1 federal lab technology transfer, annual reporting, and gauging performance mark boroush senior...

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Federal Lab Technology Federal Lab Technology Transfer, Annual Reporting, and Transfer, Annual Reporting, and

Gauging PerformanceGauging Performance

Mark BoroushMark BoroushSenior Policy Analyst, Office of Technology Policy, Senior Policy Analyst, Office of Technology Policy,

Technology Administration, U.S.Department of Technology Administration, U.S.Department of CommerceCommerce

FLC Mid Atlantic Annual MeetingFLC Mid Atlantic Annual MeetingSeptember 20, 2006 September 20, 2006

M. BoroushM. BoroushFLC Mid Atlantic Annual FLC Mid Atlantic Annual MeetingMeetingSeptember 20, 2006September 20, 2006

U.S. Department of CommerceU.S. Department of CommerceTechnology Administration, Office of Technology Technology Administration, Office of Technology

PolicyPolicy 22

Annual Tech Transfer Reporting by the Annual Tech Transfer Reporting by the Federal Labs under the Tech Transfer Federal Labs under the Tech Transfer

Commercialization Act of 2000 Commercialization Act of 2000

Well, yes … It’s a statutory task now!Well, yes … It’s a statutory task now! TTC Act of 2000, PL 106-404, signed November TTC Act of 2000, PL 106-404, signed November

20002000● Annual agency report on utilization; to OMB; 15 USC 3710 Annual agency report on utilization; to OMB; 15 USC 3710

(f)(1)(f)(1)● Sec. of Commerce Sec. of Commerce Summary ReportSummary Report (federal wide); to the (federal wide); to the

President, Congress, others; 15 USC 3710 (g)(2)President, Congress, others; 15 USC 3710 (g)(2) Information on activity statistics, downstream Information on activity statistics, downstream

outcomes, agency plans for T2outcomes, agency plans for T2 Recognized in OMB’s annual budget preparation Recognized in OMB’s annual budget preparation

guidance, guidance, Circular A-11, Circular A-11, since July 2003since July 2003● Part 2, Section 25.5, Table 1, “Has Technology Transfers”Part 2, Section 25.5, Table 1, “Has Technology Transfers”

First cycle of this reporting in CY 2002, referring to First cycle of this reporting in CY 2002, referring to T2 activities in FY 2001. Yearly since then.T2 activities in FY 2001. Yearly since then.



PolicyPolicy 33

Some Recent ReportsSome Recent Reports

http://www.technology.gov/reports/TechTrans/2004_Sum.pdf

http://www.ars.usda.gov/SP2UserFiles/Place/00000000/OTTGeneral/commercereport05.pdf



PolicyPolicy 44

Where Did This Reporting Where Did This Reporting Mandate Come From?Mandate Come From?

Modernization of the “Biennial Reports” under the Modernization of the “Biennial Reports” under the Stevenson-Wydler ActStevenson-Wydler Act

An outgrowth also of the Government Performance An outgrowth also of the Government Performance and Results Act (GPRA) in later 1990sand Results Act (GPRA) in later 1990s

Congressional/senior policymakers’ interest in Congressional/senior policymakers’ interest in knowing that federal R&D results (including the knowing that federal R&D results (including the federal labs) are having benefits through tech federal labs) are having benefits through tech transfertransfer

Efforts by the Interagency Working Group on Tech Efforts by the Interagency Working Group on Tech Transfer, in late 2001 and onward, to establish and Transfer, in late 2001 and onward, to establish and maintain a rational process for the agencies to maintain a rational process for the agencies to conduct this reportingconduct this reporting



PolicyPolicy 55

Information in the Annual ReportsInformation in the Annual Reports



PolicyPolicy 66

Transition to Part IITransition to Part II



PolicyPolicy 77

What Has Been What Has Been Achieved to Date?Achieved to Date?

Most of the affected federal agencies now respond Most of the affected federal agencies now respond regularly and reasonably completely regularly and reasonably completely

Substantial time series of mostly consistent T2 Substantial time series of mostly consistent T2 activity statistics has been accumulatedactivity statistics has been accumulated

Also an increasingly sizable body of success stories Also an increasingly sizable body of success stories on downstream outcomeson downstream outcomes

Much improved communication of how agency Much improved communication of how agency federal lab T2 contributes to agency mission and federal lab T2 contributes to agency mission and fits with agency R&D and tech development plansfits with agency R&D and tech development plans

In the better agencies, the annual reporting is used In the better agencies, the annual reporting is used to strengthen the mgt/accountability of agency T2 to strengthen the mgt/accountability of agency T2 activitiesactivities

Some attention by Congress and other policymakersSome attention by Congress and other policymakers



PolicyPolicy 88

Present Context for the Present Context for the Federal Lab T2 ReportingFederal Lab T2 Reporting

Continuing interest of policymakers in the nature of the benefits Continuing interest of policymakers in the nature of the benefits flowing from federal R&D resultsflowing from federal R&D results

Renewed concern for U.S. innovation capabilities Renewed concern for U.S. innovation capabilities ● Increased attention likely on how well the various elements of the Increased attention likely on how well the various elements of the

national innovation infrastructure fit together and produce resultsnational innovation infrastructure fit together and produce results White House Science Advisor’s call (April 2005) for more White House Science Advisor’s call (April 2005) for more

systematic knowledge of the returns from public investment in systematic knowledge of the returns from public investment in federal R&Dfederal R&D

● OSTP’s “Science of Science” Task ForceOSTP’s “Science of Science” Task Force● NSF’s emerging “Science Metrics Initiative” (FY 07 on)NSF’s emerging “Science Metrics Initiative” (FY 07 on)

OECD’s continuing work on performance metrics for R&D and OECD’s continuing work on performance metrics for R&D and innovationinnovation

● Including International “Blue Sky Indicators” conference in Ottawa in Including International “Blue Sky Indicators” conference in Ottawa in late Septemberlate September

● U.S. long a major supporter of this statistical/analytical workU.S. long a major supporter of this statistical/analytical work New Dept. of Commerce Advisory Committee on Innovation New Dept. of Commerce Advisory Committee on Innovation

MetricsMetrics



PolicyPolicy 99

Need to be Clear about WhatNeed to be Clear about WhatWe Have and Don’t HaveWe Have and Don’t Have

T2 Activity LevelsT2 Activity Levels -- We’ve got plenty of this now! Patents, invention -- We’ve got plenty of this now! Patents, invention disclosures, licenses, CRADAs, royalty revenue, technical disclosures, licenses, CRADAs, royalty revenue, technical dissemination, and so on.dissemination, and so on.

-- But we well know these are not measures of outcomes. -- But we well know these are not measures of outcomes.

Downstream Outcomes Downstream Outcomes from T2from T2

-- Considerable body of “success stories” now collected (a -- Considerable body of “success stories” now collected (a result of the TTCA reporting). Few agencies seem short of result of the TTCA reporting). Few agencies seem short of supply!supply!

Map of T2 roles in Map of T2 roles in Agency Mission and Agency Mission and StrategyStrategy

-- TTCA reporting has provided a vehicle for this. Most -- TTCA reporting has provided a vehicle for this. Most agencies are using the opportunity (including making agencies are using the opportunity (including making accessible on Web).accessible on Web).

-- Important story to tell. Agencies differ in what they are -- Important story to tell. Agencies differ in what they are trying to accomplish; not well understood. Basis for trying to accomplish; not well understood. Basis for accountability.accountability.

Identification & Identification & Dissemination of Best Dissemination of Best PracticesPractices

-- Continuing flow of “best practice” information across the -- Continuing flow of “best practice” information across the practitioner community. Professional associations (FLC, practitioner community. Professional associations (FLC, AUTM, LES, others) and Web dissemination have played AUTM, LES, others) and Web dissemination have played roles in this.roles in this.

Measures of T2 Program Measures of T2 Program Effectiveness & Effectiveness & ProductivityProductivity

-- Still too little of this. Most ORTAs continue to have a hard -- Still too little of this. Most ORTAs continue to have a hard time with the “what bang for buck?” question.time with the “what bang for buck?” question.

-- Key area in need of progress. For a host of reasons: -- Key area in need of progress. For a host of reasons: better management, budget justification, benchmarking, better management, budget justification, benchmarking, accountability.accountability.



PolicyPolicy 1010

Estimate of the FutureEstimate of the Future

Annual T2 reporting requirement is a management Annual T2 reporting requirement is a management opportunity, well beyond “checking the box.” opportunity, well beyond “checking the box.”

Couple of inequalities we already know about: T2 “activity” Couple of inequalities we already know about: T2 “activity” doesn’t equal T2 “outcomes,” similarly, “activity” doesn’t doesn’t equal T2 “outcomes,” similarly, “activity” doesn’t equal “performance.” equal “performance.”

● In a tougher competition for a share of resources, there will be a In a tougher competition for a share of resources, there will be a need to say more about “performance.” need to say more about “performance.”

Renewed interest broadly in better metrics for R&D and Renewed interest broadly in better metrics for R&D and innovation may yield some methodological help. innovation may yield some methodological help.

● Although, collecting systematic data about the real downstream Although, collecting systematic data about the real downstream outcomes of federal lab T2 will remain a challenge (for various outcomes of federal lab T2 will remain a challenge (for various reasons) reasons)

● Also, hard to gauge performance without being clear what the Also, hard to gauge performance without being clear what the agency specifically is trying to accomplish through its T2 agency specifically is trying to accomplish through its T2 enterprise.enterprise.

Important for T2 practitioners to get involved in helping these Important for T2 practitioners to get involved in helping these evaluation advances happen.evaluation advances happen.

1 federal lab technology transfer, annual reporting, and gauging performance mark boroush senior...

Documents

annual reporting

agency federal lab t2

federal labs

annual tech transfer

agency rd

annual agency report

affected federal agencies

annual reportstransition