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Overview and Analysis of Technology Transfer from Federal Agencies and Laboratories

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Overview and Analysis of Technology Transfer from Federal Agencies and Laboratories June 2019 Overview and Analysis of Technology Transfer from Federal Agencies and Laboratories Prepared for National Institute of Standards and Technology Technology Partnerships Office 100 Bureau Drive Gaithersburg, MD 20899 Prepared by Albert N. Link University of North Carolina at Greensboro Zachary T. Oliver RTI International Gretchen B. Jordan 360 Innovation LLC Christopher Hayter Arizona State University RTI Project Number 0214999 RTI Project Number 0214999 Overview and Analysis of Technology Transfer from Federal Agencies and Laboratories June 2019 Prepared for National Institute of Standards and Technology Technology Partnerships Office 100 Bureau Drive Gaithersburg, MD 20899 Prepared by Albert N. Link University of North Carolina at Greensboro Zachary T. Oliver RTI International Gretchen B. Jordan 360 Innovation LLC Christopher Hayter Arizona State University _________________________________ RTI International is a registered trademark and a trade name of Research Triangle Institute. Acknowledgments The authors wish to thank the National Institute of Standards and Technology (NIST) Technology Partnerships Office for supporting this project. We are grateful to the Federal Laboratory Consortium and the Interagency Work Group on Technology Transfer for allowing our team to present periodic updates of this study. We would also like to thank the following agencies and their Technology Transfer Offices for their indispensable participation in this study: . Department of Commerce, NIST . Department of Defense, Air Force . Department of Defense, Army . Department of Defense, Navy . Department of the Interior, U.S. Bureau of Reclamation . Department of Transportation, Federal Highway Administration . Department of Health and Human Services, Center for Disease Control . Department of Health and Human Services, National Institutes of Health . U.S. Department of Agriculture The authors would also like to acknowledge Brian Lim, Joshua Fletcher, and Jacob Moore for their tireless data support. Lastly, we would like to acknowledge the individuals in the following table who led each case study: iii Case Study Topic Author(s) DOC, NIST Cybersecurity Framework Christopher Hayter (Arizona State University) Department of Defense (DoD), Air Attenuating Custom Kyle Clarke-Sutton (RTI) Force Communications Earpiece System (ACCES) DoD, Army Japanese Encephalitis Virus (JEV) Michael Hogan (RTI) Vaccine DoD, Navy Port Security Barrier System (PSB) Zack Oliver (RTI) Department of Interior (DOI), U.S. Flexible Fluxprobe Diagnostic Tool Christopher Hayter Bureau of Reclamation (Arizona State University) DOT, Federal Highway Mobile Solution for Assessment and Zack Oliver (RTI) and Administration Reporting (MSAR) Gretchen Jordan (360 Innovation) Department of Health and Human Human Microvascular Endothelial Christopher Hayter Services (HHS), Centers for Cell Lines (HMEC-1) (Arizona State University) Disease Control HHS, National Institutes of Health Human Papillomavirus (HPV) Troy Scott (RTI)and Vaccine Zack Oliver (RTI) USDA, Agricultural Research Tifton-Bred Turfgrasses Gretchen Jordan (360 Innovation) Service iv Contents Chapter Page Acknowledgments iii Executive Summary ES-1 1 Introduction 1-1 2 Technology Transfer Policies toward U.S. Federal Agencies and Laboratories 2-1 3 Academic and Policy Literatures on Technology Transfer from Federal Agencies and Laboratories 3-1 3.1 Literature Review Methods ....................................... 3-2 3.2 Academic Literature ................................................ 3-2 3.3 Policy Literature ..................................................... 3-6 4 Public Domain Information on Technology Transfer across Federal Agencies 4-1 5 Approach to this Multiple-Agency Study 5-1 5.1 Guiding Logical Framework ...................................... 5-1 5.1.1 The Logic Model ........................................... 5-2 5.1.2 Research Questions ...................................... 5-5 5.2 Our Approach to Engaging Federal Agencies ............... 5-6 6 Summary of Primary and Secondary Data 6-1 6.1 Primary Data ......................................................... 6-1 6.2 Secondary Data ..................................................... 6-3 v 6.3 Record Linkage ...................................................... 6-3 7 Geospatial Analysis of Technology Transfer Partners 7-1 7.1 Federal Laboratory Locations ................................... 7-2 7.2 Licenses ................................................................ 7-3 7.3 CRADAs ................................................................ 7-4 7.4 Comparison of the Geospatial Distribution of Licenses and CRADAs .............................................. 7-7 8 Toward an Understanding of the Relationship between Company Sales and Licensed Public- Sector Technology 8-1 8.1 Characteristics of Licensees ..................................... 8-2 8.2 The Relationship between Company Sales and Licensed Public-Sector Technology ............................ 8-8 9 Toward an Understanding of Cooperative R&D Agreements with Federal Laboratories and Company Size 9-1 10 Case Studies of Successful Technology Transfer from Federal Laboratories 10-1 10.1 Framework for the Case Studies .............................. 10-3 10.1.1 Characteristics of Factors that Influence the Success of Technology Transfer Efforts ........... 10-3 10.2 Case Study Approach ............................................. 10-4 10.3 Case Study Benefits and Beneficiaries ...................... 10-6 10.3.1 DOC NIST Framework for Improving Critical Infrastructure Cybersecurity ......................... 10-7 10.3.2 DOI Bureau of Reclamation Flexible Fluxprobe Diagnostic Tool ............................. 10-8 10.3.3 DoD Air Force Attenuating Custom Communications Earpiece System (ACCES) ..... 10-9 10.3.4 DoD Army Japanese Encephalitis Vaccine— Walter Reed Army Institute for Research ...... 10-10 10.3.5 DoD Navy Facilities Engineering Port Security Barriers (PSB) .............................. 10-11 10.3.6 DOT FHWA Mobile Solution for Assessment and Reporting (MSAR) ................................ 10-12 10.3.7 HHS CDC HMEC-1 Cell Line ......................... 10-13 10.3.8 HHS NIH Human Papillomavirus (HPV) Vaccine .................................................... 10-14 vi 10.3.9 USDA Turfgrass Varieties ............................ 10-15 10.4 Technology Transfer Success Factors and Challenges ......................................................... 10-16 10.5 Summary of Lessons Learned from the Case Studies .............................................................. 10-22 11 Conclusions 11-1 References R-1 Appendixes Historical Overview of Technology Transfer Policies Toward U.S. Federal Laboratories from 1979 to the Present ................................................................. A-1 Academic Literature on Technology Transfer from U.S. Federal Agencies and Laboratories ..................... B-1 Policy Literature on Technology Transfer from U.S. Federal Agencies and Laboratories ............................ C-1 Description of the NETS Database ............................. D-1 Template for Case Studies of Technology Transfer and Commercialization ............................................ E-1 Case Study of DOC NIST Transfer: Cypersecurity Framework .............................................................F-1 Case Study of DoD Air Force Technology Transfer: Attenuating Custom Communications Earpiece System ................................................................. G-1 Case Study of DoD Army Technology Transfer: Japanese Encephalitis Virus Vaccine .......................... H-1 Case Study of DoD Navy Technology Transfer: Port Security Barrier System ........................................... I-1 Case Study of DOI U.S. Bureau of Reclamation Technology Transfer: Flexible Fluxprobe Diagnostic Tool ...................................................................... J-1 Case Study of DOT Federal Highway Administration Technology Transfer: Mobile Solution for Assessment and Reporting ....................................... K-1 Case Study of HHS Center for Disease Control Technology Transfer: Human Microvascular Endothelial Cell Lines (HMEC-1) ................................. L-1 Case Study of HHS National Institutes of Health Technology Transfer: Human Papillomavirus Vaccine ................................................................. M-1 vii Case Study of USDA Agricultural Research Service Technology Transfer: Tifton-Bred Turfgrasses ............. N-1 viii Figures Number Page 4-1. Graphical Description of Federal Patent Applications Filed, by Fiscal Year across Participating Agencies .............. 4-3 4-2. Graphical Description of Federal Patents Issued, by Fiscal Year across Participating Agencies ........................... 4-4 4-3. Graphical Description of Newly Executed Federal Licenses, by Fiscal Year across Participating Agencies ......... 4-5 4-4. Description of Newly Executed Federal CRADAs, by Fiscal Year across Participating Agencies .................................... 4-6 5-1. A Logic Model for Transfer of Technology from Federal Laboratories ................................................................. 5-2 7-1. Federal Laboratories Associated with the Federal Agencies Participating in this Study .................................. 7-2 7-2. Locations of Licensees in the Continental United States (1978—2017), by Five Participating Federal Agencies ......... 7-4 7-3. Locations of CRADA Partners in the Continental United States
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