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Innovations Enabled by the U.S. Department of Energy Fuel Cell Technologies Office

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Innovations Enabled by the U.S. Department of Energy Fuel Cell Technologies Office Pathways to Success: Innovations Enabled by the U.S. Department of Energy Fuel Cell Technologies Office November 2018 Prepared by Pacific Northwest National Laboratory for the U.S. Department of Energy Fuel Cell Technologies Office i Notice This report is being disseminated by the U.S. Department of Energy (DOE). As such, this document was prepared in compliance with Section 515 of the Treasury and General Government Appropriations Act for Fiscal Year 2001(Public Law 106-554) and information quality guidelines issued by DOE. Though this report does not constitute “influential” information, as that term is defined in DOE’s information quality guidelines or the Office of Management and Budget’s Information Quality Bulletin for Peer Review, the report was reviewed both internally and externally prior to publication. Reviewers included technical experts from Pacific Northwest National Laboratory and DOE’s Fuel Cell Technologies Office. The views and opinions of the authors expressed herein do not necessarily state or reflect those of the United States Government or any agency thereof. Neither the United States Government nor any agency thereof, nor any of their employees, makes any warranty, expressed or implied, or assumes any legal liability or responsibility for the accuracy, completeness, or usefulness of any information, apparatus, product, or process disclosed, or represents that its use would not infringe privately owned rights. ii Table of Contents Table of Contents ....................................................................................................... iii Summary..................................................................................................................... v 1.0 Introduction ....................................................................................................... 1-1 1.1 Overview of the DOE Fuel Cell Technologies Office .................................................... 1-1 1.2 Contents of this Report ................................................................................................. 1-3 2.0 Approach ............................................................................................................ 2-1 2.1 Patent Search ................................................................................................................... 2-1 2.2 Patent Application Search ................................................................................................. 2-2 3.0 Results ............................................................................................................... 3-1 3.1 Patent Search and Analysis .............................................................................................. 3-1 3.2 Patent Application Search and Analysis ............................................................................ 3-4 Appendix A: Patent Status List .............................................................................. A-1 A.1 Fuel Cell Patents Status .................................................................................................. A-2 A.2 Production/Delivery Patents Status ............................................................................... A-65 A.3 Storage Patents Status ................................................................................................ A-118 iii This page intentionally left blank. iv Summary The purpose of the project described in this annual report is to identify and document research and development (R&D) innovations and intellectual property that resulted from U.S. Department of Energy (DOE) support through the Fuel Cell Technologies Office (FCTO) in the Office of Energy Efficiency and Renewable Energy (EERE). Patent applications, issued patents and additional investment and commercialization by private industry are indicators that can demonstrate the benefit of DOE funding. As one indicator of innovation and knowledge generation, this report identifies, analyzes, and characterizes U.S. patent applications and patent awards related to FCTO-funded R&D. Patent application data span the years 2001 to 2017 while issued patents are tracked cumulatively starting from the inception of DOE activities in 1977 through 2017. FCTO directed Pacific Northwest National Laboratory (PNNL) to perform this analysis based on the lab’s previous expertise, existing databases, and familiarity with the program. PNNL used information from FCTO program and annual progress reports, and examined grants made under the Small Business Innovation Research and Small Business Technology Transfer Programs that are related to hydrogen and fuel cells. Since FY2008, PNNL has performed annual patent searches resulting from FCTO R&D project funding and analyzed the types of patents awarded, (i.e., related to fuel cells, hydrogen production and delivery, or hydrogen storage innovations); awardee organization type (private company, national laboratory, or university); and current patent status (still used in research, available for license, licensed, or no longer being pursued). Technologies commercialized by the private sector as a result of FCTO funding were also tracked in prior years. However, in FY2017, PNNL also began investigating patent applications related to hydrogen and fuel cell technologies and attributed to FCTO-funded R&D to further understand and quantify the technical innovation and intellectual property resulting from FCTO-funded R&D. While issued patents typically reflect innovations that may have occurred several years in the past, patent applications can provide insight into the most recent innovations that are not yet patented or commercialized. The 2017 patent analysis identified 738 awarded patents associated with research supported by FCTO dating back to 1977, with 463 patents awarded over the past 10 years. These results show a substantial increase compared to data from the 2016 report of 650 total patents, including 330 in fuel cells, 235 in hydrogen production/delivery, and 85 in hydrogen storage.1 The 738 FCTO awarded patents include: • 373 fuel cell patents (51%) • 273 hydrogen production/delivery patents (37%), and • 92 hydrogen storage patents (12%). Three types of organizations received the patents: • national laboratories (268 patents, or 36%) • private companies (346 patents, or 47%), and • universities (124 patents, or 17%). Private companies received the greatest number of patent awards in the fuel cell and hydrogen production/delivery areas, accounting for 50% of the fuel cell patent awards and 54% of the production/delivery patent award. The national laboratories had 60% of the awards in the hydrogen storage area. The patent award status-by-use analysis indicated that nearly half of the awarded patents (363) are currently used in ongoing R&D efforts with 165 patents available for license and a further 63 patents are currently licensed. The PNNL patent application analysis examined all the available published application data in the United States Patent and Trademark Office online database, which covers the time period 2001 through 2017. The application analysis identified 893 patent applications related to FCTO-funded R&D. Preliminary analysis indicates that approximately 80% of these received patent awards, with an average patent lag (the time between filing and receiving a patent award) of approximately 3 years.2 This report documents the methodology and results of both the patent and patent application analyses, and documents the specific patents and patent applications that resulted from FCTO-funded R&D. 1 The increase in the number of patents reported from 2016 to 2017 can be attributed to both new patents awarded since the previous report was released and the introduction of new and improved patent searching methods that were developed for the patent applications analysis. Final 2016 data, presented in Chapter 3, reflects updates since the 2016 report’s publication. 2 Future analysis will further screen and characterize the patent awards identified in the 2017 patent application analysis to determine if additional patents should be added to the FCTO awarded-patent database. v This page intentionally left blank. vi 1.0 Introduction This report documents the methodology and results of an effort to identify and characterize patent activity related to R&D funded by the U.S. Department of Energy’s Fuel Cell Technologies Office (FCTO). The report includes an inventory of hydrogen and fuel cell related U.S. patents and patent applications from 1977 to 2017, providing an indicator of innovation and intellectual property development enabled by FCTO’s applied R&D funding sustained over a number of years.3 Pacific Northwest National Laboratory (PNNL) has been conducting similar analytical studies for other EERE offices for over two decades. The results presented in this report represent the findings from the PNNL effort and include the use of input and resources from FCTO. This chapter presents a brief overview of FCTO-funded R&D that is leading to innovations, and a summary of the contents of this report. 1.1 Overview of the DOE Fuel Cell Technologies Office The Fuel Cell Technologies Office focuses on advancing a portfolio of hydrogen and fuel cell technologies through early stage applied research and technology development. Technology R&D includes hydrogen production (from diverse domestic resources including renewable, fossil, and nuclear resources), infrastructure development (including hydrogen delivery and storage), and fuel cells for transportation,
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