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    Subject Term: "Technology transfer"

    3 publications with a total of 13 open recommendations
    Director: Marie A. Mak
    Phone: (202) 512-4841

    6 open recommendations
    Recommendation: To ensure a consistent and more collaborative approach to the protection of critical technologies, the Secretaries of Commerce, Defense, Homeland Security, State, and the Treasury; as well as the Attorney General of the United States, who have lead and stakeholder responsibilities for the eight programs within the critical technologies portfolio, should take steps to promote and strengthen collaboration mechanisms among their respective programs while ongoing initiatives are implemented and assessed. These steps need not be onerous; for example, they could include conducting an annual meeting to discuss their programs, including the technologies they are protecting, their programs' intent, any new developments or changes planned for their programs, as well as defining consistent critical technologies terminology and sharing important updates.

    Agency: Department of Homeland Security
    Status: Open

    Comments: In providing comments on this report, the agency concurred with this recommendation. Relevant efforts by DHS to finalize memoranda of understanding with other agencies and by the Export Enforcement Coordination Center to share information and data across the export control enforcement community are ongoing. As of Sept 2017, DHS did not identify relevant actions to coordinate on critical technologies among other agencies.
    Recommendation: To ensure a consistent and more collaborative approach to the protection of critical technologies, the Secretaries of Commerce, Defense, Homeland Security, State, and the Treasury; as well as the Attorney General of the United States, who have lead and stakeholder responsibilities for the eight programs within the critical technologies portfolio, should take steps to promote and strengthen collaboration mechanisms among their respective programs while ongoing initiatives are implemented and assessed. These steps need not be onerous; for example, they could include conducting an annual meeting to discuss their programs, including the technologies they are protecting, their programs' intent, any new developments or changes planned for their programs, as well as defining consistent critical technologies terminology and sharing important updates.

    Agency: Department of Commerce
    Status: Open

    Comments: Commerce has identified various efforts to collaborate across multiple agencies within individual critical technologies programs, but has not taken steps to promote collaboration on critical technologies through a larger group discussion.
    Recommendation: To ensure a consistent and more collaborative approach to the protection of critical technologies, the Secretaries of Commerce, Defense, Homeland Security, State, and the Treasury; as well as the Attorney General of the United States, who have lead and stakeholder responsibilities for the eight programs within the critical technologies portfolio, should take steps to promote and strengthen collaboration mechanisms among their respective programs while ongoing initiatives are implemented and assessed. These steps need not be onerous; for example, they could include conducting an annual meeting to discuss their programs, including the technologies they are protecting, their programs' intent, any new developments or changes planned for their programs, as well as defining consistent critical technologies terminology and sharing important updates.

    Agency: Department of Defense
    Status: Open

    Comments: DOD has identified numerous activities within DOD to coordinate across the critical technologies portfolio, in particular the Arms Transfer and Technology Release Senior Steering Group. In some cases, these activities include other departments, most commonly State. However, officials have stated that they are not aware of any high-level coordination on critical technologies among the larger group of agencies. On Sept. 5, 2017, DOD provided an update on multiple DOD efforts, including CFIUS, but none are collaborating among all of the agencies cited in the recommendation.
    Recommendation: To ensure a consistent and more collaborative approach to the protection of critical technologies, the Secretaries of Commerce, Defense, Homeland Security, State, and the Treasury; as well as the Attorney General of the United States, who have lead and stakeholder responsibilities for the eight programs within the critical technologies portfolio, should take steps to promote and strengthen collaboration mechanisms among their respective programs while ongoing initiatives are implemented and assessed. These steps need not be onerous; for example, they could include conducting an annual meeting to discuss their programs, including the technologies they are protecting, their programs' intent, any new developments or changes planned for their programs, as well as defining consistent critical technologies terminology and sharing important updates.

    Agency: Department of Justice: Office of the Attorney General
    Status: Open

    Comments: In August 2016, the agency identified coordination actions being taken across the agencies with export control responsibilities--including through the Export Control Enforcement Center--and through the Committee on Foreign Investment in the United States. However, it is not clear how, or if, these coordination efforts are tied to the larger, government-wide portfolio of critical technologies programs. As of Sept. 2017, Justice has no additional updates.
    Recommendation: To ensure a consistent and more collaborative approach to the protection of critical technologies, the Secretaries of Commerce, Defense, Homeland Security, State, and the Treasury; as well as the Attorney General of the United States, who have lead and stakeholder responsibilities for the eight programs within the critical technologies portfolio, should take steps to promote and strengthen collaboration mechanisms among their respective programs while ongoing initiatives are implemented and assessed. These steps need not be onerous; for example, they could include conducting an annual meeting to discuss their programs, including the technologies they are protecting, their programs' intent, any new developments or changes planned for their programs, as well as defining consistent critical technologies terminology and sharing important updates.

    Agency: Department of the Treasury
    Status: Open

    Comments: In September 2016, a Treasury official identified coordination actions being taken across the agencies with export control responsibilities and through the Committee on Foreign Investment in the United States. However, coordination efforts are not tied to larger, government-wide collaboration on critical technologies. In March 2017, Treasury provided an update on actions taken, but did not address the recommendation for coordination among the critical technologies programs.
    Recommendation: To ensure a consistent and more collaborative approach to the protection of critical technologies, the Secretaries of Commerce, Defense, Homeland Security, State, and the Treasury; as well as the Attorney General of the United States, who have lead and stakeholder responsibilities for the eight programs within the critical technologies portfolio, should take steps to promote and strengthen collaboration mechanisms among their respective programs while ongoing initiatives are implemented and assessed. These steps need not be onerous; for example, they could include conducting an annual meeting to discuss their programs, including the technologies they are protecting, their programs' intent, any new developments or changes planned for their programs, as well as defining consistent critical technologies terminology and sharing important updates.

    Agency: Department of State
    Status: Open

    Comments: In providing comments on this report, the agency concurred with this recommendation but has not yet taken any actions necessary to implement it. In Sept. 2017, State provided updates on actions taken within the department, but none across affected agencies.
    Director: John Neumann
    Phone: (202) 512-3841

    4 open recommendations
    Recommendation: To more effectively fulfill its expanded role in providing a clearinghouse of information on available federal technology transfer opportunities, the Chair of FLC, in coordination with the other members of the Executive Board, should work collaboratively with agency and lab members to take steps to better communicate with potential customers during the design and implementation of FLC's clearinghouse initiatives, including conducting customer needs assessments, conducting customer testing of current and future web-based initiatives, and collecting customer feedback on all FLC initiatives to make the initiatives more useful.

    Agency: Federal Laboratory Consortium for Technology Transfer
    Status: Open

    Comments: FLC has provided GAO with information on steps they are taking to address the recommendations in GAO-15-127. A number of these actions should be completed towards the end of 2016 after which we plan to request additional information from FLC.
    Recommendation: To more effectively fulfill its expanded role in providing a clearinghouse of information on available federal technology transfer opportunities, the Chair of FLC, in coordination with the other members of the Executive Board, once feedback is collected from potential customers, should work collaboratively with agency and lab members to use this feedback to improve FLC's initiatives to make them more useful to potential customers, including asking FLC members for additional or different information, as appropriate.

    Agency: Federal Laboratory Consortium for Technology Transfer
    Status: Open

    Comments: FLC has provided GAO with information on steps they are taking to address the recommendations in GAO-15-127. A number of these actions should be completed towards the end of 2016 after which we plan to request additional information from FLC.
    Recommendation: To more effectively fulfill its expanded role in providing a clearinghouse of information on available federal technology transfer opportunities, the Chair of FLC, in coordination with the other members of the Executive Board, should work collaboratively with agency and lab members to develop performance goals and measures for FLC's clearinghouse initiatives and use the results to evaluate progress toward meeting FLC's goals on outreach and networking.

    Agency: Federal Laboratory Consortium for Technology Transfer
    Status: Open

    Comments: FLC has provided GAO with information on steps they are taking to address the recommendations in GAO-15-127. A number of these actions should be completed towards the end of 2016 after which we plan to request additional information from FLC.
    Recommendation: To more effectively fulfill its expanded role in providing a clearinghouse of information on available federal technology transfer opportunities, the Chair of FLC, in coordination with the other members of the Executive Board, should report on FLC's progress in these efforts in its annual report to the President and Congress.

    Agency: Federal Laboratory Consortium for Technology Transfer
    Status: Open

    Comments: FLC has provided GAO with information on steps they are taking to address the recommendations in GAO-15-127. A number of these actions should be completed towards the end of 2016 after which we plan to request additional information from FLC.
    Director: Trimble, David C
    Phone: (202) 512-3841

    3 open recommendations
    Recommendation: To improve DOE's management and oversight of the WFO program, the Secretary of Energy should require laboratories to establish and follow written procedures for developing WFO project budgets and for charging costs to WFO projects.

    Agency: Department of Energy
    Status: Open

    Comments: According to DOE, the Chief Financial Officer will address this recommendation as part of the revisions to DOE Order 520.1A. As of March 2017, DOE anticipates that the updated order will be completed in the first quarter of fiscal year 2018.
    Recommendation: To improve DOE's management and oversight of the WFO program, the Secretary of Energy should ensure that annual summary reports of WFO activities are prepared so that data on those activities are readily available for those who need this information.

    Agency: Department of Energy
    Status: Open

    Comments: On December 5, 2016, DOE issued revised order 481.1D, Strategic Partnership Projects (SPP) [Formerly Known as Work for Others (Non-Department of Energy Funded Work)] and has removed the requirement to issue annual summary reports of Work for Others activities. Instead, the revised order states that reports can be prepared on an "as needed" basis.
    Recommendation: To improve DOE's management and oversight of the WFO program, the Secretary of Energy should establish performance measures that incorporate key attributes of successful performance measures and that address the objectives of the WFO program.

    Agency: Department of Energy
    Status: Open

    Comments: On December 5, 2016, DOE issued revised order 481.1D Strategic Partnership Projects (SPP)[Formerly Known as Work for Others (Non-Department of Energy Funded Work)]. DOE states that this order addresses performance measures and that the corrective action is closed. Although the order directs DOE Field Office Managers to "establish performance measures to assess the effectiveness of the procedures for SPP review, acceptance, authorization and monitoring consistent with NNSA policies and procedures", it does not further identify specific performance measures that address the objectives of the SPP program as indicated in the order.