Unleashing American Innovation

Return on Investment (ROI) Initiative Update

Lab-to-Market Cross Agency Priority (CAP) Goal

Dr. S. Shyam Sunder

Senior Science Advisor, NIST
Federal R&D Investment

• The Federal government invests 

approximately $150 billion per year in R&D:

 ~1/3 invested at over 300 Federal laboratories

 ~2/3 invested at universities and industry R&D 

institutions

• To produce economic gain and expand a 

strong national security innovation base, the 

results of this investment must be put to 

productive use through:

 applied research and services to the public

 transfer to private companies to create new products 

and services
Lab-to-Market CAP Goal

• Lab-to-Market is a cross agency priority (CAP) goal of the recently released 

President’s Management Agenda to modernize government for the 21st century.

 Improve Transfer of Federally-Funded Technologies from Lab-to-Market.

• The Lab-to-Market CAP Goal is co-led by the Department of Commerce via NIST 

and the White House Office of Science & Technology Policy (OSTP).

• NIST, in coordination with White House’s OSTP, will advance the President’s 

Management Agenda and its Lab-to-Market CAP Goal through the ROI Initiative.

• The National Science and Technology Council Lab-to-Market Subcommittee will 

coordinate, review, and implement interagency priorities for this CAP Goal.
ROI Vision and Goal

VISION: Unleash the innovation 

power of America into our economy

Credit: Peter Cutts

(L to R): Michael Kratsios (WH/OSTP), Walter Copan 

(U/S NIST), Wilbur Ross (Commerce Secretary), 

Margaret Weichert (Deputy Director OMB), and 

Andrei Iancu (U/S USPTO) 

GOAL: Maximize the transfer of federal investments in 

science and technology into value for America

attract greater private sector investment to create 

innovative products, processes, services, as well as new 

businesses and industries

meet current and future economic and national security 

needs in a rapidly shifting technology marketplace and 

enhance U.S. competitiveness globally
ROI Initiative Objective

Assess, streamline, and 

accelerate the transfer of 

technology from Lab-to-Market:

• Identify critically needed 

improvements to Federal 

technology transfer policies, 

practices, and efforts

• Seek broad input from Federal 

R&D, intellectual property and 

technology transfer 

stakeholders
ROI Initiative - Outreach

ROI Public Meetings

May 17 – San Jose, CA May 21 – Denver, CO

May 31 – Chicago, IL

June 14 – Gaithersburg, MD

Unleashing American 

Innovation Symposium 

April 19, Washington, DC

Request for Information 

May 1 – July 30
ROI Sources of Information

• Four main Public Forums totaled 341 registered attendees 

• 104 written comments received in response to Request 

for Information, representing thousands of stakeholders

• Comments and public forum attendance represented a 

broad cross section of stakeholder community, including 

universities, industry, government agencies, individuals

• Other information sources: Maryland Technology 

Transfer Summit hosted by NIST (April 20, 2018), 

extensive stakeholder engagement, and extensive review 

of prior reports and studies
Examples of Systemic Challenges

• Difficulty negotiating IP terms and indemnification provisions

• Inconsistent practices and interpretation of authorities across USG

• Inability to copyright software and digital products developed by 

USG-operated labs

• Challenges in protecting trade secrets and know-how in 

collaborations with Federal laboratories

• Concern about march-in rights and government use license

• Conflicts between Federal, state and corporate requirements create 

challenges in building partnerships, consortia

• Challenges for Feds to engage in entrepreneurial activity or support 

• Conflict of interest provisions that make it difficult for Feds to access 

resources needed to support technology commercialization 

• Better metrics and methods to evaluate ROI outcomes and impacts 

arising from Federal R&D investment

• ...

Inefficient Interface Conditions

Word Cloud of RFI Responses 
9

ROI Next Steps

• Analysis of inputs/studies 

with interagency 

participation

• Prepare Draft ROI Green 

Paper with planned 

actions (e.g., practices & 

procedures, policies, 

executive/regulatory/ 

legislative) 

• Interagency review of 

Draft ROI Green Paper

• Public Release of Draft of 

ROI Green Paper

• Final revisions to ROI 

Green Paper

• Begin final clearance 

process for ROI Green 

Paper

• Publish Final ROI Green 

Paper

• Final CAP Goal milestones 

(announced Q1 FY 2019 

on performance.gov) 

• Initiate implementation 

actions / activities

• Initiate broad outreach 

and dissemination to 

industry, university, and 

federal stakeholders

August / September / 

October November / December January / February
NIST ROI Team

• Walter Copan (Director, Champion)

• Phil Singerman (Associate Director for Innovation & Industry 

Services)

• Paul Zielinski, Courtney Silverthorn, Charles Na (Technology 

Partnerships Office)

• Henry Wixon, Dorianna Andrade (Office of Chief Counsel for 

NIST)

• Kevin Kimball (Chief of Staff)

• Jason Boehm, Heather Evans (Program Coordination Office)

• Gail Porter, Jennifer Huergo, Mary-Lou Norris (Public Affairs 

Office)

• Jim Schufreider, Kari Reidy (Congressional & Legislative Affairs 

Office)

• Greg Strouse (Deputy Associate Director for Management 

Resources)

• Dave Cranmer (Manufacturing Extension Partnership)

• Tammy Clark (Director’s Office)

• Shyam Sunder (Senior Science Advisor)

Credit: Peter Cutts
ROI Initiative Information

Federal Register and Press Release Announcement of 

RFI and Public Forums

Video Recording of Unleashing American Innovation Symposium

Slide Decks from Public Forum Presentations

ROI Final Green Paper and RFI Responses (early 2019)

www.nist.gov/tpo/ROI
QUESTIONS?

Visiting Committee on Advanced Technology

October 16, 2018

Thank you! 
Background Information
ROI Request for Information

ROI Public Meetings

May 17 – San Jose, CA May 21 – Denver, CO

May 31 – Chicago, IL

June 14 – Gaithersburg, MD

Unleashing American 

Innovation Symposium 

April 19, Washington, DC

Request for Information 

May 1 – July 30

Which core Federal technology transfer principles and 

practices should be protected, and which should be 

adapted or changed?

What are the systemic challenges to effective transfer 

of technology, knowledge, and capabilities resulting 

from Federal R&D, and what are the solutions? 

What are other ways to significantly improve transfer 

of technology, knowledge, and capabilities resulting 

from Federal R&D, and what changes to practices, 

policies, regulations, and legislation are required?
NIST and Tech Transfer

• Policy coordination and promulgation of technology 

transfer regulation

• Lead for Interagency Workgroup for Technology 

Transfer (11 agencies) and Interagency Workgroup 

for Bayh-Dole

• Annual reports for the President, the Congress, and 

OMB on technology transfer across federal agencies

• Lead in Lab-to-Market NSTC Subcommittee 

• Host Agency for the Federal Laboratory Consortium 

for Technology Transfer

NIST has a unique role in promoting and reporting on the overall 

strength of federal technology transfer efforts

Unleashing American Innovation Symposium, April 19, 2018

Credit: Peter Cutts
ROI Planned Actions 

CAP Goal Implementation

ROI planned actions will support five CAP goal strategies:
President’s Management Agenda

ROI Initiative designed to be responsive to PMA’s long-term vision 

for modernizing the Federal Government for the 21st Century: 

• Enable the Federal Government to adapt to changing needs over time

• Pursue deep-seated transformation rather than short-term fixes

Root cause challenges

• Regulatory Burden

• Structural Issues

• Decision-Making and Processes

• Leadership and Culture

• Capabilities and Competencies