1. Working with Pacific Northwest
National Laboratory
PETER CHRISTENSEN
Manager, Technology Commercialization
Drive Oregon, June 11, 2014
PNNL-SA-103325

2. DOE’s National Laboratories are
solving America’s toughest challenges
2

3. Expanding campus, growing capabilities

4. 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

5. 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

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

7. 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. 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)
chargingdischarging
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)
chargingdischarging
Capacity value
(0 to 7.2=7.2 kW)
V2G½
• provides regulation
service as a load only
• requires only charging
• modulates charging
Never discharge !

9. 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
3,600
7,200
10,800
14,400
18,000
SOC
Battery State-of-Charge
0
100
200
300
400
500
600
0
3600
7200
10800
14400
18000
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)

10. Doing Business with PNNL
June 19, 2014 1010 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

11. 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

12. 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

13. 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

14. 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

15. 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

16. 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

17. Agreement Use Funding Subject Inventions GeneratedData 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? ______________________ _

18. Portfolio Alignment
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Gordon Graff
• Energy Storage (grid, non-grid)
Dave Greenslade
• Sensors
• Mechanical/electrical devices
• Microtechnology
• Nuclear (including radiochemical
processing, isotopes and power generation)
• Environmental
• Manufacturing

19. 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

20. 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