Federal Laboratory

Technology Transfer

Fiscal Year 2015

Summary Report to 

the President and the Congress

Prepared by:

National Institute of Standards 

and Technology U.S. 

Department of Commerce

April 2018
The cover image displays quantum “cat” states in which the cores of several ions 

all spin clockwise and counterclockwise at the same time. The image appears in, 

“Creation of a Six-Atom ‘Schrödinger Cat’ State” by D. Leibfried, E. Knill, S. 

Seidelin, J. Britton, R. B. Blakestad, J. Chiaverini, D. B. Hume, W. M. Itano, J. D. 

Jost, C. Langer, R. Ozeri, R. Reichle & D. J. Wineland. Nature 438, 639-342 (01 

December 2005). (http://rdcu.be/A8Zz) David Wineland of the National Institute of 

Standards and Technology, along with Serge Haroche, won the 2012 Nobel Prize 

in Physics for “ground-breaking experimental methods that enable measuring and 

manipulation of individual quantum systems” (https://www.nobelprize.org/nobel_

prizes/physics/laureates/2012/). Picture used with permission.
Federal Laboratory Technology Transfer

Fiscal Year 2015

Summary Report to the President and the Congress

Prepared by:

National Institute of

Standards and Technology

U.S. Department of Commerce

April 2018
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3

FOREWORD

The Department of Commerce is pleased to submit this Fiscal Year 2015 Technology Transfer 

Summary Report to the President and the Congress. This report illustrates the continuing efforts 

of Federal laboratories to ensure that the Nation’s investment in innovative research is 

transferred from our laboratories to the American people.

Federal laboratories, through their basic and mission-oriented research and development (R&D) 

investments, have historically been at the forefront of scientific discovery, invention, and 

technological innovation. Technology transfer facilitates the practical application of Federal 

research directly through the transfer of laboratory results and by providing non-federal entities

opportunities to partner with Federal laboratories on innovative research of mutual interest. Over 

the years, new products, services, and the formation of new companies have occurred through 

technology transfer initiatives.

The cross-agency focus on the Lab-to-Market efforts have emphasized the important role that

innovation plays in accelerating the development of new industries, products, and services that 

lead to economic growth and job creation. Agencies have engaged in efforts to accelerate 

technology transfer activities, improved and expanded the collection of technology transfer 

metrics, and established performance goals and evaluation methods to enhance the efficiency and 

impact of their technology transfer activities. 

This report fulfills the requirement of Title 15 of the United States Code, Section 3710(g) (2), for 

an annual report summarizing the use of technology transfer authorities by Federal agencies. It 

highlights the achievements of Federal technology transfer and includes data on the use of 

specific transfer authorities. Future editions of this report will be used to continue to keep the 

President and the Congress informed of the on-going efforts of 

Federal laboratories to expand our technology transfer efforts in 

partnership with U.S. industry, academic institutions, non-profit 

foundations, and state, local and tribal governments. These efforts 

will continue to play a vital role in building the Nation’s economic 

strength.

Dr. Walter G. Copan

Under Secretary of Commerce for Standards and Technology &

Director, National Institute of Standards and Technology
4

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5

Table of Contents

Chapter 1 Overview of Federal Technology Transfer.................................................................... 7

Federal Technology Transfer Summary.................................................................................... 10

Chapter 2 Agency Performance in FY 2015................................................................................. 32

Department of Agriculture (USDA).......................................................................................... 33

Department of Commerce (DOC)............................................................................................. 45

Department of Defense (DoD) .................................................................................................. 59

Department of Energy (DOE) ................................................................................................... 67

Department of Health and Human Services (HHS) .................................................................. 80

Department of Homeland Security (DHS)................................................................................ 90

Department of the Interior (DOI) .............................................................................................. 99

Department of Transportation (DOT) ..................................................................................... 110

Department of Veteran Affairs (VA) ...................................................................................... 125

Environmental Protection Agency (EPA)............................................................................... 136

National Aeronautics and Space Administration (NASA)...................................................... 145

Chapter 3 Conclusion.................................................................................................................. 155

Appendix A................................................................................................................................. 157

Appendix B................................................................................................................................. 165

Appendix C................................................................................................................................. 171
6

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7

Chapter 1 

Overview of Federal Technology Transfer

Many Federal agencies conduct R&D activities that result in the creation of new technologies. In 

most cases, these technologies are created to support specific needs of an agency’s mission. In 

other cases, they are spontaneous creations of ongoing research. Regardless of how they are 

created, Federal technologies often have significant value that goes beyond an agency’s mission.

It is the role of an agency’s technology transfer office to identify this value and provide the most 

effective means to transfer it outside of the agency.

Federal legislation provides a variety of vehicles through which Federal technologies can be 

transferred.

1 These vehicles facilitate the potential commercialization of inventions, enable the 

use of Federal laboratory facilities by non-federal entities, and allow for the establishment of 

research partnerships between Federal government laboratories and other entities. This includes 

the processing of patent applications and licenses as well as Cooperative Research and 

Development Agreements (CRADAs) and other mechanisms that convey knowledge, ownership 

rights, or establish formal research agreements. 

Collaborative research is particularly important to the technology transfer process and in many 

ways, is fundamental to every agency’s mission. By bringing together thousands of highly 

qualified researchers and world class research facilities, collaborative research between Federal 

and non-federal organizations greatly enhances research capabilities, core competencies, and 

creativity. This in turn leads to the flow of new ideas, new tools, more efficient techniques, new 

processes and products, and new businesses. Collaborative research also helps agencies attract 

and retain talented scientific personnel through rewards and royalty sharing opportunities.

Over the last five years, agencies have responded to the need to improve technology transfer 

operations to better address the needs of businesses and especially small businesses that are 

vulnerable to a slow-moving bureaucratic system. The inter-agency coordination of efforts has

led agencies to review their operations and propose new ways to improve overall customer 

experience. These improvements include efforts to streamline operations to open doors to more 

efficient technology transfer opportunities. Other improvements target the way customers 

interact with the federal system. 

 1 The primary legislation addressing Federal technology transfer includes the Stevenson-Wydler Technology 

Innovation Act of 1980 (P.L. 96-480), Patent and Trademark Act Amendments of 1980 (P.L. 96-517) (Bayh-Dole 

Act), Small Business Innovation Development Act of 1982 (P.L. 97-219), Federal Technology Transfer Act of 1986 

(P.L. 99-502), Omnibus Trade and Competitiveness Act of 1988 (P.L. 100-418), National Competitiveness 

Technology Transfer Act of 1989 (P.L. 101-189), American Technology Preeminence Act of 1991 (P.L. 102-245), 

Small Business Research and Development Enhancement Act of 1992 (P.L. 102-564), National Department of 

Defense Authorization Act for 1994 (P.L. 103-160), National Technology Transfer and Advancement Act of 1995 

(P.L. 104-113), Technology Transfer Commercialization Act of 2000 (P.L. 106-404), Energy Policy Act of 2005 

(P.L. 109-58), and the America COMPETES Act of 2007 (P.L. 110-69). Numerous other acts indirectly affect 

federal technology transfer activities.
8

This annual report summarizes the technology transfer activities and transfer vehicles used by 11

Federal agencies that have significant Federal laboratory operations: 2

Department of Agriculture (USDA)

Department of Commerce (DOC)

Department of Defense (DoD)

Department of Energy (DOE)

Department of Health and Human Services (HHS)

Department of Homeland Security (DHS)

Department of the Interior (DOI)

Department of Transportation (DOT)

Department of Veterans Affairs (VA)

Environmental Protection Agency (EPA)

National Aeronautics and Space 

Administration (NASA)

Each of these agencies has established programs for promoting the transfer and 

commercialization of technologies developed in its R&D laboratories and has provided the data 

contained in this report. The DOC’s National Institute of Standards and Technology (NIST) 

prepared and organized this report. An electronic version of this report is available at

http://nist.gov/tpo/publications/federal-laboratory-techtransfer-reports.cfm. 

Federal R&D Spending 

Spending on R&D by the Federal government supports a wide variety of agency-specific 

missions, for instance, military objectives, health and human services issues, energy 

development, space exploration, and so forth. In FY 2015, the total Federal budget for R&D was 

$128,573 million. Of this, $82,529 million (64%) was used to support R&D activities that 

occurred outside of Federal laboratories. This includes funding for grants, cooperative 

agreements, awards, and the like. The remainder, $46,044 million (36%), supported R&D 

activities that occurred inside Federal laboratories. This includes $34,925 million to support

intramural activities and $11,119 million to support federally funded R&D centers (FFRDCs).3

These funds constitute the amount of Federal funds that can be used to support research that 

creates technologies developed in Federal laboratories and the accompanying technology transfer 

activities which are the focus of this report. As shown in the table below, the percent of an 

agency’s budget that was available to support the development and transference of Federal 

technologies varied significantly among agencies.

 2 In this report, the term “Federal laboratory” refers to any laboratory, any federally funded research and 

development center, or any center established under section 7 or section 9 of 15 U.S.C. § 3705 or § 3707 that is 

owned, leased, or otherwise used by a Federal agency and funded by the Federal Government, whether operated by 

the Government or by a contractor. 3 For a list of FFRDCs see https://www.nsf.gov/statistics/publication-series.cfm?seriesId=25
9

Federal Obligations for R&D

By Agency FY 2015 ($ million)

4

(a) Intramural activities cover costs associated with the administration of intramural and extramural programs by Federal 

personnel as well as actual intramural performance.

(b) FFRDC = federally funded research and development center

In FY 2015, DoD spent the largest amount of funding for intramural activities and FFRDCs, 

$22,094 million (36% of its R&D budget). DOE was second with $7,964 million (70% of its 

R&D budget) and HHS was third with $7,113 million (23% of its R&D budget). 

 4 National Science Foundation (NSF), National Center for Science and Engineering Statistics, Survey of Federal 

Funds for Research and Development, Federal Obligations for Research and Development, by Agency and 

Performer: FY 2015, Table 8. https://ncsesdata.nsf.gov/fedfunds/2015/html/FFS2015_DST_008.html

Total R&D Intramural(a) FFRDCs(b)

Intramural 

and FFRDCs

Percent of 

Total R&D 

Budget

All Agencies $128,573 $34,925 $11,119 $46,044 36%

 DoD $61,514 $20,180 $1,914 $22,094 36%

 DOE $11,391 $1,072 $6,892 $7,964 70%

 HHS $30,272 $6,644 $469 $7,113 23%

 NASA $11,361 $1,818 $1,385 $3,203 28%

 USDA $2,341 $1,507 $0 $1,507 64%

 DOC $1,331 $995 $10 $1,005 76%

 DOI $800 $692 $0 $692 87%

 VA $662 $662 $0 $662 100%

 DHS $742 $345 $120 $465 63%

 DOT $856 $231 $67 $298 35%

 EPA $516 $261 $1 $262 51%

 Other Agencies $6,787 $518 $261 $779 11%
10

Federal Technology Transfer Summary

Every Federal agency that operates or directs one or more Federal laboratories or that conducts 

research and development is required to prepare and submit an annual report of its technology 

transfer activities as described in 15 U.S.C. § 3710(f). These reports contain details on each 

agency’s technology transfer program as well as agency plans to use technology transfer to 

advance the agency’s mission and to promote U.S. competitiveness.5 The following tables 

summarize Federal technology transfer activities for the five-year period from FY 2011 through 

FY 2015.

6 In addition to data provided by agencies, this report uses selected information derived 

from data provided by the National Science Foundation to provide additional details about the 

nature of work conducted.

Federal Invention Disclosures and Patenting

The protection of intellectual property can be vital to attracting the additional investment and 

product development resources necessary for early stage research products to be brought to their 

full commercial potential. Federal laboratory achievements in the areas of invention disclosures 

and patents issued are often cited as metrics of the active management of intellectual assets and 

technical know-how by Federal agencies.

Between FY 2011 and FY 2015, the number of invention disclosures reported by Federal 

agencies decreased by 8% to 4,830. The number of patent applications filed increased by 4% to 

2,389, and the number of patents issued increased by 50% to 2,182. DOE reported the largest 

number of invention disclosures with 1,645 in FY 2015, followed by NASA with 1,550 and DoD

with 781. These three agencies accounted for 82% of all invention disclosures reported in this 

fiscal year.

In FY 2015, DOE reported the largest number of patent applications with 949 and patents issued 

with 755. DoD was second in both categories with 884 patent applications and 623 patents 

issued. HHS was third with 222 patent applications and 501 patents issued. These three agencies 

accounted for 86% of patent applications and 86% of patents issued.

 5 For a list of agency technology transfer reports see http://nist.gov/tpo/publications/agency-technology-transferreports.cfm

6 Technology transfer data are routinely adjusted over time to account for new information resulting from changes in 

reporting procedures, patent decisions, programmatic changes, and other corrections. Throughout this report, data 

prior to FY 2015 have been adjusted where necessary, to reflect the most accurate estimates for each year reported.
11

FY 2011 FY 2012 FY 2013 FY 2014 FY 2015

New Inventions Disclosed 5,276 5,364 5,330 5,107 4,830

Patent Applications Filed 2,306 2,364 2,498 2,607 2,389

Patents Issued 1,450 2,231 1,862 1,938 2,182
12

Technical Area Summary of U.S. Federal Agency Patents

The chart below uses data from the U.S. Patent Office (USPTO) to illustrate the technical areas 

covered by patents issued to Federal agencies in FY 2015. The chart shows the percentage of 

patents issued to Federal agencies by technology area based on a fractional count of patents.7 In 

FY 2015, the largest number of Federal patents issued involved measurements (12%) followed 

by biotechnology (7%), pharmaceuticals (7%), computer technology (6%), other special 

machines (6%), electrical machinery (6%), and semiconductors (6%).8

USPTO Patents Assigned to Selected U.S. Federal Agencies by Technology Area: FY 2015

Federal Licenses

Licensing of federally developed technologies is one of the primary mechanisms used to create 

incentives for industry to invest the resources necessary to develop and commercialize nascent 

leading-edge technologies. Successful development and commercialization creates benefits to the 

economy and contributes to competitiveness and domestic economic growth. The ability to grant 

licenses to the nonfederal sector to develop and commercialize government-owned technologies 

helps protect federally developed innovations, which would not be further developed into 

commercial products or services otherwise. The terms and conditions under which Federal 

intellectual property is licensed varies based upon many factors, including the extent of 

development of the technology, the financial resources needed to further develop the technology 

for consumer use, fields of use, projected market impact, and other factors.

 7 In this summary, patents are credited on a fractional-count basis (i.e., for patents with assignees from multiple 

federal agencies, other U.S. institutions, or foreign institutions, each federal agency receives fractional credit based 

on the proportion of its participating institution(s)). Furthermore, fractioning is used at the level of Internal Patent 

Classification (IPC) codes to ensure that the sum of patents across technology areas is equal to the total number of 

patents as each patent can be assigned to more than one technology area. Source: Prepared by Science-Metrix using 

USPTO data indexed in PATSTAT Spring 2016 edition (European Patent Office). Used with permission. 8 Definitions for all technology areas addressed are included in Appendix B.
13

Between FY 2011 and FY 2015, the number of total active licenses reported by Federal 

laboratories increased by 14% from 8,570 in FY 2011 to 9,743 in FY 2015.

9

 The number of new 

licenses decreased by 14% from 1,239 in FY 2011 to 1,070 in FY 2015. The number of invention 

licenses increased by 29% to 4,119. Invention licenses refers to inventions that are patented or 

could be patented. The number of new invention licenses increased by 38% to 567. The number 

of income-bearing licenses increased by 20% to 6,349, and the number of exclusive licenses 

decreased by 18% to 563. 

DOE reported the largest number of total active licenses with 6,310 licenses. HHS was second 

with 1,767 licenses and DoD was third with 560 licenses. These three agencies accounted for 

89% of all licenses reported in FY 2015. 

HHS reported the largest number of invention licenses with 1,354, followed by DOE with 1,336 

and DoD with 446. Together these three agencies accounted for 77% of invention licenses. 

DOE reported the largest number of income-bearing licenses 4,577, which was significantly 

higher than all other agencies combined. HHS was second with 843 followed by USDA with 

421. Together these three agencies accounted for 92% of income-bearing licenses. 

USDA reported the largest number of income-bearing exclusive licenses with 292, followed by 

HHS with 119, and DOE with 98. Together these three agencies accounted for 83% of incomebearing exclusive licenses.10

 9 In FY 2015, DHS revised their reporting procedure to exclude Trademark licenses for FY 2011 to FY 2015. 

10 DoD did not report “Income Bearing Exclusive Licenses” in FY 2013, FY 2014, and FY 2015.
14

Federal Income from Licenses

Licensing income includes income received for earned royalties from partners, license issue fees, 

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. Between FY 2011

and FY 2015, income from all licensing increased by 21% to $202.7 million. Income from 

invention licenses increased by 32% to $193.5 million and total earned royalty income increased 

by 10% to $151.4 million. 

HHS accounted for the most licensing income in FY 2015 with $151.7 million, followed by 

DOE with $33.1 million, and DoD with $8.5 million. Together these three agencies accounted 

for 95% of reported licensing income.

HHS accounted for the most Invention License Income in FY 2015 with $147.5 million, 

FY 2011 FY 2012 FY 2013 FY 2014 FY 2015

Licenses, Total Active 8,570 8,352 8,199 8,907 9,743

New Licenses 1,239 1,117 892 906 1,070

Invention Licenses, Total Active 3,199 3,894 3,782 3,998 4,119

New Invention Licenses 411 501 433 383 567

Income Bearing Licenses, Total Active 5,281 5,133 5,434 5,961 6,349

Income Bearing Exclusive Licenses 690 818 664 521 563
15

followed by DOE with $29.0 million, and DoD with $8.5 million. Together these three agencies 

accounted for 96% of Invention License Income.

HHS accounted for the most Earned Royalty Income in FY 2015 with $114.1 million, followed 

by DOE with $21.2 million, and DoD with $8.5 million. Together these three agencies accounted 

for 95% of Earned Royalty Income.

Federal Collaborative R&D Relationships

Collaborative R&D relationships between Federal laboratories and non-federal collaborators are 

widely viewed as an effective and economical means of transferring technology through joint 

research. These relationships create a mutually advantageous leveraging of Federal agency and 

collaborator resources and technical capabilities, as well as to provide avenues for both the 

collaborator and the Federal laboratory to gain new competencies and develop new skills. 

One frequently used mechanism for establishing joint research relationships is the Cooperative 

Research and Development Agreement (CRADA). The CRADA is a multifaceted mechanism $167,058 $167,110 $184,760 $194,166 $202,660 $146,529 $159,050 $166,887 $185,128 $193,464 $130,456 $146,970 $161,488 $157,769 $151,438

$70,000

$90,000

$110,000

$130,000

$150,000

$170,000

$190,000

$210,000

FY 2011 FY 2012 FY 2013 FY 2014 FY 2015

Federal Income from Licensing ($000s)

Total Income, All Active Licenses Invention Licenses Total Earned Royalty Income

FY 2011 FY 2012 FY 2013 FY 2014 FY 2015

Total Income, All Active Licenses $167,058 $167,110 $184,760 $194,166 $202,660

Invention Licenses $146,529 $159,050 $166,887 $185,128 $193,464

Total Earned Royalty Income $130,456 $146,970 $161,488 $157,769 $151,438
16

that can be used to address several kinds of partnership needs. A “traditional CRADA” refers to 

formal collaborative R&D agreements between a Federal laboratory and nonfederal partners. 

Other special CRADA arrangements are used by Federal agencies to address special purpose 

applications such as material transfer agreements or agreements that facilitate technical 

assistance activities.

In addition to CRADAs, agencies have other specific authorities that also facilitate cooperative 

R&D relationships, such as Space Act Agreements (NASA) or Other Transaction Authorities.

Between FY 2011 and FY 2015, the number of active CRADAs increased by 19% to 9,840. The 

number of new CRADA agreements increased by 20% to 4,942. The number of traditional 

CRADAs increased by 3% to 4,710, while other collaborative R&D relationships increased by 

17% to 22,646.

In FY 2015, DOC reported the largest number of CRADAs with 2,751, followed by VA with 

2,305 and DoD with 2,148. DoD reported the largest number of traditional CRADAs with 1,601, 

followed by VA with 1,334 and DOE with 734. USDA reported the largest number of other 

collaborative R&D relationships with 15,439, DOC was second with 3,172, and NASA was third 

with 2,113.
17

Trends in Federal Technology Transfer Activities

Technology transfer activities are not spontaneous events. Inventions typically require years, if 

not decades of research effort before they are disclosed. A review of a patent application may 

take five years or more before the patent is awarded. It may also take several years to license a 

Federal patent or form the collaborative commitment behind a CRADA. To get an understanding 

of how technology transfer activities are performing over time, it is helpful to view the trends in 

key metrics. Unfortunately, it is not always easy to isolate trends from raw data because 

technology transfer metrics fluctuate widely. However, by converting metric values to a 

common scale or index, we can develop a simple tool to illustrate trends. 

Index values are calculated by dividing the value of a metric in a given year (year “t”), by its 

value in a base year (year “i”), and then multiplying by 100. 

IIIIIIIIII VVVVVVVV tt = VVVVVVVV tt

BB BB VVVVVVVV ii

100

8,240 8,307 8,830

9,921 9,840

4,125

4,836

4,354

4,181

4,942

4,570

4,292

5,864

5,636

4,710

22,988 23,190

25,809 25,883

27,088

0

5,000

10,000

15,000

20,000

25,000

30,000

FY 2011 FY 2012 FY 2013 FY 2014 FY 2015

Federal Collaborative R&D Relationships

CRADAs, Total Active New CRADAs

Traditional CRADAs, Total Active Other Collaborative R&D Relationships

FY 2011 FY 2012 FY 2013 FY 2014 FY 2015

CRADAs, Total Active 8,240 8,307 8,830 9,921 9,840

New CRADAs 4,125 4,836 4,354 4,181 4,942

Traditional CRADAs, Total Active 4,570 4,292 5,864 5,636 4,710

Other Collaborative R&D Relationships 22,988 23,190 25,809 25,883 27,088
18

The base year chosen for this report is FY 2011. The index value for each metric in the base year 

would therefore be equal to 100. In the years that follow, index values change as the value of the 

metric in year “t” changes and the value in the base year, “i” remains the same. 

For example, to calculate the index value for patents issued in FY 2012, we divide the number of 

patents issued in FY 2012 by the number of patents issued in the base year (FY 2011) and then 

multiply by 100. Using data from the table on page 11 of this report, the index value for patents 

issued in FY 2012 is 154.

IIIIIIIIII VVVVVVVV FFFF2012 = 2,231

1,450 100 = 154

Because the index value of 154 is greater than 100, we can interpret this as a 54% increase in the 

number of patents issued between FY2011 and FY2012. In FY 2013, the index value for patents 

issued is 128 which we can interpret as a 28% increase between FY 2011 and FY 2013. 

We then calculate index values for key metrics (e.g., invention disclosures, patents issued, 

invention licenses, and CRADAs) and plot the values in the chart below. For illustrative 

purposes, we also calculate index values for the Federal Intramural Research Budget using data 

from page 3 of this report. Note that all index values have a value of 100 in the base year, FY 

2011.

80

90

100

110

120

130

140

150

160

FY 2011 FY 2012 FY 2013 FY 2014 FY 2015

Index Value (FY 2011 = 100)

Trends in Federal Technology Transfer Activities (FY 2011 - FY 2015)

● Invention Disclosures (red) ● Patents Issued (purple) 

● Invention Licenses (green) ● Traditionial CRADAs (orange)

● Federal Intramural Research Budget (blue)
19

To show the trend for a given metric, a straight line is positioned in the middle of the plotted 

values for that metric.11 For example, in the chart below, index values for patents issued are 

show in purple and the trend line for patents issued is positioned in the middle of the purple 

points. It is important to note that each trend line is drawn independently of other measures; they 

do not suggest causal relationships, nor do they forecast future trends. A trend line is a simple 

tool that illustrates the general tendency of a measure over a given period. 

Trend lines plotted for patents issued, invention licenses, and traditional CRADAs all have a 

positive slope which means that technology transfer activities have been increasing during this 

period. The trend line for invention disclosures is relatively flat indicating that during this period, 

the reporting of new inventions has been consistent with no significant increases or decreases. 

The trend line for the Federal Intramural Research Budget, which includes the budget for 

intramural programs as well as the budget for FFRDCs, has also been relatively consistent over 

these years.

Science and Engineering (S&E) Articles

Although intellectual property has traditionally been tracked in terms of the number of patents, 

licenses, and collaborative efforts, most Federal research results are transferred through 

publication of S&E articles. Unfortunately, a uniform tracking system for S&E articles across all 

Federal agencies does not exist; however, data from Thomson Reuters’ Web of Science database 

can provide insight into the nature of S&E articles published by technology area even though not

all articles published by Federal agencies are included in the publications covered by these 

databases. For example, in FY 2015, Thomson Reuters reports that Federal researchers authored 

or coauthored 36,476 articles using a whole-count basis (where each agency gets full credit for 

 11 Trend lines in this report are plotted using Microsoft Excel. 

80

90

100

110

120

130

140

150

160

FY 2011 FY 2012 FY 2013 FY 2014 FY 2015

Index Value (FY 2011 = 100)

Trends in Federal Technology Transfer Activities (FY 2011 - FY 2015)

Traditional CRADAs

Federal Intramural Research Budget
20

each article even if the article has co-authors from different agencies). 12 By using additional data 

provided by agencies in their annual reports on technology transfer activities that considers

publications not included in the Thomson Reuters’ databases, the number of publications 

increases to 44,483. 

The Thomson Reuters’ databases provide the additional benefit of identifying publications by 

federal researchers according to science and engineering categories. Using this data, the greatest 

percentage of articles addressed research in Biological Sciences (23%), Medical Sciences (20%), 

Physics (14%), Geosciences (13%), Engineering (11%), and Chemistry (9%).

13

S&E Articles Authored by Selected U.S. Federal Agencies, by S&E Fields: FY 2015

Citations within U.S. Patents

Thomson Reuters’ data also provides insight into the commercial relevance of S&E articles 

authored by Federal researchers through the number of articles cited in U.S. patents. In 2015, 

more than 14,470 articles authored or coauthored by Federal researchers were cited in U.S. 

patents. Of these, the greatest number of articles addressed research in Biological Sciences 

(43%), Medical Sciences (22%), Physics (12%), Chemistry (11%), and Engineering (9%).

 12 Data prepared by Science-Metrix using the Web of Science (Thomson Reuters), PATSTAT (European Patent 

Office) and PatentsView databases under the direction of NSF. Used with permission. 13 Articles are credited on a fractional-count basis (i.e., for articles with collaborating institutions from multiple 

Federal agencies, other U.S. institutions, or foreign institutions, each Federal agency receives fractional credit on the 

basis of the proportion of its participating institution(s)) and are classified by the year they entered the database, 

rather than the year of publication, and are assigned to a Federal agency on the basis of the institutional address(es) 

listed in the article. Source: Prepared by Science-Metrix using Thomson Reuters’ Web of Science database. All 

rights reserved. Used with permission.
21

Citation of U.S. S&E Articles Authored by Selected U.S. Federal Agencies, in USPTO 

Patents, by S&E Field: FY 2015

Small Businesses Involved in Active Traditional CRADAs

The Federal Technology Transfer Act, codified under 15 USC 3710a(c)(4)(A), requires Federal 

agencies to give special consideration to small business firms and consortia involving small 

business firms when establishing CRADAs. The definition as to what qualifies as a small 

business is given by the Small Business Administration and varies by industrial sector. For this 

study, we use a measure of 500 employees or fewer to classify a company as a small business. 

Unfortunately, owing to various administrative issues, not all agencies are able to report small 

business data at the time of the preparation of this report. A partial set of data is available for 

eight agencies. This data reveals that out of 4,710 traditional CRADA agreements with these 

agencies, 770 (16%) involve small businesses as participants.

Agency

Number of Active 

CRADAs 

Involving Small 

Businesses 

FY 2015

DHS 36

DOC 68

DoD 57

DOE 254

DOT 11

EPA 23

HHS 215

USDA 106

Total 770
22

Licenses Granted to Small Businesses

In addition to CRADAs, agencies support small businesses through the licensing of technologies. 

Again, owing to various administrative issues, data from only eight agencies are available at the

time of this report. This data reveals that out of 30,685 active licenses granted by these agencies 

in FY 2015, 676 (2%) were issued to small businesses.

Startup Companies Supported

Many federally developed technologies are transferred through the actions of startup companies. 

Companies that have been in existence for five years or less and have spun off federally 

developed technologies or have received critical technical support of their core development 

areas from Federal laboratories provide an effective means of transferring technologies.

Although most agencies have a long history of working with startup companies, few have 

established systematic methods to identify and track the startup companies they nurture. At 

present, preliminary data from five agencies identifies 121 companies that started between the 

years of 2011 and 2015, and have received critical technical support from Federal laboratories.

Agency

Number of Active 

Licenses Granted 

to Small 

Businesses 

FY 2015

DHS 1

DOC 4

DoD 43

DOE 354

DOT 1

EPA 23

HHS 100

USDA 150

Total 676

Number of Startups 

Supported 

FY 2015

Agency (Preliminary Data)

DOC 25

DoD 14

DOE 31

HHS 23

NASA 28

Total 121
23

Technology Transfer Metrics and Impact Studies

There are two types of metrics that are used to monitor and manage technology transfer 

programs. The first type, activity metrics, measures the activities or outcomes of a program, that 

is, efforts made to transfer technologies outside of the agency. Activity metrics are basic counts 

of the number of times transfer mechanisms are used during a fiscal year, for example, the 

number of patents, licenses, or CRADAs that are transferred. Activity metrics help characterize 

technology transfer operations and show the trends in various activities over time.14

The second type, impact metrics, measures the things that happen outside of an agency because 

of the technologies transferred. Impact metrics are used to assess the performance of 

technologies by quantifying the resulting benefits or net benefits that includes development 

costs. Impact metrics are derived from careful studies of a technology’s use and demand 

environment. The demand environment is the environment where the need for the transferred 

technology is formed, where the technology is utilized, and where economic and societal impacts 

are generated. It can refer to any number of consumers, end-users, research laboratories, 

institutes, companies, markets, industries, economic regions, and so forth. 

There are many types of impact studies and the appropriate one to use will depend on a variety of 

issues such as the objective of the study, the mechanism(s) used to transfer the technology, the 

nature of the impacts being assessed, the demand environment, and the quality and quantity of 

available research data. 

Economic impact studies are typically used when technologies are transferred to commercial 

enterprises. These studies focus on 1) efforts to measure the agency’s return on funds invested to 

develop the technologies (e.g., benefit to cost ratios, net present values, internal rates of return); 

2) efforts to measure the net benefits that accrue to commercial developers and consumers of 

goods or services who use the technologies; or 3) efforts to measure the resulting change in 

economic activity that takes place in an industry, market or economy (e.g. changes in revenues, 

costs, employment, tax revenues, etc.).15

Impacts derived from technologies that are not directly transferred to commercial enterprises, 

have noncommercial applications, or are transferred in an open access manner (i.e., 

publications), typically focus on efforts to measure changes in technical or physical performance. 

For example, performance impact studies can be used to measure how technologies improve fuel 

efficiency, drug delivery, cyber security, highway safety and navigation, food production and 

food safety, pollution control, traffic congestion, and similar measurable activities. For 

technologies that provide societal impacts, impact studies can be used to measure improvements 

in behavior, training activities, crime enforcement, safety, security, and quality of life.

 14 It is important to note that because each Federal agency has a different mission, addresses the needs of different 

stakeholders, customers and consumers, and pursues the development of different technologies, activity metrics are 

not effective measures to use when comparing the performance of agencies.

15 For a discussion of how these measures are defined and calculated see “NIST Planning Report 03-1, Methods for 

Assessing the Economic Impacts of Government R&D”, https://www.nist.gov/document-17651
24

The following examples illustrate how the complexities of impact studies can lead to different 

measures of impact and how it is important to fully understand the nature and context of each 

study before accepting the results.

NIST Impact Studies

In 2002, NIST contracted with Research Triangle Institute International (RTI) to provide an ex 

ante study of the potential economic impacts from of a set international standards.16 These 

standards addressed interoperability problems encountered in the exchange of digital product 

information in the transportation equipment industries and were based on the Standard for 

Exchange of Product model data (STEP) that provided a suite of standards used by a variety of 

industries.

Along with other institutions, companies, and academic researchers, NIST made significant 

contributions to the development of the STEP model, the STEP standard, the integration of STEP 

functionality into applications, and the adoption of STEP functionality by end users. NIST also 

participated in several public-private partnerships involving demonstrations and development 

projects with software developers, industry, and other federal agencies. 

The RTI study found that STEP’s benefits would accrue to end users through increased 

interoperability of computer-aided design, engineering, manufacturing, and product data 

management systems used in the product design supply chain. Using data collected from 

industry surveys and case studies, RTI prepared an ex ante study of STEP’s likely impact as well 

as NIST’s contribution. 

The 2002 study estimated that the present value of benefits that would accrue to the development 

and use of STEP between the years 2002 and 2010 would be $1,186 million and the present 

value of costs would be $104 million. The net present value was therefore estimated to be $1,082 

million and the benefit-to-cost ratio would be 11.4 to 1. This indicated that each dollar invested 

in STEP would likely yield $11.40 in return. For NIST’s involvement, the RTI study estimated 

that in 2002, the present value of benefits would be $206 million and the present value of costs 

would be $26 million. The net present value would be $180 million and the benefit-to-cost ratio 

would be 7.9 to 1. So, for each dollar invested in STEP, NIST could expect $7.10 in return. 

In 2013, NIST revisited this assessment by contracting with Robert D. Neihus, Inc. (RDN), to 

reassess the economic impact of the STEP standard.17 This study provided an ex post assessment 

of STEP’s benefits to the U.S. as well as NIST’s contribution. The present value of benefits that 

had accrued due to the development and use of STEP between 2002 and 2010 was estimated to 

be $901 million and the present value of costs was estimated to be $83 million. The net present 

value was therefore $812 million and the benefit-to-cost ratio was 10.9 to 1. This means that 

each dollar invested in STEP yielded $10.90 in return. For NIST’s involvement, the RDN study 

 16 “NIST Planning Report 02-5, Economic Impact Assessment of the International Standard for the Exchange of 

Product Model Data (STEP) in Transportation Equipment Industries.” Prepared by RTI International. December 

2002. https://www.nist.gov/document-17639 17 Reassessing the Economic Impacts of the International Standard for the Exchange of Product Model Data (STEP) 

on the U.S. Transportation Equipment Manufacturing Industry. Prepared by: Robert D. Niehaus, Inc. November 

2014. http://www.rdniehaus.com/rdn/wp-content/uploads/2015/07/Economic-Impact-of-STEP-on-theTransportation-Industry.pdf
25

estimated the present value of benefits was $89 million and the present value of costs was $15 

million. The net present value was estimated to be $74 million and the benefit-to-cost ratio was 

estimated to be 5.9 to 1. So, for each dollar invested in STEP, NIST received $5.90 in return.

To compare results from the RTI and RDN studies, it is first necessary to convert the annual 

dollar values from each period to reflect the same purchasing power of the dollar. This is done by 

adjusting the dollar estimates from the 2001 RTI study to 2013 dollars using the Consumer Price 

Index18 so that estimates from both studies are expressed in terms of 2013 dollars. As shown in 

the table below, the earlier, ex ante RTI study estimated net present value for the overall 

development and use of STEP would be $1,432 million in 2013 dollars. The later, ex post RDN 

study estimated net benefits were $818, a difference of $614 million. The benefit to cost ratios 

for each study were close, with the RTI study forecasting 11.4 to 1 and the RDN study 

estimating 10.9 to 1. 

The two studies also differed in their estimates of the economic returns from NIST’s investment 

in STEP. The earlier RTI study forecasted a net present value of $237 million when converted 

into 2013 dollars. The later RDN study estimated the net present value was $74 million, a 

difference of $163 million. The benefit to cost ratios also differed, with the earlier RTI study 

forecasting a 7.9 to 1 ratio and the later RDN study estimating a 5.9 to 1 ratio.

It is easy to see that the 2013 study provides a more comprehensive assessment because it 

includes more information on the actual adoption rate of STEP, includes estimates for 

unexpected costs (e.g., avoidance costs, mitigation costs, and delay costs), and accounts for the 

2008 recession which obviously was not included in the 2001 study. However, this does not 

 18 See https://www.bls.gov/data/inflation_calculator.htm

2001

RTI Study 2013

(Adjusted 2013 Dollars) RDN Study Difference

Present Value of Benefits $1,560 $901 ($659)

Present Value of Costs $137 $83 ($54)

Net Present Value $1,432 $818 ($614)

Benefit-to-Cost Ratio 11.4 10.9 (0.50)

Economic Returns to STEP ($ million)

2001

RTI Study 2013

(Adjusted 2013 Dollars) RDN Study Difference

Present Value of Benefits $271 $89 ($182)

Present Value of Costs $34 $15 ($19)

Net Present Value $237 $74 ($163)

Benefit-to-Cost Ratio 7.9 5.9 (2.0)

Economic Returns to NIST ($ million)
26

mean that the 2001 study was inappropriate. Indeed, both studies provide valid estimates of 

impact (both potential and real), given the conditions and assumptions under which the studies

were performed.

DoD Impact Studies

In 2012, DoD contracted with TechLink and the University of Colorado to assess the economic 

impacts of 602 DoD licensing agreements that were active between 2000 and 2011.19 The 

primary purpose of this study was to determine the extent to which these license agreements 

contributed to new economic activity and job creation in the United States. The study simulated 

changes in the demand environment for these licenses using an economic-impact assessment 

software program called IMPLAN. The simulation estimated that the 602 licensing agreements 

generated 163,067 jobs with an average wage of $65,000, $10.6 billion in labor income, $13.4 billion in 

sales, $2.3 billion in federal tax revenues and $1.3 billion in state and local tax revenues.

In 2015, another study of the economic impacts of DoD licenses was made. This study expanded 

the 2012 study by extending the assessment period to an additional three-year timeframe and 

increased the number of licensing agreements from 602 to 663.20 The methodology used in the 

two studies was essentially the same and once again the IMPLAN software program was used to 

simulate impacts. The study found that the 668 licensing agreements generated $20.4 billion in 

total sales of new products and services, $3.4 billion in sales of new products to the U.S. 

military, $48.8 billion in total economic output nationwide, $1.6 billion in new tax revenues 

(federal, state, and local), and 182,985 full-time jobs created or retained, with 12,199 of these 

jobs having an average salary of $71,337.

 19 National Economic Impacts from DoD License Agreements with U.S. Industry 2000-2011. 

https://www.nist.gov/document-2339 20 National Economic Impacts from DoD License Agreements with U.S. Industry 2000-2014. 

https://techlinkcenter.org/wp-content/uploads/2017/01/2016-DoD-Licensing-Study-E-Publication.pdf

Output Value-Added Employment Labor Income Average Wage Tax Revenue

 ($ billions) ($ billions) ($ billions) (US = $52,000) ($ billions)

Direct Impact $13.40 $4.50 27,128 $2.70 $100,926.00

Indirect Impact $11.60 $6.40 56,728 $4.20 $74,339.00

Induced Impact $11.30 $6.50 79,210 $3.70 $46,093.00

Federal Tax Revenues $2.30

State and Local Tax Revenues $1.30

Total Economy-Wide Impact $36.30 $17.40 163,067 $10.60 $65,041.00 $3.70

Nationwide Economic Impacts from DoD License Agreements, 2000-2011

Output Value-Added Labor Income Average Wage Tax Revenue 

Impact Type $ Billions $ Billions Employment $ Billions (US=$46,482) $ Billions

Direct Impact $20.4 $9.2 $41,753 $4.3 $104,058 

Indirect Impact $15.2 $7.6 $61,185 $4.6 $75,890 

Induced Impact $13.1 $7.1 $80,047 $4.1 $50,789 

Federal Tax Revenues $1.2 

State and Local Tax Revenues $0.4 

Total Economy-Wide Impact $48.8 $23.9 $182,985 $13.1 $71,337 $1.6 

Nationwide Economic Impacts from DoD License Agreements, 2000-2014
27

Once again, using the Consumer Price Index to adjust estimates of the 2012 study to reflect 2015 

dollars, we see significant variations in impact results from relatively small changes in inputs and 

the assessment period.

The two studies differ in terms of the number of licenses assessed and the period of assessment. 

It would therefore be wrong to assume that one study provides a better estimate of impact than 

the other. Indeed, both studies provide valid estimates of impact given the conditions and 

assumptions under which each study was performed. Therefore, when reporting impact results, it 

is critical to convey a clear understanding of the context in which the measures of impact were 

derived.

 

In summary, there is no definitive approach to measuring impacts from transferred technologies. 

Impacts are complex, interwoven, dynamic relationships that are difficult to measure and are 

sensitive to the approach used to assess them. Furthermore, no single measure of impact will 

adequately capture the true impact of a given technology which will likely continue to change 

over time. 

Efforts to Enhance Technology Transfer Outcomes and Entrepreneurship

In addition to individual agency streamlining activities and developing new metrics to quantify 

technology transfer impact, Federal agencies have also been involved in activities that have been 

designed to promote awareness and enhance the effectiveness of technology transfer activities. 

The Innovation Corps Program

In 2011, the National Science Foundation (NSF) established the Innovation Corps (I-CorpsTM)21

program to help scientists and engineers focus their attention upon critical business-related issues 

that are fundamental to the commercialization of new and emerging technologies. Originally 

designed to broaden the impact of NSF-funded basic research projects, pilots of this successful 

program have recently been initiated to help other Federal agencies enhance the economic 

impact of their own technology transfer efforts.

In 2014, NIH collaborated with NSF to establish a pilot of the I-CorpsTM program. This new 

program was designed to accelerate the development and commercialization of new products and 

 21 See http://sbir.cancer.gov/resource/icorps/

2012 

Economic Impact 

Study 

(Adjusted 2015 dollars)

2015 

Economic Impact 

Study

% 

Increase

Total Sales, New Products and Services $13.83 billion $20.4 billion 48%

Sales to US Military $1.34 billion $3.4 billion 154%

Value Added $17.96 billion $23.9 billion 33%

Total Economic Output Nationwide $37.58 billion $48.8 billion 30%

Full-Time Jobs Created or Retained 163,067 182,985 12%
28

services arising from projects supported by currently funded NIH Small Business Innovation 

Research (SBIR) and Small Business Technology Transfer (STTR) awards. The program set up a 

nine-week boot camp in which experienced, business-savvy instructors worked closely with 

teams of researchers to help them explore potential markets for their federally funded 

innovations. Researchers learned how to build scalable business models around new 

technologies, protect intellectual property, and develop regulatory and reimbursement strategies. 

Four NIH institutes participated in the pilot program: the National Cancer Institute; the National 

Heart, Lung and Blood Institute; the National Institute of Neurological Disorders and Stroke; and 

the National Center for Advancing Translational Sciences. 

DOE has launched a similar pilot program to accelerate the transfer of innovative clean energy 

technologies from the DOE’s National Laboratories into the commercial marketplace. This 

program, known as Lab-Corps,

22 aims to better train and empower DOE national lab researchers 

to transition their discoveries into high-impact, real world technologies in the private sector. LabCorps, which builds on the I-CorpsTM model, is designed to provide a specialized technology 

accelerator and training curriculum for the national laboratories that enables lab-based teams to 

gain direct market feedback on their technologies and pursue the development of startup 

companies, industry partnerships, licensing agreements, and other business opportunities. Six 

DOE national laboratories have been selected to participate in the Lab-Corps pilot program. Over 

the next year, these labs will assemble, train, and support entrepreneurial teams to identify 

private sector opportunities for commercializing promising sustainable transportation, renewable 

power, and energy efficiency lab technologies. 

Entrepreneur in Residence Programs

Several agencies have established Entrepreneur in Residence (EIR) programs that mentor 

technical researchers on the fundamentals of commercializing new technologies. While these 

programs vary across agencies, the common goal is to provide sound entrepreneurial advice from 

experienced business experts to accelerate technology transfer. Topics that are common to these

programs include methods of establishing market values, managing intellectual property rights, 

performing due diligence, fund raising, and requirements for starting a new business.

DOE's EIR initiative was started in 2007 by the Office of Energy Efficiency & Renewable 

Energy to address long-standing concerns that national laboratory inventions were not being 

sufficiently transferred into the marketplace. By placing venture capital-sponsored entrepreneurs 

at key national laboratories, the goal of the program is to accelerate laboratory technology 

transfer by enabling start-up entrepreneurs to work directly with the laboratories and bridge the 

gap between leading scientific and business talent – conducting technology assessments and 

proposing business structures to commercialize promising technologies. Entrepreneurs are 

permitted to work directly with laboratory staff for a hands-on look at various inventions and 

potentially viable technologies. 

The NIH Office of Technology Transfer began its first EIR program in 2012. The EIRs are 

charged with three key activities: 1) review NIH technologies to assess commercial relevance; 2) 

 22 See http://energy.gov/articles/energy-department-announces-new-lab-program-accelerate-commercializationclean-energy
29

work with the private sector to facilitate commercialization of the NIH technologies into 

marketable products; and 3) educate scientists on life science product development and 

commercialization. 

USDA’s Agricultural Research Service (ARS) has seven Technology Transfer Coordinators 

(TTCs) stationed in different geographical areas around the country. Each TTC acts as a type of 

EIR. The TTCs are engaged in numerous activities including planning, administrating, 

coordinating, and evaluating technology transfer activities of their assigned geographic region’s 

research programs in order to affect the optimum transfer of research for development and 

commercialization. They work closely with ARS researchers to select the most beneficial and 

expeditious mechanism(s) for technology transfer on a case-by-case basis. They participate in the 

planning of research programs and preparing material that illustrates ARS research results and 

accomplishments. 

NIST has also initiated an EIR program in cooperation with the Maryland Technology 

Development Corporation. Through this initiative experienced EIRs and NIST researchers come 

together to identify commercial opportunities for technologies emerging from NIST’s 

laboratories. NIST EIRs are not full-time paid positions; rather, they are guest researchers who 

undertake a variety of tasks to identify the commercial value of NIST technologies and mentor 

and educate NIST researchers on career opportunities in technological entrepreneurship. 

Lab-to-Market Initiative

In 2015, the Lab-to-Market initiative was being coordinated as a Cross Agency Priority goal 

under the Government Performance and Results Act (GPRA) Modernization Act (P.L. #111-

352). Through this effort, Federal agencies proposed a number of actions to accelerate and 

improve the transfer of new technologies from the laboratory to the commercial marketplace.

Developing Human Capital

Research agencies will develop the Nation’s human capital assets for promoting technology 

transfer, including:

1. Expanding the number of individuals with private-sector experience in technology 

transfer who serve within the research agencies for limited-term fellowships and 

“Entrepreneur in Residence” engagements; 

2. Establishing clear ethical and policy guidelines that enable and encourage Federal 

researchers to work outside government for limited periods on 

industrial/entrepreneurial detail, as appropriate; and 

3. Providing widespread opportunities for experiential entrepreneurship education 

among both students and investigators who work on federally funded R&D projects, 

including by expanding eligibility for competitive programs such as the NSF 

Innovation Corps across research agencies.

Empowering Effective Collaborations

Research agencies will further streamline and promote technology transfer collaborations, 

including:
30

1. Increasing the priority level of R&D commercialization activities and outcomes at 

Federal laboratories, consistent with agency mission and commercialization strategy, 

including:

a. institutionally through Management and Operating contracts with 

government-owned contractor-operated labs; and

b. individually through the annual performance plans of relevant Federal 

employees, including Senior Executive Service personnel with R&D 

responsibilities, where appropriate;

2. Optimizing technology transfer authorities and best practices across Federal 

laboratories to remove barriers to collaboration with external entities, as appropriate, 

including efficient CRADA authorities, updated intellectual property policies, 

effective Laboratory-Directed R&D programs, and relatively low patent fees for 

small businesses and universities; and 

3. Increasing the impact of technology transfer activities by fully utilizing existing 

authority for all research agencies to (a) co-fund joint projects between agencies, and 

(b) leverage charitable gifts to advance R&D commercialization. 

Opening R&D Assets

Research agencies will work with the Federal Laboratory Consortium, the National Technical 

Information Service, and the Presidential Innovation Fellows program to implement a 

national framework for (a) all intellectual property developed by Federal laboratories to be 

easily discovered, reasonably understood, and rapidly licensed by U.S. entrepreneurs and 

innovators, wherever appropriate; and (b) all research agencies to maximize their ability to 

provide U.S. entrepreneurs and innovators with access to federally funded research facilities 

and equipment, where appropriate and consistent with agency mission, including by:

1. Fully including relevant data about both (a) Federal laboratory intellectual property

and (b) R&D facilities, equipment, use policies, and agency contact information as

open and machine-readable, available to third parties through application 

programming interfaces, and tagged with concise summaries and other relevant 

metadata;

2. Reducing the time, cost, and complexity of executing intellectual property licenses, 

by adopting the most innovative and effective approaches from industry, universities, 

and Federal agencies;

3. Improving agencies’ abilities to (a) transfer excess/surplus property to innovators and 

entrepreneurs, through a combination of effective platforms, policies, and outreach; 

(b) facilitate the use of core facilities, including clarifying policies for partnership 

agreements to access underutilized facilities and use of third-party platforms to 

streamline access; and (c) facilitate direct use of equipment and facilities that are not 

part of core facilities, including authority to provide temporary access on a cost 

recovery basis; and

4. Working with university stakeholders to achieve these outcomes to the maximum 

extent possible for university inventions and facilities as well as Federal laboratory 

inventions and facilities, with an emphasis on the broad-based economic and social 

impact of federally funded R&D.
31

Fueling Small Business Innovation

Research agencies with SBIR and STTR programs will work with the Small Business 

Administration (SBA) and the Presidential Innovation Fellows program to finalize a 

government-wide plan to maximize the economic impact of these programs, consistent with 

the SBIR/STTR Reauthorization Act of 2011 and subsequent SBA policy memoranda, 

including by: 

1. Ensuring that all SBIR/STTR solicitations are open and machine-readable, available 

to third parties in real time through application programming interfaces, and 

discoverable through at least one unified and comprehensive Federal government 

search tool;

2. Streamlining the SBIR/STTR application process for small businesses by allowing 

submissions to multiple agencies based on a common small business profile, reducing 

the time from application to award to below the current cross-agency median, 

allowing small businesses to predictably track the progress of their applications, and 

reducing or eliminating lag time between successful Phase I completion and Phase II 

awards for meritorious applicants, wherever possible;

3. Reducing undue burdens on small businesses during the award performance period, 

wherever appropriate, including by streamlining accounting and reporting 

requirements and allowing flexibility for small businesses to adapt their performance 

benchmarks based on new commercialization pathways discovered during the 

performance period; 

4. Publishing and sharing best practices for Phase III commercialization from all 

agencies on a regular basis, based on relevant commercialization data, and 

encouraging small business awardees to commercialize federally funded R&D; and 

Evaluating Impact

The Interagency Workgroup on Technology Transfer will finalize a plan to develop and 

report the following R&D commercialization metrics:

1. Working with agencies to develop new metrics to track technology transfer activities 

(e.g., number of intellectual property licenses, number of CRADAs, number of new 

startups created), developing additional metrics that track the goals set forth in this 

executive actions’ plan, such as reducing the processing time required to complete 

intellectual property licensing agreements, increasing the number of federally-funded 

researchers who receive experiential entrepreneurship education, and increasing the 

percentage of federally funded intellectual property and facilities that can be 

discovered through open and machine-readable data; and

2. Working with the research community to develop outcome metrics that capture 

longer-term economic impact (e.g., dollars of follow-on capital attracted, revenue 

generated, jobs created, and new products developed by companies commercializing 

federally funded R&D).
32

Chapter 2 

Agency Performance in FY 2015

Each Federal agency prepares and submits an annual report covering data on technology transfer

as described in 15 USC 3710(f). These reports include details on each agency’s technology 

transfer program and plans to use technology transfer to advance the agency’s mission and 

promote U.S. competitiveness.23

This chapter provides a comparable summary of the content of these 11 Federal agency reports. 

Three main topic areas are addressed: 

• Statistical data on the agency’s technology transfer activity levels for a number of 

measures (e.g., cooperative R&D relationships, invention disclosure and patenting, and 

intellectual property licensing) for the most recently closed fiscal year (FY 2015) and 

several prior years (chiefly, FY 2011-2015); 

• Reported examples of successful downstream outcomes arising from the agency’s 

technology transfer activities, such as new products or improved industrial processes 

available in the marketplace that arise from the transfer and commercialization of 

Federal lab inventions; and 

• Streamlining activities at each agency to lower administrative burden and make 

technology more accessible. 

 23 See http://nist.gov/tpo/publications/agency-technology-transfer-reports.cfm
33

Department of Agriculture (USDA)

President Abraham Lincoln coined the phrase “the People’s Department” acknowledging the role 

of USDA in solving problems that benefits all people every day. Thus, well before the coining of 

the modern-day phrase of “technology transfer”, it was the culture of USDA to deliver solutions 

to the people of the United States. Today, USDA broadly defines technology transfer as the 

adoption of research outcomes (i.e., solutions) for public benefit. A seemingly simple statement, 

the process of adoption is complicated, requiring integration of many assets from disparate 

sources in the successful delivery of solutions. “Public benefit” is achieved through many 

mechanisms including public release of information, tools, and solutions (e.g., germplasm, 

plants, and other materials), adoption and enhancement of research outcomes by partners through 

collaborative research, formal CRADAs authorized by the Federal Technology Transfer Act 

(1986), direct Federal, state, or local technical assistance, or through licensing of biological 

materials or protected intellectual property directly to not-for-profit entities and for-profit private 

sector firms. Additionally, successful adoption of USDA knowledge and research outcomes 

typically requires complementary assets and services provided by multiple agencies in USDA, 

including agencies that are not primarily engaged in direct research in the physical and life 

science arenas.

Private sector involvement in technology transfer adds the benefits of creating new or expanded 

businesses, jobs, and economic prosperity. Science-based innovations from USDA intramural 

research – often developed through public-private partnerships (PPPs) – create new or improved 

technologies, processes, products, and services that benefit the nation by increasing productivity, 

increasing efficiency (keeping costs low), and enhancing global competitiveness for the U.S. 

agriculture sector. Thus, technology transfer functions are critical to accelerating utility of public 

R & D investments, creating economic activity, and in job creation and sustainable economic 

development.

The Agriculture Research Service (ARS) has been delegated authority by the Secretary of 

Agriculture to administer the patent program for ARS, review CRADAs, and administer 

technology licensing programs for all intramural research conducted by USDA. These activities 

are housed in the Office of Technology Transfer.

USDA’s annual technology transfer report is available online at:

https://www.ars.usda.gov/business/Docs.htm?docid=24718.

More information about USDA’s technology transfer activities are available on the following 

websites:

Agricultural Research Service: https://www.ars.usda.gov/;

Animal and Plant Health Inspection Service: https://www.aphis.usda.gov/aphis/home/; and

Forest Service: http://www.fs.fed.us. 
34

USDA Invention Disclosures and Patenting

Between FY 2011 and FY 2015, the number of invention disclosures received increased by 41%, 

from 158 to 222. The number of patent applications filed fluctuated over the five-year period. 

The number of new patents issued increased by 92% from 49 to 94 in FY 2015.

FY 2011 FY 2012 FY 2013 FY 2014 FY 2015

New Inventions Disclosed 158 160 191 117 222

Patent Applications Filed 124 122 157 119 125

Patents Issued 49 69 65 83 94
35

Patents issued to USDA in FY 2015 covered many technology areas including biotechnology 

(28%), pharmaceuticals (14%), basic materials chemistry (11%), and food chemistry (9%).24

USPTO Patents Assigned to USDA by Technology Area: FY 2015

 24 Source: Prepared by Science-Metrix using USPTO data indexed in PATSTAT Spring 2016 edition (European 

Patent Office). Used with permission.
36

USDA Licenses

Between FY 2011 and FY 2015, the number of total active licenses increased by 18% to 424

licenses in FY 2015. The number of total active invention licenses increased by 11% to 359

licenses. Total active income bearing licenses increased 19%, from 354 in FY 2011 to 421 in FY 

2015.

FY 2011 FY 2012 FY 2013 FY 2014 FY 2015

Licenses, Total Active 358 384 400 414 424

New Licenses 35 34 25 30 35

Invention Licenses, Total Active 322 341 351 363 359

New Invention Licenses 29 28 19 28 20

Income Bearing Licenses, Total Active 354 379 397 412 421

Income Bearing Exclusive Licenses 257 277 291 299 292
37

USDA Income from Licensing

Between FY 2011 and FY 2015, the number of total income from all active licenses increased by 

27% to just over $5 million in FY 2015. The income from invention licenses increased by 26% 

to $4.8 million. Total earned royalty income increased 12% from $3.1 million in FY 2011 to $3.5

million in FY 2015.

FY 2011 FY 2012 FY 2013 FY 2014 FY 2015

Total Income, All Active Licenses $3,989 $3,806 $4,386 $4,928 $5,070

Invention Licenses $3,855 $3,671 $4,054 $4,733 $4,845

Total Earned Royalty Income $3,137 $3,060 $3,354 $3,611 $3,510
38

USDA Collaborative R&D Relationships

Between FY 2011 and FY 2015, the number of total active CRADAs increased by 3% to 301

agreements. The number of new CRADAs per fiscal year decreased by 22% to 80 new 

agreements in FY 2015. Total active traditional CRADAs decreased by 9% during the five-year 

period, totaling 188 agreements in FY 2015. Other collaborative R&D relationships increased by 

15%, totaling 15,439 relationships in FY 2015.

USDA Efforts to Streamline Technology Transfer Operations

Update Policy and Procedure (P&P) 

In FY 2015, policies and procedures were updated and streamlined to reflect statutory changes 

since 2000 as well as changes in the structure and operations of National Patent Committees. 

These changes addressed efforts to license biological materials, the use of the Agricultural 

Research Partnerships (ARP) network, changes in the invention disclosure review process, and 

efforts to determine strategic and tactic technology transfer plans for research projects. 

FY 2011 FY 2012 FY 2013 FY 2014 FY 2015

CRADAs, Total Active 292 274 259 267 301

New CRADAs 102 65 86 60 80

Traditional CRADAs, Total Active 207 211 211 193 188

Other Collaborative R&D Relationships 13,458 14,351 16,102 15,706 15,439
39

Expand Outreach Efforts in Technology Transfer to Scientists in ARS

OTT worked with Office of National Programs to connect ARS scientists’ research capabilities 

and technologies with a number of different companies. This was done through the ARP 

Network, responding to public solicitations, responding to industry scouting, and through 

webinars conducted by Federal Laboratory Consortium. This outreach effort is now an ongoing 

activity in OTT.

Encourage Other S&T Agencies to Adopt OTT’s Approach to Technology Transfer

In the past, OTT has provided technology transfer services (policy advice, agreement review, 

patenting / licensing services, etc.) to the USDA-Animal and Plant Health Inspection Service 

(APHIS) Wildlife Services, USDA Forest Service (FS), DOI’s Bureau of Reclamation (BoR). In 

FY 2015, these services were expanded through interagency agreements to include APHIS’s 

Wildlife Services, Plant Protection and Quarantine, and Veterinary Services, as well as the FS’s 

Forest Products Laboratory. In addition, the BoR agreement was modified to include DOI’s U.S. 

Fish and Wildlife Service.

USDA has a role in helping to develop Federal government technology transfer policy through 

OTT’s active participation on the Interagency Working Group on Technology Transfer and the 

Lab-to-Market Working Group. Through these ongoing activities, OTT is taking an active role in 

promoting activities which support the enhanced adoption of research outcomes.

Establishment of the “Branded Food Products Database for Public Health” Public-Private 

Partnership

In FY 2013, ARS, the Agricultural Technology Innovation Partnership (ATIP) Foundation, and 

the International Life Science Institute North America (ILSI North America) established a 

public-private partnership to enhance the public’s health through increased knowledge of the 

nutritional content of the nation’s food supply. This was accomplished by obtaining 

comprehensive food composition data from the food industry and making it available to 

government, industry, the scientific community, and the general public through an enhanced 

USDA National Nutrient Database, developed and maintained by the ARS Nutrient Data 

Laboratory in Beltsville, MD.

In FY2015, the public-private partnership successfully beta tested a branded food products 

database. Five food manufacturers participated in a beta-test by providing product label data and 

nutrition information on 245 products through a GS1 certified data pool provider, FSEnet. These 

data were then passed to ARS for incorporation into the USDA National Nutrient Database.
40

USDA Downstream Success Stories 

National Wildlife Research Center: Federal Laboratory Consortium’s Award for 

Excellence in Technology Transfer

On April 29, 2015, the National Wildlife Research 

Center (NWRC) received the Federal Laboratory 

Consortium’s (FLC) 2015 Award for Excellence in 

Technology Transfer for its role in the development of 

an automated bait cartridge and delivery system to 

control invasive brown tree snakes. The automated bait 

cartridge and delivery system was first conceived in 

2009 when NWRC researchers entered into a series of 

cooperative agreements with Applied Design 

Corporation – a private engineering and design firm in 

Boulder, Colorado – to develop a cost-effective, 

environmentally-safe, and efficient system for 

distributing toxicant baits to invasive brown tree snakes (BTS) in remote and inaccessible areas 

on Guam. Three patents are being pursued as a result of this collaboration. The system includes a 

biodegradable bait cartridge containing acetaminophen (a registered toxicant for BTS) and an 

automated delivery system that can disperse up to 4 bait cartridges per second via helicopter or 

fixed wing aircraft. The delivery system allows for the cartridges to open and become entangled 

in the forest canopy as they fall. Since the BTS is an arboreal species, entanglement in the 

canopy is crucial for baiting. This technology is adaptable to the delivery of other payloads and 

could have significant benefits for other invasive species management efforts. Obvious uses 

would include delivery of rodenticides or vaccines to arboreal animal populations. The award 

recognizes Federal laboratories that have accomplished outstanding work in the process of 

transferring a technology to the commercial marketplace. The NWRC is one of fifteen Federal 

laboratories receiving the award in 2015. The Center also received FLC’s Mid-Continent 

Chapter award for the development of “Notable Technology” on August 26, 2015 for the same 

technology.

Development of Chemical Repellents for Birds

NWRC scientists have been working for decades 

towards developing chemical-based bird repellents 

for alleviating crop depredation and other nuisance 

situations. Many useful tools have resulted from 

those efforts. On September 15, 2015, the U.S. 

Patent and Trademark Office issued a patent to 

APHIS and Dr. Scott Werner for an ‘Ultraviolet 

Strategy for Avian Repellency’ (US 9,131,678 

B1). This method for repelling birds from a crop or 

other resource is unique. First, a bird repellent is 

applied to the target crop in sufficient quantities to 

repel birds. Then, one or two subsequent 

treatments are applied to the crop that include not only the repellent, but also a visual cue that 

exhibits an ultraviolet absorbance spectrum or color similar to that of the repellent. This allows 
41

for future repellent treatments to be applied at significantly lower amounts than the initial 

treatment. Because of the potential cost savings to applicators and the opportunity to develop a 

unique bird management tool, interest is high among private businesses to license this 

technology from APHIS. A license is expected to be issued by the end of 2015.

APHIS Wildlife Service (WS): Licensing of GonaCon-Equine

GonaCon-Equine is a contraceptive vaccine 

developed by APHIS and registered with the U.S. 

Environmental Protection Agency for use in wild 

and feral horses and burros. The technology for 

this vaccine was issued under patent by the U.S. 

Patent and Trademark Office in 2010 under the 

title ‘Vaccine Composition and Adjuvant’ (U.S. 

7.731,939, B2). Humane Breakthrough, a newly 

established public benefit company (PBC), 

recently finalized a license under this patent and 

will begin production and sales of GonaConEquine in early 2016. This license allows Humane Breakthrough PBC to market GonaConEquine within the United States and internationally. In addition, the license and registration set 

the groundwork for Humane Breakthrough PBC in partnership with SpayFIRST! to develop 

other applications and markets for GonaCon.

International Services (IS): International Technical and Regulatory Capacity Building 

(ITRCB)

The ITRCB, a unit of APHIS International Services, acts as a clearinghouse to review requests 

for APHIS technical assistance and when appropriate, supports agency efforts facilitating 

technical cooperation activities with trading partners and developing countries. Training of 

foreign counterparts comprises a significant level of effort of the ITRCB unit. Technology 

transfer when it occurs is limited. One area where APHIS-IS is an active leader is developing 

new methods to support the Agency’s control and eradication efforts of quarantine pests. In FY 

2015, two activities were conducted which support larger international efforts to combat invasive 

pests. 

The Emerald Ash Borer (EAB) – Agrilus planipennis is native to eastern Asia and feeds on ash 

species. Outside its native range, which now includes North America, it is an invasive species 

and is highly destructive to ash trees native to North America. Research on its biology is in 

progress and APHIS is attempting to control it using several methods including the use of 

biological control. APHIS has reared colonies of parasitoid insects that feed on EAB larvae and 

represent a possible control method for EAB. In 2015, APHIS transferred colonies of 

Tetrasstichus planipenisi, one of the species of biological control parasitoids, to counterparts in 

Canada who released them in Ontario and Quebec. 

In addition, IS has coordinated technology transfer activities relating to the control of invasive 

pests, for example Lobesia botrana, the European Grapevine Moth (EGVM). This invasive moth 

that is a major vineyard pest was detected in California in 2009. APHIS scientists have 

developed methods to mass rear EGVM in order to use sterile insect technique (SIT) to control 
42

and irradiate this invasive pest. International organizations such as the International Atomic 

Energy Agency (IAEA) have also supported the methods development efforts related to EGVM. 

In 2015 the IAEA supported an APHIS expert who provided technical assistance to Chilean plant 

health authorities who seek to develop their own SIT program for Lobesia botrana.

Plant Protection and Quarantine (PPQ): Remotely Piloted Vehicle Technology to Protect 

American Agriculture

The PPQ S&T Phoenix Lab has successfully 

deployed a Remotely Piloted Vehicle (RPV) in 

support of the Pink Bollworm Eradication Program. 

The RPV was designed to effectively release sterile 

pink bollworm over cotton in Arizona as an 

Integrated Pest Management (IPM) component. The 

RPV was compared to traditional Cessna 206 and 

hand release methods and results concluded that the 

RPV was just as effective as the other two methods 

and at a fraction of the cost. Pink bollworm has not 

been detected within the U.S. PBW Eradication Zone since May of 2012. There is potential for 

incursion from pink bollworm in central Mexican states. The development of rapid response 

techniques such as RPVs is critical to the long-term success of the Pink Bollworm Eradication 

Program. The development of the RPV was in response to the National Cotton Council’s request 

that such technology be explored. 

We recently developed a small, Vertical Takeoff and Landing (VTOL) Remotely Piloted Vehicle 

(VTOL-RPV) with assistance from an industry cooperator to visually detect Asian Longhorned 

Beetle (ALB) damage in forests. ALB presents a significant environmental and financial risk to 

the forests of the United States and if left unchecked, estimates of total urban canopy destruction 

reach upwards of 34.9% at a value loss of $699 Billion USD. ALB can survive and reproduce in 

any location within the lower 48 States, which contain host trees. Because of this threat, PPQ 

launched the ALB Eradication Program, which intends to respond to ALB’s incursion by 

eradicating this invasive exotic species from the U.S. RPV proof of concept took place in a 

forest near Bethel, OH. Current survey and detection methods include spotting, ground 

assessments and climbing or bucket truck assessments. These methods require great human input 

and are costly. RPVs are launched near potential infestation zones and are visually surveyed by 

ground crews via live streaming video which is faster and safer than current processes. VTOLRPVs are also being developed to visually detect Asian Gypsy Moth (AGM) egg masses on the 

superstructure of vessels arriving at U.S. ports of call. The proposed method for survey and 

detection was presented to DHS’ Customs and Border Protection (CBP) office in an internal 

white paper written by the Center for Plant Health Science and Technology (CPHST S&T) and 

described as a means of aiding CBP officers in detecting AGM egg masses by utilizing RPV’s 

and their remote sensing abilities. Current detection methods involve visually scanning the 

superstructure of vessels. This method, however, is limited to regions safely accessible or visible 

from the deck of the ship. The RPV may provide surveyors with the ability to safely detect egg 

masses in the higher reaches of the ship, such as masts and light fixtures, as well as along the 

outer hull. The continued development of this technique supports PPQ’s mission to safeguard 

U.S. agriculture and natural resources against the entry, establishment, and spread of 
43

economically and environmentally significant pests and directly supports CPHST’s efforts in the 

areas of Pest Detection and Pest Management. 

Foreign Agricultural Service (FAS): Norman E. Borlaug International Agricultural Science 

and Technology Fellows Program

In 2015, the Norman E. Borlaug International Agricultural Science and Technology Fellowship 

Program (BFP) supported 45 Fellows to help transfer new science and agricultural technologies 

to eligible developing countries. Since the program’s inception in 2004, BFP has provided 

training to more than 750 Fellows from 64 countries and facilitated ongoing relationships 

between Fellows and their U.S. mentors to promote the adoption or commercialization of U.S. 

technologies in their respective countries. 

For example, this year FAS learned that the citrus industry in the Rio Grande Valley of Texas 

was positively impacted as a result of training a Moroccan Fellow at Texas A & M University 

(TAMU) at Kingsville, a Hispanic Serving Institution. In 2011, Mr. Lhou Beniken conducted 

research there on improved irrigation and water management techniques for citrus orchards. His 

mentor, Dr. G. Rasmussen, visited Mr. Beniken at the National Agricultural Research Institute in 

Morocco and saw firsthand the success in orchards utilizing an improved border flood technique 

instead of conventional flood irrigation. This method utilizes 36 percent less water while still 

meeting the water needs of citrus trees. Dr. Rasmussen, along with other TAMU-Kingsville 

colleagues, brought this technique back to Texas, where it was introduced to the citrus industry 

through field demonstrations and farmer trainings. Many orchards in the Rio Grande Valley 

adopted this improved method and have seen measurable success. The reciprocal visit of a host 

university mentor to the Fellow’s home country to see their research application is a unique 

feature of the BFP and leads to many examples of two-way knowledge sharing and learning. 

Dr. Abdul Islam, a 2010 Borlaug Fellow from the Indian Council of Agricultural Research 

(ICAR), conducted climate change research at Colorado State University (CSU) under the 

Global Research Alliance Initiative. After his time in the United States under the BFP, he 

continued to collaborate with his mentors at CSU and USDA’s Agricultural Research Service 

(ARS) facility in Fort Collins, Colorado. The focus was on generation of resilient agriculture

scenarios, using the projection model learned during his Fellowship, to evaluate corn cultivars 

for adaptation to climate warming. Realizing the importance of the project, ICAR initiated a 

program on Integrated Agricultural Systems Analysis for preparing an adaptation strategy, with 

suggested policy interventions. Dr. Islam is coordinating those research activities and was 

recently promoted to Principal Scientist at ICAR in New Delhi. He has published four scientific 

journal articles about the research at CSU, has applied climate change models for two case 

studies in India, and has presented his findings at four seminars. 

These exemplary Fellows, their U.S. mentors, and other BFP participants are continuing to learn, 

disseminate, and apply U.S. technologies to improve agricultural sciences, trade, and food 

security throughout the developing world.
44

Grain Inspection, Packers and Stockyards Administration (GIPSA): Harmonizing Biotech 

Reference Methods

There is a need for highly specific and accurate tests for the various genetically-engineered (GE) 

crops grown in the United States. GIPSA has developed intra-laboratory validated real-time 

polymerase chain reaction (PCR) methods and has evaluated the accuracy, reliability, and 

proficiency of publicly available methods used to detect and identify GE grains and oilseeds. 

GIPSA participated on a scientific panel of experts engaging U.S. stakeholders and influencing 

outcomes on issues related to testing of GE traits in grains with the goal of developing global 

scientific consensus regarding the analysis of transgenic events. GIPSA continues to collaborate 

with international organizations such as Codex Alimentarius, International Organization for 

Standardization, American Association of Cereal Chemists, and the Canadian Grain Commission

to harmonize testing technologies for GE grains and oilseeds. 

National Institute of Food and Agriculture (NIFA): Food Safety

Agricultural Research Service and collaborating university scientists recently completed an SCRI 

project that provides food safety advances for fresh-cut leafy greens. Their groundbreaking 

research is used by the FDA and industry to reset food safety standards. They are the first to 

show that the industry-standard "Control Limit" chlorine concentration does not prevent 

pathogen cross-contamination, and that rewashing of contaminated product is an ineffective 

"Corrective Action" to rectify process failures. This work overturned historical industry practices 

by documenting the risks associated with operating practices previously considered safe. They 

also determined the necessary and sufficient sanitizer concentration to prevent pathogen crosscontamination and spread. These results are now incorporated into an interagency and industry 

task force document supporting Food Safety Modernization Act implementation. Canadian 

researchers have used our findings to develop mathematical models to predict contamination, 

and the U.S. Department of Homeland Security have incorporated these results into antiterrorism programs. The project also identified a cost-effective mechanism to improve cold chain 

integrity and fully implement food safety preventive controls during retail display. Open 

refrigerated display cases typically have significant temperature nonuniformity, presenting 

technical challenges for maintaining temperature below 5 °C at the front, without freezing 

damage at the rear. Their research found that retrofitting open cases with doors achieved Food 

Code compliance, with nearly-uniform product temperatures below 5 °C throughout the case. 

Moreover, energy costs were 69% less than for open cases, allowing retrofit cost recovery in less 

than two years. Reduced costs for product rotation and savings from reduced spoilage are also 

expected. Based on outreach to retailers detailing these results, use of doors on fresh-cut produce 

retail cases has substantially increased in the last two years.
45

Department of Commerce (DOC)

Technology transfer plays an important role in DOC’s mission to promote job creation, 

economic growth, sustainable development, and improved standards of living for all Americans. 

DOC works in partnership with businesses, universities, state, tribal and local governments, and 

communities to promote innovation and improve the nation’s overall competitiveness in the 

global economy. DOC pursues these objectives through policies and programs directed at 

strengthening the nation’s economic infrastructure, facilitating the development of cutting-edge 

science and technology, providing critical scientific information and data, and managing national 

resources. 

DOC conducts research and development (R&D) in areas of science and technology at the 

laboratory facilities of NIST, NOAA, and NTIA’s ITS. Technology transfer, which is a key part 

of the programmatic activities in these laboratories, connects technological advances of DOC’s 

science and engineering programs to the American economy.

In addition to the technology transfer efforts of DOC laboratories, DOC is responsible for 

coordinating technology transfer activities across Federal agencies. DOC coordinates the 

Interagency Workgroup for Technology Transfer (IAWGTT) through the facilitation by NIST of

interagency discussion on policy, new approaches to technology transfer, and lessons learned 

from agency transfer programs. 25 NIST also serves as the host agency for the Federal Laboratory 

Consortium for Technology Transfer (FLC), which provides a forum for federal labs to develop 

strategies and opportunities for linking technologies and expertise with the marketplace. 

NTIA within the DOC is a founding co-chair for the Wireless Spectrum R&D (WSRD) 

Interagency Working Group (IWG) that was formed in late 2010 to coordinate spectrum-related 

research and development activities both across the Federal government and with academia and 

the private sector. Through WSRD, NTIA has been helping to coordinate and inform ongoing 

activities across Federal agencies and to facilitate efficient and effective investment in spectrum 

sharing technologies and systems. These activities are consistent with the guiding principles of 

WSRD, which are transparency, smart investment, and the solicitation of opportunities for 

technology transfer across and beyond the Federal government.

More information about DOC technology transfer is available on the following websites:

NIST: http://www.nist.gov/tpo/index.cfm;

NOAA: http://techpartnerships.noaa.gov/; and

ITS: http://www.its.bldrdoc.gov.

 25 Agencies participating in the IAWGTT, established pursuant to Executive Order 12591 of April 10, 1987, include 

the Department of Agriculture, Department of Commerce, Department of Defense, Department of Energy, 

Department of Health and Human Services, Department of Homeland Security, Department of the Interior, 

Department of Transportation, Department of Veterans Affairs, Environmental Protection Agency, and National 

Aeronautics and Space Administration.
46

DOC Invention Disclosures and Patenting

Between FY 2011 and FY 2015, the number of new inventions disclosed increased by 135% to 

61 disclosures in FY 2015. The number of patent applications filed experienced a 76% increase 

to 30 applications filed. The number of patents issued during this five-year period increased by 

25% to 20 patents in FY 2015.

FY 2011 FY 2012 FY 2013 FY 2014 FY 2015

New Inventions Disclosed 26 52 41 47 61

Patent Applications Filed 17 25 26 25 30

Patents Issued 16 14 21 19 20
47

Patents issued to DOC in FY 2015 covered many technology areas including measurement 

(23%), chemical engineering (10%), semiconductors (8%), and electrical machinery, apparatus, 

energy (6%).26

USPTO Patents Assigned to DOC by Technology Area: FY 2015

 26 Source: Prepared by Science-Metrix using USPTO data indexed in PATSTAT Spring 2016 edition (European 

Patent Office). Used with permission.
48

DOC Licenses

Between FY 2011 and FY 2015, the number of total active licenses increased by 10% to 44

licenses in FY 2015. All licenses were invention licenses. Total active income bearing licenses 

increased 19% to 31 licenses in FY 2015.

FY 2011 FY 2012 FY 2013 FY 2014 FY 2015

Licenses, Total Active 40 41 40 40 44

New Licenses 5 6 5 7 13

Invention Licenses, Total Active 40 41 40 40 44

New Invention Licenses 5 6 5 7 13

Income Bearing Licenses, Total Active 26 25 28 26 31

Income Bearing Exclusive Licenses 12 12 15 15 17
49

DOC Income from Licensing

All income from licensing comes from invention licenses. During the five-year period, from FY 

2011 to FY 2015, there was a 41% decrease in total income from all active licenses, from $277 

thousand in FY 2011 to $164 thousand in FY 2015.

FY 2011 FY 2012 FY 2013 FY 2014 FY 2015

Total Income, All Active Licenses $277 $248 $151 $220 $164

Invention Licenses $277 $248 $151 $220 $164

Total Earned Royalty Income $277 $248 $151 $220 $164
50

DOC Collaborative R&D Relationships

Between FY 2011 and FY 2015, the number of total active CRADAs increased by 23% to 2,751

agreements. The number of new CRADAs per fiscal year increased by 16% to 2,548 new 

agreements in FY 2015. Total active traditional CRADAs increased by 218% during the fiveyear period, totaling 315 traditional agreements in FY 2015.

DOC Efforts to Streamline Technology Transfer Operations

In response to the PM, NIST has undertaken several efforts to streamline and simplify the technology 

transfer process. NIST revised its standard CRADA to expedite review of these documents and 

reduce the overall size of these documents by approximately one third. NIST also implemented 

several new licensing programs to encourage small businesses to participate. These programs lay out 

terms in advance to ease concerns by small businesses about overall costs. NIST is conducting 

detailed analysis of the flow of documents to understand where significant delays occur within the 

system. In many cases, these delays are with the partner and NIST does not have direct control; 

FY 2011 FY 2012 FY 2013 FY 2014 FY 2015

CRADAs, Total Active 2,245 2,410 2,428 2,359 2,751

New CRADAs 2,192 2,844 2,289 2,111 2,548

Traditional CRADAs, Total Active 99 153 196 206 315

Other Collaborative R&D Relationships 2,899 2,782 2,977 3,031 3,172
51

however, by continued efforts to identify and understand issues experienced by partners, NIST 

expects to identify new ways to simplify and streamline technology transfer practices. In FY 2015, 

NIST experienced a 46-day reduction in the average number of days to prepare a patent application 

and a 45-day reduction in the average CRADA approval time.

DOC Downstream Success Stories

NIST: Combating Cyber Terrorism

NIST has granted an exclusive license for a technology used to determine network safety against 

unknown attacks (zero-day attacks) to George Mason Research Foundation which then 

sublicensed the technology to CyVision, a spin-off George Mason University (GMU). CyVision 

is dedicated to combating cyber terrorism and helping government and private enterprise 

improve their security posture. Based on this patented technology and other inventions licensed 

from GMU, CyVision is commercializing cybersecurity vulnerability analysis solutions. 

NIST: Differentiating Biogenic and Geologic Methane Sources

NIST has granted the University of Colorado Boulder a research license for a Frequency Combbased Spectrometer for use in an Advanced Research Projects Agency-Energy (ARPA-E) funded 

research project titled Frequency Comb-based Methane Sensing. NIST, NOAA and CU Boulder 

are working together to develop frequency comb-based technologies for methane leak detection. 

A licensed Patent Application from NIST and another patent application jointly owned by CU 

Boulder will be the basis for the planned dual frequency comb spectrometer. The technology 

currently in development will be able to distinguish methane, ethane, and propane, as well as 

methane with different carbon isotopes for differentiating biogenic and geologic methane 

sources. When employed as a remote methane observation network, this technology will enable 

significant reductions in the cost associated with identifying, quantifying, and locating methane 

leaks compared to currently available technologies.

NIST: Leads Development of ASTM Standard Practice for Testing Trace Explosive 

Detectors 

Researchers in NIST’s Materials Measurement Laboratory (MML) have recently completed 

development of a soon-to-be promulgated ASTM Standard Practice for testing and scoring the 

performance of trace explosive detection systems. Instrument developers and manufacturers, 

testing laboratories, and international agencies responsible for enabling effective deterrents to 

terrorism will use this standard. The revised Standard Practice goes far in increasing chemical 

scope, testing levels, realism, and practical aspects of explosive screening. MML distributed a

white paper to outline the expanded tests and metrics and to elicit feedback regarding the 

performance criteria most important to trace detection. Interactions with Explosive Trace 

Detection (ETD) manufacturers, domestic and international agencies, subject matter experts, and 

stakeholder communities to better define the criteria and formulate a mechanism for scoring 

ETD performance that was fair and reasonable, technologically agnostic, and reflects the most 

important aspects of trace detection followed this. The revised standard also relaxes the 

requirement that an instrument identify a specific target compound, since some innovative 

screening technologies, such as thermo-energetic detectors and canines, cannot do this, but 

technologies that can provide identification get extra credit. The revision requires the use of a 

standard background challenge material, identified from NIST natural matrix Standard Reference 
52

Materials (SRMs), such as a natural dust or dirt (“standard schmutz”) that represents the matter 

co-collected on swabs during the process of sampling. Because sample throughput is important 

at security checkpoints, the measurement of average throughput rate for background-loaded 

samples is required. Lastly, the revised Standard Practice provides a means to calculate a 

numerical performance score based upon all the mandated tests. There is no maximum score but 

a minimum score is specified based upon criteria from the original E2520-07. The scores will 

provide tangible measures of instrumental detection performance, useful for comparing systems 

worldwide and for enabling targeted improvements in next-generation detection systems.

NIST: A New NIST Tool for Evaluating Sustainability Performance of Buildings

NIST's newly released database and software tools, called BIRDS (Building Industry Reporting 

and Design for Sustainability), enable building owners to assess three major factors contributing 

to building sustainability: energy, environment, and cost performance. Building professionals in 

more than 200 U.S. cities are using BIRDS to evaluate whether it pays to exceed code 

requirements for energy efficiency by tallying expected costs, kilowatts expended, carbon 

emissions, and other impacts over a commercial building's lifetime. Focusing initially on 11 

building prototypes that account for about half of new U.S. commercial construction annually, 

the online data package features an innovative "whole building measurement system." An 

integrated set of metrics gauges, sustainability of materials and energy usage, assesses carbon 

footprints and 11 other indicators of environmental performance, and tabulates economic costs 

over nine different investment horizons. BIRDS complements NIST's popular tool known as 

BEES (Building for Environmental and Economic Sustainability) that allows a user to measure 

economic and environmental impacts of building products, ranging from concretes to roof 

coverings to floor coverings.

NIST: STEP File Analyzer Significantly Accelerates the Industrial Deployment of Key 

Manufacturing 3D CAD Standards

Computer-aided Design (CAD) has become ubiquitous throughout the modern manufacturing 

industry, and efforts are currently underway to base all product design and manufacturing 

activities on digital three-dimensional (3D) CAD master models. ISO 10303, the de facto 

worldwide standard for digital exchange of data for the design and manufacture of products, 

enables the sharing of a 3D master model among various design, analysis, and manufacturing 

applications. NIST has recently developed a software tool, the Standard for the Exchange of 

Product (STEP) File Analyzer that is critical to the industrial deployment of ISO 10303. This 

software is widely used in collaborative, pre-commercial testing to reduce errors in the use of 

ISO 10303. The STEP File Analyzer has served to accelerate the commercial delivery of ISO 

10303 implementations, with more robust manufacturing information that supports geometric 

validation, long-term data archiving, machining, and coordinates measuring machine 

applications. Additionally, this software tool provides a feedback loop to the standardization 

community for continuous improvement of ISO 10303. Detailed analysis of these 3D CAD files 

has taken on greater significance since the expansion of the scope of the standard to support 

advanced manufacturing that use digital product models throughout the product life cycle.

NIST: PET Phantoms Bring New Accuracy to Medical Scans

Teaming with a medical equipment company, researchers at NIST have demonstrated the first 

calibration system for positron emission tomography (PET) scanners directly tied to national 
53

measurement standards. Better calibrations of the machines can potentially increase the accuracy 

of their diagnostic images by several times, according to NIST scientists.

The new calibration capability can help to fine-tune PET scanners that find cancers and track the 

progress of treatments, among other diagnostic applications. It can help to ensure the accuracy of 

some of the newest scanners on the market.

NIST’s technique, developed over the past few years, calibrates devices called “phantoms,” built 

specifically for PET scanners to check medical imaging devices such as X-ray scanners. 

Typically, they are simply blocks of materials known to respond to—for example—X-rays in a 

consistent, known manner that is similar to the way human tissues respond. PET phantoms are 

more complicated because the scanners work by detecting radioactive materials injected in the 

patient.

The phantoms will be the first ones commercially available for PET that can trace calibration 

directly to NIST standards. NIST developed the calibration method partly in response to a 

request by Sanders Medical Products, which supplies the phantoms to GE Healthcare, a 

manufacturer of combination PET-MRI scanners.

NIST: New Reference Material Provides a Silver Lining for NanoEHS Research 

NIST has issued a new silver nanoparticle reference material to support researchers studying 

potential environmental, health, and safety risks associated with the nanoparticles, known for 

their antimicrobial properties, found in a growing number of consumer and industrial products. 

The new NIST test material may be the first of its kind to stabilize the highly reactive silver 

particles in a freeze-dried, polymer coated, nanoparticle cake for long-term storage.

Nanoparticulate silver is a highly effective bactericide. It is, by some estimates, the most widely 

used nanomaterial in consumer products. These include socks and shoe liners (it combats foot 

odor), stain-resistant fabrics, coatings for handrails and keyboards, and a plethora of other 

applications. A coating and freeze-drying technique, commonly used in the pharmaceutical 

industry to preserve blood products and protein-based drugs, stabilizes this new NIST product.

NIST: Measuring Stick Standard for Gene Sequencing Now Available from NIST 

The world’s first reference material to help ensure laboratories accurately “map” DNA for 

genetic testing, medical diagnoses, and future customized drug therapies is now available from

NIST. The new reference material, NIST RM 8398, is a “measuring stick” for the human 

genome, the coded blueprints of a person’s genetic traits. It provides a well-characterized 

standard that can tell a laboratory how well its processes for determining the patterns in a 

person’s DNA (called DNA or gene sequencing) are working by measuring the performance of 

the equipment, chemistry, and data analysis involved.

NIST created RM 8398 with its partners in the Genome in a Bottle consortium, a group that 

includes stakeholders from industry, academia, and the Federal government. Scientists from 

NIST and the U.S. Food and Drug Administration (FDA) helped organize the collaborative effort 

to provide the technical benchmarks (reference standards, reference methods, and reference data) 
54

needed to enable widespread clinical applications of whole genome sequencing and sciencebased regulatory oversight of the technology by the FDA.

The new reference material marks a significant step forward in addressing FDA’s regulatory 

needs for evaluating next-generation gene sequencing and genetic testing. The reference 

material is the first complete human genome to have been extensively sequenced and resequenced by multiple techniques, with the results weighted and analyzed to eliminate as much 

variation and error as possible. 

NOAA: Risk Management Solutions (RMS) Acquires NOAA T2 spin-off, HWind 

Scientific, Plans to Integrate Team and Products

In 2014, the NOAA Technology Partnerships Office released a hurricane and storm surge 

modeling technology called H*Wind back to its original inventor, Dr. Mark Powell, to allow him 

to pursue his own startup company based on the technology. Dr. Powell, formerly of the NOAA

Atlantic Oceanographic and Meteorological Laboratory, retired from Federal service and 

successfully created the startup – HWIND Scientific – to deliver real-time hurricane field 

assessments to industry and government. In 2015, just one year after Dr. Powell founded the 

company, Risk Management Solutions, a noted catastrophe risk-modeling firm, acquired 

HWIND Scientific and will integrate its capabilities into their suite of products and services. 

NOAA: Survey 'Amazingly Intact' Historic WWII-Era Aircraft Carrier

As part of its Cooperative Research and Development Agreement with the Boeing Corporation, 

NOAA scientists gathered in Half Moon Bay to use state of the art technology to survey the 

wreckage of the aircraft carrier the USS Independence, scuttled by the U.S. Navy in 1951. 

"After 64 years on the seafloor, Independence sits on the bottom as if ready to launch its planes," 

said James Delgado, chief scientist on the Independence mission and maritime heritage director 

for NOAA's Office of National Marine Sanctuaries. "This ship fought a long, hard war in the 

Pacific and after the war was subjected to two atomic blasts that ripped through the ship. It is a 

reminder of the industrial might and skill of the ‘greatest generation' that sent not only this ship, 

but their loved ones to war."

NOAA's interest in Independence is part of a mandated and ongoing two-year mission to locate, 

map, and study historic shipwrecks in Gulf of the Farallones National Marine Sanctuary and 

nearby waters. The carrier is one of an estimated 300 wrecks in the waters off San Francisco, and 

the deepest known shipwreck in the sanctuary.

The Echo Ranger, an 18.5-foot-long autonomous underwater vehicle (AUV), provided by The 

Boeing Company through a cooperative research and development agreement with NOAA's 

Office of Oceanic and Atmospheric Research, conducted the mission. Boeing also collaborated 

with technology company Coda Octopus to integrate its 3D-imaging sonar system, Echoscope, 

into the AUV.

"Boeing is excited for the opportunity to partner with NOAA to utilize this state of the art 

technology," said Fred Sheldon, Boeing project manager for AUVs. "The Echo Ranger is 

uniquely suited for this type of mission and performed perfectly allowing us to conduct a 

thorough survey of the USS Independence."
55

NOAA: Science on a Sphere® Animations Coming to your Desktop

NOAA released a free, downloadable flat screen version of its popular Science on a Sphere® 

(SOS), SOS ExplorerTM. This new way to display the dynamics of Earth’s weather and climate, 

plate tectonics, and more will help teachers bring these stunning science visualizations, usually 

found at museums and science centers, into the classroom, where students can learn by 

exploring.

“Bringing SOS ExplorerTM into the classroom and having it as a visual tool is a huge help 

because students can see numbers and they don’t make much sense,” said Jayme MargolinSneider, a middle school science teacher at Westview Middle School in Longmont, Colorado. 

“But when we show it to them in an animation or a simulation, the lightbulb goes on.”

SOS ExplorerTM uses off-the shelf video gaming technology. “The gaming industry is a multibillion-dollar industry. It surpassed Hollywood in terms of revenue and it’s really using cuttingedge technology,” said Eric Hackathorn, lead SOS Explorer developer at NOAA’s Earth System 

Research Laboratory (ESRL) Global Systems Division in Boulder, Colorado. “By leveraging 

that technology, we can create very effective visualizations.”

Future versions of SOS ExplorerTM will include the entire SOS® library—hundreds of 

visualizations of earthquakes, hurricanes, climate change, and much more. Users will even be 

able to add their own content and write their own tours. The current version of SOS ExplorerTM

is available free of charge to everyone.

NOAA: Arctic Shield 2015: Autonomous and Piloted Aircraft Fly Search and Rescue 

Exercise

NOAA's Unmanned Aircraft Systems (UAS) Program Office, working together with 

representatives of AeroVironment Inc., conducted a Search and Rescue Exercise, called Arctic 

Shield, in the waters north of Alaska to test the utility of integrating unmanned aircraft into a 

simulated response incident.

Working from the deck of the U.S. Coast Guard Cutter HEALY, the research team launched a 

small, unmanned aircraft, the AeroVironment Puma, to search for a simulated missing person 

stranded in the icy waters. Following the launch, the Puma used both its electro-optical and 

infrared cameras to locate the simulated victim, affectionately named Thermal Oscar, floating in 

a survival raft on the water approximately one nautical mile away from the ship. 

The Puma was able to relay the coordinates to the test control center on board the HEALY, 

which then directed a Coast Guard H-60 and ERA Helicopter to the scene. Both helicopters

deployed rescue swimmers to simulate recovery and then returned safely to shore. The exercise 

concluded with a successful net capture of the Puma UAS and a recovery of the survival raft by 

the HEALY. 

Much of this mission occurred under the auspices of a CRADA between NOAA and 

AeroVironment, Inc. The CRADA in this case allows NOAA and Aerovironment to test UAS 

capabilities in a series of real-life mission-based scenarios. Both NOAA and Aerovironment will 

analyze the results from these tests in order to improve NOAA's operational capabilities and 

AeroVironment's products.
56

NOAA: Hollings Lab and Algaeventure Systems

The NOAA Ocean Service Hollings Marine Laboratory CRADA, with Algaeventure Systems 

(dba Biosortia Pharmaceuticals), originally signed in 2012 and recently amended in 2014, has 

resulted in a wide array of successful outcomes for NOAA and for its CRADA partners. Under 

the CRADA, NOAA is working with academia, industry, and government entities that wish to 

screen toxic substances present in algal blooms for use in pharmaceuticals and other commercial 

applications, while also producing mission-based data products for water quality managers and 

homeland security applications. 

“The technology that Algaeventure Systems (AVS) brings to bloom analysis is incredible,” says 

Dr. Peter Moeller, the PI on the CRADA at NOAA’s Hollings facility. “It has changed and will 

continue to change the way we assess blooms and their secondary metabolites (i.e., toxins and 

other bioactive molecules). The cool part of this program is that many of the organisms we 

assess are non-culturable in the lab, yet produce highly toxic compounds. AVS/Biosortia is 

tapping into a huge, completely novel source of natural products.”

According to Moeller, NOAA has “submitted over 4,600 discrete biologically active extracts or 

purified fractions to our partners for testing and commercial development. We already have one 

patent (euglenophycin) based on this work, which is a compound being tested to capitalize on its 

angiogenic properties (e.g., to treat leukemia).” 

In support of NOAA’s mission, the research generates analytical detection method(s) for each 

toxin/metabolite of interest. Any water quality platform can incorporate the method/data to aid 

managers and decision makers. The research has also led to rapid toxin ID methods used in 

combating bioterrorism. These methods include mass spectrometry, liquid chromatographymass spectrometry (HPLC/MS), and nuclear magnetic resonance spectroscopy (NMR).

“We currently have both national and international requests for toxin standards, an area we are 

just beginning to look into,” says Moeller. “The CRADA allows us to freely access tons of 

microbial biomass within hours/days – biomass on a scale unattainable prior to Algaeventure 

Systems developing their harvesting technology. This has obviated the need for historically time 

consuming and expensive mass cultures. It also allows us to assess the microbial consortia in a 

given bloom rather than a single selected organism. This is very important, as all blooms are a 

mixture of microbes (algae, fungi, bacteria) that play off each other, generating secondary 

metabolites that could potentially be used as chemical warfare agents. These metabolites are 

frequently toxic to mammals, so they are of great concern to water quality managers.”

NOAA: Patent for Novel Feeder for Juvenile and Larval Fishes

In 2015, the U.S. Patent and Trademark Office awarded a patent to Thomas Scott for his 

innovative fish feeder that allows fish farmers to feed young fish on a recurrent basis while 

protecting the feed from oxidation and clumping. NOAA’s Northwest Fisheries Science Center 

in Seattle developed this feeder.

The device combines off-the-shelf solenoids and controller software with an innovative

dispensing unit that uses forced nitrogen gas to both deliver the feed and keep the environment

free from oxygen and moisture. The feeder can deliver small (ca. 20mg), precise doses of

microparticulate (ca. 100 μm diameter) feed to selected locations.
57

Gravity carries feed into a firing chamber from the hopper above. A small vibrating device aids 

in settling the feed into the chamber. The precision of the feeder allows for very small doses, as

well as adjustments for specific diet characteristics such as dry weight equivalence and particle

density. Moreover, the basic controller software allows the operator to control the system and

receive any warnings directly on their cell phone.

NOAA: Aerosol Measurement Devices 

The NOAA Technology Partnerships Office successfully negotiated two license agreements for 

two atmospheric sensors developed at the Earth System Research Laboratory, Chemical Sciences 

Division (CSD) in Boulder, CO. The first technology, a Printed Optical Spectrometer, measures 

aerosol particle sizes, which are important for determining the interactions of the particles with 

light and hence their effects on climate. 

Principal Investigator Ru-Shan Gao used CSD's three-dimensional printing capability to produce 

the structural components from the plastic raw starting material, and added new inexpensive 

lasers, optical detectors, electronics, and a miniaturized pump. Innovations of the design and 

fabrication approach led not only to the small size of the instrument, but also to its relatively low 

cost; the device is about a tenth the size – and a fifth of the price tag – of currently available 

instruments in its performance class.

The second instrument, a Portable Aerosol Generator, generates aerosol for particle instrument 

characterizations and calibrations. Using a small compressor and a medical nebulizer, the PAG 

can generate a continuous flow of air/particle mixture. The device is portable, simple, and quiet 

to operate. 

Handix, LLC, a company based in Boulder, Colorado, with strong capabilities in the Chinese 

market, licensed both devices.

NTIA: Telecommunication Standards

ITS authored six of the eleven technical contributions on various engineering issues and subject 

areas submitted by the U.S. during the 2015 ITU-R SG3 meetings. ITS engineers led the 

Correspondence Group on Building Entry Loss, which is critical to Long Term Evolution (LTE) 

deployment across the world and represents millions, if not billions, of dollars in potential 

commercial development. ITS researchers also presented four U.S. technical contributions at the 

2015 ITU-T Study Group 9 meeting. 

Intense participation by ITS staff in the Third Generation Partnership Project (3GPP) standards 

development process on behalf of FirstNet resulted in Proximity Services and Group 

Communications requirements being included in 3GPP Release 12 and Mission Critical Push to 

Talk being included in the final agenda for 3GPP Release 13. These features are critical to 

ensuring that LTE can meet public safety’s requirements and will be a prerequisite for FirstNet 

to offer mission-critical voice (MCV) on the new Band Class 14 nationwide interoperable public 

safety communications network when these capabilities become available.

NTIA: Table Mountain Research

The ITS Table Mountain Field Site and Radio Quiet Zone in Colorado supports fundamental 

research in the nature, interaction, and evaluation of telecommunication devices, systems, and 
58

services. Each year, private companies, universities, and other organizations conduct research at 

Table Mountain under CRADAs.

In FY 2015, several companies used the Table Mountain site under a CRADA to test safely and 

demonstrate Laser Detection and Ranging (LADAR) technologies under development in 

atmospheric conditions and at distances relevant to potential applications and to test fully the 

functionality of new antenna designs during product development. Additionally, the site allowed 

for safe and accurate tests of an Adaptive Tactical Laser System (ATLAS) compensated beacon 

adaptive optics (CBAO) system under development.

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

Unmanned Vehicles safely and accurately tested collective and autonomous sensing and 

communication technologies for small unmanned aircraft at Table Mountain.

Lockheed Martin Coherent Technologies is in its fifteenth year of field-testing and characterizing 

components, subsystems, and systems for eye-safe coherent laser radar. This has benefited NTIA 

and the Department of Defense.

NTIA: Video Quality Research

Industry and academia both use CDVL and the VQM tools for research into new techniques for 

transmitting video. The research tests codes, evaluates new display technologies, or validates 

new standards. For example, ITU-T Study Group 12 has used CDVL clips for research into the 

development of parametric models and tools for multimedia quality assessment and the MPEG 

committee opened a conversation with ITS about using the CDVL video clips for validation 

testing of new video coding standards. 

NTIA: Public Safety Broadband Demonstration Network

The PSCR Public Safety Broadband (PSBB) Demonstration Network, established in the ITS labs 

in FY 2010 by the Public Safety Communications Research program, facilitates accelerated 

development of testing for emerging LTE broadband equipment specific to public safety. This 

network provides a central and independent test bed/laboratory to help public safety 

organizations understand 3GPP Band 14 LTE. Through CRADAs that protect their intellectual 

property, manufacturers and carriers test the deployment of 700 MHz systems under 

development in this multi-vendor environment and execute public-safety specific test cases to 

provide proof of concepts and improve the quality of future systems. This cooperative program 

provides ITS with guidance to develop technical contributions toward LTE standards to support 

public safety and FirstNet requirements. This work advances the development of new public 

safety communications equipment that will eventually operate on the nationwide public safety 

broadband network.
59

Department of Defense (DoD)

The Defense Laboratory Office (DLO) provides overall policy guidance for and oversight of 

Department-wide technology transfer efforts. DLO ensures, to the maximum extent practicable, 

that DoD developed technologies demonstrating commercial viability are integrated into the 

private sector; that technologies developed outside of the DoD that demonstrate national security 

utility are transferred into the Defense acquisition process; and that those technologies 

demonstrating both commercial and national security applications are made available to the DoD 

as well as industry and academia.

DoD is unique in applying the principles, practices, and tools of technology transfer in the 

execution of its mission. DoD funds and develops mission-focused technology, and technology 

transfer statutory authorities enable it to promote and facilitate the commercialization of that 

technology for both military and civilian purposes. Concurrently, DoD is a technology buyer as it 

strives to purchase new technology embodied in products and systems to meet the challenges 

faced by our warfighters. In many instances, technology transfer and technology transition are 

becoming a seamless path to fielding new technology critical to responding to the new and 

dynamic threats of asymmetric warfare, the global war on terrorism, and the ever-expanding role 

of civil assistance and disaster recovery worldwide. In the 1980’s, when much of the technology 

transfer legislation was enacted, the Federal government, including DoD, was the principle 

funding source for R&D. Consequently, technology transfer was viewed as a “spin out” to the 

marketplace, a stimulus to the domestic economy, and a return on investment for taxpayer 

funded R&D. Today, the majority of U.S. R&D is industry funded. This shift in funding has led 

to a greater emphasis on technology transfer as a collaborative effort between DoD labs and their 

partners in industry, academia, and state and local government.

Each of the Military Services, Defense Agencies, and Office of the Secretary of Defense (OSD) 

maintain technology transfer websites to inform the public and make available general 

information. The websites are:

• http://www.acq.osd.mil/chieftechnologist/index.html

• http://www.arl.army.mil/main/Main/default.cfm?Action=6

• http://www.onr.navy.mil/en/Science-Technology/Directorates/Transition/TechnologyTransfer-T2.aspx
60

DoD Invention Disclosures and Patenting

Between FY 2011 and FY 2015, the number of new inventions disclosed decreased by 16% to 

781 disclosures in FY 2015. The number of patent applications filed experienced a 5% increase. 

The number of patents issued during this five-year period increased by 19% to 623 patents in FY 

2015.

FY 2011 FY 2012 FY 2013 FY 2014 FY 2015

New Inventions Disclosed 929 1,078 1,032 963 781

Patent Applications Filed 844 1,013 942 916 884

Patents Issued 523 1,048 648 670 623
61

Patents issued to DoD in FY 2015 covered many technology areas including measurement 

(12%), other special machines (11%), computer technology (9%), semiconductors (7%), 

telecommunications (6%).

27

USPTO Patents Assigned to DoD by Technology Area: FY 2015

 27 Source: Prepared by Science-Metrix using USPTO data indexed in PATSTAT Spring 2016 edition (European 

Patent Office). Used with permission.
62

DoD Licenses

Total active licenses decreased by 12% over the five-year period, from 633 licenses in FY 2011 

to 560 licenses in FY 2015. New licenses decreased by 83% to 11 licenses from a previous 63 in 

FY 2011. The number of total active invention licenses increased by 3% to 446 licenses. New 

invention licenses increased by 10% to 69 licenses in FY 2015.

 n/r = not reported.

FY 2011 FY 2012 FY 2013 FY 2014 FY 2015

Licenses, Total Active 633 520 527 430 560

New Licenses 63 44 59 24 11

Invention Licenses, Total Active 431 432 425 297 446

New Invention Licenses 63 44 59 6 69

Income Bearing Licenses, Total Active 214 356 264 223 213

Income Bearing Exclusive Licenses 51 120 n/r n/r n/r
63

DoD Income from Licensing

All income from licensing comes from invention licenses. Between FY 2011 and FY 2015, the 

number of total income from all active licenses decreased by 46% to $8.5 million in FY 2015. 

FY 2011 FY 2012 FY 2013 FY 2014 FY 2015

Total Income, All Active Licenses $15,682 $7,055 $21,575 $10,890 $8,482

Invention Licenses $15,364 $6,552 $20,859 $10,890 $8,482

Total Earned Royalty Income $7,702 $6,335 $20,438 $10,890 $8,482
64

DoD Collaborative R&D Relationships

Between FY 2011 and FY 2015, the number of total active CRADAs decreased by 16% to 2,148

agreements. The number of new CRADAs per fiscal year increased by 4% to 793 new 

agreements in FY 2015. Total active traditional CRADAs decreased by 5% during the five-year 

period, totaling 1,601 agreements in FY 2015.

FY 2011 FY 2012 FY 2013 FY 2014 FY 2015

CRADAs, Total Active 2,554 2,400 2,682 2,762 2,148

New CRADAs 762 757 769 671 793

Traditional CRADAs, Total Active 1,685 1,328 2,682 2,281 1,601

Other Collaborative R&D Relationships 988 0 606 581 1,389
65

DoD Downstream Success Stories

Air Force Research Laboratory: Roll-Out Solar Array (ROSA) 

Spacecraft are primarily powered by solar energy. Due to the enormous energy requirements, 

the solar panels that fly in space are many times larger than the satellite or payload itself. The 

wingspan of geostationary communication satellites is about 150 feet; however, the launch 

vehicle that carries the satellite to orbit has an internal diameter less than 15 feet. This causes 

challenges for launching solar arrays into space since they must be stowed in the narrow confines 

of launch vehicle fairings and then deployed on-orbit. Additionally, launching a satellite into 

space is exorbitantly expensive. Currently, the approximate cost to launch satellites is $10,000 

per pound. These two factors result in the limited total power available to spacecraft payloads. 

Since all spacecraft require power to operate, reducing the weight and stowed volume of the 

solar array greatly reduces overall system cost and increases the total power for the mission. To 

tackle these challenges, the Air Force Research Laboratory (AFRL) Space Vehicles Directorate 

in partnership with NASA, Deployable Space Systems, Inc., LoadPath, LLC., and Hall 

Composites developed the Roll-Out Solar Array (ROSA), which uses novel, passively-deployed, 

composite structural booms, and a flexible solar cell blanket. ROSA's innovative architecture 

bests the current state-of-practice rigid solar arrays in all areas of performance including 6x 

improvement in stowed power density, 3x higher specific power, and 4x higher stiffness, all 

while lowering the array cost by 25%. The outstanding improvement in performance enables 

ROSA to shatter spacecraft on-orbit power limits, which enables substantially higher 

communication bandwidth for commercial applications, and opens up new classes of DoD 

missions while offering substantial cost savings for conventional missions including an estimated 

$1.4B in savings for U.S. Air Force communication and navigation programs.

The multi-partner effort formed by the AFRL/RV Advanced Space Power and Integrated 

Structural Systems teams, NASA, Deployable Space Systems, LoadPath, and Hall Composites 

led directly to the testing, demonstration, and commercialization of ROSA; the widespread 

adoption of the technology led to broad economic impacts and transitioned to Space Systems 

Loral to replace their existing arrays for 37 GEO/LEO CommSats in production. This 

technology has the potential to change the face of an entire industry, and its huge success is 

because of the AFRL team. 

U.S. Army Natick Soldier Research, Development and Engineering Center (NSRDEC):

Integrated Body Armor Garment

In 2012, Protect the Force, Inc. (PTF), a strategic consulting firm specializing in providing 

manufacturers with relationship management, product development, acquisition and contracting 

expertise, and sales and marketing support geared towards Government sales, was awarded a 

contract to develop the next generation of enhanced torso and extremity protective equipment.

Through collaboration with various partners, including Natick Soldier RD&E Center employees, 

PTF introduced a prototype, later demonstrated in an Army human factors evaluation. Feedback 

was overwhelmingly positive with 100% of the Soldiers testing the prototypes expressing their 

desire for the integrated body armor garment (Garment) to become their issued protective 

system. Given the enthusiasm for the Garment, Mission Ready Services, Inc., the parent 
66

company of PTF, desired to seek patent protection. As a result of the collaborative development 

effort between PTF and NSRDEC employees, Robert DiLalla, an NSRDEC Team Leader in the 

Warfighter Directorate, was named an inventor on the patent applications claiming the Garment. 

The Garment is based around the concept of biomimetics, the imitation of the models, systems, 

and elements of nature for the purpose of solving complex human problems. Key features of the 

Garment are described below:

• Significant weight reduction due to the innovative design resembling the anatomy of the 

wearer.

• Conformal protection to the neck, upper back, upper torso, and deltoid regions.

• All protective technology is integrated into a single athletic blouse, reducing the “Christmas 

Tree Effect” as seen in many current systems, including the Army-issue body armor vests, 

where snaps, hooks, and loops are utilized to attached protective components.

• Balanced weight distribution with an integrated elastic network that aids in correct posture 

and facilitates the donning and doffing of body armor vests with plate carriers.

• Enhanced effectiveness and reduced risk of fatal injury due to fewer individual components 

and seams that can limit mobility due to snagging or dragging.

• The Garment is fabricated with stretchable, highly durable materials with flame and thermal 

protective properties, as well as comfort features, including moisture vapor transmission.

Though it was initially developed with the Soldier in mind, the Garment has garnered 

enthusiastic recognition within other areas of the military and law enforcement agencies. In the 

United States and European countries, there is an increasing trend to provide body armor to first 

responders, such as emergency medical services personnel and firefighters. This trend has been 

stimulated by the need to upgrade the capabilities of personnel who must respond to casualties 

during a terrorist attack, mass shooting event, or other situations where the responder may 

encounter gunfire. As a result, as of 2013, the personal protection market had an estimated value 

of USD$2.4 billion, and is expected to grow to USD$3.7 billion by 2023.

Navy: Modular Advanced Technologies – Marksmanship Proficiency (MAT-MP)

The Modular Advanced Technologies – Marksmanship Proficiency (MAT-MP) toolkit is a 

reconfigurable small arms instrumentation kit of patent-pending assessment and diagnostic tools 

for use on the live-fire range by marksmanship instructors and coaches. The MAT-MP toolkit 

provides instructors with additional direct measures of marksmanship performance to assist in 

assessment and diagnosis of problem shooter performance. Under sponsorship by the ONR, the 

Mk1 version of the MAT-MP was successfully developed and demonstrated as an advanced 

prototype in FY 2014. In FY 2015, the DoD’s Domestic Preparedness Initiative sponsored the 

production of the Mk3 version of the MAT-MP for transition to the Federal Law Enforcement 

Training Center (FLETC). In early FY 2016, FLETC instructors will be testing the MAT-MP for 

use in its rifle training courses.
67

Department of Energy (DOE)

The Department of Energy (DOE) plays a key role in moving innovative technologies developed 

in research labs across the country into the commercial marketplace, fueling the innovation 

engine that powers the U.S. economy. Bridging the gap between research and development 

(R&D) and commercial deployment is crucial to the Department’s mission, because it creates 

globally competitive industries in the United States, enables significant cost-savings for 

industries and consumers, and creates good jobs for Americans.

The DOE's National Laboratories tackle the critical scientific challenges of our time – from

combating climate change to discovering the origins of our universe -- and possess unique 

instruments and facilities, many of which are found nowhere else in the world. They address 

large scale, complex R&D challenges with a multidisciplinary approach that places an emphasis 

on translating basic science into innovation. Specifically, the National Laboratories:

• Conduct research of the highest caliber in physical, chemical, biological, and 

computational and information sciences that advances our understanding of the world 

around us;

• Advance U.S. energy independence and leadership in energy technologies to ensure the 

ready availability of clean, reliable, and affordable energy;

• Enhance global, national, and homeland security by ensuring the safety and reliability of 

the U.S. nuclear deterrent, helping to prevent the proliferation of weapons of mass 

destruction, and securing the nation’s borders; and

• Design, build, and operate distinctive scientific instrumentation and facilities, and make 

these resources available to the research community.

DOE oversees the construction and operation of some of the Nation’s most advanced R&D 

facilities, located at National Laboratories and universities. These state-of-the-art facilities are 

shared with the science community worldwide and offer some technologies and instrumentation 

that are available nowhere else. In fiscal year 2015, these facilities were used by over 32,000 

researchers from universities, national laboratories, private industry, and other federal science 

agencies.28

Science and engineering are not linear, nor are they uniform, but the DOE’s system of National 

Labs, user facilities, research centers and shared research facilities, makes the pursuit of 

discovery – and the many solutions that result – both a collaborative enterprise and a shared 

national resource. Collaboration with industry and academia is essential to develop, demonstrate, 

deploy and commercialize the output from DOE’s broad R&D investments. 

In February of 2015, DOE’s Office of Technology Transitions (OTT) was established to expand 

the commercial impact of DOE’s portfolio of research, development, demonstration and 

deployment (RDD&D) activities over the short, medium, and long term. The new Office works 

closely with the National Laboratories and engages with the public and private sectors to 

promote scientific and technological innovation to advance the economic, energy, and national 

 28 Department of Energy, Office of Science. User Facilities. http://science.energy.gov/user-facilities/
68

security interests of United States. In doing so, OTT coordinates and encourages more effective 

technology transitions across the RDD&D spectrum from its National Laboratories. 

More information about DOE’s technology transfer activities are available on the following 

website: https://energy.gov/technologytransitions/office-technology-transitions.
69

DOE Invention Disclosures and Patenting

Between FY 2011 and FY 2015, the number of new inventions disclosed decreased by 10% to 

1,645 disclosures in FY 2015. The number of patent applications filed experienced a 9% 

increase. The number of patents issued during this five-year period increased by 64% to 755 

patents in FY 2015.

FY 2011 FY 2012 FY 2013 FY 2014 FY 2015

New Inventions Disclosed 1,820 1,661 1,796 1,588 1,645

Patent Applications Filed 868 780 944 1,144 949

Patents Issued 460 483 554 693 755
70

Patents issued to DOE in FY 2015 covered many technology areas including electrical 

machinery, apparatus, energy (14%), measurement (12%), environmental technology (7%), 

surface Technology, coating (7%), semiconductors (6%), and in materials, metallurgy (5%).29

USPTO Patents Assigned to DOE by Technology Area: FY 2015

 29 Source: Prepared by Science-Metrix using USPTO data indexed in PATSTAT Spring 2016 edition (European 

Patent Office). Used with permission.
71

DOE Licenses

Between FY 2011 and FY 2015, the number of total active licenses increased by 19% to 6,310

licenses in FY 2015. New licenses decreased by 21% to 648 licenses from a previous 822 in FY 

2011. The number of total active invention licenses decreased by 7% to 1,336 licenses.

FY 2011 FY 2012 FY 2013 FY 2014 FY 2015

Licenses, Total Active 5,310 5,328 5,217 5,861 6,310

New Licenses 822 757 567 573 648

Invention Licenses, Total Active 1,432 1,428 1,353 1,560 1,336

New Invention Licenses 169 192 153 171 155

Income Bearing Licenses, Total Active 3,510 3,340 3,709 4,215 4,577

Income Bearing Exclusive Licenses 315 344 199 141 98
72

DOE Income from Licensing

Between FY 2011 and FY 2015, total income from all active licenses decreased by 26% to $33.1

million in FY 2015. The income from invention licenses decreased by 29% to $29 million. Total 

earned royalty income decreased 22% from $27.1 million in FY 2011 to $21.2 million in FY 

2015.

FY 2011 FY 2012 FY 2013 FY 2014 FY 2015

Total Income, All Active Licenses $44,728 $40,849 $39,573 $37,885 $33,137

Invention Licenses $40,600 $36,103 $36,068 $32,869 $28,966

Total Earned Royalty Income $27,107 $28,735 $27,669 $23,321 $21,245
73

DOE Collaborative R&D Relationships

Between FY 2011 and FY 2015, the number of total active CRADAs increased by 2% to 734 

agreements. The number of new CRADAs per fiscal year increased by 3% to 184 new 

agreements in FY 2015. 

DOE Downstream Success Stories

Argonne National Laboratory: Next Generation of Energy Storage Materials

Argonne National Laboratory has teamed up with Strem Chemicals, Inc. (Newburyport, Mass.) 

to provide industry and the battery research community with next-generation materials that could 

revolutionize energy storage.

Strem, a manufacturer and distributor of specialty chemicals founded in 1964, licensed 23 

separate pieces of intellectual property from Argonne in 2015 and will distribute nine battery 

solvents and Redox Shuttles via its extensive marketing and global distribution networks. 

FY 2011 FY 2012 FY 2013 FY 2014 FY 2015

CRADAs, Total Active 720 742 742 745 734

New CRADAs 178 184 142 180 184

Traditional CRADAs, Total Active 720 742 742 745 734

Other Collaborative R&D Relationships 0 0 0 0 0
74

The materials were all invented at Argonne’s Electrochemical Energy Storage Center and scaled 

up at the laboratory’s Materials Engineering Research Facility (MERF) – all with funding from 

the U.S. Department of Energy’s Office of Energy Efficiency and Renewable Energy (EERE). 

Since its founding, MERF has scaled up and distributed more than 27 kilograms of materials in 

the form of 125 different samples.

MERF was established because the U.S. Department of Energy recognized the need for a facility 

that could help expedite the transfer of advanced battery materials from the bench to industry. 

Though current projects in the facility are focused on the development of advanced batteries for 

vehicle and grid storage applications, the MERF can support scale-up projects for any type of 

material. The agreement with Strem both funds and exemplifies successful technology transfer 

across the research spectrum: from invention at the bench to scale-up to use by industry.

Idaho National Laboratory: Nuclear Fuel Performance Evaluation Software

Abnormalities during nuclear reactor operation can 

change the way fuel performs, and conversely, fuel 

impacts the way reactors function. Researchers are 

interested in the many variables that affect both. 

BISON is a computer code used for analysis of 

normal operation and potential anomalies when fuel 

is irradiated. Idaho National Laboratory (INL), in 

Idaho Falls, ID, began development of BISON in 

2009 and was given permission by the Department of 

Energy to assert copyright in February 2015. The 

complex software improves upon existing simple 

models by operating in three spatial dimensions and processing several parameters at once, for 

example, temperature changes, fuel deformation, and fuel cladding stresses. BISON has been 

developed using laboratory research and development funds and with the support of multiple 

DOE Nuclear Energy programs.

Although there are other fuel models available, they cannot be directly applied to many new fuel 

concepts and operating conditions. With BISON’s capabilities, researchers can investigate fuel 

behavior in fine detail and model behavior over fractions of a second or over the course of years. 

This allows engineers to investigate fuel properties before experimenting on prototypes, saving 

time and resources.

After only six years from commencement, INL has executed 35 nonexclusive BISON software 

license agreements to domestic and foreign entities. A representative sample includes Bechtel 

Marine Propulsion Corporation, Canadian Nuclear Laboratories, Hungarian Academy of 

Sciences, Royal Military College of Canada, Electric Power Research Institute, Kansas State 

University, Massachusetts Institute of Technology, The Ohio State University, Oregon State 

University, Texas Engineering Experiment Station of the Texas A&M University System, 

Pennsylvania State University, University of South Carolina, University of Tennessee, 

University of Wisconsin – Madison, University of Wyoming, and Virginia Commonwealth 

University.

Plots showing BISON’s calculated temperature and 

stress resulting from a defective fuel pellet.
75

Los Alamos National Laboratory: PathScan

On August 25, 2015, Ernst & Young LLP (EY) and Los Alamos National Laboratory announced 

they had formed a strategic alliance to deliver some of the most advanced behavioral 

cybersecurity tools available to the commercial market. The alliance comes at a watershed 

moment when increasingly sophisticated cyberattacks are inflicting significant economic, social,

and even political damage to U.S. organizations. 

The tools developed by Los Alamos and delivered to the private sector exclusively by EY can 

help counter these threats by detecting them before they do deep and lasting damage. The first 

product to be introduced through the alliance was PathScan®, a network anomaly-detection tool 

that searches for deviations from normal patterns of communication that might be indicative of 

an intrusion. Until now, PathScan has been exclusively used in the government sector, but it is 

now being made available to private companies. The project was initially funded through 

Laboratory Directed Research and Development funding, then later supported by the National 

Nuclear Security Administration. The Department of Homeland Security’s Transition to Practice 

program within the department’s Science and Technology Directorate helped bring the 

technology to market.

By its introduction to the marketplace, PathScan immediately becomes one of the most advanced 

cybersecurity tools available based on its behavioral analysis approach to detecting threats. The 

tool is designed to detect threat actors once they have breached an organization’s perimeter, 

before they can inflict serious damage. 

Traditional network defense tools continually prove to be insufficient for protecting enterprises 

from expensive data breaches. The prevailing signature-based systems are easily avoided by 

attackers. But mitigating cybersecurity threats is no longer about deterring and detecting 

something that “looks” like a threat. It is now about being able to identify and anticipate 

something that “acts” like a threat. PathScan represents this new way of tackling this problem by 

looking at behavioral anomalies that indicate an attack and allowing enterprises to be proactive 

in their defense. 

The EY alliance demonstrates how national labs can leverage private investment in technology 

for mutual benefit. The Laboratory develops the technology; industry deploys it; and then the 

Laboratory does the next generation of analytics. The collaboration allows the Laboratory to see 

how industry is addressing its cyber issues and then put that technology to work for the 

government. Already being deployed by major Fortune® 500 companies, PathScan is the first 

network-security tool that enables network managers to have and sustain an advantage over 

attackers.

Lawrence Berkeley National Laboratory: The Missing Link in Heart Disease Prevention 

Cardiovascular disease and stroke are the number one causes of death worldwide, according to 

the World Health Organization, and one in four deaths in the United States is attributed to heart 

disease. Early assessment and monitoring of blood vessel health to inform preventative care and 

lifestyle modification is an important step towards reducing risk. Research developed at 

Lawrence Berkeley National Laboratory (LBNL) will give patients a more complete view of the 

state of their blood vessels, potentially saving lives. 
76

LBNL developed a device to evaluate arterial lining health to assess plaque buildup and 

atherosclerosis quickly and easily, outside a clinical setting. Routine blood pressure and 

cholesterol testing do not evaluate arterial lining health. Yet plaque deposits break away from 

inner artery walls, ultimately blocking blood flow downstream. Prior to this technology, plaque 

buildup and atherosclerosis –

hardening of the arteries – could only 

be measured with expensive, time 

consuming, in-clinic ultrasound 

testing. 

Using a LBNL Innovation Grant, 

researchers developed advanced 

prototype devices for clinical testing to 

prove the device’s superior sensitivity 

compared to ultrasound results. Over 

130 studies have been performed at 

University of California San Francisco 

(UCSF) Cardiology, UCSF Pediatric Cardiology, and Kaiser Permanente, and over 30,000 

subjects are enrolled in the Health eHeart study for further endothelial function evaluation.

Startup Lexington Biosciences licensed the technology in 2015 with funding from Oxygen 

Capital Corporation. Lexington Biosciences will further refine the device, named the Enegevity 

Cuff, and complete clinical testing before initiating the Food and Drug Administration (FDA) 

approval process in the coming year.

National Energy Technology Laboratory: Safer, Cleaner Coatings to Protect Metals from 

Corrosion

Corrosion-related issues cost the U.S. 

economy $276 billion a year. The Energy 

Department’s National Energy 

Technology Laboratory (NETL) teamed 

up with Carnegie Mellon University 

(CMU), both located in Pittsburgh, PA, to 

create a revolutionary and cost-effective 

technology to reduce that impact. The 

work resulted in the creation of a new 

CMU/NETL spin-off called LumiShield, 

which signed a licensing agreement with 

the laboratory in June 2015.

The new process, which electrodeposits 

aluminum using standard equipment 

available in most electroplating shops, is 

set to make its mark on the industry by replacing coatings based on heavy metals, such as 

cadmium and chromium, which are expensive and toxic. Electroplating is the process of 

depositing a metal coating onto an object by putting a negative charge on it and immersing it in a 

The “Ionic Liquid Solvent for Aluminum Electroplating Process” 

electrodeposits aluminum, replacing coatings based on heavy metals 

that are expensive, heavily regulated, and environmentally harmful. 

LBNL’s technology measures endothelial function to assess plaque 

buildup and atherosclerosis, outside a clinical setting, for a more complete 

assessment of heart disease risk.
77

solution. The technology holds great potential for reducing the costs of protecting products from 

corrosion while eliminating some difficult environmental hazards. 

The new electroplating technology licensed from NETL by LumiShield uses a plating solution 

containing ionic liquids (salts in liquid state) in open vessels without creating toxic vapors. The 

result is a more cost-efficient, environmentally responsible process. In addition, the process can 

be altered to produce a variety of properties and finishes to meet specifications for a range of 

applications.

LumiShield, which has created three jobs to date, was created based on the new technology and 

specializes in corrosion-resistant metal products that are less expensive and less environmentally 

harmful than existing approaches. Corrosion-resistant coatings like the LumiShield electroplating 

technology are in demand as a way of reducing costs. The new technology could have a 

significant positive impact in the fight against corrosion on a wide range of products, resulting in 

decreased costs and reduced impacts to the environment.

National Renewable Energy Laboratory: Battery Life Prediction Model 

Companies that rely on batteries for 

enhanced energy efficiency – including 

electric vehicle (EV) manufacturers, solar 

and wind energy generation companies, and 

utilities – need to know how to use batteries 

most effectively. As investment in largescale battery energy storage grows, it is also 

vital to know how long batteries will last in 

the field.

In spring 2015, the National Renewable 

Energy Laboratory (NREL) licensed its 

Battery Life Predictive Model to two 

leading utility providers in the United 

States: Southern California Edison (SCE), one of the nation's largest investor-owned utilities 

serving 14 million customers, and Next Era Energy, a leading clean energy company with 

revenues totaling around $17 billion. The utilities will use the NREL model to select long-lasting 

energy storage systems most capable of reliably balancing grid electricity demands.

The model's origins began in 2010, when the U.S. Department of Energy (DOE) Vehicle 

Technology Office supported NREL researchers to analyze tradeoffs in EV battery systems 

design. Kandler Smith, a senior engineer in NREL's Transportation and Hydrogen Systems 

Center, said the research focused on issues such as examining the costs and benefits of using 

active thermal management systems that provide longer life versus less expensive passive 

cooling systems.

The model has been licensed to a variety of automotive manufactures, EV service providers, and 

university and laboratory research groups, and there are various ways it is being applied. NREL 

researchers can take client's usage data and run them in the predictive model; companies can 

An example of a stationary, grid-connected battery is the NREL 

project from Erigo/EaglePicher Technologies, LLC Technologies. 
78

license the software code and do their own analyses; or NREL can conduct the battery aging tests 

in its labs, analyze the results and develop specific models for the client. The Battery Life 

Predictive Model is also an integral part of the Battery Lifetime Analysis and Simulation Tool 

(BLAST) and Computer-Aided Engineering for Electric-Drive Vehicle Batteries (CAEBAT) 

activities at NREL.

Pacific Northwest National Laboratory: Software Helps Thwart Cyber Attacks 

Hackers beware. Consumers’ credit card information and large retail companies’ databases will 

be better protected from security breaches thanks to analytical software developed at Pacific 

Northwest National Laboratory (PNNL) and commercialized by Champion Technology 

Company Inc., based in Richland, Washington. Columnar Hierarchical Auto-associative 

Memory Processing in Ontological Networks (CHAMPION) has the knowledge to sort through 

data like an analyst, but on a much greater scale.

The software addresses a growing problem facing industry and government: how to analyze big 

data efficiently and effectively to detect cyber threats. Compared with existing solutions that rely 

on statistical analysis, CHAMPION combines analyst-specific subject matter expertise and 

conceptual modeling to identify potential threats in near real-time. CHAMPION first uses human 

analysts and contextual data to learn about the company it's protecting. Then it reasons whether 

activity on the company’s network is suspicious. When threats are identified, the software alerts 

an analyst of the potential breach—in time to potentially thwart an attack.

PNNL funded initial development of the software as part of a multi-year internal investment—

known as Laboratory Directed Research and Development funding—aimed at developing 

innovations for large-scale digital computer and control infrastructure. CHAMPION then was 

brought to industry through a unique collaboration between PNNL and EarlyX Foundation, a 

nonprofit intellectual property monetization organization. In addition, a startup company 

(Champion Technology Company, Inc.) was created to spin out the technology from PNNL. The 

company now has 11 employees including one of the original PNNL developers who now serves 

as the company’s Chief Technology Officer. 

Pacific Northwest National Laboratory: Salty Mist Kills Pathogens 

Watertech Equipment and Sales LLC of Mount Pleasant, South Carolina, is nearing its first sale 

of an easy-to-use, inexpensive, and highly effective disinfection technology based on nearly a

decade of research and development at PNNL in Richland, Washington. Watertech’s NebuPure 

product is based on the micro aerosol disinfection system, which turns a salt solution into a fine 

mist that kills 99.9999 percent of health-harming microorganisms, including those that cause 

ailments such as the common flu and Ebola hemorrhagic fever.

The system is significantly less expensive, easier to use, and more environmentally friendly than 

existing disinfection technologies. It has successfully disinfected a variety of locations, including 

large research facilities, a medical center, gyms, and a chicken farm. It could also be used to 

decontaminate sites exposed to biological threat agents such as the bacteria that causes anthrax.

PNNL initially developed a prototype of the technology through a now-concluded DOE program 

that supported former weapons scientists in non-weapons research and development across the 
79

former Soviet Union. The technology was further developed with internal PNNL funding and 

support from the Defense Threat Reduction Agency. It was licensed to Watertech in 2015. The 

company is developing efficient manufacturing methods for its NebuPure product and expects to 

sell it for about half as much as competing vapor- and gas-based disinfection technologies. 

Sandia National Laboratory: LiDAR Technologies for Automobile Applications 

The current revolution in the automotive world is all about driver assistance. Today’s vehicles 

require numerous sensors and TriLumina Corporation’s semiconductor lasers help make exciting 

new car features possible. TriLumina’s laser arrays are critical components of Light Detection 

and Ranging (LiDAR) for Advanced Driver Assistance Systems, bringing the company recent 

recognition and funding.

TriLumina took part in the New Mexico Small Business Assistance (NMSBA) Program to help 

optimize an existing laser array submount assembly. NMSBA gave the company access to the 

expertise and facilities it required, but that were only available at Sandia National Laboratories. 

The project led to the invention of a new way to connect the small lasers to the submounts by the 

two Sandia inventors, with the technology assigned to TriLumina.

Since the completion of the NMSBA project, the company won an award from the Los Angeles 

Auto Show’s Connected Car Expo as one of its Top Ten Automotive Startups. It was also listed 

in EE Times Silicon 60: 2015’s Startups to Watch. Plus, TriLumina closed on $8.5 million in 

Series A funding from investors Stage 1 Ventures, Sun Mountain Technology Fund, and 

Cottonwood Capital; it also received an investment from Caterpillar Ventures.
80

Department of Health and Human Services (HHS)

Research at HHS is conducted by the Centers for Disease Control and Prevention (CDC), the 

Food and Drug Administration (FDA), and the National Institutes of Health (NIH). 

The NIH has as its mission to conduct and support biomedical research to improve the public 

health. The NIH Office of Technology Transfer (OTT) is responsible for identifying, evaluating, 

protecting, and marketing technologies derived in NIH intramural laboratories. OTT transfers 

these technologies through licenses to the private sector, where they can be further developed 

into products used in the prevention, diagnosis, or treatment of disease.

Effectively measuring the public health outcomes that result from such technologies is 

challenging and complex. Traditionally, efforts to measure the effect of technology transfer 

activities focus on outputs such as the number of patents and licenses or the amount of royalties 

generated; however, this approach does not depict the full scope of activities and may distort the 

importance of ensuring that novel biomedical inventions are commercialized.

NIH’s annual technology transfer report is available online at:

https://www.ott.nih.gov/sites/default/files/documents/pdfs/AR2015.pdf.

More information about HHS technology transfer activities is available on the following 

websites:

• CDC: http://www.cdc.gov/od/science/technology/

• NIH: http://www.ott.nih.gov/

• FDA: http://www.fda.gov/techtransfer
81

HHS Invention Disclosures and Patenting

Between FY 2011 and FY 2015, the number of new inventions disclosed decreased by 9% to 321

disclosures in FY 2015. The number of patent applications filed experienced a 18% decrease.

The number of patents issued during this five-year period increased by 86% to 501 patents in FY 

2015.

FY 2011 FY 2012 FY 2013 FY 2014 FY 2015

New Inventions Disclosed 351 352 320 351 321

Patent Applications Filed 272 233 230 216 222

Patents Issued 270 453 428 335 501
82

Patents issued to HHS in FY 2015 covered many technology areas including pharmaceuticals 

(39%), biotechnology (30%), organic fine chemistry (9%), analysis of biological materials (8%), 

medical technology (4%), and measurement (3%).

30

USPTO Patents Assigned to HHS by Technology Area: FY 2015

 30 Source: Prepared by Science-Metrix using USPTO data indexed in PATSTAT Spring 2016 edition (European 

Patent Office). Used with permission.
83

HHS Licenses

Between FY 2011 and FY 2015, the number of total active licenses increased by 10% to 1,767

licenses in FY 2015. For FY 2015, new licenses increased by 6% to 279 licenses from a previous 

264 in FY 2011. The number of total active invention licenses increased by 227% to 1,354

licenses.

FY 2011 FY 2012 FY 2013 FY 2014 FY 2015

Licenses, Total Active 1,613 1,465 1,426 1,555 1,767

New Licenses 264 231 184 212 279

Invention Licenses, Total Active 414 1,090 1,069 1,186 1,354

New Invention Licenses 106 192 152 117 232

Income Bearing Licenses, Total Active 849 809 809 845 843

Income Bearing Exclusive Licenses 27 24 125 34 119
84

HHS Income from Licensing

Between FY 2011 and FY 2015, the number of total income from all active licenses increased by 

54% to $152 million in FY 2015. The income from invention licenses increased by 78% to $148

million. Total earned royalty income increased 18% from $97 million in FY 2011 to $114 

million in FY 2015. $98,453 

$110,576 

$116,448

$137,249

$151,727

$82,842 

$108,308 

$103,664

$133,814

$147,512

$96,605 

$110,930 

$116,601

$116,765

$114,102

$0

$20,000

$40,000

$60,000

$80,000

$100,000

$120,000

$140,000

$160,000

$180,000

FY 2011 FY 2012 FY 2013 FY 2014 FY 2015

HHS Income from Licensing ($000s)

Total Income, All Active Licenses Invention Licenses Total Earned Royalty Income

FY 2011 FY 2012 FY 2013 FY 2014 FY 2015

Total Income, All Active $98,453 $110,576 $116,448 $137,249 $151,727

Invention Licenses $82,842 $108,308 $103,664 $133,814 $147,512

Total Earned Royalty Income $96,605 $110,930 $116,601 $116,765 $114,102
85

HHS Collaborative R&D Relationships

Between FY 2011 and FY 2015, the number of total active CRADAs decreased by 7% to 400

agreements. The number of new CRADAs per fiscal year increased by 38% to 112 new 

agreements in FY 2015. Total active traditional CRADAs decreased by 29% during the five-year 

period, totaling 202 agreements in FY 2015.

FY 2011 FY 2012 FY 2013 FY 2014 FY 2015

CRADAs, Total Active 430 377 427 532 400

New CRADAs 81 93 104 98 112

Traditional CRADAs, Total Active 284 245 313 378 202

Other Collaborative R&D Relationships 0 0 114 154 150
86

HHS Efforts to Streamline Technology Transfer Operations

In FY 2014, the NIH Technology Transfer Steering Committee recommended that authority and 

responsibility for the implementation and execution of patenting and licensing should shift from 

the centralized NIH Office of Technology Transfer (OTT) to the NIH Institutes and Centers 

(ICs). The Technology Transfer Steering Committee concluded that the reorganization would 

provide an opportunity to more closely align technology transfer expertise and decisions with the 

Institutes, Labs, and Programs generating research materials and new scientific discoveries. This 

recommendation was accepted by the NIH Steering Committee and went into effect in October 

2015. Throughout FY 2015, a great deal of work took place behind the scenes to prepare for and 

enable the reorganization of patenting and licensing at the NIH. For example, the NIH 

Technology Transfer Working Group was established and has been actively guiding the 

transition from a centralized to decentralized Technology Transfer (TT) program at NIH.

The reorganization of TT functions at the NIH called for the community to assess and redesign 

the processes in-place. The OTT started the process of switching from playing a central role in 

licensing and patenting to a more advisory one. In addition, the office opened the central 

database (called NIH TechTracS) to the ICs and made sure that the various staff at the ICs could 

effectively use this important tool. Extensive training was provided to the technology transfer 

community in preparation for the reorganization. During FY 2015, the OTT also began 

preparations to transition to a service and support role to the ICs. Continued OTT administration 

of royalties, monitoring and enforcement, marketing, patent docketing, and technology transfer 

information systems function to foster more efficient and effective commercialization of NIH, 

FDA, and CDC inventions.

In addition, the National Cancer Institute’s (NCI) commitment to speed-up the CRADA process 

resulted in streamlining changes that went into effect in the fall of 2015. NIH has eliminated 

some internal clearance steps resulting in time savings for these agreements.

HHS Downstream Success Stories

Treating Niemann-Pick Disease

Lysosomal storage diseases comprise about 

50 rare inherited disorders that usually 

affect children, and are often fatal. Fatty 

materials accumulate in the cells and 

tissues of the body, which can damage the 

brain, peripheral nervous system, liver, and 

other organs and tissues. A three-way 

collaboration between National Center for 

Advancing Translational Sciences 

(NCATS), NICHD, and a newly launched 

biotechnology company, Vtesse, Inc., aims 

to develop treatments for Niemann-Pick 

Type C1 (NPC) and other lysosomal 

storage disorders. Under the CRADA, 

In the image above, fibroblasts homozygous for mutations in 

NPC1 demonstrate an increased accumulation of red 

Lysotracker staining indicative of the storage disease. On the 

right, addition of cyclodextran rescues this lysosomal storage 

defect. (Image courtesy NIH Image Library)
87

Vtesse is supporting the ongoing phase I clinical trial for NPC at the NIH CC, led by NICHD 

researchers who have been evaluating the safety of the drug cyclodextrin. NIH’s orphan drug 

designations in the United States and Europe for the use of cyclodextrin for NPC1 have been 

transferred to Vtesse under the agreement. Vtesse is currently in the process of enrolling a total 

of 51 patients at approximately 20 sites throughout the United States, Europe and other locations.

In addition to its Orphan Drug status in both the United States and European Union, cyclodextrin 

has received a Breakthrough Therapy designation status from the US FDA. In other studies, the 

NCATS team will optimize delta-tocopherol compounds for further testing as potential single 

treatments or as combination therapies with cyclodextrin. Vtesse has exclusively licensed several 

NCATS patent applications specifically for their use as new therapies for the treatment of 

lysosomal storage disorders, and will fund pre-clinical studies at NCATS to further optimize and 

develop these treatment options. NICHD will operate a site and participate in data analysis from 

all U.S. and foreign sites. This trial may advance this compound type as the first FDA approved 

treatment for NPC. The basic research component is being conducted at NCATS and is directed 

to follow on indications.

FDA Approval of Immunotherapy to Treat Rare Childhood Cancer

In March 2015, the FDA approved dinutuximab (Unituxin) as 

part of treatment for children with high-risk neuroblastoma. 

The approval was based on the results of two major 

Children’s Oncology Group (COG) research trials and 

culminates a remarkable collaborative research effort that 

spanned more than two decades of research. The search for a

National Cancer Institute (NCI) CRADA partner for the 

commercial marketing of Unituxin began in April 2009. The 

search and selection effort was orchestrated by NCI TTC. In 

July 2010, NCI and United Therapeutics Corporation (UTC) 

entered into a CRADA to conduct Phase 3 clinical studies 

(COG and UTC sponsored), and to transfer Unituxin manufacturing technology from NCI’s 

Biopharmaceutical Development Program to UTC. Additional studies of Unituxin, a chimeric 

monoclonal antibody composed of a combination of mouse and human DNA will continue under 

the NCI/UTC CRADA. 

Furthering Development of Brachyury Vaccines

Presence of the brachyury gene has been identified as a diagnostic marker of certain malignant 

tumors. A Clinical Trial (CT) CRADA executed between NCI and Etubics Corporation in May 

2015 allows NCI’s Laboratory of Tumor Immunology and Biology (LTIB) to collaborate with 

Etubics in preclinical and clinical studies to develop Etubics’ proprietary adenovirus platform for 

the treatment or prevention of human cancers. 

This particular CT CRADA with Etubics is one of many agreements involving the development 

of brachyury vaccines, and it is representative of a larger technology transfer effort. Beginning in 

2007, NCI developed investigational cancer vaccines that induce a specific, targeted immune 

response against cancer cells expressing the brachyury protein. Currently, NCI is collaborating 

with three commercial partners, including Etubics, to develop brachyury vaccines. These 

collaborations led to the rapid translation of these investigational therapeutic vaccines into the 

Unituxin Injection

(Image courtesy NCI)
88

clinic, and these vaccines have the potential to revolutionize how researchers and physicians treat 

a wide range of cancers. In addition to the CT CRADA with Etubics Corp., NCI has executed 

CRADAs with Celgene Corporation and Bavarian Nordic, the other two commercial partners 

collaborating with NCI to develop brachyury vaccines with unique, proprietary, vector 

technology platforms.

Fighting Ebola

In FY 2015, the NIAID Technology Transfer and 

Intellectual Property Office (TTIPO) continued to 

actively support NIAID in its fight against Ebola. 

Seventy-seven Ebola-related agreements were 

executed in FY 2015. These agreements included 

1 CRADA, 17 Clinical Trial Agreements (CTAs), 

5 Research Collaboration Agreements (RCAs), 7 

Memorandum of Understanding Agreements 

(MOUs), 24 Material Transfer Agreements 

(MTAs) and 23 Confidentiality Disclosure 

Agreements (CDAs), providing wide ranged 

support for NIAID’s research activities on Ebola. 

For example, 7 CTAs, 1 MOU, and 1 CDA were 

signed in FY 2015 to support NIAID’s research 

and collaboration on Chimpanzee Adenovirus 

vector (cAd3) Ebola vaccines. The cAd3 Ebola vaccines were co-invented by Dr. Gary Nable, 

Dr. Nancy Sullivan and their staff in Vaccine Research Center (VRC), NIAID, as well as 

inventors from U.S. Army Medical Research Institute of Infectious Diseases (USAMRIID) and 

GlaxoSmithKline. These agreements were instrumental for the initiation of phase 1 and phase 1b 

clinical trials in Mali, United Kingdom and Uganda.

Due to the Ebola outbreak in West Africa, the NIH Director requested that NCATS help 

coordinate a drug screening project called the Ebola Global Call for Action in collaboration with 

organizations such as the European Federation of Pharmaceutical Industries and Associations,

Biotechnology Industry Organization (BIO), and Pharmaceutical Research and Manufacturer’s 

Association (PhRMA). The purpose of the project is to determine if there are any industryowned drugs (either under development or already on the market) that could be used to treat 

Ebola. NCATS served as the lead and coordinated the implementation of CDAs between 10 

pharma and biotech companies, NCATS, NIAID, and the U.S. Army Medical Research Institute 

of Infectious Diseases (USAMRIID). NCATS, NIAID, and USAMRIID Technology Transfer 

Office colleagues helped develop a common template that was used for early discussions 

between them and the joining pharma and biotech partners. After the CDAs were executed, 

subject matter experts from the NCATS, NIAID, and/or USAMRIID initiated conversations with 

the pharma and industry partners to determine next steps. All the CDAs were negotiated and 

executed in a record 7-week period even as they required coordination with three other 

organizations. 

Ebola virus particle

(Image courtesy NIH Image library)
89

Vaccine against Dengue virus

Dengue is a mosquito-borne flavivirus present worldwide in tropical and semitropical regions. It 

is estimated that 500 million infections occur annually, resulting in more than 2 million cases of 

severe dengue and 21,000 deaths. An effective vaccine is a public health priority. TTIPO has 

negotiated and executed a CRADA between NIAID and Merck Sharp & Dohme Corp. to 

collaborate to evaluate the safety and efficacy of prime-boost strategies for dengue vaccines, 

employing NIAID's tetravalent live attenuated Dengue virus TV- 003 and/or TV-005 vaccine 

formulation, and Merck Sharp & Dohme Corp.'s tetravalent subunit Vl80 vaccine formulation.

Detecting Filaria

Lymphatic filariasis (LF), commonly known as 

elephantiasis, is a devastating infectious disease. 

Filariasis is an infection caused by Wuchereria 

bancrofti (Wb123), a parasitic worm transmitted 

by mosquito bites. Current antibody tests used for 

monitoring in LF elimination programs suffer 

from poor specificity because of considerable 

geographical overlap with other filarial infections. 

Dr. Thomas Nutman and his staff in NIAID have 

found Wb123, an antigen specifically reacting 

with Wb with no cross reactivity against other 

closely related filariae. In addition, Wb123 is 

expressed primarily by the infective stage larvae of Wb so that it may detect the presence of 

filariae in the prepatent period, that is, after infection, but before microfilariae are present in the 

blood and before clinical symptoms appear. InBios International, Inc. licensed this patented 

technology in FY 2014. Its Research Use Only (RUO) product, Filaria DetectTM system, is being 

used by researchers in more than 9 countries across 6 continents. Its In-Vitro Diagnostic (IVD) 

application is still under development. 

CDC Highlights

In winter 2015 the CDC Technology Transfer Office (CDC TTO) was selected as one of 13 

project teams for the HHS Ignites Accelerator program. Operating out of the HHS IDEA Lab, 

the Ignites Accelerator is an internal innovation startup program for HHS departmental staff and 

provides methodological coaching and technical guidance within a fast-paced, entrepreneurial 

framework.

Through collaboration with the NIH Office of Technology Transfer, CDC TTO worked to 

identify the value in developing a technology transfer portal to facilitate invention review and 

tracking. Work continues on portal development and testing, estimated for completion and 

deployment in FY 2016.

Wuchereria bancrofti microfilaria in a thick 

blood smear (Image courtesy CDC)
90

Department of Homeland Security (DHS)

The DHS’s Office of Research and Technology Applications (ORTA) resides within the Science 

and Technology Directorate. The ORTA develops and institutes policies to facilitate technology 

transfer in accordance with 15 U.S.C. § 3710 in consultation with and assisted by the Office of 

the General Counsel’s Technology Programs Law Division supporting S&T and the Department.

These policies are applicable throughout the Department and its laboratories. The ORTA’s 

responsibilities include the following:

• Standardizes, reviews, negotiates, and approves DHS CRADAs, licensing, and other 

technology transfer agreements;

• Prepares application assessments for selected R&D projects in which the DHS Laboratory 

is involved and may have commercial applications;

• Provides and disseminates information on federally owned or originated technologies 

which have potential application to State and local governments and private industry;

• Prepares and provides an annual report to Congress and the President through submission 

to NIST;

• Develops training programs on technology transfer and intellectual property for DHS 

employees; and

• Establishes and implements a royalty and rewards policy.

More information about DHS technology transfer activities is available on the following website:

http://www.dhs.gov/technology-transfer-program.

Transition to Practice (TTP)

The DHS Science and Technology Directorate also administers the Transition to Practice 

Program (TTP). Established in 2012, the program bridges the gap between federally funded 

research and the marketplace, addressing the Valley of Death problem. TTP is unique in that the 

program selects technologies from various federal laboratories, including the Department of 

Energy National Laboratories, Department of Defense affiliated laboratories, Federally Funded 

Research and Development Centers (FFRDC), University Affiliated Research Centers (UARC), 

and universities receiving federal funding for R&D activities (such as through the National 

Science Foundation). This enables TTP to leverage prior R&D funding that these technologies 

have received from various federal agencies and ensure that the products of this R&D are 

commercialized and reach the users who need them, rather than “sit on the shelf”.

TTP technologies go through a structured technology transfer process designed to increase the 

technology maturity and market readiness. In addition to providing funding specifically intended 

for transition activities, TTP offers researchers training and resources on commercialization and 

entrepreneurship, access to a large network of investors, private sector companies, and 

government operators, and opportunities to collaborate with these potential partners and users to 

pilot the technologies. The program also includes technical assessments and evaluation of the 

technologies as well as market validation and targeting. Through outreach efforts, including 

multiple Technology Demo Days a year across the country, the TTP program then introduces 
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these technologies to investors, developers, and integrators who can license the technologies and 

turn them into commercially viable products.

More information about the TTP activities is available on the following webpage:

https://www.dhs.gov/science-and-technology/csd-ttp
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DHS Invention Disclosures and Patenting

Between FY 2011 and FY 2015, the number of new inventions disclosed decreased by 61% from 

38 disclosures to 15 disclosures in FY 2015. The number of patent applications filed experienced 

a 42% decrease. Four patents were issued in FY 2015.

FY 2011 FY 2012 FY 2013 FY 2014 FY 2015

New Inventions Disclosed 38 40 20 36 15

Patent Applications Filed 12 10 4 5 7

Patents Issued 0 0 4 3 4
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Patents issued to DHS in FY 2015 covered many technology areas including digital 

communications (25%), environmental technology (25%), measurement (25%), transportation 

(17%) and machine tools (8%).

31

USPTO Patents Assigned to DHS by Technology Area: FY 2015

 31 Source: Prepared by Science-Metrix using USPTO data indexed in PATSTAT Spring 2016 edition (European 

Patent Office). Used with permission.
94

DHS Licenses32

In FY15, DHS executed three new patent license agreements and managed four active license 

agreements. The four patent license agreements earned a total of $6,000 in royalties and license 

fees.

 32 Licensing data for DHS were revised for the FY 2011 through FY 2015 period due to a change in reporting 

procedures at DHS. Trademark licenses which were included previously have been removed to follow the reporting 

guidance for this report.

FY 2011 FY 2012 FY 2013 FY 2014 FY 2015

Licenses, Total Active 0 0 0 2 4

New Licenses 0 0 0 0 3

Invention Licenses, Total Active 0 0 0 2 4

New Invention Licenses 0 0 0 0 3

Income Bearing Licenses, Total Active 0 0 0 1 4

Income Bearing Exclusive Licenses 0 0 0 0 0
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DHS Income from Licensing

Licensing income increased from $3,000 in FY 2014 to $6,000 in FY 2015.

FY 2011 FY 2012 FY 2013 FY 2014 FY 2015

Total Income, All Active Licenses $0 $0 $0 $3 $6

Invention Licenses $0 $0 $0 $0 $0

Total Earned Royalty Income $0 $0 $0 $3 $6
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DHS Collaborative R&D Relationships

Between FY 2011 and FY 2015, the number of total active CRADAs increased by 271% from 62 

to 230 agreements. The number of new CRADAs per fiscal year increased by 216% to 98 new 

agreements in FY 2015. Total active traditional CRADAs increased by 264% during the fiveyear period, totaling 200 agreements in FY 2015.

FY 2011 FY 2012 FY 2013 FY 2014 FY 2015

CRADAs, Total Active 62 94 114 158 230

New CRADAs 31 53 76 88 98

Traditional CRADAs, Total Active 55 89 91 121 200

Other Collaborative R&D Relationships 11 11 6 31 30
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DHS Downstream Success Stories

Science and Technology Directorate, First Responders Group: Radio Internet-Protocol 

Communications Module

A new low-cost interoperability solution developed by DHS’s Science and Technology 

Directorate (S&T) could save the first responder community millions of dollars.

The Radio Internet-Protocol Communications Module (RIC-M), used by local, state, and federal 

responders, is a low-cost, external, stand-alone, interface device that connects radio frequency 

(RF) system base stations, consoles, and other RF equipment—regardless of brand—over the 

Internet or Private Internet Protocol (IP) network. The RIC-M converts from a commonly used 

V.24 serial communications protocol to an open-standard Voice-Over-Internet-Protocol (VoIP). 

Both encrypted and unencrypted Project 25 (P25) digital communications are supported, and it 

can also operate with analog communication equipment.

In the past, legacy systems were not interoperable. If you bought one brand of base station, you 

had to buy the same brand for all the other components even if other brands offered more 

economical choices or better options. RIC-M allows first responder organizations to be free from 

dependence on expensive, single-vendor communication solutions, offering cost savings and 

wider variety.

Base stations are used by law enforcement, medical, and other agency dispatchers to 

communicate with first responders and agents in the field. Using the RIC-M, agencies can easily 

upgrade and reconfigure legacy systems at a low cost. Instead of having to replace an entire 

system which can cost as much as $15,000 when one component breaks or becomes obsolete, 

organizations can use any RIC-M compatible product to extend the system's life for another 10 to 

20 years. Since its conception in 2012, RIC-M has been successfully field tested with various 

state and federal response agencies including Montgomery County, Maryland; U.S. Customs and 

Border Protection; Federal Protective Service; the Federal Bureau of Investigation; the U.S. 

Marshals Service; the Department of Justice; and the Department of the Interior, Office of Law 

Enforcement and Security.

The biggest benefit of the RIC-M is that it will allow agencies to continue to use current stock 

pile and installed legacy equipment. DHS owns the RICM patent and issued a first commercial 

license in 2015 with more expected in 2016.

Science and Technology Directorate, Transition to Practice: Fighting Malware with 

Hyperion

In February 2015, Hyperion, a technology that completed the TTP program was licensed to R&K 

Cyber Solutions LLC, a Manassas, Va. based application development and cyber solutions 

company to commercialize the technology and make it available to enterprise and government 

customers.

Hyperion is a malware forensics, detection, and software assurance technology that can quickly 

detect malicious behavior in software not previously identified as a threat. The unique feature of 

Hyperion is that it calculates the behavior of software to detect the presence of malware. 
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Hyperion was selected from among thousands of nominations and named an R&D 100 Award 

honoree in 2015. Since 1963, the R&D 100 Awards have celebrated the greatest R&D 

developments of the previous year. 

Hyperion was developed by researchers at the Department of Energy’s (DOE) Oak Ridge 

National Laboratory and selected into TTP’s inaugural cohort of technologies based on its 

potential to address an existing cybersecurity gap. Through the TTP program, Hyperion was 

piloted within several organizations and was introduced to private sector industry partners, 

quickly generating interest from R&K to make the technology commercially available.

R&K Cyber Solutions later spun off the Hyperion technology into a new cybersecurity company, 

Lenvio Inc., and further expanded it into a product suite that is commercially available to users to 

protect their environments and improve their cybersecurity posture.
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Department of the Interior (DOI)

Technology transfer for the Department of the Interior (Department) includes a range of

activities designed to disseminate scientific and technical information and knowledge between

the Department and other Federal and non-federal entities. It includes but is not limited to

publications, exchange of scientific and technical information, protecting and licensing

intellectual property rights, and sharing – or otherwise making available – for scientific or

technical purposes the expertise and specialized scientific material and resources which the

Department manages. In general, technology transfer activities within the Department are

consistent with its mission to protect and manage the Nation’s natural resources and cultural

heritage; to make available scientific and other information about those resources; to honor trust

responsibilities to Tribes; and to supply energy for the future.

This section draws on DOI’s annual technology transfer report for FY 2015, which describes the 

actions DOI took in FY 2015 to advance technology transfer. These range from developing and 

helping commercialize new technologies to reduce the discharge of invasive non-indigenous 

species in cargo ballast waters into U.S. waters to testing and demonstrating earthquake early 

warning systems, and to developing new chlorine-resistant desalination membranes to enhance 

water supplies. 

The FY 2015 enacted budget for the Department of the Interior included $935.9 million for

research and development. Much of the funding was for applied research ($754.4 million), while

basic research and basic development received $53.3 million and $128.1 million, respectively.

The programs supported through these funds generate large amounts of knowledge, information,

and technology, which help the Department meet its mission objectives and are transferred to

resource managers, stakeholders, and the general public.

The Department’s bureaus have varying levels of involvement with scientific and technical

research and innovation, and technology transfer. In FY 2015, as in previous years, the majority

of technology transfer activities reported by the Department under the Federal Technology

Transfer Act of 1986 (FTTA) were undertaken by the U.S. Geological Survey (USGS) because it

is the largest research and development (R&D) organization within the Department, both in 

terms of budget and personnel, and, therefore, generally has greater involvement with technology

transfer. Typically, USGS accounts for over 70 percent of the Department’s R&D budget.

The Department’s scientists, engineers, and other technical personnel advance the state of

knowledge related to the Department’s resources, and ensure that this information is accessible

to resource managers, private industry, and the general public. The clear majority of the

Department’s technology transfer activities use traditional technology transfer mechanisms such

as publications of peer reviewed papers and reports, webpage postings, fact sheets, and

presentations at meetings and conferences. In 2015, USGS and U.S. Fish and Wildlife Service

(FWS) personnel authored or co-authored over 8,900 reports, books, fact sheets, and other

publications, including over 3,500 scientific publications. The other bureaus, while also active in

publishing and distributing scientific, technical and engineering results, however, do not

systematically track these products, so their contributions are not included in these counts.
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Bureaus also use other conventional approaches to share scientific and technical resources and

expertise with each other, universities, and other entities to address resource management issues.

For example, six bureaus are active participants in the network of seventeen Cooperative

Ecosystem Studies Units (CESUs), a collaboration among 373 partners, including 15 Federal

Agencies, and over 350 non-federal partners (including universities, Tribes and tribal

organizations, State agencies, museums, aquariums, arboretums, and conservation

organizations). Each CESU is hosted by a university.

Bureaus that are active in research and development, or have research capabilities that

complement U.S. commercial interests, may also utilize technology transfer agreements

authorized by the FTTA to join forces with non-federal partners. Such agreements allow the

Department’s bureaus and private sector industries to pool their expertise and resources to jointly

create and advance technologies that could help fulfill agency missions while helping U.S.

industries innovate and commercialize technologies that can strengthen our national economy

and create jobs.

DOI's annual technology transfer report is available online at: 

https://www.doi.gov/techtransfer/annual-doi-reports-on-technology-transfer

More information about DOI technology transfer activities is available on the following website: 

https://www.doi.gov/techtransfer/. 
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DOI Invention Disclosures and Patenting

From FY 2011 to FY 2015, the number of new inventions disclosed increased to seven

disclosures. The number of patent applications filed increased to eight, up from two in FY 2011. 

Three patents were issued in FY 2015, up from one in FY 2011. DOI’s technology transfer focus 

has been on acquiring and spreading knowledge and information rather than inventions and 

patents.

FY 2011 FY 2012 FY 2013 FY 2014 FY 2015

New Inventions Disclosed 5 10 9 6 7

Patent Applications Filed 2 3 8 4 8

Patents Issued 1 3 4 2 3
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Patents issued to DOI in FY 2015 covered many technology areas including environmental 

technology (33%), measurement (33%), chemical engineering (22%), and molecular chemistry, 

polymers (11%).33

USPTO Patents Assigned to DOI by Technology Area: FY 2015

 33 Source: Prepared by Science-Metrix using USPTO data indexed in PATSTAT Spring 2016 edition (European 

Patent Office). Used with permission.
103

DOI Licenses

From FY 2011 to FY 2015, the number of total active licenses decreased by 20% to 20 licenses 

in FY 2015. There were three new licenses in FY 2015. The number of total active invention 

licenses decreased by 22% to 18 licenses; however, there were three new invention licenses in 

FY 2015.

FY 2011 FY 2012 FY 2013 FY 2014 FY 2015

Licenses, Total Active 25 26 20 18 20

New Licenses 2 1 3 0 3

Invention Licenses, Total Active 23 24 20 16 18

New Invention Licenses 2 1 3 0 3

Income Bearing Licenses, Total Active 22 22 16 15 18

Income Bearing Exclusive Licenses 3 12 4 5 7
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DOI Income from Licensing

Between FY 2011 and FY 2015, the number of total income from all active licenses decreased 

by 8% to $106 thousand in FY 2015. The income from invention licenses decreased by the same 

amount, as all income received came from invention licenses. Total earned royalty income was 

$106 thousand in FY 2015.

FY 2011 FY 2012 FY 2013 FY 2014 FY 2015

Total Income, All Active Licenses $115 $76 $96 $58 $106

Invention Licenses $115 $76 $96 $58 $106

Total Earned Royalty Income $104 $65 $96 $58 $106
105

DOI Collaborative R&D Relationships

From FY 2011 to FY 2015, the number of total active CRADAs increased by 135% from 351 to

826 agreements. The number of new CRADAs per fiscal year increased by 99% to 586 new 

agreements in FY 2015. Total active traditional CRADAs increased by 73% during the five-year 

period, totaling 38 agreements in FY 2015.

FY 2011 FY 2012 FY 2013 FY 2014 FY 2015

CRADAs, Total Active 351 379 476 601 826

New CRADAs 295 284 376 423 586

Traditional CRADAs, Total Active 22 28 21 35 38

Other Collaborative R&D Relationships 209 283 322 292 318
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DOI Efforts to Streamline Technology Transfer Operations

In FY 2015, the Department continued to build on actions initiated in FY 2011 and the

successful implementation of the Departmental Plan on Technology Transfer submitted to OMB

in FY 2012, to institutionalize technology transfer programs within the Department. These

actions also enable all bureaus to more effectively and efficiently implement the FTTA and

related legislation while maintaining focus on their missions. These actions included:

• Increased coordination and cooperation amongst Department bureaus through

presentations, where bureaus with greater experience with instruments made available

through the Federal Technology Transfer Act, shared their knowledge with bureaus with

less experience. These also illustrated the benefits of using these instruments to augment

appropriated resources made available to bureaus to pursue their mission;

• Increased accessibility to resources to advance technology transfer through improvements

to the Department’s technology transfer website. This site, which is updated continually,

provides information on relevant bureau programs and activities; opportunities for other

agencies, and private and nonprofit institutions to cooperate with the Department’s 

scientists, engineers and technical personnel; links to information on best practices 

related to technology transfer for novice and experienced practitioners; and other training 

related information; and

• Development of Departmental policy and procedural guidance for offering and

administering prize competitions, following intense interest within bureaus to use prize

competition authority under the America COMPETES Reauthorization Act of 2010 to

advance innovations to fulfill mission goals.

DOI Downstream Success Stories

U.S. Geological Survey: Ballast Nozzle Mixing Methods

The USGS invented a novel nozzle-mixing method to reduce the discharge of invasive nonindigenous species into U.S. waters during the release of ballast waters from cargo ships. It 

entered into an exclusive license agreement with Glosten, Inc., to commercialize and make the 

nozzle mixing methods publicly available as part of Glosten’s proprietary Ballast Responder.

Cargo ships that transport goods around the world can carry nonindigenous species in the ballast

water that is used to stabilize and balance the vessel. The release of the ballast water from the

ships is a major transport mechanism for the nonindigenous aquatic organisms. When the ships

enter port, the ballasts are released which may introduce nonindigenous species to local waters.

These species can have a dramatic negative effect on marine, estuarine, and freshwater

ecosystems in the United States and abroad. These effects can range from altering the structure

and dynamics of the ecosystem to killing native species. Therefore, it is important to reduce, if

not eliminate, nonindigenous species that may be in the ballast water prior to discharging it in

any U.S. waters. This can be accomplished through mixing a biocide in the ballast water.

Complicating this process is the fact that cargo ships have a wide variety of ballast tank

configurations. The USGS has invented a system, which when paired with Glosten’s products,
107

circulates the ballast water with a biocide without removing the ballast water from the ballast

tank. This novel method overcomes the challenges of mixing within different ballast tank

configurations and is a cost-effective solution to combating the introduction of exotic aquatic

species.

U.S. Geological Survey: Improved Device to Measure Ground Temperature

USGS and Alpha Mach, Inc., have entered into an exclusive license agreement to commercialize 

and make publicly available the temperature probe co-invented by both parties to continuously 

measure temperature in soils and riverbed sediments at multiple depths. This allows the rate and 

direction of seepage to be estimated. This device has many practical applications to those 

interested in collecting temperature data for hydrological and ecological investigations. The new 

temperature probe was designed to overcome the challenges of current methods, using microchip 

thermistors and internal data storage, with a focus on employing heat as a tracer in surface water 

investigations.

U.S. Geological Survey: Test of Earthquake Early Warning Notifications

USGS and Global Security Systems, LLC (GSS) have established a collaboration to test the use 

of the latter’s ALERT FM system to broadcast earthquake early warnings generated by the 

USGS ShakeAlert System. The USGS ShakeAlert System in California consists of sensors 

placed strategically throughout the state that detect seismic vibrations. If these vibrations exceed 

a pre-determined level, that would trigger an alert, and send out warnings. These warnings could 

be distributed across outdoor sirens, ALERT FM receivers, smartphone apps, and other 

notification pathways such as radio and TV broadcasts.

ALERT FM is unique since it operates a dedicated emergency notification system that is

satellite-based and is not reliant on potentially vulnerable Internet connectivity. It is already

being used in many southern states for tornados and hurricane notification. ALERT FM uses the

digital data subcarrier of local FM radio stations, including Univision station in southern 

California and public radio station KQED in northern California, to distribute critical alerts in as

little as 6 seconds.

An objective of the partnership is to have ShakeAlert earthquake early warning alerts posted to

GSS alert software and broadcast to a set of GSS receivers. In addition, the USGS and GSS will

collaborate on system design and best practices for alerting different sectors, including

emergency response personnel, utilities, and other industries. Early warning of earthquakes will

allow businesses to take actions to protect their employees, customers, and critical infrastructure

from strong shaking. Even a few seconds of warning is enough notice to shutdown vulnerable

processes, move people from unsafe places, and for people to drop, take cover, and hold on.

Information would be received on portable or fixed receivers that can be programmed for

specific groups, counties, or areas. ALERT FM receivers automatically tune to and lock on to

the strongest FM signal in the area. As the USGS ShakeAlert System begins issuing public alerts

for the West Coast of the United States, ALERT FM receivers would be available for purchase 

by residents and businesses.

USGS has partnered with Global Security Systems because it is a systems integrator, service
108

Provider, and manufacturer of the ALERT FM, Alert Studio and GSSNet, a satellite data 

delivery system that has developed a commercially available end-to-end notification platform 

based on FM radio broadcasts fed by satellite for distributing mass notifications. GSS has a

nationwide satellite delivery system to originate and uplink Common Alert Protocol (CAP) based 

emergency audio and text alerts. GSS Alert FM receivers, cell phones equipped with a radio chip 

and software, and other consumer devices receive the alert messages. The GSSNet satellite data

delivery system for emergency alerts is currently in operation on over 500 radio stations in 17 

states and Canada.

U.S. Fish and Wildlife Service: Aquatic Animal Drug Approval Program

The Aquatic Animal Drug Approval Program (AADAP) within the FAC Division currently has 

four CRADAs in place, including a relatively new CRADA with AquaTechnics, Inc. The three 

other existing agreements are with Merck Animal Health (Summit, NJ), Aquatic Life Sciences 

(Ferndale, WA), and Frontier Scientific (Logan, UT). These agreements permit the parties to 

identify research opportunities that support development of new aquatic animal drugs, broaden 

the U.S. technology base, and support accomplishment of FWS scientific mission objectives. For 

example, in 2015, AADAP developed research study protocols to define the objectives, design, 

procedures, and methods used to conduct clinical efficacy studies on a new sedative for use in 

aquaculture for the purpose of sedating fish prior to transporting, grading, and sorting them. The 

protocols have been accepted by FDA. Data generated under these protocols help inform New 

Animal Drug Approvals, which will provide new advances and tools for Federal, State, tribal, 

and private fish

culture facilities.

Office of Surface Mining Reclamation and Enforcement: Technical Innovation and 

Professional Services (TIPS) Training Program

This is a collaborative effort among the Office of Surface Mining Reclamation and Enforcement

(OSMRE), States, and Tribes that provides specialized training to use specialized hardware and 

software tools related to mining and reclamation. Course developers and instructors are 

reclamation experts who use TIPS software to solve a wide-range of complex permitting, 

enforcement, and abandoned mine land problems. TIPS training is unique in that OSMRE tailors 

the training exclusively to mining and reclamation uses. Importantly, most of the tools it uses 

and provides training for are off-the shelf applications. The OSMRE delivers TIPS courses onsite at the customers’ requests, and in dedicated training centers in OSMRE Regional Offices. 

TIPS conducted twenty-four instructor-led classes in FY 2015 with 314 students completing 

class sessions and another four online training courses for 41 students. The OSMRE conducted 

four of the training classes at on-site locations to meet the specific training needs of particular 

offices or groups of students, and enable broader participation throughout the SMCRA 

community. In FY 2015, the TIPS training program received a customer satisfaction rating of 98 

percent, exceeding the annual Government Performance and Results Act goal by 5 percent.

Bureau of Reclamation: Next Generation Desalination Membranes

An ongoing CRADA with a U.S. manufacturer of desalination membranes produced two related 

subject inventions. Reclamation was also issued a patent for a new, promising chlorine resistant 

chemical monomer that could be a key ingredient for developing the next generation membrane 

that is the focus of this CRADA. The primary CRADA objective is to develop new membranes 
109

that meet or exceed the current industry standard for water purification performance 

characteristics, while not deteriorating from chlorine exposure. This is also a long-sought goal of 

the global desalination community of practice. Chlorine dosing and management is a necessary 

and costly process to prevent membrane biofouling. Chlorine is also a residual component in 

many water sources that are treated by desalination membranes. The membrane damage caused 

by chlorine exposure not only compromises membrane performance but also increases 

desalination operations, maintenance, and replacement costs. The CRADA combines the 

research expertise, know-how, facilities, and relevant background intellectual property of both 

parties to accelerate achieving the CRADA objectives The CRADA research is making progress 

toward full scale testing and demonstration of new membranes.

Bureau of Reclamation: Improving Water Operation Decision Support Software

Under a CRADA with Colorado State University, Reclamation made improvements to water 

operation decision support software owned by Colorado State University. The software is used 

by many Reclamation water operation offices and others in the federal and nonfederal water 

management community. Under the terms of the CRADA, Reclamation received a no-cost 

perpetual license to use the software. Colorado State University will also make the improvements 

available to their other users.
110

Department of Transportation (DOT)

The U.S. Department of Transportation (DOT) is the federal steward of the nation’s 

transportation system. DOT consists of multiple modal Operating Administrations, which carry 

out mission-related Research, Development, and Technology (RD&T) programs in support of 

the DOT strategic goals: Safety, State of Good Repair, Economic Competitiveness, Quality of 

Life in Communities, and Environmental Sustainability. In 2004, the Research and Innovative 

Technology Administration (RITA) was charged by its enabling legislation34 with coordination 

of DOT-wide RD&T and technology transfer activities. In the Consolidated Appropriations Act, 

2014 (P.L. 113-76), RITA was elevated to the Office of the Secretary and given a new name –

the Office of the Assistant Secretary for Research and Technology.

DOT defines technology transfer as the process of transferring and disseminating transportation 

related scientific information to stakeholders who may apply it for public or private use. DOT’s 

current approach to technology transfer is diverse and unique to each mode of transportation. 

Each modal Operating Administration conducts mission-specific deployment activities tailored 

to its mode and type of research. Agency specific technology transfer plans may be found here.

Technology Transfer activities are executed by DOT agencies and their laboratories:

• Federal Aviation Administration (FAA): The FAA’s Federal laboratory is the William J. 

Hughes Technical Center located at the Atlantic City International Airport, New Jersey;

• Federal Highway Administration (FHWA): Turner-Fairbank Highway Research Center 

(McLean, VA);

• Office of the Assistant Secretary for Research and Technology (OST-R): John A. Volpe 

National Transportation Systems Center (Volpe Center, Cambridge, MA); and

• National Highway Traffic Safety Administration (NHTSA): Vehicle Research and Test 

Center (VRTC, East Liberty, OH).

DOT’s annual technology transfer report is available online at:

http://www.transportation.gov/open/research-facilities

More information about DOT technology transfer activities is available on the following

websites:

FAA: http://www.faa.gov/about/office_org/headquarters_offices/ang/offices/tc/initiatives/ttp/

FHWA: http://www.fhwa.dot.gov/everydaycounts/

OST-R: https://www.rita.dot.gov/

 34 P.L 108-426, November 30, 2004 (118 Stat. 2423).
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DOT Invention Disclosures and Patenting

There were no new invention disclosures in FY 2015. The number of patent applications filed

went from two in FY 2011 to five in FY 2015. The number of patents issued during this fiveyear period went from zero in FY 2011 to one in FY 2015.

In FY 2015, the one patent issued to DOT involved a device to measure erosion potential of soils 

supporting structural foundations located in moving water. The technical area for this patent is 

Measurement.

FY 2011 FY 2012 FY 2013 FY 2014 FY 2015

New Inventions Disclosed 2 2 13 3 0

Patent Applications Filed 2 1 5 0 5

Patents Issued 0 4 1 1 1
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DOT Licenses

Between FY 2011 and FY 2015, the number of total active licenses decreased from three in FY 

2011 to two licenses in FY 2015. There were no new invention licenses reported in FY 2015. 

The total active invention licenses decreased from three licenses in FY 2011 to zero in FY 2014

and FY 2015.

FY 2011 FY 2012 FY 2013 FY 2014 FY 2015

Licenses, Total Active 3 3 3 1 2

New Licenses 1 1 0 0 1

Invention Licenses, Total Active 3 3 0 0 0

New Invention Licenses 0 0 0 0 0

Income Bearing Licenses, Total Active 3 2 3 1 2

Income Bearing Exclusive Licenses 1 0 0 1 0
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DOT Income from Licensing

Between FY 2011 and FY 2015, total income from all active licenses decreased by 33% to $12

thousand in FY 2015. In FY 2015, there was no income from invention licenses. Total earned 

royalty income increased from $8 thousand in FY 2011 to $12 thousand in FY 2015.

FY 2011 FY 2012 FY 2013 FY 2014 FY 2015

Total Income, All Active Licenses $18 $7 $9 $23 $12

Invention Licenses $15 $7 $12 $0 $0

Total Earned Royalty Income $8 $6 $12 $23 $12
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DOT Collaborative R&D Relationships

Between FY 2011 and FY 2015, the number of total active CRADAs increased by 92% from 25 

to 48 agreements. In FY 2015, there were a total of 48 active traditional CRADAs. 

DOT Efforts to Streamline Technology Transfer Operations

DOT is increasing coordination between Operating Administrations (OA) through the 

designation of identified technology transfer points of contact from each OA R&D program. 

These efforts are already providing enhanced efficiencies in the collection of intellectual 

property and technology transfer information necessary for the completion of the annual 

Technology Transfer Performance Report. Other efforts for streamlining its operations include:

FY 2011 FY 2012 FY 2013 FY 2014 FY 2015

CRADAs, Total Active 25 29 40 51 48

New CRADAs 8 12 8 10 9

Traditional CRADAs, Total Active 0 3 3 7 48

Other Collaborative R&D Relationships 39 14 26 30 35
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• developing a website that will improve public awareness and access to information on 

DOT’s technology transfer operations;

• developing training materials to assist R&D personnel to incorporate various technology 

transfer best practices into their research programs;

• developing a new DOT intellectual property policy, which will include streamlined 

procedures for the submission and review of potential invention disclosures, as well as 

improving total effectiveness and reductions in cost;

• preparing simplified model agreements for use or adoption by the OAs and/or DOT’s 

Federal laboratories to reduce resources and time spent on negotiation; and

• reviewing the possibility of entering into an agreement with a third-party intermediary for 

further improving the visibility of DOT’s research facilities and equipment, its research 

capabilities, and the technologies available for licensing.

DOT Downstream Success Stories

From Research to Reality, Volpe Brings Side Guards to Large Trucks

When trucks with high ground clearances strike 

vulnerable road users, such as bicyclists and 

pedestrians, those users can fall into exposed space 

between the front and rear wheels and suffer fatal 

crushing injuries. Side guards physically cover that 

exposed space. 

Volpe’s National Transportation Systems Center 

(Volpe) research coalesced years of international 

analysis on side guards. The United Kingdom, for 

instance, enacted a side guard requirement in the 

1980s. After the requirement was implemented, 

bicyclist fatalities decreased 61 percent, and 

pedestrian fatalities decreased 20 percent for side 

impacts with large trucks. Through presentations at 

conferences and consultations with elected officials 

and transportation agencies, Volpe is helping bring 

side guards to the United States. 

In 2014, the City of Boston asked Volpe to help 

expand on its truck side guard pilot—which was 

informed by Volpe research—and to craft the 

nation’s first side guard ordinance for private truck fleets. The ordinance took effect in May 

2015. At the same time, the neighboring City of Cambridge asked Volpe to recommend side 

guard specifications for its municipal trucks.

New York City also asked Volpe to study and develop a pilot truck side guard program for its 

largest-in-the-nation municipal truck fleet. In June 2015, New York unanimously passed a 

Volpe-advised law requiring side guards on 10,000 city-owned and regulated trucks by 2024. 
116

The City has further leveraged the technology 

transfer by successfully soliciting the first 

vehicle procurement bids from major truck 

OEMs in North America to include integrated 

side guards. This demonstrates a milestone for

Volpe’s T2 effort by influencing the 

multinational automotive sector. With New 

York’s truck fleet fully equipped with side 

guards, the city can expect to see several lives 

saved and dozens of serious injuries avoided per 

year. 

In fall 2015, Volpe started to support the City of San Francisco’s Vision Zero safety program to 

eliminate traffic deaths within one decade. Volpe and the City are working to identify regulatory 

or voluntary partnerships with local and state agencies, as well as with the manufacturing sector, 

to promote a robust side guard market and to accelerate this technology transfer in California. 

Additional Volpe consultations with the cities of Chicago, Seattle, Albany, and Washington, 

D.C., are expected to catalyze further nationwide adoption.

Volpe’s Truck Side Guards Resource Page is available at: https://www.volpe.dot.gov/ourwork/truck-side-guards-resource-page.

A Quantitative Non-Destructive Residual Stress Assessment Tool for Pipelines

DOT’s Pipeline and Hazardous Materials Safety Administration’s (PHMSA) SBIR Phase 1 and 2 

funding led to the development of the eStressTM system, which measures the pipe wall internal 

stresses within a damaged area, allowing operators to thoroughly inspect and analyze at-risk 

areas before failures occur. A key advantage of the eStressTM system is that through-wall stress 

measurements can be taken while a pipeline is in service, which allows direct measurement of 

the complex stress state of the dented materials under operating conditions. 

Through PHMSA’s participation in the SBIR Program, Generation 2 Materials Technology, 

LLC, demonstrated this powerful new nondestructive evaluation system for analyzing throughthickness residual stresses in mechanical damaged areas of steel pipelines. The system is 

designed to help pipeline operators find problem areas before serious damage occurs. High levels 

of tensile stress are the fundamental driver for dangerous corrosion and cracking in pipelines, 

which can be identified and mitigated proactively. 

The current 64-sensor array design can evaluate approximately one square foot in less than two 

minutes. It is also envisioned that the eStressTM system could be installed permanently along 

high consequence areas or other areas of concern for monitoring the dynamic stresses that come 

from transportation, operation, pigging, nearby industry/citizens, extend so forth. Visit PHMSA 

project site for more information: https://primis.phmsa.dot.gov/matrix/PrjHome.rdm?prj=441
117

UL Adopts Microscale Combustion Calorimeter (MCC)35

Underwriters Laboratories (UL) recently adopted the FAApatented Microscale Combustion Calorimeter (MCC), which 

was developed by Rich Lyon and Rich Walters of the Fire 

Safety Branch, to verify that manufactured materials are 

compliant with the UL 94 flammability test standard. Many 

components in building materials and consumer products are 

required to meet the UL 94 flammability standard, and the 

material manufacturers are required to demonstrate each lot is 

compliant with the standard. Rather than conducting a UL 94 

flammability test, which requires a large sample bar, a MCC 

test requiring a very small sample – as small as several 

milligrams – may be used to demonstrate continued 

compliance of the manufactured material. 

The benefits of using the MCC are reduced cost, time and 

waste associated with molding plastic sample bars, and 

discarding the unused or unburned samples. The MCC also 

provides a more quantitative output – heat release rate signature – and significantly reduces the 

quantity of combustion products released during UL 94 testing. The MCC has become a 

common test method used by fire researchers since its development and application in many 

FAA fire research papers, and adoption as ASTM standard D7309. In recent years, it has become 

a quality control tool, as evidenced by the recent UL application, and previous use by the Boeing 

Company.

FHWA Provides Incentives to States to Field Test Research Results

The FHWA State Transportation Innovation Council (STIC) Incentive program provides 

resources to help States and local highway agencies make innovations standard practice in their 

States.

A STIC is an established group of representatives from various levels of the highway community 

in each State tasked with comprehensively and strategically considering sources of innovation. 

The STIC puts the State in the driver’s seat to select the innovations that best fit unique program 

needs and quickly put those innovations into practice.

Launched in September 2013, the STIC Incentive Program offers technical assistance and up to 

$100,000 per STIC per year to support the costs of standardizing innovative practices in a State 

transportation agency or other public sector STIC stakeholder.

 35 “The Center News”, Vol 51, No. 17, Wed. April 29, 2015, Page 2
118

The Colorado STIC, for example, plans to 

utilize STIC Incentive program funds to 

conduct training to accelerate construction 

site revegetation to reduce life cycle costs 

and environmental reliability. The New 

Mexico STIC is utilizing incentive funds to 

create a digital experience and other 

educational materials on the use of 

Diverging Diamond Interchanges, an 

alternative intersection design proven to save 

lives, reduce delays, and lower costs when 

compared to traditional intersection designs.

In federal fiscal year 2014, 36 States 

received a total of $3.5 million in STIC 

Incentive funds to advance the use of 

innovations such as 3D modeling, high friction surface treatments, design-build contracting, and 

diverging diamond interchange design into standard practice across the State. Several of the 

innovations are part of the FHWA’s Every Day Counts initiative, which selects proven, marketready innovations and provides technical assistance to accelerate their deployment. The STIC 

Incentives program had established 49 STICs by end of FY 2015 and is expected to continue in 

FY 2016 and beyond. For more information, visit: http://www.fhwa.dot.gov/stic/ and 

https://www.fhwa.dot.gov/innovation/everydaycounts/. 

Wake Turbulence Analysis Leads to Increased Airport Efficiency

For 40 years, Volpe 

has collected and 

analyzed aircraft 

wake turbulence data 

at airports, providing 

the FAA with 

recommended 

changes to improve 

terminal air traffic 

safety and increase 

efficiency. Volpe 

engineers provide 

critical analyses to 

help the FAA 

achieve operational 

changes, among

them enabling 

aircraft to land on 

closely spaced parallel runways (CSPRs) under instrument approaches, as well as revision of the 

single runway wake turbulence separation minima. 
119

The FAA has achieved several significant milestones through Volpe’s support, including 

approval of the Safety Risk Management Document for Wake Turbulence Mitigation for 

Arrivals–Procedural (WTMA–P) for Philadelphia International and Detroit Metropolitan Wayne 

County airports. This procedure enables airports to use dependent dual-arrival traffic streams on 

CSPRs with reduced diagonal separation under instrument conditions, where previously the two 

runways had to be treated as a single runway in less than good visual weather conditions.

Additionally, the FAA developed Wake Turbulence Recategorization, or RECAT, which revises 

aircraft single runway spacing defined in the early implementation of RECAT I. This new wake 

turbulence separation minimum integrates RECAT with earlier CSPR solutions developed under 

the framework of wake separation specified in 7110.65, and others; further reducing separations 

for certain aircraft pairs since the first RECAT implementation. 

RECAT was implemented at Hartsfield-Jackson Atlanta International Airport, where it had a 

very positive impact. The new standards allow tighter arrival and departure sequences, resulting 

in improved flight efficiency as well as surface movements—especially during peak operation 

periods. As a result, Delta Airlines has reported a range of 0.5–2-minute shorter taxi times for 

departures, and 0.5–1-minute shorter descent times for arriving aircraft. Delta estimates annual 

operational cost savings of $14.8 to $38.1 million. 

Volpe has collected, processed, and analyzed wake turbulence data to support various FAA and 

NextGen objectives, as exemplified by RECAT and WTMA–P.

t Story here

FHWA Provides Incentives to States to Deploy Innovations

The FHWA launched the Accelerated Innovation Deployment (AID) Demonstration program in 

February 2014 to offset the risks associated with deployment of an innovation on a project. 

Approximately $30 million in incentive funding is available through the program to implement 

an innovation in any aspect of highway transportation including planning, financing, operation, 

structures, materials, pavements, environment, and construction on any project eligible for 

Federal assistance. 

Applications are accepted on a rolling basis from State DOTs, federal land management 

agencies, and tribal governments. Metropolitan planning organizations and local governments 

may also apply as sub-recipients through their State DOT. The full cost of the innovation in a 

project may be awarded up to the maximum amount of $1,000,000. As of the start of FY 2015, 

29 projects had received AID Demonstration awards totaling over $20 million. 

For example, the Minnesota DOT and the City of St. James received an AID Accelerated 

Demonstration Program grant to construct two mini-roundabouts that will be the first on the state 

highway system, the first for the City of St. James, and the first in a constrained urban setting. 

The mini-roundabouts are part of an urban reconstruction project on State Highway 4 and will 

replace signals at both intersections. 

The primary benefit to innovative intersection designs such as mini-roundabouts are enhanced 

safety performance through fewer or less severe crashes, but operational improvements have also 

been found, through overall reduced delay and less time spent stopped at red lights. Improved 
120

safety and reduced congestion can also provide direct and indirect economic benefits to 

businesses and communities located near the intersections.

FHWA encourages the use of AID Demonstration funds to promote the deployment of the EDC 

innovations, including but not limited to innovative intersection designs, which provide ways of 

improving the work of highway planning, design, construction, and operation.

For more examples of AID Demonstration grants stories, visit: 

http://www.fhwa.dot.gov/accelerating/grants.

Researching and Delivering New Methods to Save Lives

Saving lives is the USDOT’s primary mission, and the FHWA and its partners conduct scientific 

research and deploy innovative safety measures with the potential for reducing crashes and 

improving the safety of the Nation’s roads. 

One of FHWA’s research and technology efforts to save lives involves crash modification 

factors (CMFs). A CMF is an estimate of the change in crashes expected after the 

implementation of a safety countermeasure. When used properly, CMFs can help transportation 

engineers identify and apply the most appropriate countermeasures for increasing roadway 

safety. Combined with crash cost data and project cost information, CMFs can help 

transportation engineers compare the benefit-to-cost ratio of multiple countermeasures and then 

choose the most appropriate CMF for a given situation.

The FHWA has developed information on CMFs and made it available to State and local 

agencies to assist with highway safety planning. The CMF Clearinghouse, a free online database 

introduced in 2009 and accessible at www.cmfclearinghouse.org, details the varying quality and 

reliability of CMFs available to transportation professionals. 

The Clearinghouse houses a Web-based database of over 5,000 CMFs along with supporting 

documentation to help transportation engineers identify the most appropriate countermeasure for 

their safety needs. Many of the CMFs were developed through FHWA-led transportation pooled 

fund studies and research projects conducted at the FHWA’s Turner-Fairbank Highway Research 

Center, a federally-owned research facility in McLean, VA, but knowledge gaps and 

opportunities still exist to continue developing new CMFs. 

The FHWA also conducts webinars and web-based courses on using and developing CMFs. The 

Clearinghouse team is developing a new feature that enables users to compare CMFs. They can 

select up to 4 CMFs and compare them to identify the one best suited to their needs. 
121

FAA Dedicates Runway Pavement Testing Facility36

The Federal Aviation Administration (FAA) today dedicated its new National Airport Pavement 

& Materials Research Center at the William J. Hughes Technical Center at Egg Harbor 

Township, N.J. The research center is a unique facility that allows FAA engineers to use a 

custom-designed vehicle simulator to test asphalt and other pavement materials at very high tire 

pressures and temperatures. Airport pavement temperatures can reach 140 to 150 degrees 

Fahrenheit as far north as New York City. Tire pressure ranges from 220 to 250 pounds per 

square inch on new generation aircraft like the Boeing 787 and Airbus 350. The vehicle 

simulator has an automated heating system that allows engineers to replicate and analyze the 

damage that heavy commercial jets can cause to the top asphalt layer when runways are hot. The 

vehicle was designed to simulate the behavior and weight of aircraft tires, and can show how 

repetitive aircraft operations affect pavement.

FAA engineers will move the Heavy Vehicle Simulator-Airfields (HVS-A) by remote control 

between four outdoor pavement test strips and two strips inside a new building, to allow for 

testing in a controlled environment. The new center will enable the FAA to research 

environmentally-friendly airport pavement materials such as warm-mix and recycled asphalt 

pavements. The FAA’s goal is to expand the use of “greener” materials, and pavement materials 

that can be modified to enhance pavement durability, workability, and strength. This will reduce 

the costs of initial construction, maintenance, and provide a longer pavement life. The FAA has 

not recommended the use of environmentally-friendly airport pavement materials yet because 

research on the effects of aircraft tire pressure and heavy gear loads on green airport pavement 

materials has been limited. Construction of the test facility was completed in May 2015.

Officials dedicate new $8 million National Airport 

Pavement and Materials Research Center and Safety 

Building at the William J. Hughes Technical Center37

Heavy Vehicle Simulator - Airfields38

 36 http://www.faa.gov/news/updates/?newsid=83606

37 Photo Credit - http://www.pressofatlanticcity.com/communities/eht/faa-tech-center-opens-new-researchcenter/article_ebde04fa-4d02-11e5-ace8-b7a91883ce1c.html 38 FAA Federal Laboratory Consortium Planner Submission, 2015
122

UAS integration into the National Airspace System (NAS)

The safe integration of Unmanned Aircraft Systems (UAS) into the National Airspace System 

(NAS) is critical to the FAA. Processing and analysis to provide actionable information to clients 

across a wide range of civilian industries are critical to the nation. 16 of the FAA’s 38 active 

CRADAs in FY 2015 relate to UAS/NAS integration. These agreement’s bodies of work 

include, for example, research to allow operations within a structured volume of airspace and 

aerial data gathering. 

On May 6, 2015, the FAA announced the 

UAS Focus Area Pathfinders initiative39, a 

partnership with industry to explore the 

next steps in unmanned aircraft operations 

beyond the type of operations the agency 

proposed in the draft small unmanned 

aircraft systems (UAS) rule it published in 

February. To date, four companies (CACI, 

Inc., Burlington Northern Santa Fe 

(BNSF) Railway, PrecisionHawk USA, 

Inc., and Cable News Network, Inc.) work 

with FAA federal laboratories under 

CRDAs to further Pathfinder initiatives. 

Railway monitoring is a recent highlight of the FAA’s work with BNSF under 16-CRDA-0309.40

Insitu Inc., an unmanned aircraft systems (UAS) manufacturer, successfully conducted the first 

civil commercial beyond visual line of sight (BVLOS) operation in the continental United States 

on October 25, 2015, near Vaughn, NM. 

The event was part of a week-long series of flights with BNSF Railway designed to show how 

UAS technology can be a powerful addition in the effort to further enhance railway safety and 

infrastructure inspection. The flight was part of the agency’s Pathfinder program, an initiative to 

develop UAS regulations in collaboration with industry that was announced in May.

 39 http://www.faa.gov/uas/legislative_programs/pathfinders/

40 https://my.faa.gov/focus/articles/2015/11/AVS_Flyer__UAS_Pathf.html
123

Advanced Metallic Fuselage Structure41

The aircraft industry is striving to reduce fabrication, operational, and maintenance costs by 

introducing advanced materials, construction methods, and production technologies. In light of 

the B787 and A350 advanced construction and increased competition from composite materials 

industry, the metallic material industry has made significant strides at unprecedented rates in 

developing new metallic alloys and material manufacturing processes that are competitive with 

composites in terms 

of cost and 

performance. With 

the introduction of 

new technologies, 

however, data and 

information are

often lacking to 

allow for a 

comprehensive 

assessment of longterm safety 

concerns. 

Regulators and 

industry need to 

work together in 

preparation for 

their application and certification. Data is necessary to assess continued relevance of existing 

regulations and to develop additional safety standards and regulatory guidance if needed to 

maintain the current level of safety afforded by the existing airworthiness standards. For this new 

effort, the FAA will be collaborating with industry to assess durability and damage tolerance of 

EMST including unitized welded structure, new metallic alloys (Aluminum Lithium), and hybrid 

construction.

A five-year Cooperative Research and Development Agreement (CRDA; 15-CRDA-0310) 

between the FAA’s William J. Hughes Technical Center federal laboratory and ALCOA was 

signed in August 2015. The purpose of this collaborative effort is to obtain full-scale fuselage 

panel test data to demonstrate how fuselage concepts utilizing EMST improve the durability and 

damage tolerance, compared to the current baseline aluminum fuselage structures, using the 

unique capabilities of the FAA’s Full-Scale Aircraft Structural Test Evaluation and Research 

(FASTER) facility. 

 41 FY15 R&D Annual Review V2
124

SeaVision Shines Light on the Global Seas

SeaVision is an evolving maritime domain awareness (MDA) tool originally developed by Volpe 

for the U.S. Naval Forces Africa (NAVAF). SeaVision was created to help countries on the 

western coast of Africa improve vessel traffic management and navigation safety; increase 

maritime situational awareness and security; reduce illegal fishing, illicit trading, human 

smuggling, and piracy; provide improved data for search-and-rescue operations; facilitate 

commerce; and enable disaster recovery efforts.

SeaVision displays 

Automatic 

Identification System 

(AIS) data from the 

Volpe-developed 

Maritime Safety and 

Security Information 

System (MSSIS) 

network on a Google 

map. AIS allows the 

automatic exchange of 

real-time ship-to-ship, 

ship-to-shore, and 

shore-to-ship vessel 

information, which includes information pertaining to vessel identity, characteristics, position, 

course, speed, and heading. It provides an historical and current view of MSSIS data that can be 

used to analyze vessel movements.

In 2015, SeaVision was used in three naval exercises including participation from 23 African 

countries and their respective Maritime Operation Centers (MOCs). On behalf of the U.S. Africa 

Command, Volpe recently hosted its second annual on-site and multi-week MDA Administrator 

and Technician Training Workshop. This workshop was purposed with training African 

government officials on SeaVision and additional MDA tools with the goal of “training-thetrainer” for in-country system sustainment. 

As such, SeaVision is making a difference: Cabo Verde recently noted a significant improvement 

in the fight against illegal maritime activities after joining the system. The Cabo Verdean 

maritime police—in collaboration with the Senegalese MOC—were able to identify and interdict 

a foreign-flagged vessel illegally fishing both on and near the respective borders of each country, 

within their territorial waters. 

Because SeaVision provides unclassified data, it is readily available to other countries, and its 

use has now spread well beyond Africa. Many countries use SeaVision to track vessel 

movements within their exclusive economic zones and waterways, and the system has enabled 

maritime safety and security professionals around the world to better track, analyze, and monitor 

vessel movements. 
125

Department of Veteran Affairs (VA)

Every year, the Department of Veterans Affairs (VA) researchers develop hundreds of new 

health care-related technologies and other inventions. The Department of Veterans Affairs 

Technology Transfer Program’s (TTP) mission is to facilitate the commercialization of VA 

inventions to benefit veterans and the American public. TTP achieves this mission by educating 

inventors concerning their rights and obligations, evaluating invention disclosures, applying for 

IP protection, and assisting in the commercialization of new products.

VA’s research program is different from other Federal technology transfer programs, because it 

is highly decentralized. The TTP office is located in Washington DC; however, the actual 

research is conducted at more than 100 VA Medical Centers (VAMC), all of which are Federal 

Laboratories. 

In addition, 124 VAMCs have formal affiliations with academic institutions and many VA 

researchers also have academic appointments. As a result, most VA inventions are jointly owned 

by VA and its academic affiliates, making technology transfer a collaborative effort between two 

entities. To facilitate efficient technology transfer, TTP has executed interinstitutional 

agreements with many of VA’s academic affiliates. These agreements have taken the form of 

Cooperative Technology Administration Agreements (CTAA) in the past. The CTAAs allow the 

affiliate to take the lead in the management of all co-owned inventions unless they decline to do 

so. Moving forward, TTP is now negotiating Invention Management Agreements (IMA). The 

IMAs are more balanced than the CTAAs in that they do not automatically give up control of 

invention management to the affiliate. With IMAs, the parties make a mutual decision with 

regard to who is to lead for each newly disclosed jointly owned invention. For all inventions 

solely owned by VA, or those jointly owned where VA is in the lead, TTP manages all aspects of 

invention management, including: commercialization assessment; patent prosecution; marketing; 

and, license negotiation. 

Critical components of any successful intellectual property program include invention 

assessment, patenting, marketing, and licensing new inventions or technologies to ensure timely 

production and introduction into the marketplace. CTAAs allow affiliates to take the lead in 

these activities for most jointly owned IP. Where VA is the sole owner of an invention or lead 

partner in a jointly owned invention, VA undertakes these activities. VA assesses inventions for 

commercialization potential using a contractor which is engaged for this purpose. If VA decides 

to pursue patent protection of an invention, an appropriate contracted law firm is engaged to do 

so. Marketing includes both passive and active approaches. For passive marketing, all 

technologies available for licensing are listed on the TTP website. For those inventions selected 

for active marketing, TTP enlists the use of professional services from an IP marketing 

contractor.

TTP and VA Office of General Counsel (OGC) coordinate the negotiation of Cooperative 

Research and Development Agreements (CRADAs) and/or licenses with commercial entities. 

VA’s OGC reviews and approves CRADAs and licenses prior to execution by the appropriate 

signing authority.
126

Successful patents licensed to manufacturers provide a royalty stream. As a result, inventors, 

their research laboratories, and the local VA facility share in licensing royalties. The American 

taxpayer will gain from this return on the research investment because resources will be 

reinvested in the original research laboratories to further additional biomedical advances.

Explanation of the Agency’s Plans for Conducting its Tech Transfer Function Mission:

VA TTP has a variety of initiatives to fulfill its mission. Among these initiatives are: increasing 

the number and quality of Invention Disclosures (ID) VA receives; streamlining the process of 

determining whether the Federal Government is the owner of any invention; improving VA’s 

current mechanisms for working with its affiliates; establishing a more systematic internal patent 

policy for VA; and improving VA’s commercial licensing processes.

VA TTP is an important link in the process of ensuring veterans receive access to the latest 

technologies developed by VA researchers. The program also helps to ensure that VA receives 

their fair share of royalties from patents and joint ventures with nongovernmental agencies and 

private companies.

More information about VA technology transfer activities is available on the following website: 

http://www.research.va.gov/programs/tech_transfer/default.cfm.
127

VA Invention Disclosures and Patenting

Between FY 2011 and FY 2015, the number of new inventions disclosed increased by 16% from 

191 to 221 disclosures in FY 2015. The number of patent applications filed experienced a 10% 

decrease. The number of patents issued during this five-year period increased by 629% from 7 to 

51 patents in FY 2015.

FY 2011 FY 2012 FY 2013 FY 2014 FY 2015

New Inventions Disclosed 191 335 273 290 221

Patent Applications Filed 29 37 25 29 26

Patents Issued 7 9 3 7 51
128

Patents issued to VA in FY 2015 covered many technology areas, including pharmaceuticals 

(37%), medical technology (22%), biotechnology (21%), analysis of biological materials (5%), 

and organic fine chemistry (4%).

42

USPTO Patents Assigned to VA by Technology Area: FY 201543

 42 Source: Prepared by Science-Metrix using USPTO data indexed in PATSTAT Spring 2016 edition (European 

Patent Office). Used with permission. 43 Source: Prepared by Science-Metrix using the Web of Science database. All rights reserved. Used with 

permission.
129

VA Licenses

Between FY 2011 and FY 2015, the number of total active licenses increased by 4% from 192 to

200 licenses in FY 2015. New licenses decreased by 73% to 3 licenses from a previous 11 in FY 

2011. 

FY 2011 FY 2012 FY 2013 FY 2014 FY 2015

Licenses, Total Active 192 197 194 197 200

New Licenses 11 8 9 3 3

Invention Licenses, Total Active 192 197 203 197 200

New Invention Licenses 11 8 9 3 3

Income Bearing Licenses, Total Active 12 9 13 14 16

Income Bearing Exclusive Licenses 8 9 10 9 11
130

VA Income from Licensing

Between FY 2011 and FY 2015, total income from all active licenses decreased by 18% from 

$401 thousand to $329 thousand in FY 2015. Income from invention licenses and earned royalty 

income were the same as income from all active licenses.

FY 2011 FY 2012 FY 2013 FY 2014 FY 2015

Total Income, All Active Licenses $401 $391 $146 $376 $329

Invention Licenses $401 $391 $146 $376 $329

Total Earned Royalty Income $401 $392 $390 $376 $329
131

VA Collaborative R&D Relationships

Between FY 2011 and FY 2015, the number of total active CRADAs increased 56% from 1,477 

to 2,305 agreements. The number of new CRADAs per fiscal year increased by 13% to 509 new 

agreements in FY 2015. Total active traditional CRADAs decreased by 8% during the five-year 

period, totaling 1,334 agreements in FY 2015.

FY 2011 FY 2012 FY 2013 FY 2014 FY 2015

CRADAs, Total Active 1,477 1,510 1,550 2,317 2,305

New CRADAs 450 522 453 505 509

Traditional CRADAs, Total Active 1,444 1,430 1,550 1,618 1,334

Other Collaborative R&D Relationships 0 0 0 0 0
132

VA Efforts to Streamline Technology Transfer Operations

The goal of VA’s technology transfer plan is to increase the number and pace of effective 

technology transfer and commercialization activities in partnership with non-federal entities, 

including companies, academic research organizations, and nonprofit entities. In fiscal year (FY) 

2012, the agency set ambitious goals for itself. However, FY 2013 became a re-building year for 

VA’s technology transfer program with changes in personnel, and hiring of a new Director and 

an additional technology transfer specialist. This year, OGC, a key partner in VA’s technology 

transfer activates, initiated a pilot program, the Specialty Team Advising Research (STAR). The 

STAR team consisted of eight attorneys in regional offices specifically designated to support 

local VAMC research activities including technology transfer activities such as the review of 

research agreements, such as CRADAs, and intellectual property activities, such as approval of 

intellectual property licenses and inventors’ determination of rights.

Ultimately TTP narrowed its focus this year to addressing five key initiatives: increasing the 

number and quality of Invention Disclosures (ID); streamlining the determination of rights 

(DOR) process by which the Federal Government determines its ownership rights in any 

invention; evaluating existing mechanisms for coordinating intellectual property management 

activities with affiliates; management of the CRADA review process; and selection and 

implementation of new contracts for office operations.

• Invention Disclosure Management 

TTP established a goal in FY 2012 of improving the number and quality of invention 

disclosures (IDs). One of TTP’s most significant challenges is to ensure that VA 

inventors themselves disclose their inventions to VA. While inventors invariably disclose 

their inventions to VA academic affiliates, they are often not aware of their duty to 

disclose their inventions to VA. Academic affiliates should make VA investigators aware 

of this requirement, but there is no consistency in the affiliates’ actions in this area. As a 

result, in FY 2012 TTP began to make site visits to VAMCs and academic affiliates to 

raise awareness of TTP itself and of the procedures and regulations inventors are required 

to follow regarding disclosing inventions to VA. This outreach resulted in significant 

increases in both our ID rate and royalty revenues. Current travel restrictions have led us 

to explore remote educational techniques such as webinars. The initial seminars were 

well received and were continued and expanded in FY 2014. 

• Streamlining the DOR Process 

Increasing the number and quality of TTP inventions requires close cooperation with our 

academic affiliates. Many researchers work at both VA and an academic affiliate, making 

ownership determinations a more complicated process than at other Federal agencies. 

Because the decision to take ownership of an invention made by a Federal employee is a 

legal determination, TTP works with STAR, which formally issues a legal Determination 

of Rights memorandum, based upon an invention evaluation recommendation by TTP. 

Patents are then filed by the VA for those inventions that 1) VA has asserted rights, and

2) the academic affiliate is not taking the lead on intellectual property management. TTP 

identified administrative impediments to the development of an effective invention 

evaluation and subsequent DOR. By working with STAR, a new process has been 
133

developed that will permit more timely processing of IDs and lead to an increase in the 

number of potential VA inventions. Clarity in the government’s position on ownership of 

jointly developed intellectual property will also support our affiliate’s ability to seek 

licensing partners.

• Coordination of Intellectual Property Management with Affiliates 

More than 10 years ago, when VA began its technology transfer activities, TTP negotiated 

CTAAs with the majority of its high volume academic affiliates. The CTAAs describe a 

mechanism for handling jointly owned inventions, including a formula for sharing revenue 

and expenses from patenting and licensing activities. Over time, several significant 

limitations to the CTAA have become apparent, including:

• A requirement in CTAAs that the academic affiliate report to VA any activity taking 

place with jointly owned technologies. These agreements are not consistent with 

regards to the date such report must be provided to VA and they do not describe data 

elements or a report format. As a result, the timing, nature, format, and quality of the 

data TTP receives are highly variable;

• Under the CTAA, the affiliate always has the right to take the lead in developing an 

invention, except for inventions made pursuant to a VA CRADA, which are rare. 

TTP has found many inventions where all work was done at VA (often the case with 

inventions made under Center of Excellence funding), but since one of the VA 

researchers also has an affiliate appointment, the affiliate can, and usually does, take 

the lead. This leads to fragmentation of the intellectual property estate and worse, a 

loss of control over intellectual property that could complicate the successful 

commercialization of VA’s research. Often, a commercial product is an effective 

way for Veterans and the public to see direct benefit from research; and

• CTAAs currently contain a mechanism by which VA’s share of patent expenses are 

offset against income generated by a license. Unfortunately, CTAAs give VA no 

voice in patenting decisions. As a result, some affiliates have undertaken expensive 

international patent filing campaigns to which VA would not have agreed had VA 

held some control over the decision. 

TTP will develop and implement a revised CTAA model to address these and other issues.

Having identified these issues with the existing CTAAs, TTP determined that 

development of a new invention management agreement (IMA) was necessary. Working 

with OGC TTP has developed a new IMA and is discussing implementation of the new 

agreement with various academic affiliates. This new agreement is compliant with Federal 

regulations and will insure VA’s contribution to commercialization of new technologies is 

recognized. 

• CRADA Review Process

For the past five years, the VA has executed over 400 CRADAs per year, the majority of 

which are clinical CRADAs, which permit VA researchers to collaborate with 

pharmaceutical and biomedical companies to develop new solutions to health care 
134

challenges facing veterans. These studies ultimately lead to the development of new 

commercial products that benefit the public’s health. 

Historically the VA has relied on Model and Master agreements with selected 

pharmaceutical companies to manage these cooperative studies. Model agreements are 

templates for general use with specific types of research activities such as basic research, 

principal investigator initiated clinical research, data collection studies, company 

sponsored clinical studies phase 1,2 and clinical studies phase 3,4, and investigational 

device studies. Master agreements are templates, which may not be modified and are 

negotiated with selected industry partners for specific types of research projects. 

Unmodified agreements based upon a VA Model Agreement are generally reviewed and 

approved by STAR without TTP review. However, increasingly these agreements are 

significantly modified by the industry partner resulting in more CRADAs coming to TTP 

for review. TTP focuses its review on those elements of the agreement involving 

intellectual property rights. 

This year, considerable effort was spent training the new staff within TTP and STAR on 

Federal technology transfer policies and regulations as well as VA policies and 

regulations regarding the conduct of clinical studies. Since both TTP and STAR are 

involved in the review of these CRADAs, coordination of this review is critical. The 

teams have begun an evaluation of the CRADA review process based upon the past 

years’ experience directed at streamlining the review process. In FY 2014, VA will seek 

to update existing Masters and negotiate new Masters with the goal of reducing the 

number of modified agreements that need significant review by TTP and STAR. In 

addition, existing model agreements will be evaluated and updated as necessary to reflect 

current policy and regulations.

• Office Operations Support

TTP completed its analysis of workflow early in FY 2013 and determined that the 

existing database did not adequately support the scope of its technology transfer 

activities. A functional, intuitive database is critical to managing the various phases of the 

technology transfer lifecycle. A contract for a new database was finally awarded in 

September. When operational, this software will enhance the program’s capabilities in 

portfolio management; improve VA’s ability to track metrics and provide deliverables to 

academic affiliates and increase accountability and the ability to manage data. 

In FY 2012, TTP was required to replace existing contracts with its outside law firms 

who had been managing its intellectual property portfolio with new contracts. The VA 

will solicit additional contractors to assist in the management of new patent applications. 

VA TTP is an important link in the process of ensuring that Veterans receive access to 

the latest technologies developed by VA researchers. The program also helps VA and the 

American public to receive their fair share of royalties from patents and joint ventures 

with nongovernmental agencies and private companies. VA is proud to support the 

President’s goal of using technology transfer as a driver of successful innovation in the 

United States. 
135

VA Downstream Success Stories

Universal Drape for Patient Lifting Systems

A nurse associated with VA’s Safe Patient Handling Program has invented a set of disposable 

drapes that maintain sterility during patient prepping and clinical procedures. The drapes are 

configured to cover patient lifting systems used in hospitals and other healthcare facilities and 

are designed to reduce the rate of infection that patients acquire from patient lift systems as well 

as the injury rate of operating room nurses when lifting and maneuvering patients in the 

operating room. The patented invention was exclusively licensed in April of 2015 and is now 

being marketed and used in hospital operating rooms.

Antibody-Mediated Transduction of HSP70 into Living Cells

This protein therapy technology, developed by the VA, delivers a heat shock protein (HSP) that 

saves injured cells that suffer hypoxic and oxidative stresses that occur following common tissue 

injuries, such as heart attack, stroke, and traumatic brain injury. The protein is a targeted 

cytoprotectant that penetrates cells in regions of tissue damage and inhibits cell death. The 

protein has the potential to be developed as a protectant against toxic inhalants, nerve damage,

and radiation, and as a treatment for myocardial infarction, traumatic brain injury, and stroke. 

The patented invention was exclusively licensed in May of 2015.
136

Environmental Protection Agency (EPA)

EPA’s Federal Technology Transfer Act (FTTA) Program was established to promote 

collaboration between private sector and Federal researchers. EPA offers exceptional 

opportunities to develop and commercialize new technologies. Through the authority given to 

EPA by the Federal Technology Transfer Act of 1986 (Public Law 99-502), EPA facilitates the 

transfer of new technologies to the marketplace while protecting intellectual property rights of all 

parties.

Partners in the FTTA Program have the benefit of collaborating with world-class EPA scientists 

involved in leading-edge research. Collaboration enhances the quality of research projects and 

helps move environmental technologies into the marketplace, resulting in better protection of 

human health and the environment.

EPA’s annual technology transfer report is available online at:

http://www2.epa.gov/ftta/epa-reports-congress-technology-transfer

More information about EPA technology transfer activities is available on the following website:

http://www2.epa.gov/ftta.
137

EPA Invention Disclosures and Patenting

Between FY 2011 and FY 2015, the number of new inventions disclosed hovered between 5 and 

8, with an outlier of 18 in FY 2012. The number of patent applications filed experienced a 50% 

decrease. The number of patents issued during this five-year period decreased by 42% from 12 in 

FY 2011 to 7 patents in FY 2015.

FY 2011 FY 2012 FY 2013 FY 2014 FY 2015

New Inventions Disclosed 8 18 8 5 7

Patent Applications Filed 8 10 7 9 4

Patents Issued 12 17 16 5 7
138

Patents issued to EPA in FY 2015 covered many technology areas including engines, pumps, 

turbines (29%), transport (21%), mechanical elements (16%), basic materials chemistry (14%), 

and analysis of biological materials (7%).44

USPTO Patents Assigned to EPA by Technology Area: FY 201545

 44 Source: Prepared by Science-Metrix using USPTO data indexed in PATSTAT Spring 2016 edition (European 

Patent Office). Used with permission. 45 Source: Prepared by Science-Metrix using the Web of Science database. All rights reserved. Used with 

permission.
139

EPA Licenses

Between FY 2011 and FY 2015, the number of total active licenses decreased by 18% from 45 to 

37 licenses in FY 2015. New licenses went from a high of 6, to a low of zero in FY 2015. Total 

active income bearing licenses has fallen every year since FY 2011.

FY 2011 FY 2012 FY 2013 FY 2014 FY 2015

Licenses, Total Active 45 42 40 40 37

New Licenses 6 2 2 6 0

Invention Licenses, Total Active 45 42 40 40 37

New Invention Licenses 6 2 2 6 0

Income Bearing Licenses, Total Active 42 39 35 33 31

Income Bearing Exclusive Licenses 9 10 9 8 7
140

EPA Income from Licensing

Between FY 2011 and FY 2015, total income from all active licenses decreased by 39% from 

$383 thousand to $232 thousand in FY 2015. The income from invention licenses decreased by 

the same amount, as all income from licenses came from invention licenses. Total earned royalty 

income increased 72% from $135 thousand in FY 2011 to $232 thousand in FY 2015.

FY 2011 FY 2012 FY 2013 FY 2014 FY 2015

Total Income, All Active Licenses $383 $727 $193 $439 $232

Invention Licenses $383 $727 $193 $439 $232

Total Earned Royalty Income $135 $201 $193 $439 $232
141

EPA Collaborative R&D Relationships

Between FY 2011 and FY 2015, the number of total active CRADAs increased 15% to 97

agreements from a previous 84 in FY 2011. The number of new CRADAs per fiscal year

decreased by 12% to 23 new agreements in FY 2015. Total active traditional CRADAs 

decreased by 7% during the five-year period, totaling 50 agreements in FY 2015.

EPA Efforts to Streamline Technology Transfer Operations

EPA is committed to enhancing its training outreach, including through virtual methods. The 

inclusion of FTTA in the annual ethics training, conducted via the computer for nearly all staff, 

upheld this commitment to enhanced technology transfer training.

FY 2011 FY 2012 FY 2013 FY 2014 FY 2015

CRADAs, Total Active 84 92 112 129 97

New CRADAs 26 22 51 35 23

Traditional CRADAs, Total Active 54 63 55 52 50

Other Collaborative R&D Relationships 0 0 0 0 0
142

EPA Ethics Training for All Staff Incorporates FTTA and Protection of Intellectual 

Property

In the fall of 2012, EPA’s annual online ethics training was released. This training meets the 

government-wide requirement at 5 CFR 2638.704. Each year, a different focus area is selected, 

around which the training is structured. For 2012, the training focused on collaborations and 

agreements with external parties. Recognizing that this topic intersected neatly with EPA’s work 

under the Federal Technology Transfer Act (FTTA), the FTTA staff worked closely with the 

ethics staff to incorporate a module dedicated to the Federal Technology Transfer Act, 

development and protection of intellectual property, and patenting. This made-to-order module 

included information on CRADAs and other FTTA agreements, such as Materials Transfer 

Agreements; discussed how to identify intellectual property and established that intellectual 

property belongs to the Federal government if it was developed during the course of work; and 

highlighted protection of intellectual property through patents and licensing of patents.

EPA employees who file financial disclosure reports are required to take annual ethics training. 

However, at EPA, many more people take the training than are required. Typically, more than 

13,000 of EPA’s 16,000 employees take the training. By seizing the opportunity to insert training 

into the annual ethics course, FTTA staff capitalized on reaching a broad audience. While the 

FTTA staff conducts training every year for various EPA laboratories and offices, this was the 

first time that FTTA principles and mechanisms have been presented to the EPA workforce so 

broadly. At this critical time of diminishing budgets and an evolving research structure at the 

Agency, the knowledge of tools available under the FTTA statute can be very valuable to staff 

looking for opportunities to collaborate or leverage research dollars.

EPA Downstream Success Stories

Advancing Air Quality Sensing Technology

EPA has a five-year Cooperative Research and Development Agreement (CRADA) with Aclima, 

Inc., an emerging California-based technology company, to advance next generation air quality 

sensing technology and provide more mobile and less expensive air sensing capabilities for 

citizens, communities, air quality managers, businesses, and others interested in air quality 

issues. The agreement was signed in April 2013.

EPA has an active research program in developing and evaluating sensor technology to measure 

air quality. The Agency’s scientists are experts in developing and evaluating air quality methods 

and the application of those methods to understanding the relationships between air pollution and 

exposures and health. Aclima’s expertise is developing and manufacturing indoor, outdoor, and 

mobile air sensor networks and deploying sensors to better understand indoor and outdoor air 

quality. They specialize in managing, analyzing, visualizing, and communicating the data they 

generate to inform decision making.

The CRADA’s research efforts are focused in three broad areas:

• Developing and evaluating a low-cost, highly portable sensor for directly measuring fine 

and coarse particulate matter (PM) in indoor and outdoor settings in real-time;

• Measuring multiple indoor and outdoor air pollutants using stationary and mobile sensor 

platforms, including air sensors mounted on vehicles;
143

• Developing and evaluating sensors to detect chemical components of air pollutants, 

including black carbon, and non- and semi-volatile PM.

The goal of this research is to address the substantial technical challenges of developing high 

quality and verifiable data collection by air sensor technologies to protect public health.

Study results will be made available by publication in peer-reviewed scientific journals.

This research will improve the ability to collect data on air pollutants needed by decision makers 

at EPA and states to support National Ambient Air Quality Standards. It will also help determine 

what types of sensors work best, and how they can be used in indoor and outdoor environments 

and on vehicles. Study results will provide information about how these new mobile sensors 

perform in comparison to reference instruments on mobile platforms and at stationary sites. 

Sensors will also enable individuals and communities to increase their awareness of air quality 

issues.

With inexpensive and reliable mobile and stationary measurement capabilities, EPA aims to 

obtain reliable data at a lower cost that can be used to:

• Evaluate and apply air quality modeling techniques to better understand air quality and 

the relationship between air quality and climate change;

• Support research to understand more about how we are exposed to air pollutants and the 

distribution of these exposures as they relate to health effects;

• Provide key information to support the development of cost effective and efficient 

emissions management control practices.

For more information about EPA’s Air Research Program, visit http://epa.gov/airscience/nextgeneration-air-measuring.htm

Revamping EPA’s FTTA Website to Better Reach Potential Partners

To better reach out to potential research partners and licensees, as well as to enhance the

information available to EPA scientists and partners, the FTTA program conducted a major 

overhaul of its external website in FY14 and FY15. 

The website, which can be found at www.epa.gov/ftta, was redesigned and expanded to include 

information on how EPA conducts collaborative research with nonfederal partners, protects 

intellectual property, licenses EPA’s technologies, and generally advances the Federal 

Technology Transfer Act. This enhanced website focuses on providing resources to parties 

interested in collaborating with EPA on research and development projects. Specifically, the site 

provides background on the Program and legislation that spurs technology transfer efforts, 

provides detailed information on the processes for collaborating or licensing with EPA, and 

includes information on EPA’s research facilities. 

Additionally, the patent section was revamped, allowing businesses interested in licensing EPA 

technologies to view patented technologies by topic area, sort them by the more recently-issued 

patents, and to link to the actual patent on the U.S. Patent and Trademark Office website. 

Additionally, visitors to the site will be able to view more information on recently highlighted 

patents, which will be refreshed on an ongoing basis. 
144

New and updated “success stories” are included on the website to provide real-world examples 

of the benefits of the collaborations between EPA and external parties. Additional links are 

provided to other resources, such as the annual reports to Congress on technology transfer, online 

training available on the Federal Laboratory Consortium (FLC) website, and other related EPA 

programs.

The FTTA Program hopes that the additional information included on the new website, written 

with the needs of external collaborators and licensees in mind, will better address the questions 

that potential partners may have. Through these collaborative efforts, we hope to expand the 

impact of the technology transfer program at EPA as well as enable beneficial outcomes for the 

protection of human health and the environment.
145

National Aeronautics and Space Administration (NASA)

Written into the founding legislation that created NASA in 1958 is a directive from Congress to 

ensure that the technologies created for space exploration and aeronautics benefit the whole of 

humanity. The agency’s Technology Transfer Program is one of the many examples of how it

meets that challenge. 

NASA’s Technology Transfer Program is a national asset. It brings together the agency’s most 

capable problem-solvers with America’s brightest commercial and entrepreneurial leaders in 

partnerships that transfer groundbreaking NASA technologies to the public. The program 

provides solutions for challenges in virtually every industry. It has two primary objectives: the 

identification, protection, and transfer of agency intellectual assets, and communication of the 

societal benefits resulting from NASA technology transfer. The program supports an office at 

each of NASA’s ten field centers as well as an intellectual property management tool, the NASA 

Technology Transfer System (NTTS) and the Spinoff Program Office.

NASA’s Technology Transfer Program proved extremely successful this year, with many 

significant advances in key areas. Multiple new initiatives were launched to coordinate the work 

of the NASA field centers under an agency-directed strategy that enables more efficient 

operations and ensures that more NASA technologies make their way into America's private 

sector. It has created tools that give the outside world a seamless and integrated interface with 

NASA. It has leveraged its technology portfolio’s marketing collateral through numerous 

promising partnerships that will create new businesses that attract millions of dollars in seed 

funding for startup companies.

NASA has developed and executed a five-year plan designed to increase the rate, quality, and 

quantity of technology transfers to the private sector. The plan centers on seven core objectives:

1. Revise agency policies and strategies to ensure alignment with NASA’s commitment to 

technology transfer best practices;

2. Increase new technology reporting;

3. Strategically acquire and manage intellectual property;

4. Market agency technology assets;

5. Develop and implement innovative methods for technology licensing;

6. Increase the release of NASA-developed software to new users; and

7. Build partnerships for technology development, transfer, and mutual benefit.

During fiscal year 2015, the fourth year of its plan, NASA has observed a “rising tide” across 

almost all data that track technology transfer successes: licenses of NASA inventions, software 

usage agreements, new technologies published, lowered barriers for those interested in finding 

and acquiring agency technology, and more. Its improving metrics across the board are the direct 

result of the agency’s strategic approach to consolidating and managing its intellectual property 

portfolio, streamlining and simplifying processes and innovating in the field of technology 

transfer practices.
146

NASA’s annual technology transfer reports are available online at:

http://technology.nasa.gov/analytics/

More information about NASA technology transfer activities is available on the following 

website: http://www.nasa.gov/offices/oct/home/index.html
147

NASA Invention Disclosures and Patenting46

Between FY 2011 and FY 2015, the number of new inventions disclosed decreased by 11% from 

1,748 in FY 2011 to 1,550 disclosures in FY 2015. The number of patent applications filed 

increased by 1% to 129. The number of patents issued during this five-year period increased by 

10% from 112 in FY 2011 to 123 patents in FY 2015.

 46 NASA has updated its data for improved accuracy. The changes allow for more accurate comparison with the 

other federal agencies and better reflect NASA’s technology transfer activities, some of which are unique to the 

agency, such as NASA’s use of Space Act Agreements for cooperative research and NASA’s robust software release 

program.

1,748

1,656 1,627

1,701

1,550

128 130 112 131 150 118 140 120 129 123

0

200

400

600

800

1,000

1,200

1,400

1,600

1,800

2,000

FY 2011 FY 2012 FY 2013 FY 2014 FY 2015

NASA Invention Disclosures and Patenting

New Inventions Disclosed Patent Applications Filed Patents Issued

FY 2011 FY 2012 FY 2013 FY 2014 FY 2015

New Inventions Disclosed 1,748 1,656 1,627 1,701 1,550

Patent Applications Filed 128 130 150 140 129

Patents Issued 112 131 118 120 123
148

Patents issued to NASA in FY 2015 covered many technology areas including measurement 

(23%), computer technology (9%), transport (7%), semiconductors (7%), telecommunications 

(5%) and chemical engineering (4%).

47

USPTO Patents Assigned to NASA by Technology Area: FY 2015

 47 Source: Prepared by Science-Metrix using USPTO data indexed in PATSTAT Spring 2016 edition (European 

Patent Office). Used with permission.
149

NASA Licenses

Between FY 2011 and FY 2015, the number of total active licenses increased by 7% from 351 in 

FY 2011 to 375 licenses in FY 2015. New licenses increased by 147% to 74 licenses from 30. 

The number of total active invention licenses increased by 8% from 297 to 321. New invention 

licenses increased 245%, from 20 to 69. Total active income bearing licenses decreased by 22%, 

from 249 to 193. The number of exclusive licenses increased by 71%, from 7to 12.

351 346

332

349

375

30

33

38

51

74

297

296

281

297

321

20

28

31

45

69

249

152

160

176

193

7

10

11

9

12

0

50

100

150

200

250

300

350

400

FY 2011 FY 2012 FY 2013 FY 2014 FY 2015

NASA Licenses

Licenses, Total Active New Licenses

Invention Licenses, Total Active New Invention Licenses

Income Bearing Licenses, Total Active Income Bearing Exclusive Licenses

FY 2011 FY 2012 FY 2013 FY 2014 FY 2015

Licenses, Total Active 351 346 332 349 375

New Licenses 30 33 38 51 74

Invention Licenses, Total Active 297 296 281 297 321

New Invention Licenses 20 28 31 45 69

Income Bearing Licenses, Total Active 249 152 160 176 193

Income Bearing Exclusive Licenses 7 10 11 9 12
150

NASA Income from Licensing

Between FY 2011 and FY 2015, the total income from all active licenses increased by 13% from 

$3.012 million in FY 2011 to $3.395 million in FY 2015. The income from invention licenses 

increased by 6% to $2.828 million. Total earned royalty income increased 17% from $2.786

million in FY 2011 to $3.250 million in FY 2015. $3,012 $3,375 $2,183

$2,095

$3,395

$2,677 

$2,967 

$1,644

$1,729

$2,828

$2,786 

$3,333 

$2,132

$2,063

$3,250

$0

$500

$1,000

$1,500

$2,000

$2,500

$3,000

$3,500

$4,000

FY 2011 FY 2012 FY 2013 FY 2014 FY 2015

NASA Income from Licensing ($000s)

Total Income, All Active Licenses Invention Licenses Total Earned Royalty Income

FY 2011 FY 2012 FY 2013 FY 2014 FY 2015

Total Income, All Active $3,012 $3,375 $2,183 $2,095 $3,395

Invention Licenses $2,677 $2,967 $1,644 $1,729 $2,828

Total Earned Royalty Income $2,786 $3,333 $2,132 $2,063 $3,250
151

NASA Collaborative R&D Relationships

The National Aeronautics and Space Act of 1958 provides NASA with the unique authority to 

enter into a wide range of "other transactions," commonly referred to as Space Act Agreements. 

NASA uses Space Act Agreements to engage in collaborative research projects with various 

partners to advance NASA’s mission and program objectives, including international cooperative 

space activities. Space Act Agreements differ from traditional CRADA agreements and therefore 

in this report, Space Act Agreements are included under the category “Other Collaborative 

Agreements.” 

Between FY 2011 and FY 2015, the number of Space Act Agreements increased 23% from 

1,716 agreements in FY 2011 to 2,113 in FY 2015.

0 0 0 0 0 0 0 0 0 0 0 0 0 0 0

1,716 1,756

1,990

2,091 2,113

0

500

1000

1500

2000

2500

FY 2011 FY 2012 FY 2013 FY 2014 FY 2015

NASA Collaborative R&D Relationships

CRADAs, Total Active New CRADAs

Traditional CRADAs, Total Active Other Collaborative R&D Relationships

FY 2011 FY 2012 FY 2013 FY 2014 FY 2015

CRADAs, Total Active 0 0 0 0 0

New CRADAs 0 0 0 0 0

Traditional CRADAs, Total Active 0 0 0 0 0

Other Collaborative R&D Relationships 1,716 1,756 1,990 2,091 2,113

(Space Act Agreements)
152

Other Performance Measures Deemed Important by the Agency

Software Release

NASA reports the following software release data.

Software Release FY 2011 FY 2012 FY 2013 FY 2014 FY 2015

Software Usage Agreements

New Software Usage Agreements Executed 1,068 1,316 1,368 1,685 2,107

Public Domain Release 38 29 56 218 303

US Release Only 521 787 665 699 930

Project Release 218 247 289 286 399

Interagency Release 79 99 110 146 167

NASA Release 81 104 166 181 174
153

NASA Downstream Success Stories

Now in its 40th year of publication, NASA’s Spinoff annually highlights the best examples of 

technology transfer successes that making a positive impact in the world today. Spinoff 2016 

featured 52 commercialized NASA technologies in the areas of health and medicine, 

transportation, public safety, consumer goods, energy and environment, information technology, 

and industrial productivity. These products and services came from a diverse group of 

companies—many of them small businesses—located in 24 states.

The technologies featured in Spinoff are creating jobs, developing new products/markets, 

increasing the industrial base of the country, producing billions of dollars in revenue, saving 

billions of dollars in costs and reducing the environmental impact of modern life. Spinoffs even 

save lives while improving the quality of life here on Earth, right now, in countless other ways. 

The 2,000 technologies featured in Spinoff since 1976 also illustrate to the American taxpayer 

that an investment in NASA yields numerous positive returns in secondary, tangible benefits. 

The following Spinoff summaries highlight this year’s accomplishments. The full text version of 

these stories, and more, can be found on the NASA Spinoff website: http://spinoff/nasa/gov.

Satellite Data Used to Stabilize Rice Markets, Enable Alternative Irrigation Practices 

Applied Geosolutions, a small business, created web-based software under NASA funding. The 

software uses data from NASA satellites and others to generate real-time information about rice 

crops, including expected yields, throughout the growing season. Despite being one of the 

world’s most important staple crops, rice has been a volatile commodity due to lack of reliable 

yield predictions, leading to price spikes, shortages, hunger, and unrest. The information gained 

from this NASA spinoff can be used by markets and public officials to stabilize markets and 

anticipate shortages. The system also helps farmers use alternative irrigation practices to save 

water and cut back on the amount of methane produced by rice farms – methane being one of the 

most powerful greenhouse gases.

Drug Tested on Space Station Treats Osteoporosis 

Amgen, a biotechnology company, flew mice on three space shuttle-era missions to the 

International Space Station in partnership with NASA and BioServe Space Technologies. The 

mice were treated with antibodies designed to block a protein secreted by the body in 

microgravity that stops the strengthening of bones. One of the three antibodies tested became a 

key ingredient in Prolia, now a major pharmaceutical used to treat bone-density conditions, 

particularly osteoporosis. The results of the space-station testing helped validate the research 

Amgen did to gain federal approval for its drug. 

Nanosatellites Provide Daily Picture of Earth for Mapping, Monitoring 

Planet Labs, Inc., a small business, has garnered nearly $200 million in investment in order to 

release “flocks” of its nanosatellites into low Earth orbit, with the goal of providing full coverage 

of the Earth every 24 hours. Three former NASA employees started the Earth-imaging company 

using their experience developing and launching affordably built nanosatellites for the agency’s 

PhoneSat project. Mobile-phone companies may use the fresh satellite data to improve maps in 

near-real time, insurance companies could verify homeowner damage claims following natural 
154

disasters such as hurricanes, and environmental monitoring information could be used for 

mitigation planning and resource sustainability.

Software Predicts, Extends Life of Wind Turbines, Aircraft, and More 

A NASA helicopter gear database was used to validate DigitalClone software, a product of the 

small business, Sentient Science, which predicts system performance and warns of upcoming 

failure aboard aircraft. Following validation, the company went commercial. Instead of years of 

physical testing to gather data, the program can accurately generate thousands of test points in 

just days. It’s now used in the Hubble Space Telescope, several military aircraft programs, 

medical devices such as hip replacements, and more than 5,000 wind turbines belonging to eight 

operators. DigitalClone has helped reduce cost of wind energy and won the 2014 Tibbetts award, 

the government’s highest recognition of outstanding achievements under the Small Business 

Innovation Research and Small Business Technology Transfer programs.

Mars Methane Detector Identifies Harmful Gas Leaks 

To help determine whether Mars is, or ever was host to life, the Jet Propulsion Laboratory (JPL) 

invented the Tunable Laser Spectrometer (TLS) for measuring methane, which can be secreted 

by certain microbes. The TLS was found to be helpful for utility companies checking for gas 

leaks, which contribute to global warming and can cause explosions. Through a Space Act 

Agreement with Pipeline Research Council International, JPL created a methane detector that’s 

easy to use and more sensitive and ergonomic than other technologies of its kind.

System-Health Monitor Predicts Failures Before They Happen 

Inductive Monitoring System software developed by NASA is now part of a program that can 

monitor any system that has a normal baseline of behavior from which data can be collected, 

including mechanical, weather, and possibly biological systems. CEMSol, LLC, a small 

disadvantaged and economically disadvantaged women-owned small business, licensed the 

program, along with a software extension and the graphical user interface, to create its Integrated 

System Health Management (ISHM) software. The software spots anomalies in system behavior 

and predicts failures. In 2012 CEMSol, NASA's Ames Research Center and Lockheed Martin 

tried ISHM on the Hercules C-130 airplane. Lockheed Martin invested $70,000 in the test and 

quickly recouped 10 times as much in reduced maintenance costs and mission delays.
155

Chapter 3 

Conclusion

Technology transfer is an active and essential mission of Federal R&D laboratories. By 

leveraging our Nation’s innovative nature and investing in science and technology, we 

strengthen our economy and American competitiveness in world markets. In recent years, 

agencies have engaged in efforts to increase the rate and efficacy of technology transfer activities 

and thereby improve the economic and societal impact from Federal R&D investments.

This report provides a summary of the technology transfer activities of all 11 Federal agencies 

that are actively involved in R&D. This summary is derived from each agency’s annual 

technology transfer reports that are located online at http://nist.gov/tpo/publications/agencytechnology-transfer-reports.cfm.

Statistical data provided in this report indicate that there has been an increase in invention 

disclosures and patenting activities over the five-year span from FY 2011 through FY 2015. 

During this period, Federal invention disclosures decreased by 8%, patent applications increased 

by 4%, and patents issued increased by 50%. In FY 2015, the largest number of Federal patents 

issued involved measurements (12%) followed by biotechnology (7%), pharmaceuticals (7%), 

computer technology (6%), other special machines (6%), electrical machinery (6%), and 

semiconductors (6%)

Between FY 2011 and FY 2015, total active licenses increased by 14%, new licenses decreased 

by 14%, invention licenses increased by 29%, new invention licenses increased by 38%, incomebearing licenses increased by 20%, and exclusive licenses decreased by 18%.48 Income from all 

licensing increased by 21%, income from invention licenses increased by 32%, and total earned 

royalty income increased by 16%.

Federal collaborative R&D relationships increased by 19%, new CRADA agreements increased 

by 20%, traditional CRADA agreements increased by 3%, and nontraditional CRADA 

agreements increased by 17%.

In FY 2015, Federal researchers published 44,483 papers. More than half of these papers were in 

the fields of biological sciences (23%), medical sciences (20%), and physics (14%). In FY 2015, 

14,470 papers cited in U.S. patents were authored or coauthored by Federal researchers. Of 

these papers, 78% involved research in the fields of biological sciences (43%), medical sciences 

(22%), and physics (12%).

Initial effort to determine the number of small businesses involved in Federal CRADA 

agreements reveals that out of the 4,710 traditional, Federal CRADA agreements from agencies 

that tracked small business participation, 16% involve small businesses as participants. Federal 

agencies also support small businesses through the licensing of technologies. Initial data reveal

that of the 30,685 active, Federal licenses from agencies that could identify company size, 2% 

were issued to small businesses. 

 48 DoD did not report “Income Bearing Exclusive Licenses for the FY 2013 to FY 2015 period.
156

Federally developed technologies are also transferred through the actions of young startup 

companies. Companies that have been in existence for five years or less and have spun off 

federally developed technologies or have received critical technical support for their core 

development areas from Federal laboratories evidence the effective transfer of Federal 

technologies. Review of preliminary data from four agencies identifies 93 companies that started 

between the years of 2010 and 2015, and have received critical technical support from Federal 

laboratories.

In summary, this report shows that agencies have made steady progress in their efforts to 

improve the transfer of technologies from Federal laboratories. By projecting trend lines for 

patents, invention licenses and CRADAs there is clear evidence that efforts to streamline and 

improve processes have been successful. Agencies are now engaged in efforts to assess the 

impact of these efforts to show how Federal technology transfer promotes economic growth, the 

creation of new products, and increased employment opportunities. 
157

Appendix A

Federal Invention Disclosure and Patenting

Agency Metric FY 2011 FY 2012 FY 2013 FY 2014 FY 2015

USDA New Inventions Disclosed 158 160 191 117 222

Patent Applications Filed 124 122 157 119 125

Patents Issued 49 69 65 83 94

DOC New Inventions Disclosed 26 52 41 47 61

Patent Applications Filed 17 25 26 25 30

Patents Issued 16 14 21 19 20

DoD New Inventions Disclosed 929 1,078 1,032 963 781

Patent Applications Filed 844 1,013 942 916 884

Patents Issued 523 1,048 648 670 623

DOE New Inventions Disclosed 1,820 1,661 1,796 1,588 1,645

Patent Applications Filed 868 780 944 1,144 949

Patents Issued 460 483 554 693 755

HHS New Inventions Disclosed 351 352 320 351 321

Patent Applications Filed 272 233 230 216 222

Patents Issued 270 453 428 335 501

DHS New Inventions Disclosed 38 40 20 36 15

Patent Applications Filed 12 10 4 5 7

Patents Issued 0 0 4 3 4

DOI New Inventions Disclosed 5 10 9 6 7

Patent Applications Filed 2 3 8 4 8

Patents Issued 1 3 4 2 3

DOT New Inventions Disclosed 2 2 13 3 0

Patent Applications Filed 2 1 5 0 5

Patents Issued 0 4 1 1 1

VA New Inventions Disclosed 191 335 273 290 221

Patent Applications Filed 29 37 25 29 26

Patents Issued 7 9 3 7 51
158

Federal Invention Disclosure and Patenting (continued)

Agency Metric FY 2011 FY 2012 FY 2013 FY 2014 FY 2015

EPA New Inventions Disclosed 8 18 8 5 7

Patent Applications Filed 8 10 7 9 4

Patents Issued 12 17 16 5 7

NASA New Inventions Disclosed 1,748 1,656 1,627 1,701 1,550

Patent Applications Filed 128 130 150 140 129

Patents Issued 112 131 118 120 123

Total Metric FY 2011 FY 2012 FY 2013 FY 2014 FY 2015

New Inventions Disclosed 5,276 5,364 5,330 5,107 4,830

Patent Applications Filed 2,306 2,364 2,498 2,607 2,389

Patents Issued 1,450 2,231 1,862 1,938 2,182
159

Federal Licenses

Agency Metric FY 2011 FY 2012 FY 2013 FY 2014 FY 2015

USDA Licenses, Total Active 358 384 400 414 424

New Licenses 35 34 25 30 35

Invention Licenses, Total Active 322 341 351 363 359

New Invention Licenses 29 28 19 28 20

Income Bearing Licenses, Total Active 354 379 397 412 421

Income Bearing Exclusive Licenses 257 277 291 299 292

DOC Licenses, Total Active 40 41 40 40 44

New Licenses 5 6 5 7 13

Invention Licenses, Total Active 40 41 40 40 44

New Invention Licenses 5 6 5 7 13

Income Bearing Licenses, Total Active 26 25 28 26 31

Income Bearing Exclusive Licenses 12 12 15 15 17

DOD Licenses, Total Active 633 520 527 430 560

New Licenses 63 44 59 24 11

Invention Licenses, Total Active 431 432 425 297 446

New Invention Licenses 63 44 59 6 69

Income Bearing Licenses, Total Active 214 356 264 223 213

Income Bearing Exclusive Licenses 51 120 n/r n/r n/r

DOE Licenses, Total Active 5,310 5,328 5,217 5,861 6,310

New Licenses 822 757 567 573 648

Invention Licenses, Total Active 1,432 1,428 1,353 1,560 1,336

New Invention Licenses 169 192 153 171 155

Income Bearing Licenses, Total Active 3,510 3,340 3,709 4,215 4,577

Income Bearing Exclusive Licenses 315 344 199 141 98

HHS Licenses, Total Active 1,613 1,465 1,426 1,555 1,767

New Licenses 264 231 184 212 279

Invention Licenses, Total Active 414 1,090 1,069 1,186 1,354

New Invention Licenses 106 192 152 117 232

Income Bearing Licenses, Total Active 849 809 809 845 843

Income Bearing Exclusive Licenses 27 24 125 34 119

DHS Licenses, Total Active 0 0 0 2 4

New Licenses 0 0 0 0 3

Invention Licenses, Total Active 0 0 0 2 4

New Invention Licenses 0 0 0 0 3

Income Bearing Licenses, Total Active 0 0 0 1 4

Income Bearing Exclusive Licenses 0 0 0 0 0
160

Federal Licenses (continued)

Agency Metric FY 2011 FY 2012 FY 2013 FY 2014 FY 2015

DOI Licenses, Total Active 25 26 20 18 20

New Licenses 2 1 3 0 3

Invention Licenses, Total Active 23 24 20 16 18

New Invention Licenses 2 1 3 0 3

Income Bearing Licenses, Total Active 22 22 16 15 18

Income Bearing Exclusive Licenses 3 12 4 5 7

DOT Licenses, Total Active 3 3 3 1 2

New Licenses 1 1 0 0 1

Invention Licenses, Total Active 3 3 0 0 0

New Invention Licenses 0 0 0 0 0

Income Bearing Licenses, Total Active 3 2 3 1 2

Income Bearing Exclusive Licenses 1 0 0 1 0

VA Licenses, Total Active 192 197 194 197 200

New Licenses 11 8 9 3 3

Invention Licenses, Total Active 192 197 203 197 200

New Invention Licenses 11 8 9 3 3

Income Bearing Licenses, Total Active 12 9 13 14 16

Income Bearing Exclusive Licenses 8 9 10 9 11

EPA Licenses, Total Active 45 42 40 40 37

New Licenses 6 2 2 6 0

Invention Licenses, Total Active 45 42 40 40 37

New Invention Licenses 6 2 2 6 0

Income Bearing Licenses, Total Active 42 39 35 33 31

Income Bearing Exclusive Licenses 9 10 9 8 7

NASA Licenses, Total Active 351 346 332 349 375

New Licenses 30 33 38 51 74

Invention Licenses, Total Active 297 296 281 297 321

New Invention Licenses 20 28 31 45 69

Income Bearing Licenses, Total Active 249 152 160 176 193

Income Bearing Exclusive Licenses 7 10 11 9 12

Total Metric FY 2011 FY 2012 FY 2013 FY 2014 FY 2015

Licenses, Total Active 8,570 8,352 8,199 8,907 9,743

New Licenses 1,239 1,117 892 906 1,070

Invention Licenses, Total Active 3,199 3,894 3,782 3,998 4,119

New Invention Licenses 411 501 433 383 567

Income Bearing Licenses, Total Active 5,281 5,133 5,434 5,961 6,349

Income Bearing Exclusive Licenses 690 818 664 521 563
161

Federal Income from Licensing ($000s)

Agency Metric FY 2011 FY 2012 FY 2013 FY 2014 FY 2015

USDA Total Income, All Active Licenses $3,989 $3,806 $4,386 $4,928 $5,070

Invention Licenses $3,855 $3,671 $4,054 $4,733 $4,845

Total Earned Royalty Income, (ERI) $3,137 $3,060 $3,354 $3,611 $3,510

DOC Total Income, All Active Licenses $277 $248 $151 $220 $164

Invention Licenses $277 $248 $151 $220 $164

Total Earned Royalty Income, (ERI) $277 $248 $151 $220 $164

DOD Total Income, All Active Licenses $15,682 $7,055 $21,575 $10,890 $8,482

Invention Licenses $15,364 $6,552 $20,859 $10,890 $8,482

Total Earned Royalty Income, (ERI) $7,702 $6,335 $20,438 $10,890 $8,482

DOE Total Income, All Active Licenses $44,728 $40,849 $39,573 $37,885 $33,137

Invention Licenses $40,600 $36,103 $36,068 $32,869 $28,966

Total Earned Royalty Income, (ERI) $27,107 $28,735 $27,669 $23,321 $21,245

HHS Total Income, All Active Licenses $98,453 $110,576 $116,448 $137,249 $151,727

Invention Licenses $82,842 $108,308 $103,664 $133,814 $147,512

Total Earned Royalty Income, (ERI) $96,605 $110,930 $116,601 $116,765 $114,102

DHS Total Income, All Active Licenses $0 $0 $0 $3 $6

Invention Licenses $0 $0 $0 $0 $0

Total Earned Royalty Income, (ERI) $0 $0 $0 $3 $6

DOI Total Income, All Active Licenses $115 $76 $96 $58 $106

Invention Licenses $115 $76 $96 $58 $106

Total Earned Royalty Income, (ERI) $104 $65 $96 $58 $106

DOT Total Income, All Active Licenses $18 $7 $9 $23 $12

Invention Licenses $15 $7 $12 $0 $0

Total Earned Royalty Income, (ERI) $8 $6 $12 $23 $12

VA Total Income, All Active Licenses $401 $391 $146 $376 $329

Invention Licenses $401 $391 $146 $376 $329

Total Earned Royalty Income, (ERI) $401 $392 $390 $376 $329

EPA Total Income, All Active Licenses $383 $727 $193 $439 $232

Invention Licenses $383 $727 $193 $439 $232

Total Earned Royalty Income, (ERI) $135 $201 $193 $439 $232
162

Federal Income from Licensing (continued) ($000s)

Agency Metric FY 2011 FY 2012 FY 2013 FY 2014 FY 2015

NASA Total Income, All Active Licenses $3,012 $3,375 $2,183 $2,095 $3,395

Invention Licenses $2,677 $2,967 $1,644 $1,729 $2,828

Total Earned Royalty Income, (ERI) $2,786 $3,333 $2,132 $2,063 $3,250

Total Metric FY 2011 FY 2012 FY 2013 FY 2014 FY 2015

Total Income, All Active Licenses $167,058 $167,110 $184,760 $194,166 $202,660

Invention Licenses $146,529 $159,050 $166,887 $185,128 $193,464

Total Earned Royalty Income, (ERI) $130,456 $146,970 $161,488 $157,769 $151,438
163

Federal Collaborative R&D Relationships

Agency Metric FY 2011 FY 2012 FY 2013 FY 2014 FY 2015

USDA CRADAs, Total Active 292 274 259 267 301

New CRADAs 102 65 86 60 80

Traditional CRADAs, Total Active 207 211 211 193 188

Other Collaborative R&D Relationships 13,458 14,351 16,102 15,706 15,439

DOC CRADAs, Total Active 2,245 2,410 2,428 2,359 2,751

New CRADAs 2,192 2,844 2,289 2,111 2,548

Traditional CRADAs, Total Active 99 153 196 206 315

Other Collaborative R&D Relationships 2,899 2,782 2,977 3,031 3,172

DoD CRADAs, Total Active 2,554 2,400 2,682 2,762 2,148

New CRADAs 762 757 769 671 793

Traditional CRADAs, Total Active 1,685 1,328 2,682 2,281 1,601

Other Collaborative R&D Relationships 988 0 606 581 1,389

DOE CRADAs, Total Active 720 742 742 745 734

New CRADAs 178 184 142 180 184

Traditional CRADAs, Total Active 720 742 742 745 734

Other Collaborative R&D Relationships 0 0 0 0 0

HHS CRADAs, Total Active 430 377 427 532 400

New CRADAs 81 93 104 98 112

Traditional CRADAs, Total Active 284 245 313 378 202

Other Collaborative R&D Relationships 0 0 114 154 150

DHS CRADAs, Total Active 62 94 114 158 230

New CRADAs 31 53 76 88 98

Traditional CRADAs, Total Active 55 89 91 121 200

Other Collaborative R&D Relationships 11 11 6 31 30

DOI CRADAs, Total Active 351 379 476 601 826

New CRADAs 295 284 376 423 586

Traditional CRADAs, Total Active 22 28 21 35 38

Other Collaborative R&D Relationships 209 283 322 292 318

DOT CRADAs, Total Active 25 29 40 51 48

New CRADAs 8 12 8 10 9

Traditional CRADAs, Total Active 0 3 3 7 48

Other Collaborative R&D Relationships 39 14 26 30 35
164

Federal Collaborative R&D Relationships (continued)

Agency Metric FY 2011 FY 2012 FY 2013 FY 2014 FY 2015

VA CRADAs, Total Active 1,477 1,510 1,550 2,317 2,305

New CRADAs 450 522 453 505 509

Traditional CRADAs, Total Active 1,444 1,430 1,550 1,618 1,334

Other Collaborative R&D Relationships 0 0 0 0 0

EPA CRADAs, Total Active 84 92 112 129 97

New CRADAs 26 22 51 35 23

Traditional CRADAs, Total Active 54 63 55 52 50

Other Collaborative R&D Relationships 0 0 0 0 0

NASA CRADAs, Total Active 0 0 0 0 0

New CRADAs 0 0 0 0 0

Traditional CRADAs, Total Active 0 0 0 0 0

Other Collaborative R&D Relationships 1,716 1,756 1,990 2,091 2,113

Total Metric FY 2011 FY 2012 FY 2013 FY 2014 FY 2015

CRADAs, Total Active 8,240 8,307 8,830 9,921 9,840

New CRADAs 4,125 4,836 4,354 4,181 4,942

Traditional CRADAs, Total Active 4,570 4,292 5,864 5,636 3,976

Other Collaborative R&D Relationships 19,320 19,197 22,143 21,916 22,646
165

Appendix B

Technology Area Classifications

Mapping of International Patent Classifications to Technology Area49

Analysis of Biological Materials – Includes the investigation or analysis of specific methods not 

covered by other groups. Materials analyzed include: food, water, metals, explosives, oils, paints, 

paper, textiles, concrete, resins, wood, and biological material.

Audio-Visual Technology – Includes but is not limited to: advertising, signs, labels or nameplates, seals, arrangements or circuits for control of indicating devices using static means to 

present variable information, scanning details of television systems, color television systems, still 

video cameras, loudspeakers, microphones, stereophonic systems, and printed circuits. 

Basic Communication Processes – Includes but is not limited to: generation of oscillations, 

modulation, amplifiers, control of amplification, impedance networks, tuning resonant circuits, 

pulse technique, and general coding, decoding, or code conversion.

Basic Materials Chemistry – Includes but is not limited to: preservation of bodies of humans or 

animals or plants, nitrogenous fertilizers, explosive or thermic compositions, detonating or 

priming devices, means for generating smoke or mist, manufacture of matches, organic dyes, 

coating compositions, natural resins, preparation of glue, adhesives, drying or working-up or 

peat, cracking hydrocarbon oils, production of acetylene by wet methods, lubrication 

compositions, and detergent compositions. 

Biotechnology – Includes but is not limited to: compounds of unknown constitution, peptides, 

apparatus for enzymology or microbiology, micro-organisms or enzymes, fermentation or 

enzyme-using processes to synthesize a desired chemical compound or composition or to 

separate optical isomers from a racemic mixture, and measuring or testing processes involving 

enzymes or micro-organisms. 

Chemical Engineering – Includes but is not limited to: boiling, evaporating, sublimation, cold 

traps, crystallization, solvent extraction, displacing liquid, degasification of liquids, filters 

comprising of loose filtering material, cartridge filters of the throw-away type, processes of 

filtration, regeneration of the filtering material or filter elements outside the filter for liquid or 

gaseous fluids, separation of different isotopes of the same chemical element, chemical or 

physical laboratory apparatus for general use, separating solid materials using liquids or using 

pneumatic tables or jigs, centrifuges, flotation, spraying apparatus, treating textile materials by 

liquids, bleaching, drying solid materials or objects by removing liquid therefrom, and plasma 

technique. 

 49 Derived from The World Intellectual Property Organization’s International Patent Classification (IPC) 

Correspondence Table (http://www.wipo.int/export/sites/www/ipstats/en/statistics/patents/xls/ipc_technology.xls) 

and IPC Searchable Classification Database, Version 2016.01 

(http://web2.wipo.int/classifications/ipc/ipcpub/#refresh=page).
166

Civil Engineering – Includes but is not limited to: construction of roads, sports ground, 

platforms and refuge islands, landing stages for helicopters, machines for making railways, 

bridges, devices providing protection against weather, street cleaning, ship-lifting devices, 

foundations, excavations, embankments, dredging, water installation, sewers, water-closets or 

urinals with flushing devices, general building constructions, building materials, skylights, 

gutters, stairs, floors, locks, handcuffs, swimming pools, hinges for doors, windows, or wings, 

safes or strong-rooms for valuables, bank protection devices, ladders, earth or rock drilling, 

mining or quarrying, large underground chambers, and safety devices. 

Computer Technology – Includes but is not limited to: digital computers in which all the 

computation is effected mechanically, digital fluid-pressure computing devices, optical 

computing devices, electric digital data processing, analog computers, recognition of data, 

counting mechanisms, image data processing or generation, speech analysis or synthesis, speech 

recognition, and static stores. 

Control – Includes but is not limited to: systems for controlling or regulating non-electric 

variables, ticket-issuing apparatus, time or attendance registers, handling or coins or of paper 

currency or similar valuable papers, con-freed or like apparatus, signaling or calling systems, 

traffic control systems, educational or demonstration appliances, ciphering or deciphering 

apparatus for cryptographic or other purposes involving the need for secrecy, and railway or like 

time or fare tables.

Digital Communication – Includes but is not limited to: transmission of digital information, 

selective content distribution, and wireless communication networks.

Electrical Machinery, Apparatus, Energy – Includes but is not limited to: incandescent 

mantles, lighting devices or systems, nonportable lighting devices or systems, cables, conductors, 

insulators, magnets, inductances, transformers, capacitors, electric switches, electric discharge 

tubes or discharge lamps, electric incandescent lamps, spark gaps, emergency protective circuit 

arrangements, dynamo-electric machines, electric heating, static electricity, and generation of 

electric power by conversion of Ingra-red radiation, visible light, or ultraviolet light.

Engines, Pumps, Turbines – Includes but is not limited to: steam engines, rotary-piston or 

oscillating-piston machines or engines, steam engine plants, cyclically operating valves for 

machines or engines, lubricating of machines or engines in general, cooling of machines or 

engines in general, internal-combustion piston engines, gas-turbine plants, jet-propulsion plants, 

starting of combustion engines, machines or engines for liquids, wind motors, positive- and nonpositive displacement pumps, generating combustion products of high pressure or high velocity, 

fusion reactors, nuclear reactors, nuclear power plant, conversion of chemical elements, 

obtaining energy from radioactive sources, and nuclear explosives. 

Environmental Technology – Includes but is not limited to: fire-fighting, separating dispersed 

particles from gases, combinations of devices for separating particles from gases or vapors, 

disposal of solid waste, reclamation of contaminated soil, gathering or removal of domestic or 

like refuse, water treatment, cremation furnaces, and measurement of nuclear or x-radiation.
167

Food Chemistry – Includes but is not limited to: new plants or processes for obtaining them, 

treatment of flour or dough for baking, preserving by canning, dairy products, edible oils or pats, 

coffee, tea, cocoa, coca products, protein compositions for foodstuffs, feeding-stuffs specially 

adapted for animals, brewing of beer, recovery of by-products of fermented solutions, wine, 

preparation of vinegar, production of sugar juices, extraction of sucrose from molasses, and 

drying sugar.

Furniture, Games – Includes but is not limited to: tables, desks, office furniture, chairs, child 

furniture, special furniture, household or table equipment, furnishings for windows or doors, 

kitchen equipment, sanitary equipment, toilet accessories, domestic washing or cleaning, 

apparatus for physical training, design or layout of courts, bowling games, card games, indoor 

games, merry-go-rounds, swings, toys, devices for theaters and circuses, racing and riding sports 

equipment and accessories.

Handling – Includes but is not limited to: labeling or tagging machines, containers for storage or 

transport of articles of materials, transport or storage devices, handling thick or filamentary 

material, elevators, escalators, moving walkways, cranes, capstans, winches, tackles, pulley 

blocks, hoists, applying closure members to bottles, and filling or emptying of bottles, jars, cans, 

casks, barrels, or similar containers. 

IT Methods for Management – Includes data processing systems or methods, specially adapted

for administrative, commercial, financial, managerial, supervisory, or forecasting purposes.

Machine Tools – Includes but is not limited to: chemical means for extinguishing fires, rolling 

of metal, working or processing of metal wire, making forged or pressed metal products, making 

metal chains, making gears or toothed racks, thread cutting, soldering, welding, abrasive or 

related blasting with particulate material, tools for grinding, hand-held nailing or stapling tools, 

handles for hand implements, workshop equipment, saws for wood or similar material, working 

veneer or plywood, dovetailed work, removing bark or vestiges of branches, and accessory 

machines or apparatus for working wood or similar materials.

Macromolecular Chemistry, Polymers – Includes but is not limited to: polysaccharides, 

treatment or chemical modification of rubbers, derivatives of natural macromolecular 

compounds, use of inorganic or non-macromolecular organic substances as compounding 

ingredients, and compositions of macromolecular compounds.

Materials, Metallurgy – Includes but is not limited to: foundry molding, casting of metals, 

working metallic powder, non-metallic elements, ammonia compounds, cyanogen compounds, 

compounds of alkali metals, chemical composition of glasses, manufacture of iron or steel, 

processing of pig-iron, production or refining of metals, alloys, and changing the physical 

structure of non-ferrous metals or non-ferrous alloys.

Measurement – Includes but is not limited to: measuring linear dimensions, measuring 

distances, surveying, navigation, gyroscopic instruments, measuring volume, weighing, 

measurement of mechanical vibrations, measurement of intensity or velocity, measuring 

temperature or quantity of heat, measuring force, testing static or dynamic balance of machines 
168

or structures, sampling, investigating strength properties of solid materials by application of 

mechanical stress, investigating density or specific gravity of materials; investigating flow 

properties of materials, investigating or analyzing materials by use of optical or thermal means, 

and investigating or analyzing materials by the use of nuclear magnetic resonance, electron 

paramagnetic resonance or other spin effects.

Mechanical Elements – Includes but is not limited to: fluid-pressure actuators, fluid dynamics, 

devices for fastening or securing constructional elements or machine parts, shafts, couplings for 

transmitting rotation, springs, means for damping vibration, belts, cables, ropes, chains, fittings, 

gearing, pistons, cylinders, pressure vessels, valves, devices for venting or aerating, pipes, 

frames, casing, lubricating, safety devices in general, steam traps, gas-holders of variable 

capacity, vessels for containing or storing compressed gases, pipe-line systems, and control 

devices or systems insofar as characterized by mechanical features.

Medical Technology – Includes but is not limited to: diagnosis, surgery, identification, dentistry, 

veterinary instruments, filters implantable into blood vessels, physical therapy apparatus,

containers specially adapted for medical or pharmaceutical purposes, methods or apparatus for 

sterilizing materials, devices for introducing media into or onto the body, electrotherapy, 

radiation therapy, ultrasound therapy, and x-ray technique.

Micro-Structural and Nano-Technology –Includes but is not limited to: micro-structural 

devices or systems, processes or apparatus specially adapted for the manufacture or treatment of 

micro-structural devices or systems, specific uses or applications of nano-structures, and nanostructures formed by manipulation of individual atoms, molecules, or limited collections of 

atoms or molecules as discrete units. 

Optics – Includes but is not limited to: optical elements, spectacles, apparatus or arrangements 

for taking photographs, photosensitive materials for photographic purposes, apparatus for 

processing exposed photographic materials, photomechanical production of textured or patterned 

surfaces, electrography, devices used to stimulate emission, and holographic processes or 

apparatus.

Organic Fine Chemistry – Includes but is not limited to: cosmetics or similar toilet 

preparations, general methods of organic chemistry, acyclic or carbocyclic compounds, 

heterocyclic compounds, steroids, derivatives or sugars, nucleosides, nucleic acids, and 

combinatorial chemistry.

Other Consumer Goods – Includes but is not limited to: machines for making cigars, smoke 

filters, match boxes, shirts, corsets, outerwear, suspenders, artificial flowers, wigs, masks, 

feathers, hats and head coverings, characteristic features of footwear, buttons, pins, buckles, 

jewelry, coins, walking sticks, umbrellas, purses, luggage, hairdressing or shaving equipment, 

apparatus or methods for life-saving, bookbinding, filing appliances, implements for writing or 

drawing, apparatus or tools for artistic work, saddles, stirrups, upholstering methods, ropes or 

cables in general, musical instruments with associated blowing apparatus, and methods or 

devices for protecting against, or for damping, noise or other acoustic waves in general.
169

Other Special Machines – Includes but is not limited to: soil working in agriculture or forestry, 

planting, sowing, fertilizing, harvesting, mowing, threshing, cultivation of vegetables, 

manufacture of dairy products, animal husbandry, shoeing of animals, machines or equipment 

for making, slaughtering, processing meat, machines or apparatus for treating harvested fruit, 

preparing grain for milling, shaping clay or other ceramic compositions, working stone or stonelike materials, shaping or joining of plastics, additive manufacturing, manufacturing or shaping 

of glass, sugar extraction, weapons for projecting missiles without the use of explosive or 

combustible propellant charge, small arms, apparatus for launching projectiles or missiles from 

barrels, weapon sights, targets, explosive charges, blasting, and ammunition fuses.

Pharmaceuticals – Includes but is not limited to: preparations for dentistry, medicinal 

preparations characterized by special physical form, medicinal preparations containing organic 

and inorganic active ingredients, medicinal preparations containing peptides, preparations for 

testing in vivo, electrically conductive preparations for use in therapy or testing in vivo, 

radioactive non-metals and metals, specific therapeutic activity of chemical compounds or 

medicinal preparations, and containing or obtained from roots, bulbs, leaves, bark, seeds, grains, 

flowers, stems, branches, or twigs.

Semiconductors – Includes semiconductor devices and electric solid-state devices not otherwise 

provided.

Surface Technology, Coating – Includes but is not limited to: apparatus and processes for 

applying liquids or other fluent materials to surfaces, layered products, coating metallic material, 

enameling of metals, nonmechanical removal of metallic material from surfaces, cleaning or degreasing of metallic material by chemical methods other than electrolysis, and single-crystal 

growth.

Telecommunications – Includes but is not limited to: transmission systems for measured values, 

waveguides, resonators, aerials, transmission, broadcast communication, multiplex 

communication, secret communication, jamming of communication, telephonic communication, 

and scanning, transmitting, or reproducing documents.

Textile and Paper Machines – Includes but is not limited to: appliances or methods for making 

clothes, manufacture of brushes, making articles of paper or cardboard, processes for the 

manufacture or reproduction of printing surfaces, typewriters, stamps, printing plates or foils, 

mechanical treatment of processing of leather in general, preliminary treatment of fibers, 

spinning or twisting, crimping or curling fibers, shedding mechanisms, auxiliary weaving 

apparatus, knitting, braiding or manufacturing of lace, sewing, embroidering, mechanical or 

pressure cleaning of carpets, decorating textiles, and paper-making machines.

Thermal Processes and Apparatus – Includes but is not limited to: methods of steam 

generation, superheating of steam, methods or apparatus for combustion using fluid or solid fuel, 

burners, grates, feeding fuel to combustion apparatus, regulating or controlling combustion, 

ignition, domestic stoves or ranges, air-conditioning, fluid heaters, ice production, steam or 

vapor condensers, other heat exchange apparatus, and cleaning of internal or external surfaces of 

heat-exchange or heat-transfer conduits.
170

Transport – Includes but is not limited to: vehicle wheels, vehicle tires, vehicle suspension 

arrangements, windows, windscreens, arrangement or mounting of propulsion units or of 

transmissions in vehicles, propulsion of electrically-propelled vehicles, power supply lines or 

devices along rails for electrically-propelled vehicles, vehicles adapted for load transportation, 

arrangement of signaling or lighting devices, vehicle brake control systems, air-cushion vehicles, 

locomotives, body details or kinds of railway vehicles, rail vehicle suspensions, shifting or 

shunting of rail vehicles, guiding railway traffic, hand-propelled vehicles, vehicles drawn by 

animals, trailers, cycle stands, cycle saddles or seats, brakes specially adapted for cycles, rider 

propulsion of wheeled vehicles or sledges, ships or other waterborne vessels, offensive or 

defensive arrangements on vessels, marine propulsion or steering, auxiliaries on vessels, lighterthan-air aircraft, airplanes, helicopters, equipment for fitting in or to aircraft, flying suites, 

parachutes, and cosmonautics. 
171

Appendix C

Fields and Subfields of S&E Publications Data50

Agricultural Sciences: dairy animal sciences, agricultural and food sciences

Astronomy

Biological sciences: general biomedical research, miscellaneous biomedical research, 

biophysics, botany, anatomy and morphology, cell biology, cytology, and histology, ecology, 

entomology, immunology, microbiology, nutrition and dietetics, parasitology, genetics and 

heredity, pathology, pharmacology, physiology, general zoology, miscellaneous zoology, general 

biology, miscellaneous biology, biochemistry and molecular biology, virology

Chemistry: analytical chemistry, organic chemistry, physical chemistry, polymers, general 

chemistry, applied chemistry, inorganic and nuclear chemistry

Computer sciences

Engineering: aerospace engineering, chemical engineering, civil engineering, electrical 

engineering, mechanical engineering, metals and metallurgy, materials engineering, industrial 

engineering, operations research and management, biomedical engineering, nuclear technology, 

general engineering, miscellaneous engineering and technology

Geosciences: meteorology and atmospheric sciences, geology, earth and planetary sciences, 

oceanography and limnology, marine biology and hydrobiology, environmental sciences

Mathematics: applied mathematics, probability and statistics, general mathematics, 

miscellaneous mathematics

Medical sciences: endocrinology, neurology and neurosurgery, dentistry, environmental and 

occupational health, public health, surgery, general and internal medicine, ophthalmology, 

pharmacy, veterinary medicine, miscellaneous clinical medicine, anesthesiology, cardiovascular 

system, cancer, gastroenterology, hematology, obstetrics and gynecology, otorhinolaryngology, 

pediatrics, psychiatry, radiology and nuclear medicine, dermatology and venereal disease, 

orthopedics, arthritis and rheumatism, respiratory system, urology, nephrology, allergy, fertility, 

geriatrics, embryology, tropical medicine, addictive diseases, microscopy

Other of life sciences: speech/language pathology and audiology, nursing, rehabilitation, health 

policy and services

 50 SOURCES: The Patent BoardTM, and National Science Foundation, National Center for Science and Engineering 

Statistics, Integrated Science and Engineering Resources Data System (WebCASPAR) database system, 

http://webcaspar.nsf.gov. Science and Engineering Indicators 2012. Used with permission.
172

Physics: acoustics, chemical physics, nuclear and particle physics, optics, solid state physics, 

applied physics, fluids and plasmas, general physics, miscellaneous physics

Social sciences: economics, international relations, political science and public administration, 

demography, sociology, anthropology and archaeology, area studies, criminology, geography 

and regional sciences, planning and urban studies, general social sciences, science studies, 

gerontology and aging, social studies of medicine

National Institute of Standards and Technology 

U.S. Department of Commerce

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