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Federal Technology Transfer (T2) Policies

U.S. Federal T2 policies are crucial for fostering innovation and economic growth by transferring federally funded research to real-world applications and maximizing the impact of federal research investments. 

Federal technology transfer policies, background and goals:

U.S. aim to accelerate the Commercialization of Technologies developed with federal funding, fostering economic growth, innovation, and competitiveness. 

• This involves transferring Knowledge, Intellectual Property, and Capabilities from government laboratories, research facilities, and universities to industry, academia, and other entities for further development and commercialization. 

T2 Key Federal Legislation and Initiatives

• • Stevenson-Wydler Technology Innovation Act of 1980: Required federal laboratories to participate in T2 activities and establish Offices of Research and Technology Applications (ORTAs).

  • Bayh-Dole Act of 1980: Allowed universities, small businesses, and non-profits to retain patents on inventions developed with government funding.

  • Federal Technology Transfer Act (FTTA) of 1986: Enhanced industry access to federal lab technologies and established the Federal Laboratory Consortium for Technology Transfer (FLC). The FLC promotes the commercialization of federal lab technologies.

  • National Technology Transfer and Advancement Act of 1995: Made Cooperative Research and Development Agreements (CRADAs) more appealing.

  • CHIPS and Science Act of 2022: Authorized funding for T2 capacity building at research institutions, particularly for universities.

  • Lab to Market (L2M) Initiative: Aims to improve the transition of federally-funded innovations to the marketplace. 

Recent initiatives and priorities (2020-2025)

Increased Emphasis on T2, New initiatives and Funding Opportunities:

• • Biden-Harris Administration and Tech Hubs Program: The administration has designated Tech Hubs across the country to accelerate industry growth through government, academia, and industry collaborations.

  • NSF Funding for Public Interest Technology: The NSF is investing in public interest technology research and learning, including programs for experiential learning and ethical considerations.

  • NIST Accelerating Federal Technology Transfer (AFTT) Program: This program supports organizations that promote federal T2 through outreach, education, and collaboration. 

Real-World Case Studies (2020-2025)

 Examples of Federal T2 Successes:

1. AI Backpropagation Algorithm: Research funded by the US Office of Naval Research and NSF at the University of California led to Backpropagation, a Foundational Algorithm for AI.

2. Navy Inertial Sensor to Google Acquisition: The Naval Information Warfare Center, Pacific licensed Inertial Sensor Technology to Lumedyne Technologies, which was later acquired by Google.

3. Army patent improves pediatric vision screening: iScreen Vision uses a patent license from the U.S. Army to develop devices for detecting ocular issues in children.

4. EPA hybrid vehicle technology for clean ports: The EPA and industry partners developed a hydraulic hybrid yard hostler using EPA's patented technology.

5. NASA commercialization spinoffs: NASA's Technology Transfer Program facilitates the transfer of technologies to private industry, universities, and startups for commercialization. Examples are available on NASA's website.

6. NIH discoveries for medical product development: The NIH Office of Technology Transfer manages the patenting and licensing of NIH discoveries to enable their development into medical products, benefiting public health.

7. DOE investments in technology commercialization: The Department of Energy supports the transfer and commercialization of technologies from its national laboratories. NETL offers partnership and licensing options.

8. NOAA's CRADAs and technology deployment: NOAA utilizes CRADAs to collaborate on developing and deploying environmental technologies. More information can be found in NOAA's Annual Reports. 

Conclusion

Federal T2 policies are crucial for fostering innovation and economic growth by transferring federally funded research to real-world applications. Recent initiatives and legislative changes show a continued commitment to enhancing T2 efforts and maximizing the impact of federal research investments. 

The Case Studies presented highlight the benefits of these policies across various sectors.

Performance Evaluation (Impact Studies)

NIST Evaluates its Programmatic Performance over time by utilizing a diverse yet complementary set of performance indicators and measures. 

• NIST Driving Innovation: From developing precise atomic clocks to creating encryption standards to supporting manufacturing, NIST plays a crucial role in advancing technology. 

  • NIST Vision: Unleash the innovation power of America into our economy

  • NIST Goal: Maximize the transfer of federal investments in science and technology into value for America.

  • ROI Sources of Information: Federal Technology Transfer Policies and procedures, based on landmark 1980s legislation, continue to support U.S. innovation and have been widely emulated by other countries.

• NETL’s Technology Transfer Objectives are to ensure the fullest use of the fruits of federal investment in research and development and supports Department of Energy's mission of ensuring America's security and prosperity by addressing its energy and environmental through transformative science and technology solutions.  

• NETL is committed to meeting its technology transfer objectives and to promoting the Department of Energy's efforts to make technology transfer more effective, thereby enhancing the impact of the science and technology discoveries made in NETL Facilities.

Department of Homeland Security

The U.S. Department of Homeland Security Technology Clearinghouse is one of the key lawful Resource for Innovative Technology Solutions.

• Technology Clearinghouse provides a centralized location for its customers to access curated and actionable information to aid in development, acquisition, and deployment of innovative technology solutions for homeland security. 

• DHS Video by Science & Technology Directorate

Lawful Technology Transfer Process 

Context: Research, Design, and Algorithm (RD&A) 

Focus: U.S. Government Departments DOD, DOE, and CBO

The lawful process for RD&A within the U.S. government, particularly involving the Department of Defense (DOD), Department of Energy (DOE), and Congressional Budget Office (CBO), involves a complex interplay of authorization, appropriation, and oversight procedures. These procedures ensure that RD&A activities align with national priorities, are conducted efficiently and ethically, and are subject to public scrutiny and accountability. 

Overview of Key Elements Roles

1. Authorization and appropriation

• Authorization bills: Congressional committees establish, continue, or modify federal agencies and programs, laying the groundwork for RD&A activities within the DOD and DOE. 

  • For instance, the Armed Services Committee might authorize the Navy to create a specific RD&A program focused on developing new algorithms for cybersecurity.

• Appropriations bills: The House Committee on Appropriations subsequently determines the funding levels for these authorized programs, essentially deciding the scope and extent to which RD&A initiatives can proceed. Regular appropriations bills provide the majority of this funding and must be enacted by the start of the fiscal year (October 1). 

  • In cases where these bills are not enacted on time, Congress may pass continuing resolutions to ensure continued funding.

• Budget Formulation (DOD & DOE):

  • Planning, Programming, Budgeting, and Execution (PPBE): The DOD utilizes this process to prepare its portion of the President's annual budget, which includes funding for RD&A activities. This process involves preliminary discussions with the Office of Management and Budget (OMB), followed by agencies submitting their budget requests in early fall.

  • OMB Review and Presidential Decisions: OMB reviews agency budget requests, consults with agencies, and considers the economic outlook and revenue estimates before presenting a budget proposal to the President. The President makes decisions on broad policies, which are then communicated back to the agencies in the form of "passback" decisions. Agencies can appeal any decisions with which they disagree.

  • Congressional Input (Specific Cases): In some instances, like the Congressionally Directed Medical Research Programs (CDMRP) within the DOD, funding for certain RD&A initiatives is added during the budget approval cycle by members of Congress in response to stakeholder requests.

  • DOE Specifics: The DOE's budget process also involves close coordination with OMB, with policy and budgetary direction guiding the agency's R&D planning and budgeting, including the allocation of funds to various clean energy technologies.

  • National Labs, Universities, and Entrepreneurs: The DOE's clean energy RD&A investments leverage the innovation capacity of National Laboratories, universities, and entrepreneurs to accelerate the transition to a clean energy economy.

• Federal Acquisition Regulation (FAR) and Defense Federal Acquisition Regulation Supplement (DFARS): These regulations govern the procurement and acquisition processes for RD&A projects across the federal government, including the DOD, ensuring fair and transparent competition among potential contractors. 

2. Congressional Budget Office (CBO)

• • Independent Analysis: The CBO provides Congress with objective, nonpartisan analysis of the budgetary and economic effects of legislation and policy options, including those impacting DOD and DOE RD&A programs.

  • Budgetary and Economic Impact: The CBO's analyses help Congress assess the costs and benefits of RD&A investments, compare different policy options, and make informed decisions about resource allocation.

  • Transparency and Accountability: By providing independent assessments, the CBO contributes to transparency and accountability in the federal budget process, ensuring that RD&A projects are evaluated on their merits and impact. 

3. RD&A Context (Research, Design, and Algorithm)

• Systematic and Intensive Study: RD&A, within the context of federal funding, involves a systematic and intensive study aimed at understanding a subject, applying new knowledge to address recognized needs, or developing useful materials, systems, or methods to meet specific requirements.

• Focus Areas: RD&A in the DOD might focus on areas like cybersecurity algorithms, artificial intelligence for defense applications, and developing advanced weapon systems. 

  • In contrast, DOE's RD&A priorities include areas like clean energy technologies, carbon capture and storage, and critical materials research. 

4. Key URLs for further information

• Federal Budget Process: HHS AMS

• DOD Budgeting Process: OUSD Acquisition & Sustainment (.mil)

• DOE Budget and R&D Information: Department of Energy (.gov)

• CBO Analyses: Congressional Budget Office (.gov)

• Federal Acquisition Regulation (FAR): Acquisition.GOV (.gov)

• Defense Federal Acquisition Regulation Supplement (DFARS): OUSD Acquisition & Sustainment (.mil)

• Authorizations and Appropriations Process: Congress.gov 

In essence, the lawful process for RD&A in the U.S. government is a meticulously structured system that ensures projects are authorized by Congress, funded through the appropriations process, and subjected to oversight and analysis by agencies like the CBO, ensuring accountability and adherence to established policies. 

Technology Transfer Overview

Through strategic investments in science and technology, the U.S. Department of Energy (DOE) helps power and secure America's future. DOE's capabilities, and the innovations it supports, help ensure the country's role as a leader in science and technology. In particular, technology transfer supports the maturation and deployment of DOE discoveries, providing ongoing economic, security and environmental benefits for all Americans.

NETL’s Technology Transfer Objectives

• Technology transfer is the process of transferring scientific and technical information, and knowledge and associated technology into widespread use that can improve ongoing economic, security and environmental benefits for all Americans. 

• NETL’s technology transfer objectives are to ensure the fullest use of the fruits of federal investment in research and development and supports Department of Energy's mission of ensuring America's security and prosperity by addressing its energy and environmental through transformative science and technology solutions.  NETL is committed to meeting its technology transfer objectives and to promoting the Department of Energy's efforts to make technology transfer more effective, thereby enhancing the impact of the science and technology discoveries made in NETL Facilities 

Innovative Solutions Development Process

CONTEXT:  Research, Design and Algorithm (RD&A)

Focus U.S. Government Departments: DOD + DOE + CBO

The U.S. Government, particularly the Department of Defense (DoD) and the Department of Energy (DoE), are actively engaged in developing and deploying innovative solutions. 

• • Their processes often leverage Research, Design, and Algorithm (RD&A) efforts to address National Security Challenges, Energy Independence, and Economic Growth. 

Overview: DoD, DoE, and CBO

Department of Defense (DoD)

• Focus: Enhancing warfighting capabilities, adopting commercial and dual-use technologies, and accelerating the fielding of innovative solutions.

• RD&A Role: DoD agencies like the Defense Advanced Research Projects Agency (DARPA) focus on High-Risk, High-Reward Research (HRHR) leading to transformational change, not just incremental advances. 

  • This includes investments in areas like Artificial Intelligence (AI) and Data Acceleration.

• Key Initiatives and Mechanisms:

  • Defense Innovation Unit (DIU): Accelerates the adoption of leading commercial technology into the military.

  • Rapid Defense Experimentation Reserve (RDER): Expands multi-DOD component experimentation to accelerate new capabilities.

  • Middle Tier of Acquisition (MTA): Rapidly prototypes and fields new systems, bridging the gap between research and development and full-scale production.

  • Software Acquisition Pathway (SWP): Facilitates rapid and iterative delivery of software capabilities.

  • Accelerate the Procurement and Fielding of Innovative Technologies (APFIT) program: Expedites the transition of technologies from development into production and accelerates their fielding.

  • Small Business Innovation Research (SBIR) and Small Business Technology Transfer (STTR) programs: Fund small businesses and partner with research institutions to stimulate technological innovation relevant to defense needs.

• Challenges: Overcoming bureaucratic and cultural barriers, efficiently transitioning technologies from research to field deployment, and establishing effective evaluation plans for programs like the Software pilot.

• Relevant links:

  • DOD Innovates: https://www.defense.gov/Spotlights/DOD-Innovates/

  • Defense Innovation Unit: https://www.diu.mil/

  • Defense SBIR/STTR: https://www.defensesbirsttr.mil/SBIR-STTR/ 

Department of Energy (DoE)

• Focus: Addressing energy, environmental, and nuclear challenges through science and technology solutions.

• RD&A role: Supports research and technology development in its national laboratories.

• Key initiatives and mechanisms: The DoE's Technology Transfer program facilitates the transfer of scientific and technical information from national laboratories. They utilize various Lab Partnering Agreements, including Cooperative Research and Development Agreements (CRADAs). 

  • The DoE also participates in the SBIR/STTR programs to fund small businesses for developing and commercializing energy technologies.

• Challenges: Balancing fairness of opportunity with national security and economic interests, while avoiding inappropriate competition with the private sector.

• Relevant links:

  • Technology Transfer | netl.doe.gov: https://netl.doe.gov/business/tech-transfer

  • LP Technology Transfer | U.S. DOE Office of Science (SC): https://science.osti.gov/lp/Technology-Transfer

  • Technology Transfer Overview - Department of Energy: https://www.energy.gov/gc/technology-transfer-overview

  • Small Business Innovation Resear... - DOE Office of Science: https://science.osti.gov/sbir 

Congressional Budget Office (CBO)

• Focus: Analyzing the budgetary and broader implications of federal policies, including those related to emerging technologies.

• RD&A role: The CBO does not perform RD&A but evaluates the economic and budgetary impact of technological advancements.

• Key activities: Analyzing research and data to provide objective assessments to Congress, including examining the effects of technologies like AI on the economy, employment, and income distribution.

• Relevant links:

  • Processes | Congressional Budget Office: https://www.cbo.gov/about/processes

  • Artificial Intelligence and Its Potential Effects on the Economy ...: https://www.cbo.gov/publication/60774 

  • DOD Innovation Fact Sheet: media.defense.gov

  • DOE Energy Storage RD&D: Department of Energy (.gov)

  • CBO Science and R&D: Congressional Budget Office (.gov)

  • Federal Data Strategy Practices: Federal Data Strategy (.gov) 

Conclusion

• • The DoD and DoE are key players in U.S. government innovation through RD&A. DoD focuses on national security and warfighting solutions, while DoE addresses energy and environmental challenges. Both agencies use various methods like rapid prototyping, SBIR/STTR programs, and partnerships to advance research and technology transfer. 

  • The CBO provides critical analysis of the economic and budgetary impacts of these technological developments and related policies. Understanding how these organizations function is important for comprehending the U.S. government's innovative solutions process. 

Research, Design, and Algorithm (RD&A)

Note: This AI generated information, as of July 7, 2025, is based on the provided search results and may not encompass all the nuances of each agency's RD&A policies. For the most up-to-date and comprehensive information, refer to the official websites and publications of the respective agencies.

Overview of the Policies and Initiatives

This report provides an overview of the policies and initiatives within several key U.S. government agencies concerning Research, Design, and Algorithm (RD&A), particularly focusing on Artificial Intelligence (AI) and its impact on various government functions. 

Department of Defense (DOD)

• • Focus: DOD's RD&A policies prioritize national security and maintaining a technological advantage for the U.S. military.

  • Key aspects: DOD emphasizes academic research security, requiring risk-based reviews for potential foreign influence. 

    • The department also mandates open access for peer-reviewed publications from DoD-funded research within 12 months, available through the Defense Technical Information Center (DTIC). 

    • Scientific data supporting publications is also required to be publicly accessible. 

    • Additionally, the Defense Advanced Research Projects Agency (DARPA) is researching ways to improve AI's ability to adapt to changing environments. 

Department of Homeland Security (DHS)

• Focus: DHS's RD&A, particularly in AI, is driven by its homeland security mission areas.

• Key aspects: DHS emphasizes responsible AI use, incorporating principles of privacy and civil liberties. 

• The DHS Directive 139-08 outlines commitments to avoid bias and require human oversight in critical decisions. Transparency in data use and data-driven design are also priorities. 

• DHS leads efforts to secure critical infrastructure against AI threats and requires publications and data from federally funded projects to be publicly available. 

Department of Energy (DOE)

• Focus: DOE's RD&A policies relate to energy and innovation, impacting both unclassified and classified research.

• Key aspects: DOE is required to maintain a publicly accessible database of unclassified R&D projects. 

• The department mandates Data Management Plans (DMPs) for research, emphasizing protection of confidentiality, privacy, security, and intellectual property. 

• DOE-funded researchers must make their articles openly available within 12 months of publication. Financial disclosures and ethics training may also be required. 

Congressional Budget Office (CBO)

• Focus: CBO's primary role in RD&A is through its analysis of federal policies, including those related to AI and technology.

• Key aspects: CBO uses analytical tools to assess the economic and budgetary impact of policies involving technology. While not directly involved in RD&A development, CBO analyzes the budgetary implications of legislation that may involve AI. 

• CBO's analysis often highlights potential concerns, such as algorithmic bias. 

Additional Considerations

• Addressing Algorithmic Bias: The use of algorithms in government raises concerns about bias and discrimination, with policy discussions focusing on ensuring fair outcomes and the potential need for impact assessments.

• Human Oversight and Accountability: Policies often require human oversight of algorithms in government decision-making to mitigate potential harms, though research suggests this may not always be effective in addressing underlying issues.

• Open Access Mandate: A significant overarching policy requires open access to publications and data from federally funded research, typically within 12 months of publication. This applies to agencies like DOD, DHS, and DOE, ensuring public access to research findings and supporting data. 

Important Source URLs

Federal Technology Transfer Policies

• • DHS AI Use and Acquisition Guide
  • NASA INDUSTRIAL CONTROL SYSTEM
  • DOD SECURITY REQUIREMENTS GUIDE
  • Carbon Management
  • Point Source Carbon Capture
  • Carbon Dioxide Removal
  • Carbon Dioxide Conversion
  • Carbon Transport & Storage
  • Hydrogen with Carbon Management
  • Resource Sustainability
  • Methane Mitigation Technologies
  • Minerals Sustainability
  • Natural Gas Decarbonization and Hydrogen Technologies
  • Advanced Remediation Technologies
  • Energy Asset Transformation
  • Energy Research Data Access 
  • Core Competencies
  • Computational Science and Engineering
  • Energy Conversion Engineering
  • Geological and Environmental Systems
  • Materials Engineering and Manufacturing
  • Strategic Systems Analysis and Engineering
  • Program Execution and Integration
  • Featured Infrastructure
  • Direct Air Capture Center
  • Hydrogen Research & Development
  • METALLIC
  • Key Lab Initiatives
  • Advanced Alloys Signature Center (AASC)
  • Science-based Artificial Intelligence and Machine Learning Institute (SAMI)
  • Center for Microwave Chemistry (CMC)
  • Center for Sustainable Fuels and Chemicals (CSFC)
  • Energy Technology Development
  • Office of Energy Efficiency and Renewable Energy
  • Battery Workforce Initiative
  • Cybersecurity, Energy Security, and Emergency Response
  • Office of Electricity
  • University Training & Research
  • Historically Black Colleges and Universities and Minority Serving Institutions Program
  • University Carbon Research Program
  • Methane Emissions Reduction Program (MERP)