1. Support coordination between the industrial, academic, and Government R&D (research and development) activities of the United States by cooperating in the sharing of plans for future research efforts and the sharing of facilities as appropriate.

  2. Support cooperative efforts to stimulate industrial innovation, especially in small businesses.

  3. Support and encourage the exchange of scientific and technical personnel among academic, industry, and the DOD laboratories.

  4. Support the domestic technology transfer process as an integral part of the R&D effort and incorporate domestic technology transfer objectives into the mission of each appropriate R&D activity.

  5. Encourage domestic technology transfer in the work place through its recognition in position descriptions, in promotion policies, in monetary awards, and in performance evaluations for appropriate scientific and engineering personnel.

  6. Ensure that R&D activities have at least one full-time equivalent position responsible for performing the functions of an Office of Research and Technology Applications (ORTA) at any activity having over 200 full-time equivalent professional scientific, engineering and related technical personnel. A full-time position for any activity with less that 200 professional scientific and engineering personnel is optional.

  7. Ensure that domestic technology transfer functions do not compete substantially with similar services available in the private sector.

  8. Ensure that the Domestic Technology Transfer Program does not conflict with export control regulations, policies governing militarily critical technology, policy requirements of recouping DOD nonrecurring costs, or any of the responsibilities and procedures for technology transfer control in DOD Directives, Instructions, and publications . . . .

  9. Identify and encourage persons to act as conduits between and among Federal laboratories, universities, and the private sector for the transfer of technology developed from federally funded R&D efforts.

  10. Ensure that State and local governments, universities and the private sector are provided with information on the technology, expertise, and facilities available in Federal laboratories.

Source: Department of Defense (1988).

To ensure that these 12 policies are carried out and to comply with Public Law 96-480, DOD 3200.12-R-4 required that 0.5 percent of the total research and development (R&D) budget for each DOD budget component be used to promote domestic technology transfer (DOD, 1988). DOD 3200.12-R-4 also stated that a waiver could be obtained from Congress at the time of budget submission if alternative methods of conducting technology transfer were provided. Subsequent changes to this provision were affected by enactment of Public Law 101-189, which substituted language referring to any specific level of funding expressed as a percentage of the R&D budget with “each Federal agency which



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