Doing Business With Us - Mechanisms for External Funding - LBNL / OSPIP

Contractual Mechanism
Description
Protection of Information
Intellectual Property
Sponsor Funding
LBNL/DOE Funding
Comments
WFO(Work for Others) Non-Federal Sponsor A contract that provides industry, non-profit institutions, and state and local governments access to the Laboratory's unique facilities, equipment, and personnel. Usually all parties can use all data produced without restriction. Publishing party must provide publication to other party for review 30 days prior to intended publication. Review is for proprietary information and unprotected patentable information.

With some exceptions, title to LBNL inventions goes to the sponsor. Pays full cost of Laboratory effort. Unless waived( for certain types of sponsors) sponsor pays a DOE Federal Administrative Charge. A 120-day cash advance required.

Industry sponsor pays full cost of Laboratory effort. Includes research and development as well as unique analytical services. The work may not place LBNL in direct competition with private industry. Work must be consistent with or complementary to the Laboratory's mission. DOE must approve the proposal and any substantive changes to the WFO agreement.
WFO (Work for Others) Federal Sponsors A federal interagency agreement (IAG) or a grant which provides a federal agency access to the Laboratory's unique facilities, equipment, and personnel. Interagency agreements are accepted by a DOE Contracting Officer and a grant is accepted by a OSPIP Contracts Officer on behalf of the Regents of the University of California.

The technical data generated is available for publication. The Regents of the University of California (UC) has title to LBNL inventions. The sponsoring agency pays the full cost of the Laboratory's efforts plus a DOE Federal Administrative Charge which may be waived by DOE, depending on the sponsor

No LBNL funds are used to support the work. LBNL is prohibited from submitting proposals either directly or as subcontractors in response to a Federal Request for Proposals (RFP). LBNL is allowed to submit proposals either directly or as subcontractors to Federal Broad Agency Announcements (BAAs).

Interagency Agreements must include a non-competition statement in order to be approved by DOE. The same statement can be required for federal grants.

CRADA (Cooperative Research and Development Agreement) A contract that establishes a partnership with industry for collaborative research and development activities. The parties may protect (like a trade secret) their commercially valuable information for up to five years. Publishing party must provide publication to other party for review 30 days prior to intended publication. Review is for proprietary information and unprotected patentable information.

Each party retains title to its own inventions. For LBNL inventions, industrial partner is granted an option for a royalty-bearing exclusive license in a field of use.

Cost-shared through contributions of funds, personnel, equipment, services, or facilities. A 120-day cash advance required on funds-in to LBNL. There maybe an additional DOE Federal Administrative Charge( unless wavied ).

Cost-shared through contributions of funds, personnel, equipment, services, or facilities. The Laboratory cannot pay funds to partner.

Requires scientific collaboration by the industrial partner. Work must have a benefit to a DOE/LBNL mission. Usually accompanied by a license or option agreement. Requires "substantial U.S. manufacture" of resulting products or services. DOE must approve "Joint Work Statement" and the CRADA before work can begin. If 100% of costs are paid by partner, WFO is an alternative.

DOE Management and Operating (M&O) Contractor Funded Work A memorandum purchase order between LBNL and another DOE management and operating (M&O) contractor for research, services, fabrication, or use of LBNL facilities. LBNL performs the work under the terms of our contract with DOE.

The technical data generated is available for publication. The Regents of the University of California (UC) has title to LBNL inventions. The other DOE M&O contractor pays the full cost of the LBNL effort. No LBNL funds are used to support the work. If over $1mill, DOE signs an InterDOE Work Order also.
Gift The gift must be irrevocable. The donor cannot impose a written contractual agreement, reports of research results or financial expeditures, or any other requirements on LBNL.

The technical data generated is available for publication. The Regents of the University of California (UC) has title to LBNL inventions. The gift funds have a 5% admin fee and costs are not fully overheaded. No LBNL funds are used. >Gifts are made to The Regents of the University of California and are accepted by the LBNL Director except for gifts over $100,000 which are accepted by the UC Office of the President.

User Agreement A contract that provides access to certain unique LBNL experimental facilities for research, testing and developing prototypes. Examples of National User Facilities include the Advanced Light Source and the Center for Electron Microscopy.

There are both proprietary and nonproprietary agreements. Inventions go to the user. If the work is proprietary, use of facilities requires full-cost reimbursement under the same rules as WFO. Use of facility is subject to availability. The industrial partner directs the activity that occurs within the terms of agreement. DOE approval is not required.

For additional information contact: Office of Sponsored Projects and Industry Partnerships (OSPIP)