Office of Technology Transitions Department of Energy Jetta Wong, Acting Director Office of...

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Office of Technology TransitionsDepartment of Energy

Jetta Wong, Acting Director Office of Technology Transitions

April 29, 2015

2For Official Use Only – Not for Distribution

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 the DOE strategic vision and goals for technology commercialization and engagement with the business and industrial sectors across the US.

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


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


OTT Budget

Budget

Technology Commercialization FundProvide matching funds with private partners to promote promising energy technologies for commercial purposes!

Operational Resources

Staff, analysis, statutorily

required reports development,

data collection, travel, training,

and public workshops.


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.



High impact energy technology commercialization

Option #1: Small grants to commercialize energy

technologies withuniversities and lab

Option #2: Larger grants to third-party org to pull and incubate tech from

national labs

Option #3:

[YOUR IDEA]

~$20 Million

FY 2016: Implement a future-looking TCF that will leverage 0.9% of the R&D funding in the applied energy programs to pursue

high impact commercialization activities.


OTT Request for Information

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Request for Information: Seeking input from public and private sector stakeholders on how OTT can most effectively accomplish its mission over the short, medium, and long-term.

• Key areas of interest:1. Technology Commercialization Fund2. Cross-R&D Linkages and Innovation Cycle Transitions3. Central Policies and Procedures4. DOE National Laboratory Technology Transitions5. Extramural Technology Transitions

• Release date: May 2015 (anticipated)– All stakeholders welcome to submit responses

For Official Use Only – Not for Distribution

DOE Technology Transitions Activitiesand OSTP Lab-to-Market

• Human Capital• Collaboration• R&D Assets• Small Business

Innovation• Evaluating Impact

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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Collaborations: DOE Industrial Consortia

Goal: Identify lessons learned and determine essential practices for industrial consortia engagements

Objective: Gain understanding of common issues, identify where best practices can improve consortium outcomes, and develop guidance in terms of technical and programmatic management.

Participating Offices: Fossil, Nuclear, Energy Efficiency and Renewable Energy, Electricity and Science Participating Consortia as of 2015-04-24


R&D Assets: 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.

http://www.energy.gov/technologytransitions/technology-transitions-facilities-database

http://www.energy.gov/technologytransitions/technology-transitions-facilities-database


R&D Assets: Energy Innovation Portal

• 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: [email protected]

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


Evaluating Impact: 2014 Pilot Data Calls - Labs

Pilot Documentation of Laboratory TTO activities Purpose: Document and celebrate the scope of Lab TTO activities Use: Internal Planning, best practices, content for QTR and OTT Website

Approach: Executive Summary reports from Laboratory TTOs presentingMission and goalsSummary of key metricsPractices

Pilot Expanded reporting of Commercial-Sector interactions Purpose: Portfolio assessment and external communication Use: 2014 Report to Congress on Technology Transfer, determination of

follow-on data collection beginning 2015 Approach: Spreadsheet data on CRADA and non-federal WFO and ACT

agreements: technology type zip code of sponsor facilities use


Collaboration & R&D Assets:Small Business Vouchers Pilot

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

Vision: SBV will increase small business access to the expertise, competencies, and infrastructure of DOE’s national laboratories.


Vision: Empower leading National Lab researchers to successfully transition their discoveries into high-impact technologies in the marketplace.

Program Goals (Long-Term): Increase the number of lab-developed technologies that are transferred

into commercial development or industry agreements. Train lab researchers to better understand the commercialization process

and private sector needs. Strengthen entrepreneurial culture and institutional support for

commercialization activity at the national labs.

Funds: $2.3M from EERE Tech-to-Market (FY15), FY16 budget requestSuccessful precedent:• NSF I-Corps Program: 300+ teams trained, 125+ startups created, higher

SBIR selection rate• 10+ ARPA-E teams have successfully completed I-Corps since 2013• NIH completed successful I-Corps pilot in December 2014 • Other agencies currently exploring I-Corps models

Human Capital: Lab-Corps Pilot


Collaboration: Technologist in Residence Pilot

Vision: Catalyze strong Lab-Industry relationships that result in significant growth in high-impact collaborative research and development

Goals:• Increase collaborative research and development between

National Laboratories and private sector companies• Develop a streamlined method for companies to establish long

term relationships with laboratories that result in collaborative research and development

Funds: $2.3M (FY15) from Advanced Manufacturing OfficeSuccessful precedent: LANL partnerships with Chevron and Proctor & GamblePilot Design:• DOE will provide $400k for the pairs to work for up to two years• Up to 5 pairs will be selected to participate• The pilot will support pairs of senior technologists from a lab and industry to work

together to identify technical challenges that can be solved with resources from the National Lab enterprise and develop an umbrella agreement and specific scopes of work

• The pilot will create best practices for industry to replicate this work with the lab enterprise moving forward


Questions?

For more information:

Jetta WongActing Director, Office of Technology Transitions Department of EnergyEmail: [email protected]


Back-Up


Reporting Structure for OTTOffice of the Under Secretary for Science and Energy (S4)

Under SecretaryDeputy Under Secretary

Office of the Under Secretary for Science and Energy (S4)Under Secretary

Deputy Under Secretary

Planning and Management Oversight (S4.1)

Associate Deputy Under

Secretary

Leadership & Coordination Functions: Planning and program

alignment Budget and finance Advisors:

Science and technology, policy, and program execution

Technology , QTR and policy liaison Support

Technical, analysis, and special projects

OperationsBusiness Field CyberPhysical security

Planning and Management Oversight (S4.1)

Associate Deputy Under

Secretary

Leadership & Coordination Functions: Planning and program

alignment Budget and finance Advisors:

Science and technology, policy, and program execution

Technology , QTR and policy liaison Support

Technical, analysis, and special projects

OperationsBusiness Field CyberPhysical security

Special Assistant

Special AssistantSenior Advisor

Senior AdvisorExecutive Assistant

Executive Assistant

Office of ScienceOffice of Science

Office of Energy Efficiency and

Renewable Energy

Office of Energy Efficiency and

Renewable Energy

Office of Fossil Energy

Office of Fossil Energy

Office of Electricity

Delivery and Energy

Reliability

Office of Electricity

Delivery and Energy

Reliability

Office of Nuclear Energy

Office of Nuclear Energy

Office of Indian Energy Policy and Programs

Office of Indian Energy Policy and Programs

Office of Technology Transitions


Secretary of EnergyDeputy Secretary of Energy

Secretary of EnergyDeputy Secretary of Energy


Purpose: Provide central visibility and strategic framework for DOE’s R&D interactions with the commercial sector. Represent and support DOE’s Laboratories and Programs in commercial innovation and impact. Engagement: S4, NNSA, EM, LPO, ARPA-E, MA, GC, CFO

* Director of OTT is dual-hatted as the Technology Transfer Coordinator, with direct reporting line to the Secretary of Energy


Dual-Hatted: Director and Technology Transfer Coordinator

• Technology Transfer Coordinator by EPAct 2005, which includes oversight of: – Activities of the Technology Transfer Working Group;– Expenditure of funds allocated for technology transfer within the

Department;– Activities of each technology partnership ombudsman appointed under

section 11 of the Technology Transfer Commercialization Act of 2000; and– Efforts to engage private sector entities, including venture capital companies.

• The dual reporting lines provide authority to support Department-wide coordination activities.

• The Director of the OTT would be an integral part of the Under Secretary’s office and seek efficiencies by providing oversight and coordination (as directed by the Secretary and the Under Secretary) across Departmental programs and be responsible for statutorily mandated programs and reports regarding technology transfer.


Statutory Reports

• Federal Laboratory Technology Transfer Annual Summary Report (NIST): Technology Transfer and Commercialization Act of 2000 (15 USC 3710 (g))

• Technology Transfer and Partnering Annual Report (DOE): Technology Transfer and Commercialization Actof 2000 (15 USC 3710 (f))

• Technology Transfer Execution Plan:EPAct 05: Planning and Reporting Requirements


Technology Transfer Execution PlanEPAct 05: Planning and Reporting Requirements• Not later than 180 days after the date of enactment of this Act, the Secretary shall submit

to Congress a technology transfer execution plan.• Each year after the submission of the plan the Secretary shall submit to Congress an

updated execution plan and reports that describe progress toward meeting goals set forth in the execution plan and the funds expended under the TCF

Current 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 Technology Commercialization Fund • Emphasis on OTT’s role in technology transfer leadership and coordination responsibilities in

EPAct 05• OTT will also explore the potential for expanding the TTEP to encompass a broader set of

technology transition plans beyond the National Laboratories and TCFReview Existing

Draft

Compile Internal and

External Input

Incorporate

Planning and

strategy for TCF

Draft new Plan

Get Feedback on Initial

Plan

Finalize Plan


ACT Pilot Extension

• In February 2015, S1 Approved ACT Pilot Extension to October 31, 2017

• DOE Inspector General 2015 Audit Report on ACT (forthcoming)

• OTT developing an updated management and evaluation plan for remainder of pilot– OTT hosted Best Practices Workshop on April 27 to identify

opportunities for enhanced performance– Collecting input from across the national labs on ways to

improve the agreement mechanism


Agreements for Commercializing Technology (ACT) Pilot Program

Example: NREL ACT with Wells Fargo

Innovation Incubator (IN2) program for $10 million over 5 years, seeks to support clean energy building-related technologies and startup companies to overcome such market gaps by providing access to both technical assistance and business development support.

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


OTT Responsibilities

Oversight and Management Coordination Communications

Statutorily mandated programs and reports regarding technology transfer

Data Collection, Analysis and Policy Development



• What are the most important gaps and areas of need in the U.S. energy technology commercialization system that the TCF should address?

• How can a TCF be designed to most effectively leverage private investment to advance the commercialization of energy technologies?

• How can a TCF be designed to have a broader, catalytic impact beyond the specific projects it supports?

• What are some existing funds or program models that could inform the TCF and provide a set of best practices?

We want YOUR ideas!


FY15 Major Statutory DeliverablesTentative Calendar

FY15 Q2 FY15 Q3 FY15 Q4 FY16 Q1

Technology Commercialization Fund- Planning & Development

Technology Transfer/Partnering Annual Report 2014

Technology Transfer Execution Plan

Technology Commercialization

Fund -Implementation

Federal Lab Tech Transfer Summary

Report (NIST)

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