ORTA Resources

Designated Laboratories and POCs

Download DON T2 Lab Map and POCs

California

• Fleet Readiness Center Southwest
  Justin Massey
  [email protected]
• Marine Corps Tactical Systems Support Activity
  Michael O’Neil
  [email protected]
• Naval Air Warfare Center Weapons Division, China Lake
  Dylan Riley
  [email protected]
• Naval Air Warfare Center Weapons Division, Pt. Mugu
  Dylan Riley
  [email protected]
• Naval Facilities Engineering and Expeditionary Warfare Center
  TBD
• Naval Health Research Center
  Dr. Cosimo Fuda
  [email protected]
• Naval Information Warfare Center Pacific
  Paul Herbert
  [email protected]
• Naval Medical Center San Diego
  Mark Pimentel
  [email protected]
• Naval Postgraduate School
  Agata Maslowska
  [email protected]
• Naval Surface Warfare Center, Corona Division
  Jennifer Stewart
  [email protected]
• Naval Surface Warfare Center, Port Hueneme Division
  Alan Jaeger
  [email protected]

Connecticut

• Naval Submarine Medical Research Laboratory
  Dr. Cosimo Fuda
  [email protected]

Florida

• Fleet Readiness Center Southeast
  Luzmarie Youngers
  [email protected]
• Naval Air Warfare Center Training Systems Division
  Lisa Ouakil
  [email protected]
• Naval Surface Warfare Center, Panama City Division
  Paige George
  [email protected]
• Navy Entomology Center of Excellence
  Dr. Cosimo Fuda
  [email protected]

Hawaii

• Pearl Harbor Naval Shipyard and Intermediate Maintenance Facility
  Eric Petran
  [email protected]

Indiana

• Naval Surface Warfare Center, Crane Division
  Jenna Dix
  [email protected]

Maine

• Portsmouth Naval Shipyard
  Sarah Buttrick
  [email protected]

Maryland

• Naval Air Warfare Center Aircraft Division, Patuxent River
  Michelle Miedzinski
  [email protected]
• Naval Medical Research Center
  Dr. Cosimo Fuda
  [email protected]
• Naval Surface Warfare Center, Carderock Division
  Dr. Joseph P. Teter
  [email protected]
• Naval Surface Warfare Center, Indian Head Division
  Dr. Christopher Wilhelm
  [email protected]
• United States Marine Corps Forces Cyberspace Command
  Kevin Allen Dorsey
  [email protected]
• United States Naval Academy
  Dr. Joyce E. Shade
  [email protected]

Massachusetts

• Navy Clothing and Textile Research Facility
  TBD

Mississippi

• Naval Meteorology and Oceanography Command
  Pam McDowell
  [email protected]

New Jersey

• Naval Air Warfare Center Aircraft Division, Lakehurst
  William Leach
  [email protected]

North Carolina

• Fleet Readiness Center East
  Robert Kestler
  [email protected]

Ohio

• Naval Medical Research Unit Dayton
  Dr. Cosimo Fuda
  [email protected]

Pennsylvania

• Naval Surface Warfare Center, Philadelphia Division
  Patrick J. McGinnis
  [email protected]

Rhode Island

• Naval Undersea Warfare Center, Division Newport
  Mary Sylvia
  [email protected]
• Naval War College
  TBD

South Carolina

• Naval Information Warfare Center Atlantic
  Michael Merriken
  [email protected]

Texas

• Naval Medical Research Unit San Antonio
  Dr. Cosimo Fuda
  [email protected]

Virginia

• *DON T2 Program Office (at ONR)
• HQMC Deputy Commandant for Information War Room Division
  TBD
• Marine Corps Cyberspace Operations Group
  TBD
• Marine Corps Systems Command
  Craig Melton
  [email protected]
• Marine Corps Warfighting Laboratory
  Jeff Tomczak
  [email protected]
• Mid-Atlantic Regional Maintenance Center
  Christen Whiddon
  [email protected]
• Naval Medical Center Portsmouth
  Kersten Wheeler
  [email protected]
• Naval Surface Warfare Center, Dahlgren Division
  Celia Williams
  [email protected]
• Navy Warfare Development Command
  William M. Ciaston
  [email protected]
• Norfolk Naval Shipyard
  Jamaal Hill
  [email protected]

Washington

• Naval Undersea Warfare Center, Division Keyport
  Thai Tran
  [email protected]
• Puget Sound Naval Shipyard and Intermediate Maintenance Facility
  Ronald Zmijewski
  [email protected]

Washington, DC

• Naval History and Heritage Command
  Blair Atcheson
  [email protected]
• Naval Research Laboratory
  Amanda Horansky-McKinney
  [email protected]
• U.S. Naval Observatory
  Pam McDowell
  [email protected]

The Role of the ORTA

Per the SECNAVINST 5700.17A, Domestic Technology Transfer

The Designated and Approved ORTA Representative shall:

• Coordinate, direct, and manage DON Domestic T2 for their Laboratory and/or Technical Activity per established policies, this instruction, and the directions of higher authority
• Provide annual business plans, training presentations/ outlines, statistical data, and other information as requested by the DON T2 PM, or otherwise required by statute, regulation, directive, executive order, instruction, or DON policy in accordance with reference (a).
• Ensure implementation of and monitor achievements of DoD T2 in accordance with reference (k).
• Offer at least 2 hours of T2, marketing, or other related, training to personnel of their Laboratory and/or Technical Activity annually.
• Receive at least 8 hours of training in T2 every calendar year, complete the on-line DON ORTA training course every calendar year, and submit a summary of the annual training (listing the number of training hours received and the source(s) of the training) to the DON T2 PM by the end of each calendar year. This summary can be submitted to the DON T2 PM along with the copy of the annual business plan required by reference (a).
• Encourage participation in, and promote the results of, DON Domestic T2.
• Comply with paragraphs 7a through 7g of enclosure (2), and is on notice that noncompliance with this instruction could result in revocation of the approval of their ORTA designation.

Laboratory/ORTA Designation

General Process and Directions

1. Prospective DON laboratory/technical activity and/or ORTA representatives should first contact the DON Technology Transfer Program Office (DON T2 PMO) to request an Intake Meeting at ([email protected]).
2. The purpose of the Intake Meeting will be to:
   • Confirm eligibility and need.
   • Provide overview of DON T2 Program and authorities conferred via various statutes, directives, and instructions.
   • Review requirements for obtaining and maintaining designation, to include the roles and responsibilities of laboratory/technical activity leadership and the ORTA representative.
3. Designation Requests
   • New ORTA representatives for an existing T2-designated laboratory/technical activity do not require a laboratory/technical activity designation request.
   • New laboratory/technical activity designation requests must be submitted with an ORTA representative designation request.
   • All designation requests must identify intellectual property (IP) counsel support. If IP counsel support is not from the home command, then a legal support memo must be provided.
   • All designation requests should include T2 agreement processes for legal, security, foreign disclosure, and public release reviews.
4. Designation request packages are reviewed semi-annually each calendar year. Completed packages must be submitted by 1 February or 1 August.
5. DON T2 PMO and the ONR Office of General Counsel will evaluate all requests for designation submitted for Chief of Naval Research approval.
6. Upon CNR approval, the DON T2 PMO will notify all requesting laboratory/technical activity heads and ORTA representatives via email.

Unfortunately, ONR approval processes will not accommodate interim updates.

Laboratory/Technical Activity Qualifications per 15 USC §3710

Each Federal laboratory shall establish an Office of Research and Technology Applications. Laboratories having existing organizational structures which perform the functions of this section may elect to combine the Office of Research and Technology Applications within the existing organization.

The staffing and funding levels for these offices shall be determined between each Federal laboratory and the Federal agency operating or directing the laboratory, except that:

1. Each laboratory having 200 or more full-time equivalent scientific, engineering, and related technical positions shall provide one or more full-time equivalent positions as staff for its Office of Research and Technology Applications, and
2. Each Federal agency which operates or directs one or more Federal laboratories shall make available sufficient funding, either as a separate line item or from the agency’s research and development budget, to support the technology transfer function at the agency and at its laboratories, including support of the Offices of Research and Technology Applications. Furthermore, individuals filling positions in an Office of Research and Technology Applications shall be included in the overall laboratory/agency management development program so as to ensure that highly competent technical managers are full participants in the technology transfer process.

Functions of Offices of Research and Technology Applications (ORTA)

1. To prepare application assessments for selected research and development projects in which that laboratory is engaged and which in the opinion of the laboratory may have potential commercial applications;
2. To provide and disseminate information on federally owned or originated products, processes, and services having potential application to State and local governments and to private industry;
3. To cooperate with and assist the National Technical Information Service, the Federal Laboratory Consortium for Technology Transfer, and other organizations which link the research and development resources of that laboratory and the Federal Government as a whole to potential users in State and local government and private industry;
4. To provide technical assistance to State and local government officials; and
5. To participate, where feasible, in regional, State, and local programs designed to facilitate or stimulate the transfer of technology for the benefit of the region, State, or local jurisdiction in which the Federal laboratory is located.

Agencies which have established organizational structures outside their Federal laboratories which have as their principal purpose the transfer of federally owned or originated technology to State and local government and to the private sector may elect to perform the functions of this subsection in such organizational structures. No Office of Research and Technology Applications or other organizational structures performing the functions of this subsection shall substantially compete with similar services available in the private sector.

T2 Handbook

DON T2 HANDBOOK—First Edition, Volume One dated September 2018

Agreement Templates

Agreement Submission Requirements

All T2 agreements and associated review documentation must be sent to the DON T2 PMO within 14 days of execution.  Please send agreements and documentations to [email protected].

ORTAs must ensure all T2 agreements are reviewed and approved by the command.  Specifically the security office, OGC IP counsel, foreign disclosure office, and public affairs office.

Legal Review

A legal review and a legal recommendation is obtained from an assigned (or identified) DON OGC IP attorney prior to negotiating and prior to entering into a CRADA, PIA, PLA, or SLA to ensure that the CRADA, PIA, or PLA, or SLA conforms to all statutes, regulations, Executive Orders, this instruction, and other binding instructions and policies issued within the DOD and the DON.

Security Review

A security review is obtained prior to negotiating and prior to entering into a CRADA, PIA, PLA, or SLA to ensure that the CRADA, PIA, PLA, or SLA conforms to all statutes, regulations, Executive Orders, this instruction, and all security regulations and instructions issued within the DOD and the DON.  The security review shall include, but is not limited to, a review of the responsibilities of managing and controlling the dissemination of the information or data that could, or will, result from the work under the CRADA, PIA, PLA, or SLA.

Foreign Disclosure Review

Prior to entering into negotiations for a CRADA, PLA, or SLA with foreign persons or industrial organizations that are directly or indirectly controlled by a foreign company or government, the following requirements must be met:

• A consultation memorandum is submitted to, and a confirmation that the consultation memorandum was received is obtained from, the United States Trade Representative;
• When required, a foreign disclosure determination is completed and approved by the Laboratory and/or Technical Activity;
• When required, the Navy International Program Office, and other officials or offices, are contacted and involved as needed; and
• An export control assessment will be completed and all applicable foreign disclosure and export license requirements and restrictions complied with.

Public Affairs Review

A public affairs review is typically required when the DON laboratory or the partner want to publish a press release announcing the T2 agreement.  The review is also necessary for any news coverage that may occur during the life of the agreement.

Mid-FY and End-FY Agreement Reconciliation

The DON T2 PMO conducts an agreement reconciliation, for all DON T2 laboratories to verify and validate their agreement submission records in the Navy T2 Database.

• Mid-FY Reconciliation – April
• End-FY Reconciliation – September

During each reconciliation period:

1. DON T2 PMO sends spreadsheet listing all agreements for a particular lab to that lab ORTA for validation and verification.
2. ORTA confirms that all agreements executed thus far are captured in the spreadsheet.
3. If the spreadsheet does not capture all executed agreements, then ORTA updates the spreadsheet and returns it to the DON T2 PMO, along with the missing records.

FOCI Considerations

DON T2 laboratories conduct various projects and programs that may involve export-controlled information and technology.  It is extremely important to consider the impact of export control, foreign disclosure, and foreign ownership, control, or influence (FOCI) on a potential collaboration.

USTR Concurrence

For proposed CRADAs, PLAs, and SLAs with FOCI partners, the ORTA must submit a consultation request via email to the U.S. Trade Representative (USTR) prior to entering into agreement negotiations.  The USTR consultation request outlines the key information for the proposed collaboration, allowing the USTR to make a favorable or unfavorable determination.

All USTR consultation requests are to be sent to:
Benjamin Wollam ([email protected])

Upon review, USTR will send a concurrence/non-concurrence memo to the ORTA for the proposed agreement.  USTR concurrence memos are to be sent to the DON T2 PMO when submitting the agreement record.

The USTR consultation request sample is an example of what to send to the USTR for review.  It is required that the ORTA submit the information requested in 1-8 of the sample, and may be submitted in the body of the email or attached as a PDF.

Foreign Disclosure/Export Control Review

Prior to entering into negotiations for any T2 agreement with foreign persons or industrial organizations that are directly or indirectly controlled by a foreign company or government, the ORTA may be required to complete an export control assessment.

DOD technologies and information may be subject to the International Traffic in Arms Regulations (ITAR) or the Exports Administration Regulations (EAR).  It is critically important to national security that T2 collaborations are reviewed under these regulations, to ensure that defense, commercial, and dual-use items are controlled and shared appropriately.

The Navy International Programs Office (NIPO) is the lead DON office for all foreign disclosure and export control matters. Their website provides an overview of these topics.

https://www.secnav.navy.mil/nipo/Pages/default.aspx

Best Practice Business Tools

Policy References

Key Federal Legislation and Executive Orders

• STEVENSON-WYDLER TECHNOLOGY INNOVATION ACT OF 1980
• BAYH-DOLE ACT OF 1980
• Federal Technology Transfer Act of 1986
• Executive Order 12591- Facilitating Access to Science and Technology
• Executive Order 12999 – Educational Technology: Ensuring Opportunity for All Children in the Next Century
• Presidential Memo – T2 and Commercialization of Federal Research and Support of High-Growth Business

Federal Statutory Authorities

• 5 U.S.C. §552 – Publics Information, Agency Rules, Opinions, Orders, Records and Proceedings
• 15 U.S.C. §3702 – Commerce and Trade, Purpose
• 15 U.S.C. §3705 – Cooperative Research Centers
• 15 U.S.C. §3706 – Grants and Cooperative Agreements
• 15 U.S.C. 3710 – Utilization of Federal technology
• 15 U.S.C. §3710a – Cooperative Research and Development Agreements
• 15 U.S.C. §3712 – Personnel Exchanges
• 15 U.S.C. §3715 – Use of Partnership Intermediaries
• 15 USC §3719 – Prize Competitions
• 35 U.S.C. §200-212: Patent Rights in Inventions Made with Federal Assistance
• 37 CFR Part 401 – Rights to Inventions made by Non-Profits and Small Business Firms Under Government Grants, Contracts and Cooperative Agreements
• 37 CFR Part 404 – Licensing Government Owned Inventions
• 48 CFR 31.205-18 Independent Research and Development and Bid and Proposal Costs

DOD Specific Authorities

• DOD Directive 5535.03 – DOD Domestic Technology Transfer (T2) Program
• DOD Instruction 5535.8 – DOD Domestic Technology Transfer (T2) Program
• SECNAV Instruction 5430.7S – Assignment of Responsibilities in the Office of the Secretary of the Navy
• SECNAV Instruction 5700.17A – Domestic Technology Transfer
• SECNAV Instruction 5870.2E – Licensing of Government Owned Inventions and Government Developed Software Documentation in the Custody of the Department of Navy and Distribution of Royalties
• 10 U.S.C. §2014 – Administrative Actions Adversely Affecting Military Training or Readiness
• 10 U.S.C. §2194 – Education Partnerships
• 10 U.S.C. §2195 – DOD Cooperative Education Programs
• 10 U.S.C. §2358 – Research and Development Projects
• 10 U.S.C. § 2368 – Centers for Science, Technology, and Engineering Partnership
• 10 U.S.C. §2371 – Research Projects: Transactions Other Than Contracts and Grants
• 10 U.S.C. § 2539b – Availability of Samples, Drawings, Information, Equipment, Materials, and Certain Services
• 10 U.S.C. §2501 – National Security Strategy for National Technology and Industrial Base
• 10 U.S.C. §2506 – DOD Technology and Industrial Base Policy Guidance
• 10 U.S.C. §2514 – Encouragement of Technology Transfer
• 10 U.S.C. §2563 – Articles and Services of Industrial Facilities: Sale to Persons Outside the DOD
• 10 U.S.C. §8022 – Office of Naval Research: Duties

Other References

• DOD Directive 5135.02 – Under Secretary of Defense for Acquisition and Sustainment (USD A&S) Deputy Secretary of Defense Memorandum
• DOD Instruction 1400.25 – Civilian Personnel Management
• DOD 8320.1-M-1 – Data Element Standardization Procedures, January 1993, authorized by DOD Directive 8320.1, September 26, 1991
• DOD Directive 8320.1 – DOD Data Administration, September 26, 1991
• DOD 5200.28-M, “ADP Security Manual,” January 1973, authorized by DOD Directive 5200.28, March 21, 1988
• DOD Instruction 3200.12 – DOD Scientific and Technical Information Program (STIP), December 17, 2018
• DOD Instruction 5230.27 – Presentation of DOD-Related Scientific and Technical Papers at Meetings, October 6, 1987
• DOD Directive 5500.7 – Standards of Conduct, August 30, 1993
• Federal Acquisition Regulation, Subpart 31.205-18(e), “Independent Research and Development and Bid and Proposal Costs,” (current edition)
• Office of Management and Budget Circular A-11 – Preparation and Submission of Budget Estimates (current edition)
• 5 U.S.C. §2105 – Employee
• 5 U.S.C. §4504 – Presidential Awards
• 31 U.S.C. §6303 – Using Procurement Contracts
• 31 U.S.C. §6304 – Using Grant Agreements
• 31 U.S.C. §6305) – Using Cooperative Agreements

Canceled or Repealed Authorities/Memoranda

• Deputy Secretary of Defense Memorandum, “Establishment of the Office of the Under Secretary of Defense for Research and Engineering and the Office of the Under Secretary of Defense for Acquisition and Sustainment,” July 13, 2018
• Secretary of Defense Memorandum, “DOD Domestic Technology Transfer/Dual-Use Technology Development,” June 2, 1995

Training

Mandatory Annual ORTA Training Requirement
Per SECNAVINST 5700.17A, DON T2 ORTAs are required to complete the following Defense Acquisition University (DAU) courses each year:

• CLE 068 : Intellectual Property and Data Rights
• CLE 069: Technology Transfer

In addition to CLE 068 and CLE 069, DON T2 ORTAs are required to complete at least eight hours of dedicated T2 training each year. This requirement may fulfilled by:

• DON T2 ORTA and Legal Workshops
• DOD Technology Transfer and Transition Working Group (DOD T3WG) events
• Federal Laboratory Consortium for Technology Transfer (FLC) online courses
• U.S. Patent and Trademark Office (USPTO) Learning Resources
• USPTO IP eLearning Modules
• National Institutes of Health (NIH) T2 courses
• AUTM courses
• T2-related DAU offerings

Annual Laboratory Personnel Training Requirement
DON T2 ORTAs are required to provide at least two hours of T2, marketing, or other related training to their laboratory personnel each year, per SECNAVINST 5700.17A.

Annual Business Plans

T2 Business Plan Requirement:

DOD Instruction 5535.8 (para 6.3)

The Heads of the DOD laboratories and/or technical activities, as defined in enclosure 2, shall prepare, with the business planning processes of their organizations, a T2 business plan that describes how the responsibilities described in the DOD Directive 5535.3 (para 5.2.1 -5.2.14), have been addressed for the current year. Those plans shall identify the activities for the year ahead and describe efforts to make improvements in that program.

SECNAV Instruction 5700.17A (Enclosure 2, para 7(b))

Provide annual business plans, training presentations/outlines, statistical data, and other information as requested by the DON T2 PM, or otherwise required by statute, regulation, directive, executive order, instruction, or DON policy in accordance with reference (a).

The business plan summarizes the T2-related impacts on the naval mission, captures required agreement metrics, and outlines the command’s T2 strategy and goals for the subsequent calendar year.

As a product of the command, the business plan must be submitted with proof of concurrence from the laboratory head. ORTAs should consider front office processing to ensure timely submission.

Important Dates:

• Updated requirements released to DON T2 Community: August
• DON T2 PMO Business Plan Tutorial: August
• Approved Business Plans Due to Navy T2 mailbox ([email protected]): October 31

NIST, Dept. of Commerce Metrics Guidance

Under the Technology Transfer Commercialization Act of 2000 (P.L. 106-404), each Federal agency that operates or directs one or more Federal laboratories, or that conducts activities under sections 207 and 209 of Title 35, United States Code, must submit to the Office of Management and Budget (OMB), as part of its annual budget submission, an annual performance report addressing the intramural technology transfer activities of its Federal laboratories.

According to OMB Circular A-11, this report is to be provided by January 31 to the agency’s OMB program examiner and a copy submitted to the National Institute of Standards and Technology (NIST). Statistics and other relevant data from each agency’s technology transfer report will be consolidated and summarized in the Secretary of Commerce’s Annual Summary Report to the President, the Congress, and U.S. Trade Representative on the status of Federal laboratory technology transfer.

The two main categories of information that are requested include 1) a description of the current technology transfer programs and plans of the agency’s Federal laboratories, and 2) statistics and other relevant data that describe the Federal laboratories’ intramural activities and achievements in technology transfer over the most recently closed fiscal year and the 4 years prior. Reports should also include selected abstracts of intramural economic impact studies that have been completed during the fiscal year (if any). Data related to extramural activities is not included in this report.

Database

The DON T2 PMO owns and manages the Navy Defense Technology Transfer Information System (NDTTIS), which serves as a repository for all executed T2 agreements from the DON T2 labs.

DON T2 ORTAs and their authorized personnel are permitted access to NDTTIS to view:

1. Their command’s agreement records (including attachments) in full detail,
2. Their command’s laboratory and ORTA designation records,
3. Their command’s business plan records; and,
4. Metadata on all executed DON T2 agreements.

Account Creation Request

ORTAs can request a NDTTIS account by contacting the DON T2 PMO at [email protected].

ORTAs will need to request accounts for other T2 personnel within their command.

NDTTIS Training

DON T2 PMO is currently restructuring database user interface, and will offer training to the entire DON T2 community upon completion.

Marketing Resources

Marketing materials are currently under development and will be available in June 2022.

Mentorship

This six-month long mentorship program pairs experienced ORTAs with the newly-designated to provide additional guidance and support as they begin to execute their T2 duties.

If you are an experienced ORTA, in good standing, and would like to mentor new ORTAs, please contact the DON T2 PMO ([email protected]).

Advanced Topics FAQ

The Advanced Topics FAQ are currently under development and will be available in June 2022.