Federal Laboratory 

Technology Transfer

Fiscal Year 2013

Prepared by:

National Institute of

Standards and Technology

U.S. Department of Commerce

October 2015

Summary Report to 

the President and the Congress

Federal Laboratory Technology Transfer Report Fiscal Year 2013 i

ii 

FOREWORD 

The Department of Commerce is pleased to submit this Fiscal Year 2013 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 

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 Administration recognizes the importance of invention and technological innovation as 

drivers of economic growth and has challenged Federal laboratories to accelerate their 

technology transfer operations. The President issued this challenge formally on October 28, 

2011, in the Memorandum for the Heads of Executive Departments and Agencies, entitled 

Accelerating Technology Transfer and Commercialization of Federal Research in Support of 

High-Growth Businesses. This Presidential Memorandum reiterated the important role of 

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

economic growth and job creation. In addition to directing agencies to accelerate technology 

transfer activities, it directed the Secretary of Commerce to improve and expand, where 

appropriate, the collection of metrics regarding the effectiveness of Federal technology transfer 

activities. 

In response to these directives, agencies have established performance goals, metrics, and 

evaluation methods to enhance the efficiency and impact of their technology transfer activities. 

These tasks are now being implemented and procedures have been developed to track their 

progress. The present report will help serve as a baseline to measure progress toward achieving 

this ambitious challenge, while maintaining excellence in performing mission-focused research. 

In addition to reporting traditional metrics, this report includes the following additional metrics: 

x the number of science and engineering articles by agency and technology; 

x the number of citations within U.S. patents by agency and technology; 

x the number of small businesses involved in CRADAs; 

x the number of licenses granted to small businesses; and 

x the number of startup companies supported by tech transfer activities. 

Agencies also engage in efforts to measure the economic impact of their tech transfer activities. 

This involves the assessment of data gathered outside of the government to determine the 

economic impact of federally developed technologies that have been transferred to the private 

sector. Beginning with this report, a summary of impacts, as demonstrated by published papers, 

reports, and studies, is presented. Summaries for DOC, DoD, and NASA are included in this 

edition; the remaining agencies will be covered in subsequent editions. 
Fiscal Year 2013 Federal Laboratory Technology Transfer Report ii

iii 

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. We will use future editions of this report 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.

Willie E. May 

Under Secretary of Commerce for Standards and Technology 
Federal Laboratory Technology Transfer Report Fiscal Year 2013 iii

iv 

Table of Contents 

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

Federal Technology Transfer Summary .................................................................................................... 4 

Chapter 2 Agency Performance in FY 2013 ................................................................................. 30

Department of Agriculture (USDA) ........................................................................................................ 31 

Department of Commerce (DOC) ........................................................................................................... 42 

Department of Defense (DoD) ................................................................................................................ 55 

Department of Energy (DOE) ................................................................................................................. 65 

Department of Health and Human Services (HHS) ............................................................................... 74 

Department of Homeland Security (DHS) .............................................................................................. 83 

Department of the Interior (DOI) ............................................................................................................ 90 

Department of Transportation (DOT) ................................................................................................... 101 

Department of Veteran Affairs (VA) .................................................................................................... 113 

Environmental Protection Agency (EPA) ............................................................................................. 123 

National Aeronautics and Space Administration (NASA) .................................................................... 131 

Chapter 3 Conclusion .................................................................................................................. 140

Appendix A ................................................................................................................................. 142

Appendix B ................................................................................................................................. 150

Appendix C ................................................................................................................................. 152
Fiscal Year 2013 Federal Laboratory Technology Transfer Report iv

v 

This page intentionally left blank 
Federal Laboratory Technology Transfer Report Fiscal Year 2013 1

1 

Chapter 1 Overview of Federal Technology Transfer 

Many Federal agencies conduct research and development activities as part of their mission that 

often result in the creation of new information, innovations, and technologies. To make effective 

use of their resources, Federal agencies leverage their research activities by collaborating with 

other Federal agencies as well as many non-federal organizations in industry, academia, the nonprofit sector, and state, local, and tribal governments. Through these partnerships, Federal 

agencies are better able to effectively develop and transform the results of their research from the 

bench scale in a laboratory to new products and services available in the marketplace. The 

transfer of federally developed information and technology to industry promotes economic 

growth and benefits society. 

Federal agencies use a variety of legal authorities to evaluate, protect, license, transfer, and 

monitor the utilization and commercialization of technologies. By making these technologies 

available to private, academic, and other government entities, Federal research and development 

(R&D) activities provide the United States a competitive edge in today’s global market and 

improve the quality of life for all Americans. 

This annual report summarizes the technology transfer and R&D activities of each of the 11 

Federal agencies that have significant Federal laboratory operations: 

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 intellectual property developed in its R&D laboratories and has provided 

the data contained in this report. The Department of Commerce’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 

Research spending by the Federal government supports a wide variety of agency-specific 

missions, e.g., military objectives, health and human services issues, energy development, space 

exploration, etc. In FY 2013, the U.S. Federal research budget was $132,436 million.1

 Of this 

amount, $90,146 million (68%) was used to support research and development activities that 

occurred outside of the Federal government’s laboratories. This includes funding for grants, 

cooperative agreements, awards, etc. Only 32% of the total research budget was used to support 

research and development activities within the Federal government. This includes two specific 

 

1

 National Science Foundation, National Center for Science and Engineering Statistics, Survey of Federal Funds for 

Research and Development, preliminary results for FYs 2012–14, Table 9. 

http://www.nsf.gov/statistics/nsf14316/content.cfm?pub_id=4418&id=2
Fiscal Year 2013 Federal Laboratory Technology Transfer Report 2

2 

categories, intramural activities totaling $32,678 million (25%) and FFRDCs (federally funded 

research and development centers) totaling $9,612 million (7%). 

Federal Obligations for Research and Development 

By Agency FY 2013 ($ million) 

(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. 

Of the agencies covered in this report, DoD spent the greatest amount on intramural activities 

and FFRDCs, $20,068 million (42%), followed by DOE, $7,098 million (17%) and HHS, $6,891 

million (16%). 

 

Technology Transfer Principles and Approach 

In many cases, technology developed meets specific agency needs as well as the needs of 

commercial partners to produce goods or services. In other cases, since agency-specific missions 

drive Federal research activities, technologies developed for a particular agency’s use might 

otherwise be overlooked or go unused outside the agency without the dedicated efforts of Federal 

technology transfer offices that promote the dissemination and utilization of these technologies. 

Promoting U.S. economic growth and creating jobs through the transfer and commercialization 

of federally developed technologies is a high priority for Federal laboratories. Collaborations 

between Federal agencies and non-federal organizations provide leverage that promotes more 

efficient and timely development of new technologies and facilitates the creation of new 

information and knowledge. These collaborations create better access to the results of Federal 

agency research and play an important role in the efficient and timely development of innovative 

technologies and new products. 

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

Intramural and 

FFRDCs

All agencies $132,436 $32,678 $9,612 $42,290

 DoD $68,084 $18,520 $1,548 $20,068

 DOE $9,496 $1,099 $5,999 $7,098

 HHS $31,292 $6,513 $378 $6,891

 NASA $10,354 $1,638 $1,238 $2,876

 USDA $2,387 $1,492 $7 $1,499

 DOC $1,127 $886 $1 $887

 DOI $748 $648 $10 $658

 VA $593 $593 $0 $593

 DHS $633 $274 $121 $395

 DOT $984 $275 $85 $360

 EPA $525 $240 $0 $240

 Other agencies $6,214 $501 $226 $727
Federal Laboratory Technology Transfer Report Fiscal Year 2013 3

3 

Effective technology transfer promotes real economic growth through the development of new 

products, processes, medical treatments, services, and other benefits that serve a market need. 

The economic growth spurred by the transfer of Federal R&D results to industry creates a 

stronger job market, resulting from the manufacture and marketing of new products and services. 

In addition to strengthening domestic and regional economies, successful partnerships with nonFederal entities provide other benefits, including: 

x Stimulating the flow of ideas between the government and other research sectors; 

x Creating new businesses, especially small businesses; 

x Attracting and retaining talented scientific personnel within the Federal laboratories; 

x Providing support to the mission of each agency; 

x Accelerating the development and reducing the costs of products and services to reach the 

marketplace; 

x Supporting further research by generating licensing revenue; 

x Rewarding innovative accomplishments of Federal employee inventors through royalty 

sharing; and 

x Developing a wide variety of new and efficient products in health care, defense, domestic 

security, and many other sectors of the economy. 

The Presidential Memorandum, Accelerating Technology Transfer and Commercialization of 

Federal Research in Support of High-Growth Businesses,(PM) specifically addresses the need to 

streamline technology transfer operations in order to address the needs of businesses and, in 

particular, of small businesses that are especially vulnerable to a slow-moving bureaucratic 

system.2 Although there have been many improvements over the years, the PM and the more 

recent Lab2Market initiative, have led agencies to review their operations and propose new ways 

to improve overall customer experience. Some of these changes are internal to the agencies, by 

which agencies seek to improve understanding and capabilities throughout their research and 

development programs to open doors to more efficient technology transfer. Other improvements 

target the way customers interact with the federal system. 

 

2

 See https://www.whitehouse.gov/the-press-office/2011/10/28/presidential-memorandum-accelerating-technologytransfer-and-commerciali 
Fiscal Year 2013 Federal Laboratory Technology Transfer Report 4

4 

Federal Technology Transfer Summary 

Technology transfer involves the transition of research from the laboratory into products and 

services in the economy. Federal legislation3 provides a variety of vehicles through which 

technology developed with U.S. government funds can be transferred to non-government entities 

in ways that benefit the Nation. These vehicles facilitate the potential commercialization of 

inventions produced from Federal funds, enable the use of Federal laboratory facilities by nonFederal entities, and allow for the establishment of research partnerships between Federal 

government laboratories and other entities. Federal legislation provides Federal agencies with the 

authorization to apply for patents or other forms of protection on inventions in which the Federal 

government owns a right, title, or interest. Federal agencies are also authorized to grant 

nonexclusive, exclusive, or partially exclusive licenses to patented, federally owned inventions. 

Agencies make the decisions to exercise these authorities within the context of their missions. 

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 and include agency plans to use technology transfer to 

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

summarize Federal technology transfer activities for the five-year period from FY 2009 through 

FY 2013.4

 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. 

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 disclosures5

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

and technical know-how by Federal agencies. 

 

3

 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. 

4

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

reporting procedures, patent decisions, programmatic changes, etc. Throughout this report, data prior to FY 2013 

have been adjusted where necessary, to reflect the most accurate estimates for each year reported. 5

 An “invention disclosure” is the report of a potential invention by an employee for determination of rights as 

described in 37 CFR 501. 
Federal Laboratory Technology Transfer Report Fiscal Year 2013 5

5 

Between FY 2009 and FY 2013, the number of invention disclosures reported by Federal 

agencies increased by 19% to 5,307. The number of patent applications filed increased by 20% 

to 2,507, and the number of patents issued increased by 42% to 1,990. 

DOE has reported the largest number of invention disclosures (1,796) for FY 2013, followed by 

NASA (1,615) and DoD (1,032). These three agencies accounted for 84% of all invention 

disclosures reported in this year. 

DOE has reported the largest number of patent applications (944) and patents issued (713). DoD 

was second in both categories (942 and 648) and HHS was third (230 and 428). In FY 2013, 

these three agencies accounted for 84% of patent applications and 90% of patents issued. 

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013

New Inventions Disclosed 4,450 4,752 5,251 5,345 5,307

Patent Applications Filed 2,085 2,020 2,326 2,474 2,507

Patents Issued 1,402 1,468 1,474 2,249 1,990
Fiscal Year 2013 Federal Laboratory Technology Transfer Report 6

6 

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 2013. The chart shows the percentage of 

patents issued to Federal agencies by technology area based on a fractional count of patents.6

 In 

FY 2013, the largest number of patents assigned involved biotechnology developments.7

USPTO patents assigned to selected U.S. Federal agencies by technology area: FY 2013 

Licensing 

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 non-federal sector to develop and commercialize government-owned technologies 

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

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

property is licensed vary 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. 

 

6

 For this study, 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 on the 

basis of the proportion of its participating institution(s)). Patents assigned by The Patent Board's technology area 

classification. Sources: National Science Foundation, National Center for Science and Engineering Statistics, and 

The Patent BoardTM, special tabulations (2013). Copyright 2013 © The Patent Board, used with permission. 7

 Definitions of all technology areas addressed are included in Appendix 1. 

Biotechnology

14%

Measurement 

Techniques & 

Instrumentation

13%

Aerospace & Defense

7%

Information Processing

7%

Telecommunications

Optics 6%

5%

Materials

4%

Semiconductors

4%

Pharmaceuticals

4%

Electronic Components 

& Devices

3%

Materials 

Manufacturing

3%

Power Generation & 

Distribution

3%

Chemicals

3%

Chemical Engineering 

& Environmental 

Processes

2%

Other

22%

USPTO Patents Assigned to Selected U.S. Federal Agencies by Technology Area: FY 2013
Federal Laboratory Technology Transfer Report Fiscal Year 2013 7

7 

Between FY 2009 and FY 2013, the number of total active licenses reported by Federal 

laboratories increased by 24% to 15,604. The number of new licenses decreased by 5% to 1,845. 

The number invention licenses decreased by 2% to 3,770. The number of new invention licenses 

decreased by 4% to 434. The number of income-bearing licenses increased by 4% to 5,492, and 

the number of exclusive licenses decreased by 24% to 729. 

DOE reported the largest number of licenses (9,148), followed by NASA (2,540) and HHS 

(1,426). These three agencies accounted for 84% of all licenses reported in FY 2013. DOE 

reported the largest number of invention licenses (1,353), followed by HHS (1,069) and DoD 

(425). Together these three agencies accounted for 75% of invention licenses. 

DOE reported the largest number of income-bearing licenses (3,709), which was significantly 

higher than all other agencies combined. This number includes software licenses under 

copyright. While software is increasingly a key element of Federal laboratory R&D outputs, 

most other Federal agencies cannot copyright software developed by their employees.8

 HHS was 

second (809) followed by USDA (397). Together these three agencies accounted for 89% of 

income-bearing licenses. 

USDA reported the largest number of income-bearing exclusive licenses (291), followed by 

DOE (199) and NASA (76). Together these three agencies accounted for 90% of income-bearing 

exclusive licenses. 

 

8

 Under 17 U.S.C. § 105, copyright protection in the United States is not available for any work of the United States 

Government. 
Fiscal Year 2013 Federal Laboratory Technology Transfer Report 8

8 

Licensing Income 

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 2009 

and FY 2013, income from all licensing increased by 16% to $184.7 million. Income from 

invention licenses increased by 11% to $167 million and total earned royalty income increased 

by 34% to 169,174. 

HHS accounted for the most licensing income in FY 2013 ($116.4 million) and the most invention 

licensing income ($103.7 million) followed by DOE ($39.6 million / $36.1 million), and DoD 

($21.6 million / $20.9 million). Together these three agencies accounted for 96% of reported 

licensing income and 96% of reported income from invention licenses. 

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013

Licenses, Total Active 12,598 15,166 12,077 11,544 15,604

New Licenses 1,936 2,142 2,023 1,445 1,845

Invention Licenses, Total Active 3,854 4,081 3,211 3,884 3,770

New Invention Licenses 492 505 411 499 434

Income Bearing Licenses, Total Active 5,282 5,324 5,452 5,388 5,492

Income Bearing Exclusive Licenses 958 1,019 858 971 729

8 

Licensing Income 

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 2009 

and FY 2013, income from all licensing increased by 16% to $184.7 million. Income from 

invention licenses increased by 11% to $167 million and total earned royalty income increased 

by 34% to 169,174. 

HHS accounted for the most licensing income in FY 2013 ($116.4 million) and the most invention 

licensing income ($103.7 million) followed by DOE ($39.6 million / $36.1 million), and DoD 

($21.6 million / $20.9 million). Together these three agencies accounted for 96% of reported 

licensing income and 96% of reported income from invention licenses. 

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013

Licenses, Total Active 12,598 15,166 12,077 11,544 15,604

New Licenses 1,936 2,142 2,023 1,445 1,845

Invention Licenses, Total Active 3,854 4,081 3,211 3,884 3,770

New Invention Licenses 492 505 411 499 434

Income Bearing Licenses, Total Active 5,282 5,324 5,452 5,388 5,492

Income Bearing Exclusive Licenses 958 1,019 858 971 729
Federal Laboratory Technology Transfer Report Fiscal Year 2013 9

9 

Collaborative Research and Development Relationships 

Collaborative research and development relationships between Federal laboratories and nonFederal 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 

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 

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

formal collaborative research and development agreements between a Federal laboratory and 

non-federal 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. $155,108 $144,186 $167,033 $167,112 $184,715 $148,594 $138,729 $146,707 $159,222 $167,032 $126,034 $122,519 $129,277 $165,426 $169,174

$70,000

$90,000

$110,000

$130,000

$150,000

$170,000

$190,000

$210,000

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013

Federal Income from Licensing ($000s) 

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

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013

Total Income, All Active Licenses $155,108 $144,186 $167,033 $167,112 $184,715

Invention Licenses $148,594 $138,729 $146,707 $159,222 $167,032

Total Earned Royalty Income $126,034 $122,519 $129,277 $165,426 $169,174

9 

Collaborative Research and Development Relationships 

Collaborative research and development relationships between Federal laboratories and nonFederal 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 

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 

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

formal collaborative research and development agreements between a Federal laboratory and 

non-federal 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. $155,108 $144,186 $167,033 $167,112 $184,715 $148,594 $138,729 $146,707 $159,222 $167,032 $126,034 $122,519 $129,277 $165,426 $169,174

$70,000

$90,000

$110,000

$130,000

$150,000

$170,000

$190,000

$210,000

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013

Federal Income from Licensing ($000s) 

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

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013

Total Income, All Active Licenses $155,108 $144,186 $167,033 $167,112 $184,715

Invention Licenses $148,594 $138,729 $146,707 $159,222 $167,032

Total Earned Royalty Income $126,034 $122,519 $129,277 $165,426 $169,174
Fiscal Year 2013 Federal Laboratory Technology Transfer Report 10

10 

Between FY 2009 and FY 2013, the number of active CRADAs increased by 12% to 8,703. The 

number of new CRADA agreements increased by 39% to 4,352. The number of traditional 

CRADAs increased by 21% to 5,169 while other collaborative R&D relationships increased by 

44% to 25,379. 

In FY 2013, DoD reported the largest number of CRADAs (2,682), followed by DOC (2,428) 

and VA (1,422). DoD reported the largest number of traditional CRADAs (2,076), followed by 

DOE (742) and VA (1,422). USDA reported the largest number of other collaborative R&D 

relationships (16,102), NASA was second (5,226 Space Act Agreements), and DOC was third 

(2,977). 

New Technology Transfer Metrics 

There has long been a desire to expand the types of metrics gathered for this report in order to 

improve both quantitative and qualitative measures of technology transfer activities and other 

efforts used to disseminate federally developed technologies. The PM explicitly directs agencies 

to improve the monitoring of technology transfer operations and in response, agencies have 

expanded their annual agency tech transfer report to include a more comprehensive set of activity 

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013

CRADAs, Total Active 7,740 8,374 8,240 8,305 8,703

New CRADAs 3,142 3,850 4,125 4,825 4,352

Traditional CRADAs, Total Active 4,264 4,772 4,571 4,290 5,169

Other Collaborative R&D Relationships 17,647 19,167 22,988 22,815 25,379
Federal Laboratory Technology Transfer Report Fiscal Year 2013 11

11 

metrics.9 In addition, the Federal Interagency Working Group on Technology Transfer 

(IAWGTT) routinely reviews new and better means to improve both quantitative and qualitative 

measurements of technology transfer activities and other means to improve the dissemination of 

federally developed technologies.10 As a result of these efforts, the following metrics have been 

added to the standard set of technology transfer metrics provided in past annual versions of this 

report. 

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’ Science Citation 

Information (SCI) and Social Sciences Citation Index (SSCI) databases 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 2013, Thomson Reuters reports that Federal researchers authored or coauthored 39,147 

articles using a whole-count basis (where each agency gets full credit for each article even if the 

article has co-authors from different agencies). Using additional data provided by agencies in 

their annual reports on technology transfer activities that takes into account publications not 

included in the Thomson Reuters’ database, the number of publications increases to 44,802. 

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

their science and engineering categories. Using a fractional-count basis, the number of 

publications reported by Thomson Reuters was 17,534 articles. Of this, the greatest number of 

articles address research in biological sciences (22%), medical sciences (19%), physics (15%), 

geosciences (12%), chemistry (11%), and engineering (10%).11 

 

 

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

10 This group, which is comprised of agency leaders from across the Federal government, serves as a broad forum to 

identify and discuss best practices, better metrics, emerging concerns, and trends through dialogue, interagency 

comparisons, and experience-sharing. Agencies participating in the IAWGTT, established pursuant to Executive 

Order 12591 of April 10, 1987, include USDA, DOC, DoD, DOE, HHS, DHS, DOI, DOT, VA, EPA, and NASA. 

11 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. Sources: National Science Foundation, National Center for Science and Engineering Statistics, and The Patent 

Board TM special tabulations (2014) from Thomson Reuters. Certain data included herein are derived from the Science 

Citation Index and Social Sciences Citation Index ® prepared by THOMSON REUTERS ®, Inc. (Thomson®), 

Philadelphia, Pennsylvania, USA: © Copyright THOMSON REUTERS ® 2014. All rights reserved. Used with 

permission. 
Fiscal Year 2013 Federal Laboratory Technology Transfer Report 12

12 

S&E Articles Authored by Selected U.S. Federal Agencies, by S&E Fields: FY 2013 

Biological 

Sciences

22%

Medical Sciences

19%

Physics

15%

Geosciences

12%

Chemistry

11%

Engineering

10%

Other 

11%
Federal Laboratory Technology Transfer Report Fiscal Year 2013 13

13 

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 2013, 

more than 13,026 articles authored or coauthored by Federal researchers were cited in U.S. 

patents.12 Of these, the greatest number of articles addressed research in the biological sciences 

(44%), medical sciences (22%), physics (12%), chemistry (11%), and engineering (7%). 

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

Patents, by S&E Field: FY 2013 

 

12 Citations are classified on a fractional-count basis (i.e., for cited articles with collaborating institutions from 

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 of publication, Citation counts 

are based on an 11-year window with a 5-year lag (e.g., citations for 2013 are references in USPTO patents issued in 

FY 2013 to articles published in 1998–2008). Sources: National Science Foundation, National Center for Science 

and Engineering Statistics, and The Patent Board,TM special tabulations (2014) from Thomson Reuters. Certain data 

included herein are derived from the Science Citation Index and Social Sciences Citation Index ® prepared by 

THOMSON REUTERS ®, Inc. (Thomson®), Philadelphia, Pennsylvania, USA: © Copyright THOMSON 

REUTERS ® 2014. All rights reserved. Used with permission. 

Biological Sciences

44%

Medical Sciences

22%

Physics

12%

Chemistry

11%

Engineering

7%

Other

4%

13 

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 2013, 

more than 13,026 articles authored or coauthored by Federal researchers were cited in U.S. 

patents.12 Of these, the greatest number of articles addressed research in the biological sciences 

(44%), medical sciences (22%), physics (12%), chemistry (11%), and engineering (7%). 

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

Patents, by S&E Field: FY 2013 

 

12 Citations are classified on a fractional-count basis (i.e., for cited articles with collaborating institutions from 

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 of publication, Citation counts 

are based on an 11-year window with a 5-year lag (e.g., citations for 2013 are references in USPTO patents issued in 

FY 2013 to articles published in 1998–2008). Sources: National Science Foundation, National Center for Science 

and Engineering Statistics, and The Patent Board,TM special tabulations (2014) from Thomson Reuters. Certain data 

included herein are derived from the Science Citation Index and Social Sciences Citation Index ® prepared by 

THOMSON REUTERS ®, Inc. (Thomson®), Philadelphia, Pennsylvania, USA: © Copyright THOMSON 

REUTERS ® 2014. All rights reserved. Used with permission. 

Biological Sciences

44%

Medical Sciences

22%

Physics

12%

Chemistry

11%

Engineering

7%

Other

4%
Fiscal Year 2013 Federal Laboratory Technology Transfer Report 14

14 

Small Businesses Involved in Active Traditional CRADAs 

Under 15 USC 3710a(c)(4)(A), Federal agencies are required 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 research and development, a business with 

fewer than 500 employees is considered a small business.13 For the purpose of this study, we use 

the 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 seven agencies. 

This data reveals that out of 3,095 traditional CRADA agreements with these agencies, 554 

(18%) involve small businesses as participants. 

 

 (a) NIH only 

 

13 See https://www.sba.gov/content/summary-size-standards-industry-sector 

Number of Active 

Traditional CRADAs 

involving Small Businesses 

Total Number of 

Active Traditional 

CRADAs

% Small 

Business

DOC 37 197 19%

DOE 54 742 7%

DOT 7 41 17%

EPA 24 55 44%

HHS(a) 165 427 39%

USDA 117 211 55%

VA 150 1,422 11%

Total 554 3,095 18%
Federal Laboratory Technology Transfer Report Fiscal Year 2013 15

15 

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 six agencies is available at the 

time of this report. This data reveals that out of 10,336 active licenses granted by these agencies, 

744 (7%) were issued to small businesses. 

 (a) NIH and FDA 

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. 

Unfortunately, while 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 three agencies identifies 78 companies that started between the 

years of 2008 and 2013, and have received critical technical support from Federal laboratories. 

Additional information on the economic impact of technology transfer through startups is 

reported in the next section based on the results of economic impact studies. 

Number of Active Licenses 

Granted to Small 

Businesses

Total Number of 

Active Licenses

% Small 

Business

DOC 7 39 18%

DoD 65 527 12%

DOE 467 9,148 5%

EPA 18 42 43%

HHS(a) 48 180 27%

USDA 139 400 35%

Total 744 10,336 7%

Number of Startups 

Supported

DOC 25

DOE 40

USDA 13

Total 78
Fiscal Year 2013 Federal Laboratory Technology Transfer Report 16

16 

Economic Impact Measures 

The PM calls on Federal agencies to establish performance goals, metrics, evaluation methods, 

and implementation plans to improve the efficacy of Federal technology transfer activities. In 

response, Federal agencies have developed and are currently implementing plans to improve the 

monitoring and assessment of the impact of their technology transfer operations. 

The task of identifying and measuring economic impact is complex and time-consuming. 

Ideally, once a technology has been developed and transferred from a Federal laboratory it will 

be utilized directly by end users or it will be incorporated within other developmental processes. 

Technologies that are utilized directly will likely create economic impacts that are readily 

apparent and relatively easy to measure. Technologies that are incorporated within other 

developmental processes create impacts that are far more difficult to identify and measure. 

Because many projects at Federal laboratories are focused on basic science research and early 

stage developments, many of the technologies transferred from these laboratories will go through 

multiple stages of development and will generate multiple intermediary impacts that are 

dispersed over an extended period. 

In order to get a more comprehensive understanding of what research has actually been done in 

this area, NIST commissioned a review of contemporary literature dealing with efforts to assess 

Federal technology transfer activities. This study, The evolving state-of-the-art in technology 

transfer research: Revisiting the contingent effectiveness model, focuses on peer-reviewed 

studies published between 2000 and 2012 that assess the impact of technologies developed in 

and transferred from Federal laboratories.14 Of more than 200 technology transfer studies 

reviewed, only a third quantitatively assessed impact, but they provide a wealth of knowledge 

about the theory and practice of measuring Federal economic impact. 

Additionally, for more than two decades, many Federal agencies have prepared impact studies to 

assist with the internal evaluation of programs or in response to statutory requirements such as 

those included in the Government Performance and Results Act of 1993 (GPRA) (P.L. 103-62).15 

These studies are the best sources of currently available impact metrics because they are 

typically prepared by independent contractors who have access to detained cost and benefit data. 

Such agency studies will provide the foundation for future studies called for by the PM.16 

Beginning with reports from the DOC, DoD, and NASA, summaries of agency impact studies 

will be presented in this report. Summaries from other agencies, as well as updates to the agency 

information presented here, will be provided in future versions of this report. 

From a review of these studies, it becomes clear that different analytical approaches are used to 

assess economic impact. The approach used often depends on the nature and magnitude of the 

expected impact(s), the quantity and quality of available data, and the resources that are available 

 

14 Dr. Barry Bozeman, Heather Rimes, and Jan Youtie, “The evolving state-of-the-art in technology transfer 

research: Revisiting the contingent effectiveness model,” Research Policy, Volume 44, Issue 1, February 2015, 

Pages 34-49. 

15 See https://www.whitehouse.gov/omb/mgmt-gpra/index-gpra 16 For a list of agency studies that assess the economic impact of Federal technology transfer activities see 

http://nist.gov/tpo/publications/other-agency-economic-impact-studies.cfm.
Federal Laboratory Technology Transfer Report Fiscal Year 2013 17

17 

to perform the study. One approach is to prepare a case study of a specific transfer event. 

Activities that follow from this transfer event are tracked and analyzed. Those who directly 

acquired and utilized the technology then report the impact metrics. This approach is typically 

used for technologies that are directly utilized by end users and have targeted, short-term 

impacts. Alternative approaches involve detailed statistical studies that estimate impacts over 

time and over a broad range of an economy. These approaches incorporate either a targeted, 

microeconomic approach, or a broad macroeconomic approach. Under the microeconomic 

approach, an analysis is made of how end-users have benefited from a specific technology or 

group of technologies. Economic impact is then estimated in terms of the net benefits derived 

from the technologies transferred. This approach is typically used to assess specific technologies 

or technologies that affect discrete groups of end-users or consumers. 

Under the macroeconomic approach, a computer program is used to simulate the equilibrium 

state of a regional or national economy. Changes are then made to the program to simulate 

changes in specific technology transfer activities (e.g. licenses, CRADAs, etc.). The computer 

program then simulates estimates of economic impact as it makes adjustments to re-compute the 

equilibrium state. Measures of impact are then derived from direct effects (e.g. changes in 

sales), indirect effects (e.g. changes in inter-industry purchases), and induced effects (e.g. 

changes in household expenditures). Under this approach, impact metrics typically include 

changes in regional or national output, employment, value added, labor income, and tax 

revenues. To be effective, this approach requires the expected impact of the transfer activities to 

be large enough to influence a broad section of an economy over a given period. This approach is 

used to assess a large number of technology transfer activities (e.g. licenses) that are similar in 

nature and can be aggregated to reveal an impact on a regional, national, or global economy. 

DOC Economic Impact Studies 

Within the DOC, NIST has had a long history of assessing the economic impact of standards 

and related technologies transferred from its research and standards programs.17 These studies 

have focused on assessing the economic impacts of test methods, calibration services, 

reference materials, and other services developed by NIST. 

Between 2000 and 2011, sixteen microeconomic studies were performed that assessed 

technologies transferred to nine different industries. Each of these studies measured economic 

impact in terms of the net benefits society experienced as a result of NIST’s technology 

transfer activities. Measures of net benefits include net present value (NPV), social rate of 

return (SRR), and benefits to cost ratio (BCR). NPV is the inflation adjusted value of net 

benefits (benefits-costs) discounted over the course of the study period. A positive NPV 

indicates that the mechanism being assessed yields greater benefits than the cost to provide it. 

SRR is the interest rate that reduces the NPV to zero. The SRR is similar to the internal rate of 

return metric commonly used to judge the worthiness of investment projects. The modifier 

“social” indicates that the value of this performance metric accounts for the benefits and costs

that accrue to all beneficiaries, not just the project investors. The BCR is the ratio of the net 

present value of benefits to the net present value of costs. A positive BCR value indicates the 

number of dollars in benefits that have resulted from the technology transfer activity for each 

of the dollars invested, adjusted for inflation. 

17 See http://nist.gov/tpo/economic-impact-studies.cfm 
Fiscal Year 2013 Federal Laboratory Technology Transfer Report 18

18 

For example, as shown in the table below, in 2000 a study was made to assess the economic 

impact of NIST’s standard reference materials (SRMs) used in the production of fossil fuels 

(Economic Impact of Standard Reference Materials for Sulfur in Fossil Fuels18). SRMs are 

quality assurance materials that are used, among other things, to evaluate measurement 

accuracy and to provide compatibility of measurement data. They play a key role in 

manufacturing by helping users verify the accuracy of measurement methods and calibrate 

measurement systems. In this example, SRMs are used to provide more accurate sulfur content 

information for fossil fuels manufactures. Improving the accuracy of content information 

reduces the likelihood of disputes between sellers and purchasers of fossil fuels, such as coal 

companies and electric utilities. It also enhances production efficiency for the petroleum 

industry, resulting in reduced sulfur emissions into the environment. This study quantified a 

portion of the economic benefits associated with sulfur SRMs. Included in the measures of 

economic benefits were improvements in product quality, production efficiency, and 

reductions in transaction costs and sulfur dioxide emissions to the environment. In addition, the 

study identified and qualitatively described the impact of NIST SRMs on other less tangible 

areas, such as research and development programs. 

This study estimated that industry significantly benefited from the development and transfer of 

NIST’s sulfur SRMs. According to the measures of benefits and costs analyzed, NIST’s sulfur 

SRMs yielded a NPV of $409 million in 1998 dollars, which equates to a SRR of 1056%. The 

BCR of 113 indicates that for each dollar NIST spent on developing sulfur SRMs, $113 in net 

benefits accrued to those who used the SRMs in the manufacturing of fossil fuels.19

18 See http://nist.gov/director/planning/upload/report00-1.pdf 19 The study provides other measures that can be used to describe the same net benefits. For a discussion of 

alternative measures of economic impacts please see Methods for Assessing the Economic Impacts of Government 

R&D, NIST Planning Report #03-1, http://nist.gov/director/planning/upload/report03-1.pdf
Federal Laboratory Technology Transfer Report Fiscal Year 2013 19

19 

NIST Economic Impact Studies 2000-2011

n.c. = not calculated

(a) NPV(Year) = Net Present Value and base year for dollars

(b) SRR = Social Rate of Return

(c) BCR = Benefit to Costs Ratio 

Impact Study/ Transfer Mechanism Outcomes BCR(a) SRR(b) NPV(Year)(c)

Building Technology

"Benefits and Costs of Research: A Case Study of Construction Systems 

Integration and Automation Technologies in Commercial Facilities" (2001)

Construction System Integration and Automation Technologies

Increase productivity & reduced 

costs 4 nc $120M (1997)

"Benefits and Costs Of Research: A Case Study of Fire Dynamics Simulation" 

(2002)

Fire Dynamics Simulator

Improved efficiencies &

reduced R&D costs 75 27% $282M (2000)

Chemicals

"Economic Impact of Standard Reference Materials for Sulfur in Fossil Fuels" 

(2000)

Sulfur in Fossil Fuels/SRM

Increased product quality & 

production efficiency,

 reduced transaction costs & 

pollution 113 1056% $409M (1998)

"The Economic Impact of the Gas-Mixture NIST-Traceable Reference Materials 

Program" (2002)

National Traceable Reference Materials, SRD; Calibration Services

Increase productivity, reduced 

costs 24 225% $56M (2001)

Electronics

"Economic Impact Assessment of the NIST's Josephson Volt Standard Program" 

(2001)

Josephson Voltage Standard/SRM

Increased product quality & 

production efficiency,

reduced development costs 5 877% $45M (2000)

Information Technology

"The Economic Impacts of NIST's Data Encryption Standard (DES) Program" 

(2001)

Data Encryption Standards/Standard Conformance Test Methods

Increase productivity, reduced 

technical risks 102 270% $768M (2000)

"The Economic Impact of Role-Based Access Control" (2001)

Role-Based Access Control/Reference Models (RBAC)

Increase productivity, reduced 

R&D costs 109 62% $292M (2000)

"Economic Impact Assessment of NIST's Text Retrieval Conference (TREC) 

Program" (2010)

Search Engines (TREC)

Increase productivity, reduced 

R&D costs 4 189% $51M (2009)

Manufacturing

"Economic Impact Assessment of the International Standard for the Exchange of 

Product Model Data (STEP) in Transportation Equipment Industries" (2002)

STEP/STDS; Conformance Test Methods and Services

Improved system efficiencies,

& reduced costs 8 32% $180M (2001)

"Economic Analysis of Role-Based Access Control" (2010)

Computer Security (RBAC)

Improved system efficiencies,

& reduced downtime 249 nc $835M (2000)

"The Economic Impacts of Documentary Standards: A Case Study of the Flat 

Panel Display Measurement Standard(FPDM)" (2011)

Documentary Standards

Improved system efficiencies,

reduced costs 4 48% $56M (2010)

Materials

"Retrospective Economic Impact Assessment of the NIST Combinatorial 

Methods Center" (2009)

Consortium-Based Combinatorial Methods Development and Transfer

Increased R&D, production & 

technology adoption efficiency 9 161% $118M (1998)

Pharmaceuticals

"The Economic Impacts of NIST's Cholesterol Standards Program" (2000)

Cholesterol Measurement/SRM

Reduced production costs, 

improved quality & accuracy 5 154% $4M (1999)

Photonics

"Economic Impact Assessment: NIST-EEEL: Laser and Fiberoptic Power and 

Energy Calibration Services" (2000)

Laser and Fiber Optic Power and Energy Calibration/Calibrations

Increase productivity, reduced 

costs 9 136% $20M (1999)

Semiconductors

"Economic Analysis of NIST's Investments in Superfilling Research" (2008)

Superfilling Research Techniques Reduced R&D costs 5 71% $8M (2008)

"Economic Analysis of NIST's Low-K Materials Characterization Research" 

(2008)

Low-K Materials Characterization

Redcued R&D, adoption,

& production costs 8 nc $17M (2008)

-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------

-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------

-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------

-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------

-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------

-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------

-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------

-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------

-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------

-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------

-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------

-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------

-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------

-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------

-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------

-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
Fiscal Year 2013 Federal Laboratory Technology Transfer Report 20

20 

Thirteen of the studies presented in the table estimated SRR. The SRR values for these studies 

ranged from a low of 27% to a high of 1056%. The mean value is 254%, but given the 

standard deviation for this sample (327%), the median value of 154% is more representative of 

the typical study. Sixteen studies calculated BCR. The BCR values ranged from a low of 4 to a 

high of 249. The mean value is 46 but again, given the standard deviation for the sample (69) 

the median value of 9 is more representative of the typical study. The median value of 9 

indicates that for a typical study on this list each dollar NIST spent, $9 in benefits were 

created. Note that given the data presented here, the NPV measures from different studies 

cannot be aggregated into one value because different base years are used to calculate benefits 

and costs. 

Summary of NIST’s Economic Impact Studies (2000 – 2011)20

DoD Impact Studies 

DoD has produced several macroeconomic studies that assess how its technology transfer efforts 

contribute to new economic activity and job creation in the United States. 

In one recent study,21 researchers estimated the economic contribution to the U.S. economy of 

DoD license agreements that were in effect during the 2000-2011 period. The purpose of this 

study was to determine the extent to which these license agreements (1) contributed to new 

economic activity and job creation in the United States, and (2) resulted in the transition of new 

technology to U.S. military use. An economic-impact assessment software program called 

IMPLAN22 was used to estimate the economic impacts related to sales generated by the licenses. 

Total economy-wide sales, as measured by output, were estimated at $36.3 billion. Value added 

was estimated at $17.4 billion, representing new wealth creation in the economy. Employment 

 

20 When multiple estimates were generated in a particular study, for example to reflect best and worst case 

scenarios, the average is reported.

21 National Economic Impacts from DoD License Agreements with U.S. Industry: 2000-2011 (See: 

http://nist.gov/tpo/publications/upload/National-Economic-Impacts-from-DOD-License-Agreements-2013.pdf) 

This and other economic-impact studies were conducted for DoD by TechLink, a federally funded technology 

transfer center at Montana State University, Bozeman, Montana, in collaboration with the Bureau of Business and 

Economic Research (BBER) at the University of Montana, Missoula, Montana. Since 1999, TechLink has served 

as DoD’s principal national “partnership intermediary,” helping to develop technology transfer partnerships 

between DoD’s laboratories and U.S. industry nationwide. TechLink’ s primary focus is helping DoD labs to 

transfer their inventions to U.S. companies through license agreements. TechLink currently brokers or facilitates 

approximately 60 percent of all DoD license agreements with industry. See: http://techlinkcenter.org/economicimpacts.

22 See: https://implan.com/index.php?option=com_djtabs&view=tabs&Itemid=435 

SRR BCR

Number of Studies Reporting 13 16

Min 27% 4

Max 1056% 249

Mean 254% 46

Std Dev 327% 69

Median 154% 9
Federal Laboratory Technology Transfer Report Fiscal Year 2013 21

21 

impacts included 163,067 jobs with an average wage of $65,000. The change in labor income 

was estimated to be $10.6 billion. The $13.4 billion in sales and its economy-wide effects 

generated approximately $2.3 billion in Federal tax revenues and over $1.3 billion in state and 

local tax revenues. 

Nationwide Economic Impacts from DoD License Agreements, 2000-2011 

Source: BBER, University of Montana; IMPLAN 

Another DoD study estimated the economic contribution of technology transfer agreements (both 

CRADAs and licenses) brokered or facilitated by TechLink between 2000 and 2011.23 Of the 

361 companies contacted for this study, 178 (49 percent) reported that they had sales of products 

or services related to the technology transfer agreements with DoD that TechLink had facilitated. 

The total cumulative sales reported by these 178 companies amounted to slightly over $1 billion 

($1,032,669,174). Of the remaining companies, 65 (18 percent) were still developing or 

commercializing the technology that had been licensed from DoD, co-developed with this 

agency, or funded by DoD. In short, two-thirds of the companies were either already selling the 

DoD-related technologies or were continuing to pursue this objective. Approximately a third of 

the companies, 116 (32 percent), had not achieved any sales and had abandoned efforts to 

commercialize the subject technology. 

The total economy-wide contribution combines the direct, indirect, and induced impacts. Total 

economy-wide sales, as measured by output, were estimated to be $2.9 billion. Value added was 

estimated at $1.6 billion, representing new wealth creation in the economy. Employment impacts 

include 17,818 jobs with an average wage of $59,000. The resulting change in labor income was 

estimated at $1.0 billion. The $1.0 billion in sales and its economy-wide effects generated (in 

2011) approximately $217 million in Federal tax revenues and over $114 million in state and 

local tax revenues. 

 

23 TechLink was established as a federally funded technology transfer center at Montana State University in 1996. 

Since 1999, it has served as DoD’s primary national “partnership intermediary,” helping to broker productive 

partnerships between DoD labs and U.S. industry nationwide. TechLink specializes in helping DoD labs to outlicense their inventions to industry, mainly to small or mid-sized companies that are not traditional defense 

contractors. To date, it has helped to establish approximately 425 license agreements, resulting in the transfer of 

approximately 1,050 DoD invention to industry for conversion into new commercial and military products. Since 

2005, TechLink has brokered or facilitated over half of all DoD license agreements. See http://techlinkcenter.org/ 

Output 

(Billions)

Employment 

(Jobs created 

or retained)

Value Added 

(Billions)

Labor 

Income 

(Billions)

Tax Revenue 

(Billions)

Direct Impact $13.4 27,128 $4.5 $2.7

Indirect Impact $11.6 56,728 $6.4 $4.2

Induced Impact $11.3 79,210 $6.5 $3.7

Federal Tax Revenues $2.3

State and Local Tax Revenues $1.3

Total Economy-Wide Impact $36.3 163,067 $17.4 $10.6 $3.7
Fiscal Year 2013 Federal Laboratory Technology Transfer Report 22

22 

National Economic Impacts from DoD TechLink-Brokered Partnerships, 2000 to 2011 

Source: BBER, University of Montana; IMPLAN 

The Navy commissioned a similar macroeconomic study in 2009. This study examined 101 

organizations that were involved in technology transfer agreements (both CRADAs and licensing 

agreements) for technologies developed by the Navy.24 In order to estimate the economic ripple 

effects of this program, the IMPLAN program was used to conduct a standard input-output 

analysis of the private sector revenues generated by technology transfer agreements in 2009. 

The study found that the agreements generated a total annual economic output of $545 million 

with more than $200 million of this total associated with the direct sales of technology transfer 

partners. Through purchases of production inputs and household spending of employees, this 

direct output generated another $345 million annually in economic ripple effects throughout the 

nation. The level of direct output created an estimated 670 jobs for these 101 companies with 

technology transfer agreements. The ripple effects caused by purchases and household spending 

supported another 1,960 jobs. The study estimated that the combined impact from these 

technology transfer mechanisms generated an additional $60 million in Federal, state, and local 

taxes. 

 

Estimated Impacts of Technology Transfer Agreements (U.S. Navy) 

NASA Tech Transfer Impacts 

Over the past several decades, there have been many efforts to quantify the benefits of NASA’s 

technology transfer efforts. The table below indicate some of the early studies that have used 

different economic approaches and have produced a wide range of impact metrics. 

 

24 See: http://www.ibrc.indiana.edu/studies/t2.pdf 

Output 

(Billions)

Employment 

(Jobs created 

or retained)

Value Added 

(Billions)

Labor 

Income 

(Billions)

Tax Revenue 

(Billions)

Direct Impact $1,033 5,766 $510 $439 

Indirect Impact $792 4,211 $398 $248 

Induced Impact $1,114 7,839 $646 $361 

Federal Tax Revenues $217 

State and Local Tax Revenues $114 

Total Economy-Wide Impact $2,935 17,818 $1,553 $1,049 $331 

2009

Direct Economic Effect $200 million

Indirect and Induced Economic Effects $345 million

Total Economic Impact $545 million

Jobs Created 2,630

Estimated Federal, State and Local Taxes Generated $62 million
Federal Laboratory Technology Transfer Report Fiscal Year 2013 23

23 

NASA Technology Transfer Studies 

Study Methodology Quantitative Findings

Economic Impact of Stimulated 

Technological Activity,” Final 

Report, Midwest Research Institute 

(1971)

Macroeconomic Projections

Average 7:1 rate of economic return 

on each dollar invested in NASA / 

Discounted rate of return on NASA 

investments of approximately 33%.

“Quantifying the Benefits of the 

National Economy from Secondary 

Applications of NASA Technology,” 

Mathematica (1976)

Case studies of four major NASA 

technology categories

$1B estimated benefit of NASA 

contribution to cryogenics / $5B 

estimated benefit of NASA 

contribution to integrated circuits / 

$111M estimated benefits of NASA 

contribution to gas turbines / $701M 

estimated benefit of NASTRAN 

(NASA's structured analysis 

software program).

Michael K. Evans, “The Economic 

Impact of NASA R&D Spending,” 

Chase Econometric Associates, Inc., 

Bala Cynwyd (1976)

Simulations and Modeling

Average 7:1 rate of economic return 

on each dollar invested in NASA / 

Historical rate of return from NASA 

R&D spending of 43%.

“Economic Impact and Technological 

Progress of NASA Research and 

Development Expenditures,” Midwest 

Research Institute, Kansas City, 

Missouri, for the National Academy 

of Public Administration (1988)

Macroeconomic Projections

Average 9:1 rate of economic return 

on each dollar invested in NASA / 

Discounted rate of return on NASA 

investments ranging between 19 and 

35%.

“An Exploration of Benefits from 

NASA ‘Spinoff’,” Richard L. 

Chapman, Loretta C. Lohman, and 

Marilyn J. Chapman (1989)

Examination of 259 published Spinoff 

stories, Telephone interviews and 

Inquiries

$21.3B NASA contributions to sales 

/ $315.7M NASA contributions to 

cost savings / 325,000 jobs created 

or saved / $365M in tax receipts.

“The Nature and Extent of Benefits 

Reported in NASA ‘Spinoff’,” 

Richard L. Chapman, Marilyn J. 

Chapman, Mary F. Chapman, and 

Jody Briles (1993)

Examination of 353 published Spinoff 

stories, Telephone interviews and 

inquiries (Continuation of 1989 

Chapman Report)

$32B NASA contribution to sales / 

$1B NASA contributions to cost 

savings.

“The Economic Impact of the Space 

Program: A Macro and Industrial 

Perspective,” prepared for Rockwell 

International by The WEFA Group 

(1994)

Economic Modeling

Estimated 380,000 NASAgenerated jobs by 1997 / $153.5B in 

GDP generated by NASA-related 

activity by 2000.

“Space as an Investment in Economic 

Growth,” Henry R. Herzfeld (1997)

Surveys, Telephone interviews and 

inquiries, Literature review, and Case 

studies

Over $1.5B in value added to 15 

NASA life sciences partner firms.
Fiscal Year 2013 Federal Laboratory Technology Transfer Report 24

24 

While somewhat dated, these studies illustrate particular aspects of the economic benefits of 

space research and technology development, as well as the different approaches that can be used 

to measure economic impact. 

More recently, NASA has developed a more systematic approach to the assessment of 

quantitative benefits using anecdotal evidence of benefits featured in its annual Spinoff 

publication.25 This approach identifies a small number of quantitative measures that capture 

predominant categories of benefits. In some cases, the benefits can be fully attributed to the 

original NASA technology, although in most cases the application of NASA technology is a 

contributing factor in the innovation that has ultimately generated the benefits. 

In one recent study, 187 technologies featured in Spinoff magazine from 2007-2010 were 

examined in detail to extract quantifiable measures of benefit and/or success, due in part or in 

full, to NASA’s influence on the subject company’s product or service.26 Examination of a 

critical mass of these benefits revealed emerging patterns, and thus common areas of 

quantification became readily apparent. This analysis allowed NASA to identify a subset of 

quantitative measures that capture the predominant categories of benefits. In some cases, the 

benefits can be fully attributed to the original NASA technology, although in most cases the 

application of NASA technology is a contributing factor to the innovation that ultimately 

generates the benefits. The five standard categories of quantifiable benefits and units of measure 

identified by this study were jobs created, revenue generated, productivity and efficiency 

improvements, lives saved, and lives improved. 

Summary of Quantifiable Benefits Featured in Spinoff (2007-2010) 

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. 

 

25 See http://spinoff.nasa.gov/ 26 See http://spinoff.nasa.gov/pdf/IAC%202011%20Quantifying%20Spinoff%20Benefits.pdf

Estimated 

Impact

Companies 

Reporting

Jobs Created 9,200 75

Revenue Generated $1.2 billion 83

Productivity and Efficiency Improvements $6.2 billion 46

Lives Saved 12,000 20

Lives Improved 86 million 18
Federal Laboratory Technology Transfer Report Fiscal Year 2013 25

25 

The Innovation Corps Program 

In 2011, the National Science Foundation (NSF) established the Innovation Corps (I-CorpsTM)27

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. 

Recently, 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 

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,28 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 

 

27 See http://sbir.cancer.gov/resource/icorps/ 28 See http://energy.gov/articles/energy-department-announces-new-lab-program-accelerate-commercializationclean-energy 
Fiscal Year 2013 Federal Laboratory Technology Transfer Report 26

26 

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 began its first EIR program in 2012. BioHealth Innovation, Inc., 

a non-profit, private-public partnership, manages the EIRs under a Partnership Intermediary 

Agreement with NIH. BioHealth pays for the salaries of the two EIRs. The EIRs are charged 

with three key activities: 1) review NIH technologies to assess commercial relevance; 2) 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 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 effect 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. This initiative brings individuals with demonstrated experience in 

developing, operating, and existing start-up technology businesses to work with NIST 

researchers and the NIST Technology Partnerships Office to identify opportunities for licensing 

and commercialization of innovative technology emerging from NIST mission-oriented research. 

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

Building on the Administration’s Startup America initiative to promote high-growth 

entrepreneurship, as well as the ongoing implementation of the PM, the Lab-to-Market initiative 

has proposed a number of actions to accelerate and improve the transfer of new technologies 

from the laboratory to the commercial marketplace. Implementation, including the preparation of 

government-wide plans, is being coordinated as a cross agency priority goal under the GPRA 

Modernization Act (P.L. #111-352). 
Federal Laboratory Technology Transfer Report Fiscal Year 2013 27

27 

Developing Human Capital 

Research agencies will finalize a government-wide plan to develop the Nation’s human 

capital assets for promoting technology transfer, including: 

1. Significantly 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 finalize a government-wide plan to implement new policies that 

further streamline and promote technology transfer collaborations, including: 

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 in order to remove barriers to collaboration with external entities, as 

appropriate, including efficient CRADA authorities, updated intellectual property 

policies, effective Laboratory-Directed Research and Development 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 IP and (b) R&D 

facilities, equipment, use policies, and agency contact information in the 
Fiscal Year 2013 Federal Laboratory Technology Transfer Report 28

28 

implementation of the Open Data Executive Order (EO 13642) and Open Data 

Policy (OMB Memorandum M-13-13), such that this data is open and machinereadable, available to third parties through application programming interfaces, 

and tagged with concise summaries and other relevant metadata; 

2. Dramatically reducing the time, cost, and complexity of executing IP 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. 

Fueling Small Business Innovation 

Research agencies with Small Business Innovation Research (SBIR) and Small Business 

Technology Transfer (STTR) programs will work with the Small Business 

Administration (SBA 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 crossagency 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 
Federal Laboratory Technology Transfer Report Fiscal Year 2013 29

29 

5. Encouraging alignment of SBIR/STTR solicitation topics with the annual 

memorandum from the Director of OMB and the Director of OSTP describing 

multi-agency science and technology priorities. 

Evaluating Impact 

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

report the following R&D commercialization metrics: 

1. Building on the implementation of the 2011 Presidential Memorandum, which 

includes new metrics tracking commercialization outputs (e.g., number of IP 

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 IP licensing 

agreements, increasing the number of federally-funded researchers who receive 

experiential entrepreneurship education, and increasing the percentage of 

federally funded IP 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). 
Fiscal Year 2013 Federal Laboratory Technology Transfer Report 30

30 

Chapter 2 Agency Performance in FY 2013 

Each Federal research and development 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.29

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

Three main topic areas are addressed: 

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

(e.g., CRADAs, invention disclosure and patenting, and intellectual property licensing) for 

the most recently closed fiscal year (FY 2013) and several prior years (chiefly, FY 2009-

2013); 

x 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 

x Streamlining activities at each agency to lower administrative burden and make technology 

more accessible. 

 

 

29 See http://nist.gov/tpo/publications/agency-technology-transfer-reports.cfm
Federal Laboratory Technology Transfer Report Fiscal Year 2013 31

31 

Department of Agriculture (USDA) 

Last year marked the 150th anniversary of the Department of Agriculture. Established on May 

15, 1862, President Abraham Lincoln later coined the phrase “the People’s Department” in 

acknowledging the role of the Department in solving problems for the agriculture sector 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 these 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. Seemingly, a simple statement, that 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 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-forprofit 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. 

Science-based innovations from USDA intramural research, often developed through 

public/private partnerships, 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 creating jobs and sustainable economic development. 

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

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

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

are housed in the Office of Technology Transfer. 

On October 28, 2011, following a series of reports identifying the status of technology transfer 

from Federal funds and Federal laboratories, the White House issued the Presidential 

Memorandum – Accelerating Technology Transfer and Commercialization of Federal Research 

in Support of High-Growth Businesses. Issuance of this Memorandum provided an 

unprecedented opportunity for unifying technology transfer across USDA S&T agencies as the 

mechanism to deliver these outcomes for public good. In the USDA’s response to the 

Presidential Memorandum (http://www.nist.gov/tpo/publications/upload/USDA-Tech-TransferPlan.pdf), several initiatives were identified to promote technology transfer and 

commercialization. These initiatives will usher in a new era of unprecedented collaboration 

among agencies of USDA to enhance services and opportunities to the customers and 

stakeholders of the Department. 

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

https://www.ars.usda.gov/business/Docs.htm?docid=24718. 
Fiscal Year 2013 Federal Laboratory Technology Transfer Report 32

32 

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

websites: 

x Agricultural Research Service: http://www.ars.usda.gov/partnering; 

x Animal and Plant Health Inspection Service:

http://www.aphis.usda.gov/wps/wcm/connect/APHIS_Content_Library/SA_Our_Focus/S

A_Wildlife_Damage/SA_Programs/SA_NWRC/SA_Tech_Transfer; and

x Forest Service: http://www.fs.fed.us. 
Federal Laboratory Technology Transfer Report Fiscal Year 2013 33

33 

USDA Invention Disclosures and Patenting 

Between FY 2009 and FY 2013, the number of invention disclosures received remained 

consistent, with an overall 1% increase. The number of patent applications filed increased by 

20% to 147. The number of patents issued increased by 113% to 51. 

 

178

149

158 160

180

123

113

124 122

147

24

45 49

69

51

0

20

40

60

80

100

120

140

160

180

200

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013

USDA Invention Disclosures and Patenting

New Inventions Disclosed Patent Applications Filed Patents Issued

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013

New Inventions Disclosed 178 149 158 160 180

Patent Applications Filed 123 113 124 122 147

Patents Issued 24 45 49 69 51
Fiscal Year 2013 Federal Laboratory Technology Transfer Report 34

34 

USPTO Patents Assigned to USDA by Technology Area: FY 201330

 

30 Source: National Science Foundation and The Patent BoardTM (see footnote 5). 

Biotechnology

36%

Agriculture

32%

Materials

6%

Chemicals

6%

Measurement 

Techniques & 

Instrumentation

5%

Other

15%
Federal Laboratory Technology Transfer Report Fiscal Year 2013 35

35 

USDA Licenses 

Between FY 2009 and FY 2013, the number of total active licenses increased by 21%, going 

from 330 licenses in FY 2009 to 400 licenses in FY 2013. Total active invention licenses also 

increased, reaching 351 licenses in FY 2013; a 16% increase over the five-year period. Total 

active income bearing licenses increased from 327 licenses in FY 2009 to 397 in FY 2013. 

330

344

358

384

400

26 22 35 34 25

302 313 322

341 351

22 18 29 28 19

327 340

354

379

397

234

248 257

277

291

0

50

100

150

200

250

300

350

400

450

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013

USDA Licenses

Licenses, Total Active New Licenses

Invention Licenses, Total Active New Invention Licenses

Income Bearing Licenses, Total Active Income Bearing Exclusive Licenses

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013

Licenses, Total Active 330 344 358 384 400

New Licenses 26 22 35 34 25

Invention Licenses, Total Active 302 313 322 341 351

New Invention Licenses 22 18 29 28 19

Income Bearing Licenses, Total Active 327 340 354 379 397

Income Bearing Exclusive Licenses 234 248 257 277 291
Fiscal Year 2013 Federal Laboratory Technology Transfer Report 36

36 

USDA Income from Licensing 

Between FY 2009 and FY 2013, total income decreased by 18.35%, with $4.39 million received 

in FY 2013. Invention License income, which accounted for 92% of total income, decreased by 

23.7% over the five-year period. Total earned royalty income also decreased, with a 24.15% 

drop, totaling $3.35 million in FY 2013. $5,376 $3,641

$3,989 

$3,806 

$4,390

$5,318 

$3,566

$3,855 

$3,671 

$4,058

$4,422 

$3,075

$3,137 

$3,060 

$3,354

$0

$1,000

$2,000

$3,000

$4,000

$5,000

$6,000

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013

USDA Income from Licensing ($000s)

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

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013

Total Income, All Active $5,376 $3,641 $3,989 $3,806 $4,390

Invention Licenses $5,318 $3,566 $3,855 $3,671 $4,058

Total Earned Royalty Income $4,422 $3,075 $3,137 $3,060 $3,354
Federal Laboratory Technology Transfer Report Fiscal Year 2013 37

37 

USDA Collaborative R&D Relationships 

During the five-year period, the number of total active CRADAs increased by 6.58%, from 243 

CRADAs in FY 2009 to 259 CRADAs in FY 2013. The number of new CRADAs per year 

increased by 6.17%, reaching 86 new agreements in FY 2013. Other collaborative R&D 

relationships increased by 56.24% between FY 2009 and FY 2013, reaching 16,102 agreements 

in FY 2013. 

243 81 273 92 292 102 274 259 201 219 207 65 211 86 211

10,306

11,570

13,458

14,351

16,102

0

2,000

4,000

6,000

8,000

10,000

12,000

14,000

16,000

18,000

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013

USDA Collaborative R&D Relationships

CRADAs, Total Active New CRADAs

Traditional CRADAs, Total Active Other Collaborative R&D Relationships

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013

CRADAs, Total Active 243 273 292 274 259

New CRADAs 81 92 102 65 86

Traditional CRADAs, Total Active 201 219 207 211 211

Other Collaborative R&D Relationships 10,306 11,570 13,458 14,351 16,102
Fiscal Year 2013 Federal Laboratory Technology Transfer Report 38

38 

Efforts to Streamline Technology Transfer Operations 

The Office of Technology Transfer (OTT) within the USDA’s Agricultural Research Service 

(ARS) put into place two different interagency funded agreements to provide technology transfer 

services (policy advice, agreement review, patenting / licensing services, etc.) to the USDA’s 

Animal and Plant Health Inspection Service’s (APHIS) and USDA’s Forest Service. 

Changes were made to ARS’s National Patent Committee invention disclosure review process to 

more effectively and efficiently utilize limited resources. These changes have improved the 

quality of the committee discussions to determine the most appropriate approach for getting 

research results adopted. Patent protection is only pursued if a patent-license is required to 

transfer the research results. 

OTT and the USDA’s National Institute for Food and Agriculture, who manages the SBIR 

program for USDA, initiated a collaboration where SBIR applicants that need research expertise 

are encouraged to contact ARS for help; ARS encourages its CRADA partners to submit SBIR 

grant proposals. 

USDA Downstream Success Stories 

Exploiting Avian Vision with Aircraft Lighting to Reduce Bird Strikes 

Collisions between wildlife and aircraft result in more than $625 million in losses annually to 

U.S. civil aviation, more than $1.2 billion annually to civil aviation worldwide, and have been 

responsible for the loss of more than 200 lives since 1988. Approximately 97.5 percent of these 

collisions involve birds. Vision is a primary sensory pathway in birds and recent research 

indicates that aircraft lighting can play a potential role to increase a bird's ability to detect 

approaching aircraft and, subsequently, reduce bird-aircraft collisions. APHIS-National Wildlife 

Research Center scientists and several collaborators have successfully transferred technology 

consisting of new information on the visual and behavioral mechanisms involved in the response 

of wild birds to approaching objects. By combining information on the visual capabilities of 

birds with their observed responses to the approach of vehicles under different lighting scenarios, 

scientists aided the aviation industry in the development of external lighting systems for aircraft 

that could serve to enhance detection and avoidance by birds. 

New Healthy Functional Foods from Oats 

Studies revealed that the soft-solid characteristics of various oat 

carbohydrates (beta-glucan) provided creamier, less runny properties that 

are valuable for developing new functional foods such as yogurt, instant 

puddings, custard, batter, smoothies, and ice cream. ARS scientists in 

Peoria, Illinois, developed the oat concentrates, which appear to have 

great potential for health-concerned consumers. An industrial partner has 

licensed this ARS patented digestible, functional food from oats for the 

production of Calorie-Trim and Nutrim. Z-Trim is licensing this product 

for expanded markets, including USDA’s school lunch program.
Federal Laboratory Technology Transfer Report Fiscal Year 2013 39

39 

Alternatives to Conventional Antimicrobials for Livestock 

Finding novel antimicrobials that kill multidrug resistant pathogens is a worldwide 

problem for livestock industries and human 

medicine alike. In collaboration with Spanish 

scientists, ARS scientists in Beltsville, 

Maryland, identified a bacterial cell wall 

degrading protein from a virus of 

Staphylococcus bacteria that when applied 

externally, binds and kills Staphylococcus 

aureus bacteria. The protein was then fused to 

lysostaphin, another protein that is lethal to S. 

aureus bacteria, and then to a third bacterial 

cell wall degrading protein. The combination of these three proteins effectively kills both bovine 

and human strains of S. aureus, including multi-drug resistant strains. This three-protein fusion 

strategy, to create cell wall degrading enzymes with multiple simultaneous lethal activities, is 

potentially applicable to any bacteria with externally exposed cell wall components and should 

enable production of antimicrobials that are highly refractory to resistance development while 

not targeting beneficial strains of bacteria. This novel fusion protein has the potential to treat 

persistent mastitis on dairy farms and multi-drug resistant S. aureus (MRSA) in hospitals and 

clinics. 

Correctly Detecting Salmonella in Foodborne Outbreaks 

Salmonella species remain one of the leading pathogens causing 

outbreaks of illness. Unfortunately, the serotype implicated in actually 

causing any outbreak (clinical disease) is often difficult to determine 

since there may be many contaminating strains. During outbreak 

investigations, it is critical to isolate the relevant strain from food 

and/or environmental sources. ARS researchers in Albany, California, 

determined that some Salmonella strains were more likely to be 

isolated than others. Current selective enrichment media shows a bias 

for Salmonella enterica strains while strains of serogroup B, which 

include serovars Typhimurium, Saint-Paul, and Schwarzengrund, were less likely to emerge as 

dominant strains. This work provides critical information to public health agencies at the Federal 

and State level, as well as to industry, stressing that during investigations, multiple enrichment 

protocols should be used to ensure isolation of target strains. 
Fiscal Year 2013 Federal Laboratory Technology Transfer Report 40

40 

New Modeling Study Suggests Lower Vitamin E Requirement 

Ninety-three percent of the American population does 

not meet the current dietary recommendation for 

vitamin E. However, there is little if any evidence that 

deficiency of this vitamin exists in the U.S., suggesting 

the current requirement may be set too high. An ARS 

scientist in Beltsville, Maryland, in collaboration with 

scientists at the University of California, Davis, 

modeled and quantified the kinetics, bioavailability, and 

metabolism of alpha tocopherol in healthy adults by 

measuring tiny doses of the radioactively labeled 

vitamin excreted in urine or feces over 21 days and 

amounts in blood over 70 days. The new data suggest 

the true vitamin E requirement is one third of that set in 2000 by the Institute of Medicine and 

could form the basis for a revision of that recommendation. Lowering the vitamin E requirement 

could help the Food and Nutrition Service, which administers the School Lunch Program and is 

required to provide one third of the Vitamin E daily requirement, address the issue of what is 

actually needed. 

Food for Progress 

The Food for Progress Program (“FFPr”) provides donations of U.S. agricultural commodities to 

developing countries that are committed to introducing or expanding free enterprise in the 

agricultural sector. Donated commodities are “monetized” (i.e., sold on the local market) by 

implementing partners within a participating country and the proceeds are used to support 

agricultural development activities in that country. In some cases, FFPr activities help accelerate 

the transfer and commercialization of U.S. technology in partner countries. For example, in FY 

2013 Agricultural Cooperative Development International and Volunteers in Overseas 

Cooperative Assistance (ACDI/VOCA) received a FFPr grant to expand the scope of a 2008 

funded Food for Progress project to enhance the development of high-quality manufactured 

cattle and poultry feeds in five regions of Ethiopia. Specifically ACDI/VOCA will assist 

cooperatives and unions in three phases of developing feed manufacturing enterprises: 

establishment, production, and post-production. Within this project, ACDI/VOCA will support 

the Ethiopian Meat and Dairy Technology Institute in expanding a web-based database of feed 

ingredients and a parallel market information system for livestock and feed. This initiative will 

also deliver technical assistance and technology transfer to the Ethiopian Animal Feed Industry 

Association to enhance feed quality control and regulatory compliance among local feed 

manufacturers. Overall, training and technology transfers through this initiative will improve 

Ethiopia’s poultry and livestock sectors and further cultivate new market opportunities for U.S. 

exports of feed ingredients to Ethiopia. 

Best Management Practices for Community Wildfire Protection Plans (CWPP) 

Community wildfire protection planning has been called one of the most successful tools for 

addressing wildfire fire management in the wildland-urban interface. Initiating legislation 

provided little direction for what a CWPP process or product might look like, leaving WildlandUrban Interface community members and their potential partners with a number of questions 

about what a CWPP should include and what process should be followed. Case studies 
Federal Laboratory Technology Transfer Report Fiscal Year 2013 41

41 

conducted by Forest Service social scientists and their university colleagues in 13 communities 

nationwide offered some guidance to communities seeking to create or revise a CWPP. The Best 

Management Practices (BMPs) that emerged from talking to more than 130 people are a 

collection of lessons that empower communities and their partners to produce a plan that takes 

into account their social and ecological contexts in addressing local wildland fire issues and 

concerns. BMPs highlight the importance of drawing on community capacity and necessary 

networks while creating new capacities for future action. They highlight the linkage between 

how a community frames the issue of wildland fire management and the scale selected for the 

CWPP. Finally, the BMPs suggest steps to sustain interest, participation, resources, and support 

for the CWPP. 

Cellulose Nanofiber Composites Can Serve as Substrate for Flexible Electronics 

Flexible electronics have many potential applications including 

malleable displays, solar cells, smart cards, radio frequency 

tags, medical implants, and wearable computers. Transparent 

films made from cellulose nanofibers, a renewable 

nanomaterial, have low thermal expansion and thus the potential 

to serve as a foundation for flexible electronics. Forest Service 

researchers recently demonstrated the ability to transfer silicon 

nanomembranes onto flexible plastic substrates to create working thin-film transistors having a 

12-gigahertz maximum oscillation frequency. Current work with high-speed, flexible electronic 

substrates uses plastics for the flexible substrate. These plastics typically have drawbacks, 

however, such as high thermal expansion coefficients. Transparent films made from cellulose 

nanofibers, a renewable material using the smallest workable particles of wood, have low 

thermal expansion, and thus, the potential to serve as a superior substrate for flexible electronics. 

Researchers from the Forest Products Laboratory and University of Wisconsin, Madison, have 

demonstrated the first example of using cellulose nanofiber composite substrates for flexible 

electronics. Although some challenges remain, the cellulose nanofiber composite showed good 

chemical and thermal resistance, which is necessary for electronic fabrication, and the use of 

cellulose nanofibers as a sustainable component for high-speed flexible electronics is extremely 

promising. 
Fiscal Year 2013 Federal Laboratory Technology Transfer Report 42

42 

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 R&D in areas of science and technology at the laboratory facilities of NIST, the 

National Oceanic and Atmospheric Administration (NOAA), and the National 

Telecommunications and Information Administration’s (NTIA) Institute for Telecommunication 

Sciences (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 NIST facilitating 

interagency discussion on policy, new approaches to technology transfer, and lessons learned 

from agency technology transfer programs. NIST also serves as the host agency for the Federal 

Laboratory Consortium for Technology Transfer (FLC), which is a nationwide network of 

Federal laboratories that provides a forum to develop strategies and opportunities for linking 

laboratory mission technologies and expertise with the marketplace.31

 

DOC’s role in coordinating technology transfer activities across Federal agencies was further 

expanded by the Presidential Memorandum – Accelerating Technology Transfer and 

Commercialization of Federal Research in Support of High-Growth Businesses of October 21, 

2011.32 The purpose of this PM is to foster innovation by increasing the rate of technology 

transfer and the economic and societal impact from Federal R&D investments. The PM directs 

agencies with Federal laboratories to take actions to establish goals and measure performance, 

streamline administrative processes, and facilitate local and regional partnerships in order to 

accelerate technology transfer and support private sector commercialization. The aim is to 

increase the successful outcomes of agency technology transfer and commercialization activities 

significantly over the next 5 years, while simultaneously achieving excellence in each agency’s 

research activities. 

 

31 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 Interior, Department 

of Transportation, Department of Veterans Affairs, Environmental Protection Agency, and National Aeronautics and 

Space Administration. 

32 http://www.whitehouse.gov/the-press-office/2011/10/28/presidential-memorandum-accelerating-technologytransfer-and-commerciali
Federal Laboratory Technology Transfer Report Fiscal Year 2013 43

43 

Section 2 of the PM calls for establishing performance goals, metrics, and evaluation methods, as 

well as implementing and tracking progress relative to those goals. Specifically “[t]he Secretary 

of Commerce, in consultation with other agencies, including the National Center for Science and 

Engineering Statistics, shall improve and expand, where appropriate, its collection of metrics in 

the Department of Commerce's annual technology transfer summary report, submitted pursuant 

to 15 U.S.C. § 3710(g)(2).”33 

 

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

http://nist.gov/tpo/publications/doc-annual-reports-techtransfer.cfm

More information about DOC’s technology transfer activities is available on the following 

websites: 

x NIST: http://www.nist.gov/tpo/index.cfm; 

x NOAA: http://techpartnerships.noaa.gov/; and 

x ITS: http://www.its.bldrdoc.gov/. 

 

33 For a list of available reports see http://www.nist.gov/tpo/publications/doc-annual-reports-techtransfer.cfm
Fiscal Year 2013 Federal Laboratory Technology Transfer Report 44

44 

DOC Invention Disclosures and Patenting 

Between FY 2009 and FY 2013, the number of new inventions disclosed increased by 3% to 41 

inventions. The number of patent applications filed increased by 25% during the five year period 

to 25 applications in FY 2013. The number of patents issued to the department increased by 

186% between FY 2009 and FY 2013 to 20 patents in FY 2013. 

 

40

31

26

52

41

20 20

17

21

25

7

12

16

13

20

0

10

20

30

40

50

60

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013

DOC Invention Disclosures and Patenting

New Inventions Disclosed Patent Applications Filed Patents Issued

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013

New Inventions Disclosed 40 31 26 52 41

Patent Applications Filed 20 20 17 21 25

Patents Issued 7 12 16 13 20
Federal Laboratory Technology Transfer Report Fiscal Year 2013 45

45 

USPTO Patents Assigned to DOC by Technology Area: FY 201334

 

34 Source: National Science Foundation and The Patent BoardTM (see footnote 5). 

Measurement 

Techniques & 

Instrumentation

52%

Information Processing

15%

Electronic Components 

& Devices

11%

Materials 

Manufacturing

7%

Audio-Visual 

Electronics

7%

Semiconductors

4%

Industrial 

Manufacturing

4%
Fiscal Year 2013 Federal Laboratory Technology Transfer Report 46

46 

DOC Licenses 

Between FY 2009 and FY 2013, the number of new licenses and new invention licenses 

decreased by 58% and 55% respectively. The number of licenses in 2009 was somewhat of an 

anomaly because a large number of no-cost research licenses were granted to small businesses 

under the Small Business Innovation Research Program. The large number of projects was due to 

increased funding from the American Recovery and Reinvestment Act of 2009 (P.L. 111-5). 

Therefore, although there is a decrease in new licenses, there was a 36% increase in the number 

of income bearing exclusive licenses for the same period. 

40

46

40 41

39

12

7

5 6 5

40

46

40 41

39

11

7

5 6 5

28 29

26 25

27

11 12 12 12

15

0

5

10

15

20

25

30

35

40

45

50

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013

DOC Licenses

Licenses, Total Active New Licenses

Invention Licenses, Total Active New Invention Licenses

Income Bearing Licenses, Total Active Income Bearing Exclusive Licenses

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013

Licenses, Total Active 40 46 40 41 39

New Licenses 12 7 5 6 5

Invention Licenses, Total Active 40 46 40 41 39

New Invention Licenses 11 7 5 6 5

Income Bearing Licenses, Total Active 28 29 26 25 27

Income Bearing Exclusive Licenses 11 12 12 12 15
Federal Laboratory Technology Transfer Report Fiscal Year 2013 47

47 

DOC Income from Licensing 

All income from licensing comes from invention licenses. During the five-year period, from FY 

2009 to FY 2013, there was a 55% decrease in total income from all active licenses. This is 

primarily due to the expiration of a single license when the associated patent expired. $336 $237 $277 $248 $151 $336 $237 $277 $248 $151 $336 $237 $277 $248 

$151

$0

$50

$100

$150

$200

$250

$300

$350

$400

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013

DOC Income from Licensing ($000s)

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

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013

Total Income, All Active $336 $237 $277 $248 $151

Invention Licenses $336 $237 $277 $248 $151

Total Earned Royalty Income $336 $237 $277 $248 $151
Fiscal Year 2013 Federal Laboratory Technology Transfer Report 48

48 

DOC Collaborative R&D Relationships 

The number of total active CRADAs has remained constant between FY 2009 and FY 2013, with 

an overall 1% increase to 2,428 agreements. The five-year period experienced a 51% growth in 

the number of new CRADAs and a 95% increase in the number of total active traditional 

CRADAs. The other collaborative R&D relationships experienced a 5% increase between FY 

2009 and FY 2013, reaching 2,977 relationships in FY 2013. 

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013

CRADAs, Total Active 2,397 2,253 2,245 2,410 2,428

New CRADAs 1,512 2,159 2,192 2,844 2,290

Traditional CRADAs, Total Active 101 100 98 153 197

Other Collaborative R&D Relationships 2,828 2,897 2,899 2,782 2,977
Federal Laboratory Technology Transfer Report Fiscal Year 2013 49

49 

Efforts to Streamline Technology Transfer Operations 

NIST has undertaken several efforts to streamline and simplify the technology transfer process. 

NIST has revised its standard CRADA documents, reducing that document’s overall size by 

approximately one third. This effort has helped to expedite the CRADA negotiation and review 

process by eliminating provisions not needed for the great majority of NIST collaborations. 

NIST has also set up a website to enhance communications with outside parties who are 

interested in developing partnerships with NIST, and implemented several new licensing 

programs to encourage small businesses to participate. These programs lay out key terms in 

advance to ease concerns of small businesses about overall licensing costs. NIST is conducting 

detailed analysis of the flow of documents to understand where significant delays occur within 

its system. In many cases, these delays are with the partner and NIST does not have direct 

control. However, through ongoing efforts to identify and understand issues experienced its 

partners, NIST will continue to identify new ways to simplify and streamline technology transfer 

practices. 

DOC Downstream Success Stories 

Public Safety Broadband Demonstration Network 

Before Congress passed the First Responder Network Authority (FirstNet) legislation, issues 

with cross-organization and cross-jurisdiction communications in the land mobile radio 

environment hindered the effectiveness of public safety communication among first responders. 

Specifically, the use of proprietary systems and non-contiguous spectrum assignments prevented 

the standardization of nationwide public safety communications. 

To address these issues, NIST’s Communications Technology Laboratory and NTIA’s ITS have 

jointly created the Public Safety Communications Research (PSCR) Program. With funding from 

the Department of Homeland Security, this program has initiated the Public Safety Broad Band 

(PSBB) Demonstration Network that provides a viable platform by which members of the 

telecommunications industry can work together to design, develop and implement a variety of 

public safety 700 MHz broadband technologies for the benefit of emergency service agencies 

nationwide. 

Currently, the PSBB Demonstration Network is set up as a consortium of seventy-nine members 

(fourteen of which are small businesses), each with its own consortium CRADA with NIST and 

NTIA that provides access to a wide range of resources including infrastructure, supporting tests, 

equipment, software and hardware. 

The Demonstration Network provides multiple phases of testing and evaluation. The first phase, 

which has been successfully completed, focused on basic functionality tests to determine if the 

Long Term Evolution (LTE) equipment provided by user equipment manufacturers has been 

configured properly to achieve at least a minimal level of functionality. The second phase has 

also been completed successfully. The goal of this phase was to evaluate the performance of the 

LTE radio network and evaluate LTE network interoperability between the various CRADA 

partners and equipment manufactures. The consortium is currently planning the next phase of 

testing that will include load testing and Quality of Service testing. 
Fiscal Year 2013 Federal Laboratory Technology Transfer Report 50

50 

Through the creation of a variety of device requirements and minimum operational guidelines, 

this project provides the means by which manufacturers can enhance the designs of new products 

that will ultimately enable highly effective and interoperable public safety communications. 

Furthermore, the activities of the consortium, which has attracted the largest concentration of 

700 MHz public safety LTE equipment manufacturers, has promoted PSCR’s leadership role in 

developing solutions for network deployment of LTE broadband. The ongoing work has shown 

the need to develop standardized implementations of LTE, verify implementations of the LTE 

standard, and utilize commercial industry products and services to meet public safety 

requirements. 

ERCC Controls for Quality of Gene Expression Measurements 

NIST has released a Standard Reference Material designed for use with RNA sequencing (RNAseq), DNA microarrays, quantitative reverse transcription PCR (qRT-PCR), or any other gene 

expression measurement technology. This reference material, based on the work of the NISThosted External RNA Controls Consortium (ERCC), will pave the path for gene expression 

studies to enter routine clinical use, enabling doctors to more effectively diagnose patients or 

design a tailored course of treatment. 

The Standard Reference Material (known as NIST SRM 2374, DNA Sequence Library for 

External RNA Controls) provides a tool that gives users confidence in the technical performance 

of gene expression measurements. With this foundation, scientists now have an effective and 

simple way to evaluate the performance of a gene expression test, and the means to collaborate 

across laboratories. 

The reference material consists of a library of 96 DNA templates (for a total of 86,319 bases) 

used to make RNA controls that allow users to gauge the technical performance of their gene 

expression tests. The controls can be added, or spiked in, to RNA samples at the start of any gene 

expression test to improve measurement confidence. These ERCC controls have already been 

incorporated into products and protocols by all major vendors of gene expression measurement 

technologies, including Illumina, Agilent, and Nanostring. 

SRM 2374 was certified by NIST for DNA sequence. In addition to the primary Standard 

Reference Material certified and maintained by NIST, mixes of RNA controls created using the 

SRM DNA templates are also commercially available. Though initially developed for use with 

gene expression microarrays, these materials have become an indispensable tool for 

characterizing new and emerging next-generation sequencing instruments and capabilities. 

Vitamin D Program 

The prevalence of vitamin D deficiency or insufficiency in the general population remains a 

global concern. Measurements of vitamin D in serum or plasma have been particularly 

challenging and inconsistent. NIST, in collaboration with the Centers for Disease Control (CDC) 

and the National Institutes of Health (NIH), has developed and released a vitamin D Standard 

Reference Material used to qualify Vitamin D measurement systems. 

Vitamin D deficiency is associated with rickets in children and osteomalacia (bone softening) in 

adults. A number of studies have linked vitamin D deficiency or insufficiency with increased 
Federal Laboratory Technology Transfer Report Fiscal Year 2013 51

51 

cancer risk, cardiovascular disease, and autoimmune disorders. Accordingly, testing for vitamin 

D deficiency has increased dramatically over the past decade to hundreds of thousands of clinical 

tests each year. However, many studies demonstrate multiple inconsistencies in the measurement 

of vitamin D, between various techniques, across different labs, and even year-to-year, which 

impede reliable diagnosis of vitamin D deficiency. Further, these discrepancies limit the ability 

to interpret or compare data from multiple research studies or to assess the nutritional status for 

diverse populations. 

In response to the need for better vitamin D deficiency diagnosis, NIST developed and deployed 

SRM 972 (Standard Reference Material 972: Vitamin D in Human Serum) to provide a gold 

standard for qualifying measurements of vitamin D in patients. It was developed in collaboration 

with the NIH Office of Dietary Supplements and the CDC. The initial reference material was so 

widely adopted by the clinical testing community that the first batch of 1450 units was exhausted 

in just two years. A renewal material, SRM 972a (Vitamin D Metabolites in Human Serum), was 

issued in early 2013 and includes value assignments for several commonly tested metabolites of 

vitamin D, which will further enhance testing accuracy. 

NIST Center for Automotive Lightweighting (NCAL) 

The NIST Center for Automotive Lightweighting (NCAL) has been established to develop the 

measurement methodology, standards, and analysis needed by the U.S. auto industry and base 

metal suppliers to deploy advanced lightweight materials for auto body components. The lighter 

vehicles made from these advanced materials will have significantly increased fuel efficiency 

and reduced emissions. Dramatic weight reductions are often achieved through the incorporation 

of lightweight aluminum alloys, high-strength steels, and polymer composites. However, the data 

and material models needed to manufacture components from these new lightweight substitutes 

are inadequate. Consequently, the U.S. auto industry spends hundreds of millions of dollars 

every year in lengthy trial-and-error development cycles to design metal-forming dies for 

specific parts. 

NIST has responded by developing new measurement capabilities that allow the direct 

measurement of the stress-strain response of advanced materials under complex (multi-axial) 

deformations. These measurements allow direct observations of new lightweight materials under 

the kinds of stress encountered in high performance applications. Additionally, NIST is working 

with industrial partners to develop predictive models of the evolving material microstructure 

during deformation. Current NCAL industry partners include GM, Ford, Chrysler, US Steel, and 

Alcoa. In addition, the knowledge and data generated by NCAL are used by industry groups such 

as the Automotive/Steel Partnership, USCAR, and the American Iron and Steel Institute. 

NCAL research has produced new measurement capabilities that have been vetted and 

disseminated via standards organizations (ASTM E-2492, ISO pending) and direct interactions 

with companies via regular industry workshops hosted at NIST. NIST scientists provide 

technical expertise for the Auto/Steel Partnership collaboration 061, an industry consortium 

focused on understanding the behavior of new lightweight materials. Steel manufacturers have 

already begun to modify material processing based on emerging NIST measurements and 

modeling so that the materials they produce are more readily deployed in cars. Automotive 

manufacturing companies have reported that NIST models and data have helped them 
Fiscal Year 2013 Federal Laboratory Technology Transfer Report 52

52 

significantly reduce die tryout cycles, which will ultimately reduce new model development 

costs. 

Green Button 

A new user guide for web developers recently released by NIST will enable electric utilities and 

vendors to provide customers with tools and applications for convenient access to their energy 

usage data. These tools and applications were developed as part of the Administration’s “Green 

Button” initiative. Green Button aims to provide electricity and gas consumers with their own 

energy usage information in an understandable and computer-friendly standardized electronic 

format via a "Green Button" on a utility's web site. Consumers armed with this information can 

then use an array of new Web applications to make more informed energy decisions and to verify 

that their energy-efficiency investments are performing as promised. The User Guide, which is 

available via the website, provides an overview for those utilities not yet using Green Button, 

contains information on the composition of Green Button data, how to make Green Button data 

accessible/comprehensible to users, sample source code showing what data to begin with, as well 

as examples of finished data sets. 

Standard for Automated Guided Vehicles Advances Technology to Improve Safety and 

Speed 

NIST contributions provided the basis for a significant revision of the ANSI/ITSDF1 B56.5-

2012 Safety Standard for Driverless, Automatic Guided Industrial Vehicles and Automated 

Functions of Manned Industrial Vehicles. Revisions to the standard were developed under the 

direction of the Industrial Truck Standards Development Foundation (ITSDF), and the revisions 

introduce for the first time the use of non-contact sensing, obstacle detection, and advances in 

vehicle control. The revised standard overcomes barriers to adopting new technologies that will 

allow both increased vehicle speeds and reduction of risk of collisions and injury. Specific NIST 

contributions to this standard over a multi-year period included development and evaluation of 

new test methods to assess safety performance, development of standard test artifacts, evaluation 

and demonstration of prototype safety systems, and development of the standards document 

itself. The safety requirements defined by this revised standard will be incorporated into new 

automated industrial vehicle product lines sold in the U.S., and manufacturing industry users of 

these vehicles will benefit from the increased safety and reduced numbers of accidents and 

injuries, as well as increased efficiency of operations. 

New NIST Test for Firefighter Breathing Equipment 

As of Sept. 1, 2013, standard firefighter breathing equipment cannot be certified to National Fire 

Protection Association (NFPA) standards unless the face piece lenses pass a new rigorous test 

developed by NIST. The new test is designed to reduce the degradation and possible failure of 

the face piece lens in self-contained breathing apparatus (SCBA) under high-heat firefighting 

conditions. Under high-heat conditions, SCBA lenses had been found to bubble, deform, and 

form holes/crazes, exposing a firefighter to toxic gases and resulting in burns to the respiratory 

tract as well as asphyxiation. The January 2013 version of NFPA's 1981 standard contains a new 

"Elevated Temperature Heat and Flame Resistance Test" that exposes the SCBA to 500 °F (260 

°C) for 5 minutes in an oven, followed by 10 seconds of direct flame contact. In addition, the 

new version contains a new "Lens Radiant Heat Test" that subjects the SCBA face pieces to a 

radiant heat flux of 15 kilowatts per square meter (kW/m2) for five minutes. As part of this test, 
Federal Laboratory Technology Transfer Report Fiscal Year 2013 53

53 

the face piece is required to maintain an air supply (positive pressure) inside the mask for 24 

minutes. The incident radiant heat flux of 15 kW/m2 was determined by NIST researchers in 

controlled experiments to be representative of the flux experienced by firefighters approaching 

the onset of “flashover”, a state of total surface involvement in a fire of combustible material 

within an enclosure. The new test and test conditions are important advances in improving the 

performance of what has been the most vulnerable component of a firefighter's protective gear in 

high-heat conditions. 

National Weather Service Little Rock Provides Geospatial Data for State Operations 

during Tornados 

On April 10, 2013, an EF2 Tornado touched down at Clinton, AR. The track was 17.3miles long 

and 800 yards wide. That same day, four additional Tornadoes also touched down. Shortly after 

this event, the National Weather Service provided subjective, storm-centroid tracks to the 

Arkansas Geographic Information Office, which were then distributed to a number of other state 

agencies, including the Arkansas governor's office, Arkansas Department of Emergency 

Management, and local government agencies. These data assisted with the decision support 

services provided by NOAA’s Weather Forecast Office, Little Rock, AR, for "Rescue and 

Recovery" efforts immediately following the tornado touchdown. The Storm Damage Survey 

lasted several days, and follow-up information was given each day by NOAA’s Warning 

Coordination Meteorologist to other law enforcement and AR Emergency Management 

personnel working the detail. 

National Weather Service/National Hurricane Center Collaborates with Commercial 

Venture to Introduce New Communication System for Critical Weather Information 

In 2010, NOAA’s National Hurricane Center (NHC) entered into a CRADA with America's 

Emergency Network, Inc. (AEN), whereby regular briefings with NHC specialists during landfalling hurricanes would be broadcast from a fixed, ceiling-mounted camera and linked through 

an Internet system at NHC via its website to the AEN website, permitting anyone with a personal 

computer to view the broadcasts. 

From 2010 to 2012, the system was used experimentally during four tropical cyclone threats to 

the U.S. - 2010's Hurricane Earl, 2011's Hurricane Irene and 2012's Hurricane Isaac and 

Hurricane Sandy. After each event, NHC worked closely with AEN to recommend 

improvements to the site and process. 

In 2012, AEN was sold to Weather Decision Technologies (WDT) and NOAA extended the 

CRADA until December 2013. NOAA used the technology in 2013 for Tropical Storm Karen, 

which had prompted a hurricane watch along the Gulf Coast. The NHC would like to implement 

this technology and is exploring appropriate legal mechanisms to allow delivery of hurricane 

warning messages to hurricane-threat zones which lack direct communication links with NHC. 

Geophysical Fluid Dynamics Laboratory (GFDL) Delivers State-of-the-Science Climate 

Model Results 

The Coupled Model Intercomparison Project is an international effort to improve climate models 

by comparing multiple model simulations to observations and to each other. These comparisons 
Fiscal Year 2013 Federal Laboratory Technology Transfer Report 54

54 

can help our understanding of past and future climate changes, and lead to climate model 

improvements. 

Together, these models have produced over 180 terabytes of data that are publically available on 

GFDL’s Data Portal and through the Earth System Grid Federation. To date, over 150 terabytes 

of data have been downloaded to over 25 institutions in North America, 11 in Europe, nine in 

Asia, four in Australia, and two in Russia. 

Great Lakes Environmental Research Laboratory (GLERL) Transitions Satellite Ice 

Classification Algorithm for Operational Use 

A satellite synthetic aperture radar (SAR) algorithm to classify and map Great Lakes ice types, 

co-developed by NOAA (GLERL) and NASA Jet Propulsion Laboratory has been transitioned to 

operational production at NOAA’s National Environmental Satellite, Data, and Information 

Service (NESDIS). The method uses a library that translates digital data from satellite radar 

instruments such as the Canadian Space Agency’s RADARSAT-1/2, the European Space 

Agency’s European Remote Sensing Satellite 2 (ERS-2), and Envisat, to identify and map 

different types of ice over the Great Lakes. This is done by pairing the satellite SAR-observed 

ice type to a unique library of radar polarimetric backscatter signatures from ice types measured 

on the lakes using advanced C-band radar aboard a U.S. Coast Guard icebreaking ship. The 

method has now been transitioned to NESDIS for routine use in generating ice type maps across 

the Great Lakes. 

These maps will provide important information for environmental management, ice forecasting 

and modeling, offshore wind farm development, operational ice breaking activities in support of 

winter navigation, and science research. This work was awarded NOAA’s Bronze Medal Award 

for research and development of an algorithm for automatic lake ice classification utilizing 

satellite radar data. 

Buoy System Power Controller Design Provided to Vendors 

The technology to build the System Power Controller (SPC) module designed by scientists at 

NOAA’s Great Lakes lab and used in Realtime Coastal Observation Network (ReCON) buoys 

and platforms was provided to vendors for the benefit of the public. The SPC module is an 

essential intelligent device that controls the power of the various components and sensor 

instrumentation on buoys and other in-situ data collection platforms. Its purpose is to maximize 

the utility of data collection in platforms that are power-limited because they are operated from 

solar panels. The electrical design, board layout, software, and quality control testing procedures 

that were designed by NOAA were made available to any vendor who wanted to manufacture a 

SPC module. Two companies are currently producing the modules, which are being used by 

NOAA and are publicly available for the benefit of others. 
Federal Laboratory Technology Transfer Report Fiscal Year 2013 55

55 

Department of Defense (DoD) 

The purpose of the DoD Office of Technology Transition is to ensure, to the maximum extent 

practicable, technology developed for national security purposes is integrated into the private 

sector of the United States in order to enhance national technological and industrial bases as well 

as reinvestment and conversion activities. 

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: 

x http://www.acq.osd.mil/chieftechnologist/index.html;

x http://www.arl.army.mil/main/Main/default.cfm?Action=6; 

x http://www.onr.navy.mil/en/Science-Technology/Directorates/Transition/TechnologyTransfer-T2.aspx; 

x http://www.wpafb.af.mil/library/factsheets/factsheet.asp?id=6026; and 

x http://www.mda.mil/business/opportunities.html. 
Fiscal Year 2013 Federal Laboratory Technology Transfer Report 56

56 

DoD Invention Disclosures and Patenting 

Between FY 2009 and FY 2013, there was a 24% increase in the number of new inventions 

disclosed by the department, reaching 1,032 inventions in FY 2013. The department achieved a 

37% increase in the number of patent applications filed during the same period, beginning at 690 

applications in FY 2009 to 942 applications in FY 2013. A 60% increase was calculated for the 

number of patents issued between FY 2009 and FY 2013, reaching 648 issued patents in FY 

2013. 

831

698

929

1,078

1,032

690

436

844

1,013

942

404

304

523

1,048

648

0

200

400

600

800

1,000

1,200

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013

DoD Invention Disclosures and Patenting

New Inventions Disclosed Patent Applications Filed Patents Issued

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013

New Inventions Disclosed 831 698 929 1,078 1,032

Patent Applications Filed 690 436 844 1,013 942

Patents Issued 404 304 523 1,048 648
Federal Laboratory Technology Transfer Report Fiscal Year 2013 57

57 

USPTO Patents Assigned to DoD by Technology Area: FY 201335

 

35 Source: National Science Foundation and The Patent BoardTM (see footnote 5). 

Aerospace & Defense

15%

Measurement 

Techniques & 

Instrumentation

13%

Telecommunications

10%

Information Processing

Optics 10%

6%

Materials 

Manufacturing

4%

Semiconductors

4%

Biotechnology

4%

Electronic Components 

& Devices

3%

Materials

3%

Automation & Control

2%

Electrical Components 

& Equipment

3%

Other

23%
Fiscal Year 2013 Federal Laboratory Technology Transfer Report 58

58 

DoD Licenses 

Between FY 2009 and FY 2013, the number of total active licenses increased by 22%, from 432 

licenses in FY 2009 to 527 in FY 2013. The number of total new licenses and the number of new 

invention licenses per year both increased by 4%. Total active invention licenses observed a 10% 

increase. Total active income bearing licenses increased by 16%, from 227 licenses in FY 2009 

to 264 licenses in FY 2013. 

432

397

633

520 527

57 50 63 44 59

386

341

431 432 425

57 50 63 44 59

227

134

214

356

264

78 67 51

120

0

100

200

300

400

500

600

700

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013

DoD Licenses

Licenses, Total Active New Licenses

Invention Licenses, Total Active New Invention Licenses

Income Bearing Licenses, Total Active Income Bearing Exclusive Licenses

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013

Licenses, Total Active 432 397 633 520 527

New Licenses 57 50 63 44 59

Invention Licenses, Total Active 386 341 431 432 425

New Invention Licenses 57 50 63 44 59

Income Bearing Licenses, Total Active 227 134 214 356 264

Income Bearing Exclusive Licenses 78 67 51 120 n/r
Federal Laboratory Technology Transfer Report Fiscal Year 2013 59

59 

DoD Income from Licensing 

Between FY 2009 and FY 2013, total income increased by 31%. Invention license income and 

total earned royalty income also experienced increases, 29% and 26% respectively.36

 

36 License revenues includes $7.8 million from FY12 that was paid in FY13 due to legal settlement. $16,439 $13,424 $15,682 $7,055 $21,575 $16,165 $13,026 $15,364 $6,552 

$20,859

$16,240

$10,848

$7,702

$6,335

$20,438

$0

$5,000

$10,000

$15,000

$20,000

$25,000

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013

DoD Income from Licensing ($000s)

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

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013

Total Income, All Active $16,439 $13,424 $15,682 $7,055 $21,575

Invention Licenses $16,165 $13,026 $15,364 $6,552 $20,859

Total Earned Royalty Income $16,240 $10,848 $7,702 $6,335 $20,438
Fiscal Year 2013 Federal Laboratory Technology Transfer Report 60

60 

DoD Collaborative R&D Relationships 

The number of total active CRADAs decreased 6.55% between FY 2009 and FY 2013, and the 

number for total active traditional CRADAs fell by 7.61% during the same five-year period. The 

number of new CRADAs grew by 16.69% to 769 agreements by FY 2013. The quantity of other 

collaborative R&D relationships was 606 in FY 2013, compared to only one relationship in FY 

2009. 

2,870

3,248

2,554

2,400

2,682

659 720 762 757 769

2,247

2,516

1,685

1,328

2,076

1

287

988

0

606

0

500

1,000

1,500

2,000

2,500

3,000

3,500

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013

DoD Collaborative R&D Relationships

CRADAs, Total Active New CRADAs

Traditional CRADAs, Total Active Other Collaborative R&D Relationships

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013

CRADAs, Total Active 2,870 3,248 2,554 2,400 2,682

New CRADAs 659 720 762 757 769

Traditional CRADAs, Total Active 2,247 2,516 1,685 1,328 2,076

Other Collaborative R&D Relationships 1 287 988 0 606
Federal Laboratory Technology Transfer Report Fiscal Year 2013 61

61 

DoD Downstream Success Stories 

Air Force Software Technology Changing the Face of an Entire Industry 

HeliusMCTTM, the trademarked moniker for Helius multicontinuum technology, is a new finite 

element analysis software code developed specifically for predicting the behavior and failure of 

materials and structures composed of at least two different materials, such as fiber and resin.

The technology was tested, demonstrated and commercialized through a pivotal three-way 

partnership between the Air Force Research Laboratory Space Vehicles Directorate (AFRL/RV), 

Firehole Technologies (Laramie, WY), and LoadPath (Albuquerque, NM). 

The software has been widely adopted by the multi-billion-dollar global composites industry. It 

is currently in use at AFRL, multiple NASA and Department of Energy facilities, and airplane, 

satellite, and launch vehicle (rocket) producers, in addition to the sporting goods, yachting, auto 

racing, and wind energy industries. The widespread adoption of the technology has led to broad 

economic impacts including the acquisition of Firehole Technologies by Fortune 350 software 

giant Autodesk. 

This technology transfer partnership was initiated using a Small Business Innovative Research 

contract. Firehole Technologies responded to the AFRL-written topic; LoadPath, a small 

business CRADA partner with AFRL/RV, provided the test data that was critical to 

demonstrations of the capabilities of HeliusMCT. 

Army System Trains Medical Staff to Save Lives in Obstetric Emergencies 

LTC Shad Deering, MD, developed a life-saving technology to ensure positive outcomes in 

high-risk obstetric emergencies. The technology―the Mobile Obstetric Emergencies Simulator 

(MOESTM) ―was developed at the US Army Medical Department’s Madigan Army Medical 

Center. 

The Army-patented MOES courseware system integrates a full-size, full-body commercial 

birthing mannequin with a carefully designed obstetric (OB) training curriculum to build medical 

staff competencies in OB emergencies and promote patient safety. 

Miami-based Gaumard Scientific, a leading healthcare simulation company, licensed the 

technology through the US Army Medical Research and Materiel Command ORTA, assisted by 

DoD partnership intermediary TechLink. 

The MOES learning package is now integral to a commercial off-the-shelf product sold by 

Gaumard that is being used in every hospital with a labor and delivery ward across the military 

health system―52 Army, Navy, and Air Force hospitals in 14 countries and 41 states. Beyond 

the Department of Defense, the transferred cutting-edge technology is measurably advancing 

medical education and assuring patient safety in any labor and delivery setting. 

Disruptive Multicore Processor Technology Developed by an Army R&D Lab 

A processor chip so revolutionary that it’s on the cusp of becoming the world’s processing 

standard for advanced communication and image/video devices originated in hyperspectral 

image processing software created by Dr. Paul Willson, a now retired physicist with the U.S. 
Fiscal Year 2013 Federal Laboratory Technology Transfer Report 62

62 

Army RDECOM/ARDEC. The HyperX multicore parallel processor was designed to meet the 

requirements of military field operations, where soldier-wearable and mobile communication 

devices need to be both programmable and capable of storing, processing, and retrieving massive 

amounts of data. 

HyperX processing is done either serially or in parallel with multiple programs operating 

simultaneously. The chip handles massive amounts of data more efficiently than any multicore 

processor on the market. Commercial users of HyperX processors report a reduction in power 

consumption by a factor of 10 and a 10x improvement in performance, as well as reduced chip 

counts. 

The transfer and commercialization of HyperX included a series of SBIR contracts between 

ARDEC and Coherent Logix (Austin, TX) and other T2 tools including an MOU to transition the 

technology into additional Department of Defense locations. 

Throughout the transfer, Dr. Willson, Coherent Logix’s CEO Mr. Michael Doerr, and Dr. Robert 

Reuss, HyperX program manager for DARPA, worked together to advance the technology and 

attract venture capital funding. Today the HyperX processor chip is the cornerstone of Coherent 

Logix’s portfolio of commercial products with 29 related patents. 

Among the multiple commercial products now with embedded HyperX technology are ixMax, 

the world’s first carrier-class cognitive radio network, and small cell consumer and commercial 

wireless communications equipment from Public Wireless. 

Navy Technology Aids First Responders on the Scene of Emergencies 

“The events of 9-11-2001 revealed that the FDNY did not have a reliable method to account for 

all members responding to an incident.” 

That short but laden statement by Edward Baggott, Deputy Assistant Chief with the Fire 

Department of New York (FDNY), sums up one of the greatest problems for first responders. 

Who exactly is on a scene? Where are they? Are they safe? 

With input from FDNY, the Naval Research Laboratory’s Force Protection/Emergency Response 

(FP/ER) team developed the “EBF-4,” or electronic riding list, to do precisely that. The “ActiveRFID Tracking System for First Responders” is comprised of a Radio Frequency Identification 

(RFID) tag worn by the firefighter, a special RFID reader and mobile data terminal installed in 

the response vehicle, and an RFID server at headquarters, connected via cellular network. When 

a crew boards an RFID-equipped vehicle, the system reads the tags and transmits the list of 

names to headquarters. Now, a battalion chief can instantly compile a list of personnel at an 

incident, segregated into present and working on or near the truck, and present on the scene but 

out of range, presumably in the building. This puts FDNY light years ahead of where it was on 9-

11. 
Federal Laboratory Technology Transfer Report Fiscal Year 2013 63

63 

To date, the system has been installed in 15 vehicles and 15 companies across the Department 

Work For Outside Parties Agreements between NRL and FDNY and a non-exclusive, royaltyfree license agreement were the mechanisms used to transfer the RFID tracking system, a stellar 

example of the ways technology transfer returns vitally important benefits to the nation. 

Improved Fuel Injectors and Consumer Electronics among Benefits of Navy Laser 

Technology 

The Naval Surface Warfare Center (NSWC) Crane Division engaged in a highly successful 

transfer of ultrashort pulse laser technology that is yielding substantial commercial and military 

benefits. 

Ultrashort pulse lasers deliver electromagnetic pulses measured in femtoseconds, a time span so 

brief that the pulses alter the way light interacts with matter. One of the key attributes of these 

pulses is that, unlike conventional lasers, they produce no heat and do not damage the targeted 

material beyond the intended extent. This capability enables ultrashort pulse lasers to remove 

material more cleanly and precisely than ever before possible. 

An Education Partnership Agreement with the Rose-Hulman Institute of Technology allowed 

students to experiment with the laser in designated materials-processing applications. A 

Partnership Intermediary Agreement established Pennsylvania State University’s Electro-Optics 

Center as a conduit through which ultrashort pulse laser technology and intellectual property 

moves into the Center’s consortium of electro-optics companies, laboratories, and universities. 

Numerous CRADAs have helped outside partners gain access to lasers and other specialized 

expertise, equipment, and facilities at NSWC Crane. These T2 mechanisms were supported by 

nearly $16 million in more than 34 SBIR/STTR and other awards to support the work of small 

businesses engaged in the development, refinement, and productization of new ultrashort pulse 

laser applications. 

This technology transfer activity has resulted in the start-up of two new businesses and the 

development of novel applications in both the commercial and military sectors. Automotive fuel 

injectors are now being cut so precisely that they deliver 30-percent greater fuel efficiency; more 

precise eye surgery is being performed with less risk; glass screens on consumer electronics are 

being made much stronger. Ultrashort pulse lasers also have many defense applications, most of 

which are classified, but include deterring enemy threats. 

Licensing of NSA Technology Launches a Company and Provides Critical Network 

Security 

The transfer of the patented NSA Wireless Intrusion Detection System (WIDS) to Baltimorebased Integrata Security stands as an excellent example of how intellectual property is moved 

from the lab to market. 

NSA's patented WIDS is the world's most advanced cybersecurity solution for wireless local area 

networks (LANs). Unlike traditional WIDS, which channel-hop leaving networks periodically 

exposed to undetected attack, NSA's technology continuously monitors all Wi-Fi channels all of 

the time. This level of protection is critical given the increasing numbers of sophisticated cyberattacks, particularly for the nation's defense, finance, energy, healthcare, and other high-risk 

industries. Many in these sectors had avoided any use of wireless networks due to risk exposure. 
Fiscal Year 2013 Federal Laboratory Technology Transfer Report 64

64 

WIDS was invented by Ms. Kristen Matlock, a computer systems researcher, in response to a 

DoD directive that its wireless LANs had defense in depth. It was transferred to Integrata in 

September 2013; just months after Integrata approached the NSA Technology Transfer Program 

in search of Federal cybersecurity IP to commercialize. 

Since the transfer, Integrata has secured $1.5 million in commercial business in wireless network 

security. The company has also created 10 new jobs and strengthened the regional economy 

through partnerships with area manufacturing companies. 
Federal Laboratory Technology Transfer Report Fiscal Year 2013 65

65 

Department of Energy (DOE) 

The Department of Energy’s 17 national laboratories and several of its facilities conduct much of 

its fundamental and applied research, and they license to and collaborate with industry and 

academia to develop and commercialize a wide spectrum of products and processes for 

commercial use. Technology partnering has been an important focus for DOE technology 

transfer, and it is a significant means for DOE laboratories and facilities to engage Federal, 

private, and academic entities in arrangements to advance the process of technology 

development and commercialization. These arrangements leverage capabilities of DOE’s topnotch scientists and world-class facilities, including national user facilities, computational 

facilities, and science laboratories with industrial research and production facilities. 

The Department oversees the construction and operation of some of the Nation’s most advanced 

research and development user 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 2013, these 

facilities were used by more than 17,000 researchers from universities, national laboratories, 

private industry, and other Federal science agencies. 

More information about DOE’s technology transfer activities is available on the following 

website: 

x http://energy.gov/technologytransitions/office-technology-transitions. 
Fiscal Year 2013 Federal Laboratory Technology Transfer Report 66

66 

DOE Invention Disclosures and Patenting 

Between FY 2009 and FY 2013, the number of new inventions disclosed increased by 25% to 

1,796. Also during this period, the number of patent applications increased 22% to 944 and the 

number of patents issued to the department increased by 96% to 713. 

 

1,439

1,616

1,820

1,661

1,796

775

965

868

780

944

363

480 460 483

713

0

200

400

600

800

1,000

1,200

1,400

1,600

1,800

2,000

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013

DOE Invention Disclosures and Patenting

New Inventions Disclosed Patent Applications Filed Patents Issued

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013

New Inventions Disclosed 1,439 1,616 1,820 1,661 1,796

Patent Applications Filed 775 965 868 780 944

Patents Issued 363 480 460 483 713
Federal Laboratory Technology Transfer Report Fiscal Year 2013 67

67 

USPTO Patents Assigned to DOE by Technology Area: FY 201337

 

37 Source: National Science Foundation and The Patent BoardTM (see footnote 5). 

Measurement 

Techniques & 

Instrumentation

15%

Biotechnology

11%

Materials

9%

Power Generation & 

Distribution

8%

Semiconductors

6%

Electronic Components 

& Devices

6%

Information Processing

6%

Chemicals

5%

Medical Electronics

4%

Chemical Engineering 

& Environmental 

Processes

4%

Pharmaceuticals

4%

Optics

3%

Materials 

Manufacturing

3%

Other

16%
Fiscal Year 2013 Federal Laboratory Technology Transfer Report 68

68 

DOE Licenses 

Between FY 2009 and FY 2013, the number of total active licenses grew by 59% to 9,148 

licenses. Also during this period, the number of new licenses decreased by 25%. Invention 

licenses experienced a 7% decrease in the total number of active licenses, but a 10% increase in 

the number of new licenses. The total number of income bearing licenses increased by 11%, and 

there was a 52% decrease in the number of income bearing exclusive licenses. 

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013

Licenses, Total Active 5,742 6,228 5,310 5,328 9,148

New Licenses 755 826 822 757 567

Invention Licenses, Total Active 1,452 1,453 1,432 1,428 1,353

New Invention Licenses 139 166 169 192 153

Income Bearing Licenses, Total Active 3,339 3,493 3,510 3,340 3,709

Income Bearing Exclusive Licenses 411 462 315 344 199
Federal Laboratory Technology Transfer Report Fiscal Year 2013 69

69 

DOE Income from Licensing 

Between FY 2009 and FY 2013, the number of total income for all active licenses decreased by 

9% to $39.5 million in FY 2013. Invention licensing income decreased by 10% to $36 million. 

Total earned royalty income decreased 4% to $27.7 million. $43,570 $40,644 $44,728 

$40,849 

$39,573

$40,262 

$37,066 

$40,600 

$36,103 

$36,068

$28,901 

$25,220 

$27,107 

$28,735 

$27,669

$0

$5,000

$10,000

$15,000

$20,000

$25,000

$30,000

$35,000

$40,000

$45,000

$50,000

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013

DOE Income from Licensing ($000s)

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

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013

Total Income, All Active $43,570 $40,644 $44,728 $40,849 $39,573

Invention Licenses $40,262 $37,066 $40,600 $36,103 $36,068

Total Earned Royalty Income $28,901 $25,220 $27,107 $28,735 $27,669
Fiscal Year 2013 Federal Laboratory Technology Transfer Report 70

70 

DOE Collaborative R&D Relationships 

Between FY 2009 and FY 2013, the number of total active CRADAs remained practically 

consistent, with a decrease of 0.27% to 742. The number of new CRADAs decreased by 19.3% 

to 142 agreements in FY 2013. 

 

744

697

720 742 742

176 176 178 184

142

744

697

720 742 742

00000

0

100

200

300

400

500

600

700

800

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013

DOE Collaborative R&D Relationships

CRADAs, Total Active New CRADAs

Traditional CRADAs, Total Active Other Collaborative R&D Relationships

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013

CRADAs, Total Active 744 697 720 742 742

New CRADAs 176 176 178 184 142

Traditional CRADAs, Total Active 744 697 720 742 742

Other Collaborative R&D Relationships 0 0 000
Federal Laboratory Technology Transfer Report Fiscal Year 2013 71

71 

DOE Downstream Success Stories 

BNNT, LLC – Boron Nitride Nanotube (BNNT) 

In May 2013, BNNT, LLC, a Newport News, Virginia startup, began construction of the world’s first commercial 

factory dedicated to the manufacture of Fibril Boron Nitride 

Nanotubes, “Fibril BNNTTM.” With similar commercial 

applications as carbon nanotubes, Boron nitride nanotubes 

are equally strong yet much more heat resistant and easier to 

synthesize. 

Fibril BNNTTM is a super-strong, heat-resistant, textile-like 

polymer with the appearance of cotton, but a molecular 

backbone 100 times stronger than steel. It can withstand 

temperatures over 800 degrees centigrade and is expected to 

attract a broad range of customers in the nanotube materials sector. Applications are projected to 

range from aerospace heat shields to cancer therapies as well as to 

be used as a spray or coating. Additionally, BNNT also plans to 

make and sell the material for scientific investigations, 

commercial product R&D, and various other commercial 

products. Initial shipping of product is anticipated in early 2014. 

The techniques for synthesizing Fibril BNNTTM were developed 

at the U.S. Department of Energy’s Jefferson Lab in Newport 

News, Virginia in collaboration with NASA Langley Research 

Center and the National Institute of Aerospace using the Office of 

Naval Research funded Free-Electron Laser. 

SPX Heat Transfer, LLC – Advanced Direct Contact Condenser (ADCC) 

SPX Heat Transfer, LLC, is a provider of turnkey solutions to the power generation industry. 

Based in Tulsa, OK, SPX relies on a commercial patent license from NREL for their market 

leading condensers for use in the geothermal power sector. 

Geothermal power plants typically generate steam from pumping underground fluids into a 

power plant. However, geothermal fluids typically compromise water and a variety of potential 

pollutants, including non-condensable gases such as ammonia, hydrogen sulfide, and methane. 

Because of these contaminants, vapor exhaust into the atmosphere is usually prohibited for 

environmental reasons. 

To facilitate separation of water from the pollutants, NREL developed an improved condenser 

for commercial use. This condenser includes a contact medium that encourages contact between 

the vapor and cooling liquid, a relatively short and straight vapor flow path to minimize 

backpressure and pressure loss, and a separate hot well for effluents containing relatively high 

concentrations of non-condensable gases. Relatively inexpensive to build and easy to maintain, 

this design provides several desirable characteristics for commercial application. NREL licenses 

the technology to SPX, which uses it at several geothermal facilities nationwide. 
Fiscal Year 2013 Federal Laboratory Technology Transfer Report 72

72 

WattJoule Corporation – Advanced Batteries for Renewable Energy Storage 

WattJoule Corporation provides next generation disruptive flow batteries for use in renewable 

energy systems. Based in Lowell, MA, WattJoule relies on a commercial patent license from 

PNNL for their redox flow battery technology. 

Redox flow batteries can help store large amounts of 

renewable energy and improve the reliability of the 

nation's power grid. Researchers at PNNL, which is 

managed by Battelle, have made significant progress in 

improving the performance of redox flow technologies 

since their development in the 1970s. PNNL developed 

novel vanadium electrolytes that overcome the 

limitations of earlier redox flow batteries, such as 

limited temperature range and high cost of production. 

The result is a dramatically improved operating 

temperature range, higher energy density and lower cost 

for vanadium redox flow batteries. 

WattJoule plans to combine its own proprietary technology with PNNL's to develop an energy 

storage platform for a broad variety of energy companies, including those involved in wind and 

solar power. This is the third and final license granted for PNNL's technologies to all-vanadium, 

mixed acid redox flow battery developers. 

SynchroPET – Medical Imaging and Diagnostics 

Additional Licensees – ASICS use in Medical Devices; Cardiovascular Therapy and Diagnostics 

SynchroPET, a start-up provider of medical imaging and diagnostics, licenses several 

technologies from BNL for use in their products. The company executed a commercial license 

with Brookhaven Science Associates (BSA) to commercialize BNL’s Positron Emission 

Tomography (PET) technology. The company is BNL’s first customer under a program that 

started last year in conjunction with the Long Island Association (LIA). 

The compact modular PET detector was invented and 

developed by the collaborative efforts of a team of BNL 

researchers from the medical, instrumentation, and 

physics departments. The technology is covered by four 

patents. 

SychroPET’s owners, Marc Alessi and Burke Liburt, 

signed a commercial licensing agreement in late 

December with the lab. It is the first of what the lab and 

the LIA, Long Island's largest business and civic 

organization, hope will be many such deals. BNL and 

LIA officials see such arrangements as a prime way of 

creating new companies and jobs on Long Island. Alessi and Liburt took an option on RatCap, an 

imaging system aimed at diagnosing diseases in small animals while allowing the animals to 
Federal Laboratory Technology Transfer Report Fiscal Year 2013 73

73 

remain awake. Alessi said the technology could also be used to study Alzheimer's and other 

diseases. 

In August, the Lab and LIA displayed several technologies under a program in which the cost of 

optioning a technology was substantially reduced. Through this effort, BNL has been able to 

advance discussions with other potential licensees. For example, Company A licensed several 

inventions related to Compositions and Methods for manufacture of High-Specific Activity and 

no-carrier added radionuclides for use in cardiovascular diagnostic and therapeutic applications, 

while Company B hopes to execute a commercial license for Application-specific integrated 

circuit (ASICS) technology for use in medical devices. 
Fiscal Year 2013 Federal Laboratory Technology Transfer Report 74

74 

Department of Health and Human Services (HHS) 

Research at the Department of Health and Human Services 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 the conduct and support of 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. 

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

http://www.ott.nih.gov/sites/default/files/documents/pdfs/AR2013.pdf. 

More information about HHS technology transfer activities is available on the following 

websites: 

x CDC: http://www.cdc.gov/od/science/technology/; 

x NIH: http://www.ott.nih.gov/; and 

x FDA: http://www.fda.gov/ScienceResearch/CollaborativeOpportunities /default.htm. 

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. 
Federal Laboratory Technology Transfer Report Fiscal Year 2013 75

75 

HHS Invention Disclosures and Patenting 

Between FY 2009 and FY 2013, the number of new inventions disclosed decreased by 9% to 320 

disclosures in FY 2013. The number of patent applications filed decreased by 19% during the 

five-year period to 230 applications. The number of patents issued decreased by 11% to 428 

patents in FY 2013. 

353

337 351 352

320

284 291

272

233 230

480 470

270

453

428

0

100

200

300

400

500

600

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013

HHS Invention Disclosures and Patenting

New Inventions Disclosed Patent Applications Filed Patents Issued

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013

New Inventions Disclosed 353 337 351 352 320

Patent Applications Filed 284 291 272 233 230

Patents Issued 480 470 270 453 428
Fiscal Year 2013 Federal Laboratory Technology Transfer Report 76

76 

USPTO Patents Assigned to HHS by Technology Area: FY 201338

 

38 Source: National Science Foundation and The Patent BoardTM (see footnote 5). 

Biotechnology

65%

Pharmaceuticals

18%

Agriculture

5%

Medical Electronics

4%

Medical Equipment

2%

Other

6%
Federal Laboratory Technology Transfer Report Fiscal Year 2013 77

77 

HHS Licenses 

Between FY 2009 and FY 2013, the number of total active licenses decreased by 10%, totaling 

1,426 licenses in FY 2013. Invention licenses experienced a decrease in total active licenses and 

the number of new licenses per year, with an 18% and 23% decrease, respectively. The number 

of income bearing exclusive licenses, on the other hand, did increase by 443%, from 23 licenses 

in FY 2009 to 125 licenses in FY 2013. 1,584 1,941

1,613

1,465

1,426

221

269

264

231

184

1,304

1,240

414

1,090

1,069

198

217

106

192

152

880

848

849

809809

23

24

27

24

125

0

500

1,000

1,500

2,000

2,500

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013

HHS Licenses

Licenses, Total Active New Licenses

Invention Licenses, Total Active New Invention Licenses

Income Bearing Licenses, Total Active Income Bearing Exclusive Licenses

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013

Licenses, Total Active 1,584 1,941 1,613 1,465 1,426

New Licenses 221 269 264 231 184

Invention Licenses, Total Active 1,304 1,240 414 1,090 1,069

New Invention Licenses 198 217 106 192 152

Income Bearing Licenses, Total Active 880 848 849 809 809

Income Bearing Exclusive Licenses 23 24 27 24 125
Fiscal Year 2013 Federal Laboratory Technology Transfer Report 78

78 

HHS Income from Licensing 

Between FY 2009 and FY 2013 the total income for all active licenses increased by 36.9% from 

$85 million to $116.4 million. Invention licensing income also experienced an increase, from 

$83 million to $103.6 million. Earned royalty income experienced a 28.05% increase, resulting 

in $116.6 million. $85,059 

$80,923 

$98,453 

$110,576 

$116,448

$83,041 

$79,805 

$82,842 

$108,308 

$103,664

$91,060 

$91,374 

$96,605 

$110,930 

$116,601

$0

$20,000

$40,000

$60,000

$80,000

$100,000

$120,000

$140,000

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013

HHS Income from Licensing ($000s)

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

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013

Total Income, All Active $85,059 $80,923 $98,453 $110,576 $116,448

Invention Licenses $83,041 $79,805 $82,842 $108,308 $103,664

Total Earned Royalty Income $91,060 $91,374 $96,605 $110,930 $116,601
Federal Laboratory Technology Transfer Report Fiscal Year 2013 79

79 

HHS Collaborative R&D Relationships 

Between FY 2009 and FY 2013, the number of total active CRADAs decreased by 6.56% from 

457 agreements to 427 agreements. Total active traditional CRADAs increased 10.21% during 

the five-year period, reaching 313 CRADAs in FY 2013, compared to 284 agreements in FY 

2009. 

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013

CRADAs, Total Active 457 447 430 377 427

New CRADAs 105 83 81 93 104

Traditional CRADAs, Total Active 284 300 284 245 313

Other Collaborative R&D Relationships 0 0 0 0 114

457 447

430

377

427

105

83 81 93 104

284

300

284

245

313

0000

114

0

50

100

150

200

250

300

350

400

450

500

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013

HHS Collaborative R&D Relationships

CRADAs, Total Active New CRADAs

Traditional CRADAs, Total Active Other Collaborative R&D Relationships
Fiscal Year 2013 Federal Laboratory Technology Transfer Report 80

80 

HHS Downstream Success Stories 

National Institutes of Health (NIH) 

Deep Transcranial Magnetic Stimulation Coil and Therapy System for 

Neuropsychiatric Disease 

Scientists at the National Institute of Neurological Disorders and Stroke (NINDS) and at 

the National Institute on Drug Abuse (NIDA) at NIH developed a new medical device 

utilizing transcranial magnetic stimulation (TMS) for use as a non-systemic, non-invasive, 

and non-surgical system for the treatment of neuropsychiatric diseases. Licensed by 

Brainsway, Inc., the success of the new device is in the use of a new coil design (termed 

the Hesed coil or H-coil) that is designed to stimulate deeper brain regions without 

increasing the electrical field intensity in the superficial cortical regions. 

The H-coil dTMS system addresses an unmet need in medicine to treat patients suffering 

from depression, ADHD, and addictive disorders non-invasively without the side effects 

typically exhibited by pharmaceutical interventions. Brainsway continues to investigate 

the uses of the dTMS system for other neuropsychiatric diseases. Using the licensed 

technology, the company has begun a double-blind Phase II clinical trial of therapeutic 

dTMS stimulation of patients with schizophrenia and bi-polar disorder and on acute and 

maintenance treatments of drug-resistant depressive episodes. 

The rapid marketing success of Brainsway’s dTMS system and its current human use 

worldwide is evidence of successful public-private collaboration for the transfer of 

innovative technologies initiated at a Federal lab and developed in the marketplace to 

benefit improving public health. 

Interleukin-2 Receptor Gamma Deficient Mice -- Widely Used Research Tools 

Scientists at the National Heart, Lung, and Blood Institute (NHLBI) at NIH created an 

interleukin-2 receptor gamma chain (IL-2Rg) deficient mouse. IL-2 is a cytokine with 

broad actions on lymphocyte proliferation, differentiation, and survival. NHLBI had 

demonstrated that mutations in the gene encoding IL-2Rg result in X-linked severe 

combined immunodeficiency (XSCID) in humans and that IL-2Rg is a subunit common to 

multiple cytokine receptors. Patients with XSCID are immunocompromised and prone to 

infection. The IL2Rg-deficient mouse created at NIH provides a unique animal model, the 

first of its kind, to study X-linked severe combined immunodeficiency and other immune 

deficiencies. In addition, the mouse model can also be used as a parent to create new 

mutant mice harboring double or even triple mutations for the studies of a wide variety of 

diseases. 

This mouse model provides a valuable tool for the research community to study various disease 

mechanisms, as well as for corporate drug discovery and development. It has been broadly 

disseminated to a variety of companies through non-exclusive licensing which allows wide 

distribution and availability of the materials for potential commercial applications. 
Federal Laboratory Technology Transfer Report Fiscal Year 2013 81

81 

Food and Drug Administration (FDA) 

New Low-cost Meningitis Vaccine for Sub-Saharan Africa 

Meningococcal meningitis, a bacterial infection of the brain that sweeps across subSaharan Africa in an area called the “meningitis belt”, is now losing its power to inflict 

illness and death. Scientists and technology transfer officers from the Food and Drug 

Administration (FDA) along with technology transfer officers from the National Institutes 

of Health (NIH) made a critical contribution in developing and transferring the technology 

needed to manufacture a vaccine against this terrible disease and at an affordable cost for 

African nations like Burkina Faso, Chad, Ethiopia, and Niger. Meningitis can be prevented 

with vaccination, but the technology is complex and generally beyond the capacity of 

scientists in most developing countries. 

Under a novel partnership mechanism organized by PATH (Program for Appropriate 

Technology in Health), NIH licensed a conjugate vaccine technology developed by Dr. 

Che-Hung Robert Lee and Dr. Carl Frasch of the FDA to PATH who worked with the 

Serum Institute of India, which agreed to produce the vaccine cheaply in exchange for 

technical know-how. The collaboration agreement was described in SciDev.Net as an 

"intriguing model" of vaccine development in developing countries, in which a vaccine 

with specific characteristics tailored to a particular population is developed at a modest 

cost and provisions to ensure sustainable access are built in from the start. 

The contribution of both the FDA and the NIH to a major health care project in Africa also 

underscores the recognition by both agencies that infectious diseases know no borders. 

Protecting human health globally is linked to the FDA and NIH core mission of protecting 

human health in the United States. 

Centers for Disease Control and Prevention (CDC) 

Rapid Development of a Diagnostic Test for H1N1 Influenza for “Swine Flu” Pandemic 

First described by the CDC influenza team, H1N1 was dubbed “swine flu” for its unique 

combination of influenza virus genes not previously identified in animals or people. By 

April 23, 2009, H1N1 cases increased in multiple countries and human-to-human spread of 

the virus was ongoing. CDC scientists helped public health laboratories rapidly identify 

the 2009 H1N1 virus in patient samples by developing a RT-PCR test. The diagnostic test 

was cleared for use by the FDA under an Emergency Use Authorization (EUA) less than 

two weeks after identification of the new pandemic virus. Subsequently, the CDC began 

shipping test kits to domestic and international public health laboratories under Material 

Transfer Agreements (MTAs). 

As the number of cases swelled, the CDC Laboratory Support for Influenza Surveillance 

(CLSIS) website was launched to accommodate the volume of requests for the test kit. The 

SharePoint site is still used today to handle all influenza outbreaks and provide important 

information about site visitors. 
Fiscal Year 2013 Federal Laboratory Technology Transfer Report 82

82 

Subsequently, the first commercial license agreements were negotiated and executed by 

CDC. The commercial agreements included the diagnostic oligonucleotide primer and 

probe sets for H1N1 as well as patented influenza panel test kits that allow for universal 

detection of all influenza type A and type B viruses and the identification of the HA genes 

for a variety of influenza A viruses. 
Federal Laboratory Technology Transfer Report Fiscal Year 2013 83

83 

Department of Homeland Security (DHS) 

The DHS’s Office of Research and Technology Applications (ORTA) is housed in the Science 

and Technology Directorate. The ORTA is responsible for developing and instituting policies to 

facilitate technology transfer in accordance with 15 USC 3710 throughout DHS and its 

laboratories. The ORTA’s responsibilities include:

x Standardizing and approving DHS CRADAs, licensing, and other technology transfer 

agreements; 

x Preparing application assessments for selected research and development projects in which 

the DHS Laboratory is involved and may have commercial applications; 

x Providing and disseminating information on federally owned or originated technologies 

which have potential application to State and local governments and private industry; 

x Preparing and providing an annual report to Congress and the President through submission 

to NIST; 

x Developing training programs on technology transfer and intellectual property for DHS 

employees; and 

x Establishing an intellectual property program for DHS to track and prosecute patents and 

other intellectual property and to develop 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. 
Fiscal Year 2013 Federal Laboratory Technology Transfer Report 84

84 

DHS Invention Disclosures and Patenting 

Between FY 2009 and FY 2013, the number of new inventions disclosed decreased by 38% from 

32 disclosures to 20 disclosures. Also during this period, the number of patent applications filed 

and patents issued both increased by 100%. 

Data from the USPTO identifies the patent(s) issued to DHS are in the technology area of Electronic 

Components & Devices.39 

 

39 Source: National Science Foundation and The Patent BoardTM (see footnote 5). 

32

7

38

40

20

2 2

12

10

4

2 1 0 0

4

0

5

10

15

20

25

30

35

40

45

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013

DHS Invention Disclosures and Patenting

New Inventions Disclosed Patent Applications Filed Patents Issued

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013

New Inventions Disclosed 32 7 38 40 20

Patent Applications Filed 2 2 12 10 4

Patents Issued 2 1 0 0 4
Federal Laboratory Technology Transfer Report Fiscal Year 2013 85

85 

DHS Licenses 

Between FY 2009 and FY 2013, the number of total active licenses increased by 1,908% from 63 

licenses to 1,265. The number of new licenses per year also increased, from 45 new licenses in 

FY 2009 to 733 licenses in FY 2013. 63 458

495

523

1,265

45

458

418

37

733

00000 00000 00000 00000

0

200

400

600

800

1,000

1,200

1,400

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013

DHS Licenses

Licenses, Total Active New Licenses

Invention Licenses, Total Active New Invention Licenses

Income Bearing Licenses, Total Active Income Bearing Exclusive Licenses

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013

Licenses, Total Active 63 458 495 523 1,265

New Licenses 45 458 418 37 733

Invention Licenses, Total Active 0 0 0 0 0

New Invention Licenses 0 0 0 0 0

Income Bearing Licenses, Total Active 0 0 0 0 0

Income Bearing Exclusive Licenses 0 0 0 0 0
Fiscal Year 2013 Federal Laboratory Technology Transfer Report 86

86 

DHS Income from Licensing 

DHS reports zero licensing income between FY 2009 and FY 2013. 

DHS Collaborative R&D Relationships 

Between FY 2009 and FY 2013, the number of total active CRADAs increased by 396% from 23 

agreements to 114 agreements. The number of new CRADAs per fiscal year increased 1,167% 

by FY 2013, to 76 agreements. Total active traditional CRADAs increased 314% during the fiveyear period, reaching 91 CRADAs in FY 2013, compared to 22 agreements in FY 2009. 

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013

CRADAs, Total Active 23 36 62 94 114

New CRADAs 6 14 31 53 76

Traditional CRADAs, Total Active 22 32 55 89 91

Other Collaborative R&D Relationships 5 3 11 11 6

23

36

62

94

114

6

14

31

53

76

22

32

55

89 91

5 3

11 11

6

0

20

40

60

80

100

120

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013

DHS Collaborative R&D Relationships

CRADAs, Total Active New CRADAs

Traditional CRADAs, Total Active Other Collaborative R&D Relationships
Federal Laboratory Technology Transfer Report Fiscal Year 2013 87

87 

DHS Downstream Success Stories 

Certification Test Services for the Transportation Security Administration 

The Transportation Security Administration (TSA) seeks X-ray based Explosive Detection 

Systems (EDSs) for checked airline baggage that can meet new, more stringent detection 

requirements. The Transportation Security Laboratory (TSL) provided technical assistance to six 

different EDS vendors to help them get their EDSs through development testing and prepare for 

formal certification testing. TSL conducted the certification tests that provided TSA with critical 

detection performance information. 

EDS Certification Testing 

The TSL established CRADAs with industry partners to conduct certification testing on 11 

EDSs, and the results helped TSA choose systems that meet the new, more stringent explosives 

detection performance requirements. More certification testing will take place in FY 2014. 

I wanted to let you know what a great job TSL does in working with the 

vendors to provide meaningful data in a timely manner that helps us improve 

product performance. I especially appreciate working with a team that 

understands our products in depth and can engage at a meaningful technical 

level. Thank you for your team’s assistance in our cooperative development 

efforts. 

- Dawn Golden, Director, Programs, L-3 Communications 

Qualification Test Services for the Transportation Security Administration 

TSL provides developmental assistance to technology developers that wish to get their 

checkpoint screening systems qualified for acquisition by the Transportation Security 

Administration (TSA). TSL helps vendors test their systems against an extensive collection of 

artfully concealed live explosives, and these evaluations allow vendors to refine their detection 

algorithm. TSL’s Technology Optimization Partnerships (TOPs) process is a public-private 

partnership designed to expedite the maturation and deployment of technologies; in FY 2013, 

TSL entered into 15 new CRADAs with industry partners to help them mature their systems for 

checkpoint applications. TSL also conducts qualification testing that gives TSL critical system 

performance information. 

 

Explosive Trace Detection Systems 

The TSL established CRADAs with four explosive trace detection (ETD) system developers in 

FY 2013, providing developmental assistance with specialized test articles, technical feedback 

on system improvements, and qualification testing. Working with TSL, Implant Sciences became 

the first American qualified vendor with a non-radioactive source ETD system; when fielded, 

this system will greatly facilitate operations since it does not require radioactive-related 

regulatory compliance. TSL also entered into a CRADA with Safran/Morpho Detection for 

collaboration on improving their system performance and enabled TSA to install upgrades to 

thousands of fielded systems. 

Recently, our small U.S. Company received approval for its ETD system, the 

QS B220, under the Air Cargo Screening Technology List (ACSTL). We are 
Fiscal Year 2013 Federal Laboratory Technology Transfer Report 88

88 

very proud of this accomplishment and wish to acknowledge the critical 

support that we received from the Transportation Security Laboratory (TSL). 

Their efforts and stewardship were focused by a common goal between our 

Company and the Laboratory to introduce new technology into the aviation 

security industry. We demonstrated that a true partnership between private 

industry and government has a potent impact on the expeditious introduction 

of new technology to the Department of Homeland Security (DHS). We are 

proud of this joint achievement and what it represents for the security 

technology industry and our nation. 

- Glenn Bolduc, Chief Executive Officer, Implant Sciences Corporation 

I wanted to write to thank [the TSL] for your perseverance, personal 

engagement, and ongoing communication throughout the past year. It was 

invaluable and [Morpho] is better off because of it.”

- Cameron Ritchie, VP, Technology and CTO, Safran/Morpho Detection 

Inc. 

Bottle Liquid Screeners 

The TSL helps technology developers mature their Bottle Liquid Scanner (BLS) designed for use 

at checkpoints and directly provides support to TSA’s mission to ease restrictions on liquids, 

aerosols, and gels. TSL gave developmental assistance, provided technical feedback to three 

BLS vendors with systems in various states of system maturity, and helped them collect 

detection data on explosive threats with which to refine their algorithms. TSL also conducted 

four qualification tests on BLSs for the TSA. Due to TSL’s developmental support, the 

qualification of one BLS system enabled TSA to acquire and deploy nearly 400 systems in 

FY13. 

Carry-On Bagger Scanners 

The TSL performed developmental testing on multiple detection algorithms for four Advanced 

Technology-2 (AT2) checkpoint carry-on baggage scanners and provided feedback to the 

technology developers to help them meet the Transportation Security Administration’s new, 

more stringent detection standards. The TSL subsequently conducted two qualification tests of 

AT2 systems. The results were provided to TSA and will help TSA deploy qualified systems that 

meet new, more stringent explosives detection performance requirements. 

I just wanted to thank everyone for all their hard work [...] which greatly 

contributed in getting the approval by DHS. [The] TSL for your support in 

testing, many times over, the vendors’ submissions.”

- Jennifer Orr, Portfolio Manager: Carry-On Baggage Technologies, 

Passenger Screening Program (PSP), Transportation Security 

Administration 

Readiness assistance is fully supported and endorsed by the TSL Director 

[who] is a leading advocate for high-technology small businesses and has 

worked hard to ensure that we are aware [...] of the processes necessary to 

successfully maneuver through the qualification process. 
Federal Laboratory Technology Transfer Report Fiscal Year 2013 89

89 

- Dolan Falconer, President and CEO, Scantech Identification Beam 

Systems, LLC. Testimony Before U.S. House of Representatives 

Subcommittee on Transportation Security on Homeland Security 

Portable Signatures Library Development 

The Transportation Security Laboratory Electromagnetic Study of Explosives group evaluated a 

cross-platform library of explosives signatures for spectroscopic-based detection systems and 

demonstrated the portability of the library across different fielded platforms for the Department 

of Defense’s Joint Improvised Explosive Devices Defeat Organization. This capability gives first 

responders and war fighters the ability to download new signatures onto fielded detection 

systems. 
Fiscal Year 2013 Federal Laboratory Technology Transfer Report 90

90 

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 that 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. 

The FY 2013 enacted budget for the Department of the Interior included $789.0 million for 

research and development. Much of the funding was for applied research ($629.8 million), while 

basic research and development received $51.4 million and $107.8 million, respectively. The 

programs supported through these funds generate large amounts of knowledge, information, and 

technology, which help the Department meet its mission objectives that are then transferred to 

resource managers, stakeholders, and the public. 

The Department’s bureaus have varying levels of involvement with scientific and technical 

research and innovation, and technology transfer. In FY 2013, as in previous years, the majority 

of technology transfer activities being reported by the Department under the Federal Technology 

Transfer Act of 1986 (FTTA) was undertaken by the U.S. Geological Survey (USGS). It is the 

largest research and development (R&D) organization within the Department, both in terms of 

budget and personnel, and it typically accounts for about 80% 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 public. The vast majority of the Department’s 

technology transfer activities use traditional technology transfer mechanisms such as 

publications of peer reviewed papers and reports, webpage postings, and presentations at 

meetings and conferences. In FY 2013, USGS and U.S. Fish and Wildlife Service (FWS) 

personnel, for example, authored or co-authored over 2,200 reports, books, fact sheets, and other 

publications, including over 1,400 scientific journal articles. 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, several are active 

participants in the network of Cooperative Ecosystem Studies Units (CESUs), a collaboration 

among 13 Federal agencies (including six DOI bureaus) and over 300 non Federal partners 

(including universities, Tribes and tribal organizations, State agencies, museums, aquariums, 

arboretums, and conservation organizations) organized into 17 CESUs, each 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 
Federal Laboratory Technology Transfer Report Fiscal Year 2013 91

91 

Department’s bureaus and private sector industries to pool their expertise and resources to 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: 

x http://www.usgs.gov/tech-transfer/index.html. 
Fiscal Year 2013 Federal Laboratory Technology Transfer Report 92

92 

DOI Invention Disclosures and Patenting 

Between FY 2009 and FY 2013, the number of new inventions disclosed increased by 125% to 

nine disclosures in FY 2013. The number of patent applications filed and patents issued 

remained constant at eight and four, respectively. 

Patents issued to DOI are in the technology areas of Measurement Techniques & Instrumentation, 

Electronic Components & Devices, and Agriculture.40

 

40 Source: National Science Foundation and The Patent BoardTM (see footnote 5). 

4

5 5

10

9

8

7

2

3

8

4

5

1

3

4

0

2

4

6

8

10

12

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013

DOI Invention Disclosures and Patenting

New Inventions Disclosed Patent Applications Filed Patents Issued

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013

New Inventions Disclosed 4 5 5 10 9

Patent Applications Filed 87238

Patents Issued 4 5 1 3 4
Federal Laboratory Technology Transfer Report Fiscal Year 2013 93

93 

DOI Licenses 

Between FY 2009 and FY 2013, the number of total active licenses decreased by 5% to 20 

licenses in FY 2013. Overall, the number of total active licenses, invention licenses, and income 

bearing licenses remained stable. 

21

28

25

26

20

4 4

2

1

3

18

23 23

24

20

3 3

2

1

3

18

19

22 22

16

4

5

3

12

4

0

5

10

15

20

25

30

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013

DOI Licenses

Licenses, Total Active New Licenses

Invention Licenses, Total Active New Invention Licenses

Income Bearing Licenses, Total Active Income Bearing Exclusive Licenses

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013

Licenses, Total Active 21 28 25 26 20

New Licenses 4 4 2 1 3

Invention Licenses, Total Active 18 23 23 24 20

New Invention Licenses 3 3 2 1 3

Income Bearing Licenses, Total Active 18 19 22 22 16

Income Bearing Exclusive Licenses 4 5 3 12 4
Fiscal Year 2013 Federal Laboratory Technology Transfer Report 94

94 

DOI Income from Licensing 

Total income from all active licenses, invention licenses’ income, and total earned royalty 

income are the same thing. Between FY 2009 and FY 2013, income decreased by 34% to 

$59,000. 

$89 

$80 

$93 

$78 

$59

$89 

$80 

$93 

$78 

$59

$89 

$82 

$63 

$59

$0

$10

$20

$30

$40

$50

$60

$70

$80

$90

$100

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013

DOI Income from Licensing ($000s)

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

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013

Total Income, All Active $89 $80 $93 $78 $59

Invention Licenses $89 $80 $93 $78 $59

Total Earned Royalty Income $89 n/r $82 $63 $59
Federal Laboratory Technology Transfer Report Fiscal Year 2013 95

95 

DOI Collaborative R&D Relationships 

Between FY 2009 and FY 2013, the number of total active CRADAs increased by 92% to 476 

agreements. The number of new CRADAs per fiscal year increased by 408%, from 74 in FY 

2009 to 376 on FY 2013. Also during this five-year period, the number of total active traditional 

CRADAs decreased by 41.7% to 21 agreements in FY 2013. 

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013

CRADAs, Total Active 248 436 351 379 476

New CRADAs 74 82 295 284 376

Traditional CRADAs, Total Active 36 29 24 28 21

Other Collaborative R&D Relationships 0 0 209 283 322
Fiscal Year 2013 Federal Laboratory Technology Transfer Report 96

96 

Efforts to Streamline Technology Transfer Operations 

In response to a Presidential Memorandum, the Department has committed to a set of actions that 

will advance technology transfer activities within the Department. The following summarizes 

these commitments, and the progress toward fulfilling them: 

x Developed the Departmental Manual chapter specifying general policies for 

implementing technology transfer (TT) activities authorized by the FTTA, and related 

legislation. This chapter was in the Department’s clearance process at the end of the 

Fiscal Year. 

x Commenced work on revising the current Departmental Manual chapter on patents and 

inventions which dates to the 1980s. 

x Developed a unified website to improve public access to information related to inventions 

owned by the various bureaus, and other technology transfer activities. Its home page can 

be accessed at http://www.doi.gov/techtransfer/. 

x Developed an online repository of documents and legal templates detailing best practices 

for TT agreements and activities from across the government and other organizations, 

which can be accessed via the DOI technology transfer home page. 

DOI Downstream Success Stories 

Reclamation’s Award-Winning High Impact Research on Advancing Mussel Detection 

Mussels can attach to and clog pipes, pumps, trash racks, cooling water systems, fire protection 

systems, and virtually any water related infrastructure surface, thereby reducing the reliability 

and efficiency of water and hydropower systems while simultaneously increasing maintenance 

costs. 

Zebra and quagga mussels have recently invaded the Colorado River and other western water 

bodies. Detecting and preventing the spread of these mussels is, therefore, critical to 

Reclamation’s primary mission of water and hydropower delivery. To advance the capabilities to 

monitor water bodies for the presence of mussels, Reclamation has entered into a CRADA with 

Fluid Imaging Technologies to conduct research for improving automated detection and 

quantification of invasive mussel larvae (also known as “veliger”). Larvae are 70 to 200 microns 

in size (about half the size of the period at the end of this paragraph). Detecting and monitoring 

invasive mussel larvae is the cornerstone of an effective strategy to manage these invasive 

nuisances. 

Reclamation has pioneered new methods to aid early detection of quagga and zebra mussels 

before they become a major nuisance for water infrastructure. 
Federal Laboratory Technology Transfer Report Fiscal Year 2013 97

97 

It has developed a Mussel Detection and Monitoring Program 

to help better understand the spread of mussels. This program 

cooperates with States and other partners to come up with 

proactive measures to provide the earliest detection possible 

for any new mussel introductions that can reduce the need to 

remove mussels or interrupt Reclamation’s facilities and 

structures. Reclamation has entered into a CRADA with a 

partner who specializes in developing particle analysis 

instruments using digital imaging technology that could help 

monitor mussel larvae. Under the CRADA, both parties bring 

together their joint interests and capabilities to monitor larvae 

for various water types. Reclamation’s contributions include 

research expertise and know-how from botanists, engineers, 

and biologists, and the use of Reclamation’s field test site and 

Research Laboratory. The CRADA partner’s contributions 

include the FlowCAM® technology, research resources, and 

capabilities to improve its technology to better count samples 

with abundant organisms. The major advantage of the 

FlowCAM over traditional cross-polarized microscopy is that it has the potential to process 

samples more systematically than manual methods and provides automated photography of 

individual particles if additional analysis is necessary. 

Under the CRADA, both parties jointly improved the FlowCAM into a specialized VeligerCAM 

to count abundant organisms including mussel larvae, and monitor physical larvae damage. The 

hardware to the FlowCAM has also been upgraded to include dual cameras that can display 

images of the same organism in both regular light and cross-polarized light that helps with 

identifying and accelerating the analysis. So far, research results conducted under the CRADA 

indicate the images recovered from the VeligerCAM are much brighter and sharper when 

compared to the standard FlowCAM. The VeligerCAM reports more accurate high number 

larvae counts than cross-polarized microscopy and current testing indicates that accuracy 

remains above 95% recovery. VeligerCAM photos are also used as a tool for evaluating the 

effectiveness of various mussel control interventions by photographing the pretreatment and 

post-treatment condition of mussel shell health. 

Both parties have benefited from the CRADA. The CRADA partner has improved and validated 

the performance of their FlowCAM while adding the newly developed VeligerCAM capabilities 

into their line of product offerings for other users. Reclamation now has a specialized technology 

that can accurately and efficiently count abundant mussel samples. In part due to the newly 

developed VeligerCAM capability, Reclamation's Mussel Detection Laboratory, located in the 

Technical Service Center in Denver, Colorado, received the Colorado Governor's Award for 

High Impact Research in 2012 for its work in advancing methods to monitor for the presence of 

invasive quagga and zebra mussels in bodies of water. 

CRADA to Develop New Coating Technologies to Protect Water Infrastructure 

Reclamation is conducting research across a broad portfolio of technologies and methods to 

reduce fouling of infrastructure by mussels. This includes research into durable, “foul-release” 
Fiscal Year 2013 Federal Laboratory Technology Transfer Report 98

98 

coatings that would negate mussels’ ability to attach to the infrastructure. In 2013, Reclamation 

entered into material transfer agreements to test commercially available coatings with several 

U.S. companies and universities to determine the capability of existing coatings products for 

preventing mussel attachment and durability protection needed for Reclamation’s water 

infrastructure. These tests indicated that commercially available coatings did not meet the 

desired performance standards, and that a new coating formulation is needed. Thus, in FY 2013, 

Reclamation launched an effort to explore a CRADA with a U.S. coating manufacturer to create 

new commercially available, durable, foul-release coating to protect water infrastructures. 

Under the CRADA, both parties will bring together the joint interests and the complementary 

capabilities that are necessary to achieve the research results that neither party is capable of 

producing on its own. Reclamation’s contributions include background intellectual property and 

research expertise, know-how from material engineers, chemists, and biologists, and the use of 

Reclamation’s Parker Dam field test site and Materials Engineering and Research Laboratory. 

The CRADA partner’s contributions also include background intellectual property, 

supplemented by research staff with extensive experience in formulating foul release coatings for 

marine environments, specialized research facilities, extensive coating scale-up and 

manufacturing know-how and related production facilities, and in-kind resources. 

Early Stage Research Collaboration across Federal Agencies and Non-Federal 

Organizations 

Pooling the know-how and research capacity of Federal agencies and U.S. private sector 

companies is vital to maintaining and growing the U.S.’s worldwide leadership positions and 

meeting the growing needs for water in the U.S. and abroad. In FY 2013, Reclamation started 

exploring an effort to create and implement Communities of Practice in areas of water resources 

research where industry involvement is vital to create innovations, and develop and manufacture 

new tools, solutions, and products that will secure water for generations to come. Communities 

envisioned include desalination, hydropower, water conservation, and water infrastructure 

technologies. During FY 2014, Reclamation plans to further develop and pilot test the concept in 

collaboration with the EPA and other Federal agencies before implementing a Community in 

partnership with the private sector. Depending on progress, capabilities, and interests, 

Communities would be pursued in other subject matter areas. 

The Communities of Practice concept is similar to the call in the October 28, 2011, Presidential 

Memorandum on Accelerating Technology Transfer and Commercialization of Federal Research 

in Support of High-Growth Business to better utilize technology innovation clusters to foster 

effective collaborations with industry and economic development consortia, and other entities. 

Developing Communities of Practice is also consistent with the Presidential Memorandum by 

providing new ways to engage U.S. industry at the early stages of Federal discovery. 

Communities would serve as forums to foster industry-Federal partnerships to inspire and pull 

discoveries toward mutual industry-Federal goals at the earliest possible time. This would allow 

the commercial value for discoveries to be identified early in the research process. Communities 

of Practice will also create more awareness across U.S. industries and other non-government 

organizations about the specialized Federal research resources (people, lands, and facilities) that 

they can access through technology transfer agreements authorized by the FTTA (15 USC 
Federal Laboratory Technology Transfer Report Fiscal Year 2013 99

99 

3710a). Once the Communities are developed and implemented, it is envisioned that ongoing 

administration would become a shared responsibility of industry trade associations or similar 

organizations. 

Assessment of Blowout Preventers and Related Technologies 

A blowout preventer (BOP) is a device used to seal and control oil and gas wells to ensure safety 

and limit environmental harm from accidental losses of well control during operation. BSEE 

entered into a study with researchers from industry to investigate new designs for blind shear 

rams on BOP stacks, methods to detect high pressures in the well bore during the drilling 

process, the effects of water depth on detection, and new methods for detecting failure of BOP 

components. 

Management of Hydrocarbon Hydrates during Production 

Hydrocarbons (e.g., methane and ethane) at low temperatures and high pressures can, in the 

presence of water, form quasi- stable solid crystals called hydrocarbon hydrates. These hydrates 

can block pipes, flowlines, valves, and other equipment used for offshore drilling and production 

activities. Moreover, if disturbed or warmed sufficiently, these hydrates can “explode” as the 

hydrocarbons escape from the hydrate. Thus, they can be a safety hazard for offshore oil and gas 

drilling and production operations. An ongoing joint industry project with over a dozen oil and 

gas operating companies is investigating how hydrocarbon hydrates can be managed during the 

life of a producing oil and gas field and how anti-freeze and various other chemicals affect 

hydrate plugging. The project will also evaluate high-pressure jumper pipe design and help 

develop new technologies to monitor hydrates, and hydrate simulation tools. It is expected that 

this joint industry project will be completed in FY 2014. 

Appalachian Pilot Project Geographic Information System (GeoMine) 

During FY12-13 OSM partnered with the SMCRA regulatory programs in Kentucky, Tennessee, 

Virginia and West Virginia; and Federal agencies involved in SMCRA, Clean Water Act (CWA) 

and Endangered Species Act (ESA) regulation and consultation (EPA, FWS and the Army Corps 

of Engineers) to develop the GeoMine interactive digital map of coal mining and reclamation 

activities. This GeoMine Pilot Project has demonstrated the feasibility and value of sharing this 

mapping data between the partner agencies through the Internet. A final report of the Pilot 

Project findings and recommendation was reviewed and approved by all Federal, State and tribal 

agency executives and published in December 2013. The report recommended that GeoMine be 

deployed nationwide to the SMCRA, CWA, and ESA communities and the public. 

Remote Sensing Pilot Project 

OSM Remote Sensing Specialists in the TIPS program have been working since 2009 on a pilot 

project to “determine the best satellite image data, products, and services that will support 

effective and efficient SMCRA solutions for the regulatory program.” The project explored the 

processes and requirements involved in acquiring image data, products, and services from the 

National Geospatial-Intelligence Agency (NGA) Office of Commercial Partnerships through the 

USGS. The President’s Commercial Remote Sensing Space Policy (CRSSP), signed in 2003 and 

supported through President Obama’s 2010 National Space Policy, tasked the NGA with sharing 

satellite imagery with Federal agencies. In 2009, OSM also entered into an official partnership 

with the NGA through the USGS to assist the goals of this pilot project. OSM is working with 
Fiscal Year 2013 Federal Laboratory Technology Transfer Report 100

100 

the Civil Applications Committee (CAC), for which USGS is the co-chair, to obtain satellite 

imagery. 

The OSM Remote Sensing Pilot Project Final Report is to be released in early 2014, with a 

finding that satellite imagery is extremely useful for SMCRA applications and may be used for 

virtual inspections of mines, identification of key features for ground inspection, or to locate 

abandoned mines. The project also revealed that there is a significant cost savings associated 

with using remote sensing imagery for virtual inspections. 

OSM will continue to work with the NGA to improve products and services for the use of 

satellite imagery in SMCRA applications. In the interim, TIPS has established an annual imagery 

purchase process to provide images for mines where OSM is the regulatory authority and will 

assist States on a case-by-case basis. 

Diagnosing Avian Botulism. Avian botulism, a paralytic 

disease caused by the toxins produced by the naturally 

occurring bacterium, Clostridium botulinum, in their food 

supply can kill thousands of birds each year. This bacterium 

produces seven distinct neurotoxins 

(called botulinum neurotoxins, or BoNTs), each designated by 

the letters A through G. These toxins are among the deadliest 

substances known to man. 

The USGS through its National Wildlife Health Center Diagnostic Microbiology Laboratory, 

with support from the Great Lakes Restoration Initiative, has had a CRADA with BioSentinel, 

Inc., to develop a rapid method of detecting BoNT-type E which causes mortality in fish-eating 

birds. The current standard method for detecting BoNTs is to test them using live mice. This 

assay method, in addition to raising ethical concerns, is too labor intensive and time consuming 

to be of utility for analyzing the large number of samples required to conduct meaningful 

ecological studies. 

The assay method developed under the CRADA, BoTestTM Matrix E, uses a fluorescence-based 

bioassay to detect BoNT type E activity in avian blood and other sample types. This method, 

which does not involve killing mice, is faster, cheaper and has been shown to be as sensitive as 

the live mouse bioassay. This new assay will be used to advance both the understanding of 

environmental factors that contribute to outbreaks of avian botulism, and ongoing research to 

develop strategies to mitigate its impacts. This method may also have applications for human 

health since Type E botulism can occur in humans following consumption of improperly 

prepared fish. 
Federal Laboratory Technology Transfer Report Fiscal Year 2013 101

101 

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, Quality of Life in Communities, Environmental Sustainability, 

State of Good Repair, Economic Competitiveness, and Environmental Sustainability. In 2004, 

the Research and Innovative Technology Administration (RITA) was charged by its enabling 

legislation with coordination of DOT-wide RD&T and technology transfer activities. In the 

Omnibus Bill of 2014, 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. 

Technology Transfer activities are executed by DOT agencies and laboratories: 

x Federal Aviation Administration (FAA): The FAA’s Federal laboratory is the William J. 

Hughes Technical Center (Atlantic City International Airport, New Jersey); 

x Federal Highway Administration (FHWA): Turner-Fairbank Highway Research Center 

(McLean, VA); 

x Office of the Assistant Secretary for Research and Technology (OST-R): John A. Volpe 

National Transportation Systems Center (Volpe Center, Cambridge, MA); 

x National Highway Traffic Safety Administration (NHTSA): Vehicle Research and Test 

Center (VRTC). 

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: 

x FAA: http://www.faa.gov/about/office_org/headquarters_offices/ang/offices 

/tc/initiatives/ttp/;

x FHWA: http://www.fhwa.dot.gov/everydaycounts/; and 

x OST-R: http://www.volpe.dot.gov/ourwork/techtrns.html. 
Fiscal Year 2013 Federal Laboratory Technology Transfer Report 102

102 

DOT Invention Disclosures and Patenting 

Between FY 2009 and FY 2013, the number of new inventions disclosed increased 333% to 13 

disclosures in FY 2013. Patent application filing increased 150% to five filings in FY 2013. The 

number of issued patents increased from one in FY 2009 to four in FY 2013. 

Patent(s) issued to DHS are in the technology area of Measurement Techniques and Instrumentation.41 

 

41 Source: National Science Foundation and The Patent BoardTM (see footnote 5). 

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013

New Inventions Disclosed 3122 13

Patent Applications Filed 22215

Patents Issued 1 2 0 0 4
Federal Laboratory Technology Transfer Report Fiscal Year 2013 103

103 

DOT Licenses 

Between FY 2009 and FY 2013, the number of total active licenses increased from two licenses 

in FY 2009 to three licenses in FY 2013. FY 2013 active licenses, new invention licenses, and 

total active invention licenses remained stable. 

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013

Licenses, Total Active 2 3 3 3 3

New Licenses 0 0 1 1 0

Invention Licenses, Total Active 3 3 3 3 0

New Invention Licenses 0 0 0 0 0

Income Bearing Licenses, Total Active 3 3 3 3 3

Income Bearing Exclusive Licenses 3 3 2 2 0
Fiscal Year 2013 Federal Laboratory Technology Transfer Report 104

104 

DOT Income from Licensing 

Between FY 2009 and FY 2013, all active license income decreased by 73% to $12,000 in FY 

2013. Invention license income also decreased by 73%, from $44,000 in FY 2009 to $12,000 in 

FY 2013. Total earned royalty income decreased to $12,000 in FY 2013 from a previous high of 

$34,000 in FY 2009. 

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013

Total Income, All Active Licenses $44 $17 $15 $7 $12

Invention Licenses $44 $17 $15 $7 $12

Total Earned Royalty Income $34 $3 $8 $6 $12
Federal Laboratory Technology Transfer Report Fiscal Year 2013 105

105 

DOT Collaborative R&D Relationships 

Between FY 2009 and FY 2013, the number of total active CRADAs increased by 86.4% to 41 

agreements in FY 2013. 

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013

CRADAs, Total Active 22 22 25 27 41

New CRADAs 7 0 819

Traditional CRADAs, Total Active 0001 41

Other Collaborative R&D Relationships n/r 31 39 14 26
Fiscal Year 2013 Federal Laboratory Technology Transfer Report 106

106 

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 IP and T2 

information necessary for the completion of the annual Technology Transfer Performance Report 

submitted to the Department of Commerce. Other efforts for streamlining its operations include: 

x increasing its federal laboratory participation in Lab-to-Market directives through the 

development of a website that will improve public awareness and access to information 

on the Department’s technology transfer operations; 

x developing training materials to assist R&D personnel to incorporate various technology 

transfer best practices into their research programs; 

x developing a new Departmental 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; 

x preparing simplified model agreements for use or adoption by the OAs and/or the 

Department’s federal laboratories to reduce resources and time spent on negotiation; and 

x reviewing the possibility of entering into an agreement with a third party intermediary for 

further improving the visibility of the Department’s research facilities and equipment, its 

research capabilities, and the technologies available for licensing. 

DOT Downstream Success Stories 

Acoustic-Based Technology to Detect Buried Pipes 

Collaborative research between U.S. DOT’s Pipeline and Hazardous Material 

Safety Administration and the pipeline industry improved the Ultra-Trac® 

APL hand held acoustic pipe locator through multiple validation 

demonstrations at several urban utility sites. The research produced an 

algorithm that improves the process of locating pipes without using tracer wire 

(or broken wire). The algorithm assists pipeline operators and underground 

asset locators in detecting buried metallic and non-metallic pipes (Polyethylene 

and sewer pipes), reducing "excavation damages," and increasing the system 

and public safety. 

Completion of Development of Robotics Systems for Inspecting Unpiggable 

Transmission Pipelines 

Collaborative research between the U.S. DOT’s Pipeline and Hazardous Material Safety 

Administration and the 

pipeline industry led to the 

development and 

commercial deployment of 

the first robotic inspection 

platform (Explorer) and 

integrated Magnetic Flux 

Leakage sensor capable of 

internal unpiggable gas 

pipeline inspection through many internal obstructions including plug valves. Explorer is an 
Federal Laboratory Technology Transfer Report Fiscal Year 2013 107

107 

untethered, modular, remotely controllable, self-powered inspection robot for the visual and 

nondestructive inspection of 20” and 26” natural gas transmission and distribution system 

pipelines. 

Consolidated Research Program to Map, Detect, and Characterize Mechanical Damage 

Defects in Pipeline 

This consolidated program and public/private funded research partnership between U.S. DOT’s 

Pipeline and Hazardous Material Safety Administration and the pipeline industry involved two 

distinct research project successes (Project #1 & 

Project # 2). Project #1 adapted JENTEK's 

Meandering Winding Magnetometer (MWM) Array 

and Magnetoresistive MWM Array for the detection 

and characterization of corrosion and mechanical 

damage characterization of pipeline damage from 

inside the pipe using an in-line inspection or JENTEK 

PIG-IT tool. Project #2 adapted JENTEK's MWM 

Arrays for the detection and characterization of 

corrosion and mechanical damage through coatings. 

Advancements were made in the sensor configuration, 

instrumentation layout, mechanical integration, and 

data processing algorithms. Therefore, the same technology in two different PHMSA projects 

brought tech transfer via in-ditch and ILI technology. This innovation began as PHMSA funded 

Small Business Innovative Research Phase I awards that were then competed within broader 

partnerships with PHMSA’s core RD&T Program.

A Quantitative Non-Destructive Residual Stress Assessment Tool for Pipelines 

The new eStressTM system for residual stress assessment of 

pipeline damage was developed, demonstrated and 

commercialized under a Pipeline and Hazardous Material 

Safety Administration (PHMSA) Small Business 

Innovative Research (SBIR) Phase II award. The SBIR 

Phase II award was supported by a successful SBIR Phase I 

award also funded by PHMSA. This inspection tool 

quantitatively measures residual stress in pipeline damage 

to determine the susceptibility of damaged regions to failure. The eStressTM system provide 

much more insight into the nature and severity of the stresses near dented and damaged regions. 

This new nondestructive testing technology is coupled with advanced modeling techniques to 

improve the capability to not just determine the difference between good and bad amounts of 

stress but to quantitatively measure the local stress and map the stress around the entire area. 

Direct stress measurements such as these were not possible before the PHMSA investment and 

now provide for enhanced determination of mechanical damage defect severity in pipelines. 

New App Puts Vehicle Safety in Consumers’ Hands

A new iPhone application has made it easier for consumers to make important vehicle safety 

decisions in real time. Developed by Volpe National Transportation Systems Center for the 

National Highway Traffic Safety Administration (NHTSA), the SaferCar app allows users to 
Fiscal Year 2013 Federal Laboratory Technology Transfer Report 108

108 

access information from NHTSA's SaferCar.gov site to search vehicle 5-Star Safety Ratings, 

locate child seat installation help, file a vehicle safety complaint, and receive automatic notices 

about recalls. 

Volpe's team has a deep understanding of the data behind the app and how 

important the data are in improving transportation safety, having worked 

with NHTSA on vehicle recalls and safety complaints for 12 years. Volpe 

developed a major system of the SaferCar.gov website that handles safety 

complaints and recalls. Volpe's team also completed a major redesign of 

the website's user interface two years ago and provides all of the support 

for SaferCar.gov and NHTSA.gov. 

With Volpe's knowledge of NHTSA's websites and systems, its team 

moved the app's development quickly, while working on advanced 

features like a function that allows users to scan VIN barcodes with their 

phones, making it easier to register their vehicles for safety recall 

notifications. The app's main features include the following: 

• 5-Star Safety Ratings: Searchable crash test ratings for vehicles by make and model and 

compare different vehicle ratings. Easy to shop smart at a car dealership. Since the app's 

release in March, about 10,500 users have downloaded the app; 

• Safety recalls and complaints: Users can enter information for up to 10 vehicles to be 

notified of safety recalls. Simple for users to submit safety complaints about vehicles, 

helping NHTSA investigate defects; 

• Child seat installation help: Users can find directions, hours, and contact information on the 

nearest car seat inspection station to get help installing child seats and boosters; and 

• Safety news: Consumers can receive important news and safety information from NHTSA, 

as well as notices on their registered vehicles. 

Aircraft Braking Friction Project 

The FAA has undertaken a research project 

for assessment of aircraft landings under 

contaminated runway conditions (i.e. snow, 

slush, and ice) in response to an NTSB 

recommendation issued in 2007. The 

objective of the project is to utilize aircraft 

systems data, generated during landings on 

contaminated runways to predict the landing 

performance of follow-on aircraft. The FAA 

has initiated CRADAs with both Team Eagle 

Ltd. Of Ontario, Canada and Engineered 

Arresting Systems Corporation (ESCO) with 

offices in Logan Township, NJ and Aston, PA 

for conducting joint research on the effects of contaminants on aircraft braking performance. The 

CRADAs provide FAA access to field experts of aircraft braking systems, surface condition 

reporting, and pilots knowledgeable with commercial aircraft operations. In addition, the 
Federal Laboratory Technology Transfer Report Fiscal Year 2013 109

109 

CRADAs provide FAA with use of braking performance test data generated by the CRADA 

partners. 

The FAA has instrumented a Boeing 727 aircraft (R&D 40) for conducting testing on 

contaminated runway surfaces. Instruments have been installed on the R&D 40 for measurement 

of braking friction and associated wheel slip (Mu-Slip) during stopping under varying 

contamination conditions. The performance of modern aircraft Anti-Skid Brake Systems (ASBS) 

is based on these Mu-Slip characteristics and can be used in the assessment of braking friction. 

Team Eagle has developed a Braking Availability Tester (BAT 

shown below) which incorporates an aircraft tire with representative 

aircraft braking system and ASBS, within a commercial vehicle 

chassis. The objective of the BAT is to provide predictive braking 

availability on contaminated runway surfaces toward a better 

understanding of actual aircraft landing distances. Joint testing with 

the R&D 40 and the BAT is planned under the CRADA for this 

winter at ACY. 

Pressure transducers supplied by ESCO have been installed into the 

R&D 40 main landing gear braking system. ESCO has an approved 

patent relating to the estimation of aircraft braking friction on 

contaminated runways using the hydraulic system pressure 

differentials across the ASBS control valves. Under the CRADA, the 

FAA and ESCO will jointly conduct braking friction testing with 

R&D 40 this winter at ACY. 

Automatic Speech Semantic Recognition and Verification in Air Traffic Control 

The FAA’s Technology Transfer Program maintains a CRADA with BrainVentions Corporation, 

Inc. of Los Angeles, CA. The purpose of this continued collaborative partnership is to conduct 

the exploration of automatic speech recognition technologies in Air Traffic Control (ATC) 

research. 

The FAA conducts research to develop methods of measuring 

human performance in ATC environments with Human-in-theLoop (HITL) simulations and the collection of data recordings 

from fielded ATC operations. A portion of the data collected 

consists of voice data that can only be analyzed once the 

manual process of transcription has been completed. 

Unfortunately, the transcription process requires many personhours to complete – therefore, some analyses are cost 

prohibitive. 

Under the CRADA, FAA and BrainVentions investigate the current state of the art Automatic 

Speech Semantic Recognition (ASSR) technology, measure its accuracy, and explore its 

potential applications in ATC. The ASSR system used for this study is the ValsVox 

(BrainVentions) web-based Software as a Service application for real-time speech recognition 
Fiscal Year 2013 Federal Laboratory Technology Transfer Report 110

110 

and semantic parsing of ATC voice communications. Case studies are conducted using an 

enhanced ValsVox system with recorded audio from previously conducted ATC HITL 

simulations. 

ValsVox speech recognition is constrained in real-time by the semantic parsing - unlike other 

systems in which a transcript of the utterance is first generated then semantically parsed. For the 

phrases that were successfully recognized, accuracy of the semantic recognition was over 80%. 

These findings suggest that the technology may be ready for follow-on research to incorporate 

ASSR into ATC decision support tools. There is also a potential to use ASSR in simulation and 

training environments. In addition, human transcriptionists could use ValsVox-generated 

transcripts to save time and costs when complete accuracy is needed. 

Geosynthetic Reinforced Soil-Integrated Bridge Systems 

The Federal Highway Administration's "Bridge of the Future" initiative took a wise look at the 

past before soaring ahead to the future. The result was the Geosynthetic Reinforced Soil (GRS) 

Integrated Bridge System (IBS), which combined cutting-edge geosynthetics with ancient 

building secrets. This radically simple construction method can lower costs, slash construction 

time, improve durability, and increase worker safety. This technology uses alternating layers of 

compacted granular fill material and fabric sheets of geotextile reinforcement to provide support 

for a bridge. The technology also affords a smooth transition from the roadway to the bridge, 

alleviating the bump at the start and end of the bridge caused by uneven settlement. Thirty-five 

States have built more than 100 bridges using the technology. The technical team continues its 

work as part of a group focused on accelerated bridge construction. The team is providing 

workshops, training, showcases, conference presentations, and white papers, as well as 

participating in panel discussions. 

Prefabricated Bridge Elements and Systems 

Prefabrication, which involves the manufacture and assembly of components or entire structures 

offsite, is solving many constructability challenges. The technology is revolutionizing bridge 

construction by greatly reducing onsite construction time, minimizing traffic disruptions, and 

improving work zone safety because of the reduced number of onsite workers exposed to moving 

traffic. State DOTs have designed or constructed more than 2,500 replacement bridges using 

prefabricated bridge elements and systems. In addition, nearly half of all States report that more 

than 25 percent of their replacement bridges have used at least one major prefabricated bridge 

element or system. 

High Friction Surface Treatments 

High friction surface treatments (HFST) are the site-specific application of very high quality, 

durable aggregates using a polymer binder that restores and maintains pavement friction where 

the need for a safer pavement surface is the greatest. Maintaining the appropriate amount of 

pavement friction is critical for safe driving. Vehicles traversing horizontal curves require a 

greater side force friction, and vehicles at intersections require greater longitudinal force friction. 

The increased use of HFST to improve highway safety is (in part) a result of research and 

evaluations conducted by FHWA, industry partners, and leveraging research conducted by 

foreign countries. This research has shown the use of HRST resulted in decreases in overall 

crashes, and in many cases, severe crashes. HFST has been tried and proven in 11 States with 23 
Federal Laboratory Technology Transfer Report Fiscal Year 2013 111

111 

installations as part of FHWA’s Surface Enhancements at Horizontal Curves (SEAHC) 

demonstration program. Crash data from the U.S. sites from Pennsylvania, Kentucky, and South 

Carolina DOTs report a before/after total crash reduction of 100%, 90% and 57%, respectively, 

for their respective signature trial projects, for which the after periods equal approximately three 

to five years. Kentucky has gone on to install and measure 25 additional HFST applications, and 

after at least one year, these sites have witnessed crash reductions of 69%. 

NHTSA’s VRTC Strikeable Surrogate Vehicle

Researchers at NHTSA’s Vehicle Research and Test Center 

(VRTC) created a Strikeable Surrogate Vehicle (SSV) to 

serve as a Principal Other Vehicle (POV) during test track 

evaluations of forward crash avoidance and mitigation 

(FCAM) technologies such as Crash Imminent Braking and 

Dynamic Brake Support. A surrogate vehicle must be used in 

the evaluation of these systems since collisions between the 

test vehicle (known as the Subject Vehicle, or SV) and the 

POV may occur during testing. While it is important for the 

POV to be capable of sustaining repeated impacts, it must also present itself as realistic to be 

physically interpreted as a vehicle when testing with a SV. Balancing these requirements has 

been the focus of considerable research for years. 

The NHTSA SSV features four novel elements in design: 

1. It presents itself as a realistic vehicle to all known sensors presently implemented by 

forward-looking advanced warning and automatic braking systems; 

2. The rigid body shell maintains a constant presence (free from buffeting) as approached 

by an SV; 

3. A lightweight foam bumper and carbon fiber slider/load frame allows impact forces 

acting on an SV to be incrementally realized, thereby decreasing the peak loads present 

immediately after an impact occurs; and 

4. A constant SSV-to-tow vehicle distance is maintained, even during decelerating test 

maneuvers, using a towed rail that features skid plates designed to offer long-term 

durability and reduced in-the-field service. 

The rear profile of NHTSA’s SSV is dimensionally similar to a small high-volume hatchback. 

To reduce the potential for damage to the SV during an impact, the SSV is constructed from 

carbon fiber, Kevlar, phenolic, and Nomex honeycomb; all of which are lightweight composite 

materials with favorable strength-to-weight characteristics. An assessment of the SSV radar 

return characteristics performed by the Michigan Technical Research Institute and the University 

of Michigan Transportation Research Institute concluded the SSV could be a viable POV for the 

evaluation of FCAM technologies. Feedback from the vehicle manufacturers and automotive 

suppliers generally has been favorable. 

NHTSA’s VRTX Supports Proposed Rulemaking for Child Side Impact Test Dummy

Researchers at NHTSA’s Vehicle Research and Test Center (VRTC) provided four reports in 

support of a Notice of Proposed Rulemaking (NPRM) regarding the Q3s side impact test 

dummy, a new dummy representing a 3-year old child. The NPRM looks to amend the 
Fiscal Year 2013 Federal Laboratory Technology Transfer Report 112

112 

regulations to include specifications and qualification requirements for the Q3s Child Side 

Impact Test Dummy, which the Agency plans to use in testing child restraint systems for new 

side impact performance requirements. 

The reports describe the qualities of the Q3s dummy that make it a suitable anthropomorphic test 

device during crash testing to improve side impact safety for children. These documents allow 

users of the dummy to ascertain the correct assembly, disassembly, and inspection procedures 

when utilizing the Q3s in their research, development, and testing. Reports are publicly available 

in the NPRM’s docket.

Test dummies specified in Federal Motor Vehicle Safety Standards 

(FMVSS) are subjected to a series of qualification tests to ensure that their 

components are functioning properly. The Qualification Procedures report 

demonstrates how the dummy is prepared for this testing, how the tests 

themselves are conducted, and the performance requirements to which the 

dummy must adhere to be acceptable for use in Regulatory testing. 

The final report documents the Q3s’s “Repeatability, Reproducibility, and 

Durability.” This work evaluates the Q3s production version for potential 

use in Federal regulatory test standards. It includes the results of the 

repeatability and reproducibility of the Q3s dummy’s responses in qualification procedures and 

sled tests. High-energy component tests were conducted to assess the dummy’s durability. The 

Q3s dummy’s repeatability and reproducibility generally rated as “excellent” or “good” as 

defined by the NHTSA rating system. Furthermore, the dummy proved to be a durable test 

device. 
Federal Laboratory Technology Transfer Report Fiscal Year 2013 113

113 

Department of Veteran Affairs (VA) 

The Department of Veterans Affairs (VA) through the Veterans Health Administration (VHA) 

conducts a robust research program whose fundamental mission is to advance the healthcare of 

Veterans. VA’s Technology Transfer Program operates within the Office of Research & 

Development (ORD), which in turn is part of VHA. ORD aspires to discover knowledge, 

develop VA researchers and health care leaders, and create innovations that advance health care 

for our veterans and the nation. Every year, the Department of Veterans Affairs researchers 

develop new health care-related technologies and other inventions and engage in collaborative 

research and development activities that advance Veterans healthcare. VA’s Technology 

Transfer Program (TTP) helps translate the results of those discoveries into practice and 

facilitates the development of collaborative research agreements that support VA’s research 

activities. 

 

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. 

The VA conducts basic and applied clinical research to discover new treatments and therapies for 

diseases that affect our nation’s Veterans. These activities are often conducted in collaboration 

with industry partners, universities, non-profit foundations under CRADAs. The majority of VA 

CRADAs are clinical CRADAs. In many cases, these studies are multicenter clinical trials 

involving several VAMCs across the country. VA clinical trials have helped find new therapies 

for heart failure, high blood pressure, coronary artery disease, stroke, tuberculosis, kidney 

disease, and diabetes. The review and approval of these CRADAs is a joint effort by TTP and 

VA’s Office of General Counsel (OGC). 

 

In support of ORD’s mission to develop VA researchers and health care leaders, VHA has forged 

unique relationships with academic medical institutions throughout the country. Currently 124 

VAMCs have formal affiliations with academic institutions and many VA researchers 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. 

Affiliated academic institutions ask their employees and academic appointees to enter into 

agreements that give ownership of inventions to the academic affiliate. Because of this 

requirement, most VA inventions are jointly owned by VA and its academic affiliates. To 

facilitate efficient technology transfer, TTP has executed Cooperative Technology 

Administration Agreements (CTAA) and other invention management agreements on VA’s 

behalf with many academic affiliates. These agreements allow the affiliate and VA to decide 

which party will take the lead in the management of the co-owned inventions. This includes 

patenting inventions, marketing, negotiating, executing, and managing licenses on behalf of the 

affiliate and VA. Historically, the affiliates have taken the lead in these activities for most jointly 

owned IP. Any royalties that the affiliate receives from licensing a jointly owned invention are 

shared with VA according to a formula in the CTAA or invention management agreement. VA 

then distributes these royalties in accordance with its royalty distribution policy. At the same 
Fiscal Year 2013 Federal Laboratory Technology Transfer Report 114

114 

time, TTP manages the patent prosecution and marketing of inventions solely owned by VA, or 

inventions in which the academic affiliate declines to take the lead. 

 

Where VA is the sole owner of an invention or lead partner in a jointly owned invention, TTP 

manages the patent prosecution, marketing and licensing activities. TTP, through contracts, 

works with selected law firms to patent inventions. Marketing activities are facilitated with an 

intellectual property-marketing contractor who provides TTP with technology assessments and 

performs initial marketing activities. VA’s OGC reviews and approves licenses prior to 

execution by the appropriate signing authority. Successful patents licensed to manufacturers for 

both jointly owned and VA sole inventions provide a royalty stream to the VA. 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. 

More information about VA technology transfer activities is available on the following website: 

x http://www.research.va.gov/programs/tech_transfer/default.cfm. 
Federal Laboratory Technology Transfer Report Fiscal Year 2013 115

115 

VA Invention Disclosures and Patenting 

Between FY 2009 and FY 2013, the number of new inventions disclosed increased by 82% to 

273 disclosures in FY 2013. During the same period, the number of patent applications filed 

increased by 43% to 53 in FY 2013. The number of patents issued decreased by 60%, totaling six 

patents in FY 2013, compared to 15 patents in FY 2009. 

150

168

191

335

273

37 31

47

150

53

15 10

32

48

6

0

50

100

150

200

250

300

350

400

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013

VA Invention Disclosures and Patenting

New Inventions Disclosed Patent Applications Filed Patents Issued

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013

New Inventions Disclosed 150 168 191 335 273

Patent Applications Filed 37 31 47 150 53

Patents Issued 15 10 32 48 6
Fiscal Year 2013 Federal Laboratory Technology Transfer Report 116

116 

USPTO Patents Assigned to VA by Technology Area: FY 201342

 

42 Source: National Science Foundation and The Patent BoardTM (see footnote 5.) 

Biotechnology

39%

Medical Electronics

17%

Pharmaceuticals

12%

Agriculture

9%

Medical Equipment

9%

Measurement 

Techniques & 

Instrumentation

8%

Other

6%
Federal Laboratory Technology Transfer Report Fiscal Year 2013 117

117 

VA Licenses 

Between FY 2009 and FY 2013, total active licenses reported increased by 19%, from 163 

licenses in FY 2009, to 194 licenses in FY 2013. Total active invention licenses increased by 

25%, reaching 203 licenses in FY 2013. The number of income bearing licenses decreased 

significantly, from 144 total active income-bearing licenses in FY 2009 to 12 licenses in FY 

2013. The number of exclusive income bearing licenses dropped 86%, falling to nine licenses in 

FY 2013, compared to 64 in FY 2009. 

163 169

192 197 194

10 6 11 8 9

163 169

192 197 203

10 6 11 8 9

144 150

170 175

12

64 69

77 82

9

0

50

100

150

200

250

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013

VA Licenses

Licenses, Total Active New Licenses

Invention Licenses, Total Active New Invention Licenses

Income Bearing Licenses, Total Active Income Bearing Exclusive Licenses

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013

Licenses, Total Active 163 169 192 197 194

New Licenses 10 6 11 8 9

Invention Licenses, Total Active 163 169 192 197 203

New Invention Licenses 10 6 11 8 9

Income Bearing Licenses, Total Active 144 150 170 175 12

Income Bearing Exclusive Licenses 64 69 77 82 9
Fiscal Year 2013 Federal Laboratory Technology Transfer Report 118

118 

VA Income from Licensing 

Total income from all active licenses fell 27.72% during the five-year period of FY 2009 to FY 

2013, reaching $146 thousand in FY 2013. All of the income came from invention licenses. Total 

earned royalty income increased by 90.24%, from $205 thousand in FY 2009 to $390 thousand 

in FY 2013. 

$202 

$167 

$401 

$391 

$146

$202 

$167 

$401 

$391 

$146

$205

$133

$401 

$392

$390

$0

$50

$100

$150

$200

$250

$300

$350

$400

$450

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013

VA Income from Licensing ($000s)

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

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013

Total Income, All Active $202 $167 $401 $391 $146

Invention Licenses $202 $167 $401 $391 $146

Total Earned Royalty Income $205 $133 $401 $392 $390
Federal Laboratory Technology Transfer Report Fiscal Year 2013 119

119 

VA Collaborative R&D Relationships 

Between FY 2009 and FY 2013, the number of total active CRADAs increased by 128.3% to 

1,422 agreements in FY 2013. The number of new CRADAs per year increased by 2.5% during 

the same five-year period, totaling 449 new CRADAs in FY 2013. 

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013

CRADAs, Total Active 623 895 1,477 1,510 1,422

New CRADAs 438 491 450 522 449

Traditional CRADAs, Total Active 577 829 1,444 1,430 1,422

Other Collaborative R&D Relationships 0 0 000

623

895

1,477 1,510

1,422

438

491 450

522

449

577

829

1,444 1,430 1,422

00000

0

200

400

600

800

1,000

1,200

1,400

1,600

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013

VA Collaborative R&D Relationships

CRADAs, Total Active New CRADAs

Traditional CRADAs, Total Active Other Collaborative R&D Relationships
Fiscal Year 2013 Federal Laboratory Technology Transfer Report 120

120 

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 

VAs 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 

IP 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 IP management activities with 

affiliates; management of the CRADA review process; and selection and implementation of new 

contracts for office operations. 

x 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 will be continued and expanded in the FY14. 

x 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 2) the 

academic affiliate is not taking the lead on IP 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 developed that will permit more 
Federal Laboratory Technology Transfer Report Fiscal Year 2013 121

121 

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.

x Coordination of IP 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: 

x 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 receive are highly variable; 

x 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 IP estate and worse, a loss of control over 

IP 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 

x 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 VAs contribution to commercialization of new technologies is 

recognized. 

x 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 

challenges facing veterans. These studies ultimately lead to the development of new 

commercial products that benefit the public’s health. 
Fiscal Year 2013 Federal Laboratory Technology Transfer Report 122

122 

Historically the VA has relied on Model and Master agreements with selected 

pharmaceutical companies to manage’s 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. 

x 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 our ability to track metrics and provide deliverables to 

academic affiliates and increase accountability and the ability to manage data. 

In FY 12 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 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 non-governmental 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. 
Federal Laboratory Technology Transfer Report Fiscal Year 2013 123

123 

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: 

x http://www2.epa.gov/ftta. 
Fiscal Year 2013 Federal Laboratory Technology Transfer Report 124

124 

EPA Invention Disclosures and Patenting 

Between FY 2009 and FY 2013, the number of new inventions disclosed remained constant at 

eight disclosures per year. The number of patent applications filed during the same five-year 

period increased by 133% to seven applications in FY 2013. There was a 78% increase in the 

number of patents issued, reaching 16 patents in FY 2013, compared to nine patents in FY 2009. 

8

5

8

18

8

3 3

8

10

7

9 9

12

17

16

0

2

4

6

8

10

12

14

16

18

20

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013

EPA Invention Disclosures and Patenting

New Inventions Disclosed Patent Applications Filed Patents Issued

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013

New Inventions Disclosed 8 5 8 18 8

Patent Applications Filed 3 3 8 10 7

Patents Issued 9 9 12 17 16
Federal Laboratory Technology Transfer Report Fiscal Year 2013 125

125 

USPTO Patents Assigned to EPA by Technology Area: FY 201343

 

43 Source: National Science Foundation and The Patent BoardTM (see footnote 5.) 

Motor Vehicles & Parts

29%

Biotechnology

11%

Industrial Machinery 

& Tools

12%

Other Transport

12%

Materials

6%

Measurement 

Techniques & 

Instrumentation

6%

Chemical Engineering 

& Environmental 

Processes

6%

Construction & 

Building Components

6%

Medical Equipment

6%

Power Generation & 

Distribution

6%
Fiscal Year 2013 Federal Laboratory Technology Transfer Report 126

126 

EPA Licenses 

Between FY 2009 and FY 2013, the number of total active licenses, which equals the number of 

total active invention licenses, increased by 5% to 42 licenses in FY 2013. New licenses per year 

decreased by 33% to two new licenses in FY 2013. Total active income bearing licenses 

decreased by 8%, whereas income bearing exclusive licenses increased by 25%. 

40

37

45

42 42

3 2

6

2 2

40

37

45

42 42

3 2

6

2 2

40

37

42

39

37

8 7

9 10 10

0

5

10

15

20

25

30

35

40

45

50

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013

EPA Licenses

Licenses, Total Active New Licenses

Invention Licenses, Total Active New Invention Licenses

Income Bearing Licenses, Total Active Income Bearing Exclusive Licenses

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013

Licenses, Total Active 40 37 45 42 42

New Licenses 3 2 6 2 2

Invention Licenses, Total Active 40 37 45 42 42

New Invention Licenses 3 2 6 2 2

Income Bearing Licenses, Total Active 40 37 42 39 37

Income Bearing Exclusive Licenses 8 7 9 10 10
Federal Laboratory Technology Transfer Report Fiscal Year 2013 127

127 

EPA Income from Licensing 

Between FY 2009 and FY 2013, total income decreased by 77% to $193,000 in FY 2013. Total 

earned royalty income decreased by 24% from $255,000 in FY 2009 to $193,000 in FY 2013. $849 $536 $383 $727 $193 $849 $536 $383 $727 $193$255 $197 $135 $201 $193

$0

$100

$200

$300

$400

$500

$600

$700

$800

$900

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013

EPA Income from Licensing ($000s)

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

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013

Total Income, All Active $849 $536 $383 $727 $193

Invention Licenses $849 $536 $383 $727 $193

Total Earned Royalty Income $255 $197 $135 $201 $193
Fiscal Year 2013 Federal Laboratory Technology Transfer Report 128

128 

EPA Collaborative R&D Relationships 

Between FY 2009 and FY 2013, the number of total active CRADAs remained constant at 112 

agreements. The number of new CRADAs per fiscal year decreased by 38.6% to 51 new 

agreements in FY 2013. Total active traditional CRADAs increased by 7.8% during the five-year 

period, totaling 55 agreements in FY 2013. 

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013

CRADAs, Total Active 112 67 84 92 112

New CRADAs 83 33 26 22 51

Traditional CRADAs, Total Active 51 50 54 63 55

Other Collaborative R&D Relationships 0 0 000

112

67

84

92

112

83

33

26

22

51 50 51 54

63

55

00000

0

20

40

60

80

100

120

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013

EPA Collaborative R&D Relationships

CRADAs, Total Active New CRADAs

Traditional CRADAs, Total Active Other Collaborative R&D Relationships
Federal Laboratory Technology Transfer Report Fiscal Year 2013 129

129 

Efforts to Streamline Technology Transfer Operations 

In its response to the Presidential Memo of 2011 on Accelerating Technology Transfer, EPA 

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. 

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 

Evaluating Small, Mobile Air Sensors to Assess Pollutants and Concentrations 

A series of Materials Cooperative Research and Development Agreement (MCRADA) 

partnerships between EPA’s National Exposure Research Laboratory (NERL) and nine partner 

organizations focused on personal sensor technologies and their potential for community and 

regulatory environmental air pollutant monitoring. The small sensor movement and focus on 

citizen-collected data is aimed at better gathering real-world data on air pollutant concentrations. 

NERL conducted a series of studies associated with nitrogen dioxide and/or ozone sensors 

provided by each partner. 

These studies were conducted on the performance and operation of the sensors with respect to 

data quality, telecommunication protocols, battery operation, design issues, and ease of use 

features. The lab then provided iterative feedback to the sensor developers. Many of the 
Fiscal Year 2013 Federal Laboratory Technology Transfer Report 130

130 

developers used the feedback to make significant improvements to their units related to 

performance, telecommunications, or design features. NERL also provided validated laboratory 

data describing performance characteristics. 

The result of these collaborations is a better understanding of the air sensors’ functionality by the 

laboratory, and improved functionality of these sensor technologies by the developers, based 

upon the testing feedback. These technologies offer significant hope in lower cost, more efficient 

means of environmental data collections at environmentally relevant concentrations. The sensor 

developers gained valuable knowledge and data on their devices and an understanding of how to 

improve the performance of their technologies for the next generation of air monitoring sensors. 

 

Removing VOCs from Groundwater and Wastewater Streams by Pervaporation, and 

Reducing Energy Requirements for Biofuel Purification 

The US Environmental Protection Agency (EPA) entered into a CRADA with Membrane 

Technology and Research, Inc. (MTR) in March 2000 to further the development of 

pervaporation membrane technology for the removal of volatile organic compounds (VOCs) 

from groundwater and wastewater. (In pervaporation, dense membranes are used to separate 

solvents and water based on sorption and diffusion differences.) In 2002, the CRADA was 

amended to develop membrane-based technologies for the selective recovery and dehydration of 

biofuel components from dilute fermentation broths as alternatives to energy-intensive 

distillation processes. The collaborative work has resulted in several research articles and 

presentations, 3 issued joint EPA-MTR patents, 1 pending EPA patent, one licensing agreement, 

and three additional license agreements under negotiation. 

 

As verified by pilot-scale tests at the EPA’s Test & Evaluation Facility in Cincinnati, this 

integrated technology reduces the energy required for ethanol and butanol purification by over 

60%. Saving energy in biofuel purification directly affects the environmental impact and 

sustainability of renewable fuels. The Energy Independence and Security Act established 

standards for renewable fuels achieving 20, 50, and 60% reductions in greenhouse gas (GHG) 

emissions relative to conventional fuels. For corn-based ethanol, about 50% of the energy 

consumed in the production facility is due to the separation processes used to recover and dry 

ethanol from fermentation broths, leading to significant “upstream” GHG emissions. Cellulosic 

feedstocks produce even lower ethanol concentrations, requiring more energy for separation 

processes. Therefore, to deliver sustainable biofuels, energy efficient alcohol-water separation 

alternatives, such as those developed through the EPA-MTR collaboration, are needed. 

MTR is currently in the pre-commercialization development stage of an integrated distillationmembrane technology that is directly related to the CRADA work. This enhanced research and 

development work with EPA has improved MTR’s business offerings and allowed them to 

advance the speed of their commercialization while providing EPA with access to the real-world 

tools and know-how necessary to evaluate an emerging technology for challenging 

environmental separations. 
Federal Laboratory Technology Transfer Report Fiscal Year 2013 131

131 

National Aeronautics and Space Administration (NASA) 

NASA is engaged in the technology development for missions preparing to look farther into our 

universe than ever before. NASA innovators are creating the next generation of satellites and 

rovers for deep space and planetary missions. In addition, NASA is building the new vehicles 

that will soon take human beings to other worlds for the first time. 

To power these missions, the latest era of innovation is underway at the Space Agency. While 

that means unique advances in science and technology for space applications, it also means 

remarkable new benefits for daily life, right here on Earth. 

NASA’s Technology Transfer Program brings together NASA’s best problem-solvers with the 

Nation’s brightest commercial and entrepreneurial leaders, forming partnerships that transfer 

groundbreaking NASA technologies to the public — and providing solutions for challenges in 

the fields of health and medicine, transportation, consumer goods, public safety, and more. 

NASA Technology Transfer Performance Measures 

In response to the President’s Memorandum, “Accelerating Technology Transfer and 

Commercialization of Federal Research in Support of High-Growth Businesses,” NASA laid out 

a series of objectives and is currently engaged in initiatives to accelerate the rate and 

effectiveness of its technology transfer activities. These initiatives contribute toward seven key 

objectives: 

x Revise Agency policies to ensure alignment with NASA’s commitment to technology 

transfer best practices; 

x Identify strategies to build partnerships for technology development, transfer, and mutual 

benefit; 

x Strategically acquire and manage intellectual property; 

x Increase the number of new technologies reported by NASA civil servants and contractors; 

x Develop and implement innovative methods for technology licensing; 

x Increase Agency use of CRADA authority to accelerate licensing of resulting technologies; 

and 

x Increase the release of NASA-developed software to new users. 

Each year, NASA will set specific goals within this framework of objectives, identify milestones 

and, draft both plans and schedules to meet the milestones and ultimately the annual goal. 

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

http://technology.nasa.gov/analytics/

More information about NASA technology transfer activities is available on the following 

website: 

x http://www.nasa.gov/offices/oct/home/index.html. 
Fiscal Year 2013 Federal Laboratory Technology Transfer Report 132

132 

NASA Invention Disclosures and Patenting 

Between FY 2009 and FY 2013, the number of new inventions disclosed increased by 14% to 

1,615 disclosures in FY 2013. The number of patent applications filed experienced a 1% increase 

equating to one additional application filed. The number of patents issued during this five-year 

period increased by 3% to 96 patents in FY 2013. 

1,412

1,735 1,723

1,637 1,615

141 150 130 131 142 93 130 111 115 96

0

200

400

600

800

1,000

1,200

1,400

1,600

1,800

2,000

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013

NASA Invention Disclosures and Patenting

New Inventions Disclosed Patent Applications Filed Patents Issued

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013

New Inventions Disclosed 1,412 1,735 1,723 1,637 1,615

Patent Applications Filed 141 150 130 131 142

Patents Issued 93 130 111 115 96
Federal Laboratory Technology Transfer Report Fiscal Year 2013 133

133 

USPTO Patents Assigned to NASA by Technology Area: FY 201344

 

44 Source: National Science Foundation and The Patent BoardTM (see footnote 5). 

Measurement 

Techniques & 

Instrumentation

16%

Information Processing

12%

Automation & Control

9%

Optics

Construction & 7%

Building Components

6%

Semiconductors

5%

Industrial Machinery 

& Tools

5%

Materials 

Manufacturing

5%

Telecommunications

5%

Biotechnology

4%

Electronic Components 

& Devices

3%

Aerospace & Defense

3%

Chemicals

3%

Chemical Engineering 

& Environmental 

Processes

2%

Other

15%
Fiscal Year 2013 Federal Laboratory Technology Transfer Report 134

134 

NASA Licenses 

Between FY 2009 and FY 2013, the number of total active licenses decreased by 39% to 2,540 

licenses in FY 2013. New licenses decreased by 68% to 258 licenses from a previous 803 in FY 

2009. The number of total active invention licenses increased by 84% to 268 licenses. 

4,181

5,515

3,363

3,015

2,540

803

498

396

324

258

146

456

309

286

268

49

36

20

26

32

276

271

262

240

218

122122

105

88

76

0

1,000

2,000

3,000

4,000

5,000

6,000

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013

NASA Licenses

Licenses, Total Active New Licenses

Invention Licenses, Total Active New Invention Licenses

Income Bearing Licenses, Total Active Income Bearing Exclusive Licenses

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013

Licenses, Total Active 4,181 5,515 3,363 3,015 2,540

New Licenses 803 498 396 324 258

Invention Licenses, Total Active 146 456 309 286 268

New Invention Licenses 49 36 20 26 32

Income Bearing Licenses, Total Active 276 271 262 240 218

Income Bearing Exclusive Licenses 122 122 105 88 76
Federal Laboratory Technology Transfer Report Fiscal Year 2013 135

135 

NASA Income from Licensing 

Between FY 2009 and FY 2013, the number of total income from all active licenses decreased 

by 31% to $2.2 million in FY 2013. The income from invention licenses decreased by 20.4% to 

$1.8 million. Total earned royalty income decreased 58.1% from $732,000 in FY 2009 to 

$307,000 in FY 2013. $3,144 

$4,517 

$3,012 

$3,375 

$2,168

$2,288 

$4,229 

$2,877 

$3,137 

$1,822

$732 

$2,280 

$1,525 

$1,353 

$307

$0

$500

$1,000

$1,500

$2,000

$2,500

$3,000

$3,500

$4,000

$4,500

$5,000

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013

NASA Income from Licensing ($000s)

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

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013

Total Income, All Active $3,144 $4,517 $3,012 $3,375 $2,168

Invention Licenses $2,288 $4,229 $2,877 $3,137 $1,822

Total Earned Royalty Income $732 $2,280 $1,525 $1,353 $307
Fiscal Year 2013 Federal Laboratory Technology Transfer Report 136

136 

NASA Collaborative R&D Relationships 

Between FY 2009 and FY 2013, the number of Space Act Agreements increased 16% from 

4,507 agreements in FY 2009 to 5,226 in FY 2013. 

1 1 1 0000 0000 0000

4,507 4,379

5,384 5,374 5,226

0

1000

2000

3000

4000

5000

6000

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013

NASA Collaborative R&D Relationships

CRADAs, Total Active New CRADAs

Traditional CRADAs, Total Active Other Collaborative R&D Relationships

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013

CRADAs, Total Active 1 0 000

New CRADAs 1 0 000

Traditional CRADAs, Total Active 1 0 000

Other Collaborative R&D Relationships 4,507 4,379 5,384 5,374 5,226

(Space Act Agreements)
Federal Laboratory Technology Transfer Report Fiscal Year 2013 137

137 

Efforts to Streamline Technology Transfer Operations 

In response to the President’s Memorandum, “Accelerating Technology Transfer and 

Commercialization of Federal Research in Support of High-Growth Businesses,” NASA laid out 

a series of objectives and is currently engaged in initiatives to accelerate the rate and 

effectiveness of its technology transfer activities. These initiatives contribute toward seven key 

objectives: 

• Revise Agency policies to ensure alignment with NASA’s commitment to technology 

transfer best practices; 

• Identify strategies to build partnerships for technology development, transfer, and mutual 

benefit; 

• Strategically acquire and manage intellectual property; 

• Increase the number of new technologies reported by NASA civil servants and 

contractors; 

• Develop and implement innovative methods for technology licensing; 

• Increase Agency use of CRADA authority to accelerate licensing of resulting 

technologies; and 

• Increase the release of NASA-developed software to new users. 

Each year, NASA will set specific goals within this framework of objectives, identify milestones 

and, draft both plans and schedules to meet the milestones and ultimately the annual goal. 

Accomplishments this year include: 

• Revision, updating, and consolidation of agency technology transfer policies; 

• Increased education and outreach efforts, including development of standardized training 

materials, a poster campaign, and revamping of the agency invention disclosure website, 

including a reporting “button” placed on numerous internal websites, provided promising 

early returns, with a 20 percent increase in the number of new technologies reported by 

civil servants, the highest level in 10 fiscal years; 

• NASA simplified its patent licensing application for non-exclusive licenses and launched 

a website designed to increase licensing by further simplifying the process by offering 

non-negotiated licenses at low upfront fees; 

• NASA Technology Transfer Offices each participated in monthly webinars geared at 

promoting technologies available for licensing. These webinars had, on average, over 

1,000 viewers from across a wide array of industries. These were recorded and continue to 

be viewed; 

• NASA began exploring crowdsourcing for understanding potential markets for missiondeveloped technologies. Two pilot programs have been used to assess the feasibility of 

this new approach, and each has been promising; 

• NASA’s Technology Transfer Program worked with the Agency’s Small Business 

Innovation Research Program and the Agency’s Procurement Office to improve the 

overall process by which small businesses report new technologies. This work leveraged 

existing processes to enhance communications internally and simplify requirements for 

small businesses; 
Fiscal Year 2013 Federal Laboratory Technology Transfer Report 138

138 

• NASA published its first-ever CRADA handbook and policy. The Agency had long-relied 

on its Space Act Agreement authority to conduct similar work, but CRADAs provide a 

degree of additional flexibility with regard to intellectual property licensing. Primarily, 

though, NASA wanted to be able to offer industry a partnership vehicle with which they 

are already familiar; and 

• In FY 2013, NASA also began the process of building a system for widespread sharing of 

its software. 

NASA Downstream Success Stories 

Miniaturized, Portable Sensors Monitor Metabolic Health 

In order to measure astronauts’ metabolic rates in space, Glenn Research Center partnered with 

Case Western University and the Cleveland Clinic to develop the Portable Unit for Metabolic 

Analysis (PUMA). Cleveland-based Orbital Research licensed and then modified PUMA to help 

the US Navy assess pilot oxygen problems and is now designing a device that can be used in 

hospitals. 

Data Mining Tools Make Flights Safer, More Efficient 

A small data mining team at Ames Research Center developed a set of algorithms ideal for 

combing through flight data to find anomalies. Dallas-based Southwest Airlines Co. signed a 

Space Act Agreement with Ames in 2011 to access the tools, helping the company refine its 

safety practices, improve its safety reviews, and increase flight efficiencies. 

Heat Shield Paves the Way for Commercial Space 

The Phenolic-Impregnated Carbon Ablator (PICA) heat shield, a lightweight material designed 

to withstand high temperatures, was used for the Stardust’s reentry into Earth’s atmosphere. 

Hawthorne, California-based SpaceX later worked with the inventors at Ames Research Center 

to outfit PICA on its Dragon capsule, which is now delivering cargo to and from the 

International Space Station through NASA’s Commercial Resupply Services contracts program.

Brainwave Monitoring Software Improves Distracted Minds 

Neurofeedback technology developed at Langley Research Center to monitor pilot awareness 

inspired Peter Freer to develop software for improving student performance. His company, 

Fletcher, North Carolina-based Unique Logic and Technology Inc., has gone on to develop 

technology for improving workplace and sports performance, monitoring drowsiness, and 

encouraging relaxation. 

Shuttle Engine Designs Revolutionize Solar Power 

The Space Shuttle Main Engine was built under contract to Marshall Space Flight Center by 

Rocketdyne, now part of Pratt & Whitney Rocketdyne (PWR). PWR applied its NASA 

experience to solar power technology and licensed the technology to Santa Monica, Californiabased SolarReserve. The company now develops concentrating solar power projects, including a 

plant in Nevada that has created 4,300 jobs during construction. 
Federal Laboratory Technology Transfer Report Fiscal Year 2013 139

139 

Vision Algorithms Catch Defects in Screen Displays 

Andrew Watson, a senior scientist at Ames Research Center, developed a tool called the Spatial 

Standard Observer (SSO), which models human vision for use in robotic applications. Redmond, 

Washington-based Radiant Zemax LLC licensed the technology from NASA and combined it 

with its imaging colorimeter system, creating a powerful tool that high-volume manufacturers of 

flat-panel displays use to catch defects in screens. 
Fiscal Year 2013 Federal Laboratory Technology Transfer Report 140

140 

Chapter 3 Conclusion 

Technology transfer is an active and essential mission of Federal research and development 

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 research 

and development investments. 

This report provides a summary of the technology transfer activities of all 11 Federal agencies 

that are actively involved in research and development. This summary is derived from each 

agency’s annual technology transfer reports that are located online at 

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

Statistical data provided in this report indicate that there has been a significant increase in 

invention disclosures and patenting activities over the five-year span from FY 2009 through FY 

2013. During this period, Federal invention disclosures increased by 19%, patent applications 

increased by 20% and patents issued increased by 42%. In FY 2013, the top three technical 

areas in which federal patents were awarded were Biotechnology (14%), Measurement 

Techniques and Instrumentation (13%) and Aerospace and Defense (7%). 

Between FY 2009 and FY 2013, the number of total active licenses increased by 24% and the 

number of new licenses decreased by 5%. The number of income-bearing licenses increased by 

4% and the number of exclusive licenses decreased by 25%. The number of Federal 

collaborative R&D relationships increased by 12%, the number of new CRADA agreements 

increased by 39%, and the number of non-traditional CRADA agreements increased by 44%. 

In response to the September 2011 Presidential Memorandum, Federal agencies have begun 

gathering additional technology transfer metrics and have instigated plans to monitor and 

improve the overall impact of Federal technology transfer activities. Data from these efforts will 

also be published beginning with this report. 

In FY 2013, Federal researchers published more than 44,800 papers. More than half of these 

papers were in the fields of biological sciences (22%), medical sciences (19%) and physics 

(15%). One report also identifies these three fields as involving the most cited Federal research 

within U.S. patents. In FY 2013, more than 78% of Federal publications cited in U.S. patents 

were in the fields of biological sciences (44%), medical sciences (22%), and physics (12%). 

Another area of interest now being reported involves the interaction of Federal laboratories with 

small and young businesses. An initial effort to determine the number of small businesses 

involved in Federal CRADA agreements reveals that for the agencies that were able to report 

small business participation, 18% of the 3,095 traditional, Federal CRADA agreements involved 

small businesses as participants. Federal agencies also support small businesses through the 

licensing of technologies. For those agencies that were able to report small business 

participation, 7% of the 10,336 active, Federal licenses were issued to small businesses. 
Federal Laboratory Technology Transfer Report Fiscal Year 2013 141

141 

Finally, federally developed technologies are also transferred through interactions with 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. Preliminary data from three agencies that report interactions with young startup 

companies reveals that 78 companies that started between the years of 2008 and 2013, received 

critical technical support from Federal laboratories. 
Fiscal Year 2013 Federal Laboratory Technology Transfer Report 142

142 

Appendix A 

Federal Invention Disclosure and Patenting 

Agency Metric FY 2009 FY 2010 FY 2011 FY 2012 FY 2013

USDA New Inventions Disclosed 178 149 158 160 180

Patent Applications Filed 123 113 124 122 147

Patents Issued 24 45 49 69 51

DOC New Inventions Disclosed 40 31 26 52 41

Patent Applications Filed 20 20 17 21 25

Patents Issued 7 12 16 13 20

DoD New Inventions Disclosed 831 698 929 1,078 1,032

Patent Applications Filed 690 436 844 1,013 942

Patents Issued 404 304 523 1,048 648

DOE New Inventions Disclosed 1,439 1,616 1,820 1,661 1,796

Patent Applications Filed 775 965 868 780 944

Patents Issued 363 480 460 483 713

HHS New Inventions Disclosed 353 337 351 352 320

Patent Applications Filed 284 291 272 233 230

Patents Issued 480 470 270 453 428

DHS New Inventions Disclosed 32 7 38 40 20

Patent Applications Filed 2 2 12 10 4

Patents Issued 2 1 004

DOI New Inventions Disclosed 4 5 5 10 9

Patent Applications Filed 8 7 238

Patents Issued 4 5 134

DOT New Inventions Disclosed 3 1 2 2 13

Patent Applications Filed 2 2 2 1 5

Patents Issued 1 2 004

VA New Inventions Disclosed 150 168 191 335 273

Patent Applications Filed 37 31 47 150 53

Patents Issued 15 10 32 48 6
Federal Laboratory Technology Transfer Report Fiscal Year 2013 143

143 

Federal Invention Disclosure and Patenting (continued) 

Agency Metric FY 2009 FY 2010 FY 2011 FY 2012 FY 2013

EPA New Inventions Disclosed 8 5 8 18 8

Patent Applications Filed 3 3 8 10 7

Patents Issued 9 9 12 17 16

NASA New Inventions Disclosed 1,412 1,735 1,723 1,637 1,615

Patent Applications Filed 141 150 130 131 142

Patents Issued 93 130 111 115 96

Total Metric FY 2009 FY 2010 FY 2011 FY 2012 FY 2013

New Inventions Disclosed 4,450 4,752 5,251 5,345 5,307

Patent Applications Filed 2,085 2,020 2,326 2,474 2,507

Patents Issued 1,402 1,468 1,474 2,249 1,990
Fiscal Year 2013 Federal Laboratory Technology Transfer Report 144

144 

Federal Licenses 

Agency Metric FY 2009 FY 2010 FY 2011 FY 2012 FY 2013

USDA Licenses, Total Active 330 344 358 384 400

New Licenses 26 22 35 34 25

 Invention Licenses, Total Active 302 313 322 341 351

New Invention Licenses 22 18 29 28 19

Income Bearing Licenses, Total Active 327 340 354 379 397

Income Bearing Exclusive Licenses 234 248 257 277 291

DOC Licenses, Total Active 40 46 40 41 39

New Licenses 12 7 565

Invention Licenses, Total Active 40 46 40 41 39

New Invention Licenses 11 7 565

Income Bearing Licenses, Total Active 28 29 26 25 27

Income Bearing Exclusive Licenses 11 12 12 12 15

DOD Licenses, Total Active 432 397 633 520 527

New Licenses 57 50 63 44 59

Invention Licenses, Total Active 386 341 431 432 425

New Invention Licenses 57 50 63 44 59

Income Bearing Licenses, Total Active 227 134 214 356 264

Income Bearing Exclusive Licenses 78 67 51 120 n/r

DOE Licenses, Total Active 5,742 6,228 5,310 5,328 9,148

New Licenses 755 826 822 757 567

Invention Licenses, Total Active 1,452 1,453 1,432 1,428 1,353

New Invention Licenses 139 166 169 192 153

Income Bearing Licenses, Total Active 3,339 3,493 3,510 3,340 3,709

Income Bearing Exclusive Licenses 411 462 315 344 199

HHS Licenses, Total Active 1,584 1,941 1,613 1,465 1,426

New Licenses 221 269 264 231 184

 Invention Licenses, Total Active 1,304 1,240 414 1,090 1,069

New Invention Licenses 198 217 106 192 152

Income Bearing Licenses, Total Active 880 848 849 809 809

Income Bearing Exclusive Licenses 23 24 27 24 125

DHS Licenses, Total Active 63 458 495 523 1,265

New Licenses 45 458 418 37 733

Invention Licenses, Total Active 0 0 000

New Invention Licenses 0 0 000

Income Bearing Licenses, Total Active 0 0 000

Income Bearing Exclusive Licenses 0 0 000
Federal Laboratory Technology Transfer Report Fiscal Year 2013 145

145 

Federal Licenses (continued) 

Agency Metric FY 2009 FY 2010 FY 2011 FY 2012 FY 2013

DOI Licenses, Total Active 21 28 25 26 20

New Licenses 4 4 213

Invention Licenses, Total Active 18 23 23 24 20

New Invention Licenses 3 3 213

Income Bearing Licenses, Total Active 18 19 22 22 16

 Income Bearing Exclusive Licenses 4 5 3 12 4

DOT Licenses, Total Active 2 3 333

New Licenses 0 0 110

Invention Licenses, Total Active 3 3 330

New Invention Licenses 0 0 000

Income Bearing Licenses, Total Active 3 3 333

Income Bearing Exclusive Licenses 3 3 220

VA Licenses, Total Active 163 169 192 197 194

New Licenses 10 6 11 8 9

 Invention Licenses, Total Active 163 169 192 197 203

New Invention Licenses 10 6 11 8 9

Income Bearing Licenses, Total Active 144 150 170 175 12

Income Bearing Exclusive Licenses 64 69 77 82 9

EPA Licenses, Total Active 40 37 45 42 42

New Licenses 3 2 622

 Invention Licenses, Total Active 40 37 45 42 42

New Invention Licenses 3 2 622

Income Bearing Licenses, Total Active 40 37 42 39 37

Income Bearing Exclusive Licenses 8 7 9 10 10

NASA Licenses, Total Active 4,181 5,515 3,363 3,015 2,540

New Licenses 803 498 396 324 258

 Invention Licenses, Total Active 146 456 309 286 268

New Invention Licenses 49 36 20 26 32

Income Bearing Licenses, Total Active 276 271 262 240 218

Income Bearing Exclusive Licenses 122 122 105 88 76

Total Metric FY 2009 FY 2010 FY 2011 FY 2012 FY 2013

Licenses, Total Active 12,598 15,166 12,077 11,544 15,604 

New Licenses 1,936 2,142 2,023 1,445 1,845 

 Invention Licenses, Total Active 3,854 4,081 3,211 3,884 3,770 

New Invention Licenses 492 505 411 499 434 

Income Bearing Licenses, Total Active 5,282 5,324 5,452 5,388 5,492 

Income Bearing Exclusive Licenses 958 1,019 858 971 729 
Fiscal Year 2013 Federal Laboratory Technology Transfer Report 146

146 

Federal Income from Licensing ($000s) 

Agency Metric FY 2009 FY 2010 FY 2011 FY 2012 FY 2013

USDA Total Income, All Active Licenses $5,376 $3,641 $3,989 $3,806 $4,390

Invention Licenses $5,318 $3,566 $3,855 $3,671 $4,058

Total Earned Royalty Income, (ERI) $4,422 $3,075 $3,137 $3,060 $3,354

DOC Total Income, All Active Licenses $336 $237 $277 $248 $151

Invention Licenses $336 $237 $277 $248 $151

Total Earned Royalty Income, (ERI) $336 $237 $277 $248 $151

DOD Total Income, All Active Licenses $16,439 $13,424 $15,682 $7,055 $21,575

Invention Licenses $16,165 $13,026 $15,364 $6,552 $20,859

Total Earned Royalty Income, (ERI) $16,240 $10,848 $7,702 $6,335 $20,438

DOE Total Income, All Active Licenses $43,570 $40,644 $44,728 $40,849 $39,573

Invention Licenses $40,262 $37,066 $40,600 $36,103 $36,068

Total Earned Royalty Income, (ERI) $28,901 $25,220 $27,107 $28,735 $27,669

HHS Total Income, All Active Licenses $85,059 $80,923 $98,453 $110,576 $116,448

Invention Licenses $83,041 $79,805 $82,842 $108,308 $103,664

Total Earned Royalty Income, (ERI) $91,060 $91,374 $96,605 $110,930 $116,601

DHS Total Income, All Active Licenses $0 $0 $0 $0 $0

Invention Licenses $0 $0 $0 $0 $0

Total Earned Royalty Income, (ERI) $0 $0 $0 $0 $0

DOI Total Income, All Active Licenses $89 $80 $93 $78 $59

Invention Licenses $89 $80 $93 $78 $59

Total Earned Royalty Income, (ERI) $89 n/a $82 $63 $59

DOT Total Income, All Active Licenses $44 $17 $15 $7 $12

Invention Licenses $44 $17 $15 $7 $12

Total Earned Royalty Income, (ERI) $34 $3 $8 $6 $12

VA Total Income, All Active Licenses $202 $167 $401 $391 $146

Invention Licenses $202 $167 $401 $391 $146

Total Earned Royalty Income, (ERI) $205 $133 $401 $392 $390

EPA Total Income, All Active Licenses $849 $536 $383 $727 $193

Invention Licenses $849 $536 $383 $727 $193

Total Earned Royalty Income, (ERI) $255 $197 $135 $201 $193
Federal Laboratory Technology Transfer Report Fiscal Year 2013 147

147 

Federal Income from Licensing (continued) ($000s) 

Agency Metric FY 2009 FY 2010 FY 2011 FY 2012 FY 2013

NASA Total Income, All Active Licenses $3,144 $4,517 $3,012 $3,375 $2,168

Invention Licenses $2,288 $4,229 $2,877 $3,137 $1,822

Total Earned Royalty Income, (ERI) $732 $2,280 $1,525 $1,353 $307

Total Metric FY 2009 FY 2010 FY 2011 FY 2012 FY 2013

Total Income, All Active Licenses $155,108 $144,186 $167,033 $167,112 $184,715

Invention Licenses $148,594 $138,729 $146,707 $159,222 $167,032

Total Earned Royalty Income, (ERI) $126,034 $122,519 $129,277 $165,426 $169,174
Fiscal Year 2013 Federal Laboratory Technology Transfer Report 148

148 

Federal Collaborative R&D Relationships 

Agency Metric FY 2009 FY 2010 FY 2011 FY 2012 FY 2013

USDA CRADAs, Total Active 243 273 292 274 259

New CRADAs 81 92 102 65 86

Traditional CRADAs, Total Active 201 219 207 211 211

Other Collaborative R&D Relationships 10,306 11,570 13,458 14,351 16,102

DOC CRADAs, Total Active 2,397 2,253 2,245 2,410 2,428

New CRADAs 1,512 2,159 2,192 2,844 2,290

Traditional CRADAs, Total Active 101 100 98 153 197

Other Collaborative R&D Relationships 2,828 2,897 2,899 2,782 2,977

DoD CRADAs, Total Active 2,870 3,248 2,554 2,400 2,682

New CRADAs 659 720 762 757 769

Traditional CRADAs, Total Active 2,247 2,516 1,685 1,328 2,076

Other Collaborative R&D Relationships 1 287 988 0 606

DOE CRADAs, Total Active 744 697 720 742 742

New CRADAs 176 176 178 184 142

Traditional CRADAs, Total Active 744 697 720 742 742

Other Collaborative R&D Relationships 0 0 000

HHS CRADAs, Total Active 457 447 430 377 427

New CRADAs 105 83 81 93 104

Traditional CRADAs, Total Active 284 300 284 245 313

Other Collaborative R&D Relationships 0 0 0 0 114

DHS CRADAs, Total Active 23 36 62 94 114

New CRADAs 6 14 31 53 76

Traditional CRADAs, Total Active 22 32 55 89 91

Other Collaborative R&D Relationships 5 3 11 11 6

DOI CRADAs, Total Active 248 436 351 379 476

New CRADAs 74 82 295 284 376

Traditional CRADAs, Total Active 36 29 24 28 21

Other Collaborative R&D Relationships 0 0 209 283 322

DOT CRADAs, Total Active 22 22 25 27 41

New CRADAs 7 0 819

Traditional CRADAs, Total Active 0 0 0 1 41

Other Collaborative R&D Relationships n/r 31 39 14 26

VA CRADAs, Total Active 623 895 1,477 1,510 1,422

New CRADAs 438 491 450 522 449

Traditional CRADAs, Total Active 577 829 1,444 1,430 1,422

Other Collaborative R&D Relationships 0 0 000
Federal Laboratory Technology Transfer Report Fiscal Year 2013 149

149 

Federal Collaborative R&D Relationships (continued) 

Agency Metric FY 2009 FY 2010 FY 2011 FY 2012 FY 2013

EPA CRADAs, Total Active 112 67 84 92 112

 New CRADAs 83 33 26 22 51

Traditional CRADAs, Total Active 51 50 54 63 55

Other Collaborative R&D Relationships 0 0 000

NASA CRADAs, Total Active 1 0 000

New CRADAs 1 0 000

Traditional CRADAs, Total Active 1 0 000

Other Collaborative R&D Relationships 4,507 4,379 5,384 5,374 5,226

Total Metric FY 2009 FY 2010 FY 2011 FY 2012 FY 2013

CRADAs, Total Active 7,740 8,374 8,240 8,305 8,703

New CRADAs 3,142 3,850 4,125 4,825 4,352

Traditional CRADAs, Total Active 4,264 4,772 4,571 4,290 5,169

Other Collaborative R&D Relationships 17,647 19,167 22,988 22,815 25,379
Fiscal Year 2013 Federal Laboratory Technology Transfer Report 150

150 

Appendix B 

Technology Area Classifications 

Mapping of International Patent Classifications to Technology Area45

Aerospace & Defense: parts and components that pertain to aircraft and spacecraft as well as 

defense mechanisms. This includes engines, jet propulsion, gas turbines, and fuel control related 

to airplanes, helicopters, spacecraft and lighter-than-air vehicles. Defense includes weapons, 

ammunition, explosives, warship or submarine weaponry as well as protective gear, armed 

vehicles and land defense devices. Note: Engines and turbines included here are primarily for 

aircraft, but some for locomotives and ships will appear as well. 

Biotechnology: pertains to living organisms (or parts of living organism) used primarily for 

medicinal purposes and diagnostics, as well as genetic engineering and biotechnology research 

equipment. This includes vaccines, pharmaceuticals, nutraceuticals, herbal remedies, peptides, 

sugars, nucleic acids, micro-organisms, enzymes, genetic engineering, measuring and testing 

techniques, research and laboratory equipment and combinatorial chemistry. 

Chemical Engineering & Environmental Processes: select processes and techniques used in 

chemical industrial processes, recycling, treating materials to make them safer or for safe 

disposal. This includes separation and filtration techniques, mixing, cryogenics, waste and water 

treatments, soil reclamation and solid waste disposal. Included in separation techniques are 

processes related to catalysts, including catalytic converters for engine exhaust gases (but not 

muffler/exhaust systems). 

Chemicals: organic or inorganic compositions and processes involving dyes, pigments, coating, 

cleaning, polishing, glue, gelatin, catalysts, fatty acids, petrochemicals, natural resins, and 

electrolytic processes. 

Electronic Components & Devices: components related to high-tech electronic equipment and 

devices that perform functions. This includes display technologies, capacitors, resistors, 

actuators, piezoelectric devices, card readers and connectors, as well as components for 

navigational items, spectrometers, micro-electromechanical systems (MEMS), data collectors 

(i.e. bar code scanners, ID card readers) and registers. 

Information Processing: data or information processing, computational models, business 

methods. This includes image analysis, data capture and collectors, speech/audio processing, 

database structures, error detection/correction, security, analog to digital conversion, data 

transfer sequencing as well as computer software. 

Materials Manufacturing: processing and treatment of materials along with their related 

machinery, as well as layered products. This includes metalworking, metal casting, metal rolling, 

foundry molding, photomechanical processes, chemical and mechanical treatments, textile 

 

45 Copyright ©2013, The Patent Board. Used with permission.
Federal Laboratory Technology Transfer Report Fiscal Year 2013 151

151 

cleaning and dying, clothes manufacturing, electrolytic processes, paper/cardboard processes, 

coating processes as well as layered products comprising different materials or are of certain 

forms. 

Materials: glass, minerals, pulp, paper, fibers, textiles, metals, and composites thereof. This 

includes plastics, polymers, rubber, cement, ceramics, stone, micro and nano-structures, liquid 

crystal materials, anti-oxidants and adhesives as well as materials that are electro chromic, 

photosensitive, luminescent, thermoelectric and radioactive in nature. 

Measurement Techniques & Instrumentation: techniques and use of instrumentation which 

measures, tests, inspects or analyzes a wide variety of materials or processes. This includes 

measuring electric variables, distances, volume, flow, velocity, speed, force, stress, torque, 

temperatures, weight, length, thickness, and mechanical vibrations through tapes, levels, globalpositioning devices, radar, scales, thermometers and flow meters, among other specialized 

devices. This also includes horology, meteorology, geophysics (e.g. earthquake 

detection/measurement), analyzing chemical or physical processes and associated laboratory 

equipment (e.g. centrifuges, beakers, test tubes, etc.), investigating or analyzing materials 

(includes optical means for inspection widely used in the semiconductor industry) and scanningprobe microscopy. 

Optics: optical elements, materials and systems. This includes light guides, lenses, waveguides, 

optical fibers, electro-chromic materials, microscopes, telescopes, optical modulation, MEMS, 

masers, lasers, holography, optical measuring instruments and optical arrangements for 

controlling displays. 

Pharmaceuticals: preparation and compounds of synthetic therapeutic drugs. This includes 

over-the-counter drugs, targeted medicinals and steroids. 

Power Generation & Distribution: generation of small or large-scale power from both 

traditional and alternative energy sources and means for distribution. This includes batteries, fuel 

cells, generators, motors (motor control), fusion reactors as well as combustion, power 

conversion and distribution. Alternative energy includes solar, wind, wave, tidal, hydroelectricity 

and geothermal means as well as nuclear. 

Semiconductors: semiconductor materials, manufacturing, design and processes. This includes 

silicon wafer manufacturing, solid-state devices and solar cells, as well as processes such as 

chemical-vapor deposition (CVD), coating, etching and polishing as well as computer-aided 

design. 

Telecommunications: transmission of voice/data over landlines or wireless and the equipment 

necessary to deliver. This includes antennas, receivers, equipment arrangements, modulation, 

waveguides, resonators, multiplexing, and impedance networks. 
Fiscal Year 2013 Federal Laboratory Technology Transfer Report 152

152 

Appendix C 

Fields and Subfields of S&E Publications Data46

 

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 

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 

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 

Physics: acoustics, chemical physics, nuclear and particle physics, optics, solid state physics, 

applied physics, fluids and plasmas, general physics, miscellaneous physics 

 

46 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. 

National Institute of Standards and Technology

U.S. Department of Commerce

100 Bureau Drive, Gaithersburg, MD 20899-2200 | http://www.nist.gov