Technology Transfer at Brookhaven National Laboratory FLC Northeast Region Fall Meeting September 10, 2014 Michael J. Furey, Manager of Research Partnerships

Est Managed by Brookhaven Science Associates founded by Stony Brook University and Battelle Memorial Institute under contract with the U.S. DOE −Core universities: Harvard, Princeton, Yale, MIT, Columbia, Cornell −One of five Office of Science, multi-program Labs −Only one in Northeast 3,000 employees with 98% living on LI -500 Grad/Undergrad Students (BNL payroll) $700 M annual budget 5,320 acres with 310 buildings Major user facility for university and industry researchers -Over 4,000 users per year -Stony Brook University is Lab’s largest user Fundamental, basic research to innovation, development and commercialization of technologies: energy S&T, nuclear and high energy physics, bio and environmental sciences, national security Brookhaven Lab at a Glance... Overview 2

Brookhaven National Laboratory RHIC New York Blue Supercomputer Interdisciplinary Energy Science Building NSLS CFN NSLS-II Long Island Solar Farm October

Major Research Facilities National Synchrotron Light Source One of world’s most powerful tools observing structure and behavior of materials Researching energy, Alzheimer’s disease, breast cancer, HIV/AIDS, environmental cleanup technology and more Operations ending on September 30, 2014 National Synchrotron Light Source II Soon to be world’s brightest X-ray light source $960 million project - hundreds of local jobs Scheduled for completion in 2014 Approx. 3,000 visiting researchers 1/3 from NYS National Synchrotron Light Source Center for Functional Nanomaterials Exploring energy science at the nanoscale Building new materials atom-by-atom to achieve desired properties and functions National Synchrotron Light Source II Research Facilities 4

Major Research Facilities RHIC 2.4 mile circumference Studying the origins of universe through ion collisions revealing make up of visible matter Discovery of the ‘perfect liquid’ New York Center for Computational Science Partnership between BNL & Stony Brook University IBM Blue Gene/Q supercomputers Supports broad range of research Relativistic Heavy Ion Collider (RHIC) Blue Gene/Q Supercomputers Long Island Solar Farm Partnership between BNL, LIPA and BPSolar 32MW Peak to power 4500 L.I. homes Unique opportunity to study renewables in the Northeast and test new Grid technologies Long Island Solar Farm Research Facilities 5

Research Partnerships at BNL  Partnering Mechanisms  Small Business Partnering Programs  Partnering for Growth  BNL Partnering Resources 6

Cooperative Research and Development Agreements (CRADA)  A CRADA is a collaborative agreement that allows BNL and non- federal partners to optimize their resources, share technical expertise, access intellectual property, and advance the commercialization of federally developed technologies.  Cooperative research program with both BNL and non-federal partner having specific roles and responsibilities detailed in a Statement of Work.  Parties are obligated to protect each other’s Proprietary Information, and research results may be designated as Protected CRADA Information which cannot be publically released for 5 years.  Each Party retains title to its own inventions. Partner has option to negotiate an exclusive license to BNL CRADA inventions in a specified field of use. 7

Work for Others (WFO) Agreement (Non-Federal)  A WFO Agreement is a fee-for-service contract that enables non- federal sponsors to pay BNL to perform a defined scope of work or tasks that draw upon BNL’s unique facilities, equipment, and personnel.  WFO Agreements are “best efforts” contracts  WFO Agreements are full cost reimbursement contracts. Advance payment is required.  Right to inventions are specified.  DOE review and approval will confirm that WFO project is complementary to DOE missions, will not negatively impact BNL programs, will not place BNL in competition with private sector, and will not create a detrimental future burden on DOE resources. 8

Agreements to Commercialize Technology (ACT)  ACT is a pilot program at BNL which enables BSA to conduct privately- sponsored research for non-federal sponsors at BSA risk.  ACT will support a wider range of BNL’s partnerships as BSA can negotiate business-appropriate terms with sponsors in more flexible agreements.  BSA may accept certain risk under ACT agreements, such as payment terms, project deliverables, performance guarantees, indemnification, advance payments, etc. BSA may negotiate a fee beyond the direct cost of work at BNL to compensate for additional risk assumed.  DOE approves ACT proposal and related documentation, but does not review and approve ACT agreements. 9

Small Business Partnering Opportunities  Small Business Innovation Research (SBIR) and Small Business Technology Transfer Research (STTR) programs are highly competitive opportunities for domestic small business to participate in the Federal R&D arena and realize commercial potential for new technologies.  DOE SBIR/STTR grants for Phase I proposals (technical merit, feasibility) normally do not exceed $150K for 6-9 month project, and Phase II proposals (R&D program) do not exceed $1,000,000 over 2 years. Success in Phase I leads to Phase II funding opportunity.  BNL has been successful in partnering with small business on SBIR and STTR proposals. SBIR encourages, but does not require Small business to partner with research institution such as BNL. Small business may subcontract no more than 33% of Phase I grant and 50% of Phase II grant. STTR requires small business to partner with research institution and small business must subcontract 30-60% of grant. 10

Federal Agency SBIR/STTR Budgets Agencies with SBIR & STTR Department of Defense (DoD)$ 1.1 B Department of Health and Human Services: National Institutes of Health (NIH)$717.0M Department of Energy (DOE), including ARPA-E $188.3M National Aeronautics and Space Administration (NASA)$161.8 M National Science Foundation (NSF)$150.6 M Agencies with SBIR only U.S. Department of Agriculture (USDA)$19.3M Department of Education (ED)$13.4M Department of Homeland Security (DHS): Science and Technology Directorate (S&T) and Domestic Nuclear Detection Office (DNDO) $12.6M Department of Transportation (DOT)$8.6M Department of Commerce: National Oceanic and Atmospheric Administration (NOAA) and National Institute of Standards and Technology (NIST) $4.7M 11

Partnering for Growth Long Island Solar Farm (LISF)  LIPA funded the construction of 37MW solar power facility at BNL  BNL entered into 2 CRADAs with operator of LISF, BP Solar  BNL has entered into a CRADA with the Electric Power Research Institute (EPRI) to provide advanced monitoring data from LISF  BNL is receiving a $1M grant from the Empire State Development Corp. (ESDC)  NYSERDA is funding a new WFO project 12

BNL Partnering Resources Business Development and Analysis Office  Manage Prep and Risk System  Federal WFO proposals, agreements, funding, and contract administration  Non-Federal WFO, CRADA, and ACT proposals, agreements, funding, and contract administration  Support entire Project Life Cycle from Prep and Risk through project close-out. Business Operations  Proposal Support; Point of Contact with BHSO  Budget Development  Contract Administration  Project Management Technology Commercialization and Partnerships  Technology licensing, entrepreneurship and start-ups Intellectual Property Legal Group  Invention disclosures, patents, NDAs Proposal Center  Assistance in developing proposal strategy and in preparing a high-quality proposals that are responsive to sponsor’s funding opportunities Guide to Partnering with DOE’s National Lab 

Startup Companies  SynchroPET, LLC - Long Island based start-up formed to commercialize the Brookhaven Laboratory developed Positron Emission Tomography (PET) Technology.  Green Sulfcrete, LLC - Long Island based start-up formed to commercialize Brookhaven Laboratory developed sulfur concrete products made from sulfur waste generated by gas and oil refineries. 14

SynchroPET, LLC  The first BNL start- up under the DOE Startup America program.  Technology can be used to build both preclinical and clinical imaging products. - Examples of preclinical imaging devices: RatCAP - Awake animal imaging Mini PET - Small animal imaging PET/MRI Insert - Dual imaging - Examples of clinical imaging devices: Wrist Detector - Quantitative PET Breast PET/MRI insert – Dual breast imaging 15

Green Sulfcrete, LLC  A BNL start- up under the DOE Startup America program.  A green company. - Recycling industrial by-products generated from the production of oil and gas. - No water required.  Technology can be used for production of cost- effective sulfur polymer cement. - Example: Production of pre-cast and poured concrete products that can be used in construction, highway infrastructure, paving, pipes, marine bulk heads etc. 16

ENERGY CHALLENGES: New York and Beyond Electric Systems Sustainable Fuels DOE ALIGNMENT/LEVERAGE DOE Priority Research Directions Energy Frontier Research Centers BNL Research Basic Research, Applied Research, and Industry Working Together NY State Consortia/Resources Collaborators/Joint Appointments SYRACUSE BNL Resources CFN/Nanoscience NSLS/NSLS-II ISB-I LISF Brookhaven Energy R&D: A Collaborative Approach Energy Blue Gene/Q 17

SGRID 3 : A Transformative Project Proposal  Motivation: What is the Need?  SGRID 3 Vision and Scope/Schedule  Multi-Stakeholder Partnership  Impact  Ability to Address the “Transformative Project” Selection Criteria  Excerpts from SGRID 3 Letters of Support A Smarter Electric Grid Research, Development, Demonstration and Deployment Center 18

What is the need? New York Faces Unprecedented Energy Challenges  Executive Order 24: 80% Carbon Reduction by 2050 Increased electrification, integration of renewables  High cost of electric power in New York Discourages new and relocating businesses  What contributes to NY cost? Grid congestion, locational requirement, reliability needs, peaking  Critical nature of the project Smart Grid can rescue NY’s antiquated, inefficient, costly infrastructure Information technology can allow more efficient management  New York’s unique challenges require collaborative response New York’s challenges are not being addressed by the Federal government, utilities, or industry Marshal Long Island and New York’s unique strengths to bring together information, communication, and energy technologies to address the Grid Opportunity… 19

SGRID 3 Vision  SGRID 3 Goals Lower the cost of electric power by 5-10% Improve the quality and reliability of electric power Ensure the security of the Smart Grid and implement the biggest energy technology revolution in 100 years Develop capabilities to advance future utility investments in the electrical transmission and distribution systems in New York State  SGRID 3 is a unique facility filling an unmet need to: Create a development, demonstration, and deployment infrastructure for new grid technologies, including renewables Create and maintain New York jobs: grid technology companies, information and communication technology companies, new spin-off grid technology and service companies on Long Island and throughout New York State Make Long Island the “Silicon Valley of Smart Grid”… 20

SGRID 3 Vision AEGIS Center Enable grid-performance info collection and modeling to optimize transmission/distribution Foster invention, development, testing, deployment of SGIC technologies NYS Smart Grid Innovation Center Stakeholders can develop and demonstrate grid technologies Model technologies with grid performance info from AEGIS Together : SGRID 3 unique facility fills unmet need… 21