Annual Report on Technology Transfer: 

Approach and Plans, Fiscal Year 2009 Activities and Achievements 

U.S. Department of Commerce 

Report prepared by: 

National Institute of Standards and Technology 

National Oceanic and Atmospheric Administration 

National Telecommunications and Information Administration—Institute for 

Telecommunication Sciences 

In response to the: 

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

September 2010 
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FOREWORD 

This report summarizes the technology transfer activities and achievements of the Department of 

Commerce’s Federal laboratories for fiscal year (FY) 2009. At the Department of Commerce, 

technology transfer is a significant part of the mission and program activities of the National 

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

Administration (NOAA), and the National Telecommunications and Information 

Administration’s (NTIA) Institute for Telecommunication Sciences (ITS). Accordingly, this 

report focuses on the activities of those three agencies. 

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. 

The major sections of this report are organized to summarize the respective agencies’ technology 

transfer approaches and plans, and to provide specific information about the agencies’ activities 

and accomplishments for FY 2005 through FY 2009. The report begins with a summary of this 

information for the Department of Commerce as a whole. 

This report has been organized and prepared with the joint participation of technology transfer 

personnel at NIST, NOAA, and ITS. An electronic version of this report and versions from 

previous fiscal years are available online at http://patapsco.nist.gov/ts/220/external/index.htm. 
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TABLE OF CONTENTS

CHAPTER 1: Department of Commerce Overview Summary ............................................... 6 

Agency Missions and Channels for Technology Transfer .......................................................... 6 

Summary of Technology Transfer Activities Across the Department ........................................ 8 

The Department’s Performance Metrics for Technology Transfer ........................................... 10 

CHAPTER 2: National Institute of Standards and Technology ........................................... 11 

Agency Approach and Plans for Technology Transfer ............................................................. 11 

Performance in FY 2009: Activities and Achievements .......................................................... 17 

Other Performance Measures Deemed Important by the Agency ............................................ 22 

Sample Results from NIST Technology Transfer Activities .................................................... 23 

CHAPTER 3: National Oceanic and Atmospheric Administration ..................................... 25 

Agency Approach and Plans for Technology Transfer ............................................................. 25 

Performance in FY 2009: Activities and Achievements .......................................................... 27 

Other Performance Measures Deemed Important by the Agency ............................................ 33 

Sample Results from NOAA Technology Transfer Activities ................................................. 33 

CHAPTER 4: National Telecommunications and Information Administration -- Institute 

for Telecommunication Sciences ...................................................................... 36 

Agency Approach and Plans for Technology Transfer ............................................................. 36 

Performance in FY 2009: Activities and Achievements .......................................................... 38 

Sample Results from ITS Technology Transfer Activities ....................................................... 42 

SUMMARY ................................................................................................................................. 43 
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6 

CHAPTER 1 

Department of Commerce Overview and Summary 

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

communities to promote innovation and the Nation’s overall competitiveness in the global 

economy. 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. 

 

 The Department conducts research and development (R&D) in numerous areas of contemporary 

science and technology at the National Institute of Standards and Technology (NIST), at the 

laboratory facilities across the National Oceanic and Atmospheric Administration (NOAA), and 

at the National Telecommunications and Information Administration’s (NTIA) Institute for 

Telecommunication Sciences (ITS). Technology transfer is a key part of the program activities 

in each of these agencies’ Federal laboratory systems. 

Agency Missions and Channels for Technology Transfer 

Mission Technology Transfer

NIST 

NIST’s mission is to promote U.S. innovation and 

industrial competitiveness by advancing measurement 

science, standards, and technology in ways that 

enhance economic security and improve our 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. 

▪ NIST carries out its mission by working directly with 

industry partners (and consortia), universities, 

associations, and other government agencies. 

▪ The general focus of NIST’s technology transfer 

activities is the broad dissemination of research results. 

Accordingly, NIST draws on a diverse set of 

mechanisms to transfer the knowledge and technologies 

that result from its laboratory research. 

▪ Principal technology transfer mechanisms: 

○ Technical publications, 

○ Standard Reference Materials 

○ Standard Reference Data 

○ Calibration services 

○ Technical Support for documentary standards 

○ Cooperative Research and Development Agreements 

(CRADAs) 

○ Patents and licenses 

○ Software tools 

○ Conferences, workshops, and inquiries 

○ Guest researchers and facilities users 
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Mission Technology Transfer

NOAA 

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’s broad approach to technology transfer 

involves direct transfer, licensing intellectual property, 

and cooperative research relationships with industry. 

▪ Principal technology transfer mechanisms: 

○ Public dissemination 

○ CRADAs 

○ Patents and licenses 

ITS 

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. 

▪ ITS participates in technology transfer and 

commercialization by fostering cooperative research 

with industry where benefits can directly facilitate U.S. 

competitiveness and market opportunities. 

▪ Principal technology transfer mechanisms: 

○ Telecommunications analysis services 

○ Technical publications 

○ Development of telecommunications standards 

○ CRADAs 

○ Patents and licenses
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Summary of Technology Transfer Activities Across the Department, 

FY 2005 – FY 2009 

■ Selected Measures Active in Each Fiscal Year 

Collaborative Relationships for Research and Development 

FY 

2005

FY 

2006

FY 

2007

FY 

2008

FY 

2009

● CRADAs 

 ▪ Traditional CRADAs 

NIST 

NOAA

 ITS

 Department

65

8

 7

80

135

6

 8

149

140

5

 9

154

121

 4

 6

131

65(3)

 5

 7

77

 ▪ Non-traditional CRADAs

 NIST

ITS

Department

1,553

 273

1,826

2,353

 506

2,895

2,348

 276

2,510

2,224

 35(1)

2,259

2,284

 25

2,309

● Other types of collaborative R&D 

 relationships 

 

 ▪ NIST - Facility Use Agreements 588 639 717(2) 635 760

 ▪ NIST - Guest scientists and engineers 2,115 2,114 2,672 2,816 2,828

 ▪ ITS - Collaborative contributions 11 16 25 25 20

CRADA = Cooperative Research and Development Agreement 

(1) In 2008, ITS removed from the Web some of its telecommunication analysis services. These services provided 

network-based access to research results, models, and databases supporting applications in wireless system design 

and analysis. As a result, the number of CRADAs between the government and industry that allowed for 

improvement to these models decreased significantly. ITS is working on a newer geographic information system- 

(GIS-) based platform for the modeling services, which will be available in future years. 

(2)Reflects correction of data from FY 2007 Report. 

(3) Decrease in CRADAs attributed to successful conclusion of CRADA Consortiums. 

 

Invention Disclosure and Patenting 

FY 

2005

FY 

2006

FY 

2007

FY 

2008

FY 

2009

● New inventions disclosed NIST

 NOAA

 ITS

 Department

19

1

 1

23

10

4

 0

14

29

3

 0

32

40

0

 0

40

36

4

 0

40

● Patent applications filed NIST

 NOAA

 ITS

 Department

5

1

 0

6

4

0

 1

5

6

2

 0

8 (1)

18

3

 0

21

18

1

 0

19

● Patents issued NIST 

 NOAA

 ITS

 Department

9

1

 0

10

6

0

 1

7

3

0 (1)

 0

3

1

1

 0

2

7

0

 0

7

(1) Reflects correction of data from FY 2007 Report. 
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Licensing – Profile of Active Licenses 

FY 

2005

FY 

2006

FY 

2007

FY 

2008

FY 

2009

● All Department of Commerce licenses 133 111(2) 222(2) 29 40

 Patent licenses NIST

 NOAA

 ITS

 Department

 26

 4

 3

33

24(2)

5

 7

35

30(2)

6

 10

46(2)

23 

6 

0(1) 

29

33

7

 0

40

 Other invention licenses ITS 100 75 176(2) 0 0

(1) This number of licenses is zero because ITS no longer licenses Video Quality Metric (VQM) technology. 

Instead, ITS has made this software freely available via open-source download. 

(2) Reflects correction of data from FY 2008 Report. 

Characteristics of Licenses Bearing Income 

FY

2005

FY 

2006

FY 

2007

FY

2008

FY 

2009

● All income-bearing licenses Department 25 30 35 25 27

 ▪ Invention licenses Department 25 30 35 25 27

 - Patent licenses NIST

 NOAA

 ITS

 Department

17

4

 4

25

18

5

 7

30

21

4

10

35

21 

4 

 0 

25 

22

5

 0

27

 ▫ Exclusive, partially exclusive, NIST

 non-exclusive NOAA

 ITS

 Department

11, 0, 6

1, 0, 3

0, 0, 4

12, 0, 13

16, 0, 2

1, 0, 4

0, 0, 7

17, 0, 13

16, 0, 5

0, 0, 4

0, 0, 10

16, 0, 19

14, 0, 7

0, 0, 4

0, 0, 0

14, 0, 11

15, 0, 7

0, 0, 5

0, 0, 0

15, 0, 12

Income from Licensing 

FY

2005

FY 

2006

FY

2007

FY

2008

FY 

2009

● Total income Department $146,660 $194,393 $224,847 $292,647 $335,889

 NIST 

 NOAA

 ITS

$123,348

$16,100

$7,212

$156,793

$13,100

$24,500

$195,347

$22,000

$7,500

$223,640

$69,007

$0(1) 

$197,445

$138,444(2)

$0

(1) The dollar amount for licenses is zero because ITS no longer licenses Video Quality Metric (VQM) technology. 

Instead, ITS has made this software available via open-source download. 

(2) Increase is due to a license with The Walt Disney Company for NOAA's Science on a Sphere for a one-time 

royalty of $75,000. 

 
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Agency-Specific Important Mechanisms for Technology and Knowledge Transfer 

FY

2005

FY

2006

FY

2007

FY

2008

FY 

2009

Standard Reference Materials (SRMs) available – NIST 1,246 1,302 1,285 1,282 1,283

Standard Reference Materials (SRMs) units sold – 

NIST 32,163 31,195 32,614 33,373 29,769

Standard Reference Data (SRD) titles available – NIST 110 113 109 102 120

Number of calibration tests performed – NIST 12,849 13,127 27,489 (1) 25,944(1) 18,609

Technical publications in peer-reviewed journals – 

NIST 1,148 1,163 1,272 1,271 1,463

Journal articles published – NOAA 397 444 584 (2) 515 631

Technical reports published – NOAA 226 148 196 (2) 103 134

Technical publications produced – ITS 19 8 3 15 12

(1) The number of calibration tests performed in FY 2007 was significantly different than the number of tests 

performed in FY 2004, FY 2005, and FY 2006, due principally to a surge in calibration testing for the military and 

its contractors. 

(2)Reflects correction of data from FY 2007 Report. 

Further details 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. 

The Department’s Performance Metrics for Technology Transfer 

This annual report provides a comprehensive set of statistics on the technology transfer activities 

of each of the Department’s agencies with Federal laboratory operations. This information 

covers cooperative research and development relationships, invention disclosure and patenting, 

licensing, and other technology transfer mechanisms. This report also highlights examples of 

downstream results (e.g., commercially significant technologies) from these Federal laboratory 

technology transfer activities. The content and format of this year’s performance report is 

consistent with the guidelines issued for the annual performance reporting by the Office of 

Management and Budget in its August 2009 edition of Circular A-11. 

Across the Department, technology transfer involves a good deal more than cooperative R&D, 

patenting, and licensing. The other mechanisms include technology transfer through technical 

publications, technical support development for industrial standards and materials, other forms of 

public dissemination, and opportunities for guest scientists and engineers from across the United 

States to participate in Federal laboratory activities. Statistics and descriptions for such other 

mechanisms of technology transfer are included, as part of the agencies’ technology transfer 

efforts. 

The Department continues to explore the development of better metrics for program 

performance. The information presented in this report is based upon a stable framework of 

metrics that has been used traditionally to evaluate the effectiveness of technology transfer. In 

future reports, the Department will consider including additional metrics as needed. Specific 

initiatives under way at each agency are described in Chapters 2, 3, and 4 of this report.
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CHAPTER 2 

 

National Institute of Standards and Technology 

Agency Approach and Plans for Technology Transfer 

The National Institute of Standards and Technology (NIST) has a broad mission to promote U.S. 

innovation and industrial competitiveness by advancing measurement science, standards, and 

technology in ways that enhance economic security and improve the quality of life. 

An essential part of NIST’s work is anticipating the future measurement and standards needs of 

U.S. industry. Fast-moving sectors like nanotechnology, biotechnology, homeland security, 

information technology, and advanced manufacturing need sophisticated technical support 

systems to flourish and grow. NIST’s laboratories develop and disseminate measurement 

techniques, reference data, test methods, standards, and other technologies and services that 

support U.S. industry, scientific research, and the activities of many other Federal agencies. In 

carrying out its mission, NIST works directly with industry partners (individual companies 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 interested parties. In order to 

provide leading-edge scientific and technical work, NIST is required to have expertise in 

multiple disciplines, to maintain high levels of collaboration among organizations and people 

with diverse capabilities, and to have highly specialized facilities and tools. For more than a 

century, the NIST laboratories have successfully collaborated with others to provide the 

measurement techniques and technical tools needed by America’s innovators. NIST uses many 

different collaboration mechanisms to promote innovation and to ensure that the resulting 

knowledge and infrastructural technologies are broadly disseminated. 

The principal mechanisms NIST uses to transfer its knowledge, intellectual property, and other 

technical assets are: research and development collaborations with industry, academia, and other 

government agencies; publishing in peer-reviewed publications; Standard Reference Materials 

and Standard Reference Data; participating in the research and development of industry “road 

maps”; organizing and hosting conferences and workshops; hosting U.S. and international guest 

scientists from industry, academia, and other government agencies; making its advanced 

facilities available to other scientists through Facility Use Agreements; entering into formal 

research agreements such as Cooperative Research and Development Agreements (CRADAs); 

and obtaining and licensing patents when such is deemed important for effective technology 

transfer. NIST also devotes considerable attention to publicizing its planned, ongoing, and 

completed work in the trade and technical presses, in order to reach the organizations most likely 

to have an interest in utilizing the results of NIST’s work and availing themselves of the 

agency’s research, facilities and services. 

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

The present array of metrics covers the wide variety of mechanisms that NIST uses to ensure 
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effective technology transfer. In recent years, NIST has improved its patent and licensing 

policies and practices through the creation of a Patent Review Committee in an effort to 

sharpen patent strategy and utilize resources more efficiently; NIST has provided formal 

intellectual property training sessions at facilities in both Gaithersburg, Maryland, and Boulder, 

Colorado; and has implemented a new Small Business Innovation Research (SBIR) Technology 

Transfer Program to actively stimulate commercialization of nascent technologies. NIST also 

works with a coalition of the private sector and Federal, State, and local government agencies in 

a highly successful program to facilitate technology transfer through postdoctoral STEM 

(science, technology, engineering, and mathematics) fellows serving term appointments in 

Federal laboratories. In FY 2010, NIST will continue to participate in this and other programs 

to expand its technology transfer collaborations with regional economic development entities and 

with venture capital and other groups as well as through the Manufacturing Extension 

Partnership (MEP) network, which reaches over 10,000 manufacturing entities in the U.S. 

In addition to the technology transfer activity metrics, NIST consistently assesses the 

downstream impact of its research projects and infratechnologies. NIST evaluates its 

programmatic performance over time by utilizing a diverse yet complementary set of 

performance indicators and measures. NIST has designed its performance evaluation system to 

accommodate the Institute’s diverse products as well as to address the intrinsic difficulty of 

measuring the results of Federal investments in scientific and technological products and 

services. NIST evaluates its performance and plans its work through several distinct evaluation 

methods: economic impact studies, peer review and other forms of external assessment, 

customer feedback, and quantitative output metrics. Over the 9-year period, 2000-2009, 14 

economic impact studies were conducted of NIST research programs. NIST reports its 

performance through Department of Commerce Government Performance and Results Act of 

1993 (GPRA) documents as well as through the NIST Financial Statements. These studies show 

that for NIST research, the ratio of overall return on investment is 36:1. Additional details on 

NIST economic performance measures are available online at 

http://www.nist.gov/director/planning/impact_assessment.htm#recent.

Technology Transfer Methods 

● Patents and Licensing 

NIST’s Office of Technology Partnerships (OTP) leads an ongoing program of informational 

sessions and meetings to communicate to NIST staff the importance of NIST’s patent, licensing 

and information dissemination policies and procedures and how to utilize these policies and 

procedures to advance their research and fulfill NIST’s mission. The FY 2009 technology 

transfer results, as compared to those of FY 2008, demonstrate that improvements to NIST’s 

policies and procedures are producing improved results in invention disclosures and patent 

applications filed. 

NIST has an established Patent Review Committee (PRC) which asses new technologies 

developed by NIST employees and provides recommendations to Operating Unit Directors as to 

whether or not seeking patent protection is appropriate for each new technology. The PRC meets 

monthly and consists of one member from each of the scientific Operating Units, one member 

from Technology Services, and one member from the Office of the Chief Counsel for NIST. 
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● Small Business Innovation Research (SBIR) 

NIST has pioneered a new methodology for US small businesses to spin-off commercially-viable 

technologies emerging from its research. Through the use of its SBIR Program funds, NIST 

creates incentives for small U.S. companies to continue research and development on NIST 

technologies with the goal of transitioning NIST intramural research into practical application, 

market insertion and ultimate growth of small businesses. The use of the SBIR program to 

improve Federal technology transfer is a novel approach to merging these two complementary 

infrastructures, thereby leveraging the advantages of each program. 

To date, NIST has made a total of 27 SBIR-TT project awards to small U.S. companies aimed at 

improving and commercializing NIST developed technologies. The first implementation of the 

SBIR-TT model was a pilot launch in 2008 which resulted in 11 phase 1 projects, one 

commercialization license, and two research licenses. The following year, 9 of the 11 prior-year 

phase 1 projects were awarded phase 2 contracts. Further, 16 new phase 1 projects were initiated 

which included 9 research licenses and one additional commercialization license. NIST 

anticipates that, depending upon funding availability, roughly half of new NIST SBIR awards 

will be dedicated to SBIR-TT projects. 

Other Federal agencies with SBIR programs have expressed interest in the preliminary results of 

NIST’s new SBIR-TT approach as a potential tool that they may be able to adopt within their 

own agencies. The relatively small size of NIST, as compared to most other agencies, has made 

it a convenient test bed for trying this new approach. The adoption of this new approach by 

other agencies will require them to coordinate their functional units with systematic procedures 

for identifying commercially-viable intramural technologies and finding potential awardees 

capable of advancing commercialization. 

● Standard Reference Materials 

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

the United States. Measurements using SRMs can be traced to a common, recognized set of 

basic standards that provide the basis for measurement compatibility among different 

laboratories. As economic exchange has become more global, customers throughout the world 

increasingly use SRMs to ensure measurement quality and conformance to process requirements 

that address both national and international needs. NIST produces and disseminates 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 1,283 different types — illustrates the 

diversity of measurements supported by NIST. 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 economic benefits 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 
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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. 

Recently, NIST redefined how it counts individual calibration tests. The change in the definition 

and the increased activity relating to military test equipment has resulted in an annual level of 

between 18,000 and 26,000 calibration tests. The number of calibrations in individual years 

fluctuate due to multiyear calibration cycles, shifts in emphasis among specific calibration 

services that have different numbers of tests for each service item (especially in FY2009) and the 

overall health of the U.S. economy. NIST’s approach for calibration services is driven by the 

need and demand from its major industry and government customers. NIST is pursuing three 

major 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; 

(3) Accrediting primary and secondary calibration laboratories to meet ongoing industry needs. 

The National Voluntary Laboratory Accreditation Program (NVLAP) is a voluntary, feesupported program to accredit laboratories that are found competent to perform specific tests or 

calibrations, or types of tests or calibrations. In FY 2008, NVLAP accepted 9 new calibration 

laboratories into the program—bringing the total to 80—in fields ranging from dimensional 

metrology to optical and ionizing radiation. Through laboratory accreditation, NIST efficiently 

leverages its primary calibration services to support a broader base of secondary calibrations 

conducted within the private sector. 

● Standard Reference Data 

NIST produces and makes available 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 from measurements done at NIST laboratories, which are then assessed for 

reliability and evaluated to select the most reliable 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. In FY 2008, a major 

upgrade was made to the widely used NIST/EPA/NIH Mass Spectral Library. Another major 

innovation in FY 2008 was the addition of three online data products available for a fee: NIST 

Web Thermo Tables Professional Edition, NIST Web Thermo Tables Lite Edition, and XPS 

Version 4.0. These new data products enabled NIST to discontinue several older PC based 

products. At the end of FY 2009, there were 120 SRDs available, 71 of which were online 

systems available free of charge. 
15

● Software Tools 

NIST provides a wide variety of application software programs and testing tools to U.S. industry, 

academia and other interested users. NIST develops standards, conformance tests, tools, and 

methods to evaluate the quality of software and the software’s conformation to standards. 

Details on available application software programs developed at NIST can be found at 

http://www.nist.gov/public_affairs/software.htm.

● Technical Publications 

Technical publications are one of the major mechanisms NIST uses to disseminate the results of 

its research to support the Nation’s technical infrastructure, measurements and standards—vital 

components of leading-edge research and innovation—to industry, academia, and other agencies. 

NIST staff author over 1,100 publications in peer-reviewed journals each year. 

● Collaborative Research, Guest Researchers, and Facilities Users 

Cooperative research and development between Federal laboratories, academia and outside 

partners is an effective means for technology transfer. Beyond the improved know-how and 

new technologies that result, these joint efforts often create a mutually advantageous leveraging 

of the collaborators’ resources and technical capabilities and provide mechanisms for 

collaborators to gain new technical competencies and acquire new skills. 

Each year, thousands 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 who collaborate with NIST staff on research and 

development projects of mutual interest and to transfer to the researchers NIST-developed 

techniques, procedures, and know-how. NIST also sponsors several formal collaboration 

programs with universities. These programs include: JILA (formerly known as the Joint 

Institute for Laboratory Astrophysics), 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; the Center for Advanced Research in 

Biotechnology, a collaboration with the University of Maryland Biotechnology Institute that 

conducts research and provides interdisciplinary training in fundamental problems at the 

forefront of biotechnology; the Hollings Marine Laboratory, a collaboration among NIST, 

NOAA, the South Carolina Department of Natural Resources, the Medical University of South 

Carolina, and the College of Charleston that conducts interdisciplinary scientific research for a 

better understanding of marine resources and environmental health; and the Joint Quantum 

Institute, a collaboration between NIST and the University of Maryland that focuses on quantum 

phenomena and their potential applications. 

Another mechanism for establishing joint relationships is the CRADA, an agreement between a 

Federal laboratory and one or more partners to collaborate on defined R&D projects. The legal 

authority for CRADAs was created by the Federal Technology Transfer Act of 1986 with the 

aim to encourage Federal laboratories to participate in R&D partnerships to advance promising 

new technologies toward commercialization. 

● Conferences, Workshops, and Inquiries 

Among the most important mechanisms for technology dissemination are communication, 

education, and interaction among researchers, developers and users of technology. To that end, 
16

NIST hosts numerous conferences, workshops, and other meetings each year to facilitate the 

transfer of technology. During FY 2008, NIST held 83 conferences with about 8,326 attendees. 

Additionally, NIST staff was made available to answer more than 6,564 e-mail, telephone, and 

mail inquiries from the public, including inquiries from many researchers, requesting 

information and details about NIST technical developments and research results. 

● Participation in Documentary Standards Committees 

Another means by which NIST transfers technology is through active participation in 

documentary standards developing organizations, which develop consensus standards on a host 

of technologies. NIST participation enables its scientists and engineers to bring NIST 

technology and know-how directly into standards setting bodies. NIST provides expertise to 

these organizations that, for example, could involve test methods and procedures for protecting 

health, safety, and/or the environment or specifications for performance or interoperability with 

the aim of improving the competitiveness of U.S. companies in the world market. During FY 

2009, 419 NIST staff members participated on 1019 standards committees representing 111 

standards-developing organizations. NIST staff held 1,415 memberships on these committees, 

including 415 in ASTM International (formerly the American Society for Testing and 

Materials), 61 in the American National Standards Institute (ANSI), 88 in IEEE (formerly the 

Institute of Electrical and Electronics Engineers, Inc.), and 105 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. 

● Training 

NIST provides a number of formal training programs. In FY 2009, 665 attendees attended 41 

NIST training classes held by 9 NIST divisions. Numbers in support of training were down from 

the previous two years due to staff resources being dedicated to other priority areas thus 

minimizing resources available to support basic measurement services and training efforts. 

Special metrology workshops were held in collaboration with professional associations and 

regional metrology organizations including the National Conference of Standards Laboratories, 

the International Measurement Science Conference, and the InterAmerican Metrology System. 

● SURF, SHIP, and Summer Institute for Middle School Science Teachers Programs 

NIST has been recognized as a vital contributor to the nations’ scientific and engineering fields 

for innovation and competitiveness. As part of its mission and to help create a long-term and 

well-qualified workforce for standards and measurement research, NIST has several education 

outreach programs and partnerships that enrich basic research programs. Examples of these 

programs include the Summer Undergraduate Research Fellowship (SURF) program, the 

Summer High School Internship (SHIP) program and the NIST Summer Institute for Middle 

School Science Teachers. 

The SURF program is a partnership, supported by NIST, NSF and participating 

colleges/universities, that provides opportunities for undergraduate students to engage in worldclass research at NIST’s unique research facilities. The program, operating since 1993, provides 

an opportunity to encourage and excite the interest of our nations’ next generation of scientists 

and engineers. SURF encompasses all nine technical laboratories at NIST, and a separate 

program is operated in Boulder. From 1993 through the current year, there have been a total of 
17

1372 participants in the SURF program. The program provides students majoring in science, 

mathematics and engineering with a clear view challenges and rewards of technical research at 

NIST, combining the academic components that include publication of original work with real 

world applications that students would find in an industrial setting. For the summer of 2009, the 

NIST Gaithersburg campus hosted 151 students in the program from 71 universities and 

colleges, and at the NIST Boulder campus, there were 14 students representing 12 different 

universities and colleges. 

In 2009, NIST launched the SHIP program designed for students who will have finished their 

junior or senior year of high school by the start of the program and are interested in scientific 

research. This competitive volunteer program gives students the opportunity to participate in 

cutting-edge research at NIST, and work closely with NIST scientists and engineers on a specific 

research problem. Students are assigned a NIST Research Mentor who oversees the internship. 

Among the training sessions offered in FY 2009 was the Summer Institute for Middle School 

Science Teachers (SIMSST). The program began as a partnership with Maryland’s Montgomery 

County Public School system in 2007. This is a two-week long workshop held each summer, 

designed to support middle school science teachers through a combination of hands-on activities, 

lectures, tours, and visits with scientists in their laboratories. The topics are planned to 

coordinate with the middle school curriculum, and the teachers are provided with resources and 

instructional tools for teaching math and science, with an emphasis on the measurement science 

used at NIST. A selection of the cutting-edge research at NIST is presented and teachers are 

guided through hands-on activities designed to be used in classroom-based learning modules. In 

addition to ideas and selected activities to incorporate into lesson plans, teaching tools are 

provided to allow the teachers to demonstrate to their students some of the selected activities. 

This includes a LabQuest instrument that each participating teacher can bring take to their school 

with the supplemental probes. This year’s Summer Institute had 16 participants. These were 

twelve from Montgomery County Public Schools, two from Howard County Public Schools, one 

from Prince Georges County Public School and one from Carroll County Public Schools. 

● Outreach to trade and technical media 

NIST devotes considerable attention to publicizing its planned, ongoing, and recently completed 

work in the trade and technical press, which is followed by the organizations most likely to have 

an interest in utilizing the results of NIST’s work and the agency’s research and services. In 

addition to news releases, websites, and contacts with the media, NIST publishes Tech Beat, a 

biweekly plain language newsletter of recent research results. 

Performance in FY 2009: Activities and Achievements 

The data below quantify 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 (CRADAs and other kinds of 

relationships), invention disclosures, patenting, and licensing. In addition, data are also provided 

for some of the other technology transfer mechanisms utilized by the NIST laboratories such as: 

Standard Reference Materials, Standard Reference Data, technical publications produced, 

calibration tests, and guest researcher collaborations. We have also provided a selection of 
18

examples of successfully transferred NIST technologies, including some that are well down the 

road of commercialization. 

■ Collaborative Relationships for Research and Development 

FY 

2005

FY 

2006

FY

2007

FY

2008

FY 

2009

● CRADAs, total active in the fiscal year (1) 1,618 2,488 2,488 2,343 2,343

 - New, executed in the fiscal year 1,579 1,646 1,585 1,575 1,492

 ▪ Traditional CRADAs, (2) total active in the fiscal year 65 135 140 121 65(7)

 - New, executed in the FY 26 74 20 12 19

 ▪ Non-traditional CRADAs, (3) total active in the fiscal

 year

1,553 2,353 2,348 2,224 2,284

 - New, executed in the fiscal year 1,553 1,572 1,565 1,565 1,473

● Other types of collaborative R&D relationships 

 ▪ Facility Use Agreements, total in effect, end of the

 fiscal year (4) (NCNR, CNST)

588 639 717(5) 635 760

 - New, executed in the fiscal year 280 283 397(5) 399 409

 ▪ Guest scientists and engineers during the fiscal year (6) 2,115 2,114 2,672 2,816 2,828

CRADA = Cooperative Research and Development Agreement. 

(1) “Active” means agreements in force at any time during the fiscal year. “Total active” is comprehensive of all 

agreements executed under CRADA authority (15 U.S.C. 3710a). 

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

(3) CRADAs used for special purposes, such as laboratory accreditation, materials 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) Reflects correction of data from FY 2007 Report. 

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

NIST under Intergovernmental Personnel Act (IPA) agreements, CRADAs, and Facility Use Agreements. 

(7) The decrease in CRADAs is attributable to the successful conclusion of multi-CRADA Consortiums. 

■ Invention Disclosure and Patenting 

FY 

2005

FY 

2006

FY

2007

FY

2008

FY 

2009

● New inventions disclosed in the fiscal year (1) 19 10 29 40 36

● Patent applications filed in the fiscal year (2) 11 4 6 18 18

● Patents issued in the fiscal year 9 6 3 1 7

● Active patents, end of the fiscal year 154 132 129 131 123

(1) Inventions arising at NIST laboratories. 

(2) 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. (A PCT application is an application filed under the Patent Cooperation Treaty. This 

treaty provides a unified procedure for filing patent applications in each of its contracting States.) 

■ Licensing 

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 are not included in 

the count of copyright licenses. 
19

Profile of Active Licenses 

FY 

2005

FY 

2006

FY

2007

FY

2008

FY 

2009

● All licenses, number total active in the fiscal year (1) 26 24 30 23 33

 ▫ New, executed in the fiscal year 5 3 5 2 11

 ▪ Invention licenses, total active in the fiscal year 26 24 30 23 33

 ▫ New, executed in the fiscal year 5 3 5 2 11

 - Patent licenses, (2) total active in the fiscal year 26 24 30 23 33

 ▫ New, executed in the fiscal year 5 3 5 2 11

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

 ▫ New, executed in the fiscal year 0 0 0 0 0

 - Other invention licenses, total active in the fiscal 

year

0 0 0 0 0

 ▫ New, executed in the fiscal year 0 0 0 0 0

 ▪ Other IP licenses, total active in the fiscal year 0 0 0 0 0

 ▫ New, executed in the fiscal year 0 0 0 0 0

 - Copyright licenses (fee-bearing) 0 0 0 0 0

 ▫ New, executed in the fiscal year 0 0 0 0 0

 - Material transfer licenses (non-inventions), total 

active

0 0 0 0 0

 ▫ New, executed in the fiscal year 0 0 0 0 0

(1) “Active” means in force at any time during the fiscal year. 

(2) Includes patent applications that are licensed. 

Licensing Management 

FY

2005

FY 

2006

FY

2007

FY

2008

FY 

2009

● License negotiation time,(1) licenses granted in the fiscal year

 ▪ Invention licenses (Patent licenses) (2)

 ▫ Average, months

 ▫ Minimum

 ▫ Maximum

1.0

1.0

1.0

6.0

1.0

13.0

2.0

1.0

3.0

10.5 (3)

3.0

18.0 (3)

4.8

3

7

● Licenses terminated for cause, number in the fiscal year 

 ▪ Invention licenses (Patent licenses) (2) 1 0 0 0 0

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

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

negotiations.) 

(2) Patent licenses include patent applications that are licensed. 

(3) These numbers reflect an increase in income-bearing licenses, which take longer to negotiate than royalty-free 

research licenses. 

Income from licensing comes from various sources: license issue fees, earned royalties, 

minimum annual royalties, paid-up license fees, reimbursement for full-cost recovery of goods 

and services provided by the laboratory to the licensee, including patent costs. 

 
20

Characteristics of Licenses Bearing Income

FY

2005

FY 

2006

FY

2007

FY

2008

FY 

2009

● All income bearing licenses, (1) total number 17 18 21 21 22

 ▫ Exclusive

 ▫ Partially exclusive

 ▫ Non-exclusive

11

0

6

16

0

2

16

0

5

14

0

7

15

0

7

 ▪ Invention licenses (Patent licenses), (1) (2) 

 total distributed, income bearing 

17 18 21 21 22

 ▫ Exclusive

 ▫ Partially exclusive

 ▫ Non-exclusive

11

0

6

16

0

2

16

0

5

14

0

7

15

0

7

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

● All royalty bearing licenses, (3) total number 17 18 21 21 22

 ▪ Invention licenses, royalty bearing 17 18 21 21 22

 - Patent licenses,(2) royalty bearing 17 18 21 21 22

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

 (1) Detailed statistics are required under the Technology Transfer Commercialization Act of 2000 (P.L. 106-404) 

[15 U.S.C. Section 3710 (f)]. 

(2) Patent licenses include patent applications which are licensed. 

(3) Royalties are only one component of total license income. 

Income from Licenses 

FY

2005

FY 

2006

FY

2007

FY

2008

FY 

2009

● Total income, all licenses active in FY (1) $123,348 $156,793 $195,347 $223,640 $197,445

 ▪ Invention licenses (patent licenses)(2) $123,348 $156,793 $195,347 $223,640 $197,445

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

 

● Total Earned Royalty Income (ERI) (3)(4) $123,348 $156,793 $195,347 $223,640 $197,445

 ▫ Median ERI $2,500 $5,000 $15,000 $20,000 $15,625

 ▫ Minimum ERI $640 $640 $1,280 $640 $320

 ▫ Maximum ERI $45,000 $85,403 $169,067 $100,000 $100,000

 ▫ ERI from top 1% of licenses dw dw dw dw dw

 ▫ ERI from top 5% of licenses dw dw dw dw dw

 ▫ ERI from top 20% of licenses dw dw dw dw dw

 ▪ Invention licenses (Patent licenses)(2) )(4) $123,348 $156,793 $195,347 $223,640 $197,445

 ▫ Median ERI $2,500 $5,000 $15,000 $20,000 $15,625

 ▫ Minimum ERI $640 $640 $1,280 $640 $320

 ▫ Maximum ERI $45,000 $85,403 $169,067 $100,000 $100,000

 ▫ ERI from top 1% of licenses dw dw dw dw dw

 ▫ ERI from top 5% of licenses dw dw dw dw dw

 ▫ ERI from top 20% of licenses dw dw dw dw dw

 ▪ Other IP licenses, total active in the fiscal $0 $0 $0 $0 dw

“n/a” means that the data is not available from the agency at time of this report. 

“dw” means data withheld to protect proprietary information. 
21

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

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

patent costs and Standard Reference Data. 

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

(3) “Earned royalty” is a 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. 

(4) Detailed statistics are required under the Technology Transfer Commercialization Act of 2000 (P.L. 106-404) 

[15 U.S.C. Section 3710 (f)].

Disposition of Invention License Income 

FY

2005

FY 

2006

FY 

2007

FY 

2008

FY 

2009

● Income distributed (1)

 ▪ Invention licenses, (Patent licenses), (2) 

 total distributed

$123,348 $156,793 $195,347 $223,640 $197,445

 - To inventor(s) $48,148

(39%)

$47,536

(30%)

$65,100

(33%)

$75,140

(33%)

$66,757

(34%)

 - To other (3) $75,199

(61%)

$109,257

(70%)

$130,247

(67%)

$148,500

(66%)

$130,688

(66%)

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

(2) Patent licenses include patent applications which are licensed. 

(3) NIST only in FY 2001-2004. In FY 2005, $1500 went to the National Institutes of Health and the rest went to 

NIST. 

Other Performance Measures Deemed Important by the Agency 

FY 

2005

FY 

2006

FY 

2007

FY

2008

FY 

2009

Standard Reference Materials (SRMs) available (1) 1,246 1,302 1,285 1,282 1,283

Standard Reference Materials (SRMs) units sold (2) 32,163 31,195 32,614 33,373 29,769

Standard Reference Data (SRD) titles available (3) 110 113 109 102 120

Number of calibration tests performed (4) 12,849 13,127 27,489* 25,944 18, 609

Technical publications in peer-reviewed journals(5) 1,148 1,163 1,272 1,271 1,463

* The number of calibration tests performed in FY 2007 was significantly higher than the number of tests performed 

in FY 2005 and FY 2006 due principally to a surge in calibration testing for the military and its contractors. 

(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. In recent years, NIST had 

been expecting a continuing slight decline in the number of SRM units sold, as NIST made greater use of 

highly leveraged SRM services over time, including accreditation of Nationally Traceable Reference 

Material producers. However, in FY 2005, the number of SRMs sold increased. Some possible contributing 

factors include the implementation of new Environmental Protection Agency (EPA) regulations, 

environmental activities, an increase in construction projects, and the availability of previously out-of-stock 

SRMs. 

(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 40% are available for sale, and 60% are free online systems. Over time, a larger percentage of SRDs 

will be distributed via the Internet. New growth in online systems was anticipated for FY 2008-09 with the 

release of fee-based titles for the Internet. 

(4) Calibration tests performed by the NIST laboratories. 

(5) Annual number of NIST’s technical publications appearing in influential scientific peer-reviewed 

journals. 
22

Other Performance Measures Deemed Important by the Agency 

■ Some of the Prestigious Awards for NIST’s Scientific Technology received in FY 2009: 

● Sigma Xi's 2009 William Procter Prize for Scientific Achievement 

Physicist Deborah S. Jin, a Fellow of NIST and JILA (a joint institute of NIST and the 

University of Colorado at Boulder), received Sigma Xi's 2009 William Procter Prize for 

Scientific Achievement. Sigma Xi noted that “Her research has been described as the crucial 

first step in developing superconductors that work at room temperature, which could lead to 

faster computers and other advances.” 

● 2009 R&D 100 award from R&D Magazine 

Commercial process-design software that incorporates NIST’s thermophysical and 

thermochemical property data sets received a 2009 R&D 100 award from R&D Magazine. The 

annual award recognizes the 100 most technologically significant products introduced during the 

past year. The award recognizes Aspen Plus® 2006.5 with NIST ThermoData Engine (TDE), a 

process simulator that provides new tools to significantly increase the number and variety of 

chemical components that may be considered by the process design engineer, while dramatically 

reducing the time required for compilation and critical evaluation of component properties. The 

product is marketed by Aspen Technology Inc., and is used in a range of industries. 

● 2009 European Frequency and Time Award 

Jun Ye, a NIST Fellow working at JILA, received the 2009 European Frequency and Time 

Award in April during the joint European Frequency and Time Forum and IEEE International 

Frequency Control Symposium held in France. Ye was honored for his pioneering work in 

establishing a neutral atom optical lattice clock, narrow linewidth lasers, femtosecond 

spectroscopy, and phase-coherent transmission of frequencies via optical fibers. 

● 2009 William F. Meggers Award 

Leo Hollberg, a physicist who recently retired from NIST Boulder, received the 2009 William F. 

Meggers Award from the Optical Society of America (OSA). The award recognizes outstanding 

work in spectroscopy. Hollberg was cited for his seminal contributions to the development of 

diode lasers as powerful spectroscopic tools, development of femtosecond frequency combs, and 

demonstration of unique quantum effects in the interaction between light and atoms. 
23

Sample Results from NIST Technology Transfer Activities 

● Mitigating the Effects of Wind on High-Rise Fires 

Together with the Fire Protection Research Foundation, the Fire Department of New York City 

(FDNY) and the Polytechnic Institute of New York University, researchers at NIST recently 

published two reports detailing the detrimental effects of wind on fires in high-rise buildings. 

The research describes how wind impacts the spread of fire through a structure and examines the 

capabilities of positive pressure ventilation, wind-control devices, and externally applied water to 

mitigate hazards. The research results are available for firefighter training, and will lead to 

improved safety for civilians and firefighters. 

Based on NIST’s recommendations, the FDNY has amended their standard operating procedures 

for apartment dwellings, including how they vent the building, and they have purchased positive 

pressure ventilation fans, wind control devices and floor below nozzles and deployed them 

throughout the city. The FDNY has also produced new training materials using NIST data and 

instructional videos to teach their 11,000 members how to employ these new technologies and 

techniques. Firefighters around the world have also expressed interest in learning more about 

using wind control and ventilation and other firefighting technologies developed or 

recommended by NIST. 

● NIST Teams with Carl Zeiss Inc. on Nanomanufacturing 

Researchers at the NIST and at Carl Zeiss, Inc. are improving nanoscale measurement accuracy 

to help manufacturing industries. Because the economic value of smaller dimensions is measured 

in billions of dollars per nanometer, manufacturers have a huge incentive to push measurement 

technologies to the smallest limits. 

Via a cooperative research and development agreement, NIST and Zeiss researchers tested 

Orion, the first commercial helium ion microscope, at NIST’s Advanced Measurement 

Laboratory (AML). “What we are learning goes directly back to the manufacturers to improve 

their products, which allows NIST and industry to obtain the most precise measurements 

possible,” explains Michael Postek, chief of NIST’s Precision Engineering Division. “We are 

transferring NIST technology and sharing our research with the semiconductor industry trade 

organization, SEMATECH.” Zeiss recently unveiled its new Orion Plus, incorporating many of 

NIST’s design suggestions including a better helium cooling system for improved imaging. 

● Femtomolar Optical Tweezers 

NIST has licensed a patented “optical tweezers” technique for detecting and measuring very 

small concentrations of a biological substance—such as a virus on a surface. NIST has issued a 

non-exclusive license for the technology to Haemonetics, a global health care company that 

provides blood management technologies for hospitals and blood and plasma collection agencies. 

Following up on earlier work in optical tweezers in the industrial and academic research 

communities in the 1970s, the licensed technology was patented (patent #5,620,857), as a result 

of research conducted under the NIST BioSensor Consortium by inventors Howard Weetall, 

Kristian Helmerson, and guest researcher Rani Kishore. 
24

● Measuring the Resistance to Fracture 

Researchers at NIST have developed a method to measure the toughness—the resistance to 

fracture—of the thin insulating films that play a critical role in high-performance integrated 

circuits (ICs). The new technique could help improve the reliability and manufacturability of ICs 

and, better yet, it’s one that state-of-the-art microelectronics manufacturers can use with 

equipment they already own. To date, there has been no accurate method to measure the fracture 

resistance of such films, which makes it difficult to design improved dielectrics. NIST 

researchers believe they have found an answer to the measurement problem in a new adaptation 

of a materials test technique called nanoindentation. 

Researchers have known how to measure elasticity and plasticity—the forces needed to bend a 

material either temporarily or permanently—of materials at very small scales with nanoindenters. 

But toughness, the force needed to actually break the material, has been more problematic. 

Using NIST’s methodology, device manufacturers will be able to eliminate some candidate films 

from consideration without further expensive device testing. The measurement technique and 

model were published in a two-part series in the Journal of Materials Research. 

● Improving Software Tools that Analyze Software 

Static analyzers try to find weaknesses in other software programs that could be triggered 

accidentally or exploited by hackers. A new report by NIST documents the Static Analysis Tool 

Exposition (SATE), an exercise by NIST and static analyzer vendors to improve the performance 

of these tools. The report is the culmination of a lengthy effort to host and then digest the results 

of SATE, begun in February 2008 to help toolmakers assess their products’ ability to find 

security defects in other software. Eight tool developers, along with a ninth team of professional 

human reviewers, participated in SATE, which provided a non-competitive environment for the 

vendors to compare their program analysis techniques for the benefit of the entire group. 

The importance of software assurance tools has increased as programs grow longer, more 

sophisticated, and increasingly are required to interact with other programs over computer 

networks. The number and subtlety of attacks from hackers has also increased. The SATE report 

is available online at http://samate.nist.gov/docs/NIST_Special_Publication_500-279.pdf. 
25 

CHAPTER 3 

National Oceanic and Atmospheric Administration 

Agency Approach and Plans for Technology Transfer 

The mission of the National Oceanic and Atmospheric Administration (NOAA) 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 related to climate 

change, limited freshwater supply, ecosystem management, and homeland security. 

NOAA is one of the nation’s premier scientific agencies. NOAA science and technology impact 

the daily lives of the nation’s citizens and have a significant effect on the national economy. 

About one-third of the U.S. economy (approximately $3 trillion) is weather sensitive. The 

agriculture, energy, construction, health, travel, and transportation industries are almost entirely 

weather dependent. Weather data and forecasts play a critical role in these major economic 

sectors of our economy-- and are transferred to the industry and the public through the media, 

internet, and NOAA Weather Radio. Federal, State, and local 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. Weather data have been used for deciding such things as automobile fuel 

delivery system design, the best time to market umbrellas, and even for when the conditions 

would be optimum 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 laboratories is primarily aimed at assisting NOAA’s operational 

components. Recent examples demonstrating the direction of NOAA’s research are weather 

forecasting, solar emission forecasting, estimating fish stocks, predicting water resources, 

warning of tsunamis, and charting ocean bottom topography. Research results 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, fishery statistics, information on protected species, air quality, state of the coasts, 

beach temperatures, and nautical charts, as well as extensive databases on climate, oceans, ice, 

atmosphere, geophysics, and the sun. 

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 

found to be more efficient and economical than transfer through patenting and licensing. Even 
26

so, NOAA continues, where advantageous, to transfer intellectual property through licenses and 

Cooperative Research and Development Agreements (CRADAs) -- with industry to benefit the 

competitiveness of U.S. companies. 

In FY 2009, NOAA conducted an extensive technology transfer program through applications of 

meteorological and oceanographic technologies and information, and through open 

dissemination to individuals, industry, government, and universities. In addition, NOAA 

provided daily weather forecasts and warnings through the media and NOAA Weather Radio. 

NOAA technology is also transferred through presentations at scientific meetings, publication in 

peer-reviewed scientific journals, and through NOAA scientific and technical publications. 

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) 

team to provide new experimental air quality forecast guidance that enables 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 example, the understanding and forecasting of global phenomena that occur in the 

atmosphere, oceans, and on the sun require 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 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 

an international visiting scientist program. In addition, environmental data are 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 ecosystembased 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 environmentallysound transportation. 
27

Performance in FY 2009: Activities and Achievements 

■ Collaborative Relationships for Research & Development 

FY 

2005

FY 

2006

FY 

2007

FY 

2008

FY 

2009

● CRADAs, total active in the fiscal year (1) 8 6 5 4 5

 - New, executed in the fiscal year 0 0 0 1 1

 ▪ Traditional CRADAs,(2) total active in the fiscal year 8 6 5 4 5

 - New, executed in the fiscal year 0 0 0 0 0

 ▪ Non-traditional CRADAs,(3) total active in the fiscal 

year

0 0 0 0 0

 - New, executed in the fiscal year 

 

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” means force at any time during the fiscal year. “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 

2005

FY 

2006

FY 

2007(3)

FY 

2008

FY 

2009

● New inventions disclosed in the fiscal year (1) 1 4 3 0 4 

● Patent applications filed in the fiscal year (2) 1 0 2 3 1 

● Patents issued in the fiscal year 1 0 0 1 0

(1) Inventions arising at the Federal laboratory. 

(2) 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. 

(3) Correction made to FY 2007 on number of patent applications and patents issued. The patent for the DART 

(Deep-ocean Assessment and Reporting of Tsunamis) system was expected to be issued in September 2007 but was 

not issued until October 30, 2007. 
28

■ Licensing 

Profile of Active Licenses 

FY 

2005 

FY 

2006 

FY 

2007 

FY 

2008 

FY 

2009 

● All licenses, number total active in the FY (1) 4 5 6 6 7

 ▫ New, executed in the FY 0 1 3 0 1*

 ▪ Invention licenses, total active in the FY 4 5 6 6 7

 ▫ New, executed in the FY 0 1 3 0 0

 - Patent licenses,(2) total active in FY 4 5 6 6 7

 ▫ New, executed in the FY 0 1 3 0 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 are not included in the count of copyright licenses. 

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

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

* One-Time License only with one-time flat fee royalty 

 
29

Licensing Management 

FY 

2005

FY 

2006 

FY 

2007 

FY 

2008 

FY 

2009

● License negotiation time,

(1) licenses granted in the 

FY

 

 ▪ Invention licenses

 ▫ Average, months

 ▫ Minimum

 ▫ Maximum

* 7.0 5.0

6.0

7.0

* 7.0

 - Patent licenses (2)

 ▫ Average, months

 ▫ Minimum

 ▫ Maximum

* 7.0 5.0

6.0

7.0

* 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. 

* No new licenses were executed in FY 2004, FY 2005, 2008. 

(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. 

 
30

Characteristics of Licenses Bearing Income 

FY 

2005 

FY 

2006 

FY 

2007 

FY 

2008 

FY 

2009 

● All income bearing licenses, total number 4 5 4 4 5

 ▫ Exclusive

 ▫ Partially exclusive

 ▫ Non-exclusive

1

0

3

1

0

4

0

0

4

0

0

4

0

0

5

 ▪ Invention licenses, income bearing 4 5 4 4 5

 ▫ Exclusive

 ▫ Partially exclusive

 ▫ Non-exclusive

1

0

3

1

0

4

0

0

4

0

0

4

0

0

5

 - Patent licenses,(1) income bearing 4 5 4 4 5

 ▫ Exclusive

 ▫ Partially exclusive

 ▫ Non-exclusive

1

0

3

1

0

4

0

0

4

0

0

4

0

0

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 4 5 4 4 5

 ▪ Invention licenses, royalty bearing 4 5 4 4 5

 - Patent licenses,(1) royalty bearing 4 5 4 4 5

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

 - Copyright licenses (fee bearing) 4 5 4 4 5

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. 

 
31

Income from Licenses 

FY 

2005 

FY 

2006 

FY 

2007 

FY 

2008 

FY 

2009 

● Total income, all licenses active in the FY (1) $16,100 $13,100 $22,000 $69,007 $138,444(4)

 ▪ Invention licenses $16,100 $13,100 $22,000 $69,007 $138,444

 - Patent licenses (2) $16,100 $13,100 $22,000 $69,007 $138,444

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

 - Copyright licenses 

● Total Earned Royalty Income (ERI) (3) $16,100 $13,100 $22,000 $69,007 $138,444

 ▫ Median ERI $1,000 $1,000 $4,000 $9,007 $19,000

 ▫ Minimum ERI $100 $100 $1,000 $1,000 $1,000

 ▫ Maximum ERI $9,000 $5,000 $9,000 $25,000 $75,000

 ▫ ERI from top 1% of licenses $9,000 $5,000 $9,000 $25,000 $75,000

 ▫ ERI from top 5% of licenses $9,000 $5,000 $9,000 $25,000 $75,000

 ▫ ERI from top 20% of licenses $9,000 $5,000 $9,000 $25,000 $75,000

 ▪ Invention licenses $16,100 $13,100 $22,000 $69,007 $138,444

 ▫ Median ERI $1,000 $1,000 $4,000 $9,007 $19,000

 ▫ Minimum ERI $100 $100 $1,000 $1,000 $1,000

 ▫ Maximum ERI $9,000 $5,000 $9,000 $25,000 $75,000

 ▫ ERI from top 1% of licenses $9,000 $5,000 $9,000 $25,000 $75,000

 ▫ ERI from top 5% of licenses $9,000 $5,000 $9,000 $25,000 $75,000

 ▫ ERI from top 20% of licenses $9,000 $5,000 $9,000 $25,000 $75,000

 - Patent licenses (2) $16,100 $13,100 $22,000 $69,007 $138,444

 ▫ Median ERI $1,000 $1,000 $4,000 $9,007 $19,000

 ▫ Minimum ERI $100 $100 $1,000 $1,000 $1,000

 ▫ Maximum ERI $9,000 $5,000 $9,000 $25,000 $75,000

 ▫ ERI from top 1% of licenses $9,000 $5,000 $9,000 $25,000 $75,000

 ▫ ERI from top 5% of licenses $9,000 $5,000 $9,000 $25,000 $75,000

 ▫ ERI from top 20% of licenses $9,000 $5,000 $9,000 $25,000 $75,000

 ▪ 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

 ▫ 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 & 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. 
32

(4) Increase is due to a license with Walt Disney for NOAA's Science on a Sphere for a one-time royalty of $75,000. 

Disposition of License Income 

FY

2005

FY

2006

FY 

2007

FY 

2008

FY 

2009

● Income distributed (1) 

 ▪ Invention licenses, total 

distributed

$16,100 $13,100 $22,000 $69,007 $138,444

 - To inventor(s) $8,400

(52%)

$7,500

(57%)

$12,200

(55%)

$21,802

(32%)

$45,153

(33%)

 - To other $7,700

(48%)

$5,600

(43%)

$9,800

(45%)

$46,205

(68%)

$93,291

(67%)

 - Patent licenses, (2) total 

distributed

$16,100 $13,100 $22,000 $69,007 $138,444

 - To inventor(s) $8,400

(52%)

$7,500

(57%)

$12,200

(55%)

$21,802

(32%)

$45,153

(33%)

 -To other $7,700

(48%)

$5,600

(43%)

$9,800

(45%)

$46,205

(68%)

$93,291

(67%)

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 

2005

FY

2006

FY 

2007*

FY 

2008*

FY 

2009

Journal articles published 397 444 833 774 631

Technical reports published 226 148 265 201 134

*Publication counts have been recently updated by the NOAA Laboratories for FY 2007 and FY 2008. 

GREAT LAKES ENVIRONMENTAL 

RESEARCH LABORATORY

FY

2007

FY

2008

FY 

2009

Website hits (HTML pages) 2,244,420 3,086,605 2,790,351

Website downloads (PDF pages)—brochures, 

research papers, technical memos, etc.

65,740 110,880 93,400

*Update made for FY2007 and FY 2008 on number of articles published and reports published. 

FY 

2009 

NOAA Inventors on Patents filed “by 

Others” 

1* 

*NOAA’s PMEL Scientist on Cortland Patent 
33

Other Performance Measures Deemed Important by the Agency 

■ Prestigious Awards for NOAA’s Scientific Technology received in FY 2009

● NOAA Technology Transfer Award 

Tracy Hansen, Thomas LeFebvre, Mark Mathewson, Mike Romberg – In recognition of the 

development of the Graphical Forecast Editor, which has proven its worth beyond government 

rank and is being used by private industry to support forecast operations. 

● NOAA Gold Medal Award 

Roland Draxler – In recognition “for being the driving force behind the initial development and 

continued improvement of the Hybrid Single-Particle Lagrangian Integrated Trajectory 

(HYSPLIT) atmospheric and dispersion modeling system. He led the successful transfer of the 

HYSPLIT from research to operations within NOAA, where it supports protection of the public 

from hazards such as toxic chemicals, wildfire smoke, radioactive plumes, and volcanic ash. He 

has also led collaborations, technology transfer, and training that have enabled other agencies 

and countries to use HYSPLIT to protect life, property, and the environment.” 

Sample Results from NOAA Technology Transfer 

For this year’s report, the cases described below are provided as examples of downstream 

outcomes being achieved by NOAA technology transfer efforts: 

● Tsunami “Train-the-Trainer” Training 

The Washington State Train-the-Trainer program aims to develop an educational curriculum to 

train qualified Tsunami Public Education Instructors. The Train-the-Trainer program is a joint 

effort of the NOAA Center for Tsunami Research (NCTR) and the Washington state Emergency 

Management Division (WA EMD). On 9 June 2009, WA EMD hosted a Pilot Train-the-Trainer 

Workshop. The workshop objective was to conduct a Pilot Project to initiate, test, and refine a 

curriculum for a Trainer program that will be developed and taught by the NCTR in 

collaboration with WA EMD to graduate qualified Tsunami Public Education Instructors as 

identified by WA EMD. This objective is a critical component essential to the National Tsunami 

Hazard Mitigation Program (NTHMP) Educational Plan. The Workshop was a joint effort of the 

WA EMD and the NCTR. A total of 31 participants from various coastal Washington 

jurisdictions took part in the Workshop. Attendees included personnel from county and 

community organizations such as Emergency Management and Community Emergency 

Response Team (CERT) 

● HYSPLIT (Hybrid Single-Particle Lagrangian Integrated Trajectory) Model 

The HYSPLIT model is the newest version of a complete system for computing simple air parcel 

trajectories to complex dispersion and deposition simulations. The model is widely used by 

government, commercial, and university personnel, both in the United States and from many 

foreign nations to provide plume simulations in support of emergency response operations, as 

part of research efforts addressing source-receptor questions, and by glider pilots and balloonists 

for recreational purposes. Registered users of HYSPLIT have increased dramatically over the 
34

past year. User statistics include: Commercial users: 244 Government (federal, state, and 

foreign) 442 University (US and foreign) 1383, Military 58, Non-Profits 57, private pilots 

(balloonists, glider pilots) 88 The model can be run interactively on the Web through the Air 

Resources Laboratory's READY system on the ARL web site or the code executable and 

meteorological data can be downloaded to a Windows PC. The dispersion of a pollutant is 

calculated by assuming either puff or particle dispersion. In the puff model, puffs expand until 

they exceed the size of the meteorological grid cell (either horizontally or vertically) and then 

split into several new puffs, each with its share of the pollutant mass. In the particle model, a 

fixed number of initial particles are advected about the model domain by the mean wind field 

and a turbulent component. The model's default configuration assumes a puff distribution in the 

horizontal and particle dispersion in the vertical direction. In this way, the greater accuracy of the 

vertical dispersion parameterization of the particle model is combined with the advantage of 

having an ever expanding number of particles represent the pollutant distribution. 

 ● Graphical Forecast Editor 

The Graphical Forecast Editor (GFE) is used operationally by NOAA’s National Weather 

Service (NWS) forecasters to create and maintain sets of sensible weather elements (temperature, 

wind, precipitation, etc.) in gridded form over their respective forecast areas. These grids are the 

basis for generation of most routine text forecasts, long-fused warnings, and the increasingly 

popular point-and-click graphical forecasts available on the Web. They are also combined into a 

National Digital Forecast Database, available to the public and private industry to support 

weather-related decision making. 

 

The sound fundamental design of GFE also makes it practical to adapt the system for 

international application. The NOAA team recently has worked with the meteorological 

agencies of Taiwan and Australia to tailor GFD systems for their forecast environments. Since 

October 2008 the Australia Bureau of Meteorology’s Victorian Region Forecast Centre has used 

GFE to issue daily weather forecasts of Victoria State, including areas hit hard by wildfires 

earlier this year. Commenting on their experience transferring this technology they state, “The 

success of the launch was critically dependent on two things. Firstly, you gave us a terrific 

system to start with. Its functionality, robustness and excellent design have been so important. 

Secondly, your help in further developing the GFE to our requirements has been superb. We 

couldn’t have asked for more enthusiastic, responsive and professional support.” The 

meteorological agency in Spain has also recently expressed interest in transferring GFE 

technology into their forecast operations. 

 

● Collaboration and Training: Harmful Algal Blooms and Harmful Algal Toxins 

The NOAA’s National Centers for Coastal Ocean Science (NCCOS) researchers hosted a 

visiting researcher from the Republic of Korea’s National Fisheries Research and Development 

Institute during January and February of 2009 to initiate development of a method for detecting 

the Harmful Algal Bloom organism Psuedo-nitzschia. Species of Psuedo-nitzschia and their 

associated toxin, domoic acid, have recently been identified near aquaculture sites along the 

Korean coast and are growing concern to industry and public health officials. Molecular probes 

targeting Korean species of this organism are being designed and incorporated into a test kit that 

will enhance monitoring and mitigation efforts. 
35

In April 2009, NCCOS researchers conducted a month-long training course to transfer detection 

technologies for harmful algal toxins to regulatory officials and scientists from Thailand The 

training course, sponsored by the United Nations International Atomic Energy Agency and 

facilitated by NOAA’s National Ocean Service’s International Program Office, is designed to 

improve toxin detection methods currently used to regulate and monitor seafood for domestic 

consumption and export, as well as for research purposes. 
36

CHAPTER 4 

National Telecommunications and Information Administration— 

Institute for Telecommunication Sciences 

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. 

Starting in 2003, ITS added a new metric under the “Other Performance Measures” category: 

number of publications approved through the Editorial Review Board (ERB) process. This 

metric provides a useful working indicator of the number of quality publications released to the 

public. In 2004, ITS added a measure for participation on standards committees. In 2006, ITS 

added another metric, the total number of hits on the publications listed on the “ITS Online 

Documents.” This metric more directly provides an indication of ultimate benefit to the public. 

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 

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 services as well as 

enhance the capabilities of ITS laboratories. They also provide insights into industry’s needs 

for productivity growth and competitiveness, enabling ITS to adjust the focus and direction of 

its programs for effectiveness and value. 

In FY 2009, 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 
37

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), ultrawideband (UWB), and Broadband over Power Line (BPL) 

technologies have been achieved through CRADAs. These have aided U.S. efforts to rapidly 

introduce new socially constructive communications technologies. More recently, CRADAs 

in the areas of objective audio and video quality, advanced antennas for wireless systems, 

remote sensing and global position (GPS) technology have allowed ITS to contribute to the 

development of new products and services. 

• 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 peer-reviewed articles in external 

scientific journals—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. 

• 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 (now 

ATIS – Alliance for Telecommunications Industry Solutions), 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 as 

unbiased by commercial interests. 

In FY 2009, 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. 
38

Performance in FY 2009: Activities and Achievements 

■ Collaborative Relationships for Research & Development 

FY 

2005

FY 

2006

FY

2007

FY 

2008 (1)

FY 

2009

● CRADAs, total active in the fiscal year (1) 278 514 285 41 32

 - New, executed in the fiscal year 185 512 280 7 8

 ▪ Traditional CRADAs,(2) total active in the fiscal 

year

7 8 9 6 7

 - New, executed in the fiscal year 5 6 4 6 7

 ▪ Non-traditional CRADAs,(3) total active in the 

fiscal year

273 506 276 35 25

 - New, executed in the fiscal year 144 506 276 1 1

● Other types of collaborative R&D relationships

 ▪ Collaborative standards contributions,(4) 

 total active in FY

11 16 25 25 20

 -New, executed in the fiscal year 0 5 9 10 5

CRADA = Cooperative Research and Development Agreement. 

(1) In 2008, ITS took down from the Web some of its telecommunication analysis services. These services provided 

network-based access to research results, models, and databases supporting applications in wireless system design 

and analysis. As a result, CRADAs between the government and industry, which allowed for improvement to these 

models, were down significantly. NTIA-ITS is working on a newer geographic information system- (GIS-) based 

platform for the modeling services, which will be available in future years. 

(2) “Active” means in force at any time during the fiscal year. “Total active” includes all agreements executed 

under CRADA authority (15 USC 3710a). 

(3) CRADAs involving collaborative research and development by a Federal laboratory and non-Federal partners. 

(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 to apply research results to the development of telecommunication performance 

standards and guidelines. In FY 2009, ITS worked collaboratively with the ITU, the Telecommunications Industry 

Association, the ATIS, and various Federal public safety groups to interpret and analyze standards and regulations. 

 
39

■ Invention Disclosure and Patenting 

FY 

2005

FY 

2006

FY 

2007

FY

2008

FY 

2009

● New inventions disclosed in the fiscal year (1) 1 0 0 0 0

● Patent applications filed in the fiscal year (2) 0 1 0 0 0

● Patents issued in the fiscal year 0 1 0 0 0

● Active patents, end of the fiscal year 6 8 7 7 2

(1) New invention disclosed and provisional patent filed. 

(2) 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 

2005

FY 

2006

FY

2007

FY

2008*

FY 

2009

● All licenses, number total active in the fiscal year (1) (2) 103 82 186 0 0

 ▫ New, executed in the fiscal year 103 79 179 0 0

 ▪ Invention licenses, total active in the fiscal year 103 82 186 0 0

 ▫ New, executed in the fiscal year 103 79 179 0 0

 - Patent licenses,(3) total active in the fiscal year 3 7 10 0 0

 ▫ New, executed in the fiscal year 0 4 3 0 0

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

 ▫ New, executed in the fiscal year 0 0 0 0 0

 - Other invention licenses, (4) total active in the fiscal 

year

100 75 176 0 0

 ▫ New, executed in the fiscal year 100 75 176 0 0

 ▪ Other IP licenses, total active in the fiscal year 0 0 0 0 0

 

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. 

* This number of licenses for FY2008 and FY 2009 is zero because ITS no longer licenses Video Quality Metric 

(VQM) technology. Instead, ITS has made this software available via open-source download. 

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

(2) As of FY 2008, VQM software is available for download without a license. 

(3) Patent license tally includes patent applications that are licensed. 

(4) International copyright licenses (non-fee-bearing) for VQM technology 

 
40

Licensing Management 

FY

2005

FY 

2006

FY

2007

FY

2008*

FY 

2009

● License Negotiation time,

(1) licenses granted in the 

fiscal year 

 ▪ Invention licenses (Patent licenses) (2)

 ▫ Average (or median), months

 ▫ Minimum

 ▫ Maximum

2.0

1.0

3.0

1.5

1.0

2.0

1.0

0.5

1.5

0

0

0

0

0

0

● Licenses terminated for cause, number in the fiscal 

year

 ▪ Invention licenses (Patent licenses) (2) 0 0 0 0 0

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

subclass. 

* This number of licenses for FY 2008 and FY2009 is zero because ITS no longer licenses Video Quality Metric 

(VQM) technology. Instead, ITS has made this software available via open-source download. 

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

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

negotiations.) 

(2) Patent licenses include patent applications that are licensed. 

Characteristics of Licenses Bearing Income

FY

2005

FY 

2006

FY

2007

FY

2008*

FY 

2009

● All income-bearing licenses, total number 4 7 10 0 0

 ▫ Exclusive

 ▫ Partially exclusive

 ▫ Non-exclusive

0

0

4

0

0

7

0

0

10

0

0

0

0

0

0

 ▪ Invention licenses, (Patent licenses), (1) income-bearing 4 7 10 0 0

 ▫ Exclusive

 ▫ Partially exclusive

 ▫ Non-exclusive

0

0

4

0

0

7

0

0

10

0

0

0

0

0

0

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

● All royalty-bearing licenses, (2) total number 4 7 0 0 0

 ▪ Invention licenses, (Patent licenses) (1) royalty-bearing 4 7 0 0 0

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

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 

laboratory to the licensee including patent costs. 

* This number of licenses for FY 2008 and FY2009 is zero because ITS no longer licenses Video Quality Metric 

(VQM) technology. Instead, ITS has made this software available via open-source download. 

(1) Patent licenses include patent applications that are licensed. 

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

 
41

Income from Licenses 

FY

2005

FY 

2006

FY

2007

FY

2008*

FY 

2009

● Total income, all licenses active in the fiscal 

year (1)

$7,212 $24,500 $7,500 $0 $0

 ▪ Invention licenses (Patent Licenses) (2) $7,212 $24,500 $7,500 $0 $0

 ▪ Other IP licenses, all active licenses in FY $0 $0 $0 $0 $0

 

● Total Earned Royalty Income (ERI) (3) $0 $0 $0 $0 $0

 ▪ Invention licenses (Patent licenses) (2) $0 $0 $0 $0 $0

 ▫ Median ERI $0 $0 $0 $0 $0

 ▫ Minimum ERI $0 $0 $0 $0 $0

 ▫ Maximum ERI $0 $0 $0 $0 $0

 ▫ ERI from top 1% of licenses $0 $0 $0 $0 $0

 ▫ ERI from top 5% of licenses $0 $0 $0 $0 $0

 ▫ ERI from top 20% of licenses 

 ▪ Other IP licenses, total active in the fiscal 

year

$0 $0 $0 $0 $0

* This number of licenses for FY2008 and FY2009 is zero because ITS no longer licenses Video Quality Metric 

(VQM) technology. Instead, ITS has made this software available via open-source download. 

(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 laboratory to the licensee including 

patent costs. 

(2) Patent licenses include patent applications which are licensed. 

(3) “Earned royalty” means 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

2005

FY 

2006

FY

2007

FY

2008*

FY 

2009

● Income distributed (1)

 ▪ Invention licenses, (Patent licenses), (2) 

 total distributed

$7,212 $24,500 $7,500 $0 $0

 - To inventor(s) $3,564

(49%)

$15,750

(64%)

$5,050

(67%)

$0 $0

 - To other (3) $3,648

(51%)

$8,750

(36%)

$2,450

(33%)

$0 $0

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

focus. 

* This number of licenses for FY2008 and FY2009 is zero because ITS no longer licenses Video Quality Metric 

(VQM) technology. Instead, ITS has made this software available via open-source download. 

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

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

(3) To ITS/NTIA. 

 
42

■ Other Performance Measures Deemed Important by the Agency 

FY 

2005

FY 

2006

FY

2007

FY

2008

FY 

2009

Technical publications produced 19 8 3 15 12

Total number of hits on online 

publications

-- 1,116,573 1,426,125 1,526,409 3,020,629

“—“means data not requested from agency in previous years’ reports. 

See “Technical Publications” above in the first section of this report for additional information on this topic. 

Sample Results from ITS 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 (VQM) 

ITS has developed a superior method of measuring video quality objectively that closely predicts 

the quality that human viewers would perceive subjectively. The technology is covered by four 

patents owned by ITS. In FY 2003, the ITS method was adopted by 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. Also in FY 2004, the Federal Laboratory Consortium presented 

ITS with an award for its efforts to disseminate this technology both nationally and 

internationally. ITS filed another patent on a new version of the video quality metric in 

FY 2006. ITS also received a registered trademark for the video quality metric logo in FY 2007. 

In FY 2007, ITS decided to make VQM software commercial licenses available for free. This 

has increased distribution dramatically. In FY 2008, ITS made VQM software available as an 

open source download. ITS set up a website to take applications for free VQM downloads. 

• Table Mountain Research 

The Table Mountain Field Site and Radio Quiet Zone supports fundamental research into the 

nature, interaction, and evaluation of telecommunication devices, systems, and services. Each 

year, private companies, universities, and other organizations conduct research at Table 

Mountain under Cooperative Research and Development Agreements (CRADAs). Brief 

descriptions of some of these recent CRADAs follow. 

For the past three years, the University of Colorado’s Research and Engineering Center for 

Unmanned Vehicles has conducted measurements of the performance of ad hoc wireless 

networks with both ground-based and airborne terminals at Table Mountain. In FY 2009, several 

companies performed antenna, lidar/GPS, and other testing at the Table Mountain turntable 

facility under a CRADA. Lockheed Martin Coherent Technologies is in its 10th year of 

performing field-testing and characterization of components, subsystems, and systems for eyesafe coherent laser radar, which has benefited NTIA and the Department of Defense. 
43

SUMMARY 

Technology transfer is an essential mission of the Department of Commerce, using our Nation’s 

innovation and investment in science and technology to strengthen our economy and American 

competitiveness in world markets. This report details the results of technology partnering 

activities cultivated in the Department of Commerce’s Federal laboratories. Federal research is a 

complex process that provides the opportunity for new ideas and innovations to be successfully 

marketed to serve citizens. The success stories in this report provide examples of how society 

benefits from technology transfer activities across the Department of Commerce’s Federal 

laboratories. As knowledge advances and the needs of the economy change, the Department of 

Commerce will continue to play a role in keeping America in the forefront of innovation and 

supporting our economy by aiding in the transfer and commercialization of knowledge.