:

presentation at professional and technical conferences
publication in professional journals
(Note: UT-Battelle, LLC/BWXT Y-12, L.L.C., will avoid premature disclosure of information that may be the subject of a patent application or proprietary data.)

Consulting by laboratory/facility experts Consultation is provided to a private sector party by UT-Battelle/BWXT Y-12 personnel to further technology transfer initiatives
DOE and UT-Battelle/BWXT Y-12 must approve of the personal consulting arrangement.
Conflicts of interest will be avoided.

Consulting by industry experts to a laboratory/facility A party outside the laboratory or facility provides technical advice or information
There is a formal written contract, generally short-term and specific.
The consultant must certify that no intellectual property conflicts exist.

COLLEGIAL INTERCHANGE & CONSULTING
Mechanism	Description	Characteristics/Features
Collegial interchange, conference, publication	The informal and free exchange of information among professional colleagues is encouraged.	Includes: presentation at professional and technical conferences publication in professional journals (Note: UT-Battelle, LLC/BWXT Y-12, L.L.C., will avoid premature disclosure of information that may be the subject of a patent application or proprietary data.)
Consulting by laboratory/facility experts	Consultation is provided to a private sector party by UT-Battelle/BWXT Y-12 personnel to further technology transfer initiatives	DOE and UT-Battelle/BWXT Y-12 must approve of the personal consulting arrangement. Conflicts of interest will be avoided.
Consulting by industry experts to a laboratory/facility	A party outside the laboratory or facility provides technical advice or information	There is a formal written contract, generally short-term and specific. The consultant must certify that no intellectual property conflicts exist.

COOPERATIVE RESEARCH AND DEVELOPMENT AGREEMENT (CRADA)
Mechanism Description Characteristics/Features

Cooperative Research and Development Agreement (CRADA) This is a contractual agreement among one or more federal laboratories/facilities and one or more non-federal parties under which the government through its laboratories/facilities provides personnel, facilities, equipment or other resources with or without reimbursement. Note that the government does not provide funds directly to the non-federal partner.
The non-federal partner provides funds, personnel, services, facilities, equipment, or other resources to conduct specific research or development efforts consistent with the laboratory's or facility's mission.
Costs are shared. An example is where there is a "no funds" exchange with a non-federal party and the laboratory or facility doing their respective parts of the statement of work. The federal government is funding the laboratory or facility participation in the CRADA up to a preset funding limit at no cost to the non-federal partner. However, the non-federal partner may also provide funds ("funds-in") to the laboratory or facility.
The CRADA is not considered a procurement action, grant, or cooperative agreement as defined in 31 USC 6303-6305.
Rights to inventions and other intellectual property are negotiated between the non-federal partner and the laboratory or facility as part of the agreement.
Certain information generated by either partner, either non-federal or the laboratory or facility, which qualifies as "protected CRADA information" may be withheld from public distribution for a period up to fie years.
Each CRADA must have a joint work statement (JWS) that is reviewed and approved by DOE.
DOE has granted a class patent waiver to inventions arising from the CRADA work.
The CRADA includes U.S. competitiveness and product liability provisions.

COOPERATIVE RESEARCH AND DEVELOPMENT AGREEMENT (CRADA)
Mechanism	Description	Characteristics/Features
Cooperative Research and Development Agreement (CRADA)	This is a contractual agreement among one or more federal laboratories/facilities and one or more non-federal parties under which the government through its laboratories/facilities provides personnel, facilities, equipment or other resources with or without reimbursement. Note that the government does not provide funds directly to the non-federal partner.	The non-federal partner provides funds, personnel, services, facilities, equipment, or other resources to conduct specific research or development efforts consistent with the laboratory's or facility's mission. Costs are shared. An example is where there is a "no funds" exchange with a non-federal party and the laboratory or facility doing their respective parts of the statement of work. The federal government is funding the laboratory or facility participation in the CRADA up to a preset funding limit at no cost to the non-federal partner. However, the non-federal partner may also provide funds ("funds-in") to the laboratory or facility. The CRADA is not considered a procurement action, grant, or cooperative agreement as defined in 31 USC 6303-6305. Rights to inventions and other intellectual property are negotiated between the non-federal partner and the laboratory or facility as part of the agreement. Certain information generated by either partner, either non-federal or the laboratory or facility, which qualifies as "protected CRADA information" may be withheld from public distribution for a period up to fie years. Each CRADA must have a joint work statement (JWS) that is reviewed and approved by DOE. DOE has granted a class patent waiver to inventions arising from the CRADA work. The CRADA includes U.S. competitiveness and product liability provisions.

CONTRACT, GRANT, COOPERATIVE AGREEMENT
Mechanism Description Characteristics/Features

Contract A contract is an acquisition instrument reached between the government and a contractor so that the contractor can provide goods or services to the government.
This vehicle may be used to fund research and development that may be transferred to the private sector.
The allocation of patent rights is decided by the type of contractor performing the work.

Large businesses may frequently obtain a waiver on inventions where waiver criteria are satisfied.
Nonprofit organizations/small businesses may obtain title to inventions under Public Law (PL.) 96-517.

Co-funded and Cost -shared Contract A contract reached between the government and a non-federal party in which costs associated with the work are shared as identified in the contract.

Arrangements are in-cash or in-kind.
Both partners must benefit from the work.
Commercially valuable data may be protected for a limited period.
Advance waivers are frequently granted where the contractor agrees to cost share at least 20% of the total contract cost.

Grants and Cooperative Agreements (Assistance Instruments) Grants and cooperative agreements are entered into solely by the government with a recipient under which money or property is transferred to the recipient to support or stimulate research.
Only the government can enter these agreements; the laboratories or other facilities cannot.
There is substantially less involvement (contract oversight) between the government and recipients than normal contracts (acquisition instruments).

CONTRACT, GRANT, COOPERATIVE AGREEMENT
Mechanism	Description	Characteristics/Features
Contract	A contract is an acquisition instrument reached between the government and a contractor so that the contractor can provide goods or services to the government.	This vehicle may be used to fund research and development that may be transferred to the private sector. The allocation of patent rights is decided by the type of contractor performing the work. Large businesses may frequently obtain a waiver on inventions where waiver criteria are satisfied. Nonprofit organizations/small businesses may obtain title to inventions under Public Law (PL.) 96-517.
Co-funded and Cost -shared Contract	A contract reached between the government and a non-federal party in which costs associated with the work are shared as identified in the contract.	Arrangements are in-cash or in-kind. Both partners must benefit from the work. Commercially valuable data may be protected for a limited period. Advance waivers are frequently granted where the contractor agrees to cost share at least 20% of the total contract cost.
Grants and Cooperative Agreements (Assistance Instruments)	Grants and cooperative agreements are entered into solely by the government with a recipient under which money or property is transferred to the recipient to support or stimulate research.	Only the government can enter these agreements; the laboratories or other facilities cannot. There is substantially less involvement (contract oversight) between the government and recipients than normal contracts (acquisition instruments).

EDUCATION AND TRAINING, LICENSING
Mechanism Description Characteristics/Features

Education and Training Consists of structured activities designed to have trainees master a defined set of knowledge and skills This includes:

Professional courses
On-The-Job Training
Modification and delivery of training curriculum to meet needs of the private sector and academia

Licensing from the government or the government-sponsored laboratory or facility Licensing is the transfer of "less-than-ownership rights" in intellectual property to a third party. This allows the third party to use the intellectual property.

Licensing by the laboratory or facility is governed by the terms of the DOE contract with the laboratory or facility.
Licensing by the government follows the General Services Administration (GSA) issued licensing regulations with preference for nonexclusive licenses. Where an exclusive license is granted, a notice of availability is published allowing an opportunity for the public to object to any plans or intentions to commercialize the products derived from the licenses.
Licensing can be exclusive, or nonexclusive, for a specific field of use, geographical area, or for U.S. or foreign usage.
The potential licensee must present plans and intentions for government review to commercialize the invention.
The government obtains/retains a nonexclusive, royalty-free, worldwide license to the invention.
The laboratory or facility licenses:
are subject to conflict-of-interest consideration and U.S. preference provisions.
require that a major portion of the royalties return to the laboratory or facility.
share royalties with the inventor.

EDUCATION AND TRAINING, LICENSING
Mechanism	Description	Characteristics/Features
Education and Training	Consists of structured activities designed to have trainees master a defined set of knowledge and skills	This includes: Professional courses On-The-Job Training Modification and delivery of training curriculum to meet needs of the private sector and academia
Licensing from the government or the government-sponsored laboratory or facility	Licensing is the transfer of "less-than-ownership rights" in intellectual property to a third party. This allows the third party to use the intellectual property.	Licensing by the laboratory or facility is governed by the terms of the DOE contract with the laboratory or facility. Licensing by the government follows the General Services Administration (GSA) issued licensing regulations with preference for nonexclusive licenses. Where an exclusive license is granted, a notice of availability is published allowing an opportunity for the public to object to any plans or intentions to commercialize the products derived from the licenses. Licensing can be exclusive, or nonexclusive, for a specific field of use, geographical area, or for U.S. or foreign usage. The potential licensee must present plans and intentions for government review to commercialize the invention. The government obtains/retains a nonexclusive, royalty-free, worldwide license to the invention. The laboratory or facility licenses: are subject to conflict-of-interest consideration and U.S. preference provisions. require that a major portion of the royalties return to the laboratory or facility. share royalties with the inventor.

PERSONNEL EXCHANGES, RESEARCH AND DEVELOPMENT CONSORTIA (R&D), SMALL BUSINESS INNOVATION RESEARCH (SBIR)
Mechanism Description Characteristics/Features

Personnel Exchanges This is an assignment of personnel from either the government sponsored laboratory or facility to another research partner's facility (either federal or non-federal) or vice versa. The purpose is to interchange expertise and information among the parties concerned.

Generally, there is no exchange of proprietary data or classified information.
All costs are paid by the organization sending the personnel.
Programs are normally one year or less.

Research and Development Consortia This is a method leveraging DOE research and providing new technology to a wide segment of industry.
Two or more industrial partners are involved.
Industrial partners are normally from one industrial sector.
There is a commitment by all partners to diffuse the technology throughout the industry.

Small Business Innovation Research (SBIR) The SBIR program is federally funded to promote small business participation in government programs.
Data have a two-year confidentiality limit.
Small business partners acquire titles to inventions.
Government may provide further funds during incremental research stages from feasibility to private commercialization dependent upon the products viability.

PERSONNEL EXCHANGES, RESEARCH AND DEVELOPMENT CONSORTIA (R&D), SMALL BUSINESS INNOVATION RESEARCH (SBIR)
Mechanism	Description	Characteristics/Features
Personnel Exchanges	This is an assignment of personnel from either the government sponsored laboratory or facility to another research partner's facility (either federal or non-federal) or vice versa. The purpose is to interchange expertise and information among the parties concerned.	Generally, there is no exchange of proprietary data or classified information. All costs are paid by the organization sending the personnel. Programs are normally one year or less.
Research and Development Consortia	This is a method leveraging DOE research and providing new technology to a wide segment of industry.	Two or more industrial partners are involved. Industrial partners are normally from one industrial sector. There is a commitment by all partners to diffuse the technology throughout the industry.
Small Business Innovation Research (SBIR)	The SBIR program is federally funded to promote small business participation in government programs.	Data have a two-year confidentiality limit. Small business partners acquire titles to inventions. Government may provide further funds during incremental research stages from feasibility to private commercialization dependent upon the products viability.

TECHNICAL ASSISTANCE AND USER FACILITIES
Mechanism Description Characteristics/Features

Technical Assistance Laboratory/or facility personnel provide specialized technical assistance to a private sector party for a finite period in order to further technology transfer
Specialized help is given to solve a particular problem, normally not to exceed 40 man-hours directly charged.
Laboratory/facility must approve of the personal consulting arrangement.
Conflict of interest by the laboratory/facility staff must be avoided.
Routine costs are borne by the laboratory/facility.

User Facilities User facilities are unique, complex experimental scientific facilities, including equipment and technology expertise at a government laboratory or facility. These facilities are designated by the government for use by the technical community, universities, industry, other laboratories, and other government facilities.
User facilities are designated as such by DOE and are Centers of Excellence.
Research may be conducted on a proprietary or non-proprietary basis.
Full cost recovery is required from the non-DOE partner on proprietary research and development (R&D).
Class patent waiver is granted in which title goes to the user and the user's proprietary data can be protected.
For non-proprietary R&D, title to inventions goes to the user but data generated are freely available.
If funded under another government contractor or international agreement, users are subject to those particular intellectual property clauses.

TECHNICAL ASSISTANCE AND USER FACILITIES
Mechanism	Description	Characteristics/Features
Technical Assistance	Laboratory/or facility personnel provide specialized technical assistance to a private sector party for a finite period in order to further technology transfer	Specialized help is given to solve a particular problem, normally not to exceed 40 man-hours directly charged. Laboratory/facility must approve of the personal consulting arrangement. Conflict of interest by the laboratory/facility staff must be avoided. Routine costs are borne by the laboratory/facility.
User Facilities	User facilities are unique, complex experimental scientific facilities, including equipment and technology expertise at a government laboratory or facility. These facilities are designated by the government for use by the technical community, universities, industry, other laboratories, and other government facilities.	User facilities are designated as such by DOE and are Centers of Excellence. Research may be conducted on a proprietary or non-proprietary basis. Full cost recovery is required from the non-DOE partner on proprietary research and development (R&D). Class patent waiver is granted in which title goes to the user and the user's proprietary data can be protected. For non-proprietary R&D, title to inventions goes to the user but data generated are freely available. If funded under another government contractor or international agreement, users are subject to those particular intellectual property clauses.

WORK FOR OTHERS (WFO) PROGRAM
Mechanism Description Characteristics/Features

Work For Others (WFO) Program This is work done by a laboratory or facility for a non-DOE entity, either private or federal. Work is fully funded by the non-DOE entity.
WFO may be research and development (R&D) or non-R&D services to the requesting organization.
Work must be consistent with the mission and/or special expertise of the laboratory or facility.
Work must not effect the achievement of DOE work requirements.
Work must not directly compete with the domestic U.S. private sector.
Title to invention of WFO sponsor's requirement goes to sponsor under class patent waiver.
Sponsor's proprietary data will be protected.
The government retains a nonexclusive royalty free license to any WFO invention.
Safeguards are in place to preclude organizational conflicts of interest (e.g., disclosure to WFO sponsor regarding background intellectual property).

WORK FOR OTHERS (WFO) PROGRAM
Mechanism	Description	Characteristics/Features
Work For Others (WFO) Program	This is work done by a laboratory or facility for a non-DOE entity, either private or federal. Work is fully funded by the non-DOE entity.	WFO may be research and development (R&D) or non-R&D services to the requesting organization. Work must be consistent with the mission and/or special expertise of the laboratory or facility. Work must not effect the achievement of DOE work requirements. Work must not directly compete with the domestic U.S. private sector. Title to invention of WFO sponsor's requirement goes to sponsor under class patent waiver. Sponsor's proprietary data will be protected. The government retains a nonexclusive royalty free license to any WFO invention. Safeguards are in place to preclude organizational conflicts of interest (e.g., disclosure to WFO sponsor regarding background intellectual property).

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The information owner is listed below if you have questions, comments, or suggestions. An e-mail form is provided with the appropriate links for your convenience. Please include title, URL, or other document descriptor in your message.

Contact: David W. Bradford, fdb@ornl.gov

Date posted: February 19, 2001 (sas)