1ASU Confidential Proprietary

ATP3: A Platform for Engagement and Access to Industry, National Lab, and Academic Expertise, and

World-class Algal R&D Facilities

John A. McGowen, PhD, PMP

Director of Operations and Program Management

Arizona Center For Algae Technology and Innovation

Arizona State University

Bio World Congress 2015 Montreal

July 22, 2015

The Arizona Center for Algae Technology and Innovation (AzCATI): formed

in 2010 through stimulus funds designated by the Science Foundation of

Arizona to serve as a hub for research, testing, and commercialization of

algae-based technologies and products.

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Arizona Center for Algae Technology and Innovation

• Connect

• Advance

• Collaborate

• Educate

• Launch

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AzCATI/ASU Algae Portfolio

AzCATI – $4M. CO2 mitigation from flue gas into algae

based fuels; Reactor development; Strain selection and

development; Processes for products; Wastewater;

Downstream processing and nutrient/media recycling; Test

bed expansion

ARPA-e – $7M. Cyano-bacterial based photosynthetic

factories - secrete fatty acids for fuel production

USDA – $1M. Development of best management practices

for algal crop protection

Bioenergy

Technologies

Office

SABC – $ 7.5M. Biochemical conversion of algae to fuels;

QA/QC protocols & characterization; Enzymatic

pretreatment for fuels

DOE – $0.5m. Managing microbial ecology in

cultivation systems

REAP - $6.2M. “Realization of Algae Potential”:

ATP3 – $17M. National algae test bed network

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Project Overview:

ATP3 national open test bedThe formation of the Algae Testbed Public-Private Partnership leveraged the

existing resources at AzCATI and our partner sites. The network represents

a collaboration of industry, laboratory, and educational facilities across

nation. ATP3 aims to convene all algae stakeholders to facilitate

opportunities and progress more rapidly to commercialization.

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Cellana

Cal PolyFlorida Algae

AzCATI

GTech

ATP3 partners

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Collaborative Open Testbeds

• Form a national network

• Provide access to stakeholders

• Accelerate R&D outcomes

Collect and Distribute High Impact Data

• Unified research programs

• Pipeline for collection of high-quality

cultivation data to support algae

computational modeling including

biomass productivity, techno-

economic, and life cycle assessment.

• Make data available publically

ATP3 Primary Objectives

ATP3: Testbeds Open for Business

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• Project Activities: biomass supply (1kg-100’s kg), equipment testing, analytical testing, culture maintenance, cultivation scale up, GM trials, and consultation services to academia, industry and national labs

• Project Categories: fee-for service activities, sponsored research, and subsidized projects through ATP3

Support Program

• Project Benefits: access to facilities to drive technology R&D, de-risk and validate technological innovations

Variety of independent and vertically integrated downstream harvesting unit ops

Provide service to ATP3 customers

- Produce algal biomass in the form of

slurry, paste and dry powers

- Serve as baseline technologies for

the improvement of future

harvesting/dewatering and oil

extraction processes (Valicor and

OpenAlgae platforms)

Support DOE’s TEA, sustainability,

and resource modeling

- Generate validation data for

current/future BETO pathways

- Provide more options to generate

data on the selection of harvesting

methods

- Provide feedstock for HTL, lipid

extraction and other downstream

process/product development

applications

Collaborative Open Testbeds:

Site Access and Customer Management

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An Example: toll biomass production and pilot scale harvesting/dewatering

Supporting early stage product development- Using the Helix™ PBR as semicontinuous seed platform

supporting larger scale cultivation in open pond raceways (2 x

60 m2) of testbed client supplied proprietary strain- 8 week growth campaign generating 7-8 kg of biomass per batch

(media recycle employed)

- Total project duration 3 months (included indoor scale up)

- Production data generated through harvest can be utilized for

TEA/LCA (with permission from client)

- Biomass delivered to client as whole, freeze dried product and was

used for downstream process validation and generation of

customer samples

Helix Seed Production 60 m2 cultivation campaign

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Example Pilot Scale PBR/Process Validation Project: Blue Ocean NutraSciences

• Leveraging ATP3 expertise, capabilities, and facilities- Blue Ocean working with the AzCATI testbed site to validate

current production process technology (strain and PBR system)

- First phase (6-9 mo)

- small scale validation of previous work performed for Blue

Ocean at another institution

- 250 gallon scale - includes small scale product production

for customer evaluations

- Second phase

- Fully scoped (contingent on successful first phase)

- Larger scale implementation (up to 3000 gallons)

- Validation of production process and product specifications

- Standard boilerplate for NDA and the service agreement were

negotiated and in place in ~3 weeks.

- Full pay to play project

- Can transition P1-P2 without need for revisiting service

agreement

Education & Training Workshops

• ATP3 has hosted 9 quarterly educational workshops

• Week-long workshop

• Over 30 lecture modules

• Over 15 hands-on field site and laboratory activities

• Well attended by broad mix of academic and industrial participants

• More than 200 participants representing >80 different organizations

• 35% Foreign participants

• Most recent workshop: “Principles and Processes: Algae Culture Maintenance, Production and Downstream Processing” held in May 2015 at NREL and CSM in Golden, Colorado

• Next workshop to be held in Mesa, Arizona November 2015

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Open Collaborative Testbed: Summary

• The ATP3 testbed network is up and running

• Projects with 32 customers in 2 years (majority focused on non-fuel applications)

• Streamlined business processes – can be applied to multiple sites

- Projects can get going very rapidly

• Ongoing/scheduled projects – come join us! - Cultivation trails (including GMO), analytical support, biomass supply (10’s-100’s kg),

equipment trials, access to facilities to conduct your own R&D, training, etc.- Non-US based companies leveraging the network with a landing pad in the US- Active engagement/access across network for collaboration – FOA’s, SBIR/STTR’s

• ATP3 support program- Opportunity for maximum leverage of DOE investment across underfunded

academics/entrepreneurs- Great path to scale-up bench scale/lab results/outdoor validation- Novel process ideas, strains (including GMO)- New synergies/new collaborations leading to purposeful expansion of the network- Early teaming/results in pursuit of new funding opportunities

• Education and Training workshops have reached approximately 80 different agencies, organizations, companies and academic institutions

- Exploring possibility for certificate programs (CEC’s, etc.) - Offering additional training partner sites with unique capabilities in the near future- Being prepared for the algal economy requires access to a trained workforce

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High Impact Data:

Long Term Algal Cultivation Trials

ATP3 sets standards and conducts harmonized, rigorous, and objective

long term cultivation trials to provide a realistic assessment of the

state of technology for algal based biofuels and bioproducts.

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• Our Unified Field Studies (UFS) at the testbed

sites along with our Advanced Field Studies (AFS)

enable comparison of promising production

strains at meaningful scale across variable

conditions

• Our Scientific Data Management System and

validated, harmonized SOP’s for analytical and

production processes ensures data integrity

across all sites

• Our protocols and data from the UFS and AFS are

publicly available and provide a critical resource to

TEA and LCA analysis yielding high impact,

validated data

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Standardization of processes and systems is

key to executing meaningful multi-site

cultivation trials

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mean sd RSD NAsh 18.8 1.2 6.4 237

Protein 28.2 0.8 2.7 153FAME Lipids 11.6 1.2 10.6 191

Carbohydrates 7.7 1 12.5 198

Setting Standards:

Analytical and Production Methods

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The ATP3 Framework: systems, tools, data, models and projections

ATP3 is using a harmonized, experimental framework to implement Unified Field Studies that enable comparison of promising strains at a standard system scale.

ATP3 has developed and implemented a pipeline for the collection and distribution of high-quality cultivation data to support algae computational modeling including biomass productivity, techno-economic, and life cycle assessment and making this data publically available.

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Harvest Yield Productivity Data

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Clear seasonal effect at every site with distinctive variations

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Public Access to Data

Using the existing infrastructure and expertise of OpenEI.org provides a rapid, robust, and low-cost solution for making the ATP3

datasets public. Curated 2014 data summaries and raw data to be posted in Q4 FY’15.

http://en.openei.org/search/#q=atp3

Policy

Support from USDA for algae as precision agriculture

EPA and USDA collaboration critical on CO2 and GMO policies, crop designation, agricultural practices and policies and tax incentives/rebates.

Carbon reuse and EPA rule-making: recycle waste rather than bury waste 20

Steady and encouraging progress

Challenge Space: 1. High cost of production

2. Demonstrating scalability and

3. Availability/cost of resources (nutrients,

carbon, water, etc.)Opportunity Space:

Technical

Increase productivity

Increase lipid content

Increase robustness and resiliency to resist predators

Improve early detection of contaminants

Develop new strains to handle high salinity

Improve energy efficiency of downstream processing

Business

Take advantage of high value markets to facilitate learning

Continue to focus on multiple technology pathways and strategies

Leverage co-location, waste streams to produce clean water/energy savings as a revenue stream/cost offset

Foster business innovation

Summary

ATP3 has established validated framework for implementing rigorous, long-term multi-site cultivation trials including standard methods for biomass and bioproduct productivity assessments

Allows determination of the effects of regional, seasonal, environmental variation that is to be expected for a national (international) deployment of algae cultivation

Experimental program has expanded to include larger scale, more cultivars, nutrient sourcing, media recycle and other additional capabilities of the partner sites

Critical validation data source for biomass productivity modeling, TEA, LCA and RA community - will allow for refinement of the current state of technology (SOT) assessments utilized by DOE and the broader industry/investment community

Challenges remain, but access to expertise and leveraging existing investment in facilities can help to accelerate algae R&D, de-risk technology, accelerate commercialization

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Acknowledgements

Florida Algae Steven SchlosserChris WithstandleyMary RiddleNancy Pham Ho (FIT)

CellanaValerie HarmonMartin SabarskyEmily KnurekKate EvansPeter PrentissReyna JavarKari WolffKeao Bishop-YuanLynn GriswoldChristina BoykoCharlie O’Kelley

ASUGary DirksJohn McGowenThomas DempsterPete LammersMilt SommerfeldWilliam BrandtJessica ChengJordan McAllisterSarah ArrowsmithDavid CardelloTheresa RosovMary CuevasJeffrey PrairieRichard MalloyXuezhi ZhangHenri GerkenPierre WenselLinda BoedekerSarah MasonTravis JohnsonSydney Lines

UTEXSchonna ManningJerry BrandValicor RenewablesKiran KadamBrian Goodall

NRELPhil PienkosLieve LaurensEd WolfrumDavid CrockerRyan DavisStefanie Van WychenEric KnoshaugSandia National LabsRon PateTodd LanePatricia GharagozlooThomas ReichardtJessica DrewryPamela LaneCal PolyTryg LundquistBraden CroweEric NicolaiCommercial Algae ManagementAlbert VitaleRobert VitaleGeorgia TechYongsheng ChenSteven Van GinkelThomas IgouZixuan Hu

ASU UndergradsWyatt WesternMariah PattonMaria BautistaCarlos LunaDelaney De HertoghShaylin McgheeCaden Offield

GT UndergradsFariha HassanJerry DuncanFrazier WoodruffShusuke DoiHao FuPatricia Penalver-ArguesoAllison Dunbar

Allison CarrSichoon ParkPriya PradeepTerry SnellCatherine AchukwuChristine Yi

CP UndergradsAydee MelgarGulce OzturkKaitlyn JonesMichael AntoineTrung K TranJake BenderHeather FreedDaniel McBroomMichele Hendrickson

Gerard NguyenDeven DilibertoJack SunderlandDan AverbujAnn Marie SequeiraLauren MillerMichele HendricksonEmily WangJack SunderlandAnn Marie SequeiraSoroush AboutalebiLauren MillerSamantha LuiMichele HendricksonGabriella CamposWill BrilesLetty Thottathil

23ASU Confidential Proprietary

The Goal – encourage and enable small businesses, entrepreneurs and underfunded academic

researchers to pursue new approaches to solving technical issues associated with

commercialization of algae biofuels, bioproducts, processes.

What is it ?

- Access to laboratory, outdoor facilities and resource support for novel projects

- ATP3 provides subsidized access to testbed facilities, technical expertise, and M&S

- Preference for support will be given to: • Short-term projects ranging from 1-3 months (typical project target $10K-$30K)

• Researchers willing to share data and results widely through publication

• Projects that leverage on-going activities already occurring (e.g., cultivation trials)

Easy to start the process: Visit ATP3.org and fill out an expression of interest form

Support may include:

Biomass (whole, extracted, oil)

Access to cultivation & downstream

equipment (eq. transport, install/removal)

Access to R&D, production & analytical

expertise

Access to laboratory and office space

Travel stipends to testbed (currently limited to

academic clients)

Initial cohort of support projects includes:

Novel cultivars for flue gas capture (Univ. of Del.)

Carbon management and delivery (LBNL)

AD with LEA (Cal Poly)

Novel harvesting with VAL (Searen)

Metabolic pH control for enhanced CO2 utilization

(Penn State)

Initial cohort of support projects includes:

Accepting applications for next cohort selection

ATP3 Offers Support Program

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