Guide to Accelerating New Technology Adoption through Directed Technology Transfer (2014)

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41 Tier 1: Foundational/ Organizational Components • Address Societal and Legal Issues • Have an Effective Champion • Engage Decision Makers • Develop a T2 Plan • Identify, Inform, and Engage Stakeholders • Identify and Secure Resources Developing a T2 plan is a foundational component of guided T2. Before one moves too far or too quickly into advancing toward deployment, some early planning is needed. Developing a T2 plan serves a number of purposes: • It is an opportunity to assess the current state of the market which the product will be entering • It is a means to identify, anticipate, and ultimately determine a path around potential barriers • It is a platform for determining where focus and priority are needed and in which areas less effort needs to be expended • Finally, it is a basis for assessing the resources that will be needed to conduct T2 efforts The form, timing, formality, and even name of such planning efforts vary substantially among organizations. These variations may reflect an appropriate alignment with an orga- nization’s business and budgeting practices or the structure and staffing of the organization. As with many aspects of a T2 effort, there is not a single “best” model, but instead, something that can be learned from multiple approaches. The following provides a sense of some of these variations. Planning During Research and Development In some organizations, the development of an implementation plan occurs while a project is still in the research and development phase of the Innovation Adoption Process. Part of the logic of developing a plan at this point is that it can also be used as the basis for determining whether the product should move forward to deployment (i.e., determining its feasibility for deployment). In this way, the implementation plan can be as much an evaluation and decision tool as a plan for addressing issues in the guided T2 phase of the Innovation Adoption Process. Some organizations have found that this approach can be very effective, particularly in research C H A P T E R 5 Develop a T2 Plan 1. Have the desired T2 outcomes been defined? If yes, proceed to the next question. If no or unsure, proceed to the component discussion. 2. Has the plan developer been identified? If yes, proceed to the next question If no or unsure, proceed to the component discussion. 3. Have other parties been identified for involvement? If yes, proceed to the next component. If no, proceed to component discussion.

42 Guide to Accelerating New Technology Adoption through Directed Technology Transfer efforts where stakeholders and potential users are involved in the research and evaluation. The primary concern in taking this approach is that it may be difficult for the people who are conducting the research and testing to objectively evaluate the market potential of the product. Planning during the research and development phase could be done by members of the agency’s technical advisory committee, which often includes end users of the technology. Planning for Full Deployment Another approach is to plan the pathway to full deployment. In such cases, the plan’s emphasis and milestones are defined around deployment events (i.e., considering both the guided T2 and deployment phases of the Innovation Adoption Process). This type of planning not only provides an evaluation of the actions needed to advance the product but can also be used to set targets for market penetration. As an example, such a plan may be built around a target of achieving deployment in 10 states in the first year, and 25 states by the end of the second year. Such a planning effort not only needs to consider the resources necessary to conduct outreach, training, demonstration, and other T2 activities, but also needs to consider the resources needed to deploy the innovation. In cases where deployment may require the acquisition of new equipment or products, this plan would need to be closely coordinated with the capital budgeting process to ensure that the resources for implementation are avail- able when they are needed. Many state highway agencies employ this level of planning when implementing winter maintenance technologies requiring the purchase of new equipment and tools. Planning for a Deployment Decision A third approach lies between the two previous examples. Such an approach focuses primarily on preparing for the guided T2 components outlined herein up to the point where a deployment decision is made. Once again, the actual format and focus of this T2 plan (sometimes referred to as a marketing plan) vary from organization to organization, but they are basically used to set the stage for the upcoming guided T2 effort and activities (i.e., the other nine components in the guided T2 phase of the Innovation Adoption Process). The T2 plan may be very similar to a “triage process,” in which the most critical needs are quickly identified and assessed in order to ensure that resources and energy are directed to where they can do the most good. Considerations for the T2 Plan What Actions Should Be Considered? Assess the desired outcomes of the plan • Does the organization already have other tools, processes, or plans that provide some or all of the functionality of a T2 plan? • Is there a clear process in the organization for determining what technologies should be considered for further T2 efforts (e.g., are they feasible?) • How much information do the agency leaders need to make decisions about resource com- mitments of this size? • How do agency leaders typically want to be presented with that information? Determine planning responsibility • Who has the ability to coordinate across organizations and stakeholder groups?

Develop a T2 Plan 43 • What is the knowledge base of the stakeholder groups? – What motivates them? – How are they best informed and engaged? – What barriers are likely to be faced? • Who has an understanding of the T2 effort? – Experience in planning other T2 efforts? – Knowledge of the components of guided T2? • Who has the appropriate organizational awareness? – An understanding of the organization’s culture and workings? – Where is the information needed to develop the plan? • Who has an understanding of the product? – Its capabilities? – Its benefits? – Where it can have the greatest impact? – Where the “bugs” may still be? The NIH T2 Plan for Accelerating Innovation and Commercialization A continuing question for the National Institutes of Health (NIH) has been, “Why can’t we get innovations from the research labs to the public more rapidly with the high standard of safety and quality that the NIH requires?” This question took on more significance as several initiatives were implemented seeking fed- eral agencies to streamline T2 processes and measure goals. The NIH turned to comprehensive planning to make significant progress in this regard. The time- frame for the first NIH Technology Transfer Plan is 2013 to 2018. Objectives for the plan are focused on accelerating T2 and the activities that enable commercial- ization of research results. The plan addresses solutions to increase the number and pace of effective T2 and commercialization, and it highlights critical partner- ships with non-federal entities including private firms, research organizations, and nonprofit entities. Importantly, the NIH determined it needed practical guid- ance to improve returns from R&D investments, including new products, industry partnerships, and invention disclosures. However, the NIH also understood the importance of streamlining processes towards effective T2. The NIH planning will improve processes such as creating and implementing an automated work flow system, initiating reviews to reduce time to license technologies and to establish agreements and grant awards, and simplifying model agreements. This stream- lining is significant so NIH T2 professionals can dedicate more time to partnership activities. As the plan is accomplished, the NIH expects to accelerate formation of partnerships without sacrificing quality or safety and to increase the number of partnerships working in its institutes and centers. The plan is designed to be a win-win for NIH management as well as the laboratory; it describes intermediate to long-term investments in human capital development and information tech- nology, e.g., expanded skill sets to better leverage limited T2 resources, as well as setting out ambitious and achievable performance goals. The NIH anticipates that as a result of the plan, it will have reliable guidance to reshape its response to innovations, increase the effectiveness of the component institutes, and create efficiencies organization-wide. [Available online] http://www.ott.nih.gov/sites/default/files/NIH-TT-Plan-2013.pdf

44 Guide to Accelerating New Technology Adoption through Directed Technology Transfer (Note: Depending on the timing of the guided T2 effort, a champion may or may not already be identified for this innovation [see the section on champions]. If a champion has been identi- fied, he or she should be fully engaged in reviewing and commenting on the plan. If a champion has not yet been identified, the plan may be a way to identify and build interest among potential candidates.) Determine planning involvement • External stakeholders may be excluded if the T2 plan is an internal document • The planner may solicit input from – Researchers – Program office leads – Representatives of stakeholder groups What Are Some of the Challenges to Developing a T2 Plan? Determining process versus substance The greatest danger of T2 planning is what some may consider its greatest success. Having an effective T2 planning process is an excellent goal, but if the organization’s emphasis and objec- tives are primarily placed on that process and not on the substance of the planning effort, its value may never be realized. Remember: • The plan is a tool toward deployment • The plan is not the final product Lack of connectedness • One of the dangers of any planning effort is that, once completed, the plan will not be used. • This is not because the plan is ineffective, but because it is not clear how the plan is connected to the organization’s other business processes. What Are Some of the Tools or Strategies to Overcome the Challenges to Developing a T2 Plan? When choosing a planner, consider those with a vested interest in the success of the innovation • The research team that developed the product • The program staff that want to operationalize it • The field staff and stakeholders that will need to put it in place To improve the likelihood of success of a T2 plan: • Look beyond the T2 plan itself at the overall guided T2 effort • Plan within the organization’s strategic and business goals