Policy on Partnerships

Policy on Partnerships

PART – KB0013482

1. Purpose

This policy establishes the principles of engagement for forming and executing partnerships between Fermi Forward Discovery Group, LLC (FermiForward), as operator of Fermi National Accelerator Laboratory (hereinafter “Fermilab” or “laboratory”), and external entities in the public, private, and non-profit sectors both domestic and foreign. 

This policy is not a contract and is not intended to create any obligations on FermiForward. This policy may be terminated or changed by FermiForward at any time, with or without notice.

2. Scope

This policy applies to all forms of partnerships and partnering agreements between the laboratory and other entities, including, but not limited to the following:

a. Large research collaborations, both domestic and foreign, inclusive of Memoranda of Understanding (MOUs), Project Annexes, or other multi-party agreements

b. Experimental use of facilities at the laboratory, inclusive of User Agreements, both proprietary and non-proprietary, and other site access agreements

c. Strategic Partnership Project (SPP) Agreements

d. Cooperative Research and Development Agreement (CRADA), including the International Basic Science CRADA (I-CRADA)

e. Other Agreements that may be authorized by the United States Department of Energy (DOE) for use at the laboratory, including but not limited to the Agreement for Commercializing Technology (ACT) and specialized SPP or CRADA agreements under an approved Master Scope of Work (MSW)

This policy does not apply to authorized procurement activities^[1] under the DOE-Approved Contractor Purchasing System.

3. Applicability

This policy applies to all FermiForward employees and other personnel who hold formal Joint Appointments at the laboratory.

4. Effective Date and Date Reviewed/Updated

This policy went into effect on December 19, 2014, and its update was effective on December 6, 2024.

5. Policy

a. All partnerships must be consistent with U.S. Government policies and Department of Energy (DOE) mission priorities. Proposed partnerships should satisfy the following:

i. The partnership must advance one or more of the missions that have been authorized for the laboratory by the DOE.

ii. The partnership must provide an affirmative benefit to the DOE, the U.S. government, and/or the U.S. economy.

iii. The partnership must be consistent with the stated foreign policy and national security interests and priorities of the U.S. Government.

iv. The partnership must not create a future resource burden on a DOE Program Office, the laboratory, or FermiForward.

b. All agreements, both binding and non-binding, must be legally sound and shall be developed, executed, and managed in accordance with all requirements of the Prime Contract.  In particular, the laboratory will:

i. Ensure fairness of opportunity for potential partners to work with the laboratory or access laboratory resources.

ii. Avoid personal and organizational conflicts of interest^[2] in forming partnerships.

iii. Comply will all applicable U.S. Government statutes, regulations, policies, and procedures governing the protection and transfer of intellectual property, including substantial U.S. manufacturing requirements and U.S. competitiveness requirements.

iv. Comply with all applicable environment, safety, and health standards.

v. Comply will all applicable U.S. export control, counterintelligence requirements, and other safeguards and security requirements.

vi. Comply with all Department of Energy policies and guidance related to engagement with a foreign entity, including Department of Energy Policy 485.1A” Foreign Engagements with DOE National Laboratories” and supplemental guidance issued by the Deputy Secretary of Energy (See 8. Authorities below)

vii. Protect the financial interests of the Department of Energy and FermiForward through appropriate financial, indemnity, product liability, and property management provisions.

c.  DOE Contracting Officer approval is required prior to applying for or accepting funding from any Partner for any purpose, through a Work Authorization approved by the DOE Program Manager (predicated on a Field Work Proposal that outlines the activity and budget), an International Agreement (IA), or a Technology Transfer Agreement (e.g. SPP, CRADA, etc.) that has been approved by the Department of Energy and all funding has been received for the work.

d. Performing work under any approved Partnering Agreement is subject to the availability of funds, as follows:

i. For projects funded by the DOE, the work authorization describing the work to be performed (including specific limitations and requirements), along with the associated funds, must be received at the laboratory before starting work.

ii. For DOE Inter-Entity projects (e.g., National Laboratory to National Laboratory), work can begin upon receipt of a fully executed Inter-Entity Work Order (IEWO) and/or a Memorandum Purchase Order (MPO) or similar contracting mechanism (i.e., subcontract, standard purchase order, Integrated Contractor Order (ICO) etc.) and the period of performance is in effect.

iii. For a federal SPP agreement (e.g., direct funding from an agency other than the Department of Energy through an interagency agreement), work may commence after a fully executed agreement is awarded, the period of performance is in effect, and funds have been received at the laboratory.

iv. For a nonfederal SPP agreement (e.g., industry and university partners), work may commence after a fully executed agreement is awarded, a cash advance has been requested and received, the period of performance is in effect, and funds have been received at the laboratory.

e. Financial management of all received funds shall comply with the current edition of the DOE Financial Management Handbook.

6. Definitions

Cooperative Research and Development Agreement (CRADA) refers to the Partnering Agreement that is used to perform cost-shared, collaborative research.

Foreign Engagement means any proposed agreement that authorizes Fermi Forward Discovery Group, LLC to perform work for or collaborate with a foreign entity through an MOU, CRADA, SPP, Project Annex, or other contractual instruments.

Foreign Entity means (1) any foreign government or foreign government agency or instrumentality thereof; (2) any international organization; (3) any form of business enterprise or legal entity organized, chartered or incorporated under the laws of any country other than the United States or its territories; (4) any form of business enterprise organized or incorporated under the laws of the United States or a State or other jurisdiction within the United States which is owned, controlled or influenced by a foreign government, agency, firm, corporation, or a person who is not a citizen or national of the United States; and (5) any person who is not a citizen or national of the United States.

Intellectual Property means patents, trademarks, copyrights, mask works, protected CRADA information, Energy Policy Act (EPAct) Protected Data, and other forms of comparable property rights protected by Federal Law and other foreign counterparts.

Memorandum of Understanding (MOU) refers to any agreement that is not contractually or legally binding between Fermi Forward Discovery Group, LLC and one or more external entities, including Memorandum of Agreement, Letter of Intent, Statement of Intent, Declaration of Principles, or other similar document, whatever its title.

Partner is the term used to refer to all institutions who participate in a formal, collaborative relationship with Fermi Forward Discovery Group, LLC, including but not limited to Sponsors of Strategic Partnership Projects (SPP) Agreements, Participants in CRADAs, sub awardees under a Research Subcontract, user institutions under Non-Proprietary User Facility Agreement, or Fermilab Affiliates under another type of agreement.

Partnering Agreement refers to all forms of legally binding agreements with external entities, including CRADAs, User Facility Agreements, and SPPs, and excluding procurement instruments and licensing agreements.

Senior Leader (SL) is defined as a member of the laboratory’s senior leadership team and includes Associate Lab Directors, Senior Directors, Project Directors, Center Directors, Chief Research Officer, Chief Operating Officer, Laboratory Director, and any other organizational head reporting directly to the Lab Director.

Strategic Partnership Project (SPP) refers to the Partnering Agreement that is used to perform work for other entities, domestic or foreign, on a fully reimbursable basis.

User Facility Agreement refers to the Partnering Agreement that is used to support research collaborations and externally funded experiments that are performed on-site at Fermilab at a designated Scientific User Facility.

7. Responsibilities

The Laboratory Director is responsible for authorizing or delegating authority for establishing MOUs and Partnering Agreements with all domestic and foreign entities.

The Head, Office of Partnerships and Technology Transfer is responsible for administering the Partnership Management System for the laboratory.

The Director of the Office of International Engagements (OIE) serves as the single point of contact for all international matters within the laboratory and DOE, including all international MOUs. The Director of the OIE is responsible for administering the foreign engagement aspects of the Partnership Management System.

The Senior Leader is authorized to propose Partnering Agreements affecting their line organization and responsible for the overseeing management of the fully executed Partnering Agreement in accordance with the Partnership Management System.

8. Authorities

Department of Energy Policy 485.1A regarding “Foreign Engagements with DOE National Laboratories

Deputy Secretary of Energy Memorandum regarding “Department of Energy International Science and Technology Engagement Policy” (Issued: 12/14/2018)

Secretary of Energy Memorandum regarding “Science and Technology Risk Matrix Guidance” (EXEC-2019-007234; Issued: 12/13/2019)

Deputy Secretary of Energy Memorandum regarding “Update to the Science and Technology Risk Matrix” (Issued: 6/27/2023)

Fermilab Policy on International Engagement

DOE Order 481.1E “Strategic Partnership Projects [Formerly Known as Work for Others (Non-Department of Energy Funded Work)]

DOE Order 483.1B “DOE Cooperative Research and Development Agreements”

DOE Financial Management Handbook (based on DOE Order 520.1B, “Financial Management and Chief Financial Officer Responsibilities”)

For the most recent versions of the listed DOE Policies and Orders, visit U.S Department of Energy Current Directives List.

For the most recent versions of the listed Fermilab Policies, visit Fermilab Policies (fnal.gov).

9. Owner

Responsibility for reviewing, updating, and communicating changes to this policy rests with the Partnerships Management System Owner, presently the Head, Office of Partnerships and Technology Transfer.

10. Review Cycle

This policy is to be reviewed every three years after issuance.

11. Communication Plan

The requirements of this policy shall be communicated to all employees, and periodic training shall be provided to all personnel directly engaged in partnership activities. This policy shall be available online in the Fermilab policy database. The Head, Office of Partnerships and Technology Transfer is responsible for the communication of this policy.

Revision History