113 S2129 IS: Accelerating Technology Transfer to Advance Innovation for the Nation Act of 2014
U.S. Senate
2014-03-13
text/xml
EN
Pursuant to Title 17 Section 105 of the United States Code, this file is not subject to copyright protection and is in the public domain.
1.
This Act may be cited as
the Accelerating Technology Transfer to Advance Innovation for the Nation Act of 2014
or the ATTAIN Act of 2014
.
2.
Office of
Advanced Research, Technology Transfer, and Innovation in Energy
Title II of the Department of Energy
Organization Act (42 U.S.C. 7131 et seq.) is amended by adding at the end
the
following:
218.
Office of Advanced Research, Technology
Transfer, and Innovation in Energy
(a)
There is established an Office of Advanced Research,
Technology Transfer, and Innovation in Energy (referred to in this
section as
the Office
), based in Washington, DC, and under the direction of the Technology Transfer Coordinator
appointed
under section 1001(a) of the Energy Policy Act of 2005 (42 U.S.C.
16391(a)), to improve the
consolidation, coordination, and use of technology transfer
resources of the
Department.
(b)
The
Office shall—
(1)
improve
procurement, contracting, and partnership procedures for technology
transfer through—
(A)
within the Department and National Laboratories, the innovative use of existing mechanisms (such as
cooperative research and development agreements) and the development of
new mechanisms (such as Agreements for Commercializing Technology,
technology investment agreements, and other transaction authority) to
improve the ability of the Department and National Laboratories to
procure, contract, and partner with industry and business to implement
technology transfer activities;
(B)
the streamlining and improvement of the review and approval process at all levels, for existing
and future technology transfer agreements (including cooperative
research and development agreements) and the use of best practices and
process performance improvement evaluation to reduce the time required to
enable the technology transfer activities of the Department and National
Laboratories to engage and cooperate with industry and business at the
speed of opportunity; and
(C)
in connection
with other Federal agencies, other actions that improve the
operational
efficiency and technology transfer effectiveness of the Department;
(2)
improve the
sharing and coordination of technology transfer information and
resources
through actions such as the establishment of a single website that
can be used
for technology transfer within the Department;
(3)
establish and
administer T2-Corps in accordance with section
219;
(4)
administer the
technology transfer investment initiative in accordance with
section
220;
(5)
improve the
effectiveness of small business innovation research programs and
small business
technology transfer programs by—
(A)
strategically
aligning topics areas in requests for proposals to compliment
research and
development capabilities at the National Laboratories and funding
opportunity announcements offered by Department programs through better
identification of technology readiness
levels or commercialization readiness levels to enable small
business success;
and
(B)
increasing
coordination and use of small business innovation research programs
and small
business technology transfer programs across the Department and
National
Laboratories to connect large research and development investments
to a strong
and well-organized commercialization plan;
(6)
establish and
administer an industry and business technology transfer working
group that—
(A)
parallels and
complements the efforts of the National Laboratory technology
working
group;
(B)
shall convene regularly to make recommendations to the Department and National Laboratories for use
to assess capabilities and implement improvements regarding—
(i)
priorities for commercialization;
(ii)
the assessment of technology targets;
(iii)
the evaluation of the impact of technology transfer activities; and
(iv)
implementation of technology transfer activities; and(C)shall carry out technology transfer peer reviews that are similar to professional peer reviews
conducted by other agencies of the Department, to
evaluate the progress and impact of the technology transfer programs
and activities of the Department and the National Nuclear Security
Administration;
(7)
encourage the use of alternative data rights provisions by improving procurements language to
enable the Department and National Laboratories to work with third parties
with whom the Department and National Laboratories have issued a
subcontract, to enable—
(A)
the third party to have full title, limited title, or partial use of any software or data authored
by the Department or National Laboratories, if necessary and applicable;
and
(B)
each relevant group to coordinate and cooperate more effectively;
(8)enable a platform or resource that allows existing prenegotiated and express licensing programs to
expand intellectual property bundling
agreements to encourage university, foundation, nonprofit, and industry
partners to present licensable intellectual property (along with the
Department and National Laboratories) within a common
database, with—
(A)
the database administered by the Department and database content available to the T2-Corps teams, the Department, and the National Laboratories; and
(B)
the goal of the cooperation being to create an effective process that enhances opportunities for
technology transfer and commercialization by—
(i)
encouraging and leveraging research and development funds dedicated to complementary projects;
(ii)
facilitating streamlined licensing negotiations;
(iii)
encouraging cost-effective intellectual property management and fulfilling equal opportunity;
(iv)
minimizing potential for conflicts in a manner that increases the access of participants in T2-Corps to scientists and engineers of National Laboratories; and
(v)
increasing the accessibility of licensable technology across larger numbers of licensees;
(9)
coordinate with the Small Business Innovation Research Program (SBIR) and Small Business
Technology
Transfer Program (STTR) of the Department—(A)to maximize the impact of technology transfer opportunities and activities; and(B)to implement strategic changes that are mutually beneficial to the Office and those Programs;
(10)carry out
technology transfer evaluations, measurement, and reporting
functions of the
Department;(11)conduct an annual evaluation of the
progress and impact of the Office that—(A)is conducted through—(i)the working group established under paragraph (6); and(ii)technology transfer peer reviews that are similar to professional peer reviews conducted by other
agencies of the Department;(B)includes information relating to the economic and technology transfer impact of technology transfer
programs, which shall be evaluated based on—(i)the types of employment opportunities created, based on North American Industry Classification
System (NAICS) employment data;(ii)the aggregate amount of follow-on investment;(iii)the start-up survival and growth rate;(iv)Department and National Laboratory transactional efficiency for different phases of licensing
cooperative research and development agreements and other technology
transfer-related processes;(v)the effectiveness of local and regional partnerships; and(vi)other key metrics determined by the Secretary and the National Nuclear Security Administration;(C)to the maximum extent practicable, uses random sampling, retroactive data, and other justifiable
evaluation methodologies to control the cost and scope of the evaluations
and the collection and analysis of data relevant to the metrics described
in this paragraph; and
(D)provides for—(i)
the continuous monitoring of the fairness and opportunities in the administration of this
paragraph; and
(ii)
an evaluation of—
(I)
accessibility; and
(II)expectations and limitations relating to employee conflict of interest;(12)through the working group established under paragraph (6) (in consultation with the Secretary and
the Technology Transfer Working Group established under section 1001(d) of
the Energy Policy Act of 2005 (42 U.S.C. 16391(d))), subject to subsection
(c), collect data regarding the technology transfer activities and
programs of the Department;
(13)
submit the
report described in paragraph (10) to Congress and incorporate the
findings of
that report in the performance evaluation and management plans of
each of the
National Laboratories;
(14)
consolidate resources and reduce bureaucratic barriers within the Department and become the office
responsible for the coordination, planning, monitoring, and implementation
of sections 1001, 1002, 1003, and 1004 of title X of the Energy Policy Act
of 2005 (42 U.S.C. 16391, 16392, 16393, 16394), to assist the Department
and National Laboratories in carrying out technology transfer and small
business activities;
(15)administer the Technology Commercialization Fund established under section 1001(e) of the
Energy Policy Act of 2005 (42 U.S.C. 16391(e)), including—(A)the development of a multiyear plan for the use of the Fund;(B)the use of the Fund to carry out the duties of the Office;(C)the coordination with other agencies of the Department on the use of the Fund; and(D)the submission to Congress of an annual report that describes use of the Fund during the preceding
year;
(16)
except as otherwise provided in this Act, carry out the research, development, demonstration, and
commercial application programs, projects, and activities authorized by
this Act in accordance with—
(A)
the Atomic Energy Act of 1954 (42 U.S.C. 2011 et seq.);
(B)
the Federal Nonnuclear Energy Research and Development Act of 1974 (42 U.S.C. 5901 et seq.);
(C)
the Energy Policy Act of 1992 (42 U.S.C. 13201 et seq.);
(D)
the Stevenson-Wydler Technology Innovation Act of 1980 (15 U.S.C. 3701 et seq.);
(E)
chapter 18 of title 35, United States Code (commonly known as the Bayh-Dole Act
); and
(F)
any other Act under which the Secretary is authorized to carry out the programs, projects, and
activities; and
(17)
perform such
other duties as are determined appropriate by the Secretary.(c)Protection of informationThe following types of information collected by the Department or National Laboratories from
recipients of financial assistance awards or technology transfer partners
(including parties to cooperative research and development agreements or
other similar agreements) shall be considered privileged and confidential
and shall not be subject to disclosure under section 552 of title 5,
United States Code:(1)Plans for commercialization of technologies developed under an award or agreement, including
business plans, technology-to-market plans, market studies, and cost and
performance models.(2)Specific investments provided to the recipient of an award or party to an agreement from third
parties (such as venture capital firms, hedge funds, and private equity
firms), including the amount of the investment and the percentage of
ownership of the award provided in return for the investment, unless the
disclosure is made in an aggregate form that provides anonymity.(3)Additional financial support that the recipient of an award or party to an agreement—(A)plans to or has invested into the technology developed under the award or agreement; or(B)is seeking from third parties.(4)Revenue from the licensing or sale of new products or services resulting from research conducted
under the award or agreement, unless the disclosure is made in an
aggregate form that provides anonymity.(d)Results of evaluation and analysis(1)The Secretary shall use the reviews, evaluations, and reports conducted under this section to
improve and enhance—(A)the technology transfer programs and activities of the Department; and(B)the technology transfer offices of the National Laboratories and the National Nuclear Security
Administration to promote the technology transfer goals of the Department.(2)(A)The Department shall work with each National Laboratory to incorporate the evaluation and impact of
technology transfer activities in the annual performance evaluation and
measurement plan of the National Laboratory to enable significant progress
to be rewarded and limited progress to be improved annually.(B)The evaluation process under this paragraph shall—(i)focus on the performance of each National Laboratory individually; and(ii)compare the performance of each National Laboratory during the applicable and previous year.
(e)
Technology
transfer offices
(1)
Each National Laboratory shall establish or maintain, as
applicable, a technology transfer office for the Office.
(2)
The
Office shall connect and coordinate the technology transfer offices
established
under this subsection.
(3)
Each
technology transfer office shall serve as the regional
implementation office for the technology transfer programs of the
Department, including technology commercialization,
entrepreneurship, and business
development.
.
3.
Title II of the Department of Energy
Organization Act (42 U.S.C. 7131 et seq.) (as amended by section 2) is
amended
by adding at the end the following:
219.
(a)
(1)
The Secretary shall establish a
T2-Corps, modeled after the I-Corps of the National
Science Foundation, to support investments in entrepreneurs,
mentors, and
principal investigators.
(2)
The goal of the T2-Corps is to invest in technology maturation, market assessment, and increasing industry and small
business access to intellectual property and core capabilities of the
Department and National Laboratories.
(b)
(1)
The
Office of Advanced Research, Technology Transfer, and Innovation in
Energy
(including technology transfer offices of the Office) (referred to
in this
section as the Office
) shall establish teams composed of—
(A)
entrepreneurs who
possess relevant technical knowledge and a commitment to
investigate the
commercial applications of technology innovation;
(B)
mentors who are experienced entrepreneurs, with technology, marketing, commercialization, or other
relevant expertise to assist teams in the development of the team and
throughout the learning process in a manner similar to the Senior Corps;
and
(C)
principal
investigators who serve as technical lead and project managers.
(2)
Each team shall be selected and assembled through a competitive process.
(3)
Technology transfer office
(A)
Each team shall be hosted by a technology transfer office.
(B)
The technology transfer office shall monitor and administer participation in the program in
accordance with this section.
(4)
The Secretary shall ensure, to the maximum extent practicable, the diversity of teams established
under this subsection.
(c)
Technology
commercialization challenges
(1)
The Office may establish and participate in technology
commercialization challenges.
(2)
The
Office may use a technology commercialization challenge—
(A)
to leverage the
core strengths of a National Laboratory and allow the National
Laboratory to
focus on a specific topic; and
(B)
to create
collaborative public-private partnerships that address challenges
identified by
the industry or National Laboratory technology transfer working
groups.
(C)
The Secretary and the Administrator of the Small Business
Administration shall ensure that at least 80 percent of the
businesses participating in the T2-Corps are smaller enterprises (as defined by
the Administrator) that are located in diverse regional geographic
areas established under section 220(e)(4).
(d)
(1)
The
Office shall work with National Laboratory technology transfer
offices—
(A)
to develop
information sharing and coordinate resources to enable coordination
and
competition between members of T2-Corps teams,
including a coordination platform that leverage existing elements
of social
media and networking to connect individuals and teams in the
exchange of
information and ideas; and
(B)
to connect follow
on-funding and other resources with successful start-ups through
actions such
as—
(i)
inviting
successful teams or projects to participate in an alumni network to
reinvest in
the next generation of start-ups; and
(ii)
arranging
opportunities for successful start-ups to connect with programs
that are not
administered by the Department or the Small Business Administration
to promote the growth of
business.
(2)
(A)
The Office shall partner with foundations and nonprofit entities with similar technology transfer
and entrepreneurship priorities and goals to assist in carrying out this
section.
(B)
The partnerships may be established to carry out—
(i)
coordination, planning, and volunteer activities that do not involve the transfer of funding
between partners; or
(ii)
competitively solicited partnership agreements—
(I)
to enable foundations and nonprofit entities to apply for funding to assist in carrying out
Department activities; or
(II)
to provide funding to augment existing Department activities relating specifically to common
technology transfer and entrepreneurship priorities and goals.
(e)
The Office may use to carry out this section—
(1)
funding made available to carry out—
(A)
the Small Business Act
(15 U.S.C. 631 et seq.); or
(B)
section 1001 of the Energy Policy Act of 2005 (42 U.S.C. 16391); and
(2)
any other funds that are made available to carry out this section.
.
4.
Technology
Transfer Investment Initiative
Title II of the Department of Energy
Organization Act (42 U.S.C. 7131 et seq.) (as amended by section 3) is
amended
by adding at the end the following:
220.
Technology Transfer Investment
Initiative
(a)
The Secretary and the Administrator of the Small Business
Administration (referred to in this section as the
Administrator
) shall jointly establish and carry out a
Technology Transfer Investment Initiative (referred to in this
section as the
Initiative
).
(b)
To
carry out the Initiative, the Secretary shall enter into a
memorandum of understanding with the Administrator to coordinate a
partnership program carried out by—
(1)
the Office of Advanced Research,
Technology Transfer, and Innovation established by section 218; and
(2)
the Small Business Investment Company (referred to in this section as SBIC
) Program of the Small Business Administration.
(c)
The goal of the partnership program shall be to leverage the strengths of the SBIC program to
benefit the T2-Corps teams completing the Department program.
(d)
Technology Transfer Investment Initiative
(1)
The
Administrator, in consultation with the Secretary, shall solicit
SBIC participation in the technology transfer investment initiative of the
Small Business Administration and the Department.
(2)
A SBIC that agrees or is selected to participate in technology transfer investment initiative
shall—
(A)
regularly review proposals created by T2-Corps teams for possible investment;
(B)
assess each proposal against the criteria established by the SBIC; and
(C)
comply with all provisions of law applicable to the Small Business Administration (including
regulations).
(3)
Regional
geographic areas
(A)
The Office established under section 218 (including
National
Laboratory technology transfer offices), in coordination with
T2-Corps established under section 219, shall
establish and coordinate regional geographic areas to carry out the
Initiative.
(B)
The
Office (including National Laboratory technology transfer offices)
and SBICs shall leverage, to the
maximum extent
practicable, the experience and expertise of local, State, and
regional
partners to efficiency and effectively implement the Initiative.
.