AFMSA/SG5M: Organization, Structure and Execution
Of the Office of Research and Technical Applications Research Paper
Sherrilynne Cherry
355 Pueblo Pintado, Helotes, TX 78023 cherry20001@msn.com 210 831-9162
Leadership and Organizational Behavior
MGMT 591
Dr. Helen Kueker
December 16, 2012

TCO A. Given that people make the difference in how well organizations perform, assess how an understanding of organizational behavior concepts and theories is a useful knowledge base for career success and for improving an organization's effectiveness.
TCO E. Given an understanding of the communication process and given specific incidents of communication problems at the dyad, group, or organization level, diagnose the problem and develop a strategy for improving organizational performance through improvement of communication processes.
TCO H. Given a requirement of organizational change, apply a framework for managing change, diagnose the forces for and against change in a situation, and recommend strategies for dealing with resistance to change.

This project will take a look at the Office of Research and Technology Applications involvement in the AFMS Technology Transfer process. The paper will stress need and the value to ensure that the Air Force’s Intellectual Property is protected. The AFMS ORTA provides the oversight for the technical transfer mechanisms while also ensuring the further development and collaboration of Air Force Inventions are legally executed.
Air Force Office of Research and Technology Applications (ORTA) is a directorate under the Air Force Medical Support Agency (AFMSA), Acquisitions and Programs (SG5M). I am the Technology Transfer Team Chief, but will be expected to become the ORTA lead within a year. AFMSA Office of Research and Technology Applications (ORTA) is the focal point for the Air Force Medical Support Agency’s (AFMSA) Technology Transfer Authority (TTA).
The ORTA oversees the exchange of knowledge, technologies, facilities, equipment, personnel, methods, technical information and or intellectual property. This scope of work for this ORTA office is Clinical and Transitional Research.
The office has been performing the work of the ORTA for three years, but formally became an organization January 12, 2012.
With the economy in a unsure state and pending budget cuts to the Department of Defense the Air Force Research, Development, Test and Evaluation (RDT&E) budget for applied research and advanced technology development recipient research agencies are encouraged by leadership to develop a efficient and effective strategy and methods of maximizing the investments made towards federal laboratory spending. There is been a widespread perception in industry and government that the nation is not realizing an adequate return from substantial investment in federal in the federal laboratory system (Carr: 1992). The increasing pressure to spend dollars more effectively should be at the forefront of the corporate strategy for all federal laboratories Technology Transfer is a way to achieve this strategy, so much that technology transfer can be the vanguard for the Air Force Medical Support Agency to maximize their research funding. What is Technology Transfer? Merriam-Webster dictionary defines the term “Technology” as “the tractable application of knowledge in a particular area” and as “a capability given by practical application of knowledge”. Merriam-Webster also defines “Transfer” as “to convey from one person place or situation to another” and also as “conveyance of the right title or interest in real or personal property from one person to another” (Merriam: 1999).
There are many ways technology transfer can be described but since this research is based on the Air Force Technology Transfer, the meaning use within this project have been adopted from the Air Force Technology Transfer Program Offices’ definition, which states technology transfer is “The process by which knowledge, facilities, or capabilities developed in one place or for one purpose are transferred and utilized in another place for another purpose to fulfill actual potential public of domestic needs (Air Force Technology Handbook: 2005).
For over 30 years the United Sates Air Forces’ research laboratories and hundreds of scientists and engineers whose research and development activities contribute to the advancement of science and technology for not the DOD but for civilians of the world. The opportunities for successful technology transfer developed by these research activities are mark of distinction. This project examines the Air Force Medical Support (AFMS) Air Force Office of Research and Technology Applications (ORTA) involvement with technology transfer, the challenges they face, the importance of the ORTA position and what best practices ORTA’s use to facilitate technology transfer. Air Force Instructions and Directives are detailed to provide a perspective on how the AFMS ORTA will balance mission requirements while abiding by United Law. Legislation requires federal laboratories to transfer developed technologies to the commercial sector. The Air Force has several organizations that have found a measure of success with the technology transfer more often than other Air Force Organizations.
Historically technology transfer from the Air Force has been largely reactive however over the last five years with the involvement of partnership intermediaries and more active trend has been indicated. Through informal interviews, weekly meeting discussions and participation at the DOD Technology Transfer Workshop with key personnel from the Air Force Technology Transfer Office, the AFMS Acquisition and Research Office, the AFMS Technology Transfer Team I was able to gather enough information to analyze and to begin to provide recommendations on the “way ahead” forward as the new AFMS ORTA Team Chief.
A provision is that technology transfer activities are not limited to just being from the Air Force to another organization. Technology transfer agreements can and have been used by the Air Force Medical Support to bring in indispensable resources from private industry that contributes significantly to Air Force Medical Support Agency “mission “success .
Technology transfers should not be thought of as being the same as Air Force Technology Transition though they are similar. Technology Transition focuses on transitioning technology from one government agency to another and delivering the product or process to the warfighter.
Technology Transfer is an essential method to facilitate Technology Transition. Technology Transfer is its simplest form is transferring government laboratory developed knowledge and technology to private industry and the commercial market.
In 1980, Technology Transfer Legislature began with the Bayh-Dole Act and the Stevenson-Wydler Innovation Act. It was the concept of these two acts, laid out the foundation to facilitate government Technology Transfer to the civilian sector. It is also important to note these two acts mandated the pursuit of technology transfer activities and the establishment of the Office of Research and Technology Applications (ORTA) at all major federal laboratories (US Congress Section 11: 1980).
Research indicates that some of the Air Force organizations with the help of their ORTA’s assistance have been successful at employing the methods that have boosted the advancement of Air Force inventions be marketed to commercialization. By improving the Air Force technology transparent processes it will directly result in benefiting the Air Force economy and society as a whole.
In preparation for this project the research is focused on the facilitation of technology transfer in the Air Force Medical Support Agency doing this research a weekly informal discussions focused on the processes and communications and the role of the Air Force ORTA. The Air Force ORTA’s is the front-line liaison that identifies technology transfer opportunities within the Air Force. Air Force ORTA’s are empowered to ensure organizational compliance with legislative law and Air Force Instruction and Air Force ORTA’s role is to assist the commander or director and executing technology transfer education and training program all personnel who were involved in any phase of technology transfer either directly or indirectly (AFI 61 – 301:2001). This education and training program is a complementary scope of research, towards which will be addressed. Although the scope of the project was limited to the Air Force ORTA it will still provide insight to the DOD Technology Transfer Processes and will identify some “Best Practices” from other DOD ORTA’s.
In 2008 the Air Force Medical Support Agency reorganized and as a result the Technology Transfer mission was delegated to the Research and Acquisitions Division (SG5M). Although the “mission” was passed to the SG5M to execute there were no resources provided to execute the tasks. The Air Force Technology Transfer Office served as the focal point for the technology transfer activities within the Air Force Medical Support Agency until 2010 when reorganization occurred in the Air Force Medical Support Agency and as a result the SG5M was allowed to hire contract resources to execute the technology transfer activities within AFMS.
During this time the discovery of many possible unprotected intellectual properties was not being accounted for and the AFMS was losing possible opportunities at earning revenue. It seemed that much of the research was not being developed for licensing for commercialization. Also it was discovered that many of the clinicians and researchers were educated on technology transfer processes.
After many meetings and briefings in January 2012 the Air Force Surgeon General formally established the Air Force Medical Office of Research and Technology Applications within the AFMSA/SG5M Research and Acquisitions Division and appointed Dr. Sirie Blankenship as the AFMS Technology Transfer Program Manager. (Blankenship: 2012). There are three problems that must be resolved as the ORTA is now fully staffed as of October 15, 2012. The three objectives are as follows:
1. The first objective is to examine the role of the Air Force ORTA and develop the role AFMS ORTA begin build a strategy of how the new team chief will execute the technology transfer within AFMS.
2. The Second problem how and to whom will the technology transfers process and mechanism be communicated to the AFMS.
3. The last problem is to discern how the AFMS will receive it return of investment on research that proceeds through the technology transfer successfully to be commercialized. And to define the disbursement categories and how the disbarments from the revenues earned from licensing or patent agreement will be paid.
The primary information for the literature review is derived from the Library of Congress, Federal Laboratory Consortium Publications, the Department of Defense, Air Force Instructions, Journals and Periodicals, Theses, Dissertations and Reports. In the long run the literature review provides a foundation in understanding technology transfer and provides information enhancing knowledge on the subject matter of technology transfer and its value.
Federal Laboratories and Universities have goals to have the “big pay-off” for their patents rights or royalties for product or service based invention originating from their research.
In 2005, Stanford University earned $336 million on the sale of Google stock it owned because it authorized the company's founders to use technology on which university held patent rights. The Air Force example comes from the Air Force Research Laboratory, in 2005 in collaboration with the Westone Laboratories of Colorado Springs, Colorado, developed an Attenuating Custom Communication Earpiece System (ACCES) that allows clear voice communication while providing hearing protection for ground and aircrews in high noise environments(AFRL: 2005). This cutting-edge technology flew on Spaceship One, the first privately name in spaceship to reach 328, 491 feet.
Technology transfer is about getting inventions out of the research lab into products where the benefit of the invention accrues to the public good. In that sense, that measures the best measures of success for tech transfer should be related to how much public good. Why such emphases on federal technology transfer? First and foremost it is United States Law to undertake technology transfer as outlined in Public Law 96 – 480 and Public Law 99-502 502. In the Air Force it is an official order where compliance is mandatory and is stated in AFI 61 – 3 and AFI 61 – 301. “Without formal direction, technology transfer activities are secondary to endeavors that support the agency's mission” (Olsen: 1987). However, formal direction should not be the only motivation to pursue technology transfer activities. The resource leveraging aspect of technology transfer is clearly a benefit to both the military and the commercial sector. The goal for technology transfer should be to combine commercial sector funds, manpower and expertise with those of the government so that the outcome of the technology innovation is a success. With sharing the cost the potential loss large costs between the government and commercial sector parties five use reason benefits are gained by both sides with the transfer with the technology transfer collaboration that will allow the government to reduce its costs and the time that it takes market inventions to be licensed or patented for use in the civilian market. These Governmental benefits were recognized as one of the key lessons learned in the documented “2004 Report to Congress on the activities of the DOD Office of Technology Transition “which affirms that, “Technology transfers should be used strategically versus tactically in the organization's overall investment strategy. We need to integrate technology transfer activities into the all of the business and laboratory processes” (OSD: 2004). This lesson learned is now rapidly transferring over to be incorporated into various Air Force organizations’ investment strategies. The technology transfer legislation was established in anticipation of maximize the use of federal laboratories and scientists and engineers. It is the continued responsibility of the Federal Government to ensure the full use of the results of the national federal investment in research and development. To this and the federal government shall strive to transfer federally owned and originated technology to state and local governments into the private sector (US Congress: 1980).
It is important to review the legislative history and its importance to technology transfer the table below provides a chronological history and description of legislation pertaining to Technology Transfer.
Technology Transfer Legislation (FLC: 2003) Stevenson- Wydler Technology Innovation Act 1980 (P.L. 96-480) | Seminal technology transfer law requires federal laboratories to actively participate in and budget for technology transfer activities. | Bayh-Dole Act of 1980 (P.L. 96-517) | Amended Stevenson – Wydler Technology Innovation Act, focusing on the use of intellectual property ( i.e. patents and licenses) to implement technology transfer by allowing small businesses, universities, and not or profit organizations to obtain title to inventions developed with federal funds. | Small Business Innovation Development Act Of 1982 (P.L. 97-219) | Established SBIR, set aside funds for small business, crested to expand research opportunities for small businesses | Competitive Research Act of 1984 (P.L. 98-462) | Established R&D consortia | Trademark Clarification Act of 1984 (P.L. 98-620) | Amended the Bayh- Dole Act to permit M&O contractors to elect title to inventions in exceptional circumstances and national security- funded technologies | Federal Technology Transfer Act of 1986 (FTTA) (P.L. 99-502) | Authorized CRDAs for Government-owned Government-operated (GOGOs) organizations Established the FLC Provided a preference to small businesses who agree to certain U.S. manufacturing requirements Established technology transfer as a laboratory mission | Executive Order 12591, Facilitating Access to Science and Technology 1987 | Ensured that federal laboratories implement technology transfer | Omnibus Trade and Competitiveness Act of 1988 (P.L. 100-418) | Mandated the establishment of regional university- based Manufacturing Technology Centers for transferring advanced manufacturing techniques to small-and medium-sized firms through development of CRADAs in the United States | Domestic Technology Transfer Program Regulation 1988 DoD 3200.12-R-4 | DoD response to P.L. 99-502 Stipulates responsibilities for heads of DoD Components; Authorizes use of CRADAs Stipulates use of awards and royalties | National Competitiveness Technology Transfer Act (NCTTA) 1989 P.L. 101-189 | Authorized CRADAs for Government-owned Contractor-operated (GOCO) Organizations; Protects trade secret information brought into, or developed under, a CRADA from disclosure under FOIA | Air Force Domestic Technology Transfer Policy Directive 1990 Air force Policy Directive (AFPD) 61-3 | Established Air Force policy for technology transfer; Provides procedures for CRADAs Defines responsibilities of ORTAs | Defense Authorization Act Act for 1993 | Facilitated and encouraged technology transfer to small businesses | Small Business Technology Transfer (STTR) Act | Established the STTR program | National Department of Defense Authorization Act for 1994 (P.L. 103-168) | Included Department of Energy (DOE) weapons production facilities in the definition of a laboratory | National Technology Transfer and Authorization Act for 1995 (P.L. 104-113) | Amended Stevenson-Wydler to make CRADA’s more attractive to federal laboratories/scientists and private industry; also provide funding for FLC | Technology Commercialization Act of 2000 (P.L. 106-404) | Recognized the success of CRAD’s and broadened CRADA licensing authority |

Understanding the Technologies Transfer Mechanisms and the role they play in facilitating technology transfer help the reader to better understand the Air Force's Technology Transfer processes. The Technology Transfer Handbook and the Federal Laboratory Consortium Hand Book provide the types of Technology Transfer Mechanisms and the role they play in Technology Transfer.
The table below highlights the most commonly used to Technology Transfer Mechanisms used by the Air Force ORTA’s in the technology transfer process
Technology Transfer Mechanisms (FLC: 2003) Mechanism | Definition | Small Business Innovation Research (SBIR) | The small business innovation research program funds early-stage R&D at small technology companies. | Small Business Technology Transfer (STTR) | STTR is similar in structure to SBIR but funds cooperative R&D projects involving a small business and a research institution( i.e. university, federally funded R&D center, or nonprofit research intuition). | Independent Research & Development (IR&D) Program | Helps communicate the air forces technology needs to its customers parentheses industry, academia, and government agencies, and encourages industry customers to focus future I R and D efforts on Air Force infrastructure and weapon systems need ( | Cooperative Research and Development Agreement (CRADA) | A CRADA is a legal agreement between a federal laboratory and one or more non-federal parties such as private industry and academia. Both parties may provide and share personal, services, facilities, equipment, or other resources in conducting the R&D. The government may grant the collaborating party patent license is that any invention made in whole or in part by the laboratory under the agreement, retaining a nonexclusive, non-transferable, irrevocable, paid -up license to practice the invention. | Education Partnership Agreement (EPA) | It is a formal agreement between the defense laboratory and educational institution to transfer and or enhance technology applications and provide technology assistance for all levels of education (pre-kindergarten and up) | Patent license agreement (PLA) | The patent owner (Government) permits a third party to make, use, or sell the patented invention in return for some valuable consideration, most commonly a royalty. | Commercial test agreement (CTA’s) | Makes available a prescribed the, the services of any government laboratory, center, or other testing facility for the testing of materials, equipment, models, computer software, and other items. These agreements are available to any individual, partnership, corporation, association, state, local, or tribunal government, or an agency or instrumentality of the of the United States |

Carr
Carr identified three technology transfer models transfer technology:
Legal, Administrative and Marketing (Carr: 1992)
1. Legal model, technology transfer programs are generally run by the organization's legal staff and focus exclusively on patenting inventions.
2. Administrative model, technology transfer programs are created as a part of an administrative or support organization. The federal laboratories began to move towards administrative models following the technology transfer legislation the 1980s. Marketing efforts used by administrative model offices tend to be limited to advertising in publications.
3. In the marketing model, the technology transfer office must accumulate and have on hand a large inventory of technologies to market to industry. The offices actively market technologies available with the objective of finding an appropriate licensee and concluding a licensee agreement expeditiously. The marketing model appears to have the most merit for present day use.
The marketing model demonstrates on how an organization can leverage technology transfer mechanisms to augment research and development dollars to achieve mission requirements more rapidly.
Jones
Captain Harvey Jones, discuss technology transfer success factors as being related to three general areas (Jones: 1983);
1. Organizational factors
2. Communication factors
3. Technological maturity factors
Whereas technological maturity refers to the” gap” between basic research and readiness for readiness for commercialization. Increased maturity implies less risk and uncertainty for the commercial adopter, and, therefore greater probability of successful technology transfer. The more mature the technology, the more likely is the firm for the attempt to transfer and commercialize it (Jones: 1983).
Directly relevant to technological maturity as Jones describes is an Air Force research Lab, Microsoft Excel-based software tool that can be used to gaze the “technological maturity” of an item. The AFRL technology readiness level calculator can determine both the technology readiness level and your manufacturing readiness level a copy of the calculator can be obtained from https://acc.dau.mil//simplify/ev.php?ID=8796_201&ID2=DO_TOPIC. The usage of the calculator depends on a technology program manager’s awareness of its capabilities. Although you may know about the calculator and its capabilities it is still difficult to locate using standard internet search engines.
There is an abundance of information available on technology transfer determining the right method to develop the objectives or solve the problem proved to be difficult and time was a factor. At the time of this assignment I was appointed as the Technology Transfer Team Chief for the Air Force Medical Support Agency. I had no experience with technology transfer after reporting to work for the position it was presented to me that it would be my job was to begin to build upon the strategy for technology transfer within the Air Force medical support agency.
My appointment seemed have come at the right allowing me to participate in the AFMS Technology Transfer workshop and to attend the 2012 TTIPT. It was my participation and attendance at those key events that allowed me to begin understand the impact of Technology Transfer and the role the ORTA plays in the process. After several weekly meetings/ discussions, I also began to form the basis of my solutions. I was able to get a corporate understanding during my interview with the Air Force Technology Transfer Program Manager and the Air Force Medical Technology Transfer Program Manager. I was able to capture and glean some of the historical knowledge of the work that had been accomplished to date and garner opinions of what the future should look like for Technology Transfer for the AFMS by speaking with other DOD ORTA’s thorough DOD at the 2012 TTIPT. I have also had the luxury to rely and get first hand information in weekly meeting with the well experienced consultants on the AFMS Technology Transfer Team. Over the last 9 weeks I have begun understand and to identify the solutions s for this project and the AFMS Technology Transfer Office. I am also starting step out in my role within the organization as the ORTA Team Chief.
Qualitative methodology along with research and investigation techniques that included:
1. Become educated on all facets of technology transfer from the Air Force and the DOD perspective through all available literature, laws and instructions available.
2. Begin to perform the role as the ORTA, draft a CRADA and MOU, attend technology transfer integrated planning training (TTIPT), scheduled to attend the Federal Laboratory Consortium (FLC) conference in 2013.
3. Approach technology transfer from the perspective of a AFMS scientist to gain a better understanding of how to rapidly bring an invention to commercialization.
4. Interview key ORTA staff from the Air Force, DOD and the Air Force Medical Technology Transfer Program Office There are common sense solutions to these problems, I believe it was my lack of knowledge of Technology Transfer that after many discussions, interviews and reading the literature, instructions and laws. These are the solutions that will briefed to the AFMS Technology Transfer Program Manager as follows: 1. It must be emphasized the “ORTA” is the focal point for technology transfer within the AFMS. To successfully and effectively facilitate technology transfer in the AFMS the ORTA must be trained, experienced and proactive. Interaction observation is what is key is to transfer offices three discriminate separated how well worn as a tech transfer activities in an organization leads where a formally trained or experienced various technology transfer mechanism in a proactive of what listeners know in engineers as well as the collaborators in facilitate technology transfer.
2. Education and Awareness are key to the success of technology transfer within the AFMS a proposed outreach plan that will include Site visits to the Medical Training Facilities and other locations identified a s potential locations for research in the AFMS. The ORTA will travel and provide training to the leadership, commanders and scientists at each location. The training will target the AFMS Primary technology transfer mechanisms. An AFMS Technology Transfer newsletter and website can be established to provide timely information to the AFMS and garner interest in research development and promote the scientific exchange among AFMS and other DOD activities.
3. The AFMS ORTA will establish a Technology Transfer Financial Management Working Integrated Process Team WIPT) to accomplish the business of setting forth the policies and procedures as they apply to financial issues and concerns surrounding clinical and transitional research activities within the AFMS and ensure the proper procedures and accounts are in place to collect Royalty and Licensing disbursements and CRADA reimbursements
Although I did not cite references from the text book, I have able to take the information I learned in the class and apply it to my new position. As I move forward in the position I will be able to apply more the information and methods taught in the class. I am applying the use of some of the results of the OCI and LSI activities. I am learning not only to take a humanistic approach to leadership but also be task oriented as well. I am going to work on balancing both methods.

References
US Air Force, (2001). The domestic technology transfer process and the offices of technology applications (AFI 61-301)
US Air Force, (2001). Cooperative research and development agreements (AFI 61-302)
Blankenship, S. (2012, 11 13). Interview by S Cherry [Personal Interview]. Organization and history of the ORTA.
Carr, R. (1992). Doing Technology Transfer in Federal Laboratories (part 1), Journal of Technology Transfer, 17, 8-23.
Carr, R. (1992). Menu of the Best Practices in Technology Transfer (part 2), Journal of Technology Transfer, 17, 24-33
Federal Laboratory Consortium, (2004). Technology Transfer process, Technology Transfer Desk Reference. Cherry Hill, NJ: Federal Laboratory Consortium.
Jones, H. (1983). The commercialization of new technologies: Transfer from laboratory to firm.
Office of the Secretary of Defense, Deputy Undersecretary of Defense for Science and Technology, Office of Technology Transition (2004). Report to Congress on activities of the DOD Office of Technology Transition
Olsen, M. (1987). A study of Federal Technology Transfer to the commercial sector.

Sharon, D. (2012, 11 13). Interview by S. Cherry [Personal Interview]. Organization and history of the ORTA.
Sharon, D. (2012, November). Lab 101 Technology Transfer. Presentation delivered at Lackland AFB Lab 101 technology transfer, TX.
Sikiro, D. (2012, 11 14). Interview by S Cherry [Personal Interview]. Organization and history of the ORTA.
US Congress, 96th Congress. (1980). Stevenson –Wydler Technology Innovation Act of 1980 Public Law No. 96 – 480 . Washington, DC: Government Printing Office.
US Congress, 99th Congress. (1986) Federal Technology Transfer Act of 1986, Public Law No. 99 – 953, Washington, DC: Government Printing Office

US Air Force, AFRL. (2006). Technology flies on spaceship one, Air Force Research Laboratory News.
Webster, M. (1999). Merriam- Webster. (11th ed.). Springfield, MA.