Working with the Lab Quick Overview

1. Knoll – Berkeley Lab Discussions Working with the Lab Quick Overview Chris Kniel Berkeley Lab - Tech Transfer September 26, 2003 Filename: Working_W/Lab_2003.ppt 1

2. 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. Founded in 1931 on the Berkeley CampusMoved to Current Site in 1940

4. Nine Nobel Laureates Luis W. Alvarez Glenn T. Seaborg Owen Chamberlain Yuan T. Lee Ernest Orlando Lawrence Melvin Calvin Emilio G. Segrè Donald A. Glaser Edwin M. McMillan

5. What Makes Berkeley Lab a National Laboratory? Solve Complex Problems of Scale UndertakeInterdisciplinary,Collaborative Research Operate User Facilities

6. 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. The Regents of the University of California President’s Council on DOE National Laboratories President of the University Berkeley Riverside Davis San Francisco San Diego Irvine Los Angeles Santa Barbara Merced Santa Cruz Lawrence Livermore National Laboratory Los Alamos National Laboratory Lawrence Berkeley National Laboratory The University of California:Ten Campuses and Three Laboratories

8. Located Next to a University Campus - Benefits Lawrence Hall Of Science Berkeley Lab (main site) Campus 200-acre main site

9. 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 Campus

10. Berkeley Lab Organization LABORATORY DIRECTOR C.V. SHANK PLANNING & STRATEGIC DEVELOPMENT M.A.CHARTOCK LABORATORY COUNSEL G.R. WOODS DEPUTY DIRECTORS P.J. ODDONE S.M. BENSON PUBLIC AFFAIRS R.A. EDWARDS TECHNOLOGY TRANSFER C.A. FRAGIADAKIS COMPUTING SCIENCES C.W. MCCURDY Associate Laboratory Director OPERATIONS S.M. Benson Deputy Director COMPUTING SCIENCES PHYSICAL SCIENCES ENERGY SCIENCES BIOSCIENCES GENERAL SCIENCES RESOURCES ENVIRONMENTAL ENERGIES TECHNOLOGIES M.D. LEVINE Division Director INFORMATION TECHNOLOGIES & SERVICES A.X. MEROLA Division Director LIFE SCIENCES M.J. BISSELL Division Director PHYSICS J.L. SIEGRIST Division Director ENGINEERING J.T. TRIPLETT Division Director PHYSICAL BIOSCIENCES G.R. FLEMING Division Director ADVANCED LIGHT SOURCE D.S. CHEMLA Division Director ACCELERATOR & FUSION RESEARCH W.A. BARLETTA Division Director ENVIRONMENT, HEALTH & SAFETY D.C. MCGRAW Division Director NATIONAL ENERGY RESEARCH SCIENTIFIC COMPUTING H.D. SIMON Division Director EARTH SCIENCES G.S. BODVARSSON Division Director GENOMICS T.L. HAWKINS Division Director RESOURCE DEPARTMENTS Administrative Services A.V. MORE Financial Services W.A. WASSON Facilities J.R. CAMPER Human Resources R.R. SCOTT CHEMICAL SCIENCES D.M. NEUMARK Division Director NUCLEAR SCIENCE L.S. SCHROEDER Division Director MATERIALS SCIENCES D.S. CHEMLA Division Director

11. Berkeley Lab Staff and Guests: ≈6000 Staff Scientists Faculty PostdoctoralAssociates 1331 480 520 Graduate Students 610 Technical Staff 1858 525 Undergraduate Students 742 Support Staff Lighter section = participating guests

12. Stable Laboratory Budget FY 2002 = $460M Biological and Environmental Research ($41M) Basic Energy Sciences ($61M) National Institutes of Health ($32M) Math and Computing Sciences ($61M) Work for Others (excluding NIH) ($60M) High Energy Physics ($27M) Nuclear Physics ($16M) DOE Plant and Capital Equipment ($55M) Fusion Energy Sciences ($4M) Energy Efficiencyand Renewables ($26M) Other DOE ($43M) EnvironmentalManagement ($7M)

13. Why Work With The Lab? Berkeley Lab’s Science Impact: Berkeley Lab ranked: • 3rd in the world in physical sciences publication research impact • 22nd in citations 1990–1997 ….

14. 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. 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. 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. Biotechnology andHealth Materials 28 31 Computing 7 31 37 Energy and Environment Instrumentation, Manufacturing, and Communication Industrial Partnerships: 134 CRADAs* * Cooperative Research and Development Agreements

18. 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. 115 120 100 80 No. of Companies 60 40 9 20 2 0 Yes No Not Sure Why Work With The Lab? Feedback from Industry Partner Survey - Have You Benefited with a Lab Partnership? - 91% of the Companies said yes - 97% said they want to do another Research Partnership Project

20. Good Evaluation of SC Labs Importance vs. Performance - All Labs Quality of Work Expertise IP Protection Value Facilities Understanding Needs Reliability of Funding Schedule Responsiveness Project Management Contract Negotiation Importance Performance Contract Administration 0.00 0.50 1.00 1.50 2.00 2.50 3.00 3.50 4.00 4.50 5.00

21. Costs • Perception vs. reality • Bottom line • Less than or comparable to best in class firm • About a 2.5 multiplier on bare salaries

22. Schedule • Cultural differences • Differences can be successfully worked • Demonstrated by many successful Industry-Lab partnership projects

23. 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. Intellectual Property and the CRADA

25. Research Contracts

26. Studying Cures for Parkinson’s Disease-Imaging Brain Function with PET PET - Positron Emission Tomography • 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

27. 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% Saving Heating and Cooling Energy - Technology to Repair HVAC Duct Leaks Throw Away that Old Duct Tape

28. "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. UV Waterworks: Purifying Water and Saving Lives around the World

29. 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. 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 The Berkeley Lamp-Commercialized by a utility consortium Berkeley Lab SMUD SCE PG&E • 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 Lighting Manufacturing Co. Lighting Manufacturing Co. Lighting Manufacturing Co. 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

31. 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 cost Looking for Partner (s)

32. Top PI’s Participate in LTR Partnerships Gabor Somorjai Receiving National Medal of Science June 13, 2002 Gabor Somorjai

33. 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. 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 programrepresents 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. Licensing Objectives • Get technology used • Support R&D missions • Obtain fair return

36. Lab Technologies are Actively Licensed 120 100 Legend: 100 Available 80 Existing License or Option 71* 56 60 38 40 35 29 29 25 24 17 17 20 13 12 12 8 1 0 Batteries Chem & Manf. Processes Energy & Environ. Materials Science Biotech, Medicine Energy Efficiency Ion Sources Sensors & Instrumen. 71* - Excludes 105 S/W licenses

37. 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. Working with the Lab - Project Mgm’t. Fundamentals 2. Prepare Proposal Package -Scope 4. Competitive 1. -Schedule Get Acquainted; identify mutually Proposal -Budget inclusive goals. Project Development Evaluation -Work Plan for a "base hit." Prepare Research and -Organization Plan- (What, Who, How, When, Why, Selection -Intellectual Property How Much...?) (WFO can -DOE Issues... bypass) 3. Contractual Positioning Funding Positioning 5. 6. Mgm’t. Review Begin the and Approval Project

39. Website www.lbl.gov Berkeley Lab Business Contacts • Tech Transfer Dept. Head • Cheryl Fragiadakis • Tel: 510-486-7020 • cafragiadakis@lbl.gov • Licensing • Viviana Wolinsky • Tel: 510-486-6463 • viwolinsky@lbl.gov • Marketing • Pam Seidenman • Tel: 510-486-6461PSSeidenman@lbl.gov • Partnerships • Chris Kniel • Tel: 510-486-5566 • crkniel@lbl.gov