Working with Pacific Northwest

National Laboratory

PETER CHRISTENSEN

Manager, Technology Commercialization

Drive Oregon, June 11, 2014

PNNL-SA-103325

DOE’s National Laboratories are

solving America’s toughest challenges

2

Expanding campus, growing capabilities

4,200+ staff, 1,000+ PhDs

$936M billion business volume in

FY13

93% federal, 7% industrial

More than 50% homeland and

national security

2,247 U.S. and Foreign Patents as

of FY13 (invention per day, patent

per week)

89 R&D 100 Awards – The Oscars

of Invention

75 Federal Laboratory Consortium

(FLC) Awards for Excellence in

Technology Transfer

Over the years, our portfolio has diversified

and grown … and been recognized

Powerful combination of core capabilities

June 19, 2014 5

Powerful combination of core capabilities

5

• World-class technical staff • State-of-the-art equipment • Mission-ready facilities

Smart Grid with Smart Chargers Can Deliver the Electricity for Millions of PHEVs

PNNL Grid-Friendly Charger Controller

With communications as part of the AGC control

Provision of regulation services to minimize ACE

Requires high update rates via SCADA network

Without communications

Based on frequency deviations from nominal AC frequency

Provision of frequency bias portion of ACE

Extremely low-cost

June 19, 2014 7

8

V2G½: Load can provide regulation services

V2G • provides regulation

service as a load and

generator

• requires charging and

discharging according

to grid operators

signal

Max. charging (7.2 kW = 240V*30A)

Max. discharging (-7.2 kW)

ch

arg

ing

dis

cha

rgin

g

Capacity value

(-7.2 to 7.2=14.4kW)

Max. charging (7.2 kW)

Attribute of “V2G½”:

• provides regulation service with ½ the capacity value of V2G

• however, less than half the cost because • no interconnection gear with grid necessary because no electricity goes back into grid

• removes any uncertainties regarding battery life reduction

because of extra cycling

Max. discharging (-7.2 kW)

ch

arg

ing

dis

cha

rgin

g

Capacity value

(0 to 7.2=7.2 kW) V2G½

• provides regulation

service as a load only

• requires only charging

• modulates charging Never discharge !

Regulation Services as a Load during Charging

June 19, 2014 9

PJM allows loads to provide regulation

services

3.6kW (240V/15A)

0.0%

10.0%

20.0%

30.0%

40.0%

50.0%

60.0%

70.0%

80.0%

90.0%

100.0%

0

3,6

00

7,2

00

10

,80

0

14

,40

0

18

,00

0

SO

C

Battery State-of-Charge

0

100

200

300

400

500

600

0

36

00

72

00

10

80

0

14

40

0

18

00

0

time in [sec]

MW

ISO Regulation Signal

1 hour

1 hour

600,00 vehicles would provide 500 MW of regulation

services (0.8 kW per vehicle

diversified)

Doing Business with PNNL

June 19, 2014 10 10 10

CRADA

• Cost share with DOE

• Option to exclusive rights to foreground IP

WFO

• Fund research

• Keep the IP

• Mostly non-negotiable terms

ACT

• Fund research

• Negotiate IP

• More flexible in some terms

Direct Licensing of Existing IP

• Patents and technologies available for licensing

Example of successful licensing of PNNL IP

High-resolution radar imaging technology to rapidly scan for potential threats that would not be picked up by traditional metal detectors in airports.

Same technology serves the apparel industry, taking customer measurements to help make tailored clothing.

June 19, 2014 11

Example of successful licensing of PNNL IP

PNNL spin-out company for grid-

scale (vanadium redox) flow

batteries using novel electrolyte

chemistry

Helps to enable renewable power

generation

Firm based in Mukilteo, WA

One of two licenses to battery

manufacturers, in additional to

three licenses to electrolyte

producers.

12

Sponsored Research Funding Models

June 19, 2014 13

Federal Funds

PNNL 3rd Party Federal Funds

PNNL 3rd Party

Subcontract

Non-Federal Funds

PNNL 3rd Party

CRADA / WFO / ACT

Federal Funds

PNNL 3rd Party Funds/In-Kind

CRADA

Federal Funds

PNNL 3rd Party

CRADA / WFO

Cooperative Research and Development

Agreement (CRADA)

Research at PNNL funded jointly by sponsor and DOE

Must be aligned with DOE mission – support required from

cognizant DOE program manager, and scope approved by

DOE site office

Sponsor’s cost share can include in-kind, e.g., prototypes,

labor, etc.

Commercial terms somewhat negotiable, but standard template

from DOE has many essentially non-negotiable terms

IP: Sponsor gets an option to an exclusive license to

generated IP within a specific field of use (royalty terms can be

bracketed)

Data: Incoming data can be protected, but generated data can

only be protected for five years

Starting point: Develop scope of work with PNNL June 19, 2014 14

Work for Others (WFO)

Research at PNNL fully funded by sponsor

PNNL cannot compete with the private sector, so work must

relate to unique PNNL capability or expertise

Terms are largely non-negotiable

Ninety day up front payment required

Sponsor indemnifies lab and government

Time and materials basis only

IP: Sponsor owns all generated IP (given DOE reporting

requirements, some sponsors choose to let Battelle own IP and

then grant exclusive license or use option)

Data: Sponsor can own and protect all generated data

Starting point: Develop scope of work with PNNL

June 19, 2014 15

Agreement to Commercialize Technology

(ACT)

Research at PNNL fully funded by sponsor

ACT is a pilot program at nine DOE laboratories

Battelle steps in between sponsor and DOE to absorb some

risk in exchange for a slightly higher fee

Terms are more negotiable

No up front fee required (payment negotiable)

Indemnity clauses are negotiable (Battelle can assume some risk)

Deliverables are negotiable, i.e., performance requirements

IP: Largely negotiable – most often Battelle takes title and

grants exclusive license in field of use, allowing Battelle to

license in unrelated fields of use

Data: Sponsor can own and protect all generated data

Starting point: Develop scope of work with PNNL

June 19, 2014 16

Agreement Use Funding Subject Inventions Generated Data U.S. Competitiveness Cost Highlights

Cooperative Research and Development

Agreement (CRADA)

Collaborative research between DOE Labs and public and/or private entities for the mutual benefit of the parties

Private and/or Federal funds

Lab and Participant may elect their own inventions and Participant has right to negotiate exclusive license to Lab inventions

Protected for up to 5 years

Products embodying IP resulting from CRADA shall be manufactured substantially in the U.S.

Lab and Participant may share costs or Participant pays 100% funds-in

Collaborative research 5 year data protection Designed for multi-party collaborative research

Work for Others (WFO)

Work for businesses and other non-federal entities using highly specialized or unique DOE facilities, services or technical expertise

Private funds

Sponsor may elect title to Subject Inventions1

Protected as Sponsor’s proprietary data w/limited exceptions1,2,3

U.S. Preference: Sponsor agrees not to grant any party exclusive right to use or sell products embodying Subject Inventions in the U.S. unless products are manufactured substantially in the U.S.

Sponsor pays full cost recovery

Sponsor typically retains right to elect title to subject inventions Generated data treated as proprietary Option for limited Gov. R&D license3

Federal funds

Lab may elect title to Subject Inventions of the Lab

Unlimited Gov. rights

U.S. Preference (see above)

Sponsor pays full cost recovery

Access to unique facilities and expertise using federal funds

Agreements for Commercializing

Technology (ACT)

Work for businesses and other non-federal entities using highly specialized or unique DOE facilities, services or technical expertise

Private funds

Initial title to the designated IP Lead. (ACT Participant or Lab Contractor)

Protected as proprietary data w/limited exceptions1,2,3

U.S. Preference (see above)

Participant pays full cost recovery plus additional negotiated compensation to the Contractor

Flexibility for addressing indemnity & adv. payment Negotiable IP terms Optional performance guarantee Option for limited Gov. R&D license3

Proprietary User Agreement4

User may access designated facilities to conduct its own proprietary research

Private funds

User may elect title to its Subject Inventions

User may protect as proprietary

n/a User pays approved user rate

Generated data treated as proprietary Merit based access to unique facilities

Non-Proprietary User Agreement4

Non-proprietary research at designated facilities

n/a Lab and User may elect their own Subject Inventions

Unlimited Gov. Rights

U.S. Preference (see above)

Each party covers own cost

Merit based access to unique facilities

Technology Transfer Mechanisms at DOE Facilities

1 Certain exceptions or restrictions may apply (e.g. foreign WFO Sponsors may be granted the right to elect title to inventions and receive proprietary data protection but only after the approval of DOE field patent counsel and concurrence from the cognizant DOE program office).2 Proprietary data protection may not be available at all facilities. 3 If the limited Gov. R&D license is utilized, data protection will be limited to 5 years. 4 User Agreements are only available when the Sponsor/Participant/User is proposing to use a DOE Designated User Facility that offers such agreements. (see, http://technologytransfer.energy.gov/docs/designateduserfacilities.html) rev. 9.24.2012

Certification: The Lab provided this DOE technology transfer matrix and explained all the options available including the availability of WFO agreements and CRADAs. The Lab has also disclosed in writing the relative cost differential between performing the proposed scope of work under ACT, a non-federal WFO agreement, and a CRADA (including any additional compensation to the Contractor under ACT).

By: _______________________ (Sponsor/Participant/User Name)

Signature: _______________________ Date: _________________

Survey Question: Why did you chose the selected mechanism for this project? ______________________ _

Portfolio Alignment

June 19, 2014 18

Gordon Graff • Energy Storage (grid, non-grid)

Dave Greenslade • Sensors • Mechanical/electrical devices • Microtechnology • Nuclear (including radiochemical

processing, isotopes and power generation) • Environmental • Manufacturing

Portfolio Alignment

June 19, 2014 19

Eric Lund • Biofuels, bio-based chemicals • Chemistry (including hydrogen generation) • Materials (including magnetics, lightweight materials) • Catalysts • Carbon Capture and Sequestration

Ron Thomas • Biomedical • Bio-based Chemicals & Fuels (biology) • Biotechnology • Bioinformatics • Fuel cells

Portfolio Alignment

June 19, 2014 20

Bruce Harrer • Analytical Instruments • Millimeter Wave • Coatings/Films • Energy Conversion (solar, geothermal, fossil,

thermoelectric; not including nuclear)

Jennifer Hodas • Electricity Infrastructure (including

analytics, demand response) • Energy Efficiency (including buildings

technology

Matt Love • Information Technologies • Software licensing • OSL