DOE Report on Technology Transfer and Related Technology

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DOE Report on Technology Transfer and Related Technology

Transcript Of DOE Report on Technology Transfer and Related Technology

Report on Technology Transfer and Related Technology Partnering Activities at the National Laboratories and Other Facilities Fiscal Year 2015
Report to Congress July 2018
United States Department of Energy Washington, DC 20585

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Message from the Technology Transfer Coordinator and Director, Office of Technology Transitions
The Report on Technology Transfer and Related Partnering Activities at the National Laboratories and Other Facilities for Fiscal Year 2015 (“Report”) is prepared in accordance with the requirements of the Technology Transfer and Commercialization Act of 2000:
It is the continuing responsibility of the Federal Government to ensure the full use of the results of the Nation’s federal investment in research and development. To this end, the Federal Government shall strive where appropriate to transfer federally owned or originated technology to State and local governments and to the private sector.
Each Federal agency which operates or directs one or more Federal laboratories or which conducts activities under sections 207 and 209 of title 35, United States code, shall report annually to the Office of Management and Budget, as part of the agency’s annual budget submission, on the activities performed by that agency and its Federal laboratories under the provisions of this section and of sections 207 and 209 of title 35, United States Code.
Pursuant to the legislative language this report is being submitted to OMB before being released to the public and provided to the following Members of Congress:
• The Honorable Michael Pence
President of the Senate
• The Honorable Paul Ryan
Speaker of the House
• The Honorable Thad Cochran
Chairman, Senate Committee on Appropriations
• The Honorable Patrick Leahy
Vice Chairman, Senate Committee on Appropriations
• The Honorable Rodney Frelinghuysen
Chairman, House Committee on Appropriations
• The Honorable Nita M. Lowey
Ranking Member, House Committee on Appropriations
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• The Honorable Lamar Alexander
Chairman, Subcommittee on Energy and Water Development Senate Committee on Appropriations
• The Honorable Dianne Feinstein
Ranking Member, Subcommittee on Energy and Water Development Senate Committee on Appropriations
• The Honorable Mike Simpson
Chairman, Subcommittee on Energy and Water Development House Committee on Appropriations
• The Honorable Marcy Kaptur
Ranking Member, Subcommittee on Energy and Water Development House Committee on Appropriations
• The Honorable Lisa Murkowski
Chair, Senate Committee on Energy and Natural Resources
• The Honorable Maria Cantwell
Ranking Member, Senate Committee on Energy and Natural Resources
• The Honorable Greg Walden
Chairman, House Committee on Energy and Commerce
• The Honorable Frank Pallone
Ranking Member, House Committee on Energy and Commerce
• The Honorable Lamar Smith
Chairman, House Committee on Science, Space, and Technology
• The Honorable Eddie Bernice Johnson
Ranking Member, House Committee on Science, Space, and Technology
Technology partnering is an active component of the Department of Energy’s (DOE) overall mission to promote scientific and technological innovation that advances the economic, energy, and national security interests of the United States. This Report describes these activities and outlines DOE’s procedures and organizational management structure for ensuring appropriate management and oversight of such activities, in accord with prevailing policy and authorities. If you have any questions, please do not hesitate to contact Ms. Melissa Burnison, Assistant Secretary for Congressional and Intergovernmental Affairs, at 202-586-5450.
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Department of Energy |July 2018
Executive Summary
In Fiscal Year (FY) 2015, the Department of Energy (DOE) and its laboratories and facilities managed and executed 17,086 technology transfer-related transactions. These transactions include but are not limited to 734 Cooperative Research and Development Agreements (CRADAs); 2,395 Strategic Partnership Projects (SPP), formerly called Work-for-Others Agreements (WFOs), involving non-federal entities (NFEs); 74 Agreements for Commercializing Technology (ACT); 6,310 active licenses of intellectual property; and 7,571 user projects. In addition, DOE’s National Laboratories and Facilities reported 1,645 inventions; filed 949 patent applications (856 U.S. and 93 foreign); were issued 755 patents (632 U.S. and 123 foreign); and reported 577 commercialized technologies.1 Associated with these activities, DOE's Laboratories and Facilities reported approximately $249.0 million in SPP non-federal sponsor “funds-in,” $64.8 million in non-federal sponsor “funds-in” for CRADA’s, $30.3 million in nonfederal sponsor “funds-in” for ACTs, $33.1 million in licensing income, and over $21.2 million in earned royalties.
DOE is one of the largest supporters of technology transfer within the federal government. The work conducted at its National Laboratories and National Nuclear Security Administration (NNSA) plants and sites has provided the scientific and technical foundation for many technologies in the market today. In addition to that foundational work, technology transition activities support the acceleration of the transfer of federally-funded research from the laboratory to the commercial marketplace. The successes are confirmation of DOE’s robust technical enterprise, which is a result of continuous outreach and partnering with the private sector. They contribute to fulfilling DOE’s mission and further strengthen the capabilities of DOE’s laboratories and facilities. The magnitude of this work is also a reflection of the continued confidence in DOE held by thousands of public and private partners who work with DOE. This Report describes DOE’s technology transfer activities and outlines how DOE ensures appropriate management and oversight with prevailing policy and authorities.
The Office of Technology Transitions (OTT) would like to acknowledge the valuable role played by the many professional practitioners of technology transfer throughout DOE’s program offices, labs and facilities who are committed to helping technologies transition to the market and foster connections among stages of research, development, demonstration and deployment (RDD&D) that are needed to reach commercial impact. DOE encourages these practitioners and their management to continue this excellent work. The resulting contributions of their work add significantly to our Nation's economic competitiveness and to OTT’s mission to expand the commercial impact of DOE’s portfolio of RDD&D activities over the short, medium and long term.
1 Department of Energy Technology Transfer Working Group Reporting and Appraisal Guide for DOE Technology Transfer Activities, energy.gov/technologytransitions/downloads/ttwg-reporting-and-appraisal-guide
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Department of Energy |July 2018
Report on Technology Transfer and Related Technology Partnering Activities at the
National Laboratories and Other Facilities Fiscal Year 2015
Table of Contents
1. Introduction............................................................................................................................................ 1 2. Technology Transfer and Partnering Policy and Management .......................................................... 4
Laboratories and Facilities Engaged in Technology Transfer .................................................... 4 Organization, Management and Oversight................................................................................... 5
Office of Technology Transitions .......................................................................................... 5 Technology Transfer Working Group..................................................................................... 6 Alternative Dispute Resolution/Ombudsman ....................................................................... 6 Technology Transfer Policy Board ......................................................................................... 6 Interagency Working Group for Technology Transfer .......................................................... 7 Federal Laboratory Consortium on Technology Transfer ...................................................... 7 3. Summary of Fiscal Year 2015 Transactions ............................................................................................. 8 Multi-Year Trends ............................................................................................................................ 9 4. Technology Commercialization Initiatives and Activities ...................................................................... 10 R&D 100 Awards ............................................................................................................................ 10 Initiatives to Support Streamlined Commercialization Ecosystems .............................................. 10 Agreements for Commercializing Technology .................................................................... 11 Lab-Corps (Pilot).................................................................................................................. 12 Small Business Innovation Research/Small Business Technology Transfer ........................ 12 Other Opportunities for Partnerships and Commercialization........................................... 13 5. User Facilities ....................................................................................................................................... 15 High Performance Computing Facilities......................................................................................... 17 6. Scientific Research Programs with Significant Industrial Engagements......................................... 19 Energy Innovation Hubs .............................................................................................................. 19 Consortium for Advanced Simulation of Light Water Reactors .......................................... 20 Joint Center for Artificial Photosynthesis............................................................................ 21 Joint Center for Energy Storage Research .......................................................................... 22 Critical Materials Institute................................................................................................... 23 Bioenergy Research Centers .......................................................................................................... 24 Energy Frontier Research Centers.............................................................................................. 25
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Department of Energy |July 2018 The Accelerator Stewardship Research and Development Program ............................................ 27 7. Applied Energy Research and Development Partnerships and Initiatives ..................................... 29 Advanced Research Projects Agency-Energy............................................................................. 29 Cybersecurity for Energy Delivery Systems............................................................................... 31 Regional Carbon Sequestration Partnerships............................................................................ 32 Carbon Capture, Utilization and Storage Technologies (CCUS)................................................ 34 Crosscutting Technology Research Program Extreme Environment Materials: Advanced Ultra-Supercritical (AUSC) Consortium...................................................................................... 35 National Risk Assessment Partnership....................................................................................... 37 Appendix A – Technology Transfer Offices at DOE National Labs and Facilities ................................. 39 Appendix B – Technology Transfer Data for Fiscal Years 2010-2015 .................................................. 40 Appendix C – Glossary............................................................................................................................... 42 Appendix D – DOE R&D 100 Awards (FY 2015) ..................................................................................... 43 Appendix E – National Laboratory Success Stories ................................................................................ 50 Appendix F – Other New Technology Transfer Activities and Partnerships........................................ 75
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Department of Energy |July 2018
Figures
Figure 1. Licensing and Licensing Income (FY 2010-2015)............................................................................ 9 Figure 2. CRADAs, Strategic Partnership Projects, and User Projects Awarded (FY 2010-2015) ................. 9 Figure 3. Agreements for Commercializing Technology (FY 2012-2015).................................................... 11 Figure 4. Critical Materials Institute Project Focus Areas ........................................................................... 23 Figure 5. Map of DOE Bioenergy Research Centers and Partners .............................................................. 25 Figure 6. Map of Energy Frontier Research Centers ................................................................................... 27 Figure 7. Regional Carbon Sequestration Partnerships Map...................................................................... 32 Figure 8. Steam Temperature & Pressure Effects on Thermal Efficiency and Emissions ........................... 35 Figure 9. Corrosion Test Loop: World’s First Steam Loop Operating at 760°C ........................................... 36 Figure 10. An impulse design High Pressure section for an Advanced Ultra Supercritical Steam Turbine 36 Figure 11. Carbon Capture and Storage...................................................................................................... 37
Tables
Table 1. Federal Laboratory Consortium - Technology Transfer Contribution from DOE (FY 2009-2015).. 7 Table 2. Technology Metrics at DOE National Laboratories and Facilities (FY 2010-2015).......................... 8 Table 3. DOE SBIR and STTR Allocations and Awards (FY 2009-2015)........................................................ 12 Table 4. DOE User Facilities ........................................................................................................................ 15 Table 5. Subset of the 140 Shared R&D Facilities Operating at DOE National Laboratories ...................... 17 Table 6. DOE Energy Innovation Hubs ........................................................................................................ 19 Table 7. Bioenergy Research Center Metrics.............................................................................................. 24 Table 8. ARPA-E Metrics (FY 2010-2015) .................................................................................................... 30 Table 9. Examples of Tech Transitions from CEDS Research and Development Efforts............................. 31 Table 10. Carbon Sequestration Schedule of Manuals ............................................................................... 34 Table 11. Carbon Capture, Utilization, and Storage Technologies: Major Demonstration Projects .......... 35 Table 12. Technology Transfer Offices at DOE National Labs and Facilities ............................................... 39 Table 13. CRADAs and Non-federal SPP...................................................................................................... 40 Table 14. Invention Disclosure, Patenting and Commercialized Technologies .......................................... 40 Table 15. Profile of Active Licenses............................................................................................................. 41 Table 16. Licensing Income ......................................................................................................................... 41 Table 17. U.S. National Laboratory and Facility Success Stories................................................................. 50
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Department of Energy |July 2018

1. Introduction

Technology transfer has been an aim of United States Federal Government (USG) policy since

the passage of the Bayh-Dole Act (P.L. 96-517, as amended by P.L. 98-620) and the Stevenson-

Wydler Act (P.L. 96-480) during the 1980s. In 1989, the National Competitiveness Technology

Transfer Act (P.L. 99-502) affirmed this goal by establishing technology transfer as a mission of

federal research and development (R&D) agencies, including DOE. Since then, DOE has

encouraged its National

Laboratories and Facilities2 to

enter into technology partnering activities with nonfederal entities, as

In FY 2015, DOE and its National Laboratories and other facilities managed and executed 17,084 technology transfer-related transactions, including but not limited to: • 734 CRADAs

appropriate, using a variety of mechanisms. Pursuant to 48 CFR §970.5227-3 Technology

• 2,395 SPPs involving non-federal entities • 6,310 active licenses of intellectual property • 74 ACT Agreements • 7,571 user projects.

Transfer Mission Clause (48 CFR

Chapter 9, Subchapter I, Part

In addition, DOE National Laboratories and Facilities totaled:

970, Subpart 970.52), DOE has authorized its Facilities to

• 1,645 invention disclosures • 949 patent applications filed (856 U.S.
and 93 foreign)

patent and license intellectual property (IP) resulting from DOE R&D and to collect and

• 755 patents issued (632 U.S. and 123 foreign) • 577 commercialized technologies • $249.0 million in SPP non-federal sponsor “funds-in” • $64.8 million “funds-in” for CRADAs

make appropriate use of related royalties and fees for

• $30.3 million “funds-in” for ACT • $33.1 million in licensing income

Government-funded

technology transfer activities.

It is important to note that, for purposes of this document, the term “technology transitions” incorporates “technology transfer.” Technology transitions includes, but is broader than “technology transfer” previously described by former DOE Secretary Steven Chu as, “the process by which knowledge, intellectual property or capabilities developed at the DOE’s National Laboratories, single-purpose research Facilities, plants, and other Facilities are transferred to other entities, including private industry, academia, state or local governments.”3

“Technology transitions” more accurately reflects the wider scope of the efforts to which DOE is committed. The OTT was established, not to simply guide singular acts of technology transfer, but rather to foster multiple handoffs among scientists, innovators and investors that make up the dynamic processes that nurture the Nation’s innovation ecosystem. Those activities may take many forms, including but not limited to Cooperative Research and

2 The United States Department of Energy National Laboratories and Facilities are a system of laboratories and facilities overseen by the United States Department of Energy (DOE) for the purpose of advancing science and technology to fulfill the DOE mission. Sixteen of the seventeen DOE national laboratories are federally funded research and development centers administered, managed, operated and staffed by private-sector organizations under management and operating (M&O) contract with DOE.
3 Secretarial Policy Statement on Technology Transfer at DOE Facilities, The Honorable Steven Chu, Secretary, Department of Energy, 2011 energy.gov/sites/prod/files/gcprod/documents/Policy_Statement_on_TT.pdf.

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Department of Energy |July 2018
Development Agreements (CRADAs), Strategic Partnership Projects (SPPs), Agreements for Commercializing Technology (ACTs), User Agreements, and licensing of intellectual property.
As demonstrated in this Report, private firms and other non-federal entities continue to realize that DOE’s National Laboratories and Facilities can provide valuable and often unique problem solving capabilities to the benefit of their own objectives. In some cases, those entities have built long-term relationships with DOE that yield greater results over time. Technology partnering is also important in furthering technical competencies at DOE’s National Laboratories and Facilities as well as in areas such as workforce recruiting and retention. Similarly, DOE’s National Laboratories and Facilities can benefit from engaging with others possessing the skills to develop, commercialize, and deploy technology. In FY 2015, DOE participated in 3,203 non-classified ACT, CRADA, and SPP agreements with non-federal entities. Additionally, DOE collaborated with small businesses on 1,046 agreements and supported 31 start-up companies in FY 2015. DOE’s laboratories and Facilities have sustained strong rates of invention disclosures and patent awards, with over 1,600 invention disclosures and over 750 patents issued. In addition, the DOE laboratories and Facilities reported 577 commercialized technologies in FY 2015.
This Report is the successor to the DOE Report on Technology Transfer and Related Technology Partnering Activities at the National Laboratories for Fiscal Year 2014. As such, it satisfies requirements under federal statutes, in a context of DOE’s broadened focus on technology transfer as one component of DOE’s overall technology transitions activities, which broadly address the commercialization and economic impact of technology developments under DOE’s programmatic activities. This Report does not account for classified technologies developed, patented or transferred as part of national security programs, including SPPs and Strategic Intelligence Partnership Projects; however, it does present unclassified technologies from those programs. Section 2 provides an overview of the nine guiding principles of DOE’s technology transfer policy. Section 2 also describes DOE’s organization, how DOE currently manages and oversees its technology transfer activities, and how legislative requirements and activities are managed under OTT. Section 3 presents reporting metrics for technology transfer along with analysis of multi-year trends of technology transfer activities from FY2010 to FY2015. Additional analyses may be found in Appendix B. Section 4 introduces DOE’s technology transfer and commercialization activities and other initiatives to support commercialization along with highlights of the FY 2015 R&D 100 awards summarized in Appendix D. DOE researchers won 33 of the 100 awards in FY 2015.
DOE has implemented a number of programmatic initiatives designed to improve the procedures for collaborating with its National Laboratories and Facilities and to provide greater visibility of the opportunities to work with the private sector. This section describes in depth the initiatives that DOE has implemented to engage and partner with the private sector to commercialize technologies. These initiatives include ACTs, Lab-Corps, and the Small Business Technology Transfer (STTR) Program to name a few.
Industrial engagement with DOE’s Scientific User Facilities and shared R&D Facilities enhances DOE’s technology transfer efforts. Sections 5 and 6 of the Report describe how DOE’s Office of Science (SC) supports energy technology through funding in basic science research and development (R&D) of experimental and computational capabilities. Section 5 outlines the
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