1. Office of Technology Transitions Department of Energy
Jetta Wong, Acting Director Office of Technology Transitions
April 29, 2015

2. 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.

3. 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
Deployment
Early-stage research
Management, coordination, data collection, analysis, evaluation and policy development
High impact commercialization activities

4. Technology Commercialization Fund Operational Resources
Budget
OTT Budget
Technology Commercialization Fund
Provide 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.

5. Technology Commercialization Fund
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.

6. Technology Commercialization Fund
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.
~$20 Million
High impact energy technology commercialization
Option #1: Small grants to commercialize energy technologies with
universities and lab
Option #2: Larger grants to third-party org to pull and incubate tech from national labs
Option #3:
[YOUR IDEA]

7. OTT Request for Information
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:
Technology Commercialization Fund
Cross-R&D Linkages and Innovation Cycle Transitions
Central Policies and Procedures
DOE National Laboratory Technology Transitions
Extramural Technology Transitions
Release date: May 2015 (anticipated)
All stakeholders welcome to submit responses 7

8. DOE Technology Transitions Activities and 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

9. 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

10. R&D Assets: User and Shared Use Facility Database
Faceted search available across 187 facilities at
Full data set available for download at Data.gov
Open API and improved meta tagging projects in development for FY15/16.

11. 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:
Open API’s accessing the Portal’s patent and marketing summary databases are underdevelopment for launch in later FY2015.

12. 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 presenting
Mission and goals
Summary of key metrics
Practices
Pilot Expanded reporting of Commercial-Sector interactions
Purpose: Portfolio assessment and external communication
Use: 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

13. Collaboration & R&D Assets: Small Business Vouchers Pilot
Vision: SBV will increase small business access to the expertise, competencies, and infrastructure of DOE’s national laboratories.
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
One Stop Shop
Lab
SBV One Stop Shop
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

14. Human Capital: Lab-Corps Pilot
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 request
Successful 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

15. 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 Office
Successful precedent: LANL partnerships with Chevron and Proctor & Gamble
Pilot 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

16. Questions? For more information: Jetta Wong
Acting Director, Office of Technology Transitions Department of Energy

17. Back-Up

18. Reporting Structure for OTT
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
Operations
Business
Field
Cyber
Physical security
Special Assistant
Senior Advisor
Executive Assistant
Office of Science
Office of Energy Efficiency and Renewable Energy
Office of Fossil Energy
Office of Electricity Delivery and Energy Reliability
Office of Nuclear Energy
Office of Indian Energy Policy and Programs
Office of Technology Transitions
Secretary of Energy
Deputy Secretary of Energy
Office of Technology Transitions
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

19. 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.

20. 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 Act of 2000 (15 USC 3710 (f))
Technology Transfer Execution Plan: EPAct 05: Planning and Reporting Requirements

21. Technology Transfer Execution Plan
EPAct 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 TCF
Review Existing Draft
Compile Internal and External Input
Incorporate Planning and strategy for TCF
Draft new Plan
Get Feedback on Initial Plan
Finalize Plan

22. 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

23. Agreements for Commercializing Technology (ACT) Pilot Program
ACT Pilot: Established in 2012 to provide a more flexible agreement mechanism for national laboratories to collaborate with the private sector.
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.

24. OTT Responsibilities Oversight and Management Coordination
Communications
Statutorily mandated programs and reports regarding technology transfer
Data Collection, Analysis and Policy Development
Data Collection
Lab metrics
Analysis
Policy Development

25. Technology Commercialization Fund
We want YOUR ideas!
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?

26. FY15 Major Statutory Deliverables Tentative Calendar
FY15 Q2
FY15 Q3
FY15 Q4
FY16 Q1
Technology Commercialization Fund- Planning & Development
Technology Commercialization Fund -Implementation
Federal Lab Tech Transfer Summary Report (NIST)
Technology Transfer/Partnering Annual Report 2014
Technology Transfer Execution Plan