Office of Technology TransitionsU.S. Department of Energy

National Tribal Energy Summit

September 24, 2015

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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

INSERT

DOE National Laboratories

Why partner with DOE Labs?

World class laboratories

Top-notch scientists

One-of-a-kind User Facilities

Science , Technology, & Innovation Integrators

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DOE National Labs have awealth of resources to helpindustry develop new products and services that will contribute to energy independence, enhance our national security, protect our environment, and increaseour economic prosperity.

Labs:

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Technology Licensing

National laboratories and facilities seek licensees who are most able to bring a technology to market. The terms of each license agreement vary commensurately with the market value of each technology and the common licensing practices of the relevant industrial sector.

• Businesses, entrepreneurs, and others locate licensable technologies via Lab websites, DOE sites, referrals, etc.

• Contact laboratories for more information; NDA; negotiate terms

• Programs at each lab are similar, but are not exactly alike

Connecting with the National Laboratories

Guide to Doing Business with DOE National Laboratories• Cooperative Research and Development Agreement (CRADA)

• Strategic Partnership Projects

• Agreements for Commercializing Technology (ACT)

• Technical Assistance (TA) Agreement

• User Agreements

• Technology Licensing Agreement

• Material Transfer Agreement (MTA)

• Small Business Innovation Research (SBIR) and Small Business Technology Transfer (STTR)

Agreements for Commercializing Technology (ACT) Pilot Program

Example: NREL-Wells Fargo Innovation Incubator

ACT Pilot: Established in 2012 to provide a more flexible agreement mechanism for national laboratories to collaborate with the private sector.

Key Terms & Conditions Addressed with ACT:• Advance Payment• Indemnification• Performance Guarantees and

Fixed Pricing• IP Rights

Hubs, Centers, Industry Consortia, and Other Concepts

• Reduce commercialization risk (helps established and startup companies retain and create jobs)

• Provide access to Lab technical expertise and know how

• Nurtures entrepreneurial environment• Networking, education, market intelligence,

coaching, linking community contacts• Labs provides basic infrastructure to start-up

and creates jobs!

For Official Use Only – Not for Distribution

Chicago Innovation Ecosystem

Physical & Biological Sciences

Molecular Engineering

.

Illinois Innovation Ecosystem

Engineering

Kellogg

Tech Transfer

Medical

Illinois Industry

Biotechnology

Nanotechnology

Engineering

Genetics

Computing

Angel & VC Funds

Incubators

Accelerators

User Facilities

EngineeringMaterials

Transportation

Polsky Center

Computation,UrbanCCD

Agriculture and food

Pharma

UCTech

Public Sector

Harris School

Mentorship Programs

Energy

Booth School

The Garage

DCEOWBC

9Courtesy of Argonne National Laboratory

User and Shared Use Facility Database

• Faceted search available across 187 facilities at www.energy.gov/technologytransitions.

• Full data set available for download at Data.gov

• Open API and improved meta tagging projects in development for FY15/16.

Energy Innovation Portal

• The Energy Innovation Portal is a one-stop resource for Department of Energy (DOE) technologies. This application enables users to locate technologies developed with DOE funding and available for licensing.

• The Visual Patent Search Tool is designed to provide a facilitated search of the patent content contained in the Energy Innovation Portal.

• The Patent database from the Energy Innovation Portal, is available for downloading. Contact: techtransitions@hq.doe.gov

• Open API’s accessing the Portal’s patent and marketing summary databases are underdevelopment for launch in later FY2015.

Technology Assistance Programs

These programs leverage Lab’s expertise in a variety of scientific disciplines to help members of the tech-based business community solve important challenges free of charge!

• Business requests assistance

• Labs provide several days of technology assistance at no charge (a business is eligible once per fiscal year)

• Cannot compete with private sector offerings

• Provides support that is otherwise unattainable for most small businesses

Upcoming Opportunities

National LabsUniversities Research institutions

Potential areas for collaboration:

• Small Business access to National Laboratories

• OTT “Partnering” service

• Technology Commercialization Fund

• Impact Investment Center

• New analysis and information access

• Other tools and services

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/entity

Successful 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

Lab “Partnering” Service Concept (Tentative)

What 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)

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

FY 2015: Continue current approach to TCF and set up the infrastructure and processes for new approach in FY16.

Clean Energy Investment Initiative

White House Announcement of DOE Clean Energy Impact Investment Center

When 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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Questions?

For more Information Contact:

Steven T. McMaster, Deputy Director, OTT

OTT@hq.doe.gov

Back up slides

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

Recently Launched CollaborationsCenter 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

Technology Transfer Execution Plan

Energy 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 05

Review 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 Status: Ongoing

Technology Transitions with States, Tribes and Regions

National Labs

Universities& Other Research

Institutions

Angels and VCs

States, Tribes & Local

Governments

CorporatesIncubators & Nonprofits

Project Developers

& Financiers

Industry Consortia & Associations

Economic Development

Orgs