1. Office of Technology Transitions U.S. Department of Energy Steven T. McMaster, Deputy Director August 13, 2015 1

2. Mission: 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 $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

3. 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. 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

4. 4 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 Deployment Early-stage research Management, coordination, data collection, analysis, evaluation and policy development High impact commercialization activities

5. Loan Programs Office DevelopmentDemonstration Grants Loan Guarantee Grants Loan Guarantee Bonds Grants Loan Guarantee Tax Incentives Applied Energy Programs Office of Science Infrastructure DemonstrationDeployment Research & Development Credit Enhancement Bonds ARPA-E DOE Civilian DOE Security NNSA

6. 6 TRL 1-2TRL 3-4TRL 5-6TRL 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

7. DOE National Laboratories

8. For Official Use Only – Not for Distribution 8 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)

9. Evidence Based Impact Studies Stakeholder Engagement 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

10. National Labs Universities 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

11. 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: Ongoing Status: Complete

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

13. Option #1: Early Technology Maturation Option 1: Early Technology Maturation Fund 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 1: Early Technology Maturation Fund 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 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 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 Projects Fund 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) Option 4: Pilot-Scale Demonstration Projects Fund 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)

14. For Official Use Only – Not for Distribution 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 14

15. 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.

16. 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) 16

17. 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?

19. 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 ACT 2021 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 work 1.LBNL, $52.2 M—420 agreements 2.Argonne, $35.1 M—143 agreements Top DOE taxonomies for SPP work 1.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 work 1.LANL, $14.6 M—147 agreements 2.INL, $13.3 M—49 agreements Top DOE taxonomies for CRADA work 1.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 workOnly 4 Labs perform ACT work 1.LLNL, $21.1 M—1 agreement 2.PNNL, $4.8 M—59 agreements 3.NREL, $2.5M—4 agreements 4.BNL, $0.6M—3 agreements Top DOE taxonomies for ACT work 1.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.

20. National Labs Universities & Other Research Institutions Angels and VCs State & Local Government Corporates Incubators & Nonprofits Project Developers & Financiers Industry Consortia & Associations Economic Development Orgs

21. For Official Use Only – Not for Distribution MYTH: LABS DO NOT SERVE SMALL BUSINESSES Solaro Energy Algal Nutrient Dairy Energy & Water Wave Energy 21 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

22. 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 Engineering Materials Transportation Polsky Center Computation, UrbanCCD Agriculture and food Pharma UCTech Public Sector Harris School Mentorship Programs Energy Booth School The Garage DCEO WBC 22 Courtesy of Argonne National Laboratory

23. 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 23 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

24. 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 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 Assistance Program 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 Funds: $20M = ~100 small businesses served at ~$175,000/entity Successful precedents: PNNL, NREL and INL Technology and Commercialization Assistance Programs, NM Small Biz Assistance Program 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 One Stop Shop Lab Major Components:  Lab Call  IT Platform  Outreach and Communications  Lab Infrastructure  Voucher Work  Third Party Evaluation Major Components:  Lab Call  IT Platform  Outreach and Communications  Lab Infrastructure  Voucher Work  Third Party Evaluation Small Business Vouchers Pilot