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United States General Accounting Omice
LABORATORY-LEVEL TECHNOLOGY
TRANSFER QUESTIONNAIRE

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NOVEMBER, 1989

SECTION 1: INFORMATION ON LABORATORY RESEARCH AND TECHNOLOGY TRANSFER

ACTIVITIES

NOTE: In section 1. questions 5, 26, 27 & 28 were somewhat modified and questions 36, 37, & 38 were added after

mall-out in August of the advance copy questionnalre.

Please indicate the name, title, unlt or office, and telephone number of the person(s) completing this section:

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PURPOSE

For the present purposes, your research organization has been placed under a broadly defined category labeled "Laboratory," and we have determined that yours is an appropriate organization to receive this questionnaire. Our immediate objective is to gather information about the implementation and impact at federal laboratories of the Stevenson-Wydler Technology Innovation Act of 1980 and the Federal Technology Transfer Act of 1986. However, it should be noted that in the interest of gaining a better understanding of the process of technology transfer we include in the questionnaire population some laboratories that are not covered explicitly under any or all of the provisions of the Acts referred to above. We primarily are gathering FY 1989 data during the first year of implementation. In each of the next several years, your organization should expect to receive a similar questionnaire to update the account of its technological transfer activities.

We ask that each section be completed by the staff member with the greatest pertinent knowledge. In some instances, it may be necessary to involve more than one person or office in answering questions. For your convenience cach section of the questionnaire can be separated from the package. To increase the reliability of the responses to each of the five sections, key terms have been defined either in the "definitions segment" or, in some cases, within the questionnaire. These definitions should be followed when answering questions.

Many questions can be answered with hard data. However, some answers will be based necessarily on rough estimates. You should not be overly concemed about generating such estimates. Please use your best professional judgmeat in extrapolating from existing data. For some questions, we ask for both FY 1986 and FY 1989 data in order to make a before-and-after comparison of changes since the Federal Technology Transfer Ad of 1986.

INSTRUCTIONS

The questionnaire has been divided into five sections. They are:

Section 1: Information on Research and Technology

Transfer Activities

When all sections are completed, the laboratory director, or designated staff member should assemble them as a single package. Return the package in the postpald cnvelope before December 5, 1989 to Francine E. Jefferson, GAO. If you have any questions, please call Dr. Jefferson at (202) 275-8822 (FTS 275-8822).

Thank you for your cooperation.

Section 2: Information on Office of Research and

Technology Applications (ORTA)

Characteristics and Activities
Section 3: Information on Patents, Licenses and

Royalties
Section 4: Information on Federal Laboratory

Consortium Activities
Section 5: Information on Laboratory Staff, Personnel

Exchanges and Training

DEFINITIONS

AGENCY: The following cabinet-level departments, independent agencies, or dependent agencies within cabinet departments are considered "agencies" for this quesdonnaire:

--Department of the Air Force

-- Department of the Army
--Department of the Navy
-Within Department of the Agriculture

Agriculture Research Service, Forest Service
--Within Department of Commerce
NIST, NOAA, NTIA

FEDERAL TECHNOLOGY TRANSFER ACT OF 1986 (P.L. 99-502): A congressional amendment to the Stevenson-Wydler Technology Innovation Act of 1980 (P.L. 96-480). Major facets of PL. 99-502 include directing heads of all federal agencies to authorize their government-owned and government-operated laboratories to enter into cooperative R&D agreements with universities and the private sector, formally chantering the Federal Laboratory Consortium for Technology Transfer as a national mechanism to promote and strengthen technology transfer, mmdating that agencies pay at least 15% of the royalties from inventions made at laboratories to the inventor(s); allowing agencies to assign title to inventions (with restrictions) to current or former government-empioyee inventors; and allowing agencies to grant, in advance, to collaborating parties patent licenses or assignments on inventions made under cooperative R&D agreements (CRDAs).

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LABORATORY CONTINUED - Veteran's Affairs hospitals with more than $1 million

in funding for medical research

-- EPA laboratories, centers, or offices designated by the

EPA Office of Research and Development - Geological Survey units within the Mapping. Water

Resources and Geological Divisions -- The Research and Laboratory Services Division within

the Bureau of Reclamation - The Denver Service Center within the Bureau of Land

Management

STEVENSON-WYDLER TECHNOLOGY INNOVATION ACT OF 1980 (P.L. %-480): The goals of the Stevenson-Wydler Technology Innovation Act of 1980 were : (1) to promote increased and improved domestic technology development; (2) to stimulate improved utilization of federally funded technology developments by State and local governments and the private sector, and (3) to provide recognition for outstanding contributions in technology. Also, it formally mandated the establishment of Offices of Research and Technology Applications (ORTAS) within major Federal Laboratories. The act was amended by the Federal Technology Transfer Act of 1986 P.L. 99-502). (DEFINITIONS CONTINUED)

-- AD 9 Bureau of Mines Research Centers

-- Pish and Wildlife Service reserach centers designated

by the agency

- The FAA Technology Center, Tumner-Fairbank

Research Center, and Coast Guard Research Development Center

- The Institute for Telecommunication Sciences

- All laboratories or institutes within NIST designated by

NIST

- NOAA laboratories with 50 or more full-time

equivalent (FTE) staff and the National Weather Service Laboratories

ORTA: Offices of Research and Technology Applications (ORTAS) are organizational units created under PL. 96-480. The primary function of these offices is to disseminate information on foderally owned or originated products, processes, and services having potential for transfer, and to waist in linking the research and development resources of the Federal laboratories, and the Federal Government as a whole, wo State and local government and to the private sector.

TECHNOLOGY TRANSFER: The Federal Technology Transfer Act of 1986 (P.L. 99-502) amended the Stevenson-Wydler Technology Innovation Act of 1980 (PL. 96-480) in order to ensure the full use of the results of the Federal investment in research and development. The Aa promotes technological transfer by authorizing government-operated laboratories to enter into cooperative research agreements and by establishing a Federal Laboratory Consortium for Technology Transfer. "Technology Transfer" is defined here as the process whereby new knowledge and new technologies generated at Federal laboratories are further developed and commercially exploited by the domestic private sector, as well as being applied where appropriate by State and local governments.

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