Technology Transfer Mechanisms

Technology transfer can mean many things – technical assistance to solve a specific problem, use of unique facilities, licensing of patents and software, exchange of personnel, and cooperative research. The most appropriate mechanism will depend on the objective of each partner. A brief description of several technology transfer mechanisms is described below:

Cooperative agreements are instruments entered into by the government with industry, universities and others, to support or stimulate research; agreements are generally cost-shared with the nonfederal participant.

Cooperative Research and Development Agreements (CRADAs) are a legal agreement between government laboratories and nonfederal parties in which both participants agree to collaborate, by providing personnel, services, facilities, or equipment and pool the results from a particular research and development program. The nonfederal parties must provide funds or in kind contributions (no direct funding is provided by the laboratory). Rights to inventions and other intellectual property are negotiated between the laboratory and participant, and certain data that are generated may be protected for up to five years.

Cost-Shared Contracts/Subcontracts – collaboration, through procurement, of mutual benefit to industry and to government. Often the government can agree not to disseminate commercially valuable data that is generated under a cost-shared contract for a limited period of time.

Licensing Agreement – the transfer of less than ownership rights in intellectual property, such as a patent or software copyright, to permit its use by the licensee. Licenses can be exclusive or, for a specific field of use or for a specific geographical area. The potential licensee must present plans for commercialization. Information on Department-owned patents and patent applications available for license for commercial use is available from the DOE Invention Licensing Home Page and its associated databases.

Personnel Exchange Programs – arrangements allowing government or laboratory staff to work in industry facilities, and industry personnel to work in government laboratories and facilities to enhance technical capacities and support research in specific areas. Costs are borne by the organization sending the personnel. Intellectual property arrangements can be addressed in exchange agreements.

R&D Consortia – arrangements involving multiple federal and nonfederal parties working together for a common R&D objective. Funding for R&D consortia may be shared, but usually no funds are exchanged between participants.

Technical Assistance to Small Business – by DOE/laboratory /facility personnel is undertaken in response to an inquiry from an individual or organization seeking to further knowledge, solve a specific problem or improve a process or product.

User Facility Agreements – arrangements permitting private parties to conduct research and development using unique facilities or equipment at a laboratory. For proprietary R&D, the laboratory is paid for the full cost of the activity. If the work will be published, cost can be adjusted.

Many specialized centers of excellence exist at DOE's laboratories and facilities. The laboratories have capabilities in state-of-the-art instrumentation for detection and measurement and analysis of a wide range of physics and atomic and nuclear science. Expertise to support innovative efforts exists in advanced materials, precision engineering, nano-technology and microfabrication, nondestructive evaluation, laser sciences, adaptive optics, chemical and biological and photon processes, healthcare and medical research, environmental and energy missions, and high performance scientific computing.

Work-for-Others (WFO) Agreements permit DOE laboratories and facilities to conduct work for other federal agencies and non-federal entities (including state and local governments, universities) on a reimbursable basis. Intellectual property rights generally belong to the user. The work must pertain to the mission of the laboratory or facility, may not conflict or interfere with DOE Programs, and can not directly compete with capabilities that are available in the private sector. Intellectual property rights generally belong to the sponsor.

For more information about technology transfer mechanisms at the Department of Energy, please also see this excerpt from the 2007 Federal Laboratory Consortium’s Technology Transfer Mechanisms Used by Federal Agencies: A Quick Reference Guide.