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Technology Transfer: Clearer Priorities and Greater Use of Innovative Approaches Could Increase the Effectiveness of Technology Transfer at Department of Energy Laboratories

GAO-09-548 Published: Jun 16, 2009. Publicly Released: Jun 16, 2009.
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Highlights

The Department of Energy (DOE) spends billions of dollars each year at its national laboratories on advanced science, energy, and other research. To maximize the public's investment and to foster economic growth, federal laws and policies have encouraged the transfer of federally developed technologies to private firms, universities, and others to use or commercialize. The American Recovery and Reinvestment Act of 2009 further emphasized the role of such technologies for addressing the nation's energy, economic, and other challenges. Congress requested GAO to examine (1) the nature and extent of technology transfer at DOE's laboratories; (2) the extent to which DOE can measure the effectiveness of its technology transfer efforts; and (3) factors affecting, and approaches for improving, DOE's efforts. GAO analyzed documents and data and spoke with officials at DOE headquarters and all 17 DOE national laboratories.

Recommendations

Recommendations for Executive Action

Agency Affected Recommendation Status
Department of Energy To better measure, and improve, the effectiveness of DOE's technology transfer efforts, the Secretary of Energy, working in concert with laboratory directors, should explicitly articulate departmentwide priorities for DOE's technology transfer efforts.
Closed – Implemented
In April 2011, the Secretary of Energy issued a secretarial policy statement on technology transfer, in which he articulated departmental priorities for transferring laboratories' technologies to ensure the "fullest use" of laboratories' federal research and development (R&D) investments through technology transfer.
Department of Energy To better measure, and improve, the effectiveness of DOE's technology transfer efforts, the Secretary of Energy, working in concert with laboratory directors, should develop clear goals, objectives, and performance measures in line with these priorities.
Closed – Implemented
In April 2011, the Secretary of Energy issued a secretarial policy statement on technology transfer, in which he articulated departmental objectives for technology transfer at DOE facilities. These included ensuring "robust" technology transfer activities and research partnerships with industry resulting in commercialization; direct involvement from innovators at DOE facilities; and fairness of opportunity; among others. In his statement, he also articulated the need for measuring performance outcomes in line with the goal of ensuring widespread deployment of DOE technologies, rather than using measures that focus on financial returns, such as royalty income, from some of DOE's technology partnerships.
Department of Energy To better measure, and improve, the effectiveness of DOE's technology transfer efforts, the Secretary of Energy, working in concert with laboratory directors, should clarify which activities qualify as technology transfer, including whether research sponsored by other federal agencies qualifies.
Closed – Implemented
In April 2011, the Secretary of Energy issued a secretarial policy statement on technology transfer, in which he defined technology transfer as the process by which knowledge, intellectual property, or capabilities developed at DOE facilities are transferred to "other entities, including private industry, academia, and state or local governments," in the form of Cooperative Research and Development Agreements (CRADAs) or Work-For-Others agreements, among other forms. As such, the Secretary clarified the definition for technology transfer to implicity exclude work for other federal agencies. Furthermore, DOE's technology transfer public Website only mentions work for nonfederal entities as a technology transfer opportunity.
Department of Energy To better measure, and improve, the effectiveness of DOE's technology transfer efforts, the Secretary of Energy, working in concert with laboratory directors, should collect reliable performance data and further consider ways to use the data to monitor the progress and effectiveness of technology transfer efforts.
Closed – Implemented
In response to this recommendation, in October 2009, DOE's Technology Transfer Coordinator released a reporting and appraisal guide for technology transfer activities. The new guide includes definitions to clarify laboratories' reporting on various types of technology transfer activities and associated funding, including Work for Others and Cooperative Research and Development Agreements (CRADAs).
Department of Energy To better measure, and improve, the effectiveness of DOE's technology transfer efforts, the Secretary of Energy, working in concert with laboratory directors, should ensure sufficient laboratory access to both technical and business development expertise.
Closed – Implemented
In May 2011, DOE began its "America's Next Top Energy Innovator" program to promote new startup companies, in line with the President's "Startup America Initiative." The program allows entrepreneurs to license DOE laboratory technologies at a far reduced cost and provides for optional consolations with venture capitalists to help commercialize the technologies.
Department of Energy To better measure, and improve, the effectiveness of DOE's technology transfer efforts, the Secretary of Energy, working in concert with laboratory directors, should develop a systematic approach to identify technologies with commercial promise.
Closed – Implemented
In July 2011, DOE's Technology Transfer Coordinator issued a guidance memorandum on ensuring fairness of opportunity for licensing DOE laboratories' technologies and partnering for technology transfer. The guidance reiterated the department's policy of providing widespread notice of such opportunities to help ensure fairness. In addition, the memorandum provided guidelines for ensuring widespread notice including by posting technology licensing and partnership opportunities on laboratories' technology transfer websites, the Federal Business Opportunities Website, and press releases, among other places, and by attending trade, industry, and technology transfer meetings.
Department of Energy To better measure, and improve, the effectiveness of DOE's technology transfer efforts, the Secretary of Energy, working in concert with laboratory directors, should develop a comprehensive means of sharing information across laboratories and with private entities, such as a Web-based clearinghouse for technologies ready for further development or commercialization.
Closed – Implemented
Since our report, DOE has revamped its Technology Transfer Program Website to include links to the technology transfer Websites for DOE's laboratories. Also, DOE's Office of Energy Efficiency and Renewable Energy created an online "Energy Innovation Portal" with information on technology licensing opportunities related energy efficiency and renewable energy at all DOE labs.

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Data collectionData integrityEconomic analysisEmployeesEnergy facilitiesFederal regulationsInformation technologyIntellectual propertyLaboratoriesNeeds assessmentResearch and developmentResearch and development facilitiesResearch programsStrategic planningTechnology researchTechnology transferLicensesPolicies and proceduresProgram goals or objectives