II 

113TH CONGRESS 

2D SESSION S. 1973 

To improve management of the National Laboratories, enhance technology 

commercialization, facilitate public-private partnerships, and for other 

purposes. 

IN THE SENATE OF THE UNITED STATES 

JANUARY 29, 2014 

Mr. COONS (for himself and Mr. RUBIO) introduced the following bill; which 

was read twice and referred to the Committee on Energy and Natural 

Resources 

A BILL 

To improve management of the National Laboratories, enhance technology commercialization, facilitate public-private partnerships, and for other purposes. 

1 Be it enacted by the Senate and House of Representa2 tives of the United States of America in Congress assembled, 

3 SECTION 1. SHORT TITLE; TABLE OF CONTENTS. 

4 (a) SHORT TITLE.—This Act may be cited as the 

5 ‘‘America Implementing New National Opportunities To 

6 Vigorously Accelerate Technology, Energy, and Science 

7 Act’’ or the ‘‘America INNOVATES Act’’. 

8 (b) TABLE OF CONTENTS.—The table of contents of 

9 this Act is as follows: 


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Sec. 1. Short title; table of contents. 

Sec. 2. Definitions. 

Sec. 3. Savings clause. 

TITLE I—INNOVATION MANAGEMENT AT DEPARTMENT OF 

ENERGY 

Sec. 101. Under Secretary for Science and Energy. 

Sec. 102. National Laboratories operations and performance management. 

Sec. 103. Sense of Senate on an integrated strategy for National Laboratories 

in the 21st century. 

TITLE II—CROSS-SECTOR PARTNERSHIPS AND GRANT 

COMPETITIVENESS 

Sec. 201. Agreements for Commercializing Technology pilot program. 

Sec. 202. Public-private partnerships for commercialization. 

Sec. 203. Inclusion of early-stage technology demonstration in authorized technology transfer activities. 

Sec. 204. Information and resources for startups and small businesses. 

Sec. 205. Funding competitiveness for institutions of higher education and 

other nonprofit institutions. 

TITLE III—ASSESSMENT OF IMPACT 

Sec. 301. Report by Government Accountability Office. 

1 SEC. 2. DEFINITIONS. 

2 In this Act: 

3 (1) DEPARTMENT.—The term ‘‘Department’’ 

4 means the Department of Energy. 

5 (2) NATIONAL LABORATORY.—The term ‘‘Na6 tional Laboratory’’ has the meaning given the term 

7 in section 2 of the Energy Policy Act of 2005 (42 

8 U.S.C. 15801). 

9 (3) SECRETARY.—The term ‘‘Secretary’’ means 

10 the Secretary of Energy. 

11 SEC. 3. SAVINGS CLAUSE. 

12 Nothing in this Act or an amendment made by this 

13 Act abrogates or otherwise affects the primary responsibil14 ities of any National Laboratory to the Department. 


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1 TITLE I—INNOVATION MANAGE2 MENT AT DEPARTMENT OF 

3 ENERGY 

4 SEC. 101. UNDER SECRETARY FOR SCIENCE AND ENERGY. 

5 (a) IN GENERAL.—Section 202(b) of the Department 

6 of Energy Organization Act (42 U.S.C. 7132(b)) is 

7 amended— 

8 (1) by striking ‘‘Under Secretary for Science’’ 

9 each place it appears and inserting ‘‘Under Sec10 retary for Science and Energy’’; and 

11 (2) in paragraph (4)— 

12 (A) in subparagraph (F), by striking 

13 ‘‘and’’ at the end; 

14 (B) in subparagraph (G), by striking the 

15 period at the end and inserting a semicolon; 

16 and 

17 (C) by inserting after subparagraph (G) 

18 the following: 

19 ‘‘(H) establish appropriate linkages be20 tween offices under the jurisdiction of the 

21 Under Secretary; and 

22 ‘‘(I) perform such functions and duties as 

23 the Secretary shall prescribe, consistent with 

24 this section.’’. 

25 (b) CONFORMING AMENDMENTS.— 


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1 (1) Section 3164(b)(1) of the Department of 

2 Energy Science Education Enhancement Act (42 

3 U.S.C. 7381a(b)(1)) is amended by striking ‘‘Under 

4 Secretary for Science’’ and inserting ‘‘Under Sec5 retary for Science and Energy’’. 

6 (2) Section 641(h)(2) of the United States En7 ergy Storage Competitiveness Act of 2007 (42 

8 U.S.C. 17231(h)(2)) is amended by striking ‘‘Under 

9 Secretary for Science’’ and inserting ‘‘Under Sec10 retary for Science and Energy’’. 

11 SEC. 102. NATIONAL LABORATORIES OPERATIONS AND 

12 PERFORMANCE MANAGEMENT. 

13 (a) IN GENERAL.—The Secretary shall ensure that 

14 the following duties and responsibilities are carried out 

15 through one or more appropriate statutory or administra16 tive entities: 

17 (1) Evaluation, coordination, and promotion of 

18 transfer of National Laboratory research and devel19 opment results to the market in collaboration with 

20 the Technology Transfer Coordinator. 

21 (2) Submission to the Secretary of reports de22 scribing recommendations for best practices for the 

23 National Laboratories including, with respect to 

24 management and operations procedures, conflict of 


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1 interest regulations, engagement with the private 

2 sector, and technology transfer methodologies. 

3 (3) Implementation of other duties, as the Sec4 retary determines appropriate, to improve the oper5 ations and performance of the National Labora6 tories. 

7 (b) REPORTING.—The Secretary, in consultation with 

8 the appropriate committees of Congress, shall provide an 

9 annual update on progress made in carrying out sub10 section (a), including the improvement of National Lab11 oratory operations and performance and strategic depart12 mental and National Laboratory coordination. 

13 SEC. 103. SENSE OF SENATE ON AN INTEGRATED STRATEGY 

14 FOR NATIONAL LABORATORIES IN THE 21ST 

15 CENTURY. 

16 It is the sense of the Senate that— 

17 (1) the establishment of the independent Com18 mission to Review the Effectiveness of the National 

19 Energy Laboratories under section 319 of title III of 

20 division D of the Consolidated Appropriations Act, 

21 2014, is an important step towards developing a co22 ordinated strategy for the National Laboratories in 

23 the 21st century; and 

24 (2) Congress looks forward to— 


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1 (A) receiving the findings and conclusions 

2 of the Commission; and 

3 (B) engaging with the Administration— 

4 (i) in strengthening the mission of the 

5 National Laboratories; and 

6 (ii) to reform and modernize the oper7 ations and management of the National 

8 Laboratories. 

9 TITLE II—CROSS-SECTOR PART10 NERSHIPS AND GRANT COM11 PETITIVENESS 

12 SEC. 201. AGREEMENTS FOR COMMERCIALIZING TECH13 NOLOGY PILOT PROGRAM. 

14 (a) IN GENERAL.—The Secretary shall carry out the 

15 Agreements for Commercializing Technology pilot pro16 gram of the Department, as announced by the Secretary 

17 on December 8, 2011, in accordance with this section. 

18 (b) TERMS.—Each agreement entered into pursuant 

19 to the pilot program referred to in subsection (a) shall 

20 provide to the contractor of the applicable National Lab21 oratory, to the maximum extent determined to be appro22 priate by the Secretary, increased authority to negotiate 

23 contract terms, such as intellectual property rights, in24 demnification, payment structures, performance guaran25 tees, and multiparty collaborations. 


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1 (c) ELIGIBILITY.— 

2 (1) IN GENERAL.—Notwithstanding any other 

3 provision of law (including regulations), any Na4 tional Laboratory may enter into an agreement pur5 suant to the pilot program referred to in subsection 

6 (a). 

7 (2) AGREEMENTS WITH NON-FEDERAL ENTI8 TIES.—To carry out paragraph (1) and subject to 

9 paragraph (3), the Secretary shall permit the direc10 tors of the National Laboratories to execute agree11 ments with non-Federal entities, including non-Fed12 eral entities already receiving Federal funding that 

13 will be used to support activities under agreements 

14 executed pursuant to paragraph (1). 

15 (3) RESTRICTION.—The requirements of chap16 ter 18 of title 35, United States Code (commonly 

17 known as the ‘‘Bayh-Dole Act’’) shall apply if— 

18 (A) the agreement is a funding agreement 

19 (as that term is defined in section 201 of that 

20 title); and 

21 (B) at least 1 of the parties to the funding 

22 agreement is eligible to receive rights under 

23 that chapter. 

24 (d) SUBMISSION TO SECRETARY.—Each affected di25 rector of a National Laboratory shall submit to the SecVerDate Mar 15 2010 00:44 Jan 31, 2014 Jkt 039200 PO 00000 Frm 00007 Fmt 6652 Sfmt 6201 E:\BILLS\S1973.IS S1973

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1 retary, with respect to each agreement entered into under 

2 this section— 

3 (1) a summary of information relating to the 

4 relevant project; 

5 (2) the total estimated costs of the project; 

6 (3) estimated commencement and completion 

7 dates of the project; and 

8 (4) other documentation determined to be ap9 propriate by the Secretary. 

10 (e) CERTIFICATION.—The Secretary shall require the 

11 contractor of the affected National Laboratory to certify 

12 that each activity carried out under a project for which 

13 an agreement is entered into under this section— 

14 (1) is not in direct competition with the private 

15 sector; and 

16 (2) does not present, or minimizes, any appar17 ent conflict of interest, and avoids or neutralizes any 

18 actual conflict of interest, as a result of the agree19 ment under this section. 

20 (f) EXTENSION.—The pilot program referred to in 

21 subsection (a) shall be extended for a term of 3 years after 

22 the date of enactment of this Act. 

23 (g) REPORT.—Not later than 60 days after the date 

24 described in subsection (f), the Secretary, in coordination 

25 with directors of the National Laboratories, shall submit 


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1 to the Committee on Science, Space, and Technology of 

2 the House of Representatives and the Committee on En3 ergy and Natural Resources of the Senate a report that— 

4 (1) assesses the overall effectiveness of the pilot 

5 program referred to in subsection (a); 

6 (2) identifies opportunities to improve the effec7 tiveness of the pilot program; 

8 (3) assesses the potential for program activities 

9 to interfere with the responsibilities of the National 

10 Laboratories to the Department; and 

11 (4) provides a recommendation regarding the 

12 future of the pilot program. 

13 SEC. 202. PUBLIC-PRIVATE PARTNERSHIPS FOR COMMER14 CIALIZATION. 

15 (a) IN GENERAL.—Subject to subsections (b) and (c), 

16 the Secretary shall delegate to directors of the National 

17 Laboratories signature authority with respect to any 

18 agreement described in subsection (b) the total cost of 

19 which (including the National Laboratory contributions 

20 and project recipient cost share) is less than $1,000,000. 

21 (b) AGREEMENTS.—Subsection (a) applies to— 

22 (1) a cooperative research and development 

23 agreement; 

24 (2) a non-Federal work-for-others agreement; 

25 and 


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1 (3) any other agreement determined to be ap2 propriate by the Secretary, in collaboration with the 

3 directors of the National Laboratories. 

4 (c) ADMINISTRATION.— 

5 (1) ACCOUNTABILITY.—The director of the af6 fected National Laboratory and the affected con7 tractor shall carry out an agreement under this sec8 tion in accordance with applicable policies of the De9 partment, including by ensuring that the agreement 

10 does not compromise any national security, eco11 nomic, or environmental interest of the United 

12 States. 

13 (2) CERTIFICATION.—The director of the af14 fected National Laboratory and the affected con15 tractor shall certify that each activity carried out 

16 under a project for which an agreement is entered 

17 into under this section does not present, or mini18 mizes, any apparent conflict of interest, and avoids 

19 or neutralizes any actual conflict of interest, as a re20 sult of the agreement under this section. 

21 (3) AVAILABILITY OF RECORDS.—On entering 

22 an agreement under this section, the director of a 

23 National Laboratory shall submit to the Secretary 

24 for monitoring and review all records of the National 

25 Laboratory relating to the agreement. 


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1 (4) RATES.—The director of a National Lab2 oratory may charge higher rates for services per3 formed under a partnership agreement entered into 

4 pursuant to this section, regardless of the full cost 

5 of recovery. 

6 (d) CONFORMING AMENDMENT.—Section 12 of the 

7 Stevenson-Wydler Technology Innovation Act of 1980 (15 

8 U.S.C. 3710a) is amended— 

9 (1) in subsection (a)— 

10 (A) by redesignating paragraphs (1) and 

11 (2) as subparagraphs (A) and (B), respectively, 

12 and indenting the subparagraphs appropriately; 

13 (B) by striking ‘‘Each Federal agency’’ 

14 and inserting the following: 

15 ‘‘(1) IN GENERAL.—Except as provided in para16 graph (2), each Federal agency’’; and 

17 (C) by adding at the end the following: 

18 ‘‘(2) EXCEPTION.—Notwithstanding paragraph 

19 (1), in accordance with section 202(a) of the Amer20 ica INNOVATES Act, approval by the Secretary of 

21 Energy shall not be required for any technology 

22 transfer agreement proposed to be entered into by a 

23 National Laboratory of the Department of Energy, 

24 the total cost of which (including the National LabVerDate Mar 15 2010 00:44 Jan 31, 2014 Jkt 039200 PO 00000 Frm 00011 Fmt 6652 Sfmt 6201 E:\BILLS\S1973.IS S1973

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1 oratory contributions and project recipient cost 

2 share) is less than $1,000,000.’’; and 

3 (2) in subsection (b), by striking ‘‘subsection 

4 (a)(1)’’ each place it appears and inserting ‘‘sub5 section (a)(1)(A)’’. 

6 SEC. 203. INCLUSION OF EARLY-STAGE TECHNOLOGY DEM7 ONSTRATION IN AUTHORIZED TECHNOLOGY 

8 TRANSFER ACTIVITIES. 

9 Section 1001 of the Energy Policy Act of 2005 (42 

10 U.S.C. 16391) is amended by— 

11 (1) redesignating subsection (g) as subsection 

12 (h); and 

13 (2) inserting after subsection (f) the following: 

14 ‘‘(g) EARLY-STAGE TECHNOLOGY DEMONSTRA15 TION.—The Secretary shall permit the directors of the Na16 tional Laboratories to use funds allocated for technology 

17 transfer within the Department to carry out early-stage 

18 and pre-commercial technology demonstration activities to 

19 remove technology barriers that limit private sector inter20 est and demonstrate potential commercial applications of 

21 any research and technologies arising from National Lab22 oratory activities intended to meet the Federal Govern23 ment’s research needs.’’. 


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1 SEC. 204. INFORMATION AND RESOURCES FOR STARTUPS 

2 AND SMALL BUSINESSES. 

3 Section 9 of the Small Business Act (15 U.S.C. 638) 

4 is amended by adding at the end the following: 

5 ‘‘(tt) INFORMATION.—In carrying out the SBIR and 

6 STTR programs of the Department of Energy, the Sec7 retary of Energy shall provide to small business concerns 

8 seeking funding under the programs information con9 cerning resources that are available to small business con10 cerns at National Laboratories and federally funded re11 search and development centers.’’. 

12 SEC. 205. FUNDING COMPETITIVENESS FOR INSTITUTIONS 

13 OF HIGHER EDUCATION AND OTHER NON14 PROFIT INSTITUTIONS. 

15 Section 988(b) of the Energy Policy Act of 2005 (42 

16 U.S.C. 16352(b)) is amended— 

17 (1) in paragraph (1), by striking ‘‘Except as 

18 provided in paragraphs (2) and (3)’’ and inserting 

19 ‘‘Except as provided in paragraphs (2), (3), and 

20 (4)’’; and 

21 (2) by adding at the end the following: 

22 ‘‘(4) EXEMPTION FOR INSTITUTIONS OF HIGH23 ER EDUCATION AND OTHER NONPROFIT INSTITU24 TIONS.— 

25 ‘‘(A) IN GENERAL.—Paragraph (1) shall 

26 not apply to a research or development activity 


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1 performed by an institution of higher education 

2 or nonprofit institution (as defined in section 4 

3 of the Stevenson-Wydler Technology Innovation 

4 Act of 1980 (15 U.S.C. 3703)). 

5 ‘‘(B) TERMINATION DATE.—The exemp6 tion under subparagraph (A) shall apply during 

7 the 6-year period beginning on the date of en8 actment of this paragraph.’’. 

9 TITLE III—ASSESSMENT OF 

10 IMPACT 

11 SEC. 301. REPORT BY GOVERNMENT ACCOUNTABILITY OF12 FICE. 

13 Not later than 3 years after the date of enactment 

14 of this Act, the Comptroller General of the United States 

15 shall submit to Congress a report describing the results 

16 of the projects developed under sections 201, 202, and 

17 203, including information regarding— 

18 (1) partnerships initiated as a result of those 

19 projects and the potential linkages presented by 

20 those partnerships with respect to national priorities 

21 and other taxpayer-funded research; and 

22 (2) whether the activities carried out under 

23 those projects result in— 

24 (A) fiscal savings; 


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1 (B) expansion of National Laboratory ca2 pabilities; 

3 (C) increased efficiency of technology 

4 transfers; or 

5 (D) an increase in general efficiency of the 

6 National Laboratory system. 

Æ 


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