II 

113TH CONGRESS 

2D SESSION S. 2129 

To amend the Department of Energy Organization Act to improve technology 

transfer at the Department of Energy by reducing bureaucratic barriers 

to industry, entrepreneurs, and small businesses, as well as ensure that 

public investments in research and development generate the greatest 

return on investment for taxpayers, and for other purposes. 

IN THE SENATE OF THE UNITED STATES 

MARCH 13, 2014 

Mr. UDALL of New Mexico introduced the following bill; which was read twice 

and referred to the Committee on Energy and Natural Resources 

A BILL 

To amend the Department of Energy Organization Act to 

improve technology transfer at the Department of Energy by reducing bureaucratic barriers to industry, entrepreneurs, and small businesses, as well as ensure that 

public investments in research and development generate 

the greatest return on investment for taxpayers, 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, 


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1 SECTION 1. SHORT TITLE. 

2 This Act may be cited as the ‘‘Accelerating Tech3 nology Transfer to Advance Innovation for the Nation Act 

4 of 2014’’ or the ‘‘ATTAIN Act of 2014’’. 

5 SEC. 2. OFFICE OF ADVANCED RESEARCH, TECHNOLOGY 

6 TRANSFER, AND INNOVATION IN ENERGY. 

7 Title II of the Department of Energy Organization 

8 Act (42 U.S.C. 7131 et seq.) is amended by adding at 

9 the end the following: 

10 ‘‘SEC. 218. OFFICE OF ADVANCED RESEARCH, TECHNOLOGY 

11 TRANSFER, AND INNOVATION IN ENERGY. 

12 ‘‘(a) IN GENERAL.—There is established an Office of 

13 Advanced Research, Technology Transfer, and Innovation 

14 in Energy (referred to in this section as the ‘Office’), 

15 based in Washington, DC, and under the direction of the 

16 Technology Transfer Coordinator appointed under section 

17 1001(a) of the Energy Policy Act of 2005 (42 U.S.C. 

18 16391(a)), to improve the consolidation, coordination, and 

19 use of technology transfer resources of the Department. 

20 ‘‘(b) DUTIES.—The Office shall— 

21 ‘‘(1) improve procurement, contracting, and 

22 partnership procedures for technology transfer 

23 through— 

24 ‘‘(A) within the Department and National 

25 Laboratories, the innovative use of existing 

26 mechanisms (such as cooperative research and 


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1 development agreements) and the development 

2 of new mechanisms (such as Agreements for 

3 Commercializing Technology, technology invest4 ment agreements, and other transaction author5 ity) to improve the ability of the Department 

6 and National Laboratories to procure, contract, 

7 and partner with industry and business to im8 plement technology transfer activities; 

9 ‘‘(B) the streamlining and improvement of 

10 the review and approval process at all levels, for 

11 existing and future technology transfer agree12 ments (including cooperative research and de13 velopment agreements) and the use of best 

14 practices and process performance improvement 

15 evaluation to reduce the time required to enable 

16 the technology transfer activities of the Depart17 ment and National Laboratories to engage and 

18 cooperate with industry and business at the 

19 speed of opportunity; and 

20 ‘‘(C) in connection with other Federal 

21 agencies, other actions that improve the oper22 ational efficiency and technology transfer effec23 tiveness of the Department; 

24 ‘‘(2) improve the sharing and coordination of 

25 technology transfer information and resources 


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1 through actions such as the establishment of a single 

2 website that can be used for technology transfer 

3 within the Department; 

‘‘(3) establish and administer T2 4 -Corps in ac5 cordance with section 219; 

6 ‘‘(4) administer the technology transfer invest7 ment initiative in accordance with section 220; 

8 ‘‘(5) improve the effectiveness of small business 

9 innovation research programs and small business 

10 technology transfer programs by— 

11 ‘‘(A) strategically aligning topics areas in 

12 requests for proposals to compliment research 

13 and development capabilities at the National 

14 Laboratories and funding opportunity an15 nouncements offered by Department programs 

16 through better identification of technology read17 iness levels or commercialization readiness lev18 els to enable small business success; and 

19 ‘‘(B) increasing coordination and use of 

20 small business innovation research programs 

21 and small business technology transfer pro22 grams across the Department and National 

23 Laboratories to connect large research and de24 velopment investments to a strong and well-or25 ganized commercialization plan; 


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1 ‘‘(6) establish and administer an industry and 

2 business technology transfer working group that— 

3 ‘‘(A) parallels and complements the efforts 

4 of the National Laboratory technology working 

5 group; 

6 ‘‘(B) shall convene regularly to make rec7 ommendations to the Department and National 

8 Laboratories for use to assess capabilities and 

9 implement improvements regarding— 

10 ‘‘(i) priorities for commercialization; 

11 ‘‘(ii) the assessment of technology tar12 gets; 

13 ‘‘(iii) the evaluation of the impact of 

14 technology transfer activities; and 

15 ‘‘(iv) implementation of technology 

16 transfer activities; and 

17 ‘‘(C) shall carry out technology transfer 

18 peer reviews that are similar to professional 

19 peer reviews conducted by other agencies of the 

20 Department, to evaluate the progress and im21 pact of the technology transfer programs and 

22 activities of the Department and the National 

23 Nuclear Security Administration; 

24 ‘‘(7) encourage the use of alternative data 

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1 guage to enable the Department and National Lab2 oratories to work with third parties with whom the 

3 Department and National Laboratories have issued 

4 a subcontract, to enable— 

5 ‘‘(A) the third party to have full title, lim6 ited title, or partial use of any software or data 

7 authored by the Department or National Lab8 oratories, if necessary and applicable; and 

9 ‘‘(B) each relevant group to coordinate and 

10 cooperate more effectively; 

11 ‘‘(8) enable a platform or resource that allows 

12 existing prenegotiated and express licensing pro13 grams to expand intellectual property bundling 

14 agreements to encourage university, foundation, non15 profit, and industry partners to present licensable 

16 intellectual property (along with the Department 

17 and National Laboratories) within a common data18 base, with— 

19 ‘‘(A) the database administered by the De20 partment and database content available to the 

T2 21 -Corps teams, the Department, and the Na22 tional Laboratories; and 

23 ‘‘(B) the goal of the cooperation being to 

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1 tunities for technology transfer and commer2 cialization by— 

3 ‘‘(i) encouraging and leveraging re4 search and development funds dedicated to 

5 complementary projects; 

6 ‘‘(ii) facilitating streamlined licensing 

7 negotiations; 

8 ‘‘(iii) encouraging cost-effective intel9 lectual property management and fulfilling 

10 equal opportunity; 

11 ‘‘(iv) minimizing potential for conflicts 

12 in a manner that increases the access of 

participants in T2 13 -Corps to scientists and 

14 engineers of National Laboratories; and 

15 ‘‘(v) increasing the accessibility of li16 censable technology across larger numbers 

17 of licensees; 

18 ‘‘(9) coordinate with the Small Business Inno19 vation Research Program (SBIR) and Small Busi20 ness Technology Transfer Program (STTR) of the 

21 Department— 

22 ‘‘(A) to maximize the impact of technology 

23 transfer opportunities and activities; and 


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1 ‘‘(B) to implement strategic changes that 

2 are mutually beneficial to the Office and those 

3 Programs; 

4 ‘‘(10) carry out technology transfer evaluations, 

5 measurement, and reporting functions of the De6 partment; 

7 ‘‘(11) conduct an annual evaluation of the 

8 progress and impact of the Office that— 

9 ‘‘(A) is conducted through— 

10 ‘‘(i) the working group established 

11 under paragraph (6); and 

12 ‘‘(ii) technology transfer peer reviews 

13 that are similar to professional peer re14 views conducted by other agencies of the 

15 Department; 

16 ‘‘(B) includes information relating to the 

17 economic and technology transfer impact of 

18 technology transfer programs, which shall be 

19 evaluated based on— 

20 ‘‘(i) the types of employment opportu21 nities created, based on North American 

22 Industry Classification System (NAICS) 

23 employment data; 

24 ‘‘(ii) the aggregate amount of follow25 on investment; 


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1 ‘‘(iii) the start-up survival and growth 

2 rate; 

3 ‘‘(iv) Department and National Lab4 oratory transactional efficiency for dif5 ferent phases of licensing cooperative re6 search and development agreements and 

7 other technology transfer-related processes; 

8 ‘‘(v) the effectiveness of local and re9 gional partnerships; and 

10 ‘‘(vi) other key metrics determined by 

11 the Secretary and the National Nuclear 

12 Security Administration; 

13 ‘‘(C) to the maximum extent practicable, 

14 uses random sampling, retroactive data, and 

15 other justifiable evaluation methodologies to 

16 control the cost and scope of the evaluations 

17 and the collection and analysis of data relevant 

18 to the metrics described in this paragraph; and 

19 ‘‘(D) provides for— 

20 ‘‘(i) the continuous monitoring of the 

21 fairness and opportunities in the adminis22 tration of this paragraph; and 

23 ‘‘(ii) an evaluation of— 

24 ‘‘(I) accessibility; and 


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1 ‘‘(II) expectations and limitations 

2 relating to employee conflict of inter3 est; 

4 ‘‘(12) through the working group established 

5 under paragraph (6) (in consultation with the Sec6 retary and the Technology Transfer Working Group 

7 established under section 1001(d) of the Energy Pol8 icy Act of 2005 (42 U.S.C. 16391(d))), subject to 

9 subsection (c), collect data regarding the technology 

10 transfer activities and programs of the Department; 

11 ‘‘(13) submit the report described in paragraph 

12 (10) to Congress and incorporate the findings of 

13 that report in the performance evaluation and man14 agement plans of each of the National Laboratories; 

15 ‘‘(14) consolidate resources and reduce bureau16 cratic barriers within the Department and become 

17 the office responsible for the coordination, planning, 

18 monitoring, and implementation of sections 1001, 

19 1002, 1003, and 1004 of title X of the Energy Pol20 icy Act of 2005 (42 U.S.C. 16391, 16392, 16393, 

21 16394), to assist the Department and National Lab22 oratories in carrying out technology transfer and 

23 small business activities; 

24 ‘‘(15) administer the Technology Commer25 cialization Fund established under section 1001(e) 


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1 of the Energy Policy Act of 2005 (42 U.S.C. 

2 16391(e)), including— 

3 ‘‘(A) the development of a multiyear plan 

4 for the use of the Fund; 

5 ‘‘(B) the use of the Fund to carry out the 

6 duties of the Office; 

7 ‘‘(C) the coordination with other agencies 

8 of the Department on the use of the Fund; and 

9 ‘‘(D) the submission to Congress of an an10 nual report that describes use of the Fund dur11 ing the preceding year; 

12 ‘‘(16) except as otherwise provided in this Act, 

13 carry out the research, development, demonstration, 

14 and commercial application programs, projects, and 

15 activities authorized by this Act in accordance 

16 with— 

17 ‘‘(A) the Atomic Energy Act of 1954 (42 

18 U.S.C. 2011 et seq.); 

19 ‘‘(B) the Federal Nonnuclear Energy Re20 search and Development Act of 1974 (42 

21 U.S.C. 5901 et seq.); 

22 ‘‘(C) the Energy Policy Act of 1992 (42 

23 U.S.C. 13201 et seq.); 

24 ‘‘(D) the Stevenson-Wydler Technology In25 novation Act of 1980 (15 U.S.C. 3701 et seq.); 


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1 ‘‘(E) chapter 18 of title 35, United States 

2 Code (commonly known as the ‘Bayh-Dole 

3 Act’); and 

4 ‘‘(F) any other Act under which the Sec5 retary is authorized to carry out the programs, 

6 projects, and activities; and 

7 ‘‘(17) perform such other duties as are deter8 mined appropriate by the Secretary. 

9 ‘‘(c) PROTECTION OF INFORMATION.—The following 

10 types of information collected by the Department or Na11 tional Laboratories from recipients of financial assistance 

12 awards or technology transfer partners (including parties 

13 to cooperative research and development agreements or 

14 other similar agreements) shall be considered privileged 

15 and confidential and shall not be subject to disclosure 

16 under section 552 of title 5, United States Code: 

17 ‘‘(1) Plans for commercialization of technologies 

18 developed under an award or agreement, including 

19 business plans, technology-to-market plans, market 

20 studies, and cost and performance models. 

21 ‘‘(2) Specific investments provided to the recipi22 ent of an award or party to an agreement from third 

23 parties (such as venture capital firms, hedge funds, 

24 and private equity firms), including the amount of 

25 the investment and the percentage of ownership of 


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1 the award provided in return for the investment, un2 less the disclosure is made in an aggregate form that 

3 provides anonymity. 

4 ‘‘(3) Additional financial support that the re5 cipient of an award or party to an agreement— 

6 ‘‘(A) plans to or has invested into the tech7 nology developed under the award or agree8 ment; or 

9 ‘‘(B) is seeking from third parties. 

10 ‘‘(4) Revenue from the licensing or sale of new 

11 products or services resulting from research con12 ducted under the award or agreement, unless the 

13 disclosure is made in an aggregate form that pro14 vides anonymity. 

15 ‘‘(d) RESULTS OF EVALUATION AND ANALYSIS.— 

16 ‘‘(1) IN GENERAL.—The Secretary shall use the 

17 reviews, evaluations, and reports conducted under 

18 this section to improve and enhance— 

19 ‘‘(A) the technology transfer programs and 

20 activities of the Department; and 

21 ‘‘(B) the technology transfer offices of the 

22 National Laboratories and the National Nuclear 

23 Security Administration to promote the tech24 nology transfer goals of the Department. 

25 ‘‘(2) NATIONAL LABORATORIES.— 


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1 ‘‘(A) IN GENERAL.—The Department shall 

2 work with each National Laboratory to incor3 porate the evaluation and impact of technology 

4 transfer activities in the annual performance 

5 evaluation and measurement plan of the Na6 tional Laboratory to enable significant progress 

7 to be rewarded and limited progress to be im8 proved annually. 

9 ‘‘(B) ADMINISTRATION.—The evaluation 

10 process under this paragraph shall— 

11 ‘‘(i) focus on the performance of each 

12 National Laboratory individually; and 

13 ‘‘(ii) compare the performance of each 

14 National Laboratory during the applicable 

15 and previous year. 

16 ‘‘(e) TECHNOLOGY TRANSFER OFFICES.— 

17 ‘‘(1) IN GENERAL.—Each National Laboratory 

18 shall establish or maintain, as applicable, a tech19 nology transfer office for the Office. 

20 ‘‘(2) COORDINATION.—The Office shall connect 

21 and coordinate the technology transfer offices estab22 lished under this subsection. 

23 ‘‘(3) DUTIES.—Each technology transfer office 

24 shall serve as the regional implementation office for 

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1 ment, including technology commercialization, entre2 preneurship, and business development.’’. 

SEC. 3. T2 3 -CORPS. 

4 Title II of the Department of Energy Organization 

5 Act (42 U.S.C. 7131 et seq.) (as amended by section 2) 

6 is amended by adding at the end the following: 

‘‘SEC. 219. T2 7 -CORPS. 

8 ‘‘(a) ESTABLISHMENT.— 

9 ‘‘(1) IN GENERAL.—The Secretary shall establish a T2 10 -Corps, modeled after the I-Corps of the 

11 National Science Foundation, to support invest12 ments in entrepreneurs, mentors, and principal in13 vestigators. 

‘‘(2) GOALS.—The goal of the T2 14 -Corps is to 

15 invest in technology maturation, market assessment, 

16 and increasing industry and small business access to 

17 intellectual property and core capabilities of the De18 partment and National Laboratories. 

19 ‘‘(b) TEAMS.— 

20 ‘‘(1) IN GENERAL.—The Office of Advanced 

21 Research, Technology Transfer, and Innovation in 

22 Energy (including technology transfer offices of the 

23 Office) (referred to in this section as the ‘Office’) 

24 shall establish teams composed of— 


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1 ‘‘(A) entrepreneurs who possess relevant 

2 technical knowledge and a commitment to in3 vestigate the commercial applications of tech4 nology innovation; 

5 ‘‘(B) mentors who are experienced entre6 preneurs, with technology, marketing, commer7 cialization, or other relevant expertise to assist 

8 teams in the development of the team and 

9 throughout the learning process in a manner 

10 similar to the Senior Corps; and 

11 ‘‘(C) principal investigators who serve as 

12 technical lead and project managers. 

13 ‘‘(2) COMPETITIVE PROCESS.—Each team shall 

14 be selected and assembled through a competitive 

15 process. 

16 ‘‘(3) TECHNOLOGY TRANSFER OFFICE.— 

17 ‘‘(A) IN GENERAL.—Each team shall be 

18 hosted by a technology transfer office. 

19 ‘‘(B) DUTIES.—The technology transfer 

20 office shall monitor and administer participa21 tion in the program in accordance with this sec22 tion. 

23 ‘‘(4) DIVERSITY.—The Secretary shall ensure, 

24 to the maximum extent practicable, the diversity of 

25 teams established under this subsection. 


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1 ‘‘(c) TECHNOLOGY COMMERCIALIZATION CHAL2 LENGES.— 

3 ‘‘(1) IN GENERAL.—The Office may establish 

4 and participate in technology commercialization 

5 challenges. 

6 ‘‘(2) ADMINISTRATION.—The Office may use a 

7 technology commercialization challenge— 

8 ‘‘(A) to leverage the core strengths of a 

9 National Laboratory and allow the National 

10 Laboratory to focus on a specific topic; and 

11 ‘‘(B) to create collaborative public-private 

12 partnerships that address challenges identified 

13 by the industry or National Laboratory tech14 nology transfer working groups. 

15 ‘‘(C) SMALL ENTERPRISES.—The Sec16 retary and the Administrator of the Small Busi17 ness Administration shall ensure that at least 

18 80 percent of the businesses participating in the 

T2 19 -Corps are smaller enterprises (as defined by 

20 the Administrator) that are located in diverse 

21 regional geographic areas established under sec22 tion 220(e)(4). 

23 ‘‘(d) COORDINATION.— 

24 ‘‘(1) IN GENERAL.—The Office shall work with 

25 National Laboratory technology transfer offices— 


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1 ‘‘(A) to develop information sharing and 

2 coordinate resources to enable coordination and 

competition between members of T2 3 -Corps 

4 teams, including a coordination platform that 

5 leverage existing elements of social media and 

6 networking to connect individuals and teams in 

7 the exchange of information and ideas; and 

8 ‘‘(B) to connect follow on-funding and 

9 other resources with successful start-ups 

10 through actions such as— 

11 ‘‘(i) inviting successful teams or 

12 projects to participate in an alumni net13 work to reinvest in the next generation of 

14 start-ups; and 

15 ‘‘(ii) arranging opportunities for suc16 cessful start-ups to connect with programs 

17 that are not administered by the Depart18 ment or the Small Business Administration 

19 to promote the growth of business. 

20 ‘‘(2) NONPROFIT ENTITIES.— 

21 ‘‘(A) IN GENERAL.—The Office shall part22 ner with foundations and nonprofit entities with 

23 similar technology transfer and entrepreneur24 ship priorities and goals to assist in carrying 

25 out this section. 


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1 ‘‘(B) ACTIVITIES.—The partnerships may 

2 be established to carry out— 

3 ‘‘(i) coordination, planning, and volun4 teer activities that do not involve the trans5 fer of funding between partners; or 

6 ‘‘(ii) competitively solicited partner7 ship agreements— 

8 ‘‘(I) to enable foundations and 

9 nonprofit entities to apply for funding 

10 to assist in carrying out Department 

11 activities; or 

12 ‘‘(II) to provide funding to aug13 ment existing Department activities 

14 relating specifically to common tech15 nology transfer and entrepreneurship 

16 priorities and goals. 

17 ‘‘(e) FUNDING.—The Office may use to carry out this 

18 section— 

19 ‘‘(1) funding made available to carry out— 

20 ‘‘(A) the Small Business Act (15 U.S.C. 

21 631 et seq.); or 

22 ‘‘(B) section 1001 of the Energy Policy 

23 Act of 2005 (42 U.S.C. 16391); and 

24 ‘‘(2) any other funds that are made available to 

25 carry out this section.’’. 


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1 SEC. 4. TECHNOLOGY TRANSFER INVESTMENT INITIATIVE. 

2 Title II of the Department of Energy Organization 

3 Act (42 U.S.C. 7131 et seq.) (as amended by section 3) 

4 is amended by adding at the end the following: 

5 ‘‘SEC. 220. TECHNOLOGY TRANSFER INVESTMENT INITIA6 TIVE. 

7 ‘‘(a) IN GENERAL.—The Secretary and the Adminis8 trator of the Small Business Administration (referred to 

9 in this section as the ‘Administrator’) shall jointly estab10 lish and carry out a Technology Transfer Investment Ini11 tiative (referred to in this section as the ‘Initiative’). 

12 ‘‘(b) PARTNERSHIP.—To carry out the Initiative, the 

13 Secretary shall enter into a memorandum of under14 standing with the Administrator to coordinate a partner15 ship program carried out by— 

16 ‘‘(1) the Office of Advanced Research, Tech17 nology Transfer, and Innovation established by sec18 tion 218; and 

19 ‘‘(2) the Small Business Investment Company 

20 (referred to in this section as ‘SBIC’) Program of 

21 the Small Business Administration. 

22 ‘‘(c) GOAL.—The goal of the partnership program 

23 shall be to leverage the strengths of the SBIC program 

to benefit the T2 24 -Corps teams completing the Department 

25 program. 


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1 ‘‘(d) TECHNOLOGY TRANSFER INVESTMENT INITIA2 TIVE.— 

3 ‘‘(1) SELECTION.—The Administrator, in con4 sultation with the Secretary, shall solicit SBIC par5 ticipation in the technology transfer investment ini6 tiative of the Small Business Administration and the 

7 Department. 

8 ‘‘(2) PARTICIPATION.—A SBIC that agrees or 

9 is selected to participate in technology transfer in10 vestment initiative shall— 

11 ‘‘(A) regularly review proposals created by 

T2 12 -Corps teams for possible investment; 

13 ‘‘(B) assess each proposal against the cri14 teria established by the SBIC; and 

15 ‘‘(C) comply with all provisions of law ap16 plicable to the Small Business Administration 

17 (including regulations). 

18 ‘‘(3) REGIONAL GEOGRAPHIC AREAS.— 

19 ‘‘(A) IN GENERAL.—The Office established 

20 under section 218 (including National Labora21 tory technology transfer offices), in coordination 

with T2 22 -Corps established under section 219, 

23 shall establish and coordinate regional geo24 graphic areas to carry out the Initiative. 


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1 ‘‘(B) LEVERAGE.—The Office (including 

2 National Laboratory technology transfer of3 fices) and SBICs shall leverage, to the max4 imum extent practicable, the experience and ex5 pertise of local, State, and regional partners to 

6 efficiency and effectively implement the Initia7 tive.’’. 

Æ 


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