The Department of Energy (DOE) and its management and operating contractors engaging in technology partnership activities share a mutual objective to ensure complete fairness in the transfer of federally funded technologies into the marketplace for the benefit of the U.S. economy. This includes an interest in open lines of communication and the early identification of issues between contractors and their existing or potential partners. 

The Technology Transfer Ombudsman Program provides an independent point of contact for concerns about technology transfer issues, complaints, and disputes. The Technology Partnership Ombuds (TPO) helps resolve issues by investigating and facilitating the resolution of complaints from licensees, companies, research and development partners, and other individuals who have concerns or complaints related to technology transfer. While the TPO does not replace the normal complaint procedures, it provides a complementary avenue for a resolution that is independent, impartial, informal, and confidential.

The TPO reports directly to Pacific Northwest National Laboratory (PNNL) senior management and provides reports to DOE’s Alternative Dispute Resolution Office and the Pacific Northwest Site Office on the number of complaints, their nature, and the ombuds’ assessment of resolution consistent with the protection of confidential and sensitive information. The TPO is not authorized to make binding decisions for PNNL or Battelle; however, the ombuds can facilitate dispute resolution for a mutually satisfactory outcome. The ombuds will not be involved in the merits of cases that are the subject of ongoing dispute resolution or litigation, or the investigation of such cases.

TPO Process

All staff at PNNL, licensees, and Cooperative Research and Development Agreement (CRADA) participants will be provided with contact information for the TPO via the PNNL website. The TPO will assist with most requests, except those in disagreement with law, federal regulations, DOE policies, or PNNL policies. In those cases, the requester will be referred to the appropriate office. 

Once a complaint is received, the TPO will investigate as necessary. This may include working with a variety of PNNL personnel, depending on the particulars of the complaint. 

Complaints received by the TPO are confidential; however, the TPO’s ability to address problems might be limited by the degree of confidentiality requested. The TPO may withdraw from an investigation if they believe they cannot investigate while maintaining the requested level of confidentiality.

At all times, the TPO will uphold the International Ombuds Association Standards of Practice and Code of Ethics, outlined below.

• The ombudsman, as a designated neutral party, has the responsibility to maintain strict confidentiality concerning matters that are brought to his/her attention unless given permission to do otherwise. The only exceptions, at the sole discretion of the ombudsman, are where there appears to be imminent threat of serious harm.
• The ombuds must take all reasonable steps to protect any records and files pertaining to confidential discussions from inspection by all other persons, including management.
• The ombuds should not testify in any formal judicial or administrative hearing about concerns brought to his/her attention.
• When making recommendations, the ombuds has the responsibility to suggest actions or policies that will be equitable to all parties.