Commercialization Performance Metrics Key

A. Commercialization Plan Status. Each project should have a written commercialization plan development effort. A proposed commercialization plan should be included in the initial Agency proposals. Following contract award, efforts should be made to expand on the proposed commercialization plan during the feasibility study phase so that new findings from this phase can be incorporated in the proposed commercialization plan submitted with the proposal for follow-on prototype development. The proposed commercialization plan for the follow-on prototype development should specifically address how the prototype designs are contributing to commercialization potential. Following the beginning of prototype development, a formal commercialization plan should be produced using the prototype proposed commercialization plan. The final, formal commercialization plan should include technical performance measures which contribute to the commercialization approach identified for the technology based on a more mature understanding of what the commercialization potential of the prototype design is. The commercialization related technical performance measures should be defined as part of the component and system testing phase and experience gained during testing should be used to try to predict how the technology is meeting the commercialization objectives defined in the Commercialization Plan. The final reporting phase should provide assessments of how the technology has demonstrated performance and met the commercialization objectives included in the Commercialization Plan.

B. Use of Commercialization Clause. An Agency’s commitment to commercialization is demonstrated by the inclusion of contractual requirements for commercialization in the agreement held with the small business entity. This existence of commercialization language in the Agency agreement with the sponsor of the technology or with the small business entity developing the technology is a measure of the technology program’s commitment to commercialization.

C. Reporting. Inclusion of commercialization status in regular agency reports is a measure of a pro-active process which provides continuous monitoring of commercialization efforts.

D. Presented at Industry Conferences. Proper dissemination of commercialization potential of a technology is important for a pro-active commercialization effort to continuously identify new commercialization opportunities and potential commercialization partners. Industry association involvement is one indication of such efforts.

E. Reported in Technical/Professional/Trade Journals. The number of professional publications which include information on the technology is an indication of the proper dissemination of information on the technology which can aid in commercialization.

F. Number of Partnerships. Involvement in partnerships, joint ventures, license agreements, or other formal arrangements with outside parties is an indication of commercial interest in the technology. The number of these type of arrangements is an indicator on how actively this interest is being pursued.

G. Partnership Investment Interest. The amount of outside investment in the technology is an important indicator on how serious the partners identified in the previous measure are committed to the technology and its potential commercialization.

H. Number of Cooperative Research and Development Agreements. Cooperative agreements existing between the firm developing the technology and government, educational or private research entities demonstrates another sector’s interest in a technology. This measure describes how government or university interests which are separate from the sponsoring agency assesses the commercialization potential of the existing technology development and the potential for the use of the technology in other ways to develop alternative research.

I. Commercial Agency Agreements/Legislative Mandates. Participation of commercial government activities is a good indicator of potential application to commercial markets. Legislative mandates or statutory requirements specifically affecting the commercialization of the given technology are indications of strong national or government commitment to successful commercialization of the research.

J. SBIR Phase II Partners Identified. Small Business Innovation Research (SBIR) Phase II requirements for commercialization commitments of other parties are rigorousand satisfaction of these requirements as evidenced by commitments demonstrated in Phase II proposals or by existing Phase II awards to the project are strong indicators that commercial interest exists in the technology.

K. Number of Patents. The patent of a technology is demonstration of the novelty and utility of the program. The number of patents related to the technology is a good indicator of potential future success in commercial markets.

L. Data Rights Retained by Non-Government Entity. The retention of data rights by another party is indication of the other party’s interest and commitment to support of the technology for a significant period of time. This is an indicator of the other party’s belief in the commercialization potential of the technology.

M. Software Code Maintained by Non-Government Entity. A commitment to support the software related to a technology by another party is a good indicator of the other party’s belief in the commercialization potential and value of the technology.

N. State of Licensing of Product. Consistent development of licenses related to the technology is evidence of commercial interest in the program. Licenses for joint or cooperative research or intellectual property concerning the technology should not be included in this category but treated in the metric discussed above for Number of Partners, Cooperative Agreements, or Commercial Agency Agreements, and Number of Patents. Once a technology is mature enough to begin considering marketing, sales, production and distribution issues, a program will begin to consider and or participate in a growing regime of licenses with parties that can provide these functions for the firm. A continuous monitoring of where a program stands with respect to these issues provides a good indication of pending commercialization success.

O. Success Stories or Press Releases. Dissemination of information about the technology within business trade journals or press releases is an indication of market interest. Release of information on the technology to technical circles should not be included here but should be treated in the categories for Industry Conferences and Technical Professional Journals discussed above. This category of indicators is related to business information concerning the introduction, production, marketing, distribution or support of the technology by the commercial market and is a good measure of potential commercialization.

P. Dual Use Agreement Status. Formal identification of roles for the technology above and beyond the use desired by the sponsoring agency should be considered for commercialization assessment of the technology. This category can apply to any formal arrangement which addresses the use of the technology in a significantly different way from that being sponsored by the Agency.

Q. Other. Other measures which contribute to the assessment of a technologies commercialization potential which have not been captured in the above measures.