Management System Owner: Manager, Office of Partnerships and Technology Transfer (OPTT)
Revision and Date: Revision 1.2 - June 29, 2018
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.
The formation of high impact partnerships is a line management responsibility that starts with the Laboratory Directory 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.
· 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
· 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.
· Promote economic development and the transfer of technology as a mission responsibility, in accordance with laboratory policy.
· 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.
· 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
· 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 Strategic Partnership Projects (SPP), 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
· 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.
· Perform intellectual property reviews of all publications, presentations, posters, articles, photos, videos, or any other media prior to public disclosure.
· 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
· 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
· 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
· Review and validate DOE in-kind contributions to CRADAs and other collaboration agreements
· Develop guidance and oversee the process for tracking and reporting DOE in-kind contributions
Other DOE orders, regulations, and statutes
Key Related FRA Policies and Procedures
FRA Contract Clause Mapping to Management Systems
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.
The Partnerships Management System comprises the following major functions, which have been organized into a series of procedures that are currently under development:
The following reports are required on an annual basis, in accordance with the contract:
· Technology Transfer Annual Report (January)
· 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)
· 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 January following fiscal year end..
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 (SPP and CRADA) are reviewed and approved by the Fermi Site Office.
· All International Agreements are reviewed and approved by the Fermi Site Office, Chicago Integrated Support Center, and DOE Headquarters.
· 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 .
· Records of its technology transfer activities in a manner and to the extent satisfactory to the DOE and specifically including , but not limited to, the licensing agreements, assignments and the records required to demonstrate compliance with the Fairness of Opportunity, U.S. Industrial Competitiveness, and Disposition of Income provisions of the Prime Contract.
· Records for the accumulation of costs and billing of work for all funds-in or cost-shared Partnering Agreements to ensure that DOE's appropriated funds are not used in support of Partner activities and to provide an accounting of the expenditures to DOE and the Partner upon request.
· Summary listing of project information for each active Partnering Agreement, consisting of Partner name, total estimated costs, project title and description, project point of contact, and estimated start and completion dates.
· Records related to Subject Inventions and Copyrighted Works (other than scientific and technical articles and data produced under a CRADA), including all Records of Invention and supporting documentation.
· Records, available for inspection by DOE, of software distributed as Open Source Software (OSS).
· Delegation of Signature Authority (Memo Dated 9-5-2013)
· Quality Assurance Guidelines for Scientific Research at Fermilab
· DOE Sensitive Subjects List (June 2001)
· DOE Order 443.1B "Protection of Human Research Subjects" (Approved: 03-17-2011)
· DOE Order 522.1, Pricing of Departmental Materials and Services
· DOE Order 241.1B, Scientific and Technical Information Management
The Green Book, Federal Technology Transfer Legislation and Policy, prepared by the Federal Laboratory Consortium for Technology Transfer
The Partnership Management System applies identically to FRA-sponsored work in South Dakota as it does in Batavia and the same points of contact should be used.