SUPPLEMENTAL REPORT 

Department of Commerce, Annual Budget Proposal, FY 

2006 

Annual Report on Technology Transfer: 

Approach and Plans, FY 

2004 Activities and Achievements 

U.S. Department of Commerce 

Report prepared by: 

Office of Technology Policy, Technology Administration; 

National Institute of Standards and Technology, Technology Administration; 

National Oceanic and Atmospheric Administration; 

Institute for Telecommunication Sciences, National Telecommunications and Information 

Administration 

In response to the: 

Technology Transfer and Commercialization Act of 2000 (P.L. 106-404) 

January 2005 

Annual Report on DoC Federal Lab Technology Transfer, January 2005 Page 1 
Foreword. This is the calendar year 2005 edition of a report series summarizing the 

technology transfer activities and achievements of the Department of Commerce’s federal 

laboratories. This report responds to the statutory requirement for an annual “agency report on 

utilization” [15 U.S.C. Section 3710 (f)] under the revised federal-wide reporting process 

established by the Technology Transfer Commercialization Act of 2000 (P.L. 106-404). All 

federal agencies that direct one or more federal laboratories or conduct other activities under 

Section 207 and 209 of Title 35, United States Code are subject to the requirements of this 

statute. 

At the Department of Commerce, technology transfer is a part of the mission and program 

activities of principally the National Institute of Standards and Technology (Technology 

Administration), the National Oceanic and Atmospheric Administration, and the Institute for 

Telecommunication Sciences (National Telecommunications and Information Administration). 

Accordingly, this report focuses on the activities of these three departmental agencies. 

Each of the major sections of this report is organized to summarize the agency’s technology 

transfer approaches and plans and to provide specific information about the activities and 

accomplishments for FY 

2004 and several earlier comparative years. The report begins with a summary of this 

information for the Department of Commerce as a whole. 

__________ 

This report has been organized and prepared by the Office of Technology Policy (Technology 

Administration), along with the joint participation of technology transfer personnel at the 

National Institute of Standards and Technology (Technology Administration), the National 

Oceanic and Atmospheric Administration, and the Institute for Telecommunication Sciences 

(National Telecommunications and Information Administration). 

Annual Report on DoC Federal Lab Technology Transfer, January 2005 Page 2 
Table of Contents 

I. DEPARTMENT OF COMMERCE OVERVIEW...................................................................... 4 

II. TECHNOLOGY ADMINISTRATION -- NATIONAL INSTITUTE OF STANDARDS AND 

TECHNOLOGY ........................................................................................................................... 17 

1. Agency Approach and Plans for Technology Transfer......................................................... 17 

2. Performance in FY 2004: Activities and Achievements....................................................... 22 

Appendix:.................................................................................................................................. 33 

III. NATIONAL OCEANIC AND ATMOSPHERIC ADMINISTRATION............................... 34 

1. Agency Approach and Plans for Technology Transfer......................................................... 34 

2. Performance in FY 2004: Activities and Achievements....................................................... 36 

Appendix:.................................................................................................................................. 45 

IV. NATIONAL TELECOMMUNICATIONS AND INFORMATION ADMINISTRATION -- 

INSTITUTE FOR TELECOMMUNICATION SCIENCES........................................................ 46 

I. Agency Approach and Plans for Technology Transfer ......................................................... 46 

II. Performance in FY 2004: Activities and Achievements...................................................... 48 

Appendix:.................................................................................................................................. 55 

Annual Report on DoC Federal Lab Technology Transfer, January 2005 Page 3 
I. DEPARTMENT OF COMMERCE OVERVIEW 

Technology Transfer by the Department’s Federal Laboratories – Summary 

of Approaches and FY 

2004 Activities/Achievements 

The Department of Commerce works in partnership with businesses, universities, communities, 

and workers to promote U.S. competitiveness. The department pursues this objective through a 

host of policy and program activities directed at strengthening the nation’s economic 

infrastructure, facilitating the development of cutting-edge science and technology, providing an 

information base, and managing national resources. 

At the Department, research and development (R&D) in numerous areas of contemporary 

science and technology is conducted at the federal laboratories of the Technology Administration 

(the National Institute of Standards and Technology -- NIST), National Oceanic and 

Atmospheric Administration (various lab facilities across NOAA’s bureaus), and the National 

Telecommunications and Information Administration (Institute for Telecommunication Research 

– ITS). Technology transfer is part of the program activities at each of these agencies’ federal lab 

systems.1 

■ Agency Missions and Channels for Technology Transfer 

Mission Tech Transfer 

Technology Administration – National Institute of 

Standards and Technology 

NIST’s mission is to develop and promote measurement, 

standards, and technology to enhance productivity, facilitate 

trade, and improve the quality of life. NIST laboratories develop 

and disseminate measurement techniques, reference data, test 

methods, standards, and other infrastructural technologies and 

services that support U.S. industry, scientific research, and the 

activities of many federal agencies. In carrying out its mission, 

NIST works directly with industry partners (and consortia), 

universities, associations, and other government agencies. 

 

▪ The focus of NIST’s technology transfer 

activities in general is the broad dissemination 

of research results to industry, rather than the 

creation of patents and associated licenses. As 

such, NIST utilizes a diverse group of 

mechanisms to transfer the knowledge and 

technologies that result from its laboratory 

research. 

▪ Principal tech transfer mechanisms: 

CRADAs, 

Patents and licenses, 

Technical publications, 

Standard Reference Materials, 

Standard Reference Data, 

Calibration services, 

Documentary standards 

Conferences, workshops, and inquiries 

Guest researchers and facilities users. 

 

1 In reviewing the technology transfer plans and activity statistics provided by this report, it is important to 

recognize there are significant differences among the three agencies in the level of resources available to support 

R&D activities. For NIST, budget authority for R&D (including conduct of R&D and R&D facilities) in FY 2004 

totaled an estimated $457 million. For NOAA, the corresponding figure for R&D budget authority in FY 2004 is 

$617 million. For ITS, the corresponding FY 2004 figure is $6 million. 

Annual Report on DoC Federal Lab Technology Transfer, January 2005 Page 4 
Mission Tech Transfer 

National Oceanic and Atmospheric Administration 

NOAA’s primary mission is to transfer environmental data on a 

wide range of time and space scales in order to protect life and 

property, and provide industry and government decision-makers 

with a reliable base of scientific information. As part of this 

mission, almost half of the organization works to produce the 

daily weather forecast, which advises and warns the general 

public and, at the same time, provides a base of scientific and 

technical information for engineers and managers in federal and 

state governments and in the heating, construction, 

manufacturing, transportation, and health industries. 

▪ NOAA’s broad approach to tech transfer 

involves licensing intellectual property, 

cooperative research relationships with 

industry, and/or direct transfer. NOAA works 

with each of its laboratories based on its 

ability to provide the necessary resources. 

▪ Principal tech transfer mechanisms: 

Dissemination 

CRADAs, 

Patents and licenses 

National Telecommunications and Information 

Administration -- Institute for Telecommunication 

Sciences 

NTIA’s Institute for Telecommunication Sciences (ITS) supports 

agency telecommunications objectives such as promoting 

advanced telecommunications and information infrastructure 

development in the United States, enhancing domestic 

competitiveness, improving foreign trade opportunities for U.S. 

telecommunications firms, and facilitating more efficient and 

effective use of the radio spectrum. ITS also serves as a principal 

federal resource for solving the telecommunications concerns of 

other federal agencies, state and local governments, private 

corporations and associations, and international organizations. 

▪ ITS participates in tech transfer and 

commercialization by fostering cooperative 

research with industry where benefits can 

directly facilitate U.S. competitiveness and 

market opportunities. 

▪ Principal tech transfer mechanisms: 

CRADAs, 

Patents and licenses, 

Telecommunications analysis services. 

For a more detailed discussion, see the initial section of each of the agency chapters below. 

Annual Report on DoC Federal Lab Technology Transfer, January 2005 Page 5 
■ Summary of Technology Transfer Activities and Achievements across the 

Department, FY 2004 and Recent Years 

 Selected Activity Measures 

Collaborative Relationships for Research & Development 

FY 

2000 

FY 

2001

FY 

2002 

FY 

2003 

FY 

2004 

● CRADAs, total active in the FY (1)

Department 200 190 141 92 67

 NIST 208 174 125 76 51

 NOAA 10 8 8 11 9

▪ Traditional CRADAs (2)

 ITS 3 6 6 5 7

Department -- 59 1,744 1,811 1,902

 NIST 0 0 1,687 1,577 1,590

 NOAA 0 0 0 0 0

▪ Non-traditional CRADAs (3)

 ITS -- 59 57 234 312

● Other types of collaborative R&D relationships (4)

▪ Facility use agreements NIST -- 372 391 511 590

▪ Guest scientists and engineers NIST -- 1,200 1,300 1,300 1,700

▪ Collaborative standards contributions ITS -- 3 3 2 11

CRADA = Cooperative Research and Development Agreement. -- = Data not requested from agencies in reports of 

earlier years. 

(1) “Active” = legally in force at any time during the FY. “Total active” is comprehensive of all agreements 

executed under CRADA authority(15 USC 3710a). 

(2) CRADAs involving collaborative research and development by a federal laboratory and non-federal partners. 

(3) CRADAs used for special purposes -- such as, material transfer or technical assistance that may result in 

protected information. 

(4) For details on these types of R&D relationships see the respective agency’s chapter later in this report. 

Annual Report on DoC Federal Lab Technology Transfer, January 2005 Page 6 
Invention Disclosure and Patenting 

FY 

2000 

FY 

2001

FY 

2002 

FY 

2003 

FY 

2004 

Department 34 26 17 21 25 

 NIST 32 24 16 16 23 

 NOAA 2 1 1 5 2 

● New inventions disclosed in the FY (1)

 ITS 0 1 0 0 0 

Department 20 12 12 5 8 

 NIST 18 9 11 5 8 

 NOAA 2 3 0 0 0 

● Patent applications filed in the FY (2)

 ITS 0 0 0 0 0 

Department 18 21 20 9 11 

 NIST 14 20 15 7 10 

 NOAA 2 1 5 1 1 

● Patents issued in the FY 

 ITS 2 0 0 0 0 

(1) Inventions arising at the federal lab. 

(2) Tally includes: U.S. patent applications, foreign patent applications filed on cases for which no U.S. application 

was filed, divisional applications, and continuation-in-part applications. Excludes: provisional, continuation, 

duplicate foreign, and PCT applications. 

Licensing -- Profile of Active Licenses 

FY 

2000 

FY 

2001

FY 

2002 

FY 

2003 

FY 

2004 

● All licenses, number total active in FY (1) Department 43 40 41 101 125 

▪ Invention licenses, total active in FY Department 43 40 41 101 125 

Department 43 40 41 101 30 

 NIST 39 36 35 39 22 

 NOAA 2 2 3 5 5 

 - Patent licenses (2) 

 ITS 2 2 3 57 3 

 - Material transfer licenses (inventions) 0 0 0 0 0 

Department 0 0 0 0 95 

 NIST 0 0 0 0 0 

 NOAA 0 0 0 0 0 

 - Other invention licenses 

 ITS 0 0 0 0 95 

▪ Other IP licenses, total active in FY Department 0 0 0 0 0 

 - Copyright licenses (fee bearing) 

 - Material transfer licenses (non-inventions) 

 - Other 

Multiple inventions in a single license are counted as one license. Licenses that include both patents and 

copyrights(hybrid licenses) are reported as patent licenses -- and not included in the count of copyright licenses. 

(1) “Active” = legally in force at any time during the FY. 

Annual Report on DoC Federal Lab Technology Transfer, January 2005 Page 7 
(2) Patent license tally includes patent applications which are licensed. 

Note: For simplicity, sub-departmental detail is suppressed in this table, where the appropriate disaggregated figures 

are straightforwardly evident from data listed in other rows. 

Licensing Management 

FY 

2000 

FY 

2001

FY 

2002 

FY 

2003 

FY 

2004 

● Elapsed execution time,

(1) licenses granted in the FY 

▪ Invention licenses, average, months 

NIST -- 4.8 5.4 3.4 ** 

NOAA ** 6.0 8.0 5.0 ** 

ITS 6.0 ** 5.0 1.0 2.0 

● Licenses terminated for cause, number in the FY 

▪ Invention licenses

NIST -- 7 3 1 0 

NOAA 0 0 0 0 0 

ITS 0 0 0 0 0 

-- = Data not requested from agency in previous years’ reports. 

** New licenses not executed in the FY 

For additional statistics on these metrics see the corresponding table the later agency chapters of this report. 

(1) Date of license application to the date of license execution.(Date of license application is the date the lab 

formally acknowledges the written request for a license from a prospective licensee and agrees to enter into 

negotiations.) 

Annual Report on DoC Federal Lab Technology Transfer, January 2005 Page 8 
Characteristics of Licenses Bearing Income 

FY 

2000 

FY 

2001 

FY 

2002 

FY 

2003 

FY 

2004 

● All income bearing licenses, number Department 18 22 39 37 23 

▪ Invention licenses, income bearing Department 18 22 39 37 23 

Department 18 22 39 37 23 

 NIST 16 19 33 29 15 

 NOAA 1 2 3 5 5 

 Patent licenses (1) 

 ITS 1 1 3 3 3 

Department -- 13/5/4 19/1/18 20/0/17 11/0/12 

 NIST -- 12/5/2 18/2/13 19/0/10 10/0/5 

 NOAA 1/0/0 1/0/1 1/0/2 1/0/4 1/0/4 

 Exclusive/partially exclusive/ 

 ITS 0/0/1 0/0/1 0/0/3 0/0/3 0/0/3 

▪ Other IP licenses, income bearing 0 0 0 0 0 

● All royalty bearing licenses,

(2) number 18 22 36 34 23 

▪ Invention licenses, royalty bearing 18 22 36 34 23 

Department 18 22 36 34 23 

 NIST 16 19 33 29 15 

 NOAA 1 2 3 5 5 

 Patent licenses (1)

 ITS 1 1 0 0 3 

▪ Other IP licenses, royalty bearing 0 0 0 0 0 

-- = Data not requested from agency in reports of previous years. 

(1) Patent license tally includes patent applications which are licensed. 

(2) Note that royalties are one component of total license income. 

Note: For simplicity, sub-departmental detail is suppressed in this table, where the appropriate disaggregated figures 

are straightforwardly evident from data listed in other rows. 

Annual Report on DoC Federal Lab Technology Transfer, January 2005 Page 9 
Income from Licensing 

FY 

2000 

FY 

2001 

FY 

2002 

FY 

2003 

FY 

2004 

● Total income, all licenses active in FY (1) $186,368 $268,568 $164,622 $127,566 $203,289 

▪ Invention licenses $186,368 $268,568 $164,622 $127,566 $203,289 

Department $186,368 $268,568 $164,622 $127,566 $203,289 

 NIST $122,575 $261,968 $89,750 $122,850 $144,828 

 NOAA $100 $1,600 $9,402 $4,716 $24,961 

 - Patent licenses (2) 

 ITS $63,693 $5,000 $65,470 $0 $33,500 

▪ Other IP licenses, total active in the FY $0 $0 $0 $0 $0 

● Total Earned Royalty Income (3) $186,368 $263,568 $99,152 $127,566 $203,289 

▪ Invention licenses $186,368 $263,568 $99,152 $127,566 $203,289 

Department $186,368 $263,568 $99,152 $127,566 $203,289 

 NIST $122,575 $261,968 $89,750 $122,850 $144,828 

 NOAA $100 $1,600 $9,402 $4,716 $24,961 

 - Patent licenses (2) 

 ITS $63,693 $0 $0 $0 $33,500 

▪ Other IP licenses, total active in the FY $0 $0 $0 $0 $0 

(1) Total income includes license issue fees, earned royalties, minimum annual royalties, paid-up license fees, and 

reimbursement for full-cost recovery of goods and services provided by the lab to the licensee including patent 

costs. 

(2) Patent license tally includes patent applications which are licensed. 

(3) “Earned royalty” = royalty based upon use of a licensed invention(usually, a percentage of sales or of units 

sold). Not a license issue fee or a minimum royalty. 

Note: For simplicity, sub-departmental detail is suppressed in this table, where the appropriate disaggregated figures 

are straightforwardly evident from data listed in other rows. 

Annual Report on DoC Federal Lab Technology Transfer, January 2005 Page 10 
Disposition of License Income 

FY 

2000 

FY 

2001 

FY 

2002 

FY 

2003 

FY 

2004 

● Income distributed (1)

Department $186,368 $269,568 $164,622 $127,566 $203,289 

 NIST $122,575 $261,968 $89,750 $122,850 $144,828 

 NOAA $100 $1,600 $9,402 $4,716 $24,961 

▪ Invention licenses 

 ITS $63,693 $5,000 $65,470 $0 $33,500 

Department $77,931

(42%)

$106,440

(40%)

$67,387 

(41%)

$52,903

(41%)

$83,654

(41%)

 NIST $57,423

(47%) 

$102,040

(39%) 

$45,650 

(51%) 

$51,773

(42%) 

$54,134

(37%) 

 NOAA $0

(0%) 

$1,500

(94%) 

$696 

(7%) 

$1,130

(24%) 

$11,070

(44%) 

 - To inventor(s) 

 ITS $20,508

(32%) 

$2,900

(58%) 

$21,041 

(32%) 

$0

(0%) 

$18,450

(55%) 

Department $108,437

(58%) 

$162,128

(60%) 

$97,235 

(59%) 

$74,662

(59%) 

$119,635

(59%) 

 NIST $65,152

(53%) 

$159,928

(61%) 

$44,100 

(49%) 

$71,076

(58%) 

$90,694

(63%) 

 NOAA $100 

(100%) 

$100

(6%) 

$8,706 

(93%) 

$3,586

(76%) 

$13,891

(56%) 

 - To other (2)

 ITS $43,185

(68%) 

$2,100

(42%) 

$44,429 

(68%) 

0

(0%) 

$15,050

(45%) 

Invention licenses are the chief policy interest regarding disposition of income; content of table reflects this focus. 

(1) Income includes royalties and other payments received during the FY. 

(2) To internal purposes, in the case of each agency. 

Other Important Mechanisms for Technology and Knowledge Transfer (1)

FY 

2000 

FY 

2001 

FY 

2002 

FY 

2003 

FY 

2004 

Standard Reference Materials (SRMs) available NIST 1,292 1,335 1,353 1,214 1,211 

Standard Reference Materials (SRMs) sold NIST 34,020 31,985 30,996 29,527 30,490 

Standard Reference Data (SRD) titles available NIST 63 65 90 106 95 

Number of items calibrated NIST 2,969 3,192 2,924 3,459 3,373 

Technical publications produced NIST 2,250 2,207 2,236 1,918 2,074 

Journal articles published NOAA 556 544 529 626 419 

Technical reports published NOAA 418 274 363 245 300 

Technical publications produced ITS 20 17 17 20 17 

Annual Report on DoC Federal Lab Technology Transfer, January 2005 Page 11 
(1) See the NIST, NOAA, and ITS chapters later in this report for definitions and further information on these 

measures. 

Further detail on the measures cited in the tables above, as well as additional activity statistics 

can be found in the individual agency chapters later in this report. 

□ Illustrative Outcomes from Technology Transfer Cited by the Agencies 

The following cases were selected and described by the agencies in their 2003 reports as 

examples of “downstream” outcomes resulting from agency technology transfer efforts: 

Agency Downstream Outcomes Listed 

Technology Administration -- 

National Institute of Standards and 

Technology 

▪ A new food standard. Accurately measuring the content of food we 

eat, before we eat it, is a surprisingly difficult job. A recently 

developed NIST Standard Reference Material (SRM) 1946, a set of 

five bottles of frozen, homogenized trout from Lake Superior, will 

make the process both easier and more accurate. 

▪ Standard for across-the-road radar. NIST researchers have developed 

a new performance standard for “across-the-road” radar speedmeasuring device systems to help law enforcement agencies to 

purchase and use with confidence this relatively new method for 

catching speeders. 

▪ New standard to help diagnose heart attacks. Diagnosing heart 

attacks will become a more precise science thanks to the first of a new 

series of clinical standards just issued by NIST. Standard Reference 

Material (SRM) 2921 (human cardiac troponin complex) will help 

manufacturers develop and calibrate assays that measure specific 

protein concentrations in patient blood samples to determine whether 

a heart attack has occurred. 

▪ Friction in the nano/micro realm. An improved method for 

correcting nano- and micro-scale friction measurements has been 

developed by NIST researchers. The new technique should help 

designers produce more durable micro- and nano-devices with 

moving parts, such as tiny motors, positioning devices or encoders. 

▪ Production of uniform, self assembled nano-cells. NIST researchers 

have developed a new method for producing uniform, self-assembled 

nanocells has been developed by researchers at NIST. The method 

may have applications as an improved method for encapsulating drug 

therapies. 

▪ Tagging faulty genes with fluorescent nano-dots. NIST researchers 

have developed a nanoscale imaging technique that could improve the 

reliability of an important diagnostic test for breast cancer and other 

biomedical tests. 

▪ Designing an ultrasensitive “optical nose” for chemicals. NIST 

physicists have developed a technique that is believed to be more than 

1,000 times more sensitive than conventional methods. The technique 

is a laser-based method for identifying a single atom or molecule 

hidden among 10 trillion others. 

▪ Uncertainty in clinical tests raises health care costs. A new NISTcommissioned study shows that small measurement uncertainties in 

Annual Report on DoC Federal Lab Technology Transfer, January 2005 Page 12 
Agency Downstream Outcomes Listed 

clinical laboratory tests can add large amounts to health care costs. 

▪ Improving eye patient care with telemedicine standards. Computer 

scientists at NIST have teamed up with a group of medical 

professionals to advance the use of telemedicine. The standards and 

associated guidelines are related to images of the eye that help doctors 

decide what problems exist and how to treat them. 

▪ Improved dental materials. NIST and the American Dental 

Foundation (ADAF) have been collaborating on improvements in 

dental materials for over 70 years. Building upon previous ADAF 

research, NIST and the National Institute of Dental and Cranial Facial 

Research (NIDCR) of the NIH have developed new polymeric 

amorphous calcium phosphate technology, which has been patented 

by NIST. 

▪ Digital evidence. A new guide written by computer forensics experts 

under the direction of NIST’s Office of Law Enforcement Standards 

(OLES) provides step-by-step instructions to assist investigators in 

locating digital evidence so that it stands up to scrutiny once cases are 

tried. 

▪ Standardized disaster models to help first responders. NIST is 

working to make modeling and simulation programs readily 

accessible to emergency response decision-makers. Computer 

modeling and simulation programs that depict pre-disaster site 

conditions, changes due to sudden life-threatening events and 

consequences of emergency responses can be powerful tools for 

preparing for and coping with everything from terrorist attacks to 

hurricanes. 

▪ Improving emergency communications. NIST researchers are using 

buildings set for demolition to measure radio signals to develop new 

tools that may help emergency personnel save more people trapped in 

collapsed buildings. 

▪ New federal standard for improving IT security. NIST computer 

security specialists have developed a new standard to help federal 

agencies better protect their computer networks. The standard 

provides a new way to categorize government information and 

information systems. 

▪ Interoperability testbed. NIST has established a testbed at its 

Gaithersburg, Md., headquarters to help manufacturers improve the 

interoperability of their dimensional measurement systems. 

▪ New decision support software. NIST has developed and transferred 

a new decision-support software tool known as BEES (Building for 

Environmental and Economic Sustainable)to the building products 

industry, government agencies, and academic institutions. 

National Oceanic and Atmospheric 

Administration 

▪ Predicting the consequences of harmful releases. NOAA has 

developed a web-based system called the Real-time Environmental 

Applications and Display System (READY) to predict the 

consequences of atmospheric releases of radioactivity and other 

Annual Report on DoC Federal Lab Technology Transfer, January 2005 Page 13 
Agency Downstream Outcomes Listed 

potentially harmful materials. 

▪ High resolution radar data. A NOAA multi-office collaboration has 

made high-resolution radar data available to the private sector in real 

time. NOAA has created high-resolution, multi-sensor forecast tools 

for an entire region, encompassing clusters of radars without the limits 

previously imposed by the traditional single-radar approach. With 

this, it is possible for the National Weather Service and private sector 

forecasters to have a seamless depiction of weather phenomena across 

an entire forecast region on the appropriate space and time scales 

required by their customers, including emergency managers, reservoir 

operators, and flood plain managers. 

▪ New precipitation analysis tool. NOAA has developed the 

HydroEstimator, a tool which provides NOAA precipitation analysts 

with real-time, instantaneous estimates of rainfall using the GOES 

satellite infrared channel data as input. 

▪ New technology to catch swordfish and save marine turtles. 

NOAA’s National Marine Fisheries Service worked with commercial 

swordfish fishermen from 2001 through 2003 to develop new high 

seas long-line fishing technology, which greatly reduces interaction 

with threatened marine turtles. 

▪ Scientific Graphics Toolkit and ncBrowse – A NOAA lab has 

developed Java-based tools to more easily visualize oceanographic 

(and other) data in both web-based and desktop computer 

applications. 

▪ Web-based access to distributed data sets. NOAA has transferred 

Live Access Server (LAS) software for web-based browsing 

(visualization) and downloading (subsetting) of earth science data sets 

to a broad scientific community. LAS presents geographically 

distributed data sets as a unified virtual data base. 

▪ International standard for gases. NOAA maintains the world 

standard working gases for carbon dioxide, carbon monoxide, 

methane and some halocarbons. In FY 2004, NOAA provided 145 

cylinders of standard gases to 105 customers around the world. 

▪ Carbon dioxide flask analysis system. NOAA has developed the 

most accurate and reliable carbon dioxide flask analysis system in the 

world. 

▪ Programmable flask package. NOAA has developed a 

Programmable Flask Package that allows unattended collection of a 

series of air samples in glass flasks and is especially suited for aircraft 

operations. The new system allows for standardized, fast, reliable, and 

relatively cheap global carbon cycle gas sampling. NOAA provided 

drawings and specifications to two private companies, who are now 

preparing to offer these samplers commercially. 

▪ Robust high precision carbon dioxide analyzer. NOAA is assisting a 

private company to test its robust high precision CO2 analyzer at the 

Trinidad Head Baseline Station in Boulder, Colorado. This new 

instrument has the potential for continuous, real-time analyses of 

carbon dioxide at unattended locations, with the accuracy and 

Annual Report on DoC Federal Lab Technology Transfer, January 2005 Page 14 
Agency Downstream Outcomes Listed 

precision required to study the atmospheric carbon cycle. The new 

analyzer is expected to lead to a multi-million dollar private business 

within a few years. 

▪ Raster navigational charts. A NOAA CRADS with a private sector 

partner continues to provide cutting edge, digital charts to mariners, 

including weekly electronic updates delivered over the Internet. 

During FY 2004, the charts were enhanced, the delivery of updates 

evolved to provide incremental digital patches as well as cumulative 

patches, and encryption of the charts was developed and deployed. 

▪ Print-on-demand nautical charts – A NOAA CRADA with a private 

sector partner continues to provide an electronic commerce, print-ondemand service for users to access NOAA’s suite of more than a 

thousand nautical charts. During FY 2004, ‘remote printing’ has been 

perfected and deployed with 9 sites established in chart sales agent’s 

stores around the nation. 

National Telecommunications and 

Information Administration -- 

Institute for Telecommunication 

Sciences 

▪ Video quality metric – ITS has developed a superior method of 

measuring video quality objectively by machine, which closely 

predicts the quality that subjective human vision would perceive. In 

2004, this method became an international standard, with approval by 

the ITU. 

▪ Ultrawideband signal interference. ITS is currently engaged in 

cooperative research with private industry to investigate the 

interference potential of various ultrawideband waveforms. This 

knowledge will be important in planning for the interconnection of 

new ultrawideband systems with older communications technology. 

▪ Measuring emissions from radio frequency identification devices

(RFID). ITS is currently engaged in cooperative research with private 

industry examine the interference characteristics of RFIDs, including 

with land mobile radio transceivers. 

See the agency chapters below for further details on these cases. 

■ The Department’s Performance Metrics for Technology Transfer 

This year’s annual report again provides a comprehensive set of statistics on the technology 

transfer activities of each of the department’s agencies with federal lab operations. This 

information covers cooperative research and development relationships, invention 

disclosure/patenting, licensing, and other technology transfer mechanisms employed by the labs. 

There is also a new round of agency-selected case illustrations of downstream outcomes (e.g., 

commercially significant technologies) resulting from these federal lab technology transfer 

activities. 

The content and format of this year’s performance report is consistent with guidelines issued for 

the annual performance reporting by the Office of Management and Budget in its July 2004 

edition of Circular A-11. (OMB’s guidelines draw closely from the performance reporting 

approach organized by the Interagency Working Group on Technology Transfer -- which is 

coordinated by the Office of Technology Policy at the Department of Commerce. This approach 

has been the basis for the Department of Commerce’s and other agencies’ reporting over the last 

several years.) 

Annual Report on DoC Federal Lab Technology Transfer, January 2005 Page 15 
Annual Report on DoC Federal Lab Technology Transfer, January 2005 Page 16 

Again included this year are the agencies’ discussions of technology transfer efforts through 

mechanisms beyond the cooperative R&D, patenting, and licensing mechanisms that comprise 

the mainstream currently of technology transfer for most agencies. Included here are activities 

such as transfer through technical publications, development of industrial standards, other forms 

of public dissemination, and opportunities for guest scientists and engineers to participate in 

federal lab activities. Each of the agencies now indicate the important roles these “other” 

mechanism play in their overall approaches to technology transfer. Plans for technology transfer 

activities by the Department of Commerce’s federal labs generally continue to emphasize the 

development of better metrics for program performance. An appendix section at the end of each 

of the separate agency chapters below discuss the specific initiatives currently underway. 
NIST/TA 

II. TECHNOLOGY ADMINISTRATION -- NATIONAL INSTITUTE 

OF STANDARDS AND TECHNOLOGY 

Technology Transfer at the Agency’s Federal Laboratories – Approach and 

Plans, FY 2004 Activities Achievements 

1. Agency Approach and Plans for Technology Transfer 

The mission of the National Institute of Standards and Technology (NIST) is to develop and 

promote measurements, standards, and technology to enhance productivity, facilitate trade, and 

improve the quality of life. NIST’s laboratories develop and disseminate measurement 

techniques, reference data, test methods, standards, and other infrastructural technologies and 

services that support U.S. industry, scientific research, and the activities of many federal 

agencies. In carrying out its mission, NIST works directly with industry partners (and consortia), 

universities, associations, and other government agencies. 

NIST’s technology transfer activities are designed to disseminate the Institute’s measurements 

and standards research results broadly to industry and other customers. NIST pursues patents, 

licensing agreements, and related technology transfer as one of several means for transferring the 

knowledge and technologies that result from its laboratory research. Generally, NIST has the 

broadest possible downstream leverage when it uses diverse technology dissemination channels, 

ranging from reference materials and calibration services to technical publications and guest 

researchers, as well as patents, licensing agreements, CRADAs, and the like. 

Leading-edge scientific and technical work requires multiple disciplines, high levels of 

collaboration among organizations and people with diverse capabilities, and highly specialized 

facilities and tools. For more than a century, the NIST laboratories have successfully 

collaborated with industry and universities to provide the measurement techniques and technical 

tools needed by America’s innovators. NIST uses many mechanisms -- including, but not limited 

to, CRADAs and patent licensing -- to collaborate with industry and to ensure that the resulting 

knowledge and infrastructural technologies are broadly disseminated. 

While NIST does conduct “traditional” technology transfer activities (participate in CRADAs, 

hold patents, and engage in licensing), its laboratories create patents and licenses, where 

appropriate, as tools to accomplish NIST’s mission. These and other technology transfer 

mechanisms such as workshops, conferences, publications, and partnering tools, as well as 

SRMs, calibrations, and participation in documentary standards committees, enable NIST to 

disseminate its measurement capabilities to customers. Together, they represent major outputs 

that NIST’s customers use in their R&D activities, production processes, service delivery 

methods, market transactions, and other economically valuable activities. 

This sequence of activities, along with the methods NIST uses to evaluate them, are depicted in 

the following logic model: 

Annual Report on DoC Federal Lab Technology Transfer, January 2005 Page 17 
NIST/TA 

Inputs 

Funding 

Appropriated and

reimbursable funds 

Staff 

3000+ employees 

Guest 

researchers/year 

Facilities and 

Equipment

State-of-the-art 

measurement and 

standards laboratories 

(ACSL, AML 

construction) 

Activities 

Laboratory 

research 

Measurement 

services and 

product 

dissemination 

Conferences and 

workshops 

Participation in 

standards 

committees and 

working groups

Outputs 

Contributions to 

basic measurement 

science 

Measurement and 

test methods 

Standards 

development 

Calibration services 

Reference materials 

Evaluated data 

Technical 

publications 

Advisory services 

and other 

knowledge transfer 

mechanisms 

Evaluation of Performance: Outputs 

Assessment of production and 

dissemination of key product and service 

outputs as indicators of progress along 

value chain; includes: 

Standard Reference Materials 

Standard Reference Databases 

Items calibrated 

Technical publications 

Evaluation of Performance: Quality, Relevance, and Effectiveness 

National Research Council (NRC) peer review: External assessment of Laboratory 

programs, focusing on: the technical quality relative to the state-of-the-art 

worldwide; the effectiveness with which the laboratory programs are carried out 

and the results disseminated to their customers; and the relevance of the 

laboratory programs to the needs of their customers.

Impacts on Primary 

Customers 

Facilitate new R&D 

and technical 

capabilities 

Increase R&D 

productivity 

Develop new 

products, processes & 

services 

Improve product or 

service quality and 

performance 

Improve process 

quality and efficiency 

Reduce technical 

barriers to trade 

Lower transaction 

costs

Outcomes 

Supply Chain 

Impacts 

Improvements in 

sales, profits, and 

employment 

Socioeconomic 

Impacts 

Productivity gains 

Increased market 

access and 

efficiency 

Public benefits: 

higher standard 

of living; better 

quality of life 

Evaluation of Performance: 

Long-term Impacts 

Economic impact studies: Project-level 

estimates of the net present value, 

benefit-cost ratio, and social rate-ofreturn 

The set of outputs that NIST uses to transfer its measurement capabilities and technologies to 

customers includes standard reference materials, calibration services, and other products and 

services that are described below.2 

● Standard Reference Materials 

Standard Reference Materials (SRMs) are one definitive source of measurement traceability in 

the United States. All measurements using SRMs can be traced to a common and recognized set 

of basic standards that provides the basis for compatibility of measurements among different 

laboratories. As economic exchange has become more global, customers increasingly use SRMs 

to achieve measurement quality and conformance to process requirements that address both 

national and international needs for commerce and trade. NIST produces and disseminates (sells) 

SRMs to a large and diverse group of customers, including private sector laboratories, 

universities, and other federal agencies. NIST SRMs support industrial materials production and 

analysis, environmental analysis, health measurements, and basic measurements in science and 

metrology. 

The number of SRMs available for sale -- currently over 1,200 --illustrates the breadth of 

measurements supported by NIST. Over time, NIST expects slight growth in the number of 

SRMs available, given its current strategy of focusing on those SRMs that cannot be produced by 

 

2

 NIST’s authority to perform its technology/knowledge transfer activities does not rest solely in the Bayh-Dole Act, 

Stevenson-Wydler Act, Federal Technology Transfer Act (FTTA) and related legislation. It also resides in NIST’s 

Organic Act (15 USC 272) and the Standard Reference Data Act (15 USC 290). 

Annual Report on DoC Federal Lab Technology Transfer, January 2005 Page 18 
NIST/TA 

secondary laboratories and which have broad and/or high downstream impact. In establishing its 

out-year projections, the NIST SRM Program monitors, among other things, trends in emerging 

technologies, new regulations that will depend on SRMs for enforcement, and the reference 

material needs of other federal agencies. Several microeconomic studies of NIST SRM programs 

have shown the technology transfer mechanisms built into these efforts to be effective with 

resulting high economic benefits delivered to industry. 

●Calibration Services 

The NIST laboratories provide physical measurement services for their customers, including 

calibration services, special tests, and measurement assurance programs (MAPs). Calibration 

services and special tests are characterizations of particular instruments, devices, and sets of 

standards with respect to international and national standards. MAPs are quality control 

programs for calibrating entire measurement systems. NIST’s calibration services are designed to 

help the makers and users of precision instruments achieve the highest possible levels of 

measurement quality and productivity. The services constitute the highest order of calibration 

services available in the United States. NIST offers more than 500 different types of physical 

calibrations covering the following measurement areas: dimensional; mechanical, including 

flow, acoustic, and ultrasonic; thermodynamic; optical radiation; ionizing radiation; 

electromagnetic; and time and frequency. 

Over the past several years, NIST has calibrated approximately 3,000 items annually. Over the 

next several years, NIST expects to realize a relatively high but slightly declining number of 

items calibrated. This is in keeping with a long-term trend, over the past several decades, of a 

decline in the number of items calibrated by NIST. Despite this overall trend, individual years 

may fluctuate slightly due to multi-year calibration cycles. NIST expects to provide fewer but 

more highly leveraged calibration services over time. NIST’s strategy is driven by the need to 

effectively manage trends in demand from its major industry and government customers for 

these services. NIST is pursuing three strategies: (1) performing only those calibrations that 

require a direct connection to the national standards; (2) improving calibration accuracy in those 

areas where new industry demands are emerging; and (3) accrediting primary and secondary 

calibration laboratories to meet on-going industry needs. In FY 

2004, NIST accredited 82 calibration laboratories in fields ranging from dimensional metrology 

to optical and chemical. Through this overall approach, NIST efficiently leverages its primary 

calibration services to support a broader base of secondary calibrations conducted within the 

private sector. Several microeconomic studies of NIST calibration programs have shown the 

technology transfer mechanisms built into these efforts to be effective with resulting high 

economic benefits delivered to industry. 

NIST produces and makes available (i.e., sells or distributes for free) many Standard Reference 

Data titles (SRDs). SRDs provide numeric data to scientists and engineers for use in technical 

problem solving, research, and development. These recommended values are based on data 

extracted from scientific and technical literature or on measurements done at NIST laboratories, 

which are then assessed for reliability and evaluated to select the preferred values. NIST’s SRD 

databases cover many areas of science, including analytical chemistry, atomic and molecular 

physics, biotechnology, and materials sciences. 

Historically, NIST has produced two new SRD titles per year. At the same time, NIST also 

provides numerous upgrades to existing databases. Each year, however, some database titles are 

Annual Report on DoC Federal Lab Technology Transfer, January 2005 Page 19 
NIST/TA 

eliminated from the NIST catalog. Over time, NIST expects continued modest growth in the total 

number of SRD titles available. Of those titles currently available, about 50% are available for 

sale, and 50% are free online systems. Over time, a larger percentage of these titles will be 

distributed via the Internet. Several microeconomic studies of NIST SRD programs have shown 

the technology transfer mechanisms built into these efforts to be effective with resulting high 

economic benefits delivered to industry. (For additional information on NIST’s microeconomic 

impact studies see http://www.nist.gov/director/planning/impact_assessment.htm.) 

● Technical Publications 

NIST uses publications as a key mechanism to transfer the results of its work to the U.S. private 

sector and to other government agencies that need cutting-edge measurements and standards. 

Many of these publications appear in prestigious scientific journals and withstand peer review by 

the scientific community. Others appear in technological forums where measurement standards 

and technologies developed by NIST staff (at times in collaboration with private sector partners) 

are disseminated. Of the technical publications produced annually, approximately 80% are 

approved for external publication (such as in scientific journals), while the remaining 20% are 

NIST reports and special publications. Over time, NIST expects a relatively constant level of 

high quality publications (2,000-2,300 per year) to be produced by its technical staff. 

● Guest Researchers and Facilities Users 

Each year hundreds of researchers visit NIST to participate in collaborative projects and/or to use 

NIST’s research facilities. NIST makes its facilities available for limited periods of time to 

domestic and foreign guest researchers to collaborate with NIST staff on research and 

development projects of mutual interest or to transfer NIST techniques, procedures, and best 

practices. NIST also sponsors several formal collaboration programs with universities, among 

them JILA, an interdisciplinary institute for research and graduate education in the physical 

sciences, located on the main campus of the University of Colorado (CU) in Boulder, and 

operated jointly by CU and NIST; and the Center for Advanced Research in Biotechnology 

(CARB). CARB conducts research and provides interdisciplinary training in fundamental 

problems at the forefront of biotechnology through collaborations with scientists at its parent 

institutions, the University of Maryland Biotechnology Institute and NIST. 

● Advanced Measurement Laboratory 

Considered the most technically advanced research facility of its kind in the world, the new 

Advanced Measurement Laboratory (AML) at the Commerce Department’s National Institute of 

Standards and Technology (NIST) supports some of the world’s most delicate experiments in 

nanotechnology and measurement at the atomic level. The $235 million, 49,843 square meter 

(536,507 square foot) Advanced Measurement Laboratory features five separate wings—two of 

them buried 12 meters (39 feet) under ground—with stringent environmental controls on air 

quality, temperature, vibration, and humidity. The new facility allows NIST to provide the 

sophisticated measurements and standards needed by U.S. industry and the scientific community 

for key 21st century technologies such as nanotechnology, semiconductors, biotechnology, 

advanced materials, quantum computing and advanced manufacturing. 

The construction of the AML was itself a research effort even before ground was broken in June 

2000. Institute scientists created “testbed” laboratories to try out concepts for some of the 

Annual Report on DoC Federal Lab Technology Transfer, January 2005 Page 20 
NIST/TA 

building’s most exacting specifications in temperature and vibration control. While the majority 

of the building’s laboratory spaces can be temperature-controlled to within a quarter of a degree 

Celsius, some highly isolated lab modules can be controlled to within a hundredth of a degree. 

NIST research efforts planned for the new facility range from improved calibrations and 

measurement of fundamental quantities such as mass, length and electrical resistance to the 

development of quantum computing technology, nanoscale measurement tools, integrated microchip-level technologies for measuring individual biological molecules, and experiments in 

nanoscale chemistry. 

● Conferences, Workshops, and Inquiries 

NIST also transfers technology through the hosting of numerous conferences and workshops, as 

well as through answering inquiries. In FY 2004, NIST Public and Business Affairs handled 

more than 9600 inquiries. In addition, during FY 2004, this office managed 156 conferences with 

about 13,500 attendees at the NIST sites in Gaithersburg and Boulder. 

● Participation in Documentary Standards Committees 

Still another means by which NIST transfers technology is through staff participation in the 

activities of documentary standards developing organizations, which develop consensus 

standards on a host of technologies. NIST participation enables NIST scientists and engineers to 

bring NIST technology directly into a standard, which could involve test methods and procedures 

for protecting health, safety, and/or the environment, or specifications for performance or 

interoperability, to name a few. During CY 04, 365 NIST staff members participated on 892 

committees representing 91 standards developing organizations. NIST staff held 1,188 

memberships on these committees including 404 in ASTM International, 78 in the American 

National Standards Institute (ANSI), 43 in the Institute for Electrical and Electronic Engineers 

(IEEE), and 85 in the International Organization for Standardization (ISO). These activities are 

also reported by NIST to the Office of Management and Budget and to Congress as required by 

the National Technology Transfer and Advancement Act of 1995. 

Annual Report on DoC Federal Lab Technology Transfer, January 2005 Page 21 
NIST/TA 

2. Performance in FY 2004: Activities and Achievements 

The data below describe the many ways through which NIST transfers knowledge and 

technology to the private sector. In response to the reporting requirements of the Technology 

Transfer Commercialization Act of 2000 and other relevant legislation, data are provided for 

collaborative relationships for research and development relationships (CRADAs and other kinds 

of relationships), invention disclosures and patenting, and licensing. In addition, in keeping with 

the previous discussion, data are also provided for some of the other technology transfer 

mechanisms utilized by the NIST laboratories: such as Standard Reference Materials available, 

technical publications produced, items calibrated, and guest researcher collaborations. A number 

of examples of downstream outcomes from NIST technology transfer activities are also provided 

at the end. 

■ Collaborative Relationships for Research & Development 

FY 

2000 

FY 

2001 

FY 

2002 

FY 

2003 

FY 

2004 

● CRADAs, total active in the FY (1) 208 174 1,812 1,653 1,641 

 - New, executed in the FY 40 22 1,712 1,589 15 

▪ Traditional CRADAs,

(2)

 total active in the FY 208 174 *125 *76 *51 

 New, executed in the FY 40 22 25 12 15 

▪ Non-traditional CRADAs,(3) total active in the FY -- 0 1,687 1,577 1,590 

 - New, executed in the FY -- 0 **1,687 **1,577 **1,590 

● Other types of collaborative R&D relationships

▪ Facility use agreements, total in effect, end of FY (4) -- 372 391 511 590 

 -New, executed in the FY -- 172 62 308 239 

▪ Guest scientists and engineers during the FY (5) -- 1,200a 1,300a 1,300a 1,700 

CRADA = Cooperative Research and Development Agreement. -- = Data not requested from agency in reports of 

earlier years. a = Figures are approximate. 

(1) “Active” = legally in force at any time during the FY. “Total active” is comprehensive of all agreements 

executed under CRADA authority(15 USC 3710a). 

(2) CRADAs involving collaborative research and development by a federal laboratory and non-federal partners. 

(3) CRADAs used for special purposes -- such as, material transfer or technical assistance that may result in 

protected information. 

(4) NIST authorizes individuals to use designated facilities. The numbers reported here represent the Facility Use 

Agreements in effect for the NIST Center for Neutron Research. 

(5) “Guest scientists and engineers” includes foreign and domestic guest researchers, and researchers working at 

NIST under Intergovernmental Personnel Act(IPA) Agreements and CRADAs. 

* Includes CRADAs associated with all NIST programs, including Manufacturing Extension Partnership(MEP), 

Technology Services(TS), and the Director of Administration/Chief Financial Officer. 

** 1,687 “non-traditional” CRADAs were issued in FY 2002 to protect the results(under CRADA authority) of 

2,924 calibrated items from disclosure for a period of five years after development. Such “non-traditional” 

CRADAs are issued (and terminate) on an annual basis. Similarly, 1,577 and 1590 “non-traditional” CRADAs 

were issued in FY 2003 and 2004, respectively. 

Annual Report on DoC Federal Lab Technology Transfer, January 2005 Page 22 
NIST/TA 

■ Invention Disclosure and Patenting 

FY 

2000 

FY 

2001 

FY 

2002 

FY 

2003 

FY 

2004 

● New inventions disclosed in the FY (1) 32 24 16 16 23 

● Patent applications filed in the FY (2) 18 9 11 5 8 

● Patents issued in the FY 14 20 15 7 10 

● Active patents, end of the FY -- -- 199 198 143 

● Patents purposely dropped (triaged) during the FY -- -- 34 17 31 

-- = Data not requested from agency in reports of earlier years. 

(1) Inventions arising at the federal lab. 

(2) Tally includes: U.S. patent applications, foreign patent applications filed on cases for which no U.S. application 

was filed, divisional applications, and continuation-in-part applications. Excludes: provisional, continuation, 

duplicate foreign, and PCT applications. 

■ Licensing 

Profile of Active Licenses 

FY 

2000 

FY 

2001 

FY 

2002 

FY 

2003 

FY 

2004 

● All licenses, number total active in the FY (1) 39 36 35 39 22 

 ▫ New, executed in the FY 3 4 2 3 2 

▪ Invention licenses, total active in the FY 39 36 35 39 22 

 ▫ New, executed in the FY 3 4 2 3 2 

 - Patent licenses, (2) total active in FY 39 36 35 39 22 

 ▫ New, executed in the FY 3 4 2 3 2 

 - Material transfer licenses (inventions), total active 0 0 0 0 0 

 ▫ New, executed in the FY 0 0 0 0 0 

 - Other invention licenses, total active in the FY 0 0 0 0 0 

 ▫ New, executed in the FY 0 0 0 0 0 

▪ Other IP licenses, total active in the FY 0 0 0 0 0 

 ▫ New, executed in the FY 0 0 0 0 0 

 - Copyright licenses (fee bearing) 

 ▫ New, executed in the FY 

 - Material transfer licenses (non-inventions), total active 

 ▫ New, executed in the FY 

 - Other, total active in the FY 

 ▫ New, executed in the FY 

Multiple inventions in a single license are counted as one license. Licenses that include both patents and 

copyrights(hybrid licenses) are reported as patent licenses -- and not included in the count of copyright licenses. 

(1) “Active” = legally in force at any time during the FY. 

(2) Patent license tally includes patent applications which are licensed. 

Annual Report on DoC Federal Lab Technology Transfer, January 2005 Page 23 
NIST/TA 

Licensing Management 

FY 

2000

FY 

2001

FY 

2002

FY 

2003

FY 

2004

● Elapsed execution time,

(1) licenses granted in the FY 

▪ Invention licenses ** 

 ▫ Average, months -- 4.8 5.4 3.4 

 ▫ Minimum -- 2.0 2.5 1.0 

 ▫ Maximum -- 5.0 5.0 10.0 

 - Patent licenses (2)

 ▫ Average, months -- 4.8 5.4 3.4 

 ▫ Minimum -- 2.0 2.5 1.0 

 ▫ Maximum -- 5.0 5.0 10.0 

● Licenses terminated for cause, number in the FY 

▪ Invention licenses -- 7 3 1 0 

 - Patent licenses (2) -- 7 3 1 0 

Data included in this table (intentionally) addresses only invention licenses, with patent licenses distinguished as a 

subclass. 

-- = Data not requested from agency in reports of earlier years. 

(1) Date of license application to the date of license execution.(Date of license application is the date the lab 

formally acknowledges the written request for a license from a prospective licensee and agrees to enter into 

negotiations.) 

(2) Patent license tally includes patent applications which are licensed. 

** NIST processed no commercialization licenses in FY 2004. 

Annual Report on DoC Federal Lab Technology Transfer, January 2005 Page 24 
NIST/TA 

Characteristics of Licenses Bearing Income 

FY 

2000

FY 

2001

FY 

2002

FY 

2003

FY 

2004

● All income bearing licenses, total number 16 19 33 29 15 

 ▫ Exclusive -- 12 18 19 10 

 ▫ Partially exclusive -- 5 2 0 0 

 ▫ Non-exclusive -- 2 13 10 5 

▪ Invention licenses, income bearing 16 19 33 29 15 

 ▫ Exclusive -- 12 18 19 10 

 ▫ Partially exclusive -- 5 2 0 0 

 ▫ Non-exclusive -- 2 13 10 5 

 - Patent licenses,(1) income bearing 16 19 33 29 15 

 ▫ Exclusive -- 12 18 19 10 

 ▫ Partially exclusive -- 5 2 0 0 

 ▫ Non-exclusive -- 2 13 10 5 

▪ Other IP licenses, income bearing 0 0 0 0 0 

 ▫ Exclusive 

 ▫ Partially exclusive 

 ▫ Non-exclusive 

 - Copyright licenses (fee bearing) 

 ▫ Exclusive 

 ▫ Partially exclusive 

 ▫ Non-exclusive 

● All royalty bearing licenses,

(2) total number 16 19 33 29 15 

▪ Invention licenses, royalty bearing 16 19 33 29 15 

 - Patent licenses,(1) royalty bearing 16 19 *33 29 15 

▪ Other IP licenses, royalty bearing 0 0 0 0 0 

 - Copyright licenses (fee bearing) 

-- = Data not requested from agency reports of earlier years. 

In general, license income can result from various sources: license issue fees, earned royalties, minimum annual 

royalties, paid-up license fees, and reimbursement for full-cost recovery of goods and services provided by the lab to 

the licensee including patent costs. 

(1) Patent license tally includes patent applications which are licensed. 

(2) Note that royalties are one component of total license income. 

* Of the 35 licenses active in FY 2002(see the previous table), 2 were royalty-free research licenses. 

Annual Report on DoC Federal Lab Technology Transfer, January 2005 Page 25 
NIST/TA 

Income from Licenses 

FY 

2000 

FY 

2001 

FY 

2002 

FY 

2003 

FY 

2004 

● Total income, all licenses active in FY (1) $122,575 $261,968 $89,750 $122,850 $144,828 

▪ Invention licenses $122,575 $261,968 $89,750 $122,850 $144,828 

 - Patent licenses (2) $122,575 $261,968 $89,750 $122,850 $144,828 

▪ Other IP licenses, total active in the FY 0 0 0 0 0 

 - Copyright licenses 

● Total Earned Royalty Income (ERI) (3) $122,575 $261,968 $89,750 $122,850 $144,828 

 ▫ Median ERI -- n/a $2,300 n/a n/a 

 ▫ Minimum ERI -- $1,000 $700 $960 $640 

 ▫ Maximum ERI $135,927 $20,000 $35,000 $54,072 

 ▫ ERI from top 1% of licenses -- n/a $20,000 $35,000 dw 

 ▫ ERI from top 5% of licenses -- n/a $20,000 $35,000 dw 

 ▫ ERI from top 20% of licenses -- n/a $50,000 $45,000 dw 

▪ Invention licenses $122,575 $261,968 $89,750 $122,850 $144,828 

 ▫ Median ERI -- n/a $2,300 n/a n/a 

 ▫ Minimum ERI -- $1,000 $700 $960 $640 

 ▫ Maximum ERI $135,927 $20,000 $35,000 $54,072 

 ▫ ERI from top 1% of licenses -- n/a $20,000 $35,000 dw 

 ▫ ERI from top 5% of licenses -- n/a $20,000 $35,000 dw 

 ▫ ERI from top 20% of licenses -- n/a $50,000 $45,000 dw 

 - Patent licenses (2) $122,575 $261,968 $89,750 $122,850 $144,828 

 ▫ Median ERI -- n/a $2,300 n/a n/a 

 ▫ Minimum ERI -- $1,000 $700 $960 $640 

 ▫ Maximum ERI $135,927 $20,000 $35,000 $54,072 

 ▫ ERI from top 1% of licenses -- n/a $20,000 $35,000 dw 

 ▫ ERI from top 5% of licenses -- n/a $20,000 $35,000 dw 

 ▫ ERI from top 20% of licenses -- n/a $50,000 $45,000 dw 

▪ Other IP licenses, total active in the FY 0 0 0 0 0 

 ▫ Median ERI 

 ▫ Minimum ERI 

 ▫ Maximum ERI 

 ▫ ERI from top 1% of licenses 

 ▫ ERI from top 5% of licenses 

Annual Report on DoC Federal Lab Technology Transfer, January 2005 Page 26 
NIST/TA 

FY 

2000 

FY 

2001 

FY 

2002 

FY FY 

2003 2004 

 ▫ ERI from top 20% of licenses 

 - Copyright licenses 

 ▫ Median ERI 

 ▫ Minimum ERI 

 ▫ Maximum ERI 

 ▫ ERI from top 1% of licenses 

 ▫ ERI from top 5% of licenses 

 ▫ ERI from top 20% of licenses 

n/a = Data not available from agency at time of this report. 

-- = Data not requested from agency in reports of earlier years. 

dw = Data withheld to protect proprietary information. 

(1) Total income includes license issue fees, earned royalties, minimum annual royalties, paid-up license fees, and 

reimbursement for full-cost recovery of goods and services provided by the lab to the licensee including patent 

costs. 

(2) Patent license tally includes patent applications which are licensed. 

(3) “Earned royalty” = royalty based upon use of a licensed invention(usually, a percentage of sales or of units 

sold). Not a license issue fee or a minimum royalty. 

Disposition of License Income 

FY 

2000 

FY 

2001 

FY 

2002 

FY 

2003 

FY 

2004 

● Income distributed (1)

▪ Invention licenses, total distributed $122,575 $261,968 $89,750 $122,850 $144,828 

 - To inventor(s) $57,423

(47%) 

$102,040

(39%) 

$45,650

(51%) 

$51,773 

(42%) 

$54,134

(37%) 

 - To other (3) $65,152

(53%) 

$159,928

(61%) 

$44,100

(49%) 

$71,076 

(58%) 

$90,694

(63%) 

 - Patent licenses,(2) total distributed $122,575 $261,968 $89,750 $122,850 $144,828 

 - To inventor(s) $57,423

(47%) 

$102,040

(39%) 

$45,650

(51%) 

$51,773 

(42%) 

$54,134

(37%) 

 -To other (3) $65,152

(53%) 

$159,928

(61%) 

$44,100

(49%) 

$71,076 

(58%) 

$90,694

(63%) 

Invention licenses are the chief policy interest regarding disposition of income; content of table reflects this focus. 

(1) Income includes royalties and other payments received during the FY. 

(2) Patent license tally includes patent applications which are licensed. 

(3) NIST 

Annual Report on DoC Federal Lab Technology Transfer, January 2005 Page 27 
NIST/TA 

■ Other Performance Measures Deemed Important by the Agency 

FY 

2000

FY 

2001

FY 

2002 

FY 

2003 

FY 

2004

Standard Reference Materials (SRMs) available (1) 1,292 1,335 1,353 1,214 1,211 

Standard Reference Materials (SRMs) sold (2) 34,020 31,985 30,996 29,527 30,490 

Standard Reference Data (SRD) titles available (3) 63 65 90 106 95 

Number of items calibrated (4) 2,969 3,192 *2,924 3,459 3,373 

Technical publications produced (5) 2,250 2,207 2,236 1,918 2,074 

See Section I above for additional information about the measures listed here. See also the Department of 

Commerce’s annual reports under the Government Performance and Results Act(GPRA) for detailed information 

about each of these measures, analysis of trends, and future-year performance projections 

http://www.osec.doc.gov/bmi/budget/FY2005APP.htm 

(1) Direct and verifiable count of SRMs available to customers at the close of the fiscal year. The number of SRMs 

available for sale illustrates the breadth of measurements supported by NIST. Over time, NIST expects slight 

growth in the number of SRMs available. 

(2) Direct and verifiable count of NIST SRM units sold during the fiscal year. NIST expects a continued slight 

decline in the number of SRM units sold, as NIST makes greater use of highly leveraged SRM services over 

time, including accreditation of Nationally Traceable Reference Material producers. 

(3) Direct and verifiable count of SRD products developed and disseminated by NIST. NIST expects continued 

modest growth in the total number of SRD titles available. Of those titles currently available, about 70% are 

available for sale, and 30% are free online systems. Over time, a larger percentage of SRDs will be distributed 

via the Internet. 

(4) Direct and verifiable count of items calibrated by the NIST laboratories. Over the next several years, NIST 

expects to realize a relatively high but slightly declining number of items calibrated. This is in keeping with a 

long-term trend, over the past several decades, of a decline in the number of items calibrated by NIST. NIST 

expects to provide fewer but more highly leveraged calibration services over time. 

(5) Annual number of technical publications generated by NIST’s technical staff. The number is a direct count of 

the number of technical publications cleared for publication by the NIST Editorial Review Boards at the 

Gaithersburg and Boulder sites. Over time, NIST expects a relatively constant level of high quality 

publications(2,000-2,200 per year) produced by its technical staff. Of the publications produced annually, 

approx. 80% are approved for external publication(such as in scientific journals); the other 20% are NIST 

reports and special publications. 

* These 2,924 calibrated items were covered by 1,687 “non-traditional” CRADAs that protect the results from 

disclosure. 

■ Outcomes from Technology Transfer 

NIST develops and disseminates infrastructural technologies and services required by the U.S. 

private sector and other non-profit and government partners. The outputs of the NIST 

laboratories provide a foundation for industry in all stages of commerce -- research, 

development, testing, production, and marketing -- and in turn enable socioeconomic impacts, 

such as productivity gains, increased market access and efficiency, and improved quality of life. 

These impacts are long-term, accruing years after the original infrastructural technologies were 

developed by NIST (often in conjunction with industry partners). 

The examples below show how NIST’s various technology transfer mechanisms – CRADAs, 

Standard Reference Materials, joint research facilities, software, technical publications, and 

documentary standards – have, over the long term, produced outcomes that significantly benefit 

consumers and improve the quality of life. Most of these examples are linked to the NIST 2010 

Annual Report on DoC Federal Lab Technology Transfer, January 2005 Page 28 
NIST/TA 

Strategic Plan, which identifies five strategic focus areas -- measurements and standards essential 

to established industries; nanoscale measurements and data; biosciences and health care quality 

assurance; measurements and standards for public safety and security, and information and 

knowledge management -- that will require measurement capabilities and services provided by 

NIST. 

Measurements and Standards 

 A New Food Standard. Accurately measuring exactly what’s in the food we eat, before we eat 

it, is a surprisingly difficult job. A recently developed NIST Standard Reference Material (SRM) 

1946, a set of five bottles of frozen, homogenized trout from Lake Superior, will make the 

process both easier and more accurate. With carefully measured values for about 100 chemical 

constituents, the SRM will help food industry and environmental researchers assure that 

measurements of both healthful ingredients and contaminants in fish and similar foods are 

accurate. Laboratories can validate their analytical methods and instrument performance by using 

them to analyze the SRM and comparing their results to the NIST values. This also is the first 

NIST food-matrix SRM with values for omega-3 fatty acids, which have been shown to reduce 

the risk of cardiovascular disease. Other components included on the SRMs certificate include 

nutritionally significant mono-, poly- and unsaturated fatty acids. 

 NIST Standard Adopted for Across-the-Road Radar. NIST researchers have developed a 

new performance standard for “across-the-road” radar speed-measuring device systems to help 

law enforcement agencies to purchase and use with confidence this relatively new method for 

catching speeders. Unlike conventional “down-the-road” radar speed-measuring devices, acrossthe-road radar systems do not require an operator and can be programmed to detect and record 

vehicles traveling above a predetermined speed. In addition, these devices can be set to look 

selectively for cars, motorcycles or trucks. The newer systems are also less likely to be detected 

by speeders because the radar beam used is pointed across, rather than along the road. 

 New Standard to Help Diagnose Heart Attacks. Diagnosing heart attacks will become a 

more precise science thanks to the first of a new series of clinical standards just issued by the 

National Institute of Standards and Technology (NIST). Standard Reference Material (SRM) 

2921 (human cardiac troponin complex) will help manufacturers develop and calibrate assays 

that measure specific protein concentrations in patient blood samples to determine whether a 

heart attack has occurred. The SRM is a solution containing certified concentrations of three 

related proteins, including cardiac troponin I, purified from human heart tissue from cadavers. 

Users can calibrate their assays by analyzing the SRM and comparing the results to the NISTcertified value for troponin I. The standard is expected to help reduce variations in clinical test 

results from as much as 50-fold on the same sample to just twofold. 

Nanotechnology 

 Friction in the Nano/Micro Realm. An improved method for correcting nano- and microscale friction measurements has been developed by researchers NIST. The new technique should 

help designers produce more durable micro- and nano-devices with moving parts, such as tiny 

motors, positioning devices or encoders. The NIST team used a specially designed friction tester 

developed jointly by NIST and Hysitron Inc. of Minneapolis. NIST’s research is expected to 

result in new analytical tools for industry use, including the auto industry, for more reliable 

prediction of surface roughness and friction. 

Annual Report on DoC Federal Lab Technology Transfer, January 2005 Page 29 
NIST/TA 

 Method Produces Uniform, Self-Assembled Nanocells. Nanotechnology is about making 

improved products by building them from components hundreds of times smaller than a human 

blood cell. But how do you put things together at such a tiny scale? One way is to create the right 

conditions, so that they assemble themselves. For example, a new method for producing uniform, 

self-assembled nanocells has been developed by researchers at NIST. Reported in the March 10, 

2004 issue of the Journal of the American Chemical Society, the method may have applications 

as an improved method for encapsulating drug therapies. A patent application has been filed. 

 Tagging Faulty Genes with Fluorescent Nanodots. A nanoscale imaging technique that 

could improve the reliability of an important diagnostic test for breast cancer, and other 

biomedical tests, is described in the Feb. 11, 2004 online issue of Nucleic Acids Research. The 

method involves attaching fluorescent particles just 15 nanometers (billionths of a meter) in 

diameter to particular sections of DNA, followed by analysis of the intensity of the fluorescence 

signal and other properties. These particles, called quantum dots, have unique electronic and 

optical properties that make them easier to detect than conventional fluorescent tags used in 

biomedical research. The NIST team demonstrated that quantum dots give off signals that are 

200 to 1,100 percent more intense than those from two types of conventional tags, and also are 

more stable when exposed to light. The new technique is part of on-going NIST efforts to 

develop standards for a test to identify breast cancer patients who would benefit from a particular 

drug therapy. 

 Designing an Ultrasensitive 'Optical Nose' for Chemicals. A laser-based method for 

identifying a single atom or molecule hidden among 10 trillion others may soon find its way 

from the laboratory to the real world. Developed by physicists at the National Institute of 

Standards and Technology (NIST), the technique is believed to be more than 1,000 times more 

sensitive than conventional methods. Vescent Photonics of Denver, Colo., hopes to 

commercialize the method as an "optical nose" for atmospheric monitoring. The portable sensors 

would rapidly identify chemicals in a gas sample based on the frequencies of light they absorb. 

Other applications eventually may include detection of chemical weapons and land mines, 

patient breath analysis for medical diagnosis or monitoring, and industrial detection of leaks in 

subterranean pipes or storage tanks, the company says. Vescent recently signed a Cooperative 

Research and Development Agreement with NIST. The company will work with NIST to apply 

the public domain "optical nose" technique to detecting and quantifying trace quantities of 

atmospheric gases. The technique is a product of years of work and several innovations by NIST 

scientists. The approach allows analysis of gases that are present in minute concentrations and at 

very low pressures, which may enable identification of compounds such as explosives that are 

difficult to detect by other means. 

Biosciences and Health 

 Uncertainty in Clinical Tests Raises Health Care Costs. Small measurement uncertainties in 

clinical laboratory tests can add large amounts to health care costs, according to a newly NIST 

commissioned study. Conducted by RTI International (Research Triangle Park, N.C.) and the 

Mayo Clinic (Rochester, Minn.), the study estimates that calibration errors in measurements of 

calcium levels in blood may add between $60 million and $199 million to U.S. health care costs 

annually. High calcium levels can be a symptom of diseases such as cancer and thyroid 

disorders. NIST is continuing to educate the healthcare community on the importance of accurate 

calibrations, including the use of standard reference materials in clinical tests. 

Annual Report on DoC Federal Lab Technology Transfer, January 2005 Page 30 
NIST/TA 

 Improving Eye Patient Care with Telemedicine Standards. Computer scientists at NIST 

have teamed up with a group of medical professionals to advance the use of telemedicine. 

Telemedicine helps patients to have access to health care professionals electronically, whatever 

their location. It can provide fast, affordable service to people who live in isolated areas or are 

unable to travel. The standards and associated guidelines are related to images of the eye that 

help doctors decide what problems exist and how to treat them. The standards cover how to 

“capture” the images, which is similar to taking a photograph. Additionally, the standards 

provide specific procedures for storing the images electronically, sending them across 

telecommunications networks and interpreting them. The standards focus on the quality of the 

images rather than on what kind of cameras or film must be used. This approach gives health 

care professionals flexibility in choosing equipment. 

 Improvements in Dental Materials. NIST and the American Dental Foundation (ADAF) 

have been collaborating on improvements in dental materials for over 70 years. Building upon 

previous ADAF research, NIST and the National Institute of Dental and Cranial Facial Research 

(NIDCR) of the NIH, developed new polymeric amorphous calcium phosphate technology, 

which was patented by NIST. Composite dental materials were developed that stimulate 

regenerative repair of defective teeth. These composites, made of amorphous calcium phosphate 

embedded in polymers, can efficiently promote re-growth of tooth structures. In the presence of 

saliva the composite material releases calcium and phosphate ions, forming a crystalline calcium 

phosphate similar to the mineral found naturally in teeth and bone. This is the first calcium 

phosphate remineralizing technology to be marketed for dental prevention and restoration. The 

transfer and commercialization of this technology was accomplished through a unique 

collaboration involving NIST, the NIH, the ADAF, and the H.J Bosworth Company. 

Public Safety and Security Homeland Security 

 Digital Evidence. Criminal investigators increasingly find that personal computers, handheld 

devices and even mobile phones contain pictures, e-mail and other data critical to the prosecution 

of cases. A new guide written by computer forensics experts under the direction of NIST’s 

Office of Law Enforcement Standards (OLES) provides step-by-step instructions to assist 

investigators in locating digital evidence so that it stands up to scrutiny once cases are tried. 

 Standardizing Disaster Models to Help First Responders. Computer modeling and 

simulation programs that depict predisaster site conditions, changes due to sudden lifethreatening events and consequences of emergency responses can be powerful tools for preparing 

for and coping with everything from terrorist attacks to hurricanes. Yet the multitude of 

programs, incompatibility of systems as well as technical jargon in the programs themselves 

hinder widespread acceptance of the potentially life-saving technology. NIST is working to make 

such modeling and simulation programs readily accessible to emergency response decisionmakers. 

NIST is identifying the needs of emergency personnel and surveying the available modeling and 

simulation tools. It also proposes simplifying language in emergency response software to enable 

emergency personnel, at every level, to use the tools. In addition, NIST advocates industrygovernment efforts to develop interoperability standards for all modeling, simulation and 

visualization tools. Finally, NIST supports creation of an electronic “Emergency Response 

Framework” for such standardized programs. The framework would present state, local and 

national level decision-makers with a comprehensive menu of easily accessible modeling and 

Annual Report on DoC Federal Lab Technology Transfer, January 2005 Page 31 
NIST/TA 

simulation programs for understanding the extent of various threats, for training on mitigating 

damage to life and property and for coordinating emergency responses to actual events. NIST is 

currently working with other government researchers, industry software experts and emergency 

response leaders on a roadmap and development plan for the framework. 

 Improving Emergency Communications. A team of NIST scientists has begun conducting 

experiments in “laboratories” that are here one day and gone the next. The researchers are using 

buildings set for demolition to measure radio signals to develop new tools that may help 

emergency personnel save more people trapped in collapsed buildings. Recently, the NIST team 

was in New Orleans as demolition experts were getting ready to raze a high-rise. Prior to 

demolition, specially modified radio transmitter modules operating in the frequency bands used 

by emergency personnel and mobile telephones were placed at various points within the soon-tobe-destroyed Fischer Public Housing Project. The researchers collected information on the 

transmitters’ signal strength and other data, and used Global Positioning System (GPS) devices 

to determine the locations and distances of transmissions from within the building. After 

demolition, the team found that 10 of the 14 transmitters continued broadcasting. This research 

may eventually lead to the development of technology that allows emergency personnel to lock 

on to cell phone or radio signals within collapsed buildings to help in locating and perhaps 

communicating with survivors. 

Information and Knowledge Management 

 Federal Standard for Improving IT Security. NIST computer security specialists have 

developed a new standard to help federal agencies better protect their computer networks. The 

standard provides a new way to categorize government information and information systems. 

The standard was developed following passage of the Federal Information Security Management 

Act (FISMA) of 2002. Federal Information Processing Standard (FIPS) 199, Standards for the 

Security Categorization of Federal Information and Information Systems, introduces significant 

changes in how the federal government protects information and the computerized networks that 

store information by giving detailed guidance on how to categorize systems. 

 Interoperability Testbed. NIST has established a testbed at its Gaithersburg, Md., 

headquarters to help manufacturers improve the interoperability of their dimensional 

measurement systems. The testbed uses NIST-developed test methods and tools to verify that 

specific equipment and software conform to new industry standards designed to allow 

subsystems to "talk" to one another even if they come from different manufacturers. 

 New Decision Support Software. NIST has developed and transferred to the building 

products industry, government agencies and academic institutions a decision-support software 

tool known as BEES (Building for Environmental and Economic Sustainable). BEES reduces 

complex, science based content to decision-enabling results and delivers them to architects and 

building product manufacturers in a visually intuitive graphical format. 

Annual Report on DoC Federal Lab Technology Transfer, January 2005 Page 32 
NIST/TA 

Annual Report on DoC Federal Lab Technology Transfer, January 2005 Page 33 

Appendix: 

Progress in Improving the Agency’s Performance Metrics for Tech Transfer 

NIST continues to evaluate the effectiveness of the wide variety of mechanisms employed for 

technology transfer. 

In the FY 2002, 2003, and 2004 annual reports, NIST added new categories for non-traditional 

CRADAs to cover NIST calibration services, provide greater detail on licenses and license 

income, address workshops, conferences, and publications, and include participation by NIST 

staff in documentary standards committees. 

The NIST Director has asked the National Research Council’s Board on Assessment, as part of 

its annual assessment of the NIST laboratories, to examine the effectiveness of the 

communication of its intellectual property policy to technical staff at all levels, so that IP 

protection is sought when it is appropriate to do so. 
NOAA 

III. NATIONAL OCEANIC AND ATMOSPHERIC 

ADMINISTRATION 

Technology Transfer at the Agency’s Federal Laboratories – Approach and 

Plans, FY 2004 Activities/Achievements 

1. Agency Approach and Plans for Technology Transfer 

NOAA’s mission is to understand and predict changes in the Earth’s environment and conserve 

and manage coastal and marine resources to meet the Nation’s economic, social, and 

environmental needs. This mission will become ever more critical in the 21st century as national 

needs intensify concerning climate change, freshwater supply, ecosystem management, and 

homeland security.NOAA is one of the nation’s premier scientific agencies. NOAA science and 

the technology that results impact the daily lives of the nation’s citizens and have significant 

impacts on the national economy. For example, about one-third of the U.S. economy 

(approximately $3 trillion) is weather sensitive -- such as agriculture, energy, construction, 

travel, and transportation. Weather data and forecasts play a critical role -- which are transferred 

to industry and the public through the media, internet, and NOAA Weather Radio. Governments 

and the public use weather warnings to save lives and prevent destruction of property. Television 

weathercasters and many weather related firms use weather data and forecasts in their daily 

operations. Industry uses NOAA data in home construction and design, crop selection, disease 

control, and fuel delivery and supply. Additionally, industry has applied weather data for 

deciding such things as automobile fuel delivery system design, the best time to market 

umbrellas, and even for when the conditions would be best for the mating of honeybees. 

Increasingly accurate and longer range weather forecasts depend on an ongoing program of 

research and development. 

Research by NOAA’s federal laboratories is aimed at assisting NOAA’s in-house organizations. 

NOAA’s research is directed at such topic areas as weather forecasting, solar emission 

forecasting, estimating fish stocks, predicting water resources, warning of tsunamis, charting 

ocean bottoms. The results of such research are transferred to NOAA’s operational components 

to improve prediction, management, and other mission activities. 

NOAA’s web page at www.noaa.gov details the voluminous amount of research and technology 

data made available to the public in the form of information products and services, such as 

weather and climate forecast data, El Nino prediction and monitoring, tides and currents, satellite 

imagery and direct readout, fishery statistics and information on protected species, air quality, 

state of the coasts, beach temperatures, and nautical charts, as well as extensive data bases on 

climate, oceans, ice, atmosphere, geophysics, and the sun. According to the Nielsing rating 

company, NOAA’s web page has recently been the second most popular of all government 

agencies. 

NOAA's primary technology transfer mechanism has historically been the open dissemination of 

scientific and technical information to individuals, industry, government, and universities. This 

means of transfer is consistent with the agency’s mission and scientific tradition and has been 

Annual Report on DoC Federal Lab Technology Transfer, January 2005 Page 34 
NOAA 

found to be more efficient and economical than transfer through patenting and licensing. 

Although, NOAA also continues, where advantageous, to transfer intellectual property through 

licenses and CRADAs -- including to industry to benefit the competitiveness of U.S. companies. 

In FY 2004, NOAA carried out an extensive technology transfer program by applying 

meteorological and oceanographic technologies and information through open dissemination to 

individuals, industry, government, and universities. NOAA also provided daily weather forecasts 

and warnings through the media and NOAA Weather Radio. NOAA technology is transferred 

through presentations at scientific meetings, publication in peer-reviewed scientific journals, and 

through NOAA scientific and technical publications. For example, the NOAA laboratories in 

Boulder, Colorado, had published 419 articles in scientific journals and 300 papers in NOAA 

Tech Reports. NOAA Weather Radio has been integrated into the nation’s homeland security 

efforts and will be used to alert citizens to take precautions due to chemical or nuclear spills and 

terrorist attacks. The system, called the all-hazards alert system, reaches more than 97 percent of 

U.S. territory on a 24/7 basis through broadcasts in the 50 states and in U.S. territories. 

NOAA collaborates with other federal research agencies on science and technology development 

matters of joint interest. For example, NOAA and the Environmental Protection Agency (EPA) 

teamed to provide new experimental air quality forecast guidance that enable state and local 

agencies to issue more accurate and geographically specific air quality warnings to the public. 

The annual cost of poor air quality to the U.S. from air pollution-related illnesses has been 

estimated at $150 billion. 

Furthermore, to ensure that the United States benefits from and fully exploits scientific research 

and technology developed abroad, NOAA collaborates and shares information with 

organizations in countries throughout the world. Through these international relationships, 

technology is transferred into NOAA for the eventual benefit of U.S. industry and public users. 

For instance, the understanding and forecasting of global phenomena that occur in the 

atmosphere, oceans, and on the sun requires worldwide collaboration and information sharing. 

This is accomplished through formal agreements with individual countries and participation in 

international organizations, such as the World Meteorological Organization (WMO), the 

Intergovernmental Oceanographic Commission (IOC), and the International Astronomical Union 

(IAU). NOAA also participates in international scientific programs and shares technology and 

scientific data, such as in the Global Earth Observation System. This effort involves nearly 50 

other countries, the European Commission, and 29 international organizations. NOAA also 

provides technical assistance and training to individuals from other countries, and participates in 

a visiting scientist program. In addition, environmental data is shared through NOAA 

participation in the World Data Center program. 

In the future, NOAA will continue to direct its technology transfer and international 

collaboration activities toward four mission goals: 1. protect, restore, and manage the use of 

coastal and ocean resources through ecosystem-based management; 2. understand climate 

variability and change to enhance society’s ability to plan and respond; 3. serve society’s needs 

for weather and water information; and 4. support the nation’s commerce with information for 

safe, efficient, and environmentally-sound transportation. 

Annual Report on DoC Federal Lab Technology Transfer, January 2005 Page 35 
NOAA 

2. Performance in FY 2004: Activities and Achievements 

■ Collaborative Relationships for Research & Development 

FY 

2000 

FY 

2001 

FY 

2002 

FY 

2003 

FY 

2004 

● CRADAs, total active in the FY (1) 9 10 10 11 9 

 - New, executed in the FY 5 3 1 0 0 

▪ Traditional CRADAs,(2) total active in the FY 9 10 10 11 9 

 - New, executed in the FY 5 3 1 0 0 

▪ Non-traditional CRADAs,

(3) total active in the FY 0 0 0 0 0 

 - New, executed in the FY 0 0 0 0 0 

● Other types of collaborative R&D relationships 0 0 0 0 0 

CRADA = Cooperative Research and Development Agreement. 

(1) “Active” = legally in force at any time during the FY. “Total active” is comprehensive of all agreements 

executed under CRADA authority(15 USC 3710a). 

(2) CRADAs involving collaborative research and development by a federal laboratory and non-federal partners. 

(3) CRADAs used for special purposes -- such as, material transfer or technical assistance that may result in 

protected information. 

■ Invention Disclosure and Patenting 

FY 

2000 

FY 

2001 

FY 

2002 

FY 

2003 

FY 

2004 

● New inventions disclosed in the FY (1) 2 1 1 5 2 

● Patent applications filed in the FY (2) 2 3 0 0 0 

● Patents issued in the FY 2 1 5 1 1 

(1) Inventions arising at the federal lab. 

(2) Tally includes: U.S. patent applications, foreign patent applications filed on cases for which no U.S. application 

was filed, divisional applications, and continuation-in-part applications. Excludes: provisional, continuation, 

duplicate foreign, and PCT applications. 

Annual Report on DoC Federal Lab Technology Transfer, January 2005 Page 36 
NOAA 

■ Licensing 

Profile of Active Licenses 

FY 

2000 

FY 

2001 

FY 

2002 

FY 

2003 

FY 

2004 

● All licenses, number total active in the FY (1) 2 2 3 5 5 

 ▫ New, executed in the FY 0 1 1 2 0 

▪ Invention licenses, total active in the FY 2 2 3 5 5 

 ▫ New, executed in the FY 0 1 1 2 0 

 - Patent licenses,

(2) total active in FY 2 2 3 5 5 

 ▫ New, executed in the FY 0 1 1 2 0 

 - Material transfer licenses (inventions), total active 0 0 0 0 0 

 ▫ New, executed in the FY 0 0 0 0 0 

 - Other invention licenses, total active in the FY 0 0 0 0 0 

 ▫ New, executed in the FY 0 0 0 0 0 

▪ Other IP licenses, total active in the FY 0 0 0 0 0 

 ▫ New, executed in the FY 0 0 0 0 0 

 - Copyright licenses (fee bearing) 

 ▫ New, executed in the FY 

 - Material transfer licenses (non-inventions), total active 

 ▫ New, executed in the FY 

 - Other, total active in the FY 

 ▫ New, executed in the FY 

Multiple inventions in a single license are counted as one license. Licenses that include both patents and 

copyrights(hybrid licenses) are reported as patent licenses -- and not included in the count of copyright licenses. 

(1) “Active” = legally in force at any time during the FY. 

(2) Patent license tally includes patent applications which are licensed. 

Annual Report on DoC Federal Lab Technology Transfer, January 2005 Page 37 
NOAA 

Licensing Management 

FY 

2000

FY 

2001

FY 

2002

FY 

2003

FY 

2004

● Elapsed execution time,(1) licenses granted in the FY 

▪ Invention licenses 

 Average , months ** *6.0 *8.0 5.0 ** 

 ▫ Minimum 6.0 

 ▫ Maximum 7.0 

 - Patent licenses (2)

 Average , months *6.0 *8.0 5.0 

 ▫ Minimum 6.0 

 ▫ Maximum 7.0

● Licenses terminated for cause, number in the FY 

▪ Invention licenses 0 0 0 0 0 

 - Patent licenses (2) 0 0 0 0 0 

Data included in this table(intentionally) addresses only invention licenses, with patent licenses distinguished as a 

sub-class. 

(1) Date of license application to the date of license execution.(Date of license application is the date the lab 

formally acknowledges the written request for a license from a prospective licensee and agrees to enter into 

negotiations.) 

(2) Patent license tally includes patent applications which are licensed. 

* Only a single new license was executed in FY 2001 and 2002. Thus, there is no range of execution times to 

report. 

** No new licenses were executed in FY 2000 and 2004. 

Annual Report on DoC Federal Lab Technology Transfer, January 2005 Page 38 
NOAA 

Characteristics of Licenses Bearing Income 

FY 

2000

FY 

2001

FY 

2002

FY 

2003

FY 

2004

● All income bearing licenses, total number 1 2 3 5 5 

 ▫ Exclusive 1 1 1 1 1 

 ▫ Partially exclusive 0 0 0 0 0 

 ▫ Non-exclusive 0 1 2 4 4 

▪ Invention licenses, income bearing 1 2 3 5 5 

 ▫ Exclusive 1 1 1 1 1 

 ▫ Partially exclusive 0 0 0 0 0 

 ▫ Non-exclusive 0 1 2 4 4 

 - Patent licenses,(1) income bearing 1 2 3 5 5 

 ▫ Exclusive 1 1 1 1 1 

 ▫ Partially exclusive 0 0 0 0 0 

 ▫ Non-exclusive 0 1 2 4 4 

▪ Other IP licenses, income bearing 0 0 0 0 0 

 ▫ Exclusive 

 ▫ Partially exclusive 

 ▫ Non-exclusive 

 - Copyright licenses (fee bearing) 

 ▫ Exclusive 

 ▫ Partially exclusive 

 ▫ Non-exclusive 

● All royalty bearing licenses,

(2) total number 1 2 3 5 5 

▪ Invention licenses, royalty bearing 1 2 3 5 5 

 - Patent licenses,(1) royalty bearing 1 2 3 5 5 

▪ Other IP licenses, royalty bearing 0 0 0 0 0 

 - Copyright licenses (fee bearing) 

In general, license income can result from various sources: license issue fees, earned royalties, minimum annual 

royalties, paid-up license fees, and reimbursement for full-cost recovery of goods and services provided by the lab to 

the licensee including patent costs. 

(1) Patent license tally includes patent applications which are licensed. 

(2) Note that royalties are one component of total license income. 

Annual Report on DoC Federal Lab Technology Transfer, January 2005 Page 39 
NOAA 

Income from Licenses 

FY 

2000 

FY 

2001 

FY 

2002 

FY 

2003 

FY 

2004 

● Total income, all licenses active in the FY (1) $100 $1,600 $9,402 $4,716 $24,961 

▪ Invention licenses $100 $1,600 $9,402 $4,716 $24,961 

 - Patent licenses (2) $100 $1,600 $9,402 $4,716 $24,961 

▪ Other IP licenses, total active in the FY 0 0 0 0 0 

 - Copyright licenses 

● Total Earned Royalty Income (ERI) (3) *$100 $1,600 $9,402 $4,716 $24,961 

 ▫ Median ERI $800 $1,333 $696 $1,923 

 ▫ Minimum ERI $100 $100 $100 $116 

 ▫ Maximum ERI $1,500 $7,969 $1,920 $21,000 

 ▫ ERI from top 1% of licenses $1,500 $7,969 $1,920 $21,000 

 ▫ ERI from top 5% of licenses $1,500 $7,969 $1,920 $21,000 

 ▫ ERI from top 20% of licenses $1,500 $7,969 $1,920 $21,000 

▪ Invention licenses $100 $1,600 $9,402 $4,716 $24,961 

 ▫ Median ERI $800 $1,333 $696 $1,923 

 ▫ Minimum ERI $100 $100 $100 $116 

 ▫ Maximum ERI $1,500 $7,969 $1,920 $21,000 

 ▫ ERI from top 1% of licenses $1,500 $7,969 $1,920 $21,000 

 ▫ ERI from top 5% of licenses $1,500 $7,969 $1,920 $21,000 

 ▫ ERI from top 20% of licenses $1,500 $7,969 $1,920 $21,000 

 - Patent licenses (2) $100 $1,600 $9,402 $4,716 $24,961 

 ▫ Median ERI $800 $1,333 $696 $1,923 

 ▫ Minimum ERI $100 $100 $100 $116 

 ▫ Maximum ERI $1,500 $7,969 $1,920 $21,000 

 ▫ ERI from top 1% of licenses $1,500 $7,969 $1,920 $21,000 

 ▫ ERI from top 5% of licenses $1,500 $7,969 $1,920 $21,000 

 ▫ ERI from top 20% of licenses $1,500 $7,969 $1,920 $21,000 

▪ Other IP licenses, total active in the FY 0 0 0 0 0 

 ▫ Median ERI 

 ▫ Minimum ERI 

 ▫ Maximum ERI 

 ▫ ERI from top 1% of licenses 

 ▫ ERI from top 5% of licenses 

 ▫ ERI from top 20% of licenses 

 - Copyright licenses 

Annual Report on DoC Federal Lab Technology Transfer, January 2005 Page 40 
NOAA 

FY 

2000 

FY 

2001 

FY 

2002 

FY FY 

2003 2004 

 ▫ Median ERI 

 ▫ Minimum ERI 

 ▫ Maximum ERI 

 ▫ ERI from top 1% of licenses 

 ▫ ERI from top 5% of licenses 

 ▫ ERI from top 20% of licenses 

(1) Total income includes license issue fees, earned royalties, minimum annual royalties, paid-up license fees, and 

reimbursement for full-cost recovery of goods and services provided by the lab to the licensee including patent 

costs. 

(2) Patent license tally includes patent applications which are licensed. 

(3) “Earned royalty” = royalty based upon use of a licensed invention(usually, a percentage of sales or of units 

sold). Not a license issue fee or a minimum royalty. 

* There was only a single license active in FY 2000. 

Disposition of License Income 

FY 

2000 

FY 

2001 

FY 

2002 

FY 

2003 

FY 

2004 

● Income distributed (1)

▪ Invention licenses, total distributed $100 $1,600 $9,402 $4,716 $24,961 

 - To inventor(s) 0

(0%) 

$1,500

(94%) 

$696

(7%) 

$1,130 

(24%) 

$11,070

(44%) 

 - To other $100

(100%) 

$100

(6%) 

$8,706

(93%) 

$3,586 

(76%) 

$13,891

(56%) 

 - Patent licenses, (2) total distributed $100 $1,600 $9,402 $4,716 $24,961 

 - To inventor(s) 0

(0%) 

$1,500

(94%) 

$696

(7%) 

$1,130 

(24%) 

$11,070

(44%) 

 -To other $100

(100%) 

$100

(6%) 

$8,706

(93%) 

$3,586 

(76%) 

$13,891

(56%) 

Invention licenses are the chief policy interest regarding disposition of income; content of table reflects this focus. 

(1) Income includes royalties and other payments received during the FY. 

(2) Patent license tally includes patent applications which are licensed. 

■ Other Performance Measures Deemed Important by the Agency 

FY 

2000 

FY 

2001 

FY 

2002 

FY 

2003 

FY 

2004 

Journal articles published 556 544 529 626 419 

Technical reports published 418 274 363 245 300 

Represents publications by NOAA laboratories in Boulder, Colorado. 

Annual Report on DoC Federal Lab Technology Transfer, January 2005 Page 41 
NOAA 

■ Outcomes from Technology Transfer 

For this year’s annual report, the cases described below are provided as examples of the 

downstream outcomes being achieved by NOAA technology transfer efforts: 

 Predicting the Consequences of Harmful Releases. To predict the consequences of 

atmospheric releases of radioactivity and other potentially harmful materials, NOAA has 

developed a web-based system called the Real-time Environmental Applications and Display 

System (READY) . This system accesses and displays meteorological data and dispersion model 

products. It brings together dispersion models, graphical display programs, and textual forecast 

programs into a form that is easy to use. There have been numerous applications of this system. 

Working with the Department of Energy's (DOE’s) Atmospheric Studies in Complex Terrain 

program NOAA provided guidance for evaluation of terrain effects on dispersion. NOAA's 

volcanic ash program provided critical information on plume transport and dispersion to the 

aviation industry. NOAA provided on-site support to the Operations Center of the Nuclear 

Regulatory Commission during emergency exercises and events occurring at its regulated 

facilities. In addition, NOAA is a Regional Specialized Meteorological Center (RSMC) for 

transport and dispersion products through the World Meteorological Organization. NOAA, along 

with the Canadian Meteorological Centre, the other RSMC for this region, provided 

meteorological guidance and dispersion predictions in the event of an atmospheric release of 

radioactive or hazardous materials crossing international boundaries in North and Central 

America. 

 High-Resolution Radar Data Technology Transferred to Industry. A NOAA multi-office 

collaboration has made high-resolution radar data available to the private sector in real time. 

Some of the largest private sector weather companies have already developed commercial 

markets for these data. One company, Meteorlogix, recently stated that access to these data 

would be the basis for Aone of the top three growth areas for private weather companies@. 

NOAA has created high-resolution, multi-sensor forecast tools for an entire region, 

encompassing clusters of radars without the limits previously imposed by the traditional singleradar approach. Consequently, it is now possible for the National Weather Service and private 

sector forecasters to have a seamless depiction of weather phenomena across an entire forecast 

region on the appropriate space and time scales required by their customers, including 

emergency managers, reservoir operators, and flood plain managers. 

In the past year, the National Weather Service (NWS) has taken this project nationwide and 

completed its operational implementation using the Internet2/Abilene high-speed research 

network. The technology is significant in that it is enabling the development of critical decisionmaking applications such as those used in forecasting severe weather and flash floods. 

The technology has been transferred to several private companies (through Cooperative Research 

and Development Agreements) and foreign countries, including Taiwan, where a flash flood 

decision support application employing this technology is currently assisting forecasters to 

mitigate the effects of tropical cyclones. Private weather companies, such as Baron Services, are 

now using the real-time radar data to develop high resolution forecast Aproducts@ for their 

television clients. 

 

Annual Report on DoC Federal Lab Technology Transfer, January 2005 Page 42 
NOAA 

New Precipitation Analysis Tool Transferred to Mexico. The HydroEstimator, a tool which 

provides NOAA precipitation analysts with real-time, instantaneous estimates of rainfall using 

the GOES satellite infrared channel data as input, was transferred to the Mexican Weather 

Service (Servicio Meteorologico Nacional) to assist them in the detection and monitoring of 

flooding and flash flooding events. The transfer consisted of software, which was developed inhouse by NOAA research hydrometeorologists. The necessary hardware was procured and paid 

for by Mexico. Benefits of this transfer include: (1) providing support for life and property 

missions in Mexico, (2) engendering international collaboration and cooperation in such 

missions, and (3) providing an additional and valuable source of data pertaining to the 

performance of the HydroEstimator in a different geographical area and climatic regime. 

 New Technology to Catch Swordfish, Save the Turtles. From 2001 through 2003, the 

National Marine Fisheries Service (NOAA Fisheries) worked with commercial swordfish 

fishermen to develop new high seas longline fishing technology which greatly reduces 

interaction with threatened marine turtles. The cooperative longline gear technology research 

investigated line configurations, setting and retrieving procedures, hook types, hook sizes, and 

bait types. Ultimately specific hook designs and bait types were found to be the most effective 

measures for reducing turtle interactions. In conjunction with tools developed during the research 

to remove hooks and lines from turtles, the application of specific hook and bait combinations 

reduced both the number of interactions and potentially the post-hooking mortality associated 

with the residual interactions. This was accomplished without negatively impacting catch of the 

swordfish target species for the fishery. 

Also, during the period of 2001 through 2003, NOAA Fisheries scientists developed strict 

protocols for fishing by commercial fishermen contracted to develop new approaches to reducing 

bycatch of loggerhead and leatherback turtles in the North Atlantic. Innovative ideas and 

suggestions from both commercial fishermen and scientists led to effective de-hookers and linecutters as well as the positive results of the fishing research. The 18/0 circle hook, with a 0 

degree and 10 degree offset using mackerel bait significantly mitigated loggerhead turtle 

interaction by 90% and leatherback interaction by 66% over the use of industry standard “J” 

hook and squid bait used throughout the industry. This was accomplished without a change in the 

catch rates of targeted swordfish. Statistical tests show that the use of circle hooks reduces 

swordfish catch and the use of mackerel bait increases swordfish catch, with the net result being 

no change over the use of the industry standard. 

NOAA Fisheries scientists and technicians are transferring the fishing technology developed by 

the participating vessels to the rest of the U.S. longline fleet. In August and September 2004, 

NOAA Fisheries held a number of workshops with fishermen to explain and demonstrate the use 

of circle hooks and safe release practices for caught turtles. Additional workshops are planned 

with fishermen in other U.S. fishing areas to communicate the results of the experiment to the 

entire fleet. The turtle release gear and circle hooks with mackerel bait are currently required on 

all Atlantic pelagic longline vessels. NOAA Fisheries worked with the gear manufacturers and 

the hook manufacturers around the world to ensure that there would be an adequate supply 

available for the industry. 

The new technology will increase each fisherman’s annual gross revenues by an estimated 

$47,600 with renewed fishing for swordfish. Also the caught fish will be of higher quality, 

increased size, and also be in increased numbers. 

Annual Report on DoC Federal Lab Technology Transfer, January 2005 Page 43 
NOAA 

The U.S. Fleet is a small portion, less than 5% of the total Atlantic fleet. In addition similar 

problems with turtle interactions are occurring in other oceans. Without decreases in target 

species catch, effective reduction in turtle take by longline fleets around the world can be 

achieved by exporting this technology to the rest of the world. Technical experts from NOAA 

Fisheries Pascagoula Laboratory have conducted workshops in Latin America countries and 

Europe. They have received a good response and interest from other countries’ fleets for a 

demonstration of the release gear and hooks. Proliferation of this technology around the world 

can foster a significant reduction, possibly by over 50%, in the interaction and post-release 

mortality of threatened and endangered sea turtles around the world. 

 Scientific Graphics Toolkit and ncBrowse. NOAA has developed Java-based tools to more 

easily visualize oceanographic (and other) data for both web-based and desktop applications. 1. 

The Scientific Graphics Toolkit (SGT) is designed to aid developers in producing scientific 

graphics applications. SGT Beans can be used with several Java integrated development 

environments (NetBeans, JBuilder, etc.) and provides a graphical environment to configure and 

develop SGT applications. Over 7700 users from 73 countries are using the toolkit, including 

Australia, France, Germany, Italy, Japan, Poland, Russian Federation, South Africa, Switzerland, 

and United Kingdom. 2. The ncBrowse is a general purpose Java desktop application designed to 

enable users to interactively browse and visualize data from netCDF files and OPeNDAP 

resources. NetCDF is a file format that is commonly used by the oceanographic community to 

store both observations and model results. The ncBrowse has over 5600 users from 66 countries, 

including Australia, Canada, France, Germany, Japan, Norway, Poland, Russian federation, 

Sweden, and United Kingdom. 

 Web-based Access to Distributed Data Sets. NOAA has transferred Live Access Server 

(LAS) software for web-based browsing (visualization) and downloading (subsetting) of earth 

science data sets to a broad scientific community. LAS presents geographically distributed data 

sets as a unified virtual data base. It is compatible with scientific data networking provided by 

the Open Source Project for a Network Data Access Protocol (OPeNDAP, formerly known as 

DODS). There are 50 installations of LAS in research institutions spanning, NASA, the U. S. 

Navy, Department of Energy, and national and international research institutions. A list of 

institutions that have installed LAS is available at 

(http://ferret.pmel.noaa.gov/Ferret/LAS/LASservers.html). Each Institution that installs LAS can 

configure it with the data that they wish to disseminate. 

 World Standards for Gases. NOAA maintains the world standards working gases for carbon 

dioxide, carbon monoxide, methane and some halocarbons. In FY 

2004, NOAA provided 145 cylinders of standard gases to 105 customers around the world. The 

main customers are national and international research facilities, national and foreign 

universities, and U.S. agencies like NASA and Department of Energy. Use of NOAA standard 

gases allows for development of intercomparable measurements from around the world. 

 Carbon Dioxide Flask Analysis System. NOAA has developed the most accurate and reliable 

carbon dioxide flask analysis system in the world. It has assisted both China and Brazil in 

helping to design, specify, and procure systems for each country, assembling the systems in the 

USA, and training Brazilian and Chinese scientists in the operation of the equipment. The data 

from China and Brazil will advance the understanding of the global carbon cycle. 

Annual Report on DoC Federal Lab Technology Transfer, January 2005 Page 44 
NOAA 

Annual Report on DoC Federal Lab Technology Transfer, January 2005 Page 45 

 Programmable Flask Package. NOAA has developed a Programmable Flask Package (PFP) 

that allows for unattended collection of a series of air samples in glass flasks and is especially 

suited for aircraft operations. The new system allows for standardized, fast, reliable, and 

relatively cheap global carbon cycle gas sampling. NOAA provided drawings and specifications 

to two companies, Atmospheric Observing Systems and High Precision Devices, who are now 

preparing to offer these samplers commercially. Eventually all developed countries will be 

monitoring greenhouse gasses to keep track of their emissions. 

 Robust High Precision CO2 Analyzer. NOAA is assisting the Atmospheric Observing 

Systems Corporation by testing its robust high precision CO2 analyzer at the Trinidad Head 

Baseline Station in Boulder, Colorado. The new instrument has the potential of allowing for 

continuous, real-time analyses of carbon dioxide at unattended locations with the accuracy and 

precision required to study the atmospheric carbon cycle. The present instrumentation for 

measuring carbon dioxide concentrations continuously in the atmosphere are bulky, expensive, 

require large volumes of standard gasses, and are not reliable enough for extended periods of 

unattended operation. The new analyzer will lead to a multi-million dollar private business 

within a few years. 

 Raster Navigational Chart CRADA Update. A Cooperative Research and Development 

Agreement (CRADA) between NOAA and Maptech, Inc. for Raster Navigational Charts 

(RNCs), continues to provide these cutting edge, digital charts to mariners, including weekly 

electronic updates delivered over the Internet. During FY 

2004, the charts were enhanced; delivery of updates evolved to provide incremental digital 

patches as well as cumulative patches, and encryption of the charts was developed and deployed. 

 Print-on-Demand CRADA Update. A CRADA between NOAA and OceanGrafix, LLC for 

Print-on-Demand (POD) nautical charts continued to provide these world-leading printed charts. 

Charts are updated weekly by NOAA, and using POD technology developed collaboratively with 

the private company, are only manufactured when ordered from those up-to-date files. During 

FY 2004, ‘remote printing’ was perfected and deployed with 9 sites established in chart sales 

agent’s stores around the nation. 

Appendix: 

Progress in Improving the Agency’s Performance Metrics for Tech Transfer 

In future reports, the agency will list mission-related data that addresses NOAA's primary 

technology transfer mechanism, which is the open dissemination of its products and services. 

Numbers of publications in scientific journals, presentations at scientific meetings, NOAA 

technical publications, collaborative research (other than CRADAs), visiting scientists, data 

exchange agreements, numbers of data requests received by NOAA’s environmental data 

centers, and external agency studies are being investigated as metrics for reporting this aspect of 

NOAA's technology transfer activities. 

Also, in light of the recent requirements for performance measurements of agency tech transfer 

activities, there is an enhanced NOAA-wide effort to monitor and update agency files on patent 

and CRADA activities. 
ITS/NTIA 

IV. NATIONAL TELECOMMUNICATIONS AND INFORMATION 

ADMINISTRATION -- INSTITUTE FOR TELECOMMUNICATION 

SCIENCES 

Technology Transfer at the Agency’s Federal Laboratories – Approach and 

Plans, FY 2004 Activities/Achievements 

I. Agency Approach and Plans for Technology Transfer 

The Institute for Telecommunication Sciences (ITS) is the chief research and engineering arm of 

the National Telecommunications and Information Administration (NTIA). 

ITS supports such NTIA telecommunications objectives as promotion of advanced 

telecommunications and information infrastructure development in the United States, 

enhancement of domestic competitiveness, improvement of foreign trade opportunities for U.S. 

telecommunications firms, and facilitation of more efficient and effective use of the radio 

spectrum. ITS also serves as a principal federal resource for solving the telecommunications 

concerns of other federal agencies, state and local governments, private corporations and 

associations, and international organizations. 

ITS uses three principal means for achieving technology transfer: cooperative research and 

development, technical publications, and leadership and technical contributions in the 

development of telecommunications standards. 

Cooperative research and development. Cooperative research and development agreements 

(CRADAs), based upon the Federal Technology Transfer Act (FTTA) of 1986, are a principal 

means through which ITS aids the private sector. The FTTA provides the legal basis for and 

encourages shared use of government facilities and resources with the private sector in advanced 

telecommunications technologies. 

These partnerships aid in the commercialization of new products and service; they enhance the 

capabilities of ITS laboratories. They also provide insights into industry’s needs for productivity 

growth and competitiveness that aid ITS to adjust the focus and direction of its programs for 

effectiveness and value. 

In FY 2004, ITS participated in technology transfer and commercialization efforts by fostering 

cooperative telecommunications research with industry where benefits can directly facilitate U.S. 

competitiveness and market opportunities. These efforts will continue in future years. ITS also 

participated – as it has for a number of years – in CRADAs with private sector organizations to 

design, develop, test, and evaluate advanced telecommunication concepts. The private industry 

partner benefits through such cooperative relationships, as does the Institute, as it is able to 

undertake research in commercially important areas that it would not otherwise be able to do. 

To date, major contributions to personal communication services (PCS), local multipoint 

distribution service (LMDS), and ultrawideband (UWB) technologies have been achieved 

through CRADAs. These have aided U.S. efforts to rapidly introduce new socially-beneficial, 

communications technologies. More recently, CRADAs in the areas of objective audio and video 

Annual Report on DoC Federal Lab Technology Transfer, January 2005 Page 46 
ITS/NTIA 

quality and advanced antennas for wireless systems have allowed ITS to contribute to the 

development of new products and services. 

In addition, ITS plans to continue using patents to secure intellectual property rights in 

laboratory innovations with commercial promise. ITS plans to advance its mission and benefit 

the competitiveness of U.S. industry by pursuing opportunities to commercially license patents to 

CRADA partners and other interested parties. As an example, ITS is targeting software 

implementing a video quality metric for commercial development. This software incorporates 

technology covered by two patents. A beta version of the software has been requested by more 

than 200 parties for testing purposes and commercial licensing negotiations have begun with one 

U.S. corporation. 

Technical publications. Publication has, historically, been the means through which ITS has 

transferred research results to other researchers, the commercial sector, and government 

agencies. Many of these publications – both internal reports and monographs and external, peer 

reviewed, scientific journal articles – have become standard references in several 

telecommunications areas. 

Technical publication remains at present a principal means for ITS’ technology transfer. Most of 

these technical publications are released only after going through an internal peer review process 

managed by the ITS Editorial Review Board (ERB). Of the publications released through the 

ERB process in recent years, approximately one half were approved for external publication in 

the scientific literature and one third were NTIA reports. 

Development of telecommunication standards. This third principal means of ITS technology 

transfer directly addresses improvement of U.S. competitiveness in telecommunications. For 

several decades, ITS has provided leadership and technical contributions to organizations, both 

national and international, responsible for developing telecommunication standards. For 

example, a plurality of the technical recommendations of the International Telecommunication 

Union (ITU – a treaty organization) are based on research conducted at ITS. Also, key national 

quality of service standards developed under the American National Standards Institute (ANSI) 

T1 committee for video, audio, and digital data incorporate research results obtained at ITS. 

ITS continues to chair numerous committees and working groups in the ITU, ANSI T1, and 

other telecommunication standards organizations, providing technical leadership that is trusted 

by the commercial sector participants. ITS’ technical inputs are relied upon as technically 

advanced and sound, and unbiased by commercial interests. 

In FY 2004, ITS continued its technical leadership and contributions to communications 

standards for public safety, particularly for first responders. ITS’ primary area of contribution 

has been interoperability standards and testing procedures. ITS’ objective video quality 

measurement method has been made a national standard by ANSI. ITS’ method was also the best 

performing metric in comparison testing by the ITU with other methods from around the world. 

Annual Report on DoC Federal Lab Technology Transfer, January 2005 Page 47 
ITS/NTIA 

II. Performance in FY 2004: Activities and Achievements 

■ Collaborative Relationships for Research & Development 

FY 

2000 

FY 

2001 

FY 

2002 

FY 

2003 

FY 

2004 

● CRADAs, total active in the FY (1) -- 65 63 239 319 

 - New, executed in the FY -- -- 6 178 185 

▪ Traditional CRADAs,(2) total active in the FY 3 6 6 5 7 

 - New, executed in the FY 3 1 0 0 3 

▪ Non-traditional CRADAs,(3, 4) total active in FY -- 59 57 234 312 

 - New, executed in the FY -- -- 6 178 182 

● Other types of collaborative R&D relationships 

▪ Collaborative standards contributions,

(5)

 total active in FY 

-- 3 3 2 11 

 -New, executed in the FY -- 3 0 1 0 

CRADA = Cooperative Research and Development Agreement. -- = Data not requested from agency in reports of 

past years. 

(1) “Active” = legally in force at any time during the FY. “Total active” is comprehensive of all agreements 

executed under CRADA authority(15 USC 3710a). 

(2) CRADAs involving collaborative research and development by a federal laboratory and non-federal partners. 

(3) CRADAs used for special purposes, such as material transfer or technical assistance that may result in protected 

information.(For example, CRADAs for Video Quality Software Evaluation.) 

(4) ITS’ Telecommunications Analysis Services(TA Services) is Internet accessible through Web-based electronic 

CRADAs. TA Services provides analysis support to private industry and public agencies in the areas of wireless 

system design and evaluation, and site selection. The service is provided on a cost-reimbursable basis, 24 hours 

a day/7 days a week throughout the year. TA Services currently reaches numerous government and private 

sector users across the nation, providing the latest versions of ITS-developed telecommunications models, 

databases, and tools. Use of the CRADA makes TA Services available to users in a short time and on a cost 

reimbursable basis. Additionally, CRADA partners provide useful evaluations of the ITS software used. This 

information aids ITS to improve existing software tools for wireless system design and analysis and to develop 

new ones – benefiting both ITS’ own research capabilities and the resources that outside users can draw upon. 

The CRADA agreement also allows ITS to gain valuable insights from users’ feedback about the rapidly 

changing needs of industry and government in telecommunications technology. 

(5) ITS works with industry, through a number of standards fora, to apply research results to the development of 

telecommunication performance standards and guidelines. In FY 2004, ITS worked collaboratively with the 

International Telecommunication Union, the Telecommunications Industry Association, the Alliance for 

Telecommunications Industry Solutions, and various Federal Public Safety groups to interpret and analyze 

standards and regulations. 

Annual Report on DoC Federal Lab Technology Transfer, January 2005 Page 48 
ITS/NTIA 

■ Invention Disclosure and Patenting 

FY 

2000

FY 

2001 

FY 

2002 

FY 

2003

FY 

2004 

● New inventions disclosed in the FY (1) 0 1 0 0 0 

● Patent applications filed in the FY (2) 0 0 1 0 0 

● Patents issued in the FY 2 0 0 1 0 

● Active patents, end of the FY 5 5 6 6 6 

(1) Inventions arising at the federal lab. 

(2) Tally includes: U.S. patent applications, foreign patent applications filed on cases for which no U.S. application 

was filed, divisional applications, and continuation-in-part applications. Excludes: provisional, continuation, 

duplicate foreign, and PCT applications. 

■ Licensing 

Profile of Active Licenses 

FY 

2000 

FY 

2001 

FY 

2002 

FY 

2003 

FY 

2004 

● All licenses, number total active in the FY (1) 2 2 3 57 98 

 ▫ New, executed in the FY 1 0 2 54 98 

▪ Invention licenses, total active in the FY 2 2 3 57 98 

 ▫ New, executed in the FY 1 0 2 54 98 

 - Patent licenses,(2) total active in FY 2 2 3 54 3 

 ▫ New, executed in the FY 1 0 2 54 3 

 - Material transfer licenses (inventions), total active 0 0 0 0 0 

 ▫ New, executed in the FY 0 0 0 0 0 

 - Other invention licenses, (3) total active in the FY 0 0 0 0 95 

 ▫ New, executed in the FY 0 0 0 0 95 

▪ Other IP licenses, total active in the FY 0 0 0 0 0 

 ▫ New, executed in the FY 0 0 0 0 0 

 - Copyright licenses (fee bearing) 

 ▫ New, executed in the FY 

 - Material transfer licenses (non-inventions), total active 

 ▫ New, executed in the FY 

 - Other, total active in the FY 

 ▫ New, executed in the FY 

Multiple inventions in a single license are counted as one license. Licenses that include both patents and copyrights 

(hybrid licenses) are reported as patent licenses and not included in the count of copyright licenses. 

(1) “Active” = legally in force at any time during the FY. 

(2) Patent license tally includes patent applications which are licensed. 

(3) International copyright licenses(non fee bearing) for VQM technology 

Annual Report on DoC Federal Lab Technology Transfer, January 2005 Page 49 
ITS/NTIA 

Licensing Management 

FY 

2000

FY 

2001

FY 

2002

FY 

2003

FY 

2004

● Elapsed execution time,

(1) licenses granted in the FY 

▪ Invention licenses

 ▫ Average (or median), months 6.0* ** 5.0* 1.0 2.0 

 ▫ Minimum 1.0 1.0 

 ▫ Maximum 1.0 3.0 

 - Patent licenses (2)

 ▫ Average (or median), months 6.0* ** 5.0* 1.0 2.0 

 ▫ Minimum 1.0 1.0 

 ▫ Maximum 1.0 3.0 

● Licenses terminated for cause, number in the FY

▪ Invention licenses 0 0 0 0 0 

 - Patent licenses (2) 0 0 0 0 0 

Data included in this table (intentionally) addresses only invention licenses, with patent licenses distinguished as a 

sub-class. 

(1) Date of license application to the date of license execution.(Date of license application is the date the lab 

formally acknowledges the written request for a license from a prospective licensee and agrees to enter into 

negotiations.) 

(2) Patent license tally includes patent applications which are licensed. 

* Only a single new license was executed in FY 2000 and 2002. Therefore, there are no distributional statistics for 

elapsed execution time to report. 

** No new licenses were executed in FY 2001. 

Annual Report on DoC Federal Lab Technology Transfer, January 2005 Page 50 
ITS/NTIA 

Characteristics of Licenses Bearing Income 

FY 

2000

FY 

2001

FY 

2002

FY 

2003

FY 

2004

● All income bearing licenses, total number 1 1 3 3 3 

 ▫ Exclusive 0 0 0 0 0 

 ▫ Partially exclusive 0 0 0 0 

 ▫ Non-exclusive 1 1 3 3 3 

▪ Invention licenses, income bearing 1 1 3 3 3 

 ▫ Exclusive 0 0 0 0 0 

 ▫ Partially exclusive 0 0 0 0 0 

 ▫ Non-exclusive 1 1 3 3 3 

 - Patent licenses,(1) income bearing 1 1 3 3 3 

 ▫ Exclusive 0 0 0 0 0 

 ▫ Partially exclusive 0 0 0 0 0 

 ▫ Non-exclusive 1 1 3 3 3 

▪ Other IP licenses, income bearing 0 0 0 0 0 

 ▫ Exclusive 

 ▫ Partially exclusive 

 ▫ Non-exclusive 

 - Copyright licenses (fee bearing) 0 0 0 0 0 

 ▫ Exclusive 

 ▫ Partially exclusive 

 ▫ Non-exclusive 

● All royalty bearing licenses, (2) total number 1 1 0 0 3 

▪ Invention licenses, royalty bearing 1 1 0 0 3 

 - Patent licenses,(1) royalty bearing 1 1 0 0 3 

▪ Other IP licenses, royalty bearing 0 0 0 0 0 

 - Copyright licenses (fee bearing) 

In general, license income can result from various sources: license issue fees, earned royalties, minimum annual 

royalties, paid-up license fees, and reimbursement for full-cost recovery of goods and services provided by the lab to 

the licensee including patent costs. 

(1) Patent license tally includes patent applications which are licensed. 

(2) Note that royalties are one component of total license income. 

Annual Report on DoC Federal Lab Technology Transfer, January 2005 Page 51 
ITS/NTIA 

Income from Licenses 

FY 

2000 

FY 

2001 

FY 

2002 

FY 

2003 

FY 

2004 

● Total income, all licenses active in the FY (1) $63,693 $5,000 $65,470 $0 $33,500 

▪ Invention licenses $63,693 $5,000 $65,470 $0 $33,500 

 - Patent licenses (2) $63,693 $5,000 $65,470 $0 $33,500 

▪ Other IP licenses, all active licenses in FY $0 $0 $0 $0 $0 

 - Copyright licenses 

● Total Earned Royalty Income (ERI) (3) $63,693* $0 $0 $0 0 

 ▫ Median ERI 

 ▫ Minimum ERI 

 ▫ Maximum ERI 

 ▫ ERI from top 1% of licenses 

 ▫ ERI from top 5% of licenses 

 ▫ ERI from top 20% of licenses 

▪ Invention licenses $63,693 $0 $0 $0 $0 

 ▫ Median ERI 

 ▫ Minimum ERI 

 ▫ Maximum ERI 

 ▫ ERI from top 1% of licenses 

 ▫ ERI from top 5% of licenses 

 ▫ ERI from top 20% of licenses 

 - Patent licenses (2) $63,693 $0 $0 $0 $0 

 ▫ Median ERI 

 ▫ Minimum ERI 

 ▫ Maximum ERI 

 ▫ ERI from top 1% of licenses 

 ▫ ERI from top 5% of licenses 

 ▫ ERI from top 20% of licenses 

▪ Other IP licenses, total active in the FY $0 $0 $0 $0 $0 

 ▫ Median ERI 

 ▫ Minimum ERI 

 ▫ Maximum ERI 

 ▫ ERI from top 1% of licenses 

 ▫ ERI from top 5% of licenses 

 ▫ ERI from top 20% of licenses 

Annual Report on DoC Federal Lab Technology Transfer, January 2005 Page 52 
ITS/NTIA 

FY 

2000 

FY 

2001 

FY 

2002 

FY FY 

2003 2004 

 - Copyright licenses 

 ▫ Median ERI 

 ▫ Minimum ERI 

 ▫ Maximum ERI 

 ▫ ERI from top 1% of licenses 

 ▫ ERI from top 5% of licenses 

 ▫ ERI from top 20% of licenses 

(1) Total income includes license issue fees, earned royalties, minimum annual royalties, paid-up license fees, and 

reimbursement for full-cost recovery of goods and services provided by the lab to the licensee including patent 

costs. 

(2) Patent license tally includes patent applications which are licensed. 

(3) “Earned royalty” = royalty based upon use of a licensed invention(usually, a percentage of sales or of units 

sold). Not a license issue fee or a minimum royalty. 

* There was only one active license in FY 2000. Thus, there were no distributional statistics on Earned Royalty 

Income to report for that year. 

Disposition of License Income 

FY 

2000 

FY 

2001 

FY 

2002 

FY 

2003 

FY 

2004 

● Income distributed (1)

▪ Invention licenses, total distributed $63,693 $5,000 $65,470 $0 $33,500 

 - To inventor(s) $20,508

(32%) 

$2,900

(58%) 

$21,041 

(32%) 

$0 $18,450

(55%) 

 - To other (3) $43,185

(68%) 

$2,100

(42%) 

$44,429 

(68%) 

$0 15,050

(45%) 

 - Patent licenses, (2) total distributed $63,693 $5,000 $65,470 $0 $33,500 

 - To inventor(s) $20,508

(32%) 

$2,900

(58%) 

$21,041 

(32%) 

$0 $18,450

(55%) 

 -To other (3) $43,185

(68%) 

$2,100

(42%) 

$44,429 

(68%) 

$0 $15,050

(45%) 

Invention licenses are the chief policy interest regarding disposition of income; the content of this table reflects this 

focus. 

(1) Income includes royalties and other payments received during the FY. 

(2) Patent license tally includes patent applications which are licensed. 

(3) To ITS/NTIA 

■ Other Performance Measures Deemed Important by the Agency 

FY 

2000 

FY 

2001 

FY 

2002 

FY 

2003 

FY 

2004 

Technical publications produced 20 17 17 20 17 

Annual Report on DoC Federal Lab Technology Transfer, January 2005 Page 53 
ITS/NTIA 

See “Technical Publications” above in the first section of this report for additional information on this topic. 

■ Outcomes from Technology Transfer 

For this year’s annual report, the cases described below are provided as examples of the 

downstream outcomes being achieved by ITS technology transfer efforts: 

 Video quality metric. ITS developed a superior method of measuring video quality 

objectively by machine that closely predicts the quality that subjective human views would 

perceive. The technology is covered by three patents owned by ITS/NTIA. In FY 

2003, the ITS method was adopted by the ANSI as a U.S. national standard. In addition, the ITU 

tested a number of proposed video quality metrics from around the world and found the ITS 

method superior. ITS’ method became an international standard in 2004, as approved by the 

ITU. 

ITS targeted this technology for commercial development, with the potential of producing a 

royalty income for the laboratory within one year. More than 170 copies of software 

implementing the method have been requested this FY for purposes of evaluation. Three 

commercial licenses have been negotiated with U.S. corporations. In FY 

2004, the Federal Laboratory Consortium presented ITS an award for its efforts to disseminate 

this technology both nationally and internationally. 

 Ultrawideband Study with Motorola. ITS has begun a cooperative research program with 

Motorola/Freescale Inc. to investigate the interference potential of various UWB waveforms. 

Since the FCC permitted low power UWB emissions between 3.1 and 10.6 GHz in February 

2003, a number of companies have developed UWB technologies for application in wireless 

personal area networking (WPAN) to achieve high data rates at short distances (less than 10 

meters). In this Cooperative Research and Development Agreement (CRADA), we will address 

the fundamental underlying question – how do UWB signals cause interference with existing 

legacy systems? ITS will generate a range of waveforms representative of existing and proposed 

UWB systems. Measurement procedures and analyses to characterize the interfering UWB 

signals will be developed. 

 CRADA with SAVITech to Measure Emissions from RFID Tags. ITS has entered a 

CRADA with SAVITech to measure the interference characteristics of 400 MHz RF 

identification (RFID) devices and determine the extent (if any) to which those emissions 

interfere with land mobile radio transceivers. 

Annual Report on DoC Federal Lab Technology Transfer, January 2005 Page 54 
ITS/NTIA 

Annual Report on DoC Federal Lab Technology Transfer, January 2005 Page 55 

Appendix: 

Progress in Improving the Agency’s Performance Metrics for Tech Transfer 

ITS’ annual performance reporting has been revised to conform to the Department of Commerce 

guidelines. Starting in 2002, ITS added a new metric under the “Other Performance Measures” 

category: number of publications approved through the Editorial Review Board (ERB) process. 

While not perfect, this metric provides a useful, working indicator of the number of quality 

publications released to the public. 

In addition, ITS continues to explore other metrics for ITS technology transfer through 

telecommunication standards development activities. Possible metrics include the number of 

standards committee leadership positions, the number of documents submitted, and the number 

of standards adopted that include ITS technology. It is anticipated that a metric (or metrics) will 

be selected that is (are) both measurable and as well as possible reflects the value of ITS’ 

standards activities. (ITS standards documents do not go through the ERB process.)