Energy Technology Innovation
Background
Chain Reaction Innovations was created at Argonne National Laboratory to address the critical national need to accelerate the applied research, development and deployment of physical-science based technologies (e.g., materials and manufacturing) capable of transforming the nation’s energy systems. Acceleration of these technologies from scientific laboratory to potentially commercialize-able opportunities requires the simultaneous performance of collaborative research and development of technologies and the entrepreneurial development of the innovators working on these technologies.
Chain Reaction Innovations is a DOE innovation program that serves as a platform for supporting and mentoring entrepreneurial researchers whose early-stage innovations are presently too challenging or technically uncertain to pursue in a venture capital-financed startup. Chain Reaction Innovations embeds innovators within a national laboratory for up to two years, working with innovators as they advance their early stage scientific discoveries to potentially commercialize-able opportunities within a discrete time period, enabling the translation of high-impact materials and manufacturing technologies through entrepreneurial mentorship and cooperative research and development. Technology innovators are selected into the program through an annual competition, which is the purpose of this solicitation. The Chain Reaction Innovations program intends to provide selected technology innovators with scientific/technical mentorship and access to unique R&D assets and scientific expertise at Argonne, a Department of Energy (DOE) national laboratory, to incubate and translate innovations from proof-of-concept to proof-of-product.
Opportunity
Chain Reaction Innovations will help selected innovators in the physical sciences and energy technologies to mature their early-stage innovations. The Department of Energy will provide funding to Argonne to support selected innovators in developing their technology. Additionally, the Department of Energy’s Office of Energy Efficiency and Renewable Energy (EERE) will provide an Oak Ridge Institute for Science and Education (ORISE) fellowship to the selected innovators for the first year, with the possibility of renewal, subject to a one year review, for support up to a total of 2 years through this program. Argonne is presently searching for up to ten innovators for its fifth cohort of the Chain Reaction Innovation program. Benefits to selected innovators may include up to 24 months of Chain Reaction Innovations resources (subject to performance and availability of funding) including the following:
o Personal stipend, travel allowance, and health benefits through ORISE fellowship for up to 24 months;
o Lab space & technical collaboration support from Argonne National Laboratory for up to 24 months; and
o Chain Reaction Innovations programming and mentorship.
Innovators will graduate after the earlier of completion of the CRADA or upon raising $2M in cumulative private-sector funding. However, an innovator’s participation in the program is subject to a CRADA that may be terminated by either the innovator’s company or the laboratory at will upon 30 days’ notice.
Each of the above benefits is contingent upon availability of funds and personnel, negotiation of a mutually agreeable scope of work, innovator performance, selection by DOE into the program, approval by the DOE for site access to Argonne National Laboratory for the semifinals, finals and post-selection, and approval of the CRI CRADA by DOE, including any approvals under DOE P 485.1 Foreign Engagements with DOE National Laboratories. At the end of the first year of CRADA work, innovators will be required to participate in a one year review to ensure that their performance and progress meets or exceeds the minimum criteria required to continue in the program for the second year of the CRADA period.
Application Materials
Innovator applicants must submit the following materials:
You: Provide the back story on you and your project. Where did the idea originate? What is the current status of your technology and team? Why do you want to pursue this effort and what makes you qualified to do so?
Your vision: Describe the technology concept you want to pursue. Use the Heilmeier catechism as a guide for what’s most relevant. Please also comment on the potential for impact on U.S. energy and manufacturing competitiveness.
Why Chain Reaction?: What most attracts you to the Chain Reaction Innovations program? Why would this be the ideal home for you and your project (vs. alternative paths)? Which people or facilities at Argonne National Laboratory would be particularly valuable in supporting your work?
Your business idea: Briefly describe how you envision making your technology a market reality. Please describe the market you intend to reach, its customers, potential suppliers/distributors/manufacturers, relevant intellectual property (and identification or status of any licenses, per the Eligibility requirements below), barriers to entry, sophistication of market, market incumbents, etc.
Any Affiliation with Argonne National Laboratory: Please identify whether you or your company have any affiliation with Argonne National Laboratory, its operator UChicago Argonne LLC, or the University of Chicago. If there is no affiliation, please indicate that as well.
What else? Your call.
Resume: Please append to the same PDF file a one-page resume for each innovator.
Teams: Please identify the name of any other innovators who may be applying for participation in Chain Reaction Innovation that you wish to consider as a team member. Each member of a team must apply for the CRI program individually.
Applicants should submit their application to the CRI team through the online portal found at chainreaction.anl.gov.
Eligibility
In order to be considered, the applicant must meet each of the following criteria:
Applicants apply as individuals, not as companies or organizations. However, the CRI program requires a CRADA with the Innovator’s company.
Technical leads must:
o Possess a minimum of 5 years technology R&D experience; and
o Be either a U.S. citizen or a permanent resident at the time of initial application.
Must be focused on an energy efficiency or renewable energy technology.
Must have the potential for broad impact that aligns with EERE’s mission to advance the national, economic, and energy security of the United States.
Only individuals may apply. Incorporated entities may not apply, though individuals that apply may have incorporated entities.
Innovators who have raised more than $2M in private-sector equity are not eligible to receive support under this program. Employees of Argonne National Laboratory are not eligible to participate in Chain Reaction Innovations as innovators while they are directly employed by Argonne National Lab. Innovators may be Argonne employees at the time of application. However, in order to participate, Argonne employees must take Entrepreneurial Leave or terminate their employment with the Laboratory.
Selection Process and Criteria: Selected applicants will be evaluated based on the following criteria:
Project Leader(s): We are looking for the very best outcome-oriented, entrepreneurial technical innovators who have the drive and ability to build a foundational technology vision and lead a team in its development. The ideal candidate would exhibit exceptional:
Technical strength (detailed knowledge, conceptual depth and breadth);
Outcome orientation (problem-based and system level thinking, risk evaluation, and commercial awareness); and
Personal excellence (passion and drive, resourcefulness, management & communication skills, personal integrity, team orientation, ability to rapidly learn and adapt).
Project Concept: While ideas may evolve, we want to ensure that the initial project concept is technically sound, reasonably differentiated, and addresses a well-framed problem with significant long-term impact potential. The ideal project would exhibit exceptional:
Impact on the U.S. energy economy (potential for large-scale impact, techno-economic feasibility, credible path to impact with viable entry markets);
Technical merit (technical feasibility, differentiation, clear risk mitigation plan);
Business idea (market research, customer/supplier/distributor evaluation, establishment/identification of intellectual property, understanding of the market including: barriers to entry, sophistication of market, market incumbents, etc.); and
Chain Reaction Innovation fit (basic materials science and/or manufacturing technology, Chain Reaction Innovation support would drastically change timeline/probability of success, alignment with lab resources and expertise, ability to work well with or in a national lab and/or research institution).
Projects must have potential for long-term impact in enabling materials and manufacturing solutions that advance the Department of Energy's mission to create reliable, clean, and affordable energy solutions that advance the national, economic, and energy security of the United States.
All applicants for federal funding will be reviewed by Argonne National Laboratory, and must be selected by a Federal Official from DOE’s Office of Energy Efficiency and Renewable Energy.
Nature of the Partnership with Argonne
Selected innovators will contract with the Laboratory through standard non-negotiable CRADAs approved by the Department of Energy. The work may be divided into two phases, a Scope and Planning Phase (budget period one) followed by a Research and Development (R&D) phase (budget period two).
Scope and Planning Phase:
During the Scope and Planning Phase (typically less than 6 months), the innovator will work at the Lab and will undertake paper-based analysis such as performing market studies, refining the scope of their research project with Argonne personnel, surveying the intellectual property landscape of their technology, and other activities designed to increase the chance of success in the subsequent R&D Phase. Since no hard R&D is allowed in this phase, background Intellectual Property (IP) will not be of concern. Innovators are expected to develop an Intellectual Property (IP) Management Plan as part of the Scope and Planning phase (budget period 1), subject to the appropriate DOE Technology Manager’s approval with concurrence from DOE Patent Counsel, before proceeding to the R&D phase (budget period 2). The IP Management Plan should identify and provide a path for obtaining any background IP rights, if necessary, that may be needed to perform R&D work under the CRADA and commercialize their technology. • Innovators accepted into the program must obtain license or option to license, determined on a case by case basis, to any background intellectual property no later than one year into the CRADA period, at the time of the year one review. Failure to do so could result in the termination of the innovator’s participation in the program.
In some cases, this phase may be short or not needed at all.
R&D Phase:
Once the Scope and Planning phase has been completed (or if it is not needed), the R&D Phase of the project can proceed (subject to DOE approval).
Please note that as with any other cooperative research and development project conducted with a National Lab, an innovator’s failure to abide by its DOE approved IP Management Plan could result in delayed work, deferment or removal from the program. Please note that selected innovators do not have any rights to Lab or third party background IP by virtue of selection or participation in this program. If an innovator requires any Lab background IP they should reach out to the Lab’s technology transfer office.
Conflict of Interest Statement
Any work in connection with Chain Reaction Innovations must comply with Argonne’s Prime Contract, as well as applicable policies – including those pertaining to the avoidance of apparent or actual conflicts of interest. Innovators who have an affiliation with Argonne National Laboratory, its operator UChicago Argonne LLC, or the University of Chicago will be subject to an organizational conflict of interest management plan. Please see http://chainreaction.anl.gov/about/faq/ for more information.
Proprietary Application Information – Trade Secrets, Commercial or Financial Information
The application review process for innovators involves independent advisors who are not employees of Argonne National Laboratory or the Department of Energy. Further, the CRI finals and other events are open to the public. As such, no proprietary information should be included in any application. By submitting information to CRI, innovators agree that such information is non-proprietary and not subject to any obligation of disclosure.
Intellectual Property Including Innovations, Inventions and Patents
The Laboratory has no claim to any background intellectual property that you bring to the program. Selected applicants will be granted certain rights in data, copyrights and patents that innovators create in the course of the program, pursuant to the terms of the CRADA between Argonne and the successful applicants. A copy of the CRADA can be found at:
http://chainreaction.anl.gov/wp-content/uploads/sites/68/2016/10/CRI-Short-Form-CRADA-2016-9-2.pdf.
As a general matter:
Selected applicants may copyright and publish (consistent with appropriate national security considerations, if any) material developed under the CRADA (also subject to a royalty-free license to the government).
Selected applicants may retain the principal worldwide patent rights to any invention the applicants develop under the CRADA, subject to a reserved government use license and other limitations that can be found in the Code of Federal Regulations, 37 CFR 401. For inventions developed by Argonne under the CRADA, selected applicants will not own the invention, but will instead have an option for up to an exclusive license to such Argonne inventions for the term of the CRADA plus six months.
An IP Management Plan is established by participants in this program in order to establish clear and transparent set of mutual expectations for management of both the background and subsequently developed intellectual property relevant to the proposed activities.
0-BB47-P-00290-00 Department of Energy Office of Science
7/31/20, 12:04 PM