Working with the Lab Quick Overview
Chris Kniel
Berkeley Lab - Tech TransferSeptember 26, 2003
1 Filename: Working_W/Lab_2003.ppt
Knoll – Berkeley Lab Discussions
2 Filename: Working_W/Lab_2003.ppt
About Berkeley Lab
• Multidisciplinary DOE (Dept. of Energy) National Lab
• Managed by the University of California
• Employs more than 4,000
• $500M annual budget
• 9 Nobel Prize winners
• Oldest DOE National Laboratory
• In Berkeley, California
3 Filename: Working_W/Lab_2003.ppt
Founded in 1931 on the Berkeley CampusMoved to Current Site in 1940
4 Filename: Working_W/Lab_2003.ppt
Nine Nobel Laureates
Luis W. Alvarez
Melvin Calvin
Owen Chamberlain
Donald A. Glaser
Ernest Orlando Lawrence
Glenn T. Seaborg
Emilio G. Segrè
Yuan T. Lee
Edwin M. McMillan
5 Filename: Working_W/Lab_2003.ppt
Solve ComplexProblems of Scale
Operate User Facilities
UndertakeInterdisciplinary,
Collaborative Research
What Makes Berkeley Lab a National Laboratory?
6 Filename: Working_W/Lab_2003.ppt
Role as a National Laboratory
• Perform world class basic and applied research
• Work complex problems of scale
• Undertake interdisciplinary, collaborative research
• Educate new generation of scientists & technologists
• Provide unique Scientific User Facilities
• Transfer results of the research
7 Filename: Working_W/Lab_2003.ppt
The University of California:Ten Campuses and Three Laboratories
Lawrence LivermoreNational Laboratory
Los AlamosNational
Laboratory
Lawrence BerkeleyNational Laboratory
The Regents of the University of California
President of the University
Berkeley
Davis
Irvine
Los Angeles
Santa Cruz
Santa Barbara
San Diego
San Francisco
Riverside
Merced
President’s Council on DOE National Laboratories
Located Next to a University Campus - Benefits
200-acre main site
Berkeley Lab(main site)
Lawrence Hall Of Science
Campus
9 Filename: Working_W/Lab_2003.ppt
University of California Connection
An unparalleled partnership– Over 250 of LBNL’s scientists hold
faculty appointments– ≈ 500 Graduate students– ≈ 200 undergraduate students– ≈ 100 post docs
UC Berkeley CampusUC Berkeley Campus
10 Filename: Working_W/Lab_2003.ppt
Berkeley Lab Organization
LABORATORY DIRECTORC.V. SHANK
DEPUTY DIRECTORSP.J. ODDONES.M. BENSON
PLANNING & STRATEGICDEVELOPMENTM.A.CHARTOCK
LABORATORY COUNSELG.R. WOODS
PUBLIC AFFAIRSR.A. EDWARDS
COMPUTING SCIENCESC.W. MCCURDY
Associate Laboratory Director
OPERATIONSS.M. Benson
Deputy Director
INFORMATIONTECHNOLOGIES & SERVICES
A.X. MEROLADivision Director
COMPUTING SCIENCES PHYSICAL SCIENCES ENERGY SCIENCES BIOSCIENCES GENERAL SCIENCES RESOURCES
ADVANCEDLIGHT SOURCED.S. CHEMLA
Division Director
ACCELERATOR &FUSION RESEARCH
W.A. BARLETTADivision Director
ENVIRONMENT,HEALTH & SAFETY
D.C. MCGRAWDivision Director
NATIONAL ENERGY RESEARCHSCIENTIFIC COMPUTING
H.D. SIMONDivision Director
CHEMICAL SCIENCESD.M. NEUMARK
Division Director
PHYSICAL BIOSCIENCESG.R. FLEMING
Division Director
ENVIRONMENTAL ENERGIESTECHNOLOGIESM.D. LEVINE
Division Director
LIFE SCIENCESM.J. BISSELL
Division Director
PHYSICSJ.L. SIEGRIST
Division Director
ENGINEERINGJ.T. TRIPLETT
Division Director
NUCLEAR SCIENCEL.S. SCHROEDERDivision Director
GENOMICST.L. HAWKINS
Division Director
EARTH SCIENCESG.S. BODVARSSONDivision Director
MATERIALS SCIENCESD.S. CHEMLA
Division Director
RESOURCE DEPARTMENTS
Administrative ServicesA.V. MORE
Financial ServicesW.A. WASSON
FacilitiesJ.R. CAMPER
Human ResourcesR.R. SCOTT
TECHNOLOGY TRANSFERC.A. FRAGIADAKIS
11 Filename: Working_W/Lab_2003.ppt
Staff Scientists
Berkeley Lab Staff and Guests: ≈6000
TechnicalStaff
Faculty
PostdoctoralAssociates
Graduate Students
Undergraduate Students
Support Staff
1331
520
610
525
742
1858
480
Lighter section = participating guests
12 Filename: Working_W/Lab_2003.ppt
Stable Laboratory Budget FY 2002 = $460M
Work for Others (excluding NIH)
($60M)
EnvironmentalManagement ($7M)
Energy Efficiencyand Renewables ($26M)
Fusion Energy Sciences ($4M)
Nuclear Physics ($16M)
National Institutes of Health ($32M)
Basic Energy Sciences ($61M)
Biological and Environmental Research ($41M)
Math and Computing Sciences ($61M)
Other DOE ($43M)
High Energy Physics ($27M)
DOE Plant and Capital Equipment
($55M)
13 Filename: Working_W/Lab_2003.ppt
Berkeley Lab ranked:
• 3rd in the world in physical sciences publication research impact
• 22nd in citations
Why Work With The Lab? Berkeley Lab’s Science Impact:
1990–1997
….
14 Filename: Working_W/Lab_2003.ppt
Partnerships are Important to the DOE Laboratories
• Accomplishing the missions– Intellectual contributions of
partner scientists and engineers–Leveraging of resources: funding,
facilities and equipment, data–Cross cutting research
• Providing access for Non-DOE entities to highly specialized or unique facilities
• Maintaining core competencies• Enhancing technology base• Recruiting and retention• Fulfilling public benefit set forth in
legislation and operating contracts
15 Filename: Working_W/Lab_2003.ppt
Lab Access Benefits Industry
• Cutting-edge science not available elsewhere
• Multidiscipline research capability
• Leverage corporate R&D $s
• Increase Corporate flexibility
• Unique experimental facilities
• Opportunity to license technologies
16 Filename: Working_W/Lab_2003.ppt
And Industry Partnerships Benefit the Lab
• Broadens research targets and applications
• Enhances reputation & constituency
• Provides additional funds for mission oriented
research
• Provides window into industry “best practices”
• Fulfills public benefit mission (legislation and
operating contracts)
17 Filename: Working_W/Lab_2003.ppt
Industrial Partnerships: 134 CRADAs*
Biotechnology and
Health
Computing
Instrumentation,Manufacturing, and
Communication
Energy and Environment
Materials
31
31
28
7
37
* Cooperative Research and Development Agreements
18 Filename: Working_W/Lab_2003.ppt
Industry Partner Survey Revealed High Demand for Research Collaborations
• 97% of the survey respondents would like to partner again
• 91% indicated they had benefited
• Greatest benefit is obtaining specialized expertise and capabilities from the labs that are otherwise unavailable
• Industry demand for LTR partnerships significantly exceeds the DOE funding
• Reliability of funding, administrative simplifications, and timeliness in meeting project schedules need improvement
19 Filename: Working_W/Lab_2003.ppt
No
. o
f C
om
pan
ies
0
20
40
60
80
100
120
Yes No Not Sure
9 2
115
- 91% of the Companies said yes
- 97% said they want to do another Research Partnership Project
Why Work With The Lab?
Feedback from Industry Partner Survey - Have You Benefited with a Lab Partnership?
20 Filename: Working_W/Lab_2003.ppt
Good Evaluation of SC Labs
Importance vs. Performance - All Labs
0.00 0.50 1.00 1.50 2.00 2.50 3.00 3.50 4.00 4.50 5.00
Contract Administration
Contract Negotiation
Project Management
Schedule Responsiveness
Reliability of Funding
Understanding Needs
Facilities
Value
IP Protection
Expertise
Quality of Work
Importance
Performance
21 Filename: Working_W/Lab_2003.ppt
Costs
• Perception vs. reality
• Bottom line
–Less than or comparable to best in class firm
–About a 2.5 multiplier on bare salaries
22 Filename: Working_W/Lab_2003.ppt
Schedule
• Cultural differences
• Differences can be successfully worked
–Demonstrated by many successful Industry-Lab
partnership projects
23 Filename: Working_W/Lab_2003.ppt
Available Contractual Mechanisms
• CRADAs (Collaborative Research And Development Agreement)
• Technical Assistance
• WFO’s (Work For Others)
• Licensing
• User Agreements
• Cooperative Agreements
• Participating Guests, etc.
24 Filename: Working_W/Lab_2003.ppt
Intellectual Property and the CRADA
We are often asked by researchers, and especially private industry, how intellectual property rights are handled under a cooperativeresearch and development agreement (CRADA). As many of you know, a CRADA is a cost-shared research partnership whereindustry and the Department of Energy share costs and equipment in the research and development of a specific technology that is ofhigh interest to the industrial partner and matches a DOE mission area. Who owns the rights to intellectual property that arises duringthe partnership is of interest to both parties.
There are three basic scenarios in which intellectual property is handled in a CRADA contract: 1/ the company invents it 2/ BerkeleyLab invents it 3/ partners jointly invent it.
The company invents itIndustry partner can choose to own 100% of the invention. No licensing from Berkeley Lab is required.
Berkeley Lab invents it• A free option is offered to the industrial partner to an exclusive royalty-bearing license on any invention created by Berkeley Labunder the CRADA. (For reference, many companies and universities charge for the grant of an option.)
• An industry partner can exercise the option anytime within 6 months of receiving Berkeley Lab’s written disclosure of a CRADAinvention.
• The industry partner has the right to extend the option for an additional year, or more (at a negotiated cost).
• The industry partner has the right to license the technology based upon a commitment to develop the technology and the payment ofa license issue fee and sales royalties; both of which must be commercially reasonable.
Partners jointly invent itOn a joint invention, the company (as employer of the co-inventor) can use the invention. If it wishes an exclusive right, the companynegotiates Berkeley Lab’s one half interest at a correspondingly lower rate.
Check out other CRADA-related information at: http://www.lbl.gov/Tech-Transfer/ER-LTR.html
25 Filename: Working_W/Lab_2003.ppt
ContractualMechanism
Description Industry Funding LBNL/DOEFunding
Protection ofInformation
IntellectualProperty
Comments
CRADA A contract that estab-lishes a partnershipwith industry forcollaborative researchand developmentactivities.(CollaborativeResearch andDevelopmentAgreement)
Cost-sharedthrough contribu-tions of funds,personnel, equip-ment, services, orfacilities. A 90-daycash advancerequired on funds-in to LBNL. DOEdepreciation andadded factor canbe waived.
Cost-sharedthrough contribu-tions of funds,personnel, equip-ment, services, orfacilities, and wai-ver of DOE depre-ciation and addedfactor charge. TheLaboratory cannotpay funds topartner.
The partiesmay protect(like a tradesecret) theircommerciallyvaluableinformation forup to fiveyears.
Each party retainstitle to its owninventions. LBNLgrants industrialpartner an option fora royalty-bearingexclusive license ina field of use.
Requires scientific collaborationby the industrial partner. Workmust have a benefit to a DOE/LBNL mission. Usually accom-panied by a license or optionagreement. Requires "substantialU.S. manufacture" of resultingproducts or services. DOE mustapprove a "Joint Work Statement"and the CRADA before work canbegin. If 100% of costs are paidby partner, WFO is an alternative.
WFO A contract thatprovides industry, non-profit institutions, andstate and local govern-ments access to theLaboratory's uniquefacilities, equipment,and personnel.(Work For Others)
Pays full cost ofLaboratory effort.Sponsor usuallypays a DOEdepreciation andadded factorcharge (except forsmall business).A 90-day cashadvance required.
Industry sponsorpays full cost ofLaboratory effort.
Usually allparties can useall dataproducedwithoutrestriction.
With someexceptions, title toLBNL inventionsgoes to the sponsor.
Includes research and develop-ment as well as unique analyticalservices. The work may notplace LBNL in direct competitionwith private industry. Work mustbe consistent with or complemen-tary to the Laboratory's mission.DOE must approve the proposaland any substantive changes tothe WFO agreement.
UserAgreement
A contract thatprovides access tocertain unique LBNLexperimental facilitiesfor research, testingand developing proto-types. E.g.: AdvancedLight Source, NationalCenter for ElectronMicroscopy, BoreholeSimulator (future)
If the work isproprietary, use offacilities requiresfull-costreimbursementunder the samerules as WFO.
Use of facility issubject toavailability.
There are bothproprietary andnonproprietaryagreements.
Inventions go to theuser.
The industrial partner directs theactivity that occurs within theterms of agreement. DOEapproval is not required.
Research Contracts
26 Filename: Working_W/Lab_2003.ppt
Studying Cures for Parkinson’s Disease-Imaging Brain Function with PET
• Imaging reveals dopamine-depletedregions in monkey brain
• Viral vector therapy may reverseneurotransmitter depletion
• Collaborating with industry led to a patented gene therapy approach to treating Parkinson’s disease
PET - Positron Emission Tomography
27 Filename: Working_W/Lab_2003.ppt
Saving Heating and Cooling Energy - Technology to Repair HVAC Duct
LeaksThrow Away that Old Duct Tape
Aerosol-based duct sealing internally seals air leaks by blowing aerosolized adhesive particles into a duct system and depositing them at the leakage sites. Leaking ducts can be sealed in an average house in about a day. Reduces energy used in home heating and cooling by 10% to 30%
28 Filename: Working_W/Lab_2003.ppt
UV Waterworks: Purifying Water and Saving Lives around the World
"Unlike other ultraviolet-based water purifiers, UV Waterworks does not require pressurized water-delivery systems and electrical outlets," stated Ashok Gadgil, inventor of the device and scientist in the Environmental Energy Technologies Division. It works either on its own or with a pump or prefilter.
29 Filename: Working_W/Lab_2003.ppt
High Performance, Unique, Energy Efficient Berkeley Lamp
A new high-performance table lamp saving 30% to 40% of lighting energy while increasing lighting quality and visibility.
Technology licensed from LBNL
30 Filename: Working_W/Lab_2003.ppt
The Berkeley Lamp-Commercialized by a utility consortium
Berkeley Lab
SMUD SCE PG&E
Each Vendor/Supplier will generally:
• Manufacture and deliver table lamps in accordance with each Utility P.O. and specifications
• Deliver to utility or site(s) designated
• Provide UL stamp
Lighting Manufacturing
Co.
Lighting Manufacturing Co.
Lighting Manufacturing
Co.
• Develop technical specs and conceptual dwgs. suitable for vendor bids.
• Assist Utilities with evaluation of bids
• Assist Utilities with performance measuring program
• Assist Utilities with installation of prototype lighting fixtures
• Prepare Final Report
Each Utility will generally:
• Fund and Procure approx. 150 of the prototype Table Lamps
• Assist LNBL with the technical specifications for the Lamps
• Identify appropriate demonstration sites
• Perform a demonstration of the lamps
• Assist LBNL with preparation of the Final Report
31 Filename: Working_W/Lab_2003.ppt
Furniture-Like Biohazard Control Station- To Safely Open Potentially Contaminated Mail
• APPLICATIONS OF TECHNOLOGY:–Office environment–Home environment
• ADVANTAGES:–Eliminates threat of airborne
contamination caused through mail delivery
–Prevents or significantly minimizes costly office disruption and closure; e.g. anthrax closure of Hart Senate Office
–Saves lives; effective insurance–Expected low to moderate costLooking for Partner (s)
32 Filename: Working_W/Lab_2003.ppt
Top PI’s Participate in LTR Partnerships
Gabor Somorjai
Gabor Somorjai Receiving National Medal of Science
June 13, 2002
33 Filename: Working_W/Lab_2003.ppt
PI Perspectives on Partnership Research (1)
• “I have numerous projects that could immediately start to happen if SC-LTR funds were available to support them. The shortage is not of ideas, nor of industrial interest, nor of reasonable scientific/commercial feasibility, but of funds.”
• “There's a need for SC-LTR projects of a whole wide range of funding levels, from pretty small (a few tens of $K) up to pretty big (a few M$ over a few years). Wide range.”
• “The SC-LTR Program represents the only avenue for small-size and medium-size companies to establish effective collaborations with National Laboratories.”
• “This type of program lends credibility and a degree of formalization that reduces the barriers associated with industrial partnership.”
34 Filename: Working_W/Lab_2003.ppt
PI Perspectives on Partnership Research (2)
• “This program is one of the few ways that novel, high risk science can be done. Most other funding sources will not fund work which is high risk.”
• “The LTR program represents a viable mechanism for co-developing innovative research with biopharmaceutical partners. These discoveries might otherwise languish in the deepfreezes of the laboratory without the expertise of screening and clinical trials that can be provided by a motivated partner.”
• “Industry is restructuring in such a way that they do more short-term R&D, or D and no R, and they clearly need the research. It's a question of doing it efficiently and for the national benefit.”
• “The partnership program is a very effective means for industry to benefit.... However, the interaction is mutually beneficial to both parties.”
35 Filename: Working_W/Lab_2003.ppt
Licensing Objectives
• Get technology used
• Support R&D missions
• Obtain fair return
36 Filename: Working_W/Lab_2003.ppt
Lab Technologies are Actively Licensed
8
56
29
17
24 25
35
12
1
100
12
71*
38
17
29
13
0
20
40
60
80
100
120
Available
BatteriesBiotech, Medicine
Chem & Manf. Processes Energy
Efficiency
Energy & Environ. Ion
Sources
Materials Science Sensors &
Instrumen.
Existing License or Option
Legend:
71* - Excludes 105 S/W licenses
37 Filename: Working_W/Lab_2003.ppt
Licensed Technologies Lead to Spin-offs
• 16 such start-ups since 1990.
• Job creation and economic development from these startups: More than 600 new jobs within the start-ups themselves.
38 Filename: Working_W/Lab_2003.ppt
Get Acquainted; identify mutually inclusive goals. Project Development for a "base hit." Prepare Research Plan- (What, Who, How, When, Why,
How Much...?)
Prepare Proposal Package
-Scope-Schedule
-Budget-Work Plan
-Organization-Intellectual Property
-DOE Issues...
Competitive Proposal
Evaluation and
Selection (WFO can bypass)
Contractual PositioningFunding Positioning
Mgm’t. Review and Approval Begin the
Project
1.
3.
2.
4.
5.
6.
Working with the Lab - Project Mgm’t. Fundamentals
39 Filename: Working_W/Lab_2003.ppt
Berkeley Lab Business Contacts
• Tech Transfer Dept. Head
– Cheryl Fragiadakis
– Tel: 510-486-7020
• Licensing
– Viviana Wolinsky
– Tel: 510-486-6463
• Marketing
– Pam Seidenman
– Tel: 510-486-6461 [email protected]
• Partnerships
– Chris Kniel
– Tel: 510-486-5566
Websitewww.lbl.gov