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Office of Technology TransitionsU.S. Department of EnergySteven T. McMaster, Deputy Director

August 13, 2015

U.S. Department of EnergyMission: Enhance U.S. security and economic growth through transformative science, technology innovation, and market solutions to meet our energy, nuclear security, and environmental challenges

• Energy: Catalyze the timely, material, and efficient transformation of the nation’s energy system and secure U.S. leadership in clean energy technologies.

• Science & Innovation: Maintain a vibrant U.S. effort in science and engineering as a cornerstone of our economic prosperity with clear leadership in strategic areas.

• Nuclear Safety & Security: Enhance nuclear security through defense, nonproliferation, and environmental efforts.

• Management & Operational Excellence: Establish an operational and adaptable framework that combines the best wisdom of all Department stakeholders to maximize mission success.

• $29.9 billion: FY16 Budget Request• 17 National

Laboratories • 100,000+

Employees and Contractors• 200+ facilities for

private sector use• 16,000+ patents for

licensing

Office of Technology Transitions Overview

Mission: To expand the commercial impact of DOE’s portfolio of RDD&D activities over the short, medium and long term.

What: OTT is the functional unit that coordinates the Department’s multiple paths of RDD&D activities toward technology transfer and commercial development of DOE’s research outputs.

How: OTT develops and oversees delivery of theDOE strategic vision and goals for technologycommercialization and engagement with the business and industrial sectors across the US.

Why: OTT will help derive the maximum impact for the Department’s investments.

Lab-to-Market Initiative is a Cross-Agency Priority

Goal focused on accelerating and improving the transfer of

new technologies from the laboratory to the commercial

marketplace

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Technology Transitions includes Technology Transfer

DOE is committed to strengthening its technology transfer capabilities and recognizes that technology transfer is just one component of its overall mission to promote scientific and technological innovation that advances the economic, energy, and national security interests of the United States.

Technology Transitions

Technology Transfer Commercialization DeploymentEarly-stage

research

Management, coordination, data collection, analysis, evaluation and policy development

High impact commercialization activities

DOE RDD&D Pipeline

Loan Programs Office

DevelopmentDemonstration

Grants

Loan Guarantee

Grants Grants

Loan Guarantee

Bonds

Grants

Loan Guarantee

Tax IncentivesTax IncentivesTax Incentives Tax Incentives

Applied Energy ProgramsOffice of Science

InfrastructureDemonstration DeploymentResearch & Development

Credit Enhancement

Credit Enhancement

Bonds

ARPA-E

DOECivilian

DOESecurity

NNSA

Framework for OTT Development

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TRL 1-2 TRL 3-4 TRL 5-6 TRL 7+

Lab Developed Technology

Capability Deployment

Overall Increase Support

Better Program Management for Tech Matt

TCF

Lab Partnering Service

DOE Policy Statement and TTEP

Small Business Vouchers

Lab-Corps

Lab Awards Program

INSERT

DOE National Laboratories

8For Official Use Only – Not for Distribution

Where are the Lab Partners?FY14 U.S. National Laboratory Data Call (pilot)

The FY14 lab data call is the first ever complete set of non-federal government

agreements for all labs and facilities

Where are the lab partners?

Partner Types• Large Business – Industry• Small Business• Academic/ University• Not-for-Profit• State/ Local Government• Foreign

DOE Taxonomy Categories• 23 taxonomies• >300 subcategories provide

additional granularity• Categories being refined

based on FY14 results

National Labs• Improve understanding of

lab core competencies• Provide quantitative info to

support success stories• Analyze partner type and

contract preferences

Regional Influence• Identify regional hotspots

of research focus areas• Visualize global distribution

and clustering of partners

DOE tech transfer efforts can be measured and tracked by key comparison variables

• 2790 Total Non-Fed Agreements($328 M partner funds in)‐ 2021 SPP ‐ 702 CRADA ‐ 67 ACT

($235 M partner funds in)($64 M partner funds in)($29 M partner funds in)

OTT Office Activities

Evidence Based Impact

Studies

Stakeholder Engagemen

t

Data Collection

and Analysis

• Technology Commercialization Fund

• ACT Pilot• Streamlined Agreement

Activities• Technology Transition Policy

Statement• Data Protection/Sharing

Policy• Increased Support for Private

Sector Engagement (Lab Partnering Service)

• Elevated Importance of Technology Transfer

Stakeholder Engagement

National LabsUniversities Research institutions

OTT Introduction & Listening Tour 4 National Lab workshops since

the beginning of 2015 Request for Information (RFI)

with 55 submissions Roundtable on Regional Tech

Transitions (June 29, 2015) Roundtable with State

Governments (July 2015) – EPSA, OTT, Jobs Council, NASEO Board

Meetings and Conferences

Technology Transfer Execution PlanEnergy Policy Act 2005: Planning and Reporting Requirements• Technology Transfer Execution plan and reports • Progress toward meeting goals • Funds expended under the Technology Commercialization Fund (TCF)

Approach• Develop a TTEP-focused on DOE’s current goals and implementation steps for

enhancing National Laboratory commercial impact from FY 2015 – 2017• Outline DOE’s updated, future-looking approach to the TCF• Emphasize OTT’s role in technology transfer leadership and coordination

responsibilities in EPAct 05Review

Existing Draft

Compile Internal and External Input

Incorporate TCF planning and strategy

Draft new

Plan

Get Feedback on Initial Plan

Finalize Plan

Status: Complete Status: OngoingStatus: Complete Status: Complete

EPAct 2005 Energy Technology Commercialization Fund“The Secretary shall establish an Energy Technology Commercialization Fund, using 0.9 percent of the amount made available to the Department for applied energy research, development, demonstration, and commercial application for each fiscal year based on future planned activities and the amount of the appropriations for the fiscal year, to be used to provide matching funds with private partners to promote promising energy technologies for commercial purposes.”

Technology Commercialization Fund

Technology Commercialization Options

Option #1: Early Technology MaturationOption 1: Early Technology MaturationFund technology maturation projects at national laboratories to move early-stage technologies to proof-of-concept or prototype stages, with matching private funds. (Scale: $100-300k/project)

Option 2: Laboratory Technology Transition Awards (Seed-Stage)Provide seed funding for transitioning energy technologies from national laboratories and universities to the early commercialization phase, in collaboration with a small business or large company. (Scale: $250-500k/award)

Option 3: Regional Partner Intermediaries (Seed-Stage)Select multiple partner intermediary organizations (3 to 5) to identify, fund, and accelerate the commercialization of energy technologies from national labs and universities across a diverse set of geographic regions (Scale: $4-6M/intermediary)

Option 4: Pilot-Scale Demonstration ProjectsFund pilot-scale energy technology demonstration projects in partnership with a startup, small business, or large company. Private cost share requirement would be higher. (Scale: $1-5M/project)

For Official Use Only – Not for Distribution

Clean Energy Investment InitiativeWhite House Announcement of DOE Clean Energy Impact Investment CenterWhen fully established in OTT, the DOE Center will provide:• Single Point of Access for

Information• Technical Assistance• Public Information on Early-Stage

Projects and Companies

“You have the capacity to fundamentally change our direction... We need you to continue to work to bring even more philanthropies and investors on board.”- Vice President Biden, June 16, 2015

February 10: ARPA-E Summit

Announcement February 26: DOE SLAC Roundtable

April 6: DOE NYC Roundtable

April 21-22: Chicago Event

June 16: White House Summit

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When fully established in OTT, the DOE Center will provide:• Single Point of Access for Information: Through dedicated, accessible staff

resources, the Center will make information about DOE programs accessible and more understandable to the public, including mission-driven investors. The center may also provide connections to points of contact and subject matter experts within relevant DOE programs and other U.S. Government Agencies including the USDA, HUD, DoT, EPA, NSF, SBA, and the Treasury Department.

• Technical Assistance: The center will share research and analysis produced by DOE and its National Laboratories on relevant developments in clean energy technology. Furthermore, the center will offer a mechanism for identifying the need for new technology analysis from DOE.

• Information on Early-Stage Projects and Companies: DOE currently has programs including ARPA-E, SBIR, STTR, and others that help to fund and accelerate emerging early-stage technology projects and companies. The center will aggregate and make available public information on entities currently engaged in partnerships with DOE.

OTT Impact Investment Center

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Lab Partnering Service ConceptWhat is its purpose?

Provide increased information and connections between potential industrial partners and laboratories

What is it?A lab-led service to facilitate effective communication, to access unique capabilities and opportunities for partnership

Where did the idea come from? – Lab Technology Transfer Working Group made this recommendation in

the QTR– Interim Report of the Commission to Review the Effectiveness of the

National Laboratories: Preliminary recommendations include increased access for the private sector to DOE’s laboratory scientists and capabilities through “relationship managers”

– Similar request coming through the Clean Energy Investment Initiative (CEII)

Input and Discussion

Contact:

OTT@hq.doe.gov

• What techniques and strategies OTT help promote for marketing new technologies?

• What are key challenges to incorporating new technologies into Federal projects?

• What role can OTT plan to help identify strategies to overcome resistance to incorporation of new efficiency and renewable technologies into real world projects?

Back Up Slides

Note: Investment $ are for FY14 partner funds in only. Not for public release 19

Example of Lab Partnership Data Analysis Capabilities:Non-Federal Government Lab Agreements by Contract Type

SPP CRADA ACT2021 agreements (72.4%); $235.1 M (71.6% of funds)

702 agreements (25.2%); $64.3 M (19.6% of funds)

67 agreements (2.4%); $29.0 M (8.8% of funds)

Top 2 Labs for SPP work1. LBNL, $52.2 M—420 agreements2. Argonne, $35.1 M—143 agreements

Top DOE taxonomies for SPP work1. Radiation Hardening for Electrical

Systems & Engineering, $17.8 M—76 agreements• Kansas City Plant

($17.5 M—67 agreements)

2. National Security/ Defense Systems, $14.7M—70 agreements• LLNL ($11.5M– 39 agreements)

3. Materials Characterization, $11.2M– 57 agreements)• LANL ($8.8M—16 agreements)

Largest volume of SPP work

Top 2 Labs for CRADA work1. LANL, $14.6 M—147 agreements2. INL, $13.3 M—49 agreements

Top DOE taxonomies for CRADA work1. Upstream Research for Energy & Fuels,

$8.5 M—15 agreements• All at LANL

2. Small Modular Nuclear Reactors, $6.5 M—10 agreements• INL ($6.4M—5 agreements)

3. Light Water Nuclear Reactors,$5.8M—5 agreements)• Argonne ($5.7M—2 agreements)

Largest volume of CRADA work Only 4 Labs perform ACT work1. LLNL, $21.1 M—1 agreement2. PNNL, $4.8 M—59 agreements3. NREL, $2.5M—4 agreements4. BNL, $0.6M—3 agreements

Top DOE taxonomies for ACT work1. Lasers & Optics*,

$21.1 M—1 agreement• LLNL

2. Energy Efficiency for Buildings, $1.9M—2 agreements• NREL ($1.8 M—1 agreement)

3. Earth and Environmental work on Water Resources,$1.2M—8 agreements• All at PNNL

*Developing and delivering a state-of the-art laser system for the European Union’s Extreme Light Infrastructure Beamlines Facility, Institute of Physics of the Academy of Sciences of the Czech Republic.

Technology Transitions with Innovation Ecosystem

National Labs

Universities& Other Research

Institutions

Angels and VCs

State & Local Government

CorporatesIncubators & Nonprofits

Project Developers &

Financiers

Industry Consortia & Associations

Economic Development

Orgs

For Official Use Only – Not for Distribution

MYTH: LABS DO NOT SERVE SMALL BUSINESSES

•Solaro Energy•Algal Nutrient•Dairy Energy & Water

•Wave Energy

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In 2014, the New Mexico Small Business Assistance (NMSBA) program invested $4.7M to assist 352 small businesses in 31 counties

New Mexico Small Business Assistance Program

Courtesy of Sandia National Laboratories

22For Official Use Only – Not for Distribution

Chicago Innovation Ecosystem

Physical & Biological Sciences

Molecular Engineering

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Illinois Innovation Ecosystem

Engineering

KelloggTech Transfer

Medical

Illinois Industry

Biotechnology

Nanotechnology

Engineering

Genetics

Computing

Angel & VC

Funds

Incubators

Accelerators

User Facilities

Engineering Materials

Transportation

Polsky Center

Computation,UrbanCCD

Agriculture and food

Pharma

UCTech

Public Sector

Harris School

Mentorship Programs

Energy

Booth School

The Garage DCEOWBC

Courtesy of Argonne National Laboratory

Recently Launched Collaborations

Center for Collaboration & Commercialization (C3)• The City of Albuquerque, University of

New Mexico, and Sandia working together to help promote economic growth for the region

• Designed to stimulate innovation, cultivate entrepreneurs, and generate jobs

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i-GATE Innovation Hub, near Livermore Valley Open Campus• Founded in 2010 by the City of Livermore,

Lawrence Livermore National Laboratory, and Sandia National Laboratories' California site

• Supports technology entrepreneurs with work space, mentoring, tools and services Courtesy of Sandia National Laboratories

For Official Use Only – Not for Distribution

SBV PILOT SUMMARY

Goals: Increase small business accessibility to lab capabilities Broaden lab awareness of small business needs and technologies Encourage labs to develop outreach strategies to showcase capabilities Make lab business practices more compatible with private sector timelines

Funds: $20M = ~100 small businesses served at ~$175,000/entitySuccessful precedents: PNNL, NREL and INL Technology and Commercialization Assistance Programs, NM Small Biz AssistanceProgram Design:• DOE lab call used to select 3-5 pilot labs to complete outreach,

merit reviews, and to execute voucher work scopes• Single one-stop shop IT platform with clear lab capabilities

explained, uniform IP terms, and application process• High Impact small businesses selected through lab

announcements of voucher opportunities to fill assistance gap

SBV One Stop Shop

Major Components: Lab Call IT Platform

Outreach and Communications

Lab Infrastructure

Voucher Work Third Party Evaluation

Small Business Vouchers Pilot