Display Related Directives to this directive.

U.S. Department of Energy ORDER
DOE O 483.1 Washington, D.C.

Approved: 01-12-01
Sunset Review: 01-12-03
Expiration: 01-12-05

SUBJECT: DOE COOPERATIVE RESEARCH AND DEVELOPMENT AGREEMENTS

1. OBJECTIVES.

a. To establish Department of Energy (DOE) policy, requirements, and responsibilities for the
oversight, management, and administration of Cooperative Research and Development
Agreement (CRADA) activities at DOE facilities.

b. Through the use of CRADAs, consistent with the terms of the facility contract or
delegation of authority, DOE and its facilities will

(1) facilitate the efficient and expeditious development, transfer, and exploitation of
Federally owned or originated technology to non-DOE entities for the public benefit
and to enhance the accomplishment of DOE missions;

(2) leverage DOE resources, through its programs and facilities, through partnering; and

(3) ensure fairness of opportunity, protect the national security, promote the economic
interests of the United States, and provide a variety of means to respond to private-
sector concerns and interests about facility technology partnering activities.

c. To ensure that DOE and its facilities

(1) carry out CRADA activities in accordance with applicable laws and authorities
(CRADAs are an important tool to fulfill the objectives of technology partnering, as
provided for in DOE O 482.1, DOE FACILITIES TECHNOLOGY
PARTNERING PROGRAMS);

(2) ensure consistent development and application of policy and procedures in planning
and conducting CRADA activities at DOE facilities; and

(3) ensure the availability of timely and accurate CRADA data and information to
monitor, evaluate, and describe DOE CRADA activities.

2. CANCELLATION. None.

3. APPLICABILITY.

a. DOE Elements. The provisions of this Order apply to all Departmental organizational
elements negotiating all aspects of and entering into CRADAs performed under Title 15
United States Code (U.S.C.), Section 3710a. Government- Owned,
Contractor-Operated (GOCO) facility contractors are authorized to enter into CRADAs
by Department of Energy Acquisition Regulation (DEAR) 970.5204-40, Technology
Transfer Mission clause, or Government-Owned, Government-Operated (GOGO)
facilities by delegation of authority.

b. Contractors. The Contractor Requirements Document (CRD), Attachment 1, sets forth
requirements for all DOE facility contractors negotiating and entering into CRADAs
performed under the National Competitiveness Technology Transfer Act of 1989.
Contractor compliance with the CRD is required to the extent set forth in the contractor's
contract.

4. REQUIREMENTS. The following requirements apply to DOE facilities entering into CRADA
activities (see DEAR 970.73 and DOE M 483.1-1, DOE COOPERATIVE RESEARCH AND
DEVELOPMENT AGREEMENTS MANUAL):

a. The proposed work is expected to result in a benefit consistent with the program missions
at the facility and the facility's mission established by the cognizant secretarial officer
(CSO).

b. The proposed work represents a collaboration with a non-Federal partner in specified
research or development efforts that is consistent with the missions of the facility. The non-
Federal party contribution must be more than financial and/or equipment or the
development of a statement of work.

c. Guidelines and further detail on the requirements can be found in DOE M 483.1-1.

d. In conducting its CRADA activities, the facility must prepare procedures and take all
reasonable measures to ensure widespread notice of availability of technologies suited for
transfer and for opportunities for exclusive licensing and joint research arrangements.

e. Activities must be conducted in a manner that does not compromise the national security,
economic, and environmental interests of the United States.

f. Export control reviews must be performed in accordance with facility contracts and DOE
policy. CRADA activities can result in information and technologies that may be subject to
export controls. This export-controlled information (ECI) may or may not also fall under
such categories as Classified information or Unclassified Controlled Nuclear Information
(UCNI). The information and/or technology may become ECI at any stage.

g. Information and data that are commercially valuable may be developed, including some
that may have intellectual property rights associated with it. Consistent with applicable
statutes, such information may be considered for protection from public dissemination, for
a period not to exceed 5 years, to retain its commercial value and provide an incentive for
its commercial application.

h. DOE employees and contractors, in accordance with the provisions of facility contracts,
must protect proprietary information and data provided by private-sector collaborators
and sponsors in the conduct of CRADA activities.

5. RESPONSIBILITIES. ( See Attachment 2, DOE Facilities/Labs Listing by Field Office.)

a. Under Secretary for Energy, Science, and Environment in Consultation with the Under
Secretary for Nuclear Security.

(1) Subject to the Secretary's direction, recommends to and coordinates policy and
provides overall guidance for CRADA activities, and recommends appropriate
delegations of authority for carrying out such policy and guidance.

(2) Serves as the focal point and provides leadership for developing policies and
procedures, resolving CRADA partnering issues, and ensuring effective
implementation of existing policies.

b. The Research and Development (R&D) Council, acting through the Under Secretary.

(1) Provides recommendations regarding policy and procedures for the conduct and
coordination of CRADA activities by DOE facilities.

(2) Provides an interagency coordination point for CRADA activities at DOE facilities,
as appropriate.

(3) Provides guidance to CSOs for the preparation and submission of reports, such as
the annual DOE Report to Congress on technology partnering program activities.

(4) Coordinates the preparation of annual facility technology partnering program
reports.

c. Lead Program Secretarial Officers.

(1) Have primary oversight, management, and administrative responsibility for sitewide
coordination and integration of CRADA activities by the field offices under their
lead.

(2) Ensure that the each field office manager completes an appraisal of the performance
of the CRADA activities at each of the facilities under their cognizance.

d. Cognizant Secretarial Officers.

(1) Exercise primary oversight, management, and administrative responsibility for
CRADA activities at facilities under their cognizance.

(2) For facilities under their cognizance, provide general guidance in accordance with
the terms of the facility contract or delegation of authority.

(3) Ensure the availability of timely and accurate data and information about CRADAs
from facilities under their cognizance for satisfying DOE reporting and information
requirements.

(4) Ensure that the management and performance of CRADA activities at the facilities
under their cognizance are appraised.

e. Program Secretarial Officers.

(1) Exercise primary programmatic responsibility for the implementation of CRADA
activities for their programs.

(2) Support the CSO in the execution of the CSO's institutional responsibilities, by
providing programmatic, mission area, and technical expertise in the resolution of
CRADA issues.

f. Director, Office of Policy. Responsible for CRADA policy coordination, as provided in
DOE O 482.1 and DOE M 483.1-1, and in accordance with overall guidance from the
Under Secretary for Energy, Science, and Environment in consultation with the Under
Secretary for Nuclear Security and the R & D Council.

g. Assistant General Counsel for Technology Transfer and Intellectual Property.

(1) Provides DOE legal advice and representation on issues related to the CRADA
program.

(2) Establishes policy on intellectual property rights, advises and provides guidance on
intellectual property provisions for CRADAs and the CRADA Manual, and
approves waivers of patent rights and of any disposition of other intellectual property
rights.

h. Heads of Field Elements.

(1) Oversee CRADA activities conducted in DOE facilities under their purview. In this
capacity, heads of field elements are accountable to the CSO.

(2) Ensure that facilities under their purview carry out their CRADA activities in
accordance with applicable laws, regulations, and delegations of authority.

(3) Develop and implement local procedures for the review and approval of CRADA
documents, monitoring, and reporting of CRADA activities consistent with
legislation, DOE policies, and procedures.

(4) In coordination with the CSO and PSOs, conduct reviews and appraisals of
CRADA activities at facilities under their cognizance.

(5) Notify appropriate Headquarters elements in accordance with the notification
criteria in DOE M 483.1-1 and guidance from the CSO.

(6) Ensure DOE and/or contractor review of proposed CRADA activities involving
human and/or animal subjects for compliance with the established regulations for
protection of these subjects, as appropriate.

(7) Ensure that CRADA activities under their purview are conducted in accordance
with applicable security, safeguards, and classification policies, as appropriate.

(8) Ensure DOE and contractor review of CRADA activities for compliance with DOE
environmental, safety, and health requirements, including requirements of the
National Environmental Protection Act, as appropriate.

(9) Consistent with the policies and procedures of the Department regarding CRADA
activities, establish performance goals and measures to assess field performance and
effectiveness of local CRADA processes and impacts of subsequent improvements
and/or additional requirements.

(10) Ensure that summary information is maintained sufficient to respond to reporting
requirements and to respond to requests for information from DOE Headquarters or
outside entities.

i. Office of Intelligence, consistent with policies and guidelines contained within this Order:

(1) Establishes procedures for all CRADA activities concerning intelligence and
intelligence-related programs.

(2) Approves all CRADA activities for the intelligence-related programs.

j. Office of Counterintelligence (OCI), consistent with policies and guidelines contained
within this Order:

a. Establishes procedures for CRADA activities involving classified and/or sensitive but
unclassified technology. The list of sensitive subjects is maintained by the Office of
Defense Nuclear Nonproliferation.

b. Establishes procedures for CRADA activities involving foreign participants.

6. REFERENCES.

a. Stevenson-Wydler Technology Innovation Act of 1980, Public Law 96-480 (15 U.S.C.
3701 et seq.), established Offices of Research and Technology Applications (ORTAs) at
Federal Laboratories.

b. Bayh-Dole Act of 1980, Public Law 96-517 (35 U.S.C. 200 et seq.), gives small
businesses and nonprofit contractors the right to elect title to inventions made under funding
agreements, with the Government retaining a license; provides for march-in rights and U.S.
industry preference; and contains provisions relating to licensing of inventions.

c. Section 152 of the Atomic Energy Act of 1954, Public Law 83-703 (42 U.S.C. 2182),
addresses the disposition of title to inventions useful in the production or utilization of
special nuclear material or atomic energy made under DOE contracts, etc., and the waiver
of title to such inventions to contractors.

d. Section 9 of the Federal Nonnuclear Energy Research and Development Act of 1974,
Public Law 93-577 (42 U.S.C. 5908), addresses the disposition of title to nonnuclear
inventions made under DOE contracts, etc., and the waiver of title to such inventions to
contractors.

e. Executive Order 12591, dated April 10, 1987, "Facilitating Access to Science and
Technology," requires that Executive departments and agencies, to the extent permitted by
law, transfer Federally funded technology to the commercial sector and specifically
addresses GOGOs entering into CRADAs and licensing, assigning, and waiving intellectual
property developed under such CRADAs.

f. Section 33 of the Atomic Energy Act of 1954, Public Law 83-703 (42 U.S.C. 2051),
provides for the dissemination of scientific and technical information.

g. Freedom of Information Act, Public Law 89-487 (5 U.S.C. 552 et seq.), provides for
public access to Federal agency records, which would include records containing scientific
and technical information created with Federal funding.

h. Trademark Clarification Act of 1984, Public Law 98-620, extended the contractors' right
to elect title to inventions provided by the Bayh-Dole Act to DOE's GOCO contractors.

i. Federal Technology Transfer Act of 1986, Public Law 99-502, authorizes CRADAs for
GOGOs, establishes the Federal Laboratory Consortium for Technology Transfer, and
allows GOGO laboratories to negotiate licensing agreements for inventions made at his/her
laboratories.

j. National Competitiveness Technology Transfer Act of 1989, Public Law 101-189,
establishes technology transfer as a laboratory mission and permits GOCOs to enter into
CRADAs.

k. National Technology Transfer and Advancement Act of 1995, Public Law 104-113,
provides the CRADA collaborating party an option for reasonable compensation when
appropriate to choose an exclusive license for a prenegotiated field of use in any invention
made in whole or in part by a laboratory employee under the CRADA.

l. National Defense Authorization Act of 1999, Public Law 105-261, provides for the
Secretary of Energy to impose a Federal Administrative Charge (which includes any
depreciation and imputed interest charges) in an amount not to exceed 3 percent of the full
cost incurred in carrying out the research and activities on behalf of non-Departmental
persons and entities.

m. DOE M 483.1-1, DOE COOPERATIVE RESEARCH AND DEVELOPMENT
AGREEMENTS, provides detailed requirements to supplement this Order.

n. DOE O 482.1, DOE FACILITIES TECHNOLOGY PARTNERING PROGRAMS,
provides roles and responsibilities for the oversight, management and administration of
technology partnerships and associated mechanisms.

7. CONTACT. For information about this Order, contact the Office of Policy at 202-586-3900.
8. DEFINITIONS.

a. Cognizant Secretarial Officer. The Assistant Secretary/Director responsible for a bounded
set of facilities or laboratories, as identified in Attachment 2.

b. Cooperative Research and Development Agreement (CRADA). Any agreement between
one or more Federal facilities and one or more non-Federal parties under which the
Government, through its facilities, provides personnel, services, facilities, equipment,
intellectual property, or other resources with or without reimbursement (but not funds to
non-Federal parties) and the non-Federal parties provide funds, personnel, services,
facilities, equipment, intellectual property, or other resources toward the conduct of
specified research or development efforts which are consistent with the mission of the
facility; except that such terms do not include a procurement contract or cooperative
agreement.

c. DOE Facility. Government-owned laboratory or production facility or other facility
operated under DOE program cognizance.

d. Heads of Field Elements. Managers of operations/field offices and directors of GOGOs.
Heads of field elements report directly to the lead program secretarial officer and have line
accountability for all site program/project execution and contract management.

e. DOE Facility Contractor. Entity that operates and maintains a DOE facility under contract
with and for the benefit of DOE and has the responsibility to conduct technology partnering
activities.

f. Lead Program Secretarial Officer. An Assistant Secretary/Director to whom assigned
field offices directly report and who has overall ownership responsibility for the field
offices, as identified in Attachment 2.

g. Licensing. The transfer of less than ownership rights in intellectual property, such as a
patent or a software copyright, to permit its use by the licensee.

h. Operations/Field Office Manager. An individual who reports directly to the lead program
secretarial officer and has line accountability for all site program/project execution and
contract management.

i. Program Secretarial Officer. An Assistant Secretary/Director who funds work at a
particular site or laboratory via a "customer" relationship with the field element.

j. Research and Development (R&D) Council. A senior-level, DOE-wide coordinating
body that focuses on cross-cutting R&D and related science and technology (S&T) policy
and management issues. When designated by the Secretary, the Under Secretary for
Energy, Science and Environment serves as the Chair of the R&D Council. The R&D
Council, through its designated Chair, and in consultation with the Under Secretary of
Nuclear Security, assists the Secretary and Deputy Secretary in addressing and resolving
issues common to more than one DOE R&D organization; coordinating the implementation
of DOE-wide R&D management activities, including R&D portfolio management and
analysis and the development and coordination of technology partnering policy and
procedure; and in facilitating liaison activities with organizations external to the DOE on
R&D and S&T matters. Members of the R&D Council include the Chief Financial
Officer, the Director of the Office of Policy, and the heads of DOE organizations
responsible for R&D programs, including

the Deputy Administrators for Defense Programs, Defense Nuclear Non-
Proliferation, and Naval Reactors;
the Assistant Secretaries for Energy Efficiency and Renewable Energy, Fossil
Energy, and Environmental Management; and
the Directors of the Offices of Science; Nuclear Energy, Science, and Technology;
Civilian Radioactive Waste Management; and Security and Emergency Operations.

BY ORDER OF THE SECRETARY OF ENERGY:

T.J. GLAUTHIER
Deputy Secretary CONTRACTOR REQUIREMENTS DOCUMENT

DOE O 483.1, DOE COOPERATIVE RESEARCH AND
DEVELOPMENT AGREEMENTS

1. Establish and maintain a management system, including policy and procedures, that ensures
Cooperative Research and Development Agreement (CRADA) activities requirements of DOE
O 483.1, DOE COOPERATIVE RESEARCH AND DEVELOPMENT AGREEMENTS, and
DOE M 483.1-1, COOPERATIVE RESEARCH AND DEVELOPMENT AGREEMENT
MANUAL, are satisfied.

2. Develop in conjunction with the heads of field elements appropriate performance measures for
CRADA activities and participate in DOE's Performance-Based Business Management Process
(DOE O 224.1, CONTRACTOR PERFORMANCE-BASED BUSINESS MANAGEMENT
PROCESS) or other appraisals in accordance with the facility contract.

3. Submit to DOE, CRADAs and JWSs for review and approval unless the DOE Contracting
Officer has the statutory authority to delegate these functions to the contractor and the DOE
Contracting Officer elects to make the delegation in accordance with DOE policy.

4. Review proposed work involving human and/or animal subjects for compliance with established
regulations for protection of these subjects.

5. Review projects for compliance with DOE environmental, safety, and health requirements,
including the National Environmental Protection Act.

6. Ensure projects are protected in accordance with applicable security, safeguards, and
classification policies and procedures, including the site security plan or supplemental security
plan specific to a project.

7. Ensure contractor employees protect proprietary information and data provided by private sector
collaborators and sponsors in the conduct of CRADA activities.

8. Request DOE approval for construction at a DOE site when that construction exceeds the
general plant project threshold. Approval by the cognizant Secretarial Officer and the Chief
Financial Officer is required prior to initiation of work which exceeds the threshold.

9. Maintain a project summary listing of information on each active CRADA project.

10. Maintain project file information documenting policy compliance.

11. Submit information on CRADAs as part of the annual Technology Partnering Report. DOE FACILITIES AND LABORATORIES LPSO AND CSO ASSIGNMENTS
BY FIELD OFFICE
May 31, 2000

Field Office
LPSO
Facility/Laboratory
CSO
PSOs Operating
Programs

Albuquerque (AL)
NNSA Field
Manager
DP
Los Alamos National Laboratory (LANL)
Sandia National Laboratory (SNL)
Pantex Plant
Kansas City Plant
Grand Junction Project Office (GJPO)
Waste Isolation Pilot Project (WIPP)
DP
DP
DP
DP
EM*
EM*
DP/NN/SC/EM/EE/FE/NE/RW
DP/NN/SC/EM/EE/FE/NE/RW
DP/EM/NN
DP/EM/NN
DP/EM/SC
EM

Chicago (CH)
DOE Field
Manager
SC
Argonne National Laboratory - East (ANL-E)
Brookhaven National Laboratory (BNL)
Ames Laboratory
Princeton Plasma Physics Laboratory (PPPL)
Fermi National Accelerator Laboratory
New Brunswick Laboratory (NBL)
Environmental Measurements Laboratory (EML)
SC
SC
SC
SC
SC
SO*
EM
SC/NE/EM/EE/DP/FE/NN/RW
SC/NN/EM/EE/NE/DP/FE
SC/EM/FE/EE/NN
SC/EM
SC
SC/NE/NN
SC/EM/NN

Idaho (ID) DOE
Field Manager
EM
Idaho National Engineering and Environmental
Laboratory (INEEL)
Test Reactor Area
Radiological and Environmental Laboratory (RESL)
Argonne National Laboratory - West (ANL-W) 1
EM

NE*
EM
NE*
SC/EE/DP/NN/NE/EM/FE

EM/NE/NR
EM
NE/NN/EM

Nevada (NV)
NNSA Field
Manager
DP
Nevada Test Site

Yucca Mountain Site (YMSCO)2
DP

RW*
DP/RW/NN/EM

Oak Ridge (OR)
DOE Field Manager

NNSA Field
Manager
SC
Oak Ridge National Laboratory (ORNL)
Paducah/Portsmouth
ETTP, K-25, Weldon Spring, etc.
Thomas Jefferson National Accelerator Facility (TJNAF)

Y-12
SC
NE*
EM*
SC

DP*
SC/NN/EM/EE/DP/FE/NE
EM/NE
SC/EM
SC

SC/DP/NN

Oakland (OAK)
DOE Field
Manager

NNSA Field
Manager
SC
Lawrence Berkeley National Laboratory (LBNL)
Stanford Linear Accelerator Center (SLAC)
Energy Technology Engineering Center (ETEC)

Lawrence Livermore National Laboratory (LLNL)
SC
SC
EM

DP*
SC/EM/EE/DP/RW/NN/FE
SC/EM
SC/EM

DP/EM/RW/SC/NN/NE/EE/FE/
MA

Office of River
Protection (ORP)6+
DOE Field Manager
EM
Office of River Protection (ORP)
EM
EM

* Instances where the CSO is not the LPSO and a MOU is required

1 Reports through the Chicago Operations Office
2 Reports directly to the Office of Civilian Radioactive Waste Management DOE FACILITIES AND LABORATORIES LPSO AND CSO ASSIGNMENTS
BY FIELD OFFICE
May 31, 2000
(continued)

Field Office
LPSO
Facility/Laboratory
CSO
PSOs Operating
Programs

Ohio DOE Field
Manager
EM
Mound Environmental Management Project
Space Power Systems (MEMP)
Fernald Environmental Management Project (FEMP)
West Valley Demonstration Project (WVDP)
Ashtabula Environmental Management Project (AEMP)
Columbus Environmental Management Project (CEMP)
EM
NE*
EM
EM
EM
EM
EM
EM/NE
EM
EM
EM
EM

Richland (RL)
DOE Field
Manager
EM
Hanford Site
Pacific Northwest National Laboratory (PNNL)
Fast Flux Test Facility
EM
SC*
NE*
EM/NN/NE
SC/DP/EE/FE/EM/NN/NE
EM/NE

Rocky Flats (RF)
DOE Field Manager
EM
Rocky Flats Environmental Technology Site
(RFETS)
EM
EM

Savannah River
(SR) DOE Field
Manager

NNSA Field
Manager
EM
Savannah River Site (SRS)
Fissile Material Disposition Facilities

Tritium Facilities
EM
NN

DP
EM/DP/NN
EM

EM/DP

National Energy
Technology
Laboratory (NETL)
DOE Field Manager
FE
Morgantown Site
Pittsburgh Site
FE
FE
FE/EE/EM/NE/NN
FE/EE/EM/NE/NN

Albany Research
Center DOE Field
Manager
FE
Albany Research Center
FE
FE/EE/EM/NE/NN

National Petroleum
Technology Office
(NTPO) DOE Field
Manager
FE
National Petroleum Technology Office (NTPO)
FE
FE/EE/EM/NE/NN

Golden Field Office
(GFO) DOE Field
Manager
EE
National Renewable Energy Laboratory (NREL)
EE
EE/SC

Naval Petroleum
Reserves (NPR)
DOE Field Manager

FE Naval Petroleum Reserves (NPR)
Naval Oil Shale Reserves (NOSR)
Rocky Mountain Oil Field Testing Center (RMOTC)
FE
FE
FE
FE
FE
FE

* Instances where the CSO is not the LPSO and a MOU is required

3 Facility located on the Idaho Environmental Engineering Laboratory Site; MOA with Idaho Operations Office required. DOE FACILITIES AND LABORATORIES LPSO AND CSO ASSIGNMENTS
BY FIELD OFFICE
May 31, 2000
(continued)

Field Office
LPSO
Facility/Laboratory
CSO
PSOs Operating
Programs

Pittsburgh Naval
Reactors Office
(PNRO) NNSA
Field Manager
NR
Bettis Atomic Power Laboratory (BAPL)
Naval Reactor Facility (NRF)3
NR
NR
NR
NR*

Schenectady Naval
Reactors Office
NNSA Field
Manager
NR
Knolls Atomic Power Laboratory (KAPL)
NR
NR

Strategic Petroleum
Reserve Project
Management Office
(SPRO) DOE
Project Manager
FE
Oil Supply Distribution Facilities
Bryan Mound
Bill Hill
Bayou Choctaw
Weeks Island
West Hackberry
FE
FE

* Instances where the CSO is not the LPSO and a MOU is required