Office of Technology Transitions (OTT)-Technology Deployment, Demonstration and Commercialization

The Mission of the Office of Technology Transitions (OTT) is to expand the public impact of the department's research, development, demonstration, and deployment (RDD&D) portfolio to advance the economic, energy and national security interests of the nation. OTT is the front door to U.S. Department of Energy's (DOE) products, facilities and expertise. The office integrates "market pull" into its planning to ensure the greatest return on investment from DOE's RDD&D activities to the taxpayer.

U.S. citizens and lawful permanent residents are eligible to apply for funding as a prime recipient or subrecipient.

Domestic Entities
For-profit entities, educational institutions, and nonprofits that are incorporated (or otherwise formed) under the laws of a particular state or territory of the United States and have a physical location for business operations in the United States are eligible to apply for funding as a prime recipient or subrecipient. Nonprofit organizations described in section 501(c)(4) of the Internal Revenue Code of 1986 that engaged in lobbying activities after December 31, 1995 are not eligible to apply for funding.

State, local, and tribal government entities are eligible to apply for funding as a prime recipient or subrecipient.

Federal agencies and instrumentalities (other than DOE) are eligible to apply for funding as a subrecipient, but are not eligible to apply as a prime recipient.

Foreign Entities
Foreign entities, whether for-profit or otherwise, are eligible to apply for funding under this FOA. Other than as provided in the “Individuals” or “Domestic Entities” sections above, all prime recipients receiving funding under this FOA must be incorporated (or otherwise formed) under the laws of a state or territory of the United States and have a physical location for business operations in the United States. If a foreign entity applies for funding as a prime recipient, it must designate in the Full Application a subsidiary or affiliate incorporated (or otherwise formed) under the laws of a state or territory of the United States to be the prime recipient. The Full Application must state the nature of the corporate relationship between the foreign entity and domestic subsidiary or affiliate.

Foreign entities may request a waiver of the requirement to designate a subsidiary in the United States as the prime recipient in the Full Application (i.e., a foreign entity may request that it remains the prime recipient on an award). To do so, the applicant must submit an explicit written waiver request in the Full Application. Appendix C lists the necessary information that must be included in a request to waive this requirement. The applicant does not have the right to appeal OTT’s decision concerning a waiver request.

In the waiver request, the applicant must demonstrate to the satisfaction of OTT that it would further the purposes of this FOA and is otherwise in the economic interests of the United States to have a foreign entity serve as the prime recipient. OTT may require additional information before considering the waiver request.

A foreign entity may receive funding as a subrecipient.

Incorporated Consortia
Incorporated consortia, which may include domestic and/or foreign entities, are eligible to apply for funding as a prime recipient or subrecipient. For consortia incorporated (or otherwise formed) under the laws of a state or territory of the United States, please refer to “Domestic Entities” above. For consortia incorporated in foreign countries, please refer to the requirements in “Foreign Entities” above.

Each incorporated consortium must have an internal governance structure and a written set of internal rules. Upon request, the consortium must provide a written description of its internal governance structure and its internal rules to the OTT Contracting Officer.

Unincorporated Consortia
Unincorporated Consortia, which may include domestic and foreign entities, must designate one member of the consortium to serve as the prime recipient/consortium representative. The prime recipient/consortium representative must be incorporated (or otherwise formed) under the laws of a state or territory of the United States. The eligibility of the consortium will be determined by the eligibility of the prime recipient/consortium representative under Section III.A. of the FOA.

Upon request, unincorporated consortia must provide the OTT Contracting Officer with a collaboration agreement, commonly referred to as the articles of collaboration, which sets out the rights and responsibilities of each consortium member. This agreement binds the individual consortium members together and should discuss, among other things, the consortium’s:

• Management structure;
• Method of making payments to consortium members;
• Means of ensuring and overseeing members’ efforts on the project;
• Provisions for members’ cost sharing contributions; and
• Provisions for ownership and rights in intellectual property developed previously or under the agreement.

Application Instructions are included in the Funding Opportunity Announcement.

Award Procedure is detailed in the Notice of Funding Opportunity.