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TABLE OF CONTENTS

BACKGROUND ............................................................................................................................................. 4 PURPOSE OF THE INNOVATION DISCOVERY PROCESS ........................................................... 8 VARIANTS OF INNOVATION DISCOVERY .................................................................................... 10 Invention Discovery .......................................................................................................................... 10 Invention Improvement .................................................................................................................. 11 Commercialization Exploration ................................................................................................... 12

KEY PARTICIPANTS ............................................................................................................................... 13 Organizing Team ................................................................................................................................ 13 Presenters ............................................................................................................................................. 13 Panel Members .................................................................................................................................... 13 Facilitator .............................................................................................................................................. 14 Scribe ....................................................................................................................................................... 15

THEORY OF BRAINSTORMING ......................................................................................................... 17 History of Brainstorming ................................................................................................................ 17 Subsequent Developments ............................................................................................................. 18 Group Creativity Limiters ............................................................................................................... 19 Group Creativity Enhancers .......................................................................................................... 20

PREPARATION FOR AN INNOVATION DISCOVERY EVENT ................................................. 22 Advance Planning ............................................................................................................................... 22 Selection of the Facilitator ............................................................................................................. 25 Selection of Technical Projects ..................................................................................................... 25 Selection of Panel Members ........................................................................................................... 27 Use of a Non-‐Disclosure Agreement .......................................................................................... 28 Preparing the Presenters and Panelists ................................................................................... 28 Selection and Setup of the Meeting Room ............................................................................... 30 Testing the Technical Arrangement ........................................................................................... 31

THE INNOVATION DISCOVERY EVENT ......................................................................................... 33 Introduction .......................................................................................................................................... 33 Orientation Session ........................................................................................................................... 33 Technology Rounds ........................................................................................................................... 34 Additional Considerations .............................................................................................................. 37

APPENDICES ............................................................................................................................................. 39 Appendix I: Checklists for Planning an Innovation Discovery Event ......................... 40 Appendix II: Sample Non-‐Disclosure Agreement (NDA) for Innovation Discovery Event .................................................................................................................................. 44 Appendix III: Inventor Presentation Template .................................................................... 48 Appendix IV: Suggested Room Layout for Innovation Discovery Event ................... 54 Appendix V: Sample Agenda for Innovation Discovery Event ....................................... 55 Appendix VI: Sample Attendee Evaluation of Event .......................................................... 56

Background Page | 4

INNOVATION DISCOVERY EVENT PLANNING HANDBOOK

HANDBOOK PURPOSE

To help Navy labs enlarge and improve their

patent portfolios and increase

their technology transfer success

BACKGROUND

This handbook is intended for Navy laboratories that would like to enlarge and improve their patent portfolios. It provides a complete “do it yourself” process that Navy labs can use to increase their number of invention disclosures, improve existing disclosures in order to develop more commercially valuable patents, or identify promising commercialization opportunities for existing patents.

The Innovation Discovery process was originated to address a substantial need at the Naval Surface Warfare Center (NSWC) Crane Division. NSWC Crane’s 1,700 scientists and engineers (S&Es) have for many years been developing practical technical solutions for US warfighters in the areas of Electronic Warfare/Information Operations, Special Missions, and Strategic Missions. Many of these solutions are both inventive and potentially commercially viable. However, until recently, the lab did not have an established process to identify and document its inventions. Patenting was not a prominent part of NSWC Crane’s history and culture. As a result, its S&Es were not disclosing their inventions and had little awareness of the lab’s technology transfer (T2) function or of the non-‐military and commercial potential of their innovations.

To address this problem, NSWC Crane’s Technology Transfer Office partnered with the University of Southern Indiana’s Center for Applied Research (USI-‐CAR). Together, they developed a process that was intended to achieve multiple related objectives at NSWC Crane: (1) increase awareness within the lab of the value of intellectual property (IP) protection; (2) increase understanding of the commercialization opportunities that can result from T2; (3) identify technologies being developed at the lab that were potentially patentable and commercially viable; and (4) document the undisclosed inventions occurring at the lab. By increasing the lab’s pool of invention disclosures, NSWC Crane hoped to increase its numbers of patent applications, issued patents, and license agreements. The ultimate goal was to achieve greater success in T2, transition, and commercialization, leading to enhanced defense capabilities and positive economic impacts.

The resulting Innovation Discovery process was inspired by the Simplex creative problem solving system developed by Dr. Min Basadur, which is deeply rooted in “brainstorming” theory. The process basically involves identifying projects in the lab that appear to have generated innovative technical solutions; having the involved S&Es give a presentation on their solutions to a panel of outside experts; and facilitating brainstorming among

Background Page | 5


the panel members to identify possible commercial applications and potential invention disclosures. A typical daylong Innovation Discovery event at NSWC Crane involves the review of four to six projects.

NSWC Crane’s Innovation Discovery process has proved to be highly successful. Between November 2008 and January 2013, the lab held six Innovation Discovery events during which 46 lab inventors gave presentations on 26 technical projects. These events generated a total of 114 potential disclosures, from which 22 patent applications were filed. By spring 2013, eight new patents had already been issued, with 14 patent applications still pending.

As a result of this remarkable success, the Navy Technology Transfer Program Office (Navy T2) initiated a pilot project to make the NSWC Crane’s Innovation Discovery process available to other Navy labs. TechLink, a DoD Partnership Intermediary at Montana State University, was asked to implement this pilot project. The first phase of the project involved several steps:

(1) Documenting the NSWC Crane process by observing an Innovation Discovery event at the lab and interviewing key personnel involved in its development

(2) Determining how the Innovation Discovery process could be adapted for use by other Navy labs

(3) Conducting research to develop new techniques and approaches to enhance the process

(4) Testing these proposed enhancements by staging Innovation Discovery events at four additional Navy labs

(5) Identifying “best” or recommended practices based on the experiences and lessons learned during this pilot project

(6) Developing a handbook or “user’s manual” to enable other Navy labs to implement this process, drawing on their own resources

The Navy T2 pilot project was launched in early 2013. The NSWC Crane held an Innovation Discovery event on 23 January 2013 that was attended by the TechLink team and various Navy observers. This event enabled the TechLink team to document the Crane process. Subsequently, the TechLink team collaborated with the Navy tech transfer community to hold Innovation Discovery events at four additional Navy labs:

► Naval Undersea Warfare Center Division Newport (NUWCDIVNPT) in Newport, Rhode Island, on 28 March 2013

Background Page | 6


NOTE

This handbook reflects the

lessons learned and best practices

developed at seven different Navy labs

► Naval Air Warfare Center Training Systems Division (NAWCTSD) in Orlando, Florida, on 4 April 2013

► Naval Air Warfare Center Aircraft Division (NAWCAD) in Patuxent River, Maryland, on 5 June 2013

► SPAWAR Systems Center Pacific (SSC Pacific) in San Diego, California, on 19 June 2013

Following these Innovation Discovery events, the TechLink team developed an initial “beta-‐test” version of the handbook. During a second phase of the pilot project, with TechLink guidance, this beta version was used by three Navy labs to organize their own Innovation Discovery events. One of these labs had participated in the first phase of the pilot project; two were entirely new to the process. The three Navy labs were the following:

► NUWCDIVNPT in Newport, Rhode Island, on 30 October 2013

► Naval Surface Warfare Center (NSWC) Corona Division in Corona, California, on 5 February 2014

► Naval Surface Warfare Center (NSWC) Panama City Division in Panama City, Florida, on 27 March 2014

In addition, the TechLink team conducted an Innovation Discovery event at NSWC Crane on 11 December 2013. Test use of the beta version of the handbook, and test use of the refined process at NSWC Crane, enabled the TechLink team to refine the handbook contents prior to finalization for general use. The present version of the handbook is the result.

This handbook describes the Innovation Discovery process developed during the Navy T2 pilot project. The handbook is intended to provide sufficient detail to enable Navy labs new to the process to successfully conduct their own Innovation Discovery events. Basically, the handbook is intended as a complete do-‐it-‐yourself “user’s manual” that Navy labs can use to either increase their number of invention disclosures or improve existing disclosures in order to develop more valuable, commercially viable patents.

The handbook first presents the background of the Innovation Discovery process at NSWC Crane and summarizes steps taken to adapt this process for general use within the Navy lab system. Next, it provides a brief discussion of the rationale for the Innovation Discovery process, explaining that, in addition to increasing the quantity and quality of IP, the process provides other major benefits to the lab. This is followed by a discussion of key variants of the Innovation Discovery process—the different purposes to which it can be productively applied. Following this, the handbook

Background Page | 7


summarizes the roles and responsibilities of the key participants: the S&Es, the panel members, the facilitator and scribe, and the organizing team. Next, it explains the theoretical foundation of the process, which is firmly grounded in the extensive body of research on “brainstorming.”

The main body of the handbook consists of a comprehensive overview of how to organize and conduct an Innovation Discovery event. This section is intended to provide enough detail to enable interested Navy or other DoD labs to organize and conduct their own Innovation Discovery events. It consists of a set of instructions drawn from lessons learned and best practices developed during over a dozen Innovation Discovery events at seven different Navy labs. It is anticipated that, as different Navy labs implement the process, they will glean insights and learn lessons that can be productively shared with other members of the Navy lab system.

The handbook concludes with a substantial set of appendices. These appendices are intended to serve as a complete resource section. They include comprehensive checklists for planning an Innovation Discovery event, a sample non-‐disclosure agreement for the panel members, a PowerPoint template for use by lab S&Es when preparing presentations of their technologies, a suggested room layout for the event, a sample agenda, and a sample attendee evaluation form.

Purpose of the Innovation Discovery Process Page | 8


OBJECTIVES

• Improve transfer, transition, and commercialization

• Engage lab S&Es in technology transfer

• Raise visibility with senior management

• Build outside awareness of the lab as a national center of innovation

PURPOSE OF THE INNOVATION DISCOVERY PROCESS

The Innovation Discovery process is designed to achieve several important objectives for Navy laboratories and their Offices of Research and Technology Applications. First and foremost, the process is designed to improve the transfer, transition, and commercialization of inventions being developed at the lab, leading to enhanced defense capabilities and positive economic impacts. Depending on the orientation of the Innovation Discovery event, this primary goal is achieved through increasing the number of invention disclosures and, ultimately, the number of patents; improving the quality of patent applications, leading to better, more commercially valuable patents; and/or identifying promising commercialization opportunities, leading to improved licensing success.

A second important objective of the Innovation Discovery process is to engage the lab’s S&Es in disclosing their inventions, filing for patents, and participating in the T2 and commercialization process. The Innovation Discovery process has the potential to be very effective at implementing a culture change in a laboratory. Over time, most of the major research groups at the lab will become involved in Innovation Discovery events. Through these events, they will develop increased awareness of the value of IP protection, understanding of the commercial applications of their Navy-‐focused inventions, and appreciation of the role of T2 in commercializing these inventions.

A third important objective is to raise the visibility among the labs’ senior management and key research leaders of the Office of Research and Technology Applications and its T2 function. The lab commander, chief scientist, and key research leaders will be invited to observe the Innovation Discovery events. In addition, the lab commander will be asked to give a short welcoming address to launch at least the first Innovation Discovery event. The participation of these leaders will help educate them about the Innovation Discovery process and the lab’s important T2 and transition function. Through this, it will help secure their “buy in.” Their participation also will send a strong message to the inventors and panel members that upper-‐level management supports the Innovation Discovery process.

A fourth important objective of the Innovation Discovery process is to build awareness outside the lab of the lab’s innovations and unique technological resources. The panel members will ideally become “ambassadors” for the lab. As they become aware of the lab’s inventions and the potential of these

Purpose of the Innovation Discovery Process Page | 9


inventions to help create new technology start-‐up companies and assist existing businesses in the region, they will help get the word out: The lab is a valuable national asset that has the potential to be a powerful engine of innovation and economic development.

In sum, the Innovation Discovery process will achieve several important objectives: improving the transfer, transition, and commercialization of the lab’s inventions; changing the culture of the lab’s S&Es so that they are willingly engaged in IP protection and commercialization; raising the visibility of the T2 office and its important role in moving technologies “from minds to markets” so that they can enhance the nation’s defense mission and strengthen its economy; and creating a corps of influential ambassadors, who can increase outside awareness of the lab’s inventions and potential to foster economic development.

Variants of Innovation Discovery Page | 10


GOAL

Produce Invention Disclosures

VARIANTS

• Invention Discovery

• Invention Improvement

• Commercialization Exploration

VARIANTS OF INNOVATION DISCOVERY

The Innovation Discovery process can be used at several stages of the T2 continuum, depending on the degree to which the invention has progressed towards commercialization. Specifically, the Invention Discovery process is designed to help S&Es who have not yet started the process of moving toward a patent and disclosed their invention to the lab. Once an invention has been disclosed, the Invention Improvement variant can be used to enhance the patent application that will be filed on the invention, leading to an improved patent. Finally, once a patent has been issued or the patent process is sufficiently advanced that there is a good understanding of what patent claims will be granted, the Commercialization Exploration option can help identify and refine the best targets for marketing and licensing of the technology.

Invention Discovery

Invention Discovery was the initial model for the Innovation Discovery process and has been used extensively at NSWC Crane as well as during the Navy T2 pilot project, with impressive results.

The Invention Discovery process is most suitably applied to technology projects that are believed to have generated inventions but where it’s not entirely clear what is “novel, unique, and non-‐obvious” and what commercial applications exist for these inventions. Typically, these projects involve S&Es who are focused on the practical and applied end of the abstract to concrete continuum. Good examples would be engineers who are working on a solution to a specific problem on a Navy submarine. Often these technologists have developed some IP, but they’re not really aware of what it is because they’re focused on efficiently and effectively solving the problem at hand. The process of presenting their work to the Innovation Discovery panel stimulates them to think about the unique, patentable, and possibly commercially valuable aspects of what they have accomplished. Additionally, the brainstorming process often leads to identification of other fields of use, other applications of the technology, and other problems that the technology could conceivably solve. It generally results in a number of potential innovation disclosures, which are then turned back to the S&Es and the lab’s patent attorneys to begin the process of developing a patent application.

The key issue in successfully conducting an Invention Discovery event is to get the S&Es to identify and concisely describe what is new and different



GOAL

Improve Patent

Applications

about their innovation. Unless there is a good understanding of how the technology is innovative, time can be wasted by the brainstorming panel thinking of implementations that are covered by other patents or that really don’t embody the unique characteristics of the potential invention.

Invention Improvement

A second variant of the Innovation Discovery process involves improving existing invention disclosures. This variant model originated during the Navy T2 pilot project, when several Navy labs indicated that their primary problem was not obtaining invention disclosures but rather getting good, commercially viable patents.

Typically the Invention Improvement process begins after the invention disclosure has been submitted and before the patent application has been filed. The goal in this case is to take a hard look at the innovation and try to expand and improve the claims, with the end goal being a broader and more commercially viable patent. Often, invention disclosures are tightly focused on a particular Navy application, and are very specific in describing that particular field of use. This may lead to good defensive patents, but it can severely limit the applicability of the technology beyond military use, keeping it from being commercially viable.

During the Invention Improvement process, the S&Es present their technologies in much the same way as for the Invention Discovery process. A key difference is that the existing invention disclosure presumably already does a good job of identifying the unique and potentially patentable aspects of the invention, and the S&Es can clearly and succinctly convey these aspects to the panel.

The panel then focuses on how to improve the disclosed invention. Two areas are especially rich for enhancement: broadening the claims, and identifying new fields of use. Often the claims in the disclosure are limited in terms of the specific application for which the invention was created. The panel can frequently generalize and abstract those specific claims to extend the patent’s coverage. For example, an invention that solves the problem of heat buildup in submarine towed-‐array cables could be broadened to include thermal management in any type of electronic devices. Further, the panel is frequently able to identify new, unforeseen, and innovative fields of use for the innovation.

The results from an Invention Improvement event are turned over to the S&Es and the patent attorneys to use in broadening and improving the patent application. In addition to using the Invention Improvement process to refine and improve invention disclosures and patent applications, some labs



GOAL

Improve the Success of Technology Transfer

may wish to use this variant as part of their invention review process, to help ensure that patenting resources are devoted to inventions with the best ultimate chance of commercialization.

Commercialization Exploration

At the other end of the commercialization spectrum are technologies for which the patenting process is complete (or close enough to completion that there is a good understanding of the IP likely to be protected). In these cases, the Commercialization Exploration brainstorming process can be used to identify the best commercial applications of the invention, with the ultimate goal being to improve marketing of these technologies to industry and increase the likelihood of successful T2. (Note, this variant has not yet been deployed by the Navy lab system—either at NSWC Crane or at the labs participating in the Navy T2 pilot project. However, it has been identified as a promising application for the Innovation Discovery process.)

Many times, a promising technology, particularly a platform technology, can be envisioned as being useful for many potential applications. Those responsible for trying to commercialize the invention may feel like they don’t know where to begin, resulting in a “shotgun approach” to marketing, rather than good focus on the few best options. The Commercialization Exploration process could be effectively used in this situation, leveraging the expertise and creativity of the brainstorming panel.

Since there is much less ambiguity about what the invention is, the Commercialization Exploration process can be highly focused on exploring potential fields of use as well as on the potential licensees for those fields of use. The process can be more guided: Identification of potential applications can be followed by identification and screening of logical licensing candidates, using specific criteria to rank these candidates in terms of their suitability and attractiveness.

Key Participants Page | 13


KEY PARTICIPANTS

• Organizing Team

• Presenters (S&Es)

• Panel Members

• Facilitator

• Scribe

KEY PARTICIPANTS

The Innovation Discovery process involves diverse participants both within and outside the lab. The roles and responsibilities of these participants are summarized below.

Organizing Team

The Office of Research and Technology Applications (ORTA) plays the lead role in implementing the Innovation Discovery process, organizing specific Innovation Discovery events, and ensuring through meticulous preparation that these events proceed successfully and achieve their objectives. It is responsible for determining when and where these events will take place; determining the specific purpose of these events; selecting the technologies that will be presented; lining up the S&Es associated with these technologies to give presentations at the event; identifying and recruiting appropriate panel members; securing an effective facilitator and a scribe; and attending to other critical details before, during, and after the event.

Presenters

The S&Es provide the content for the event. The S&Es selected do not need to be eloquent speakers but they must be able to effectively present their technologies, answer questions, and provide feedback and additional information to refine ideas in collaboration with the panel.

It is important to select S&Es who are receptive to participation in the Innovation Discovery event. It is generally well understood by technology-‐transfer professionals that, without the cooperation of the subject inventors, it is difficult to have a successful T2 project. Such cooperation also is essential in the Innovation Discovery process. In fact, it is essential to determine at the outset if inventors are interested in having their technologies become commercialized. The success of Innovation Discovery events depends to a significant degree on the receptivity of the S&Es and the enthusiasm with which they present their technologies.

Panel Members

Panel members are charged with thinking creatively, interacting constructively with the other members of the panel, and being able to refrain from criticizing ideas during the divergent thinking process. Panelists selected should have strong technical or business backgrounds, with a



combination of both being ideal. Panels composed of members with diverse backgrounds are desirable because they bring different and often valuable perspectives to the Innovation Discovery process.

Promising candidates for panels include serial entrepreneurs, university entrepreneurship professors, managers of technology incubators, successful inventors, and technology firm executives. It is important to select panel members that can bring fresh perspectives to the technologies being presented. For this reason, retired lab S&Es may not be good candidates. In addition, members of the technology investor community are likely to make poor panel members because they are predisposed to reject most of the pitches for new ventures to which they are exposed. Patent attorneys (especially from the lab itself) should not be included on the panel because the critical reasoning they are trained to bring runs counter to the purpose of the Innovation Discovery process. The lab’s patent attorneys will have an important role processing the ideas generated after the Innovation Discovery event.

It is critically important that panel members have positive, constructive personalities. A single negative personality can easily poison the atmosphere, undermine the enthusiasm of the lab presenters, impede the free flow of ideas, and derail the entire Innovation Discovery event.

Facilitator

The facilitator is the single most important person determining the success or failure of the Innovation Discovery event. The Innovation Discovery process itself is robust. As a result, a facilitator need not be a “wonder worker.” Nonetheless, an experienced and skilled facilitator can make the difference between a lackluster or unproductive event and a highly successful one.

The facilitator should possess the skills to tactfully draw out the best of both the presenters and the panel. S/he also must have the presence and force of personality to keep the discussion on track, ensure that all panelists are given equal opportunity to share their insights, and keep the event on schedule.

The facilitator needs to maintain a relaxed, receptive, and judgment-‐free atmosphere, which is essential to productive brainstorming. S/he needs to immediately squash any negativity that arises (such as putdowns of other panelist ideas, or comments that the technology being presented is not novel or commercially viable). Such negativity can rapidly contaminate and undermine the entire Innovation Discovery event.



Scribe

The scribe’s function is to capture the ideas generated by the panel. An effective scribe understands a wide range of technologies, can effectively identify and quickly summarize key ideas presented during the brainstorming session, and rapidly type and multi-‐task on a computer. Data capture by the scribe functions as the building block for additional creative thinking and also serves as a record of the ideas that were generated during the Innovation Discovery event. After the event, the scribe’s information forms the basis for action by the ORTA office and the patent attorney.

It is recommended that the scribe take notes using a computer program such as Microsoft Word and project the summarized ideas on a screen in front of the room so they can be easily seen by the panel. The ideas can be captured in a bulletized format on a page with two to three columns. Or, they can be captured on virtual “Post-‐Its” or “sticky notes” (the method developed during the Navy T2 pilot project). One such program, Stickies, is available free online and includes a variety of useful formatting and export features (www.zhornsoftware.co.uk/stickies/). If desired, the sticky notes can be projected onto a “corkboard” background on the projector screen. A wide array of corkboard graphics are available free online. One good resource exists at http://bestdesignoptions.com/?p=23539.

An alternative, less-‐streamlined, “low-‐tech” way to capture key ideas is to use a flip chart. This is the method traditionally used at NSWC Crane, where the ideas were captured by the facilitator and a scribe was not used. While the flip chart method has the clear advantage of simplicity, its disadvantages include the following: First, most people can type much more rapidly than they can write in longhand, particularly when they are standing in front of a flip chart and writing in a large script. As a result, ideas captured with a flip chart tend to be more abbreviated and key concepts can be lost. Second, notes handwritten on a flip chart are often difficult to read. Third, notes on a flip chart are difficult to edit, especially to edit legibly, “on the fly.” Fourth, if the facilitator is the person writing on the flip chart, their rapport with the panel may be impaired. Fifth, it is logistically awkward to display the filled-‐out flip chart pages in the room so that they can be easily viewed and consulted by the panel. Sixth, it is difficult to rearrange and consolidate the ideas and concepts captured on flip charts during the final “convergent” phase of the brainstorming session. Finally, the ideas captured on flip charts need to be transcribed after the Innovation Discovery event to create a usable, permanent electronic record of the ideas generated. This involves duplication of effort.

With electronic display methods the scribe does not need to have good handwriting, just the ability to type. Information can be readily added,



subtracted, merged, or otherwise changed without the scribe having to write in small, awkward spaces. Bulleted ideas or electronic stickies can be moved around on the display quickly and easily. Finally, use of an electronic display eliminates data entry duplication—no one needs to type up handwritten notes after the event. Instead, work can be focused on revising the existing information.

Theory of Brainstorming Page | 17


PURPOSE OF BRAINSTORMING

To improve the process by which creative ideas are

generated

THEORY OF BRAINSTORMING

Optimal application of the Innovation Discovery method requires some understanding of the basic principles that underlie the process of brainstorming. This section of the handbook briefly reviews the development of the brainstorming technique and summarizes the research that has informed our current understanding of the most effective ways to use brainstorming to improve IP management and T2 in the Navy lab system.

History of Brainstorming

What is now described as brainstorming originated with a pioneering advertising executive, Alex Faickney Osborn. Osborn was a principal in the agency that eventually became known as BBDO (named after Batton, Barton, Dunstine, and Osborn, all of whom were founders of tributary agencies). Osborn wanted to improve the process by which great creative ideas were generated for use in client advertising campaigns, based on his experiences managing the creative process. His method1, which he called “brainstorming,” relied on four basic principles:

► Focus on quantity of ideas. In brainstorming, the goal is to generate a large number of ideas, based on Osborn’s belief that the greater the number of ideas, the greater the likelihood of generating one or two truly great creative ideas.

► Withhold criticism. Osborn believed that criticism was toxic to the creative process. By allowing people to think in a freewheeling manner, without fear of negative judgments, participants were believed to be more creative and freer with their ideas.

► Welcome unusual ideas. Osborn observed that many of the very best ideas came out of different ways of thinking about the problem or the application of unusual visualizations.

► Combine and improve ideas. Osborn believed that building on the ideas of others frequently allows participants to substantially improve existing ideas or generate completely original and unique

1 Osborn’s brainstorming method was detailed in a series of books on applied creativity including How to Think Up (1942); Your Creative Power (1948); Wake Up Your Mind (1952); and Applied Imagination (1953, 1957, 1963)



perspectives. Thus, participants are encouraged to “riff” on each other’s ideas in the pursuit of new and better insights.

In operation, Osborn’s creative idea-‐generation sessions were a two-‐part process. The first, or brainstorming, phase generated large numbers of ideas of varying quality. The second stage examined those ideas critically and attempted to identify the very best ideas for further refinement. The idea generation phase of the effort is often referred to as divergent thinking, and the refinement phase as convergent thinking.

Using the brainstorming process to generate creative ideas, BBDO became and remains one of the preeminent advertising agencies globally.2 Many of the most familiar advertising slogans for the most successful brands were generated using the brainstorming process. Iconic examples include General Electric’s “We Bring Good Things to Life,” Pepsi’s “The Pepsi Generation,” and DuPont’s “Better Things for Better Living…Through Chemistry.”

Subsequent Developments

Given its success in the advertising business, it is perhaps no surprise that brainstorming also has been used with great success in a wide variety of other fields, particularly in business and technology. The design firm Ideo used this process to develop the first Apple mouse, and numerous business consulting firms use brainstorming or closely related variants to encourage creative ideation with their clients. The Basadur Simplex method, used by NSWC Crane in its Innovation Discovery process, is a good example of such an application.

Further, given brainstorming’s success, it is not surprising that there has been a steady stream of research on the relative merit of brainstorming as a creative problem-‐solving technique.3 Typically, this research is conducted using the “nominal group” method, where the creative output of two types of groups is compared. One group engages in a brainstorming session while the other group of the same size has its members generate ideas independently (hence they are a group in name only—a nominal group). Typically the groups’ outputs are scored based on the number of ideas they produce, how creative those ideas are, how many domains of application those ideas span, and how well elaborated the ideas are. Interestingly, the results have not uniformly supported the hypothesis that a group of people brainstorming

2 In fact Advertising Age magazine named BBDO the Global Advertising Agency of the Year in 2011

3 One of the first of these studies was Taylor, Berry and Block’s 1958, Administrative Science Quarterly publication “Does Group Participation When Using Brainstorming Facilitate or Inhibit Creative Thinking?”, which was partially funded by the Office of Naval Research.



CAUTION!

Certain factors either limit or enhance the

group creativity process

together can produce more and better ideas than the same number of individuals thinking creatively by themselves.

As a result, extensive research has been undertaken to try to identify the specifics of how the brainstorming process differs from and compares to the nominal group situation. One of the major goals has been to improve the brainstorming process. This research has articulated a number of factors that either enhance or limit the creativity of participants as they brainstorm.4 Knowledge of these factors can be used to help ensure the success of an Innovation Discovery event.

Group Creativity Limiters

Studies that have examined group problem-‐solving and creative idea generation have identified several factors that can negatively affect group performance. These are briefly discussed below, along with some implications for how the specific negative impact might be mitigated:

► Production Blocking: The very process of an individual’s trying to interject his/her ideas in a group setting where others are simultaneously offering their ideas can result in ideas being lost or “blocked,” because only one person can effectively speak at a time.

Implication: Research indicates that production blocking increases as the group size increases. Groups of seven or fewer participants function more effectively than larger groups.

► Evaluation Apprehension: As Osborn suggests, perception that one’s ideas are subject to being criticized results in fewer and less-‐creative ideas.

Implication: It is important for the facilitator to enforce the “no criticism” norm during the brainstorming or Innovation Discovery session.

► Self-‐Censorship: When offering one’s ideas, individuals may want to censor themselves so as not to appear stupid or crazy to the other participants or to observers.

Implication: Creative thinking “warm up” exercises should be used at the start of the Innovation Discovery event to get panel members in a

4 Isaksen and Gaulin, “A Re-‐Examination of Brainstorming Research: Implications for Research and Practice,” Gifted Child Quarterly, Fall 2005, pp. 315 – 329, provides an excellent review. Also see Goldenberg and Wiley, “Quality, Conformity, And Conflict: Question The Assumptions Of Osborn's Brainstorming Technique”, The Journal Of Problem-‐Solving, Winter 2011. Much of the discussion here is drawn from these sources.



NOTE

Suspending judgment is one

of the preconditions for

effective brainstorming

lighthearted and free thinking mode, in which they are not so sensitive to how they might appear to others.

► Cognitive Inertia: Groups tend to develop ideas in a relatively fewer number of domains than independent problem solvers, because they are basing their thinking on ideas that have already been proposed.

Implication: Encouraging individuals to write down their ideas first, immediately following each S&E presentation, will open more domains for discussion. This practice is called “brain writing.”

► Uniformity Pressure: Members of a group, even a short-‐lived group like a brainstorming panel, tend to identify with each other and observe conformity norms. Thus they might not be as innovative as they would be working alone.

Implication: Having the panelists work alone first in the brain writing exercise allows them to start out with less conformity bias and results in a more creative, wide-‐ranging, and productive session.

► Group Social Processes: When working in groups, individuals might not fully contribute because they think somebody else will do it for them (a phenomenon that researchers refer to as “free riding” or “social loafing”).

Implication: The facilitator needs to make sure that all participants are aware that they will be called upon for their contribution. Then, the facilitator needs to follow up and fully engage each of the panel members and solicit their ideas.

Group Creativity Enhancers

In addition to identifying factors that stifle creativity, researchers have investigated factors that significantly increase creativity for brainstorming groups. Specifically, the following have been found to increase group creativity:

► Suspension of Judgment: As Osborn recognized, suspending judgment during the divergent thinking part of the exercise enhances group creativity, because individuals are not feeling judged. This is one of the most important group creativity enhancers.

► Prior Training: Training the group not to criticize others’ ideas, either verbally or nonverbally (referred to as “discounting”), has been shown to improve results.



► Transformational Leadership: The ability of the facilitator to motivate and inspire the panel and get it to focus on achieving outcomes is a significant contributor to group success.

► Brain Writing: Having participants start by writing down their ideas goes a long way toward preventing production blocking and helps ensure that everyone is contributing.

► Idea Seeding/Priming: Starting the process with a few basic ideas has been shown to improve the results of the Innovation Discovery process. The brain writing technique helps to “seed“ the discussion, in addition to overcoming production blocking.

► Breaks: Creativity is often enhanced after a break, since much creative processing seems to be subconscious. Taking breaks at strategic points in the Innovation Discovery process is conducive to idea generation and is a best practice.

► Electronic Brainstorming: Using the web and networks may be very effective in enhancing creativity for a group. (However, this has not yet been attempted in a Navy Innovation Discovery event.)

Preparation for an Innovation Discovery Event Page | 22


NOTE

To ensure success, plan and prepare well before the Innovation

Discovery event

PREPARATION FOR AN INNOVATION DISCOVERY EVENT

The following set of instructions provides recommended (“best”) practices for conducting Innovation Discovery events. These recommendations have been drawn from lessons learned during more than a dozen Innovation Discovery events at seven different Navy labs. Other Navy labs that are implementing the Innovation Discovery process are encouraged to follow these suggested practices to help ensure successful events. Over time, this body of recommended practices is expected to evolve and grow. As other Navy labs adapt the process to their own particular circumstances, they will learn valuable lessons that can be productively shared with other members of the Navy lab system.

Advance Planning

Plan and begin to prepare well ahead of the event. As with most workshops, planning and preparing ahead is essential for the success of Innovation Discovery events. This includes making sure that the key players are fully aware of the goals of the program, the milestones that must be achieved prior to the event, and their responsibilities in achieving these milestones.

The Navy T2 pilot project has developed comprehensive Planning Checklists to help ensure that all of the essential planning steps are taken and crucial milestones are achieved (see Appendix I). They build on the checklist previously developed by NSWC Crane and cover three key planning concerns: (1) logistics, (2) invitees/attendees, and (3) timeline. Navy labs implementing the Innovation Discovery process are encouraged to adopt these checklists and adapt them to their particular circumstances. ► Schedule an initial launch meeting for all members of the

organizing team no later than six weeks prior to the Innovation Discovery event (two or even three months ahead of the event is preferable). Review and modify the Planning Checklist as appropriate, making sure that specific individuals are assigned responsibility for each listed task (or determining that the task is not applicable). Periodically review the Planning Checklist to ensure that the tasks are being addressed in a timely way. Convening short weekly meetings for this purpose is important. The organizing team should closely follow the suggested Timeline on the Planning Checklist. This timeline has been developed through the experience acquired from over a dozen Innovation Discovery events.



► Decide when and where the Innovation Discovery event will take place and reserve the meeting facility. There are several key factors to consider when picking the venue, including whether the workshop should take place on-‐base or off-‐site. Answering this question requires a cost-‐benefit analysis that will be different for each lab. If the workshop is off-‐site, the non-‐Navy panelists and caterers will not have to pass through lab security and parking will be easier. However, there will likely be a charge for use of the off-‐site facility. Also, depending on its distance from the lab, the off-‐site location may make it more difficult for lab personnel to participate.

► Line up panel members and presenters beginning five weeks out, with firm commitments being obtained from these key participants no later than three weeks prior to the Innovation Discovery event. Panel members should be assured that there is no advance preparation required on their part and that they will likely find participation in the Innovation Discovery event to be a stimulating and highly interesting experience. They just need to show up at the start of the event and commit to staying for the duration. Presenters should be advised that they will be provided with a presentation template and complete instructions on how to prepare. The organizing team can mention that Navy S&Es who have participated in Innovation Discovery events at other Navy labs have invariably found the event to be highly engaging and rewarding. (Recommendations on how to select both presenters and panelists are provided below.)

► Ask S&Es to prepare their presentations in advance of the Innovation Discovery event, so that these presentations can be reviewed by the ORTA and facilitator and the S&Es will have time to make any necessary changes. The purpose of this advance review is to ensure that the S&E presentations are well organized, not haphazard, and that they fully and concisely communicate what is novel, useful, and non-‐obvious about the subject technologies. The organizing team should send the S&Es the recommended PowerPoint template (provided with this Handbook) three weeks prior to the event and request that they return their preliminary presentations within a week—or two weeks at the latest. That will give the organizing team time to carefully review the presentations and provide helpful suggestions for changes. The S&Es should submit their final presentations the day before the event and conduct a dry run with the facilitator. This will give the facilitator a last chance to help shape the message in order to ensure effective communication of the technologies. It will also enable the organizing team to get the



presentations preloaded on the computer that will be used at the Innovation Discovery event. The S&E presentations should not be distributed to the panel members or other non-‐Navy personnel invited to the event (in either electronic or hard copy forms) for several reasons: (1) information contained may be Navy proprietary information that needs to be protected from public release until patent applications can be filed; (2) information contained will frequently be militarily or export-‐control sensitive; and (3) it is important for panel members to bring a completely fresh, open-‐minded perspective to the Innovation Discovery event. As discussed below, all non-‐Navy participants should be required to sign a non-‐disclosure agreement (NDA) to bind them to protecting proprietary or sensitive information presented at the Innovation Discovery event.

► Plan to provide meals (continental breakfast and lunch) for the panelists, who are donating a day of their time to participate. Ideally, the same meals should be provided for the participating lab personnel. However, it is important to check with the lab’s Ethics Officer or legal staff, as different labs have different rules concerning what food expenditures are acceptable. Some labs are allowed to provide lunch for participants if the cost does not exceed $25 per person. (Normally, food is not provided for the inventors.) One practice that has worked well for lunch is having all of the participants select their choices from a menu in the morning, before the Innovation Discovery event commences. At the same time, the event organizers can collect lunch money from the Navy participants (if not covered by other funding). Then, the lunch is delivered by the caterer or picked up by the organizers as the noon hour approaches.

► Keep track of people who have been invited to attend and of how many people should be included in your counts for morning coffee/pastries, lunch, and afternoon refreshments using the Attendees and Food/Beverages portions of the Planning Checklists. “Evening social" and “dinner" are included in the checklist in case labs are planning pre-‐ or post-‐event functions. Invitees/attendees include panel members, technology presenters, and observer guests.

► Send out invitations to observers. Invitations should be sent out at least three weeks in advance of the event. The number of observers invited should be restricted to a few key individuals to reduce distraction. Essential observers, besides the T2 personnel, will include the patent counsel (for Invention Disclosure and Invention Improvement events). However, it is important to invite lab leaders and key research leaders to observe the event, to educate them and



build “buy in” for the Innovation Discovery process. Their participation also sends a strong message to the inventors and panel members that upper-‐level management supports the Innovation Discovery process. Other guests might include T2 personnel from other local labs, Department of the Navy (DoN) Technology Transfer Program Office personnel, and Partnership Intermediary Agreement (PIA) representatives.

Selection of the Facilitator

Navy labs planning to conduct Innovation Discovery events are strongly encouraged to either secure the services of a professional facilitator or identify a person in their community having the essential skills and get specific training for that person in how to lead an Innovation Discovery event. Personnel at both USI-‐CAR and TechLink are able to provide this specialized training. Over time, as other facilitators become experienced in leading Innovation Discovery events, they will be able to provide training for new facilitators.

Selection of Technical Projects

Carefully select the technical projects that will be presented. ORTAs usually have a general awareness of the technologies being developed in their labs and of which ones are potential candidates for the Innovation Discovery process. Technical department heads also can play a key role in identifying candidate projects and in encouraging the associated S&Es to participate.

It is often difficult, however, to determine whether a given technology is a good candidate. Past experience with the Innovation Discovery process indicates that this process generates many surprises: Technologies that initially may seem to have limited potential are frequently discovered to have significant commercial value in diverse domains. Nonetheless, several important criteria and general principles should be considered when selecting projects.

► First determine the primary purpose of the event: (1) Invention Discovery, involving documenting inventions in order to increase the number of invention disclosures; (2) Invention Improvement, to expand the claims and/or the number of commercial applications of existing invention disclosures; or (3) Commercialization Exploration, in which the goal is to identify the most promising commercial applications and commercial licensing targets for existing Navy lab patents. The purpose of the Innovation Discovery event will help direct the initial selection of technologies to be presented.



NOTE

“Good” technologies do not necessarily make good

candidates for the Innovation

Discovery process

► Make sure that S&Es who agree to participate give a firm commitment to be available and have back-‐up presenters who can speak knowledgeably about the technology in case the original participants become unavailable. Also make sure that the S&Es are aware of the deadlines for submitting preliminary and final PowerPoint presentations.

► Understand that there is a major difference between “good” technologies and good candidates for the Innovation Discovery process. A path-‐breaking invention worthy of a Nobel Prize might be a poor candidate for an Innovation Discovery event if the potential applications of the technology are already well defined. The purpose of the Innovation Discovery event is to help discover the potential applications of the technology when these are unknown.

► Generally, the more reduced to practice and the higher the technology readiness level (TRL) of the technology in question, the better its fit for an Innovation Discovery event. Innovations that are still at the conceptual stage are not good candidates because too little is known about the barriers that they may face and the potential further development paths they could take. Usually, technologies selected for Innovation Discovery events should have been reduced to practice. This is especially true for software technologies.

► Technologies clearly limited to a specific application are not good candidates. An example is most medical technologies (preventative and therapeutic vaccines and drugs, diagnostic tests, medical devices, wound care products, and antibodies and cell lines used in research), which are specific to a given disease, medical condition, or medical situation. No amount of brainstorming is going to generate realistic alternative applications for those technologies. This same principle holds in other technology fields. For example, a new metal coating that is specific to use with aluminum is probably not a good candidate for an Innovation Discovery event. Brainstorming would not discover that this coating could be used on other substances.

► Technologies that are highly generic are probably not good candidates. For example, a new biolubricant that is a drop-‐in replacement for existing petroleum-‐based lubricants would probably not benefit from brainstorming about potential applications.

► The best candidates for Innovation Discovery events are technologies that solve a problem that is likely to be widespread in many



NOTE

Panel members will become

“ambassadors” for the lab, spreading

awareness of its role as an engine for innovation and economic development

technology fields. For example, a technology that uses carbon nanotubes to dissipate heat in confined areas might have many good commercial applications in diverse fields (e.g., computers, sensors, avionics, telecommunications, and even medicine). The Innovation Discovery process can help determine the best, high-‐value applications for such inventions.

Selection of Panel Members

Carefully select the panel members. One of the most important factors in holding a successful Innovation Discovery event is having abundant, high-‐quality, creative input from the panel. Panel members need to be selected carefully to ensure this outcome.

► Experience suggests that the ideal panel size is 5 to 7 members. Smaller panels usually lack the critical mass necessary to generate and sustain an abundant flow of creative ideas. Larger panels are more difficult to manage and introduce other potential problems, such as inhibiting more reticent panel members from participating or preventing one or more panel members from fully contributing due to time constraints.

► Keep in mind that a major secondary purpose of implementing the Innovation Discovery process is to build awareness outside the lab of the lab’s innovations and unique technological resources, which could be used to help create new technology start-‐ups and assist existing businesses in the region. Panel members will ideally become “ambassadors” for the lab, spreading awareness of its potential as an engine of innovation and economic development. All else being equal, the organizing team should select panelists who, in addition to being able to provide informed, creative input on commercial applications for lab technologies, would also be effective ambassadors for the lab.

► Most of the panelists selected by the labs participating in the Navy T2 pilot project were enthusiastic about this experience and expressed strong interest in participating in future Innovation Discovery events. This suggests that after Navy labs hold their first event, they will have an established pool of experienced panelists on which they can draw for future events. These past panelists also are well positioned to suggest other well-‐qualified panelists.



Use of a Non-‐Disclosure Agreement

It is essential to have non-‐Navy panel members involved in an Innovation Discovery event sign a non-‐disclosure agreement (NDA) to protect Navy inventions and prevent violation of export-‐control regulations. For the same reason, S&E presentations should not be distributed to the panel members or other non-‐Navy personnel invited to the event (in either electronic or hard copy forms).

► The NDA is necessary because, during the Innovation Discovery event, panel members will almost certainly be presented with Navy proprietary information related to inventions made by Navy S&Es—information that is protected from public release under 35 U.S.C. § 205 and other statutes until patent applications can be filed.

► In addition to protecting Navy inventions from public disclosure until patent applications can be filed, the NDA needs to address export-‐control concerns. Inventions made by Navy S&Es will frequently be militarily or export-‐control sensitive and included on either the Munitions List and subject to International Traffic in Arms Regulations (ITAR) or on the Commerce Control List and subject to Export Administration Regulations (EAR). The NDA should legally bind panel members to not release subject information to non-‐US citizens or non-‐permanent residents (non-‐Green Card holders).

► The NDA should include a clause stating that non-‐Navy panel members agree to assign to the US government all rights to inventive claims that enhance or expand the subject invention(s), which they might make during or as a consequence of the Innovation Discovery event. This clause should also bind the panel members from using or disclosing these new inventive claims. (See Appendix II for a sample NDA that can be used for Innovation Discovery events.)

Preparing the Presenters and Panelists

Have the facilitator prepare the presenters and panelists for the event. The Innovation Discovery event is an intense, highly focused experience, and its success depends on maximizing the effectiveness of the available time. To enable and ensure this effectiveness, both the presenters and the panelists need to be fully prepared.

► The ORTA or another event organizer should give the S&Es a PowerPoint template to use in preparing their technology presentations approximately three weeks before the event. The S&Es should be asked to complete and submit their preliminary presentations well ahead of time (one to two weeks before the



NOTE

The facilitator should prepare the presenters and the panel members for the Innovation

Discovery event

Innovation Discovery event) so that these presentations can be previewed by the ORTA and subsequently by the facilitator. (See Appendix III for a suggested inventor presentation template).

► A day or two before the event, the facilitator should meet with the S&Es who will be participating and observe trial runs of their presentations. This will accomplish two key objectives: (1) it will enable the facilitator to help the S&Es improve their presentations so that they are more intelligible and communicate more effectively what is “novel, useful, and non-‐obvious” about their technologies; and (2) it will enable the facilitator to better understand these technologies and their unique aspects, so that s/he can more competently and effectively guide the panel during the brainstorming session.

► As soon as the S&Es have incorporated suggested changes to their presentations, they should provide their final presentations to the organizing team so that these presentations can be preloaded onto the computer that will be used at the Innovation Discovery event.

► Immediately prior to the Innovation Discovery event, the facilitator should conduct an orientation session for the panel members. If the panel is new, the facilitator should devote an hour to this orientation session. The facilitator should fully explain the purpose of the event, the theory behind it, the agenda that will be followed, and the rules that need to be observed. In addition, the facilitator should “loosen up” the panel members with humor and lead them through several creative problem-‐solving exercises to get them in the appropriate frame of mind for the event. If the panel consists of experienced, repeat members, this prelude can be abbreviated to a “refresher” session.

► It is very important that panelists come to the Innovation Discovery event with a fresh and open mind. They should not be given any prior information about the technologies to which they will be introduced—even the names of these technologies. This is to prevent them from conducting research on these technologies beforehand. Scientific research and past experience with Innovation Discovery events clearly indicate that such advance research is counter-‐productive, leading to preconceived notions that inhibit the creative process and free flow of new ideas.



NOTE

How the meeting room is arranged and equipped is an important factor in the success of the

event

Selection and Setup of the Meeting Room

How the meeting room is arranged and equipped is an important factor in the success of the Innovation Discovery event. The room should be prepared on the afternoon before the event. Refer to Appendix IV: Suggested Room Layout for Innovation Discovery Event for additional information.

► The room selected for the Innovation Discovery event should be small enough to provide a feeling of intimacy but sizeable enough so there is adequate space at the front for the facilitator and presenters, followed by tables and chairs for the panel members and scribe, with seating behind for the organizers and observers. Seating provided for the organizers and observers should be far enough behind the panel to minimize distraction, particularly because many of the observers will be coming and going—attending for only short periods. Eight to ten feet in back of the panel would be ideal.

► The room selected should have a built-‐in projection screen. A built-‐in projector would be an added bonus.

► The room selected should either be (1) large enough to accommodate additional tables for beverages, refreshments, and lunch, with open space for participants to interact with each other during breaks, or (2) next to such an area that can serve this purpose—perhaps an adjacent hallway. Feedback from labs that have held Innovation Discovery events indicates that casual discussions between the inventors, panel members, and the ORTAs have led to productive business relationships. It is desirable to structure the agenda and arrange the meeting venue in a way that fosters opportunities for casual conversation among participants. Some labs have scheduled social get-‐togethers the night before the workshop or immediately after the workshop to promote interactions.

► The panel members should have enough table space to accommodate their effects and enable them to jot notes and record their ideas during the brain writing sessions. They should feel “cozy” but not cramped. Be sure to equip the tables for the panel members with pens, separate sheets of paper for each technology on the Innovation Discovery agenda (which will be collected as secondary records, to supplement the scribe’s notes), and drinking water.

► A podium for use by the facilitator should be arranged at the front of the room, facing the panel and the audience. Space for the scribe should be arranged off to the side and slightly behind the panel, or in



the very first row of the audience. Close proximity is important so the scribe can hear the entire discussion, make eye contact with the facilitator, and clarify key points with the panel and the facilitator. However, situating the scribe directly with the panel can be distracting because of the scribe’s constant typing and other activities.

► A variety of hardware and software combinations can be employed. However, using two laptop computers, two projectors, and two screens is highly recommended. The room should already have a built-‐in projection screen. A second, portable screen should be set up to one side at the front of the room. The main screen will be used for the S&E presentations, the facilitator’s orientation, and the scribe’s record of the ideas generated. The second screen will be used for instructions to the panel.

► There are several advantages to having two laptop computers and two projectors. One is that S&E presentations can be projected using one computer and screen, keeping the scribe’s computer free for taking notes. This is important because PowerPoint presentations cannot be advanced remotely if the scribe is taking notes on the computer. Another advantage is that the facilitator can project instructions to the panel (or other information) on one screen while the scribe uses the other screen to capture ideas generated by the panel.

► It is recommended that the scribe use the computer’s “Extended Desktop” mode to enable him/her to prepare notes and other information out-‐of-‐sight of the panel and audience before dragging them onto the screen where they will be visible to the entire room. It is recommended that the scribe use a full-‐size keyboard to facilitate capture of panelist comments. Use of a mouse is also recommended, given the need to switch between various programs as well as edit and arrange comments generated from the panel discussions.

► It is also recommended that the scribe use a small recorder to capture panelist comments in case there is a need to clarify points made after the event. A small microphone can be set up near the mid-‐point of the panelist tables. The panel should be informed that it will be recorded but only for the purpose of ensuring accuracy of their comments. Experience with the Navy T2 pilot project indicates that the presence of the microphone and fact of being recorded is not in the least disruptive to the Innovation Discovery process.

Testing the Technical Arrangement

All audio/visual (A/V) equipment, including projectors and remote presentation controllers, should be tested the day before the event in order



to ensure compatibility (proper cable connections, software settings, and functionality) as well as to enable the organizers to make any adjustments required to the equipment and room layout. Make sure the panel and facilitator will be able to easily view all projected material and that projected material will be visible to the entire audience. A member of the facility’s A/V staff should be present during this equipment set-‐up and testing to help troubleshoot problems as well as provide additional equipment if needed. Projector resolutions capabilities vary, so the Stickies or other display software should be tested in order to determine the proper font size. Templates based on that font size should be created so the software can be employed more efficiently the day of the actual event.

► Set up and test the scribe’s computer with the projector in “Extended Desktop” mode.

► Set up and test presentation remote controls from desired speaking positions. If more than one remote is used, make sure the remotes do not override one another.

► Ensure that the projectors are placed in such a way that they will not disturb the panel or the audience.

► Ensure that the projected images can be viewed well by the panel and audience.

► Secure any cords that might be a tripping hazard.

► Usually microphones are not needed if the room is appropriately sized. However, if the event needs to be held in a larger room, a sound check should be conducted to confirm that people in the back of the room will be able to easily hear the S&Es and facilitator, taking into consideration that some presenters normally speak softly.

► Obtain the A/V liaison’s contact information for emergency use if technical difficulties arise during the event.

The Innovation Discovery Event Page | 33


THE INNOVATION DISCOVERY EVENT

The extensive preparations taken in organizing the Innovation Discovery event will help ensure that the event is successful and eliminate most of the uncertainties and potential problems that could otherwise be encountered on the actual day of the event. These preparations will help make the event relatively stress-‐free and help create a positive atmosphere. Innovation Discovery events held during the Navy T2 pilot program were invariably highly engaging and entertaining and meticulous advance preparation was one of the main reasons.

As was the case with the previous section, this section on how to conduct an Innovation Discovery event consists of instructions that incorporate recommended or “best” practices drawn from lessons learned at seven different Navy labs. These labs, collectively, have held over a dozen Innovation Discovery events. Other Navy labs that are implementing the Innovation Discovery process are encouraged to follow these suggested practices to help ensure successful events.

Participants arriving at the event should be provided with a final version of the agenda for the day. (See Appendix V for a sample agenda that can be used for Innovation Discovery events.)

Introduction

The moderator (ORTA or another key organizer) should open the Innovation Discovery event by welcoming the participants. Opening remarks should be brief and upbeat. For example, these remarks could set the stage by providing a short overview of T2 at the lab, referencing notable lab T2 successes, and laying out goals for T2 in the future, including implementation of the Innovation Discovery process. If a high-‐level official from the DoN or the lab’s command structure is in attendance, they could be asked to give brief remarks. (Lunchtime will provide another opportunity for such guests to speak). Important “housekeeping” items should be addressed during the introduction, such as the location of lavatories and arrangements for lunch. Finally, the moderator should introduce the facilitator, giving a short overview of his or her qualifications for the task.

Orientation Session

After being introduced, the facilitator should lead an orientation session for the panel members. This orientation should be substantial—45 to 60 minutes in length. Although targeted toward the panel members, this orientation is also highly effective in preparing and setting the tone not only for the panelists, but also for the audience members. The S&Es presenting



NOTE

The orientation session is

primarily for the panel but it also benefits the audience

during the day should be invited to join the audience. During the pilot program, inventors who attended the orientation sessions found them to be highly informative and useful. Recommended elements of the orientation session include:

► Review of Innovation Discovery Process: Briefly explain the background of the Innovation Discovery process, including its origins at NSWC Crane and its evolution during the Navy T2 pilot project. This will help establish the efficacy of the process, and demonstrate the Navy’s commitment to the program. The results from NSWC Crane, the first Navy facility to utilize Innovation Discovery, can be cited to demonstrate how the process can be used to change the culture within a lab and generate successful T2 outcomes.

► Brainstorming History and Research Findings: Present the scientific underpinning of brainstorming to add historical perspective and convey the well-‐established nature of the process and its widespread use in advertising, business, and scientific enterprises. References to familiar advertising campaigns that were derived from brainstorming help to establish the legitimacy of the process. Discuss the four basic principles of brainstorming (focusing on generation of many different ideas, withholding criticism, welcoming unusual ideas, and combining and improving ideas), as well as the differences between divergent and convergent thinking. Also discuss group creativity limiters and enhancers.

► Conduct Creativity Exercises: Engage the panel (and audience) in a mix of creativity exercises, such as word association puzzles, alternative uses puzzles, and cartoon caption contests. These exercises are intended to get the panelists thinking “outside the box” to prepare them to contribute creatively and in an uninhibited manner during the actual Innovation Discovery event.

► Describe Roles and Establish Expectations: Highlight the major roles for the facilitator, innovators, and panelists, emphasizing the importance of creative thinking and the prohibition against criticism during the divergent thinking process. Present the general outline and timeline for each innovation presentation and discussion and conclude the training.

Technology Rounds

Each Innovation Discovery event consists of several technology rounds, each of 90 minutes duration. Experience during the Navy T2 pilot project indicates that three technology rounds constitute the ideal number and



TECHNOLOGY ROUND

Understanding the Technology

• Innovator’s Story • Question & Answer

Divergent Creative Thinking

• Brain Writing • Priming • Panel Brainstorming

Convergent Idea Refinement

• Reorganization & Exploration

• Discussion • Selection of Promising Ideas

require a full day. Panelists responding to post-‐event questionnaires claim that they are exhausted after three rounds. On occasions in which more than three rounds were scheduled, the additional rounds seemed to suffer from mental fatigue being experienced by both the panelists and the facilitator.

Each round consists of four parts:

(1) Understanding the Technology (30 min. total)

© The Innovator’s Story: The inventor or invention team presents the technology and explains its key features and benefits—what makes the technology novel, useful, and non-‐obvious. (Approximately 15 min.)

© Question and Answer: Panel members ask questions of the S&E presenter(s) to clarify points and to ensure that they have a good basic understanding of the technology. The facilitator can also ask questions if s/he feels that the presenters omitted to mention any key points. (Approximately 15 min.)

(2) Divergent Creative Thinking (30 min. total)

Following the technical presentation and Q&A period, the brainstorming or “divergent” thinking phase begins. The S&E presenter(s) should be requested to remain silent during this phase. This phase is conducted without critique. The practicality or technical feasibility of ideas are not considered during this phase. The goal is to generate as many creative ideas as possible. The facilitator needs to ensure that all panelists remain positive during this phase and neither verbally nor non-‐verbally (such as through smirks or raised eyebrows) disparage others’ ideas, no matter how wild or crazy.

© Brain Writing: Ask panelists and audience members to write down as many of their own ideas as they can in the allotted time, giving thought to potential applications of the technology, prospective users, and other problems the technology might be able to solve. Since this is the divergent phase, ideas need to be only partially developed before being presented. (Approximately 5 min.)

© Priming: Ask panelists to share aloud the ideas they generated during brain writing. The goal of this phase is to seed further thoughts and ideas among the panel. The facilitator should ensure that all panelists are participating and sharing ideas. Panelists are encouraged to build



on the ideas of others to further expand the breadth and depth of ideas. Key ideas are identified and captured via collaboration between the scribe and facilitator. If the scribe is technologically adept and skillful in summarizing information, s/he can capture most of the ideas as they are generated, briefly interjecting as needed if an idea is unclear. The facilitator also can reiterate and condense key ideas for capture by the scribe—a technique that also is useful for confirming the idea with the presenting panelist as well as clarifying the thought for other panel members and the scribe. (Approximately 10 min.)

© Panel Brainstorming: During this phase, the panel is guided in expounding upon the ideas generated during the brain writing and priming exercises. They should explore applications in more detail, discuss potential markets and users, and generate additional ideas. Again, this stage is for idea generation, not criticism. The facilitator should ensure that all panelists have the opportunity to participate, and work with the scribe to make sure that all ideas are captured. (Approximately 15 min.)

(3) Convergent Idea Refinement (30 min. total)

The brainstorming or divergent creative thinking session is followed by a “convergent” idea refinement phase. During this phase, the plethora of ideas generated (which have been captured by the scribe on virtual sticky notes and projected onto the screen at the front of the room, in full view of the panel) are revisited and examined. The purpose is to better organize and flesh out these ideas. During this phase, the S&E presenter(s) can be consulted about the technical feasibility of specific ideas. The facilitator plays a key role during this phase in guiding the panel in organizing and synthesizing the ideas generated. This phase consists of the following elements:

© Reorganization and Exploration: The brainstorming ideas are combined or re-‐categorized into more highly focused technology applications and market segments. In addition, some of the practical considerations of the generated ideas are explored.

© Discussion: Ideas are combined or categorized as needed to make them more logical and coherent. Reasonable critiques may be offered at this time as long as the overall atmosphere remains positive. One technique is to voice concerns over a particular idea (cost, technical feasibility, market size/saturation, etc.) but not dwell on them or pronounce the concern as a definitive deal-‐breaker.



NOTE

Much of creativity is subconscious—periodic breaks facilitate and enhance creativity

© Selection of Promising Ideas: This step is optional. Initially, during the Navy T2 pilot project, panelists were asked to vote for the three ideas they considered to be the best. The facilitator called for a simple show of hands for each technology and the scribe recorded the votes. However, midway during the second Navy T2 pilot project, the panel decided that this step was not useful, as it required anointing some ideas as superior to others in the absence of any real data or analysis. Some panelists also stated that voting was not in the creative spirit of the Innovation Discovery process. (Patent counsel also indicated that this step was not helpful to them.) This step was dropped for all subsequent Innovation Discovery events.

(4) Wrap-‐Up

The facilitator asks panelists to submit their papers from the brain writing exercise to the scribe. These can be used by the scribe, the organizing team, and patent counsel to clarify some of the ideas captured. Additionally, the scribe puts the final touches on his or her notes from the technology round and backs up the data to a USB drive or other secondary device. Event organizers may find feedback from participants useful for planning future Innovation Discovery events. A sample Attendee Evaluation form is included as Appendix VI.

Additional Considerations

© Breaks. Research shows that creativity is mentally taxing. Allow the panel and the audience to take several short breaks throughout the event in order to remain fresh and alert. Breaks between parts I and II, and II and III in each technology round tend to work well.

© Creativity Exercises. Employ creativity activities throughout the event to keep creativity levels high and also to provide non-‐technical mental activities for the panel as well as keep the audience engaged and participating in the process. Exercises such as The New Yorker caption contests can be presented heading into a break, with all attendees encouraged to suggest captions at the conclusion of the break to kick off the next portion of the agenda.

© Lunch. Lunch provides an opportunity for extended networking. This mid-‐day break gives participants the chance to further develop professional networks and enhances the effectiveness of the event. In addition, lunch provides an opportunity for high-‐level Navy or lab



officials to provide brief remarks to the assembled group. These remarks, for example, could highlight important strengths of the lab or be designed to communicate senior-‐management support for T2 and the Innovation Discovery process.

© Post-‐Event Social. If funding and regulations allow, a casual social event immediately following the Innovation Discovery event is a nice reward for panelists, participants, and the audience. Snacks and beverages provide an informal and soft conclusion while also encouraging networking discussions.

© Hot Wash. The ORTA and other key members of the organizing team should meet immediately following the Innovation Discovery event or post-‐event social, after other participants have left the facility. The purpose of this “Hot Wash” meeting is to discuss the event while the experience is still fresh in everyone’s mind. Participants should review the highs and lows of the event, including what went well, what could be improved; which panelists should be invited to future events, and which should be replaced. They should also review observations by participants (particularly if participant evaluation forms are used) and identify ideas for later implementation, including necessary follow-‐up actions. At least one person from the ORTA office should take notes of the discussion, to assist with follow-‐up.

Appendices Page | 39


APPENDICES

This section contains the following appendices:

© Appendix I: Checklists for Planning an Innovation Discovery Event (p. 40)

© Appendix II: Sample Non-‐Disclosure Agreement (NDA) for Innovation Discovery Event (p. 44)

© Appendix III: Inventor Presentation Template (p. 48)

© Appendix IV: Suggested Room Layout for Innovation Discovery Event (p. 54)

© Appendix V: Sample Agenda for Innovation Discovery Event (p. 55)

© Appendix VI: Sample Attendee Evaluation of Event (p. 56)



Appendix I: Checklists for Planning an Innovation Discovery Event

DUE DATE No. of

Days Out TASK RESPONSIBLE PARTY Status

PRE-‐EVENT

90-‐42 Data call -‐ project requests and/or identify potential technologies

42 Lock in event and facilitators 42 Reserve event space

42 Review available A/V setup and identify gaps

42 Identify guest invitees 42 Send Save the Date to guest attendees

42 Determine catering requirements/arrangements

35 Review potential technologies and identify inventors

35 Identify potential panel members

28 Invite CO/Department Head for opening remarks and/or lunch

28 Meet with PAO to request support

28 Request event signage (if workshop is on base)

28 Review/recommend technologies

21

Send presentation request and PowerPoint template to S&Es selected to present

21 Finalize panel members

21 Confirm that there is enough interest to proceed

21

Send invitations to guest attendees and panel members with travel and security information

14 Receive preliminary presentation packages or quads for review

7 Contact unresponsive invitees 7 Suggest changes to S&E presentations

7 Establish final agenda 5 Confirm head count 5-‐2 Confirm catering arrangements

5-‐1 Receive final presentations from S&Es and conduct dry runs

1 Print final agenda and other handouts

EVENT DAY

0 Feedback – attendee evaluations 0 Debrief and lessons learned POST-‐EVENT +1 Send thank you email to panelists



LAB NAME

Event Date

Location

LOGISTICS/PLANNING Complete Task Notes Assigned To

Set event date/time/location Set training time/location

Set social date/time/location Reserve space Directions and signage Security/gate access

Parking considerations

Logistics PAO meeting to request assistance

PROJECTS Complete Task Notes Assigned To

Data call – projects

Identify tentative project list (3 projects) Secure final project list Send .PPT template for presentations to inventors Receive/review .PPT presentations Meet with inventors prior to workshop

ATTENDEES Complete Task Notes Assigned To

Guest list created Save the Date sent Request CO/TD to open event Invitations sent out

-‐ To panel members -‐ To inventors -‐ To other ORTAs/govt. attendees Logistics package included Ping unresponsive invitees Provide guest list to security/front desk



FOOD/BEVERAGES Complete Task Notes Assigned To

Does meeting space need to be paid for? -‐ Pre-‐meeting coffee/pastries -‐ Lunch -‐ Afternoon refreshments -‐ Evening social -‐ Dinner Confirm head count (3 days prior)

AUDIO VISUAL/CHARTS Complete Task Notes Assigned To

Determine needs for A/V support

REGISTRATION DESK Complete Task Notes Assigned To

Name tags NDA's signed Info packets

-‐ Create/print agendas -‐ Evaluation forms (for attendees)

Lab/Navy T2 propaganda

PUBLIC AFFAIRS SUPPORT (OTHER)

Complete Task Notes Assigned To Gate board announcement

Articles/event coverage Photos

ADVERTISING/PR Complete Task Notes Assigned To

Directional posters

Signage on roadways

Easels



Pre-‐Event Follow-‐up Complete Task Notes Assigned To

Send reminder e-‐mails CO talking points Meet with inventors, go through presentations

Day of Event Complete Task Notes Assigned To Collect/compile evaluation sheets

Post Events Complete Task Notes Assigned To Thank you e-‐mail to attendees Compile attendee evaluation sheets Schedule debriefing meeting Assemble notes from event for legal counsel

Follow-‐up on invention disclosures/patent applications with legal counsel

Submit outcomes report to Navy T2 PM



Appendix II: Sample Non-‐Disclosure Agreement (NDA) for Innovation Discovery Event

-‐-‐-‐-‐-‐-‐-‐-‐-‐-‐-‐-‐-‐-‐-‐-‐-‐-‐-‐-‐-‐-‐-‐-‐-‐-‐-‐-‐-‐-‐

Whereas the parties of this agreement are:

Department of the Navy Laboratory Name City, State, Zip (Hereinafter referred to as LAB NAME or ABBREVIATION) and NAME _____________________________________ Home address ________________________________ _________________________________ (Hereinafter referred to as NON-‐NAVY PARTY)

NON-‐DISCLOSURE AGREEMENT

For purposes of this Agreement, the NON-‐NAVY PARTY includes its

subsidiaries and affiliates, any entity with which the NON-‐NAVY PARTY may

hereafter merge or affiliate, and any other successor of the NON-‐NAVY

PARTY.

The NON-‐NAVY PARTY will be participating as a panel member in a

commercialization opportunities exploration event taking place at LAB

NAME or ABBREVIATION on DATE. The event will explore Navy proprietary

information protected from public release under 35 U.S.C. § 205 and other



statutes. LAB NAME or ABBREVIATION will provide the NON-‐NAVY PARTY

protected information concerning technologies related to inventions made

by LAB NAME or ABBREVIATION employees for the purpose of review and

discussion at the event. The subject proprietary and protected information is

identified as United States Patent Application Serial No. ________________

entitled “Title” (Navy Case No. _______________); “Title” (Navy Case No.

____________); and United States Patent Application Serial No. ________________

entitled “Title” (Navy Case No. ________________).

The subject information may NOT be released to non-‐US citizens or

non-‐permanent residents (non-‐Green card holders). The NON-‐NAVY PARTY

agrees to hold the information in strict confidence; to not release the

information to any third parties without permission from LAB NAME or

ABBREVIATION; and to protect information from unauthorized use and

disclosure thereof through all employees of the NON-‐NAVY PARTY. The

NON-‐NAVY PARTY also agrees to refrain from using the information for any

purpose other than discussing and assessing the inventions and technologies

as part of the commercialization opportunities evaluation event.

The NON-‐NAVY PARTY agrees to assign to the government the rights in

inventive claims that may arise in the course of or as a consequence of the

commercialization opportunities evaluation event. The NON-‐NAVY PARTY

agrees that ideas generated by LAB NAME or ABBREVIATION employees

during interactions with the NON-‐NAVY PARTY that may provide

enhancements or further solutions to the subject proprietary and protected



information, are subject to this Agreement, and are not to be used or

disclosed by the NON-‐NAVY PARTY without written permission from LAB

NAME or ABBREVIATION.

The NON-‐NAVY PARTY further agrees to return this Agreement, duly

executed, to:

Name of Counsel Office of Counsel Laboratory Street Address City, State, Zip email address

before the subject information is released.

Upon completion of the event by the NON-‐NAVY PARTY, all

information provided by LAB NAME or ABBREVIATION will be either

returned or destroyed as requested by the Office of Counsel, LAB NAME or

ABBREVIATION. This information includes any reproductions to either

electronic or hard media while the information was in the possession of the

NON-‐NAVY PARTY. Reproductions include but are not limited to copies,

scanning, laboratory notes or other items of tangible recollection in which

the information is substantively present.

The NON-‐NAVY PARTY's confidentiality obligations of non-‐disclosure

and non-‐use shall expire upon public dissemination of the subject

information and any related information provided by LAB NAME or

ABBREVIATION during the event. The NON-‐NAVY PARTY's confidentiality

obligations of non-‐disclosure and non-‐use shall NOT apply to information



already in the public domain; in the possession of the NON-‐NAVY PARTY

prior to receipt hereunder; lawfully received from a third party without

restriction; or independently developed by personnel of the NON-‐NAVY

PARTY having no access to information received hereunder.

This Agreement shall be construed and interpreted in accordance with

the applicable laws of the United States of America.

IN WITNESS HEREOF: Name of Signature Authority: ____________________________ Title: __________________________________________ Date: ______________________________________ for the NON-‐NAVY PARTY



Appendix III: Inventor Presentation Template



Appendix IV: Suggested Room Layout for Innovation Discovery Event

Panel Scribe

Facilitator

Audience Seating

Open space for networking and mingling

Lunch/Refreshment Tables

Buffer space between panel and audience

Projector 2 (optional)

Projector

Screen

Screen 2 (optional)

Audio Recorder



Appendix V: Sample Agenda for Innovation Discovery Event

AGENDA

INNOVATION DISCOVERY EVENT

(Date and Location)

Time

0830 Welcome to Event Training Session

0900 Panel Training: Overview of Innovation Discovery process, review of history, creativity training, day’s agenda

1000 Break/Changeover Round 1

1015 Innovation Story (Navy Lab Innovators) 1045 Brainstorming Session: Generate Ideas (Panel) 1115 Distillation Session: Reorganize and Refine Ideas (Panel) 1145 Lunch

Round 2 1230 Innovation Story (Navy Lab Innovators) 1300 Brainstorming Session: Generate Ideas (Panel) 1330 Distillation Session: Reorganize and Refine Ideas (Panel) 1400 Break/Changeover

Round 3 1415 Innovation Story (Navy Lab Innovators) 1445 Brainstorming Session: Generate Ideas (Panel) 1515 Distillation Session: Reorganize and Refine Ideas (Panel) 1545 Break 1600 Post-event Social (optional)



Appendix VI: Sample Attendee Evaluation of Event

Attendee Evaluation of Event

LAB NAME LAB LOCATION

Innovation Discovery Event DATE

1. The event was useful in facilitating the development of new ideas. Strongly Agree Agree Neither Agree nor Disagree Disagree Strongly Disagree

2. The process and desired outcomes were explained thoroughly and

clearly. Strongly Agree Agree Neither Agree nor Disagree Disagree Strongly Disagree

3. The event agenda created a positive and structured environment.

Strongly Agree Agree Neither Agree nor Disagree Disagree Strongly Disagree

4. The materials and information sent prior to the event were helpful and complete. Strongly Agree Agree Neither Agree nor Disagree Disagree Strongly Disagree

5. What value did you find in this event? (Please be specific)



6. What could (LAB NAME) do to improve future events? (Please be

specific)

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