Working with the Lab Quick Overview

Working with the Lab Quick Overview

Chris Kniel

Berkeley Lab - Tech TransferSeptember 26, 2003

1 Filename: Working_W/Lab_2003.ppt

Knoll – Berkeley Lab Discussions


About Berkeley Lab

• Multidisciplinary DOE (Dept. of Energy) National Lab

• Managed by the University of California

• Employs more than 4,000

• $500M annual budget

• 9 Nobel Prize winners

• Oldest DOE National Laboratory

• In Berkeley, California


Founded in 1931 on the Berkeley CampusMoved to Current Site in 1940


Nine Nobel Laureates

Luis W. Alvarez

Melvin Calvin

Owen Chamberlain

Donald A. Glaser

Ernest Orlando Lawrence

Glenn T. Seaborg

Emilio G. Segrè

Yuan T. Lee

Edwin M. McMillan


Solve ComplexProblems of Scale

Operate User Facilities

UndertakeInterdisciplinary,

Collaborative Research

What Makes Berkeley Lab a National Laboratory?


Role as a National Laboratory

• Perform world class basic and applied research

• Work complex problems of scale

• Undertake interdisciplinary, collaborative research

• Educate new generation of scientists & technologists

• Provide unique Scientific User Facilities

• Transfer results of the research


The University of California:Ten Campuses and Three Laboratories

Lawrence LivermoreNational Laboratory

Los AlamosNational

Laboratory

Lawrence BerkeleyNational Laboratory

The Regents of the University of California

President of the University

Berkeley

Davis

Irvine

Los Angeles

Santa Cruz

Santa Barbara

San Diego

San Francisco

Riverside

Merced

President’s Council on DOE National Laboratories

Located Next to a University Campus - Benefits

200-acre main site

Berkeley Lab(main site)

Lawrence Hall Of Science

Campus


University of California Connection

An unparalleled partnership– Over 250 of LBNL’s scientists hold

faculty appointments– ≈ 500 Graduate students– ≈ 200 undergraduate students– ≈ 100 post docs

UC Berkeley CampusUC Berkeley Campus


Berkeley Lab Organization

LABORATORY DIRECTORC.V. SHANK

DEPUTY DIRECTORSP.J. ODDONES.M. BENSON

PLANNING & STRATEGICDEVELOPMENTM.A.CHARTOCK

LABORATORY COUNSELG.R. WOODS

PUBLIC AFFAIRSR.A. EDWARDS

COMPUTING SCIENCESC.W. MCCURDY

Associate Laboratory Director

OPERATIONSS.M. Benson

Deputy Director

INFORMATIONTECHNOLOGIES & SERVICES

A.X. MEROLADivision Director

COMPUTING SCIENCES PHYSICAL SCIENCES ENERGY SCIENCES BIOSCIENCES GENERAL SCIENCES RESOURCES

ADVANCEDLIGHT SOURCED.S. CHEMLA

Division Director

ACCELERATOR &FUSION RESEARCH

W.A. BARLETTADivision Director

ENVIRONMENT,HEALTH & SAFETY

D.C. MCGRAWDivision Director

NATIONAL ENERGY RESEARCHSCIENTIFIC COMPUTING

H.D. SIMONDivision Director

CHEMICAL SCIENCESD.M. NEUMARK

Division Director

PHYSICAL BIOSCIENCESG.R. FLEMING

Division Director

ENVIRONMENTAL ENERGIESTECHNOLOGIESM.D. LEVINE

Division Director

LIFE SCIENCESM.J. BISSELL

Division Director

PHYSICSJ.L. SIEGRIST

Division Director

ENGINEERINGJ.T. TRIPLETT

Division Director

NUCLEAR SCIENCEL.S. SCHROEDERDivision Director

GENOMICST.L. HAWKINS

Division Director

EARTH SCIENCESG.S. BODVARSSONDivision Director

MATERIALS SCIENCESD.S. CHEMLA

Division Director

RESOURCE DEPARTMENTS

Administrative ServicesA.V. MORE

Financial ServicesW.A. WASSON

FacilitiesJ.R. CAMPER

Human ResourcesR.R. SCOTT

TECHNOLOGY TRANSFERC.A. FRAGIADAKIS


Staff Scientists

Berkeley Lab Staff and Guests: ≈6000

TechnicalStaff

Faculty

PostdoctoralAssociates

Graduate Students

Undergraduate Students

Support Staff

1331

520

610

525

742

1858

480

Lighter section = participating guests


Stable Laboratory Budget FY 2002 = $460M

Work for Others (excluding NIH)

($60M)

EnvironmentalManagement ($7M)

Energy Efficiencyand Renewables ($26M)

Fusion Energy Sciences ($4M)

Nuclear Physics ($16M)

National Institutes of Health ($32M)

Basic Energy Sciences ($61M)

Biological and Environmental Research ($41M)

Math and Computing Sciences ($61M)

Other DOE ($43M)

High Energy Physics ($27M)

DOE Plant and Capital Equipment

($55M)


Berkeley Lab ranked:

• 3rd in the world in physical sciences publication research impact

• 22nd in citations

Why Work With The Lab? Berkeley Lab’s Science Impact:

1990–1997

….


Partnerships are Important to the DOE Laboratories

• Accomplishing the missions– Intellectual contributions of

partner scientists and engineers–Leveraging of resources: funding,

facilities and equipment, data–Cross cutting research

• Providing access for Non-DOE entities to highly specialized or unique facilities

• Maintaining core competencies• Enhancing technology base• Recruiting and retention• Fulfilling public benefit set forth in

legislation and operating contracts


Lab Access Benefits Industry

• Cutting-edge science not available elsewhere

• Multidiscipline research capability

• Leverage corporate R&D $s

• Increase Corporate flexibility

• Unique experimental facilities

• Opportunity to license technologies


And Industry Partnerships Benefit the Lab

• Broadens research targets and applications

• Enhances reputation & constituency

• Provides additional funds for mission oriented

research

• Provides window into industry “best practices”

• Fulfills public benefit mission (legislation and

operating contracts)


Industrial Partnerships: 134 CRADAs*

Biotechnology and

Health

Computing

Instrumentation,Manufacturing, and

Communication

Energy and Environment

Materials

31

31

28

7

37

* Cooperative Research and Development Agreements


Industry Partner Survey Revealed High Demand for Research Collaborations

• 97% of the survey respondents would like to partner again

• 91% indicated they had benefited

• Greatest benefit is obtaining specialized expertise and capabilities from the labs that are otherwise unavailable

• Industry demand for LTR partnerships significantly exceeds the DOE funding

• Reliability of funding, administrative simplifications, and timeliness in meeting project schedules need improvement


No

. o

f C

om

pan

ies

0

20

40

60

80

100

120

Yes No Not Sure

9 2

115

- 91% of the Companies said yes

- 97% said they want to do another Research Partnership Project

Why Work With The Lab?

Feedback from Industry Partner Survey - Have You Benefited with a Lab Partnership?


Good Evaluation of SC Labs

Importance vs. Performance - All Labs

0.00 0.50 1.00 1.50 2.00 2.50 3.00 3.50 4.00 4.50 5.00

Contract Administration

Contract Negotiation

Project Management

Schedule Responsiveness

Reliability of Funding

Understanding Needs

Facilities

Value

IP Protection

Expertise

Quality of Work

Importance

Performance


Costs

• Perception vs. reality

• Bottom line

–Less than or comparable to best in class firm

–About a 2.5 multiplier on bare salaries


Schedule

• Cultural differences

• Differences can be successfully worked

–Demonstrated by many successful Industry-Lab

partnership projects


Available Contractual Mechanisms

• CRADAs (Collaborative Research And Development Agreement)

• Technical Assistance

• WFO’s (Work For Others)

• Licensing

• User Agreements

• Cooperative Agreements

• Participating Guests, etc.


Intellectual Property and the CRADA

We are often asked by researchers, and especially private industry, how intellectual property rights are handled under a cooperativeresearch and development agreement (CRADA). As many of you know, a CRADA is a cost-shared research partnership whereindustry and the Department of Energy share costs and equipment in the research and development of a specific technology that is ofhigh interest to the industrial partner and matches a DOE mission area. Who owns the rights to intellectual property that arises duringthe partnership is of interest to both parties.

There are three basic scenarios in which intellectual property is handled in a CRADA contract: 1/ the company invents it 2/ BerkeleyLab invents it 3/ partners jointly invent it.

The company invents itIndustry partner can choose to own 100% of the invention. No licensing from Berkeley Lab is required.

Berkeley Lab invents it• A free option is offered to the industrial partner to an exclusive royalty-bearing license on any invention created by Berkeley Labunder the CRADA. (For reference, many companies and universities charge for the grant of an option.)

• An industry partner can exercise the option anytime within 6 months of receiving Berkeley Lab’s written disclosure of a CRADAinvention.

• The industry partner has the right to extend the option for an additional year, or more (at a negotiated cost).

• The industry partner has the right to license the technology based upon a commitment to develop the technology and the payment ofa license issue fee and sales royalties; both of which must be commercially reasonable.

Partners jointly invent itOn a joint invention, the company (as employer of the co-inventor) can use the invention. If it wishes an exclusive right, the companynegotiates Berkeley Lab’s one half interest at a correspondingly lower rate.

Check out other CRADA-related information at: http://www.lbl.gov/Tech-Transfer/ER-LTR.html


ContractualMechanism

Description Industry Funding LBNL/DOEFunding

Protection ofInformation

IntellectualProperty

Comments

CRADA A contract that estab-lishes a partnershipwith industry forcollaborative researchand developmentactivities.(CollaborativeResearch andDevelopmentAgreement)

Cost-sharedthrough contribu-tions of funds,personnel, equip-ment, services, orfacilities. A 90-daycash advancerequired on funds-in to LBNL. DOEdepreciation andadded factor canbe waived.

Cost-sharedthrough contribu-tions of funds,personnel, equip-ment, services, orfacilities, and wai-ver of DOE depre-ciation and addedfactor charge. TheLaboratory cannotpay funds topartner.

The partiesmay protect(like a tradesecret) theircommerciallyvaluableinformation forup to fiveyears.

Each party retainstitle to its owninventions. LBNLgrants industrialpartner an option fora royalty-bearingexclusive license ina field of use.

Requires scientific collaborationby the industrial partner. Workmust have a benefit to a DOE/LBNL mission. Usually accom-panied by a license or optionagreement. Requires "substantialU.S. manufacture" of resultingproducts or services. DOE mustapprove a "Joint Work Statement"and the CRADA before work canbegin. If 100% of costs are paidby partner, WFO is an alternative.

WFO A contract thatprovides industry, non-profit institutions, andstate and local govern-ments access to theLaboratory's uniquefacilities, equipment,and personnel.(Work For Others)

Pays full cost ofLaboratory effort.Sponsor usuallypays a DOEdepreciation andadded factorcharge (except forsmall business).A 90-day cashadvance required.

Industry sponsorpays full cost ofLaboratory effort.

Usually allparties can useall dataproducedwithoutrestriction.

With someexceptions, title toLBNL inventionsgoes to the sponsor.

Includes research and develop-ment as well as unique analyticalservices. The work may notplace LBNL in direct competitionwith private industry. Work mustbe consistent with or complemen-tary to the Laboratory's mission.DOE must approve the proposaland any substantive changes tothe WFO agreement.

UserAgreement

A contract thatprovides access tocertain unique LBNLexperimental facilitiesfor research, testingand developing proto-types. E.g.: AdvancedLight Source, NationalCenter for ElectronMicroscopy, BoreholeSimulator (future)

If the work isproprietary, use offacilities requiresfull-costreimbursementunder the samerules as WFO.

Use of facility issubject toavailability.

There are bothproprietary andnonproprietaryagreements.

Inventions go to theuser.

The industrial partner directs theactivity that occurs within theterms of agreement. DOEapproval is not required.

Research Contracts


Studying Cures for Parkinson’s Disease-Imaging Brain Function with PET

• Imaging reveals dopamine-depletedregions in monkey brain

• Viral vector therapy may reverseneurotransmitter depletion

• Collaborating with industry led to a patented gene therapy approach to treating Parkinson’s disease

PET - Positron Emission Tomography


Saving Heating and Cooling Energy - Technology to Repair HVAC Duct

LeaksThrow Away that Old Duct Tape

Aerosol-based duct sealing internally seals air leaks by blowing aerosolized adhesive particles into a duct system and depositing them at the leakage sites. Leaking ducts can be sealed in an average house in about a day. Reduces energy used in home heating and cooling by 10% to 30%


UV Waterworks: Purifying Water and Saving Lives around the World

"Unlike other ultraviolet-based water purifiers, UV Waterworks does not require pressurized water-delivery systems and electrical outlets," stated Ashok Gadgil, inventor of the device and scientist in the Environmental Energy Technologies Division. It works either on its own or with a pump or prefilter.


High Performance, Unique, Energy Efficient Berkeley Lamp

A new high-performance table lamp saving 30% to 40% of lighting energy while increasing lighting quality and visibility.

Technology licensed from LBNL


The Berkeley Lamp-Commercialized by a utility consortium

Berkeley Lab

SMUD SCE PG&E

Each Vendor/Supplier will generally:

• Manufacture and deliver table lamps in accordance with each Utility P.O. and specifications

• Deliver to utility or site(s) designated

• Provide UL stamp

Lighting Manufacturing

Co.

Lighting Manufacturing Co.

Lighting Manufacturing

Co.

• Develop technical specs and conceptual dwgs. suitable for vendor bids.

• Assist Utilities with evaluation of bids

• Assist Utilities with performance measuring program

• Assist Utilities with installation of prototype lighting fixtures

• Prepare Final Report

Each Utility will generally:

• Fund and Procure approx. 150 of the prototype Table Lamps

• Assist LNBL with the technical specifications for the Lamps

• Identify appropriate demonstration sites

• Perform a demonstration of the lamps

• Assist LBNL with preparation of the Final Report


Furniture-Like Biohazard Control Station- To Safely Open Potentially Contaminated Mail

• APPLICATIONS OF TECHNOLOGY:–Office environment–Home environment

• ADVANTAGES:–Eliminates threat of airborne

contamination caused through mail delivery

–Prevents or significantly minimizes costly office disruption and closure; e.g. anthrax closure of Hart Senate Office

–Saves lives; effective insurance–Expected low to moderate costLooking for Partner (s)


Top PI’s Participate in LTR Partnerships

Gabor Somorjai

Gabor Somorjai Receiving National Medal of Science

June 13, 2002


PI Perspectives on Partnership Research (1)

• “I have numerous projects that could immediately start to happen if SC-LTR funds were available to support them. The shortage is not of ideas, nor of industrial interest, nor of reasonable scientific/commercial feasibility, but of funds.”

• “There's a need for SC-LTR projects of a whole wide range of funding levels, from pretty small (a few tens of $K) up to pretty big (a few M$ over a few years). Wide range.”

• “The SC-LTR Program represents the only avenue for small-size and medium-size companies to establish effective collaborations with National Laboratories.”

• “This type of program lends credibility and a degree of formalization that reduces the barriers associated with industrial partnership.”


PI Perspectives on Partnership Research (2)

• “This program is one of the few ways that novel, high risk science can be done. Most other funding sources will not fund work which is high risk.”

• “The LTR program represents a viable mechanism for co-developing innovative research with biopharmaceutical partners. These discoveries might otherwise languish in the deepfreezes of the laboratory without the expertise of screening and clinical trials that can be provided by a motivated partner.”

• “Industry is restructuring in such a way that they do more short-term R&D, or D and no R, and they clearly need the research. It's a question of doing it efficiently and for the national benefit.”

• “The partnership program is a very effective means for industry to benefit.... However, the interaction is mutually beneficial to both parties.”


Licensing Objectives

• Get technology used

• Support R&D missions

• Obtain fair return


Lab Technologies are Actively Licensed

8

56

29

17

24 25

35

12

1

100

12

71*

38

17

29

13

0

20

40

60

80

100

120

Available

BatteriesBiotech, Medicine

Chem & Manf. Processes Energy

Efficiency

Energy & Environ. Ion

Sources

Materials Science Sensors &

Instrumen.

Existing License or Option

Legend:

71* - Excludes 105 S/W licenses


Licensed Technologies Lead to Spin-offs

• 16 such start-ups since 1990.

• Job creation and economic development from these startups: More than 600 new jobs within the start-ups themselves.


Get Acquainted; identify mutually inclusive goals. Project Development for a "base hit." Prepare Research Plan- (What, Who, How, When, Why,

How Much...?)

Prepare Proposal Package

-Scope-Schedule

-Budget-Work Plan

-Organization-Intellectual Property

-DOE Issues...

Competitive Proposal

Evaluation and

Selection (WFO can bypass)

Contractual PositioningFunding Positioning

Mgm’t. Review and Approval Begin the

Project

1.

3.

2.

4.

5.

6.

Working with the Lab - Project Mgm’t. Fundamentals


Berkeley Lab Business Contacts

• Tech Transfer Dept. Head

– Cheryl Fragiadakis

– Tel: 510-486-7020

– [email protected]

• Licensing

– Viviana Wolinsky

– Tel: 510-486-6463


• Marketing

– Pam Seidenman

– Tel: 510-486-6461 [email protected]

• Partnerships

– Chris Kniel

– Tel: 510-486-5566


Websitewww.lbl.gov

Working with the Lab Quick Overview

Documents

Transcript of Working with the Lab Quick Overview