POLICY ON TRANSITION OF RESEARCH TO APPLICATION

Issued: 05/31/05; Effective: 05/17/05

SECTION 1. PURPOSE AND SCOPE.

.01 Application of the best available science and technology is essential to meeting National Oceanic and Atmospheric Administration (NOAA)’s mission. This demands an operations enterprise that is able to quickly recognize and apply significant new research products and methods, a research and development enterprise focused on the ultimate application of emerging science and technology to user needs, and a formalized management structure that ensures that the transfer of research to operational status or information services is effective and efficient in meeting mission responsibilities. This Order provides a mechanism for systematically reviewing all research annually in order to identify research to be transferred, establish a structure for managing research deemed ready for transfer, and delineate the roles and responsibilities necessary for those at NOAA to accomplish such transfers.

.02 The Order applies to all NOAA research, whether conducted in house or externally, and to relevant research sponsored by others. The Order recognizes that NOAA research provides:

a. capabilities (e.g., tools, systems, techniques, and procedures) suitable for transferring to operational status within NOAA; and

b. information services provided directly to internal or external users.

.03 This Order does not apply to the prosecution of patents by NOAA or its employees for inventions made in the course of research, or to the licensing of government owned inventions in the custody of NOAA. Such matters are addressed by other applicable laws, regulations, and policies.

SECTION 2. DEFINITIONS.

.01 Application: The use of research results (see Section 1.02 of this Order) in furthering NOAA’s mission.

.02 Defined Criteria: Technical performance and cost-effectiveness parameters to be met prior to the operational implementation or information service delivery.

.03 Information Services: Production and delivery of interpreted and/or synthesized data, decision tools, and scientific knowledge and understanding to decision- and policy-makers, the scientific community, and the public.

.04 Operations: Sustained, systematic, reliable, and robust mission activities with an institutional commitment to deliver appropriate, cost-effective products and services.

.05 Research: Systematic study directed toward fuller scientific knowledge or understanding of the subject studied.

.06 Transition Board: A group of senior level NOAA managers representing each Line Office and NOAA Marine and Aviation Operations charged with developing procedures to support this Order and overseeing transition projects and associated test environments.

.07 Test Environment: Collection of hardware, software, staff, funding, and/or appropriate procedures to simulate an operational setting in order to facilitate the demonstration and evaluation of research results.

.08 Transition Plan: A document identifying the comprehensive activities necessary to transfer a research result. The Transition Plan shall identify stakeholders, define criteria for when a project will be transferred, provide funding profiles for operational implementation, information service delivery, and/or follow on research.

.09 Transition Project: The collective set of activities necessary to transfer a research result, or collection of research results, to operational status or to an information service.

.10 Transition Team: A group of individuals assigned the responsibility to execute a transition project.

SECTION 3. POLICY.

.01 In order to meet mission needs, NOAA will maximize the timely application of NOAA sponsored research and capitalize on non-NOAA research in order to meet mission needs. To fulfill this goal, NOAA shall maintain:

a. an operations enterprise capable of quickly applying proven research to provide new and improved services or more efficient operations while continuing to maintain reliable, cost-effective services for users;

b. a research enterprise that routinely provides proven research to serve NOAA’s mission while adapting its portfolio to address new research frontiers; and

c. planning and oversight processes to include routine identification of new opportunities/needs for research, development of Transition Plans, status reporting, and test and evaluation procedures.

.02 NOAA’s Planning, Programming, Budgeting, and Execution System (PPBES) provides the framework for identifying research, operations, and information services requirements and associated investment decisions. During the annual PPBES cycle, all research activities shall be reviewed to ensure activities are responsive to mission requirements and to identify research results ready to be transferred to operational status or delivered as an information service. Program plans will reflect end-to-end resources and associated performance measures for these transitions.

a. Programs performing research shall include costs for development, delivery, and support of research in pre-operational testing or, in the case of information services, to users including user evaluation and feedback.

b. Programs receiving research capabilities shall reflect required resources, including those for establishment and maintenance of any test environments associated with implementing research capabilities, in NOAA’s operational enterprise.

.03 The transition of research to application shall be conducted jointly by research and operational personnel. Pre-operational testing and/or evaluation shall be conducted by personnel other than the researchers.

.04 Transition Plans shall be approved by the Assistant Administrator(s), or their designees, from the impacted Line Office(s) and the relevant goal team lead(s). The NOAA Executive Council (NEC) reserves the authority to approve any Transition Plan. The Transition Plan shall be updated at least once a year or as needed to reflect necessary changes resulting from fiscal, policy, or other decisions.

.05 Final approval regarding the transition of research to application shall be based on satisfaction of the defined criteria documented in a Transition Plan.

.06 This Order supports the policies and procedures contained in the Paperwork Reduction Act, the Government Paperwork Elimination Act, the Federal Technology Transfer Act, the Bayh-Dole Act, Office of Management and Budget Circular No. A-130, Management of Federal Information Resources, the NOAA Information Quality Guidelines, and other relevant laws, regulations, and policies. These authoritative requirements apply government resources to activities in support of the agency’s mission, outline procedures to ensure and maximize the quality, utility, and integrity of resultant information, and seek to maximize the benefits of resultant information and intellectual property to society.

.07 NOAA shall be cognizant of and observe the valid rights of patent holders and owners of other intellectual property.

SECTION 4. RESPONSIBILITIES.

.01 The Under Secretary of Commerce for Oceans and Atmosphere (NOAA Administrator), the Assistant Secretary, and the Deputy Under Secretary shall provide top management support for implementation of this Order and the development and implementation of associated procedures.

.02 The NEC is responsible for guiding NOAA’s research enterprise. To provide coordinated oversight of the breadth of NOAA’s research and operations enterprises and to promote best practices, the NEC shall establish a Transition Board with representation from each Line Office and NOAA Marine and Aviation Operations.

.03 The Transition Board shall:

a. issue guidance and establish procedures as necessary to implement this Order;

b. identify transition projects in a manner to promote the efficient, effective implementation of this Order;

c. ensure Transition Plans are developed for projects identified for transition;

d. provide oversight for all projects in transition and provide status reports to the NEC;

e. participate in the annual planning and programming cycle providing input and advice;

f. recommend the establishment of and provide oversight for any needed test environments;

g. leverage existing councils, committees, and working groups for advice as appropriate; and

h. establish Transition Teams to execute transition activities, as appropriate.

.04 Transition Teams will include representatives from the research and operational communities. Transition Teams are responsible for the following:

a. preparing Transition Plans;

b. conducting transition activities; and

c. identifying, reporting, and responding to significant deviations in the execution of the Transition Plan.

.05 The Assistant Administrator, Office of Program Planning and Integration, the Director, Program Analysis and Evaluation, and the NOAA Chief Financial Officer are responsible for issuing guidance for the Planning, Programming, and Budget phases of PPBES, respectively, in support of this Order.

.06 Line Office Assistant Administrators and the Director, NOAA Marine and Aviation Operations, are responsible for the following:

a. promoting the goals and implementing the requirements of this Order;

b. appointing representatives to the Transition Board;

c. approving Transition Plans;

d. providing staff support for the appropriate Transition Teams; and

e. approving final decisions regarding the transition of research.

.07 Mission Goal and Sub-goal Leads are responsible for the following:

a. identifying and planning for transition of research with appropriate program managers;

b. approving Transition Plans for projects within their goal;

c. seeking relevant external research in conjunction with Program Managers and the Research Council; and

d. coordinating activities between research and operational programs as needed.

.08 Program Managers for programs including research are responsible for the following:

a. identifying and planning for transition of research;

b. developing research responsive to agency mission requirements:

1. through understanding and anticipating user needs;

2. through maintaining cognizance of operational procedures and practices;

3. through exploring relevant new and emerging science and technology internal and external to NOAA; and

4. through supporting peer reviewed science; and

c. proposing priorities for research.

.09 Program Managers for programs including operational and other regulatory activities are responsible for the following:

a. planning for the transition of research;

b. understanding and meeting user needs;

c. identifying requirements for research;

d. maintaining cognizance of on-going research;

e. fostering opportunities for new research including introducing new operational practices or procedures; and

f. establishing and maintaining dialogue with researchers.

.10 The Research Council is responsible for the following:

a. participating in the PPBES cycle and providing comments regarding the readiness of projects to transfer and the relative priority of these projects;

b. overseeing NOAA activities to identify applicable external research; and

c. ensuring the NOAA 5-year research plan identifies and plans for the transition of research.

.11 Other applicable Councils are responsible for participating in the PPBES cycle and providing comments regarding the readiness of projects for transfer and the relative priority of these projects.

SECTION 5. EFFECT ON OTHER ISSUANCES.

None.

Signed

Under Secretary of Commerce for

Oceans and Atmosphere and Administrator

Office of Primary Interest:
   Program Planning and Integration