an applied technology transfer process

AN APPLIED TECHNOLOGY TRANSFER PROCESS

tTimothy G. O'Keefe and Harold Marx

ABSTRACT The applied technolo~T transfer process is a communication process based on planning,

marketing, and training. Planning is the single most important element, while pre-planning is also essential.

The marketing part of applied technology transfer involves an in-depth knowledge of both consumers and products. A sound knowledge of media is also essential. The marketing step is the key delivery or transfer element.

Applied technology transfer is a system that requires skills such as management and communication techniques which can be learned in traditional academic courses. However, other skills such as applied human relations are more easily learned under a supervised work- shop approach. More complex technology transfer systems require additional training on a continuing education basis. The development of technology transfer learning centers can also be useful.

Applied technology transfer is a research investment rather than a cost. It is the technology transfer process that insures the timely application of research effort. Research pay-off is derived from use of research products. Thus, applie d technology transfer repre- sents research delivery insurance.

Applied technology transfer is a flexible system designed to more efficiently move technical information from source to user. In contrast with many interesting theoretical and academic systems of information movement, applied technology transfer is result orient- ed. An applied technology transfer project requires some definitive and accurate means of measuring the results in terms of the project objectives. Therefore, sound project results must be measured against a clear statement of objectives. In much the same way that theory supports the academic study of technology transfer, so do the project results support the concept of applied technology transfer.

Applied technology transfer is a communication process which utilizes three elements:

tDr. Timothy G. O'Keefe is a Professor in the Natural Resources Management Department at California Polytechnic State University, San Luis Obispo, California.

tMr. Harold Marx is with the United States Department of Agriculture Forest Service, Washington, D.C.

Journal of Technology Transfer, 11(1), 1986 83

Planning, marketing, and training. Each one of these elements is equally important.

PLANNING A sound program of applied technology transfer should be based on a written plan

that is simple and flexible. Of course, it is also important to note that there is more than a single way to prepare a sound technology transfer plan. Many different planning methods can lead to the same goal, that is, sound implementation of the system.

When there is an over-supply of unused research information there may be a significant lack of effective systems to transfer the information from the laboratory to the field user. A real awareness of this transfer problem developed in the 70s. A number of different transfer systems were tried. Some failed to work. Many were based on sociological theory and seemed logical in a textbook context but in fact performed poorly in field

conditions. In the area of American agriculture, one system that has performed very well for the

past 60 years is the Cooperative Extension Service. The CES Information transfer system was developed as an important component to the Agricultural Land Grant system of education. It hastened the application of agricultural knowledge into practice by the users.

Applied technology transfer is based on many of the same principles that made the CES so effective for so many years throughout the country. In short, applied technology transfer is a user-centered program. By user-centered, we mean that a sound program of applied technology transfer is based upon clear identification of user needs, followed by identification of appropriate available research information to fill those needs.

In addition, a fully effective applied technology transfer program can be considered as a closed loop system. Information flows not only from the research lab to the user group but need and critical review of research also flows from the user group back to the research staff and the laboratory. Thus the functionally effective applied technology transfer system provides a transfer loop that is in essence a two-way communication system.

In general there are three phases to the technology transfer planning process: Preplanning, development and implementation. The preplanning phase of the total opera- tion is essentially a period of participant negotiations. Ideally, an applied technology transfer plan is written in response to a recognized need expressed either by the user or the researcher. Therefore, for maximum results it is important to involve a large number of individuals in developing the technology transfer plan.

Negotiations are frequently an important part of this preplanning process when various different organizations or agencies are involved in developing the goals and objectives as well as the methods and budget for the proposed technology transfer activity. Frequently, these preplanning negotiations can be a critical key in deciding whether a technology transfer project is ever implemented.

Since negotiations are such a critical part of the preplanning process, it follows that careful selection of participants for this preplanning process is important for the overall success of any technology transfer project. Participant selection is frequently based on one or more of the following criteria:

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1. The interest of the agency or organization in the successful transfer of the technology in question. 2. Whether or not there is a representative from a user group that is a likely audience for the technology proposed in the transfer process. 3. Whether representatives can be identified from those agencies or organizations that have at least some secondary interest in the transfer of the technology in question. 4. The support of representatives of the research organization that develops technology to be transferred. 5. Whether or not there is support from representatives of those agencies or organizations that will be asked to act as transfer agents for the implementation of the project. 6. Representatives from those agencies or organizations that may be asked to provide financial support for the implementation of the technology transfer project in question should be supportive of the project and influential in their own work situations. 7. Identification of support individuals, who understand and have talents relevant to the technology transfer project, or who can lend moral support because they understand and appreciate the value of technology transfer planning.

The next phase of the planning process is development and actual writing of the plan. Although there is obviously more than a single way to structure an applied technology transfer plan, a common approach is to organize it around an eight-part structure including the following items: Message, Objective, Team, Audience, Media, Action Plan, Cost and Evaluation.

Development of the technology transfer plan may follow many different routes. Re- gardless of the system or the mechanism used to write the plan, it is important that one individual or agency be held responsible to produce a written document within a given time.

Implementation is the final phase in the planning process. Until a plan is put into action, it is only a piece of paper that may or may not have actual value. For this reason, it is important that the implementation phase of the planning process be very carfully laid out. Successful implementation of any plan requires consideration of such items as the following:

1. Timing. Certain times of year may be more or less beneficial to initiate a per- ticular type of technology transfer project. 2. Publicity. Depending upon the type of audience the project is intended to reach, it may be more or less useful to plan and implement a pre-project program of publicity in order to inform the audience about the impending initiation of the project. 3. Equipment/program bugs. Depending upon the complexity of the new technology in terms of equipment or computer programs, it is important that all equipment and programs function smoothly at the time that the technology


transfer is implemented. 4. Staffing. It is essential that all individuals that will be expected to play a significant role in the implementation of the plan be prepared to function in those roles at the time of implementation. 5. Funding. There should be sufficient funds allocated to carry the project at least for the first few months and hopfullly for at least the first fiscal year of the technology transfer plan. 6. Alternative action sequence. In order to be prepared for the unexpected, it is essential to have some alternative action plans developed for the more logical contingencies that could develop during the implementation period.

Implementation of the written technology transfer plan is the first step in obtaining results that will eventually be the measure of a plan's success or failure. For this reason, it is essential that the implementation phase be carried out as smoothly and efficiently as possible.

MARKETING Applied technology transfer is a process that incorporates many elements of sound

marketing strategy. Just as a good marketing strategy depends upon a sound selling plan to achieve the marketing goals, a sound system of applied technology depends upon a good application plan in order to achieve its goals.

One important element in a marketing strategy is to learn about potential consumers. Similarly, applied technology transfer relies heavily on the ability of the transfer agent to learn about the potential consumer of the technology.

An applied technology transfer system resembles a marketing program in many ways. For example, a new technology or new technical process often requires the same sort of "selling" strategy that is required to market a new industrial product. Just as there is market and consumer resistance to new products, there is frequently a similar kind of resistance to the movement and implementation of new technical ideas or processes. For this reason, a system of applied technology transfer must rely on many of the same techniques that are useful for developing a marketing strategy to move new commercial products.

Unfortunately, the use of marketing or sales techniques to achieve a transfer of technology has frequently been frowned on by the research community as being unprofessional. In light of the wide-spread research resistance to anything associated with marketing, it is undoubtedly a wise strategy to avoid any use of terms that are synonymous with or assocht- ed with a marketing system, like PR, Mass Media, Madison Avenue, and "hard sell".

During the process of developing and implementing a technology transfer action plan, problems are frequently people problems. For this reason for implementing the applied technology transfer plan, the 80-20 rule and the planning triage may be beneficial.

1. The 80-20 rule. On the average about 80 percent of the problems or successes associated with implementing the plan result from about 20 percent of the people involved

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in the plan. 2. The Planning Triage. This is essentially a classification system which permits the

applications technology transfer manager to focus his attention and time on that segment of the user group which is most likely to be productive. For example, under this three.way user classification system, most technology transfer managers can readily identify a user group which can be considered strong enough to adopt the new technology with little or no assistance. Of the remaining two user groups there is a small group for which no amount of help or assistance can persuade that group to adopt any new process or technology. Then there is the larger remaining group that will require considerable assistance but which will probably adopt and use the new technology eventually.

It is, of course, this last group to which the greatest effort and attention must be directed. Thus, by identifying the three groups of potential users, on the triage method, the technology transfer specialist can more effectively direct his time and effort and allo- cate project funds where the greatest impact will be made.

Marketing strategies and some specific marketing techniques can play an important role in developing a sound applied technology transfer program. In addition, since much of our applied technology transfer work is involved with solving people questions, it is important to recognize that marketing strategies that address people questions can also be useful in the applied technology transfer field.

In summary, selling a new idea or a new process through the mechanism of applied technology transfer is in fact a selling job. For this reason it is appropriate and evenessen- tial that a sound applied technology transfer program be built around at least some of the marketing principles and techniques that have been successful in commerce.

TRAINING Applied technology transfer requires different skills. Most of these relate to organi-

zations, marketing, and communications, and can be learned, and significantly improved with practice.

Training for applied technology transfer, should be concentrated into a relatively short-time on a continuing education basis. Professional individuals, who already possess some fundamental communications and management skills usually require only a short orientation. Of course, in order to become more proficient at the process of applied tech. nology transfer, considerable practice may be required for most individuals.

For this reason, it is important that even relatively skilled individuals who understand the fundamentals of applied technology, take the time to practice and to polish application skills. New training programs for applied technology transfer should be organized as a seminar on the basis of individual self.tutorial action. Group training in an organized seminar is helpful in that it encourages individual exchange of technology transfer techniques and interaction with a technology transfer training leader.

Individual self tutorial training is very useful for busy managers to learn more about applied technology transfer at their own pace and to review certain segments of the tech-


nology transfer training program. In addition, the use of prepackaged technology transfer training materials can be a very effective way to manage training time and preparation.

At this point, it is important to recognize that future training for applied technology transfer is very likely to be complex, expensive and time consuming. On this basis, then, there is a need for the development of select applied technology transfer service centers. These technology transfer service centers,established on a regional and a national basis, could be located on academic campuses that would provide a strong foundation for more extensive technology training. In addition, these academic technology transfer training centers could be associated with a university that has a strong philosophy of practical hands-on education.

CONCLUSION Applied technology transfer is a practical system designed to move laboratory de-

veloped information to a field user effectively and in a reasonable period of time. This applied technology transfer system is essentially a function of communications, planning, marketing, and training. The heart of applied technology transfer lies in the development and use of a written technology transfer plan~ which like the research plan, allows the organization to monitor technology transfer progress and document technology transfer actions.

In the working system of applied technology transfer, there is an important role for the researcher, the technology transfer specialist, and for the user of technology. One of the most important aspects of any applied technology transfer program is the evaluation effort. It is essential that a program of applied technology transfer be supported with an evaluation system. The evaluation system should be based on the objective statement of the technology transfer project, and be designed to measure the transfer system in use, and not the technology, which is assumed to be sound.

On a financial basis, applied technology transfer is probably the best way to assure that good research effort pays off in new applications for a wide variety of uses. In this way, the taxpayer or corporation stockholders arc more likely to see a real return on research investment, in a reasonable period of time.

Although a good program of applied technology transfer does require additional investment, a careful cost-benefit analysis should demonstrate the economic benefit of applied technology transfer.

It is clear that the best piece of research has very little value to anyone if it sits unused in the researcher's files. Therefore, for maximum return on the research investment good management requires the development of a strong applied technology transfer program.

REFERENCES Moeller, G. H and E. L. Shafer, "Important Factors in the Forestry Innovation Process",

Journal of Forestr:?,79:30-32, 1981. Muth, R. M. and J. C. Hendee, "Technology Transfer and Human Behavior", Journal of

Forestry, 78:141-144, 1980.

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an applied technology transfer process

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