(M12) Partnerships

Partnerships and Technology Transfer Management System Description
Management System Owner: Manager, Office of Partnerships and Technology Transfer (OPTT)
(Cherri J Schmidt)
Revision and Date: 17-Jan-2014

1.0 Purpose

The purpose of the Partnerships Management System is to seamlessly and efficiently facilitate the formation of high-impact partnerships with industry, academia, and other research facilities, that support the global, scientific missions of the Fermi National Accelerator Laboratory (FNAL) while advancing U.S. Competitiveness through the transfer of knowledge and technologies to U.S. industry. The Partnerships Management System consists of a set of policies, procedures and work instructions that are used to plan, direct, control, coordinate, assure and improve the execution of the elements of the laboratory’s technology transfer responsibilities in accordance with DOE Contract No. DE-AC02-07CH11359 (Contract) and relevant Department of Energy (DOE) orders and guidance.

2.0 Roles and Responsibilities

The formation of high impact partnerships is a line management responsibility that starts with the Laboratory Director and extends to the individual team members who participate in the laboratory’s partnership and technology transfer programs. The Partnerships Management System consists of several, cross-functional business processes that must interface effectively with other Management Systems. The Manager, Office of Partnerships and Technology Transfer (OPTT), has overall responsibility for establishing and administering the Partnerships Management System.

Role Responsibilities

Laboratory Director

  • Clearly establish technology transfer as a mission for the laboratory, in accordance with the Contract and other regulatory requirements, through policy guidance and other communications.
  • Provide the resources necessary for the successful execution of the technology transfer mission

Chief Operating Officer (COO)

  • Secure and allocate resources needed to support successful execution of the Partnerships Management System.
  • Oversee the process of establishing Memoranda of Understanding (MOUs) and international science and technology (S&T) agreements
  • Sign or delegate signature authority for Partnering Agreements with domestic and international partners, consistent with identified risks.

Associate Laboratory Directors

  • Promote economic development and the transfer of technology as a mission responsibility, in accordance with laboratory policy.
  • Secure and allocate resources needed to support successful execution of the Partnerships Management System.

Division/Section/Center (D/S/C) Heads

  • Line management responsibility for executing the technology transfer mission and Partnerships Management System within their respective organizations, in accordance with the contract requirements and published procedures.
  • Provide employees with the necessary guidance, knowledge, training, and tools to plan and execute Partnering Agreements, including the appropriate protection of intellectual property.

All Employees

  • Disclose and seek protection for intellectual property in accordance with current laboratory policies
  • Secure approval for any outside employment in accordance with current laboratory policies and report any Conflicts of Interest with outside Partners and/or Licensees.
  • Protect FRA Business Sensitive Information, Third Party Proprietary Information, and Protected Cooperative Research and Development Agreement (CRADA) Information as defined by lab policy, non-disclosure agreements or other partnering agreements

Manager, OPTT

  • Lead the development of the Partnerships and Technology Transfer Program Plan and Roadmap and ensure the efficient, effective, and full deployment of the Partnerships Management System.
  • Manage the processes of forming, reviewing, and approving all legally-binding agreements with external partners, including but not limited, to Work for Others (WFO), CRADAs, User Agreements, Project Annexes, and licensing agreements.
  • Support the COO in regards to MOUs and international S&T agreements.
  • Manage all functions of the congressionally-mandated Office of Research and Technology Applications (ORTA), including patent, copyright, and licensing management, and pre-publication review of scientific publications for intellectual property
  • Represent the laboratory with external stakeholders including other technology transfer, innovation, and economic development organizations

Partnership Coordinators (OPTT)

  • Manage the development, review, and approval processes for new Partnering Agreements and modifications in accordance with contract requirements and published procedures.
  • Identify and resolve any issues associated with mission alignment, conflict of interest, fairness of opportunity, intellectual property, or U.S. competitiveness determinations.

Patent & Licensing Agents (OPTT)

  • Support inventors in the development and submission of Records of Invention (ROIs)
  • Manage the process of seeking intellectual property protection through patents and copyrights, including management of external patent counsel resources
  • Negotiate licenses with external parties

Laboratory General Counsel

  • Review and approve all MOUs, Partnering Agreements, and licensing agreements for consistency with the Contract, DOE Orders, and the Fermi Research Alliance (FRA) risk profile.
  • Provide legal opinions and assist with the resolution of legal issues, including but not limited to, intellectual property management, liability and indemnity, and conflicts of interest

Manager, Contracts and Grants, Finance Section

  • Manage invoicing of costs incurred and receipt of payments for all technology transfer and licensing agreements.
  • Issue “stop work” orders when funds are not received in a timely fashion

3.0 Management System Operation

3.1 Overview

The objective of the Partnerships and Technology Transfer Program is to seamlessly and efficiently facilitate the formation of high-impact partnerships with industry, academia, and other research facilities, that support the global, scientific missions of the laboratory while advancing U.S. Competitiveness through the transfer of knowledge and technologies to U.S. industry. The purpose of the Partnerships Management System is to establish the policies, processes, and procedures for planning, executing, evaluating, and improving performance, in accordance with the requirements of the Contract.

4.0 References

4.1 Contract Requirements

  • DOE Prime Contract No. DE-AC02-07CH11359 for the Management and Operation of the Fermi National Accelerator Laboratory (Fermilab)
  • Fermilab Performance Evaluation and Measurement Plan (PEMP) Objective 6.5 Technology Transfer
  • Fermilab PEMP Notable Outcome 6 (FY14)

4.2 DOE Orders and Manuals

  • DOE Order 481.1C Admin Chg 1, Work for Others (Non-Department of Energy Funded Work
  • DOE Manual 481.1-1A Chg 1, Reimbursable Work for Non-Federal Sponsors Process Manual
  • DOE Order 483.1A, DOE Cooperative Research and Development Agreements
  • DOE Order 522.1, Pricing of Departmental Materials and Services
  • DOE Order 241.1B, Scientific and Technical Information Management

4.3 Key Related FRA Policies and Procedures

  • FRA Code of Business Ethics and Conduct
  • FESHM 8060: National Environmental Policy Act (NEPA) Review Program (November 2013)

5.0 Processes Supporting System

The Partnerships Management System comprises the following major functions, which have been organized into a series of procedures that are currently under development:

Procedure Series Function Description
M12-1000 Partnership Planning This series of procedures documents the processes and requirements related to early stage partnership planning, such as providing letters of support or commitment to Partners who are seeking grant funding from the DOE Small Business Innovative Research (SBIR) and Small Business Technology Transfer (STTR) Program or grant programs from other agencies.
M12-2000 Partnering Agreements This series of procedures documents the processes and requirements related to the formation and execution of legally binding agreements with Partners, including Reimbursable Work for Others (WFO) and Cooperative Research and Development Agreements (CRADAs).
M12-3000 International Agreements This series of procedures documents the processes and requirements related to establishing MOUs, International S&T Agreements, and Project Annexes for the purpose of supporting international scientific collaborations.
M12-4000 Intellectual Property Management This series of procedures documents the processes and requirements related to protecting intellectual property, including patents, copyrights, pre-publication reviews, and the proper use of DOE patent waivers in Partnering Agreements.
M12-5000 Licensing and Commercialization This series of procedures documents the processes and requirements related to transferring intellectual property to the private sector, including licensing agreements, royalty income, technology maturation, and entrepreneurial leaves of absence.
M12-6000 Performance Management This series of procedures documents the processes and requirements related to full-life-cycle management of the Performance Management process, including the annual institutional planning process, budget planning, the program execution plan (PEP), the Performance Evaluation Management Plan (PEMP), and the identification, collection and reporting of performance metrics.
M12-7000 Reviews, Audits, and Continuous Improvement This series of procedures documents the processes and requirements related to performing self-assessments of the Partnership Management System, participating in internal or external reviews and audits, responding to findings, developing corrective actions, and engaging in continuous improvement.

6.0 Reviews, Audits and Reports

6.1 Reports

The following reports are required on an annual basis, in accordance with the contract:

  • Technology Transfer Annual Report (May)
  • Technology Transfer Plan (May)
  • Planned Uses of Royalties and Other Income (May)
  • Report on Actual Uses of Royalties and Other Income (September)
  • Statement of Royalties Paid (September)
  • Annual Work for Others Report (December)
  • Quarterly Technology Transfer Ombudsman Report (October, January, April, July)
  • Invention Utilization Report (upon DOE request)
  • Interim List of Subject Inventions (upon DOE request)

Most of the reporting requirements are satisfied by the annual DOE Call for Technology Transfer Data, which is coordinated by the Office of the Technology Transfer Coordinator at DOE Headquarters in cooperation with the Technology Transfer Working Group (TTWG). This Annual Data Call typically occurs in or near October.

6.2 Reviews and Audits

Many of the transactions associated with the Partnerships Management System are reviewed and approved by the Department of Energy as they occur. These include:

  • All Partnering Agreements (WFO and CRADA) are reviewed and approved by the Fermi Site Office.
  • All International Agreements are reviewed by the Fermi Site Office and by the DOE Office of Science.
  • All patent and copyright elections are reviewed and approved by the DOE Chicago Legal Office.

The Office of Partnerships and Technology Transfer (OPTT) meets with the Fermi Site Office on a monthly basis for a formal discussion of Partnering Agreements and any other matters pertaining to the Partnerships Management System . Additional discussions and meetings are scheduled as needed to discuss specific issues or concerns.

At present, there are no other regularly scheduled reviews or audits of the Partnerships Management System. Once the procedures associated with managing the Partnerships Management System have been completed, approved, published, and implemented, it is anticipated that a schedule for self-assessments and DOE reviews will be established to monitor the performance of the Management System on an ongoing basis.

The laboratory does participate in ad hoc reviews by the DOE, IG, GAO, FRA, and other organizations. The Manager, OPTT is responsible for coordinating the responses to any findings from these reviews and audits. All issues are posted, assigned, and tracked through iTrack.

Last modified: 01/24/2014 |