R&D Transition and Commercialization Tutorial

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DHS S&T’s R&D Transition and Commercialization

DHS S&T’s Business Process Flow (BPF) prescribes the R&D lifecycle processes that ensure alignment of S&T’s R&D results and solutions with the Components’ and Homeland Security Enterprise’s (HSE) operational needs, gaps and requirements. It identifies the key activities, stakeholders, and responsible entities, ensuring
involvement of all parties at the appropriate phases of the R&D’s execution. The key objective of the BPF is to maximize the successful transition and commercialization of R&D results emerging at BPF 9 to operational use and commercialization.

S&T’s R&D Business Process Flow (BPF)

R&D outputs in the form of Knowledge Products and Technology Products emerging at BPF 9 are transitioned to a receiving entity that is then responsible for use, implementation, or even further development, of the transition product, as shown in the accompanying figure. Examples of receiving entities are:

  • DHS Components & Offices, e.g., CBP, CISA, TSA, USCG
  • S&T itself, e.g., for further R&D, or the Joint Requirements Council (JRC)
  • S&T’s Technology Clearinghouse for distribution
  • Other Government Entities, e.g., DOD, State and Local governments
  • Non-Government Entities, e.g., private companies, nonprofit standards-setting entities, such as IEEE

USC/CREATE has worked closely with the DHS Transition Branch staff to develop a methodology and process for assessing transition product uptake benefits immediately following a transition, and for the three years post-transition, as required by the Congressional requirements established in Section 1905 of the National Defense Authorization Act for Fiscal Year 2017.

The recommended methodology consists of determining the Transition Outcomes, Operational Impacts, and Homeland Security Enterprise (HSE) Value, according to:

  • Transition Outcome: The direct result of an action attributed to the R&D output transition. These consist of counts of transitions with quantifiable consequential transition uptake benefit.
  • Operational Impact: Effect/change of a Component’s operational performance resulting from the transitioned project’s outcome, according to a set of operational benefits, such as reduced operational costs, improved efficiency or effectiveness, reduced false alarm rate, increased signal detection, etc.
  • HSE Value: The importance or worth of the R&D uptake, e.g., number of lives saved, mission improvement, or monetary equivalent directly resulting from the impact of a transitioned project.

Assessment and Tracking of Transition Uptake Benefits

Transition Product uptake and benefits to the receiving entity are observed and measured over time, which can range from months to years, depending on the transition pathway. For example, a receiving entity could receive a Knowledge Product and implement its guidance in its operations in days to weeks. In contrast, a Technology Product could be selected to enter an acquisition program for a Program of Record and take a year or more for operational integration and reduction to practice. The implemented transition product might then have a ramp-up time, during which it has limited deployment, ramping up to full operations. Thus, a
transitioned product’s value can be projected but may not be immediately measurable or confirmed. Understanding the projected outcome, impact, and value of a proposed transitioned product as an HSE solution can inform the prioritization and section process for R&D investments.

Regardless of the time frame for operational implementation, uptake benefits of the transition outcomes can be quantified relative to operational impact and HSE value using characterizations developed by USC/CREATE with five major benefit types using 10 quantification models,

I. Improved performance and/or cost savings

  1. Cost savings or savings by stretching expenses
  2. Improvement of performance

II. Reduced risk/Increased security

  1. Reduction of threat
  2. Reduction of vulnerability
  3. Reduction of negative consequences

III. Improved signal detection

  1. Reduction of false alarm rates
  2. Improvement of detection rates

IV. Value of information

  1. Reduction of uncertainty
  2. Improvement of decisions

V. Value of training

  1. Improved operational performance

The Benefit-Cost Analysis (BCA) methodology for quantifying the operational uptake benefit is described in the journal publication link here.

R&D Transition by Other Government Agencies (OGAs)

R&D transition is variably called technology transfer, commercialization, spin-off formation, etc., and each of these terms has unique implications about its characteristics, metrics and measures for success. All government agencies funding R&D are highly interested in the process of research transition. In addition to DHS, the most visible among these other government agencies include the Department of Defense (DOD, especially DARPA), Department of Energy (DOE), National Aeronautics and Space Administration (NASA), National Science Foundation (NSF), etc. A typical project-to-product process is shown in the figure below.

Sources of Additional Information on Research Transition

S&T

DOD

DOE

General

NASA