Federal Laboratory

Technology Transfer 

Fiscal Year 2009

Prepared by:

National Institute of

Standards and Technology

U.S. Department of Commerce

March 2011

Summary Report to

the President and the Congress
This page left intentionally blank
ii

 

FOREWORD 

The Department of Commerce is pleased to submit this fiscal year 2009 Technology 

Transfer Summary Report to the President and the Congress in accordance with 15 USC 

Sec 3710(g)(2) for an annual summary on the implementation of technology transfer 

authorities established by the Technology Transfer Commercialization Act of 2000 (P.L. 

106-404) and similar legislation. This report highlights the achievements of Federal 

technology transfer and partnering programs of Federal research and development 

agencies. 

Technology transfer is the use and commercialization of the results of Federal laboratory 

research and development and collaborative research programs. Effective technology 

transfer is an important part of each Federal laboratory’s mission. Today, Federal 

laboratories reach out to industry, academic institutions, non-profit foundations, state and 

local governments, and international institutions through external collaborations and 

partnerships, thereby leveraging the Federal investment in research and development. An 

investment in Federal research and development serves as an important engine to 

maintain the United States’ leadership in technology and innovation and stimulates 

economic growth through the development of new products and processes. 
iii

TABLE OF CONTENTS 

CHAPTER 1 .................................................................................................................. 1

Scope ............................................................................................................................... 1

Technology Transfer Principles and Approach .............................................................. 1

CHAPTER 2 .................................................................................................................. 4

Strengthening Performance Metrics ............................................................................... 4

CHAPTER 3 ................................................................................................................ 18

Department of Agriculture (USDA) ............................................................................. 18

Department of Commerce (DOC) ................................................................................ 20

Department of Defense (DoD) ...................................................................................... 22

Department of Energy (DOE) ....................................................................................... 25

Department of Health and Human Services (HHS) ...................................................... 28

Department of Homeland Security (DHS) ................................................................... 30

Department of the Interior (DOI) ................................................................................. 33

Department of Transportation (DOT) ........................................................................... 36

Department of Veterans Affairs (VA) .......................................................................... 38

Environmental Protection Agency (EPA) .................................................................... 39

National Aeronautics and Space Administration (NASA) ........................................... 41

CONCLUSION ........................................................................................................... 43

LIST OF TABLES 

Table 1: Collaborative Relationships for Research and Development ............................... 6 

Table 2: Invention Disclosure and Patenting ...................................................................... 9 

Table 3: Profile of Active Licenses .................................................................................. 12 

Table 4: Characteristics of Income Bearing Licenses ....................................................... 15 

Table 5: Income from Licensing (Dollars reported in thousands) .................................... 16 
iv

This page intentionally left blank
1

CHAPTER 1 

Overview of Federal Technology Transfer 

Federal laboratories continuously partner with many non-federal organizations in industry, 

academia, the non-profit sector, as well as state and local governments. Through these 

partnerships, Federal agencies are better able to transform the results of their research into 

economic and social value. Agencies utilize a variety of authorities and agreements to evaluate, 

protect, transfer, and monitor the utilization and commercialization of technologies developed, in 

whole or in part, by Federal laboratories. While focusing on important national interests, Federal 

laboratories continue to develop many new technologies, products, and applications that solve 

some of our greatest challenges. By making these discoveries accessible to private, academic 

and other government entities, Federal research and development (R&D) provides expertise and 

resources resulting in viable products that give the United States a competitive edge in today’s 

global market and improve the quality of life for all Americans. 

This report summarizes information from individual reports prepared by each Federal agency 

conducting R&D within its laboratories. The Department of Commerce’s (DOC) National 

Institute of Standards and Technology (NIST) prepared and organized this report. An electronic 

version of this report is available at: http://www.nist.gov/tpo/publications/index.cfm. 

Scope 

This report summarizes the technology transfer achievements of the eleven 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) 

All of these agencies have established programs for transferring the technology and intellectual 

property arising from their laboratory R&D endeavors. 

Technology Transfer Principles and Approach 

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

of Federally-developed technologies is a high priority for Federal laboratories and their 

technology transfer offices. Collaboration between Federal laboratories and non-federal 
2

organizations allows greater access to research outcomes and plays an important role in the 

efficient and timely development of innovative technologies and new products. Efficient 

technology transfer activities ensure that taxpayer investments in cutting-edge and fundamental 

research and development significantly benefit the domestic economy through the transfer of 

rights to develop, refine, use and market new technologies for the benefit of the public. Since 

Federal research activities are often driven by a specific agency mission, many economically 

viable advancements might otherwise be overlooked, or otherwise go unused without dedicated 

efforts by Federal technology transfer offices to promote the dissemination and utilization of the 

results. Effective technology transfer promotes real economic growth through the development 

of new products, medical treatments, services, and other innovations that reach the market, and 

through the creation of the jobs resulting from the manufacture and marketing of these new 

goods. In addition to strengthening domestic and regional economies, successful partnerships 

with non-Federal entities provide additional benefits including: 

• Stimulating the flow of ideas between the government and other research sectors 

• Creating new businesses, especially small businesses 

• Attracting and retaining talented scientific personnel within the Federal laboratories 

• Providing support to the mission of each agency 

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

the marketplace 

• Supporting further research by generating licensing revenue 

• Rewarding innovative accomplishments of Federal inventors through royalty sharing 

• Creating a wide variety of new and efficient products in health care, defense, domestic 

security and many other sectors of the economy. 

Federal technology transfer offices typically rely on the following principal mechanisms to 

facilitate the transfer of Federally-developed technologies. 

Cooperative Research and Development 

Relationships for cooperative research and development between Federal laboratories and nonFederal collaborators are widely viewed as an effective and economical means of technology 

transfer and joint research. These efforts confer a mutually advantageous leveraging of Federal 

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

the partner and the Federal laboratory to gain new competences and develop new skills. 

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

Research and Development Agreement (CRADA). CRADAs are agreements between a Federal 

laboratory and one or more collaborators to work together on a R&D project with a defined 

scope of work. CRADAs allow Federal laboratories to participate in R&D partnerships for the 

purpose of developing and advancing promising new technologies toward commercialization. 

Many agencies have other specific authorities which also facilitate cooperative R&D. 
3

 Intellectual Property Management 

Invention Disclosure and Patenting 

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

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

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

general publications and patents obtained are often cited as metrics of the active management of 

intellectual assets and technical know-how by Federal agencies. 

Licensing 

Licensing is one of the primary mechanisms to create incentives for industry to further develop 

and commercialize leading edge technologies. Successful development and commercialization 

benefits the economy generally and contributes to competitiveness and economic growth. 

Without the ability to grant licenses to develop and commercialize government-owned 

technologies and inventions, many innovations would languish within laboratories and would not 

be further developed into products or services. The terms and conditions under which Federal 

intellectual property is licensed varies, based on many factors including the state of readiness for 

the market place, the financial resources needed to further develop the technology for consumer 

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

Other Commercialization Mechanisms 

Other than licensing, there are a wide variety of technology transfer methods used by Federal 

agencies. Different mechanisms are used when licensing may not be necessary to efficiently or 

effectively transfer the technology. Some of the mechanisms used by Federal laboratories are 

tailored to support the specific focus, needs and mission of a particular Federal laboratory and/or 

a particular technology. Some of these other technology transfer mechanisms include: 

• Presentations at conferences, workshops, and inquiries 

• Utilization of guest researchers and facilities users 

• Outreach to trade and technical media 

• Technical publications and other reports 

• Development of Standard Reference Materials 

• Development of Standard Reference Data 

• Development of documentary standards 

• Material transfer licenses 

• Calibration services

• Collaborative research agreements (e.g., Memoranda of Understanding (MOU), Clinical 

 Trial Agreements)
4

CHAPTER 2 

Performance in Fiscal Year 2009 

Strengthening Performance Metrics 

Each Federal research and development agency is required to prepare and submit an annual 

report of its technology transfer activities 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 to promote U.S. competitiveness. In addition, 

specific data is required to measure the level of basic technology transfer, including: 

• Number of patents filed 

• Number of patents granted 

• Number of licenses and details regarding the license 

• Earned royalty income and other royalty statistical information 

• Disposition of royalty income 

• Number of licenses terminated for cause 

• Discussion of other relevant parameters unique to the agency 

The tables and charts below present a brief cross-agency summary of the utilization of the above 

technology transfer tools. Although the standard metrics required by statute continue to 

demonstrate robust use of these tools, they only address part of the full picture. It remains far 

easier to assemble statistics on technology transfer activities than to quantify actual downstream 

benefits and the effectiveness of the transfers because of the many variables and factors involved 

in commercializing nascent technologies. For example, knowledge gained from initial research 

may not make an immediate impact on the public, but may open new avenues for discoveries 

that lead to future products, medical treatments, and services. Technology distribution and use 

has evolved new mechanisms and Federal laboratories have embraced these approaches along 

with the more standard business model. Accelerating innovation requires multiple strategies and 

new metrics to evaluate progress. For example, open innovation demonstrates the value and 

potential for intellectual property outside the patent/license model. Open source software from 

Federal research has been proven to have a significant impact on US business without a 

measurable income stream to the laboratory and is not evident in the statistics presented here. 

Likewise, fellowships, post-doctoral appointments, and other on-going mechanisms for 

improving our research by training new scientists also result in knowledge and expertise moving 

from laboratories to businesses as well as universities. 

To improve and develop better measures of the effectiveness of Federal technology transfer, the 

Federal Interagency Working Group on Technology Transfer (IWGTT) meets regularly and is 

attended by agency representatives and technology transfer experts from across the Federal 

government. The IWGTT serves as a broad forum to identify and discuss best practices, 

emerging concerns and trends through dialogue, interagency comparisons and sharing 

experience. Through the IWGTT, Federal agencies jointly discuss and review new and better 

means to improve both quantitative and qualitative measurements of technology transfer 

activities and means to improve dissemination of Federally-developed technologies. 
5

Several groups have been looking closely at metrics for technology transfer. In 2009, the 

Government Accountability Office (GAO) conducted a study of the effectiveness of technology 

transfer at DOE laboratories. In general, the GAO noted that technology transfer was not 

consistently defined and is difficult to measure. The IWGTT is examining the GAO’s findings 

and recommendations, as well as DOE’s response, for technology transfer performance 

measures. The Interagency Workgroup on Innovation and Entrepreneurship has been examining, 

among other topics, commercialization of technology from Federal laboratories. The 

Department of Commerce Office of Innovation and Entrepreneurship has also commissioned a 

study to examine commercialization of Federal research. The findings and recommendations 

from these on-going studies are being followed by the IWGTT and will be reviewed, and 

reflected as appropriate, in future versions of this report. 

Anecdotal evidence and success stories demonstrate the broad range of successful outcomes of 

technology transfer such as life-saving treatments, increased security or awareness about dangers 

and hazards, and new business start-ups. Chapter 3 of this report highlights a small sampling of 

the numerous positive impacts and outcomes of Federal technology transfer activities. 

The following tables summarize the technology transfer activities compiled from each agency’s 

report for a five-year period from fiscal year 2005 through fiscal year 2009. The total figures 

from the eleven agencies indicate that licenses, income bearing licenses, income from licenses, 

and earned royalty income generally trended upward over this period. However, invention 

disclosures, patent applications filed, and patents issued remained steady over the same period. 

The number of active CRADAs declined slightly in fiscal year 2008 but rebounded to new 

heights in 2009. Overall, these total figures and trends from the technology transfer activities of 

the Federal government represent a steady, mature program, as shown by the consistently high 

and relatively stable volume of CRADAs, licensing, patenting, and earned royalty income 

activities. 

In Table 1, “Traditional CRADAs” refer to collaborative research and development by a Federal 

laboratory and non-Federal partners. “Non-traditional CRADAs” are used with non-Federal 

collaborators for special purposes such as material transfers, specialized equipment calibrations 

or other technical assistance which may produce information which needs to be protected from 

disclosure. In table 3, “other IP licenses” include licenses for copyrighted software (not 

including open source software licenses, which are also copyrighted software), open channelweb and noncommercial software, biological materials, and other forms of intellectual property. 
6

Table 1: Collaborative Relationships for Research and Development . 

 FY 2005 FY 2006 FY 2007 FY 2008 FY 2009 

DHS ● CRADAs, total active in the FY - - - 23 23

 - New, executed in the FY - - - 8 6

 ▪ Traditional CRADAs, total active in the FY - - - 21 22

 ▪ Non-traditional CRADAs, total active in FY - - - 2 1

 ▪ Other collaborative R&D relationships - - - 3 5

 

DOC ● CRADAs, total active in the FY 1,906* 3,008+ 2,778 2,390 2,386

 - New, executed in the FY 1,764 2,158 1,865 1,583 1,501

 ▪ Traditional CRADAs, total active in the FY 80 149 154 131 77

 ▪ Non-traditional CRADAs, total active in FY 1,826 2,859 2,624 2,259 2,309

 ▪ Other collaborative R&D relationships 2,714 2,769 3,414*

 3,476 3,608

 

DOD ● CRADAs, total active in the FY 3,210 2,999 2,971 2,596 2,870

 - New, executed in the FY 679 705 641 745 659

 ▪ Traditional CRADAs, total active in the FY 2,736 2,424 2,383 1,993 2,247

 ▪ Non-traditional CRADAs, total active in FY 474 575 588 603 622

 ▪ Other collaborative R&D relationships 0 0 0 3 1

 

DOE ● CRADAs, total active in the FY 644 631 697 711 744

 - New, executed in the FY 164 168 182 178 176

 ▪ Traditional CRADAs, total active in the FY 644 631 697 711 744

 ▪ Non-traditional CRADAs, total active in FY n/r n/r n/r n/r n/r

 ▪ Other collaborative R&D relationships 0 0 0 0 0

 

DOI ● CRADAs, total active in the FY 70 82 170 170 248

 - New, executed in the FY 21 38 112 98 74

 ▪ Traditional CRADAs, total active in the FY 49 31 20 33 36

 ▪ Non-traditional CRADAs, total active in FY 21 51 150 137 212

 ▪ Other collaborative R&D relationships 0 0 0 0 0

 

DOT ● CRADAs, total active in the FY 57 59 36 23 22

 - New, executed in the FY 5 6 7 6 7

 ▪ Traditional CRADAs, total active in the FY 55 59 36 23 0

 ▪ Non-traditional CRADAs, total active in FY 2 0 0 0 0

 ▪ Other collaborative R&D relationships 0 0 0 0 2

 

EPA ● CRADAs, total active in the FY 107 94 84 112 155

 - New, executed in the FY 33 16 18 49 83

 ▪ Traditional CRADAs, total active in the FY 95 83 67 74 51

 ▪ Non-traditional CRADAs, total active in FY 12 11 17 38 104

 ▪ Other collaborative R&D relationships 0 0 0 0 0

 
7

Table 1: Collaborative Relationships for Research and Development (continued) 

 FY 2005 FY 2006 FY 2007 FY 2008 FY 2009 

HHS ● CRADAs, total active in the FY 215 164 284 453 457

 - New, executed in the FY 101 66 68 83 105

 ▪ Traditional CRADAs, total active in the FY 117 92 206 295 284

 ▪ Non-traditional CRADAs, total active in FY 98 72 79 158 173

 ▪ Other collaborative R&D relationships 0 0 0 0 0

 

NASA ● CRADAs, total active in the FY 1 1 1 1 1

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

 ▪ Traditional CRADAs, total active in the FY 1 1 1 1 1

 ▪ Non-traditional CRADAs, total active in FY 0 0 0 0 0

 ▪ Other collaborative R&D relationships** 4,038* 3,509* 2,887* 2,750* 2,743

 

USDA ● CRADAs, total active in the FY 199 195 230 252 233

 - New, executed in the FY 55 57 69 76 72

 ▪ Traditional CRADAs, total active in the FY 171 163 184 202 191

 ▪ Non-traditional CRADAs, total active in FY 28 22 23 28 42

 ▪ Other collaborative R&D relationships 5,028 3,477 4,084 5,466 9,960

 

VA ● CRADAs, total active in the FY 14 37* 82* 221* 606

 - New, executed in the FY 3 26* 52* 155* 423

 ▪ Traditional CRADAs, total active in the FY 14 33 74* 207* 566

 ▪ Non-traditional CRADAs, total active in FY 0 2 4 10 36

 ▪ Other collaborative R&D relationships 0 0 0 0 0

 

TOTALS ● CRADAs, total active in the FY 5,947 7,268 7,326 6,923 7,733

 - New, executed in the FY 2,826 3,238 3,009 2,961 3,106

 ▪ Traditional CRADAs, total active in the FY 3,962 3,666 3,819 3,664 4,219

 ▪ Non-traditional CRADAs, total active in FY 2,461 3,592 3,485 3,235 3,499

 ▪ Other collaborative R&D relationships 11,767 9,738 10,164 11,411 16,319

 

-DHS began compiling and reporting data in 2008. 

n/r = Data not reported. 

* updated to reflect corrected data. 

** Limited use of CRADA authority; NASA often employs Space Act Agreements instead. +

 The sharp increase in CRADAs beginning in FY 2006 is primarily due to a change in how DOC counts nontraditional CRADAs associated with calibrations. This number reduces after FY 2006 due to DOC discontinuation 

of telecommunication services analysis CRADAs. 

 
8

0

2,000

4,000

6,000

8,000

10,000

FY05 FY06 FY07 FY08 FY09

Total Active CRADAs

Trend

2,600

2,700

2,800

2,900

3,000

3,100

3,200

3,300

FY05 FY06 FY07 FY08 FY09

Total New, Executed CRADAs

Trend
9

Table 2: Invention Disclosure and Patenting 

 FY 2005 FY 2006 FY 2007 FY 2008 FY 2009 

DHS ● New inventions disclosed in the FY - - - 10 32

 ● Patent applications filed in the FY - - - 0 2

 ● Patents issued in the FY - - - 1 2

 

DOC ● New inventions disclosed in the FY 21 14 32 40 40

 ● Patent applications filed in the FY 12 5 8 21 19

 ● Patents issued in the FY 10 7 3 2 7

 

DOD ● New inventions disclosed in the FY 534 1,056 838 1,018 831

 ● Patent applications filed in the FY 354 691 597 590 690

 ● Patents issued in the FY 191 472 425 462 404

 

DOE ● New inventions disclosed in the FY 1,776 1,694 1,575 1,460 1,439

 ● Patent applications filed in the FY 812 726 693 904 919

 ● Patents issued in the FY 467 438 441 370 520

 

DOI ● New inventions disclosed in the FY 4 5 7 7 4

 ● Patent applications filed in the FY 3 2 5 7 8

 ● Patents issued in the FY 9 5 6 1 4

 

DOT ● New inventions disclosed in the FY 4 3 2 3 3

 ● Patent applications filed in the FY 5 3 2 0 1

 ● Patents issued in the FY 2 0 3 2 1

 

EPA ● New inventions disclosed in the FY 12 12 16 9 8

 ● Patent applications filed in the FY 13 13 15 6 3

 ● Patents issued in the FY 9 10 10 4 9

 

HHS ● New inventions disclosed in the FY 452 442 447 437 389

 ● Patent applications filed in the FY 230 166 261 164 156

 ● Patents issued in the FY 154 164 379 278 397

 

NASA ● New inventions disclosed in the FY 1,682* 1,713* 1,487*+

 1,297* 1,373

 ● Patent applications filed in the FY 209* 219* 193* 166* 128

 ● Patents issued in the FY 139* 146* 108* 135* 114

 

USDA ● New inventions disclosed in the FY 125 105 126 133 153

 ● Patent applications filed in the FY 88 83 114 123 117

 ● Patents issued in the FY 27 39 37 30 21

 
10

Table 2: Invention Disclosure and Patenting (continued) 

 FY 2005 FY 2006 FY 2007 FY 2008 FY 2009 

VA ● New inventions disclosed in the FY 165 157 175 164 150

 ● Patent applications filed in the FY 26 27 25 13 37

 ● Patents issued in the FY 10 5 8 10 15

 

TOTALS ● New inventions disclosed in the FY 4,771 5,193 4,486 4,365 4,422

 ● Patent applications filed in the FY 1,745 1,912 1,825 1,938 2,080

 ● Patents issued in the FY 1,012 1,284 1,405 1,272 1,494

 

- DHS began compiling and reporting data in 2008. 

* updated to reflect corrected data 

+

 The reduction in invention disclosures at NASA beginning in FY 2007 were associated with a greater emphasis on 

the engineering challenges associated with a new “Vision for Space Exploration” and budget reductions in the 

fundamental science fields. 
11

3,800

4,000

4,200

4,400

4,600

4,800

5,000

5,200

5,400

FY05 FY06 FY07 FY08 FY09

New Inventions Disclosed

Trend

1,500

1,600

1,700

1,800

1,900

2,000

2,100

2,200

FY05 FY06 FY07 FY08 FY09

Patent Applications Filed

Trend

0

200

400

600

800

1,000

1,200

1,400

1,600

FY05 FY06 FY07 FY08 FY09

Patents Issued

Trend
12

Table 3: Profile of Active Licenses

 FY 2005 FY 2006 FY 2007 FY 2008 FY 2009 

DHS ● All licenses, number total active in the FY - - - 18 63

 ▫ New, executed in the FY - - - 0 45

 ▪ Invention licenses, total active in the FY - - - 0 0

 ▫ New, executed in the FY - - - 0 0

 ▪ Other IP licenses, total active in the FY - - - 18 63

 

DOC ● All licenses, number total active in the FY 133 111 222 29 40

 ▫ New, executed in the FY 108 83 187 2 12

 ▪ Invention licenses, total active in the FY 133 111 222 29 40

 ▫ New, executed in the FY 108 83 187 2 11

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

 

DOD ● All licenses, number total active in the FY 412 444 495 365 432

 ▫ New, executed in the FY 60 56 67 52 57

 ▪ Invention licenses, total active in the FY 406 438 460 351 386

 ▫ New, executed in the FY 60 56 67 52 57

 ▪ Other IP licenses, total active in the FY 6 6 35 14 46

 

DOE ● All licenses, number total active in the FY 5,677 5,916 5,842 6,196 5,752

 ▫ New, executed in the FY 750 652 606 685 455

 ▪ Invention licenses, total active in the FY 1,535 1,420 1,354 1,418 1,452

 ▫ New, executed in the FY 198 203 164 177 139

 ▪ Other IP licenses, total active in the FY 4,142 4,496 4,488 4,748 4,300

 

DOI ● All licenses, number total active in the FY 20 21 15 19 21

 ▫ New, executed in the FY 5 1 1 1 4

 ▪ Invention licenses, total active in the FY 19 20 15 18 18

 ▫ New, executed in the FY 5 1 0 1 3

 ▪ Other IP licenses, total active in the FY 1 1 0 1 1

 
13

Table 3: Profile of Active Licenses (continued) 

 FY 2005 FY 2006 FY 2007 FY 2008 FY 2009 

DOT ● All licenses, number total active in the FY 5 5 5 5 2

 ▫ New, executed in the FY 4 0 0 0 0

 ▪ Invention licenses, total active in the FY 5 5 1 5 3

 ▫ New, executed in the FY 4 4 0 0 0

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

 

EPA ● All licenses, number total active in the FY 39 35 38 37 40

 ▫ New, executed in the FY 4 2 5 2 3

 ▪ Invention licenses, total active in the FY 39 35 38 37 40

 ▫ New, executed in the FY 4 2 5 2 3

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

 

HHS ● All licenses, number total active in the FY 1,532 1,535 1,418 1,675 1,584

 ▫ New, executed in the FY 349 290 293 277 221

 ▪ Invention licenses, total active in the FY 1,237 1,213 915 1,376 1,304

 ▫ New, executed in the FY 291 253 234 233 198

 ▪ Other IP licenses, total active in the FY 295 322 460 352 327

 

NASA ● All licenses, number total active in the FY 1,340* 1,680* 2,035* 2,337* 2,497

 ▫ New, executed in the FY 506* 375 413* 347* 418

 ▪ Invention licenses, total active in the FY 443* 482* 474* 486* 504

 ▫ New, executed in the FY 130* 73 43* 50* 67

 ▪ Other IP licenses1, total active in the FY 897 1,198 1,561* 1,851* 1993

 

USDA ● All licenses, number total active in the FY 320 332 339 328 316

 ▫ New, executed in the FY 33 25 25 28 25

 ▪ Invention licenses, total active in the FY 320 332 339 328 316

 ▫ New, executed in the FY 33 25 25 28 21

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

 

VA ● All licenses, number total active in the FY 101 112 130 153 163

 ▫ New, executed in the FY 6 11 18 23 10

 ▪ Invention licenses, total active in the FY 101 112 130 153 163

 ▫ New, executed in the FY 6 11 18 23 10

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

 
14

Table 3: Profile of Active Licenses (continued) 

 FY 2005 FY 2006 FY 2007 FY 2008 FY 2009 

TOTALS ● All licenses, number total active in the FY 9,577 10,186 10,352 11,098 10,913

 ▫ New, executed in the FY 1,824 1,495 1,463 1,377 1,250

 ▪ Invention licenses, total active in the FY 4,236 4,163 3,935 4,172 4,226

 ▫ New, executed in the FY 838 711 728 544 509

 ▪ Other IP licenses, total active in the FY 5,341 6,023 6,405 6,972 6,730

 

- DHS began compiling and reporting data in 2008. 

1 NASA “Other IP licenses” refer to copyrights, most of which arise out of JPL. 

* updated to reflect corrected data. 

8,500

9,000

9,500

10,000

10,500

11,000

11,500

FY05 FY06 FY07 FY08 FY09

All Licenses

Trend

0

500

1,000

1,500

2,000

FY05 FY06 FY07 FY08 FY09

Total New, Invention Licenses

Trend
15

Table 4: Characteristics of Income Bearing Licenses

 FY 2005 FY 2006 FY 2007 FY 2008 FY 2009 

DHS ● All income bearing licenses, number - - - 0 0

 ▫ Exclusive - - - 0 0

 

DOC ● All income bearing licenses, number 25 30 35 25 27

 ▫ Exclusive 12 17 16 14 15

 

DOD ● All income bearing licenses, number 110 112 194 210 227

 ▫ Exclusive 59 64 84 70 78

 

DOE ● All income bearing licenses, number 2,549 2,822 3,291 4,397 3,339

 ▫ Exclusive 248 353 352 372 411

 

DOI ● All income bearing licenses, number 18 18 14 16 18

 ▫ Exclusive 9 9 4 5 4

 

DOT ● All income bearing licenses, number 5 4 4 4 3

 ▫ Exclusive 2 3 2 1 3

 

EPA ● All income bearing licenses, number 39 35 38 37 40

 ▫ Exclusive 5 6 6 7 8

 

HHS ● All income bearing licenses, number 816 849 901 1,057 899

 ▫ Exclusive 127 134 144 149 111

 

NASA ● All income bearing licenses, number 238* 251* 253* 265* 263

 ▫ Exclusive 105* 110* 113* 119* 119

 

USDA ● All income bearing licenses, number 318 330 337 313 314

 ▫ Exclusive 220 233 241 223 222

 

VA ● All income bearing licenses, number 82 93 115 138* 144

 ▫ Exclusive 14 24 44 61 64

 

TOTALS ● All income bearing licenses, number 4,197 4,537 5,165 6,444 5,274

 ▫ Exclusive 799 949 999 1,014 1,035

- DHS began compiling and reporting data in 2008. 

* updated to reflect corrected data. 
16

Table 5: Income from Licensing (Dollars reported in thousands) 

 FY 2005 FY 2006 FY 2007 FY 2008 FY 2008 

DHS ● Total income, all licenses active in FY - - - $0 $0

 ▪ Invention licenses - - - $0 $0

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

 ● Total Earned Royalty Income, (ERI) - - - $0 $0

 

DOC ● Total income, all licenses active in FY $147 $194 $225 $293 $336

 ▪ Invention licenses $147 $194 $225 $293 $336

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

 ● Total Earned Royalty Income, (ERI) $139 $170 $217 $293 $336

 

DOD ● Total income, all licenses active in FY $10,650 $10,963 $14,246 $16,057 $16,439

 ▪ Invention licenses $10,637 $10,961 $14,240 $16,048 $16,165

 ▪ Other IP licenses, total active in the FY $13 $2 $6 $9 $274

 ● Total Earned Royalty Income, (ERI) n/a n/a n/a n/a n/a

 

DOE ● Total income, all licenses active in FY $27,382 $35,572 $39,165 $49,318 $43,496

 ▪ Invention licenses $24,226 $32,211 $34,933 $43,108 $40,238

 ▪ Other IP licenses, total active in the FY $3,156 $3,362 $4,233 $6,210 $3,258

 ● Total Earned Royalty Income, (ERI) $12,443 $18,332 $18,759 $31,718 $28,901

 

DOI ● Total income, all licenses active in FY $71 $47 $57 $79 $89

 ▪ Invention licenses $71 $47 $57 $79 $89

 ▪ Other IP licenses, total active in the FY n/a n/a n/a n/a n/a

 ● Total Earned Royalty Income, (ERI) $68 $46 $57 $79 $89

 

DOT ● Total income, all licenses active in FY $37 $22 $34 $18 $44

 ▪ Invention licenses $22 $22 $34 $18 $44

 ▪ Other IP licenses, total active in the FY $15 $0 $0 $0 0

 ● Total Earned Royalty Income, (ERI) $22 $22 $34 $9 $34

 

EPA ● Total income, all licenses active in FY $666 $632 $544 $1,038 $849

 ▪ Invention licenses $666 $632 $544 $1,038 $849

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

 ● Total Earned Royalty Income, (ERI) $34 $29 $107 $571 $255

 

HHS ● Total income, all licenses active in FY $98,542 $83,097 $88,799 $97,609 $85,059

 ▪ Invention licenses $96,485 $82,187 $67,108 $94,712 $83,041

 ▪ Other IP licenses, total active in the FY $2,057 $909 $19,128 $2,897 $998

 ● Total Earned Royalty Income, (ERI) $76,695 $63,250 $70,743 $80,805 $77,251
17

Table 5: Income from Licensing (Dollars reported in thousands) (continued) 

 FY 2005 FY 2006 FY 2007 FY 2008 FY 2009 

NASA ● Total income, all licenses active in FY $3,930* $4,862 $3,689* $4,223* $2,388

 ▪ Invention licenses $3,930* $4,726 $3,689* $4,183* $2,374

 ▪ Other IP licenses, total active in the FY n/a $136 n/a $40* $14

 ● Total Earned Royalty Income, (ERI) $1,331* $2,178* $1,520* $1,711* $719

 

USDA ● Total income, all licenses active in FY $3,315 $3,162 $3,588 $3,953 $5,376

 ▪ Invention licenses $3,315 $3,162 $3,588 $3,953 $5,318

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

 ● Total Earned Royalty Income, (ERI) $2,089 $2,337 $2,682 $3,010 $4,422

 

VA ● Total income, all licenses active in FY $117 $138 $358 $141 $202

 ▪ Invention licenses $117 $138 $358 $141 $202

 ▪ Other IP licenses, total active in the FY n/a n/a n/a n/a n/a

 ● Total Earned Royalty Income, (ERI) n/a n/a n/a n/a n/a

 

TOTAL ● Total income, all licenses active in FY $144,862 $138,689 $149,928 $170,901 $154,278

 ▪ Invention licenses $139,621 $134,280 $123,999 $161,785 $148,656

 ▪ Other IP licenses, total active in the FY $5,241 $4,409 $23,367 $9,116 $4,544

 ● Total Earned Royalty Income, (ERI) $92,823 $86,348 $93,951 $117,644 $112,007

- DHS began compiling and reporting data in 2008. 

n/a = Data not available from agency. 

* updated to reflect corrected data. 

0

50,000

100,000

150,000

200,000

FY05 FY06 FY07 FY08 FY09

Total Income from Licensing

Trend
18

CHAPTER 3 

Outcomes and Impact of Technology Transfer Activities 

Reports of the successful commercialization of Federally-developed technologies cut across 

industrial sectors and demonstrate the broad reach of technology transfer into the lives of 

American citizens. The cases provided below are examples of the downstream outcomes arising 

from technology transfer activities. 

Department of Agriculture (USDA) 

The Agriculture Research Service (ARS) conducts research to develop and transfer solutions to 

agricultural problems of high national priority to: 

• ensure a high-quality, safe, abundant food supply; 

• assess the nutritional needs of Americans; 

• sustain a competitive agricultural economy; 

• enhance U.S. natural resources and the environment; and to 

• provide economic opportunities for rural citizens, communities, and society as a whole 

ARS promotes adoption of agricultural research results in a manner that supports local/regional 

economic development. Traditionally, innovation and small business development have been 

critical to the nation’s global competitiveness and in achieving sustainable local/regional 

economic development. To help meet these challenges and enhance partnering with small 

businesses, ARS initiated an Agricultural Technology Innovation Partnership (ATIP) program to 

facilitate adoption of ARS research outcomes by private sector companies for commercial 

production of goods and services. 

More information about USDA technology transfer: ARS: http://www.ars.usda.gov/partnering

and the Forest Service: http://www.fs.fed.us

• CrispTek – An Early Success of the ATIP

In April 2008, CrispTek, LCC of Columbia, MD acquired the exclusive license right to the ARS 

patent (US 6,224,921) in an effort to commercialize ARS’s low oil-uptake batter technology. 

Researchers at the Mid South Area’s Food Processing and Sensory Quality Unit in New Orleans, 

LA, developed the technology. Support for this startup company was provided, in part, by the 

Maryland Technology Development Corporation (TEDCO), using their Maryland Technology 

Transfer Fund. TEDCO was the inaugural Partner of the ATIP program. ATIP was envisioned 

to assist business and research partners of ARS by providing complementary business assets 

(business development teams, financial resources, manufacturing consultants, etc.). Because of 

TEDCO’s involvement, CrispTek rolled out its first product, ChoiceBatter in June 2009, and it is 

currently available through their website, www.ChoiceBatter.com, and at over 300 retail stores 

across the U.S. Fried foods coated with the product are low in fat, gluten-free and Kosherpareve. The development meets the need of healthier foods and thus will have an impact on the 

health and well being of US consumers. A follow-up CRADA between ARS and CrispTek is 

underway to study the effects of solvents on the textural and sensory properties of the batters. In 
19

late 2009, CrispTek entered into agreement with two major food distributors. This research is 

part of Quality and Utilization of Agricultural Products, an ARS national program (#306). 

• World-wide Soybean Crop Modeling 

ARS scientists at the Beltsville Area’s Crops Systems and Global Change Laboratory in 

Beltsville, MD, developed a soybean crop model GLYCIM to pinpoint the best agronomic 

practices for maximizing soybean production within the US. They are now improving GLYCIM 

performance under a range of conditions around the world. ARS researchers have now partnered 

with Drs. S. B. Lokhandle and V.M. Salokhe (Asian Institute of Technology in Pathumthani, 

Thailand) to develop 504 cultivation and yield scenarios for two key soybean production areas in 

northern Thailand. GLYCIM results also indicated that it is critical for farmers to use optimal 

planting dates to achieve high yields at these sites. Yield losses in delayed planting simulations 

averaged around 30 percent. These results further support GLYCIM’s use as a comprehensive 

mechanistic model for predicting soybean growth, development and yield across a range of 

agricultural systems. This research is part of Crop Production, an ARS national program (#305). 

• Rift Valley Fever Outbreak Early-Warning Team 

Rift Valley fever (RVF) is a viral disease of domestic animals and humans that occurs 

throughout sub-Saharan Africa. RVF has global implications because of its expanding range. 

RVF causes severe infections in domestic animals, resulting in mortality as high as 80 percent, 

and produces very serious human disease and death. ARS researchers at the South Atlantic 

Area’s Center for Medical, Agricultural, and Veterinary Entomology in Gainesville, FL, 

discovered that disease outbreaks are episodic, and are closely linked to global and regional 

climate variability. This discovery is based on a study of an RVF outbreak that occurred in 

1997-1998 in the Horn of Africa. This outbreak involved five countries with a loss of 

approximately 100,000 domestic animals, approximately 90,000 human infections. The World 

Organization for Animal Health estimated economic losses from trade restrictions of more than 

$100 million. To directly address the threat of globalization of RVF, ARS scientists and 

personnel from multiple U.S. and international agencies, developed a highly innovative and 

effective method to forecast RVF outbreaks. This method is based on measurements of global 

climate conditions that determine the local and regional ecological conditions that cause the 

emergence of the virus in Africa. This novel and important technology has been effectively 

transferred to international, regional, and local agriculture and public health agencies in endemic 

countries and in countries at potential risk of this serious and deadly disease. This research is 

part of Veterinary, Medical, and Urban Entomology, an ARS national program (#104). 
20

Department of Commerce (DOC) 

At the Department Commerce, R&D in numerous areas of science and technology is conducted 

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

Atmospheric Administration (NOAA), and the Institute for Telecommunication Sciences (ITS) 

within the National Telecommunications and Information Administration (NTIA). More 

information about DOC technology transfer is available on the following websites: 

NIST: http://patapsco.nist.gov/ts/220/external/index.htm ; NOAA: http://www.noaa.gov/

ITS: http://www.its.bldrdoc.gov/programs/tech_transfer/

National Institute of Standards and Technology 

NIST’s mission is to promote U.S. innovation and industrial competitiveness by advancing 

measurement science, standards, and technology in ways that enhance economic security and 

improve quality of life. NIST laboratories develop and disseminate measurement techniques, 

reference data, test methods, standards, and other technologies that support U.S. industry, 

scientific research, and the activities of many federal agencies. In carrying out its mission, NIST 

works directly with industry partners, academia, associations, and other government agencies. 

• NIST Teams with Carl Zeiss Inc. on Nanomanufacturing 

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

manufacturing industries. Via a CRADA, NIST and Carl Zeiss researchers tested Orion, the first 

commercial helium ion microscope, at NIST’s Advanced Measurement Laboratory (AML). 

“What we are learning goes directly back to the manufacturers to improve their products, which 

allows NIST and industry to obtain the most precise measurements possible,” explains Michael 

Postek, Chief of the Precision Engineering Division. “We are transferring NIST technology and 

sharing our research with the semiconductor industry trade organization, SEMATECH.” Carl 

Zeiss recently unveiled its new Orion Plus, incorporating many of NIST’s design suggestions 

including a better helium cooling system. 

• Femtomolar Optical Tweezers

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

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

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

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

The licensed technology was patented (patent #5,620,857), as a result of research conducted 

under the NIST BioSensor Consortium. 

National Oceanic and Atmospheric Administration 

The mission of the National Oceanic and Atmospheric Administration (NOAA) is to understand 

and predict changes in the Earth’s environment and conserve and manage coastal and marine 

resources to meet the Nation’s economic, social, and environmental needs. This mission will 
21

become ever more critical in the 21st century as national needs intensify concerning global 

warming, freshwater supply, ecosystem management, and homeland security. 

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

The HYSPLIT model is a powerful and useful analytical tool that helps explain how, where, and 

when chemicals and materials are atmospherically transported, dispersed, and deposited. 

HYSPLIT was developed and is continuously updated by NOAA’s Air Resources Laboratory 

and is used by NOAA’s National Weather Service through the National Centers for 

Environmental Prediction and at local Weather Forecast Offices. The number of registered users 

has increased dramatically to include government, commercial, and university personnel, both in 

the United States and from many foreign nations. These users implement the model for 

emergency response operations, such as tracking and forecasting the release of radioactive 

material, volcanic ash, and wildfire smoke, as part of research efforts addressing sources of 

pollutants, and by glider pilots and balloonists for recreational purposes. At the local/regional 

level, field forecasters regularly respond to requests for dispersion forecasts from state and local 

emergency managers. At the national level, the model is often applied to needs from the aviation 

industry and air quality regulators. Internationally, NOAA responds through its participation 

with the World Meteorological Organization and the International Atomic Energy Agency by 

providing dispersion model forecasts in the event of a large scale nuclear incident. Also 

internationally, NOAA maintains one of the nine Volcanic Ash Advisory Centers around the 

world supporting the International Civil Aviation Organization; the NOAA VAAC response is 

based upon HYSPLIT model simulations. 

National Telecommunications & Information Administration/Institute for Telecommunication 

Sciences 

ITS supports telecommunications objectives such as promotion of advanced telecommunications 

and information infrastructure development in the United States, enhancement of domestic 

competitiveness, improvement of foreign trade opportunities for U.S. telecommunications firms, 

and facilitation of more efficient and effective use of the radio spectrum. 

• Table Mountain Research 

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

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

year, private companies and other organizations conduct research there under CRADAs. The 

University of Colorado’s Research and Engineering Center for Unmanned Vehicles has for 3 

years conducted measurements of the performance of ad hoc wireless networks with both 

ground-based and airborne terminals at Table Mountain. In FY 2009, several companies 

performed antenna, lidar/GPS, and other testing at the Table Mountain turntable facility under a 

CRADA. Lockheed Martin Coherent Technologies is in its 10th year of performing field-testing 

and characterization of components, subsystems, and systems for eye-safe coherent laser radar, 

which has benefited NTIA and the Department of Defense. 
22

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 technology and industrial base, 

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: 

http://www.acq.osd.mil/ott/techtransit

http://www.arl.army.mil/main/Main/default.cfm?Action=6

http://www.onr.navy.mil/en/Science-Technology/Directorates/Transition/Technology-TransferT2.aspx http://www.wpafb.af.mil/library/factsheets/factsheet.asp?id=6026

http://www.mda.mil/business/tech_apps.html

http://www.jfcom.mil/about/industry.htm

The following examples describe some of DoD’s successful approaches to technology transfer: 

• Decontamination Technology 

The Army Edgewood Chemical and Biological Center, through a CRADA with Strategic 

Technology Enterprise, Inc., was able to deliver a breakthrough decontamination technology of 

modified vaporized hydrogen peroxide effective against CB agents. They worked with the 

company to develop prototype delivery systems that were successfully field tested in 

decontaminating actual aircraft, sensitive equipment, and building interiors. The DoD Chemical 

and Biological Defense Program is funding the transition to a new DoD acquisition program 

established to field this capability. 
23

• DoD Labs Working Outside the Fence

Many DoD labs recognize technology transfer is not just the ability to use different mechanisms 

to share technology with others but it also provides the labs with opportunities to build long term 

relationships with state and local governments, universities, and businesses in their geographic 

area. In fostering these relationships, the labs have worked with these other entities as they 

create collaborative work environments that include technology parks, business incubators, and 

research, development, test and evaluation (RDT&E) facilities. 

The Naval Air Warfare Training Systems Division actively participates in a not-for-profit 

National Center for Simulation that includes all the military services, NASA Kennedy Space 

Flight Center, the University of Central Florida, and over 300 modeling and simulation 

companies. In addition, the Naval Center shares spaces and engages in a number of project 

collaborations in two “Partnership Buildings” adjacent to but outside of the Navy’s installation. 

In these partnership buildings, the Navy is working side-by-side with the National Institute of 

Justice and their Federal Law Enforcement Training Center, the Marine Corps Program 

Managers for Training Systems, and the University of Central Florida. Through these 

collaborative relationships with other Government Activities, academia, and leading edge 

companies, the military, and the law enforcement community can realize significant benefits in 

the fast moving dynamics of software development. 

The Air Force Research Laboratory Sensors Directorate initiated a collaborative relationship 

several years ago that brings together state and local economic development interests in Dayton, 

Ohio. Three Ohio universities (Ohio State University, Wright State University, and the 

University of Dayton), and a number of small and large businesses are partnering in what can 

best be described as a hands-on-business incubator. This activity is the Institute for 

Development and Commercialization of Advanced Sensors Technology (IDCAST). IDCAST 

provides a collaborative environment to foster research, development, and commercialization of 

remote sensing and chemical, biological, radioactive, nuclear, and explosive sensor technologies. 

With the facilities and equipment at IDCAST, collaborative teams from industry (over 30 

companies), academia (now six Ohio universities), and several Federal Labs, specific projects 

are undertaken to develop and mature promising technologies that have both military and 

commercial applications. Prototyping, test and evaluation, product engineering, and scale-up to 

manufacturing, all benefit from this collaborative work space. Technologies are being adapted 

for wide area airborne sensor technology for video monitoring of large areas, use of sensors for 

improved water quality monitoring, a commercial product that would enable highly accurate 

breast cancer surgery, and a different adaptation of the cancer cell detection technology that 

enables real-time quality control of microcircuit manufacturing. 

• DoD Labs focus on Energy:

Energy supply and consumption has a critical impact on DoD’s ability to execute its mission. As 

a consequence, DoD (as well as several other agencies, academia, and the private sector) focus 

significant resources on seeking better energy solutions. In several instances, technology transfer 
24

is playing a critical role advancing DoD’s capability to deal with some of these complex energy 

related issues. 

The Navy Surface Warfare Center, Carderock, has executed several CRADAs with companies to 

assess and develop technologies that can exploit the power generation capabilities of ocean 

currents. In one case, the Navy is working jointly with CRADA partners to identify commercial 

technologies and assess technical issues related to materials selection, platform hydrodynamics, 

machinery noise, propulsion efficiency, cables for electric power transmission, mooring large 

ocean systems, system control, installation, survivability, and life cycle analysis. The effort is 

focused on an area identified as the Florida Current. It is projected that harnessing four percent 

of just one cross section of the current, could potentially extract one to two thousand megawatts 

of power. Under a second CRADA, Carderock is working with a company that has developed 

two scaled prototype models of open center turbines to capture the flow energy available in 

ocean currents and tides. The collaboration includes analysis using Carderock computational 

fluid dynamics capabilities and expertise, model development and testing, full scale engineering 

design analysis, and engineering support during first article development and installation 

The Army Corps of Engineers Engineering Research and Development Center (ERDC) 

Construction engineering Research Laboratory (CERL) entered into a CRADA with Vehicle 

Projects, Inc. and Burlington Northern Santa Fe Railway to conduct developmental and 

operational test and evaluation of the Nation’s first hydrogen fuel cell locomotive. To assist this 

effort, the Defense Logistics Agency cost shared with Burlington Northern in building a full 

scale prototype of this new engine. The locomotive uses a fuel cell that combines hydrogen and 

oxygen to produce electricity with water and heat as by products. The generated electricity 

either powers the engine or is stored in batteries. It was built in Topeka, Kansas, and is 

undergoing testing at the Transportation Technology Center , Inc. at Pueblo, Colorado. It will 

proceed from there to operational testing at two rail yards in Los Angeles. Once the prototype 

proves successful, it will be moved to a military installation to test and evaluate its capability to 

serve as a backup power generation source. 

The Air Force Research Laboratory Propulsion Directorate has been working in both near term 

and long term work with others in Government, industry, and academia to develop and evaluate 

alternative fuels for use in military and civilian aircraft. Through the use of Material Transfer 

Agreements (MTAs), the Air Force has evaluated fuels provided by both large and small 

companies beginning in FY2007, and based on the results of these efforts, some first generation 

alternative fuels have been commercialized and certified for use by military aircraft. 

Collaboration has included Military Services, several Federal Agencies (NASA, NIST, EPA, 

FAA), and the Departments of Energy and Agriculture. 
25

Department of Energy (DOE) 

The Department of Energy’s seventeen 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 top notch 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. These facilities include 

particle and nuclear physics accelerators, synchrotron light sources, neutron scattering facilities, 

genome sequencing facilities, supercomputers, and high-speed computer networks. In the 2009 

fiscal year, these facilities were used by more than 21,000 researchers from universities, national 

laboratories, private industry, and other federal science agencies. 

In an effort to enhance technology transfer activities and facilitating access to its facilities, the 

Department recently appointed its first full-time Technology Transfer Coordinator who is 

working with the Laboratories to streamline and increase efforts to partner with industry. The 

Coordinator is also teaming with others to identify and implement new and innovative ways to 

accelerate the time-to-market for innovations arising at the laboratories. 

The Department launched a new single-entry web presence for all the DOE laboratories 

conducting technology transfer: http://technologytransfer.energy.gov. This website goes beyond 

simply providing information on technology transfer arrangements at DOE. It provides 

searching capabilities across multiple databases to help identify laboratories and investigators 

who have capabilities in a searcher’s desired subject matter, including contact information to 

ease and increase the potential for partnering and licensing laboratory technologies. Combined 

with direct access to laboratory and laboratory technology transfer websites, information on 

partnering with DOE laboratories, and additional access to related web resources to enhance 

collaborative opportunities and success of licensed technologies, the searching capabilities 

provide a vast and easy-to-use resource for individuals, small and large businesses, and any 

potential collaborator or licensee. 

• American Corn Continues to Feed U.S. Industries

Researchers at the Department of Energy’s Pacific Northwest National Laboratory, in 

partnership with trade groups, private industry, and universities, have been able to expand their 

initial technology development of a robust catalytic process that converts plant sugars from corn 
26

fiber into a portfolio of catalysts and methods that make it more feasible economically for 

chemical producers to “go green.” 

Many everyday items from food to liquid detergents and cosmetics contain the petroleum-based 

additive known as propylene glycol (PG). The additive, however, can also be made from plant 

byproducts. Funded by DOE's Office of Energy Efficiency and Renewable Energy, PNNL 

researchers developed a chemical catalyst that converts a plant-based compound into the 

additive, and Archer Daniels Midland (ADM), an agricultural processing company, has 

developed additional processes to clean out impurities. The highly efficient process generates the 

additive from plant byproducts inexpensive enough to compete with propylene glycol derived 

from oil. The company has now completed construction of the first full-scale plant to make 

propylene glycol from renewable sources. The Decatur, Illinois plant is designed to produce up 

to 25 percent of the propylene glycol needed in the United States every year. 

• Software improves U.S. manufacturing -- and National Laboratory capabilities

Many manufacturers run their equipment 24 hours a day, 7 days a week. Equipment failure in 

any phase of the operation can produce a ripple effect that translates into significant losses in 

time and productivity for the manufacturer, which results in more costly products for consumers. 

With its diverse manufacturing lines, Proctor & Gamble (P&G) was motivated to find a system 

that would help them maximize the uptime of their various operations. 

The Department of Energy’s Accelerated Strategic Computing Initiative (ASCI) was developed 

to ensure the safety, reliability and performance of the U.S. nuclear stockpile without testing a 

single weapon, by modeling a nuclear weapon from start to finish. The ASCI program pushed 

the boundaries of simulation through advances in both high performance computers and the 

codes to run on them. The DOE’s Los Alamos National Laboratory and P&G collaborated under 

a Cooperative Research and Development Agreement for mutually-beneficial results. The Los 

Alamos scientists obtained real world data to validate and verify statistical models while P&G 

received state-of-the-art simulations of their manufacturing lines on which to base maintenance 

decisions. Using this new capability, P&G reported that it was able to increase plant 

productivity by 44 percent, cut controllable costs by more than 30 percent, improve equipment 

reliability between 30 and 40 percent and reduce line changeover time from hours to minutes. It 

has been reported to have saved P&G more than a billion dollars in manufacturing costs. 

• Ultra-thin film solar technology poised to heat things up

Solexant is creating cost-effective solar cells that are comparatively simpler to manufacturer and 

use less material and energy than conventional solar cells. Working with scientists from the 

DOE’s Lawrence Berkeley National Laboratory, the San Jose-based company is improving on 

this thin-film technology first developed at the National Lab. Solexant has been operating a pilot 

plant in California, and is nearing completion of a full-scale plant in Oregon capable of 

manufacturing 100 MW of solar cells per year. 

While thin film technologies have the potential to bring the cost of solar power down, they are 

typically made of polymers that are less efficient than conventional silicon solar cells and 
27

vulnerable to the environment. This challenge led Solexant to invest in nanocrystal materials 

developed at the National Laboratory, leading both to an increase in their solar efficiency and the 

creation of durable ultrathin-film solar cells. The flexibility of these films allows them to be 

produced using a low-cost, high-throughput roll-to-roll production technique, much like 

newspaper printing. Solexant’s development efforts have reduced the cost of manufacturing the 

solar cells to about half that for conventional photovoltaics, putting solar energy closer to parity 

with fossil fuels on a dollar-per-watt basis. 
28

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. 

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, in fact, 

distort the importance of ensuring that novel biomedical inventions are commercialized. 

NIH has created a Product Showcase (http://www.ott.nih.gov/productshowcase/default.aspx) that 

displays products from its intramural research program utilized every day to detect, treat or 

prevent disease or assist researchers as they continue to explore ways to develop newer and more 

effective health care products and procedures. The Showcase includes products that are now or 

have been on the market. Some are FDA-approved and many do not necessitate FDA approval. 

For more information about the HHS technology transfer program please visit: 

CDC: http://www.cdc.gov/od/science/techTran; NIH: http://www.ott.nih.gov/ and 

FDA: http://www.fda.gov/ScienceResearch/CollaborativeOpportunities/default.htm

• Prostate Cancer Immunotherapy 

While the research and development required to bring a cancer treatment to market is long 

and expensive, the benefit for patients is incalculable. Dr. Jeffrey Schlom, Chief of the 

Laboratory of Tumor Immunology and Biology at the NIH National Cancer Institute, led the 

scientific team that developed PROSTVAC, a prostate cancer immunotherapy that triggers the 

patient’s own immune system to attack prostate cancer cells. An exclusive patent license was 

granted to Bavarian Nordic to further develop the technology. The company recently released 

encouraging clinical data at the American Society for Clinical Oncology Annual Meeting. 

Phase 2 clinical trials demonstrated an improved survival of 8.5 months, on average. In 

contrast, the only approved treatment currently available for advanced prostate cancer is a 

form of chemotherapy, which extends survival by an average of only 2.4 months. 

 

• Rapid quantitative assay to detect all known Interferon-Alpha subtypes and allotypic 

variants 

Different forms of IFN mRNA transcripts and proteins are induced at different levels in 

response to a variety of physiological and pharmacological stimuli. The detection of the 
29

individual forms has utility not only in the research laboratory, but also potentially to monitor 

vaccine efficacy, autoimmune disease, chronic infections, or tumor therapy. Because the 12 

human IFN-α genes share a high degree of sequence homology, their individual transcripts are 

extremely difficult to quantify using conventional methods. By overcoming this technological 

hurdle, this highly sensitive and specific quantitative real-time PCR assay provides a tool for 

better determining which IFN-α mRNAs responds to a particular treatment and to what extent, 

both in cell culture and in vivo, allowing to differentiate between several IFN-α transcripts in 

one single assay. A kit of primer/probe sets complementary to the coding sequence avoids 

spurious detection of degraded mRNA and enhances the correlation between the IFN-α

subtype that is measured by the assay of the invention and the protein that is actually 

expressed. 

• Technology for the Detection of HIV 

The 2008 Report on the global AIDS epidemic found that since 1981, HIV caused an 

estimated 25 million deaths worldwide. Despite the success of antiretroviral drugs to slow the 

rate of AIDS deaths, HIV still remains a challenging public health problem. As of 2007, 

about 33 million people in the world were living with AIDS. There is a strong need for 

improved diagnostics to provide more rapid and sensitive identification of the virus. New 

HIV infections occur faster than people can be treated. Recognizing the most recent 

infections at the individual level would allow for prevention programs to target those areas 

more effectively, and in turn, slow the HIV infection rate dramatically. 

Dr. Bharat Parekh of the CDC has lead a team to develop unique tests that not only detect 

HIV-1, but also identify how recently a person has been infected with HIV-1; this allows for 

identification of HIV infection hot spots. Specifically, he developed novel peptides that can 

detect all HIV-1 strains for incidence estimation. Initially, the product used the BED peptide, 

a synthetic protein. However, synthetic production was difficult and prevented widespread 

use of the test. As a result, CDC scientists created a unique multi-subtype recombinant 

protein developed from HIV-1 that could identify all strains of HIV-1. Unlike the synthetic 

peptide, the new protein can be expressed and purified from E. coli, which greatly simplifies 

the production process while enabling production of substantially larger quantities of protein. 

Dr. Parekh used invention reports to disclose his inventions to the CDC Technology Transfer 

Office. This resulted in licenses to companies in the United States, Ireland, India, and China. 

Dr. Parekh provided these companies with information and biological materials to replicate 

the tests. His laboratory members trained key scientists from the companies in a hands-on 

approach to ensure a successful transfer of technology. CDC staff worked closely with 

company personnel to ensure consistency of the test kits developed for all the testing assays. 

Dr. Parekh’s efforts led to ground breaking assessments of new infection rates in the United 

States and South Africa. His tests have been used in many countries including: Brazil, India, 

China, Thailand, Botswana, and more. Currently, he is transferring new technologies to the 

companies for newer improved test kits. The result of this technology transfer will lead to 

better detection and surveillance of HIV, thereby indicating where prevention programs 

should be implemented.
30

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: 

- Standardizing and approving DHS Cooperative Research and Development Agreements 

(CRADAs), licensing, and other technology transfer agreements; 

- Preparing application assessments for selected research and development projects in 

which the DHS Laboratory is involved and may have commercial application; 

- Providing and disseminating information on Federally owned or originated technologies 

which have potential application to State and local governments and private industry; 

- Preparing and providing an annual report to Congress and the President through 

submission to the National Institute of Standards and Technologies (NIST); 

- Developing training programs on technology transfer and intellectual property for DHS 

employees; and 

- Establishing an intellectual property program for DHS to track and prosecute patents and 

other intellectual property, and to develop a royalty and rewards policy. 

The DHS has laboratories with varying capabilities throughout the United States. With the 

exception of the Coast Guard Research and Development Center, the DHS laboratories listed are 

within the Science and Technology Directorate. Data included in this report was provided by: 

- Chemical Security Analysis Center (CSAC) 

- Coast Guard Research and Development Center 

- Environmental Measurements Laboratory (EML) 

- National Biological Analysis and Countermeasures Center (NBACC) 

- Plum Island Animal Disease Center (PIADC) 

- Transportation Security Laboratory (TSL) 

- Federal Law Enforcement Training Center (FLETC). 

For more information on DHS laboratories and their capabilities, visit the website at 

http://www.dhs.gov/xres/labs/

• Avatar Based Interview Simulator 

In 2008, the FLETC Behavioral Science Division was pursuing an avenue to increase 

opportunities for students to practice different types of interviews without increasing 

curriculum time, or instructor resources. Students currently receive classroom instruction 

followed by practical exercises with role players. The U.S. Army’s multi-million dollar 

investment in virtual human simulations that train soldiers in cultural awareness and tactical 

questioning techniques has been a great success. This same technology is now working for 

FLETC. The FLETC is leveraging the technology to develop an interview simulator 

capability specific to DHS law enforcement interview training requirements. The first 

prototype simulator was delivered to FLETC’s Glynco location in February 2009. 
31

The ability to demonstrate verbal and non-verbal cues and indicators with a simulator will no 

doubt increase the capacity of our officers to detect deceptive behavior, elicit truthful 

statements through rapport building techniques, and help diffuse dangerous situations. 

Students will be able to practice on the simulator and be better prepared for live scenarios. 

This will allow instructors to use the live scenario time to focus on training students for the 

more difficult type interviews they may encounter. 

• Advanced Use of Force Training System (AUFTS) 

The research laboratory at the Naval Air Warfare Center Training Systems Division 

(NAWCTSD) used the latest in virtual avatars, speech recognition and weapon firing 

simulations to prototype the next generation of a virtual use-of-force training system. Current 

commercially available use-of-force training systems do not allow full interaction or give 

trainees the ability to verbally interact with the suspect. 

 

This AUFTS allows the trainee to fully interact with the suspect. The suspect avatar responds 

to verbal commands with voice and engagement depending on the level of compliance, in a 

similar manner as a live use-of- force lab. In addition to improved interaction capabilities, the 

instructors have the ability to alter the level of compliance of the on-screen characters and can 

also alter features such as time of day, weather, and ethnicity of characters. This capability 

ensures that scenarios and outcomes are not the same regardless of how many times a student 

practices. 

In addition, the portable AUFTS can be used in exported training programs due to the short 

set-up time that is required. Currently, the FLETC’s Artesia, NM, training facility is 

exploring the opportunity to test the system in export programs. If expanded to other 

programs, this application may be able to enhance FLETC’s mission to support state, local 

and tribal law enforcement training, and particularly, the mission of the Rural Policing 

Institute. In January 2010, FLETC and NAWCTSD received the Southeast Region, Federal 

Laboratory Consortium’s Partnership award for their cooperative efforts with the AUFTS. 

Exit Lane Breach Control System 

South Jersey Transportation Authority (SJTA) and the Atlantic City International Airport 

(ACY) located in Atlantic City, New Jersey, have acquired the local TSA Federal Security 

Director approval of the Eagle I and Eagle II Exit Lane Breach Control System for unmanned 

protection of the secure areas beyond an exit lane. As the Transportation Security Officer 

(TSO) force has developed greater expertise and considering the increase of passenger travel, 

the demand for screener readiness at the checkpoints has increased dramatically. The 

Transportation Security Laboratory/SJTA CRADA is in operation as ACY investigates 

utilizing technologies to provide reductions in cost and resource allocations. 

Airport Exit Lanes provide for one way travel of arriving passengers to leave a secured area 

of an airport or terminal. Exit Lanes have been the source of security breaches of the secured 

areas beyond the security checkpoints by the intrusion of human and threat objects that could, 
32

and do, present a security threat potential. While detection of a security breach is essential, 

risk mitigation of the intrusion is also an objective of security authorities. If a breach of the 

Exit Lane occurs, appropriate responses could include the following: the airport or terminal 

will be closed, passengers and employees will be evacuated, arriving flights will be prevented 

from deplaning passengers and security forces will be deployed to conduct sweeps of the 

affected area. Only upon completion of the sweeps can the evacuated personnel be rescreened by TSA and allowed to re-enter the airport, or terminal. The delay caused by a 

breach can cost hundreds of thousands to hundreds of millions of dollars, depending on the 

size of the airport. 

Monitoring of Exit Lanes by posting security personnel at the public side of the exit lane has 

two main purposes; (1) to protect against intrusion and/or introduction of humans and objects 

(threat and non-threat), and (2) to illustrate active security measures to the public, but also as 

a deterrence to those that might attempt illegal entry. Utilizing the TSL/SJTA CRADA, the 

underlying objective of both the TSL and the SJTA ACY was to work with the TSA at ACY 

to deploy a system or technology that can be unmanned during normal operations while 

maintaining a high degree of security beyond the security checkpoint. As configured, the 

system achieved this level of operational compliance, in a single portal configuration and as 

an aggregate system configuration and approach. 

• Thumbprint Quality Control Kit (TQC) 

The Transportation Security Laboratory developed the TQC for use as a training aid for 

screeners, Transportation Security Officers (TSOs). The TQC kit allows for training TSOs to 

test for trace amounts of explosives. Trace amounts of explosives are blended into a non-toxic 

modeling clay matrix. The training instructor then places his/her thumb into the clay and 

makes a thumbprint impression on a test article. The exact location on the test article is 

unknown to the screener. The screener then collects a trace sample from the test article and 

analyzes the sample in an ETD (Explosive Trace Detection) analyzer. If the screener follows 

standard operating procedures for correct sample collection, then the ETD is expected to 

alarm. If no alarm is produced, then the screener is given further training on correct sampling 

techniques. To aid in demonstrating the location of the thumbprint impression in failed 

sampling attempts, a fluorescent dye is incorporated in the clay that can be visualized only 

under a “black” light. It is invisible in ordinary room light. 

TSL has successfully transitioned this product to the Operational and Technical Training 

Branch of the Transportation Security Administration (TSA). The TQC kit is now included as 

part of the screener training kit that also includes mock IEDs and other bulk training 

materials. The TQC is a tremendous asset for both the TSO workforce and the TSA 

managers/supervisors, with benefits such as enhanced security and higher efficiency rate. 
33

Department of the Interior (DOI) 

The United States Geological Survey 

The United States Geological Survey (USGS) is a bureau of DOI. The mission of the USGS is to 

serve the nation by providing reliable scientific information to describe and understand the Earth, 

minimize loss of life and property from natural disasters, manage water, biological, energy, and 

mineral resources, and enhance and protect our quality of life. 

Since delivery of science information is a primary purpose of the agency, technology transfer 

activities with the public sector and the private sector, including academia and non-profits, 

typically support the collection and transference of scientific data (knowledge dissemination). 

The USGS cooperates with its public and private collaborators to help them maintain necessary 

services, better understand the environmental consequences of their commercial and noncommercial activities, and to develop new products and services. 

For more information please visit: http://www.usgs.gov/tech-transfer/index.html

• CRADA to Improve Earthquake Hazard Assessments 

The Pacific Gas and Electric Company (PG&E), a publicly regulated utility providing service 

within California, is engaged in a long-term, multi-element, action-based seismic risk 

management program to reduce the impact of future earthquakes on the performance of their gas 

and electric systems, and to maintain acceptable levels of customer service. To further this 

program, PG&E and the USGS have been involved in a series of CRADAs since 1992. 

In 2009, the USGS and PG&E extended their CRADA for five years. In this period, PG&E seeks 

(1) the development and rapid application of data, methods, and technologies that improve 

earthquake hazard assessments in the regions where its electric power and natural gas facilities, 

service centers, and office buildings are located and where its customers live and work; and (2) 

the improvement of emergency response to earthquake occurrence by incorporating real-time 

earthquake hazard information. 

The USGS Earthquake Program, under the auspices of the National Earthquakes Hazards 

Reduction Program, includes a broad range of applied earthquake hazards research, data 

compilation and archiving, and distribution of earthquake information products and services. 

The PG&E CRADA complements the USGS Earthquake Program, and is carried out using the 

capabilities of five USGS Science Centers (Earthquake, Geology and Geophysics, Pacific 

Coastal and Marine, California Water, and Geologic Hazards). 

• Invention to Protect Plants from Harsh Conditions

The USGS co-owns a patent with Montana State University (MSU) entitled “Use of Endophytic 

Fungi to Treat Plants” that teaches methods of protecting plants from harsh environmental 

conditions such as drought and extreme heat (U.S. Patent No. 7,232,565 B2, issued June 19, 

2007). This is accomplished by inoculating a target plant with endophytic fungi isolated from 
34

Curvularia species grass found in geothermal zones of the Lassen Volcanic and Yellowstone 

National Parks. The extracted fungi, a microorganism, may be inoculated into plants, plant parts, 

seedlings, or seeds. These microorganisms are too small to see, even with electron microscopes, 

but are believed to occupy the intercellular spaces of plant tissues. Within host plants, they seem 

to produce bioactive substances and, possibly in concert with the plant’s genome, help such 

plants adapt to harsh external conditions. Inoculated plants demonstrate asymptomatic stress 

tolerance and enhanced plant growth. 

Additional benefits conferred by such treatments to plants are protection from metals and metal 

ions (that can harm or kill plants) and from abnormal pH (both acidic and alkaline). The 

potential for the invention is significant for both crop plants and other plants, particularly in light 

of the possibility of harm to plant life caused by climate change. In addition to other agricultural 

uses, these microorganisms may ultimately be shown to be beneficial in medical and industrial 

applications. The invention is currently exclusively licensed by MSU to a U.S. company that is 

seeking patent protection in Europe, Brazil, and China, in addition to the U.S. 

Bureau of Reclamation

The Bureau of Reclamation (Reclamation) is responsible for water and hydropower deliveries 

throughout the 17 Western states. Reclamation’s stated mission is to “manage, develop, and 

protect water and related resources in an environmentally and economically sound manner in the 

interest of the American public.” In support of this mission, Reclamation operates 348 reservoirs 

and 58 hydroelectric plants, making it the nation’s largest wholesale water supplier and the 

second producer of hydroelectric power in the West. Reclamation conducts and sponsors 

research in the following four mission-related focus areas: 

• Water & Power Infrastructure Reliability & Safety 

• Water Delivery Reliability 

• Reservoir & River Operations Decision Support 

• Water Supply Technologies 

Reclamation research solutions should demonstrate mission relevancy by improving 

Reclamation water management practices, increasing water supply, and/or ensuring costeffective power generation operations that benefit Reclamation’s project managers and 

stakeholders, western water community, other federal agencies, non-federal sector and the 

general public. 

 

The broad scope of some of Reclamation research solutions can be viewed from the link: 

http://www.usbr.gov/research/science-and-tech/research/results/index.html

• Catch Cups – Landscape irrigation tool and guide used to conserve urban water

Reclamation’s Upper Colorado Regional (UCR) Office in Salt Lake City, Utah has developed 

inexpensive, easy-to-use, self-supporting catch cups (U.S. patent no. 6,779,399), an associated 

simple, one-page pamphlet and instructional video for homeowners, a full length manual for 

landscape professionals, and individual county watering schedules for each county in Utah. The 
35

catch cups and related information are intended to help homeowners irrigate their lawns correctly 

and reduce over watering. Reclamation has a non-exclusive license agreement with Utah State 

University and has currently sold over 7,000 catch cups to irrigation professionals throughout the 

U.S. and has improved irrigation efficiency results in lower water bills, improved landscape 

health, reduced water pollution and reduced fertilizer use. The catch cups measure the amount of 

water collected across an irrigated area. Water measurements are used to evaluate sprinkler 

performance so that sprinkler systems may be adjusted to apply the optimal amount of water. 

• Flexible Magnetic Flux Probe – A new inexpensive, light, and thin probe improves 

generator rotor diagnostics accuracy and reduces maintenance costs

Reclamation’s Hydropower Technical Services Group has developed and patented (#6466009) 

an inexpensive, small, flat, flexible magnetic flux probe that can detect deteriorating insulation in 

large scale spinning electrical generators. Reclamation has a non-exclusive license agreement 

with Iris Power LP and currently over 40 probes have been sold in the U.S. that have improved 

generator reliability and reduced maintenance costs. The probe consists of a thin, flexible pickup 

coil on the back side with an electrostatic shield on the front side. The pickup coil, which is used 

to measure the magnetic flux, is composed of printed circuit board traces etched onto a flexible 

substrate. The flexible substrate is very light and thin allowing easy installation into the air-gap. 

If the probe would happen to come loose during generator operation, the flexible substrate would 

not damage the generator. This probe provides for consistent and uniform electrical and 

magnetic characteristics thus eliminating the need for calibration. 
36

Department of Transportation (DOT) 

The U.S. Department of Transportation (DOT) is the federal steward of the nation’s 

transportation system. DOT is made up of many transportation agencies and programs, all of 

which seek to apply innovation from the research and development (R&D) programs to fulfill the 

key goals of the Department: safety, livable communities, state of good repair, economic 

competitiveness, and environmental sustainability. Technology transfer is carried out in the 

following DOT laboratories: the Federal Aviation Administration’s (FAA) William J. Hughes 

Technical Center, the Federal Highway Administration’s (FHWA) Turner-Fairbank Highway 

Research Center, and the Research and Innovative Technology Administration’s (RITA) Volpe 

National Transportation Systems Center. In 2004 the Research and Innovative Technology 

Administration was charged with the coordination of technology transfer efforts across the 

Department. 

For more information about the DOT technology transfer please visit:

FAA http://faa.gov/about/office_org/headquarters_offices/ato/tc/initiatives/ttp

FHWA http://www.fhwa.dot.gov/everydaycounts/ 

RITA http://www.volpe.dot.gov/ourwork/techtrns.html

• SafeTrip-21 Transportation Safety Technologies Take Manhattan

The Volpe National Transportation Systems Center has launched a bold new intelligent 

transportation systems (ITS) initiative dubbed SafeTrip-21 (Safe and Efficient Travel Through 

Innovation and Partnerships for the 21st Century). SafeTrip-21 builds on DOT’s IntellidriveSM 

research and leverages technologies currently in wide use, such as cellular phones, GPS, Wifi, 

Bluetooth, and the Internet, to accelerate the advance of safety and mobility applications. The 

Volpe Center will assess applications to improve automobile travel and public transit 

convenience, as well as commercial vehicle safety and productivity. In June 2008, the Volpe 

Center entered into a cooperative agreement with the California Department of Transportation 

(Caltrans), establishing the inaugural SafeTrip-21 field test site in the San Francisco Bay area. In 

this 12-month field test beginning December 2008, travelers received transportation information 

and transmitted their own transportation data, creating a real-time, dynamic, wireless data mesh 

of information. SafeTrip-21 technologies were unveiled at the 15th ITS World Congress in New 

York City in November 2008. An MTA bus and two rental vehicles were equipped to 

demonstrate applications for both drivers and transit riders. Also, key driver and pedestrian 

applications were showcased at a special “integrated show,” which included technologies 

developed worldwide. Three new SafeTrip-21 partners were announced at the World Congress: 

• iCone deploys active road cones to increase roadway safety using radar to measure traffic speed 

• Parking Carma fields a mobile web enabled parking application that allows travelers to find, 

reserve, and pay for a parking space at a participating “smart” parking lot 

• I-95 Corridor Coalition uses vehicle probe data to make it much easier for I-95 travelers to get 

information about traffic backups, construction information, and other delays. 
37

• Building the Bridge of the Future 

Rather than demanding expensive new equipment or materials, these revolutionary new bridges 

can be built using readily available materials and common construction equipment, without the 

need for highly skilled workers. What's new is that the bridges use geosynthetic reinforced soil 

(GRS) technology for abutments. Instead of a conventional bridge abutment, GRS technology 

employs the low-tech approach of alternating layers of compacted local soil and sheets of 

geotextile fabric reinforcement to provide support for the bridge. The technology produces 

bridges that are extremely durable, while simultaneously saving money. Compared to standard 

bridge construction, transportation agencies can cut their costs by 25 to 50 percent. 

Researchers at the U.S. Forest Service and the Colorado Department of Transportation (CDOT) 

pioneered the early development of the technology. FHWA then worked with CDOT to further 

refine it. FHWA has built and tested several full-scale GRS structures at its Turner-Fairbank 

Highway Research Center in McLean, Virginia. FHWA provided guidance and abutment design 

plans to Defiance County, Ohio, to build the Bowman Road Bridge using GRS technology. This 

was the county's first time using the technology to build bridge abutments. Defiance County 

realized a cost savings of nearly 25 percent and built the bridge in 6 weeks, shaving 2 weeks off 

the construction time for a conventional bridge. Since that initial project, 13 more bridges have 

been built in Defiance County using GRS, with similar successful results. Other Ohio counties 

and several States also are interested in using the technology. In summer 2008, Warren County, 

Ohio, built both a temporary bridge and a permanent bridge on GRS abutments. Morgan County, 

Ohio, meanwhile, has used GRS to replace a failed bridge abutment. 

As more State and local agencies learn about the potential savings in time and money that GRS 

offers, FHWA's next step is to develop design and construction guidelines on using GRS 

technology for highways, with a primary focus on bridge abutment applications. 

• Diverging Diamond Interchanges Expected to Improve Safety 

FHWA researchers have evaluated alternative intersection designs that offer to improve 

intersection safety while meeting the challenges of increasing capacity, decreasing congestion, 

and minimizing the cost of new infrastructure. Among these alternative designs is the diverging 

diamond interchange (DDI). Using the DDI, arterial traffic approaching the interchange crosses 

over to the left side of the arterial roadway. Vehicles can then turn left onto limited-access ramps 

entering a highway without having to stop and without conflicting with through traffic. 

Eliminating crossing conflicts between vehicles turning left onto the highway and opposing 

arterial traffic offers potential safety benefits. 

The design also offers operational and cost benefits. The Missouri Department of Transportation 

estimates that a proposed DDI in Kansas City would cost half as much as retrofitting a 

conventional diamond interchange. Traffic modeling also suggests that upon completion the 

proposed DDI would be operating at only 60 percent of its traffic capacity, while the 

conventional diamond interchange option would be operating at 95 percent of capacity. FHWA 

researchers are monitoring plans to construct DDIs in Kansas City and other locations so that 

their actual safety and operational performance can be documented.
38

Department of Veterans Affairs (VA) 

The mission of VA’s Technology Transfer Program (TTP) is to serve veterans and the 

American public by commercializing worthy discoveries made by VA employees in 

furtherance of VA’s research mission. This requires a program that educates inventors 

concerning their rights and obligations, rigorously evaluates all inventions, obtains 

patents, and assists in the commercialization of new products. It also requires consistent 

policies that govern the necessary relationships between investigator (i.e., inventor), 

academic partners, local VA medical centers, VHA-affiliated non-profit corporations, 

industry and the Department of Commerce. 

More information is available on the VA's Technology Transfer Program website: 

http://www.research.va.gov/programs/tech_transfer/default.cfm

• Screening Tools for Discovery of Novel Anabolic Agents 

Current drugs for treating muscle atrophy possess limited efficacy or safety due to the fact that 

their mechanism of action is not specific. There is a need in the medical community for more 

specific treatments for muscle atrophy, as well as a need in the pharmaceutical industry for 

improved screening assays for identifying compounds with more specific anabolic properties. 

 

One of VA’s licenses this year was an invention that permits screening for new drugs that could 

be employed for increasing the size, strength and function of muscle in debilitated or elderly 

patients. The technology is non-exclusively licensed to Wyeth Pharmaceutical. The company 

has interest in using the cell line of the invention as a drug development tool for anabolic agents. 

This invention has the potential for being important in preventing or reversing muscle loss and 

providing tools for rapid screening of candidate drugs that promote muscle growth and will 

possibly benefit not only veterans but the general public. 

• Compositions and Methods for Treating Diabetes, Obesity and Alzheimer’s Disease 

A large market opportunity exists for novel therapeutic treatment options for type 2 diabetes, 

obesity and Alzheimer’s disease. This year, the VA has licensed a suite of technologies that 

employ the use of Cyclo-Z for: the prevention and/or treatment of type 2 diabetes; body weight 

reduction in diabetes-associated obesity and for Alzheimer’s disease. 

The inventions are exclusively licensed with the Preventative Nutrient Company. The company 

is a research based drug development company focusing on products for diabetes, obesity and 

Alzheimer’s treatment and management 

These inventions can help the development of new therapeutic treatment regimes for these 

diseases and ultimately improve the care and quality of life for veterans and others by helping to 

prevent and/or treat these diseases.
39

Environmental Protection Agency (EPA) 

EPA’s Federal Technology Transfer Act Program was established to promote collaboration 

between private and federal research. EPA offers exceptional opportunities to develop and 

commercialize new technologies. EPA facilitates the transfer of new technologies to the 

marketplace while protecting intellectual property rights of all parties. 

Partners in the FTTA Program will 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 the environmental technologies into the marketplace more quickly, 

resulting in better protection of human health and the environment. 

Highlights of several outcomes of the Agency’s technology transfer activities are provided 

below. For more information please visit: http://www.epa.gov/osp/ftta.htm

• Hybrid Vehicle Technology as part of the EPA National Clean Diesel Campaign’s Clean 

Ports USA Program 

In April 2009, EPA and its industry partners offered a preview of a leading edge, pollutionsaving truck for transferring cargo containers at the Society of Automotive Engineers World 

congress in Detroit, Michigan. The special cargo mover, called a series hydraulic hybrid yard 

hostler, moved from the exhibition into field testing at port terminals in the United States. 

Hostlers are large, off-road vehicles used to transfer cargo containers at marine ports, rail yards, 

warehouses and distribution centers. The trucks spend about half of their time idling and 

contribute to air pollution generated in ports throughout the world. 

EPA and its partners have applied EPA’s patented series hydraulic hybrid vehicle (HHV) 

technology to the heavy-duty truck as part of the EPA National Clean Diesel Campaign’s Clean 

Ports USA program. EPA’s unique series HHV power train efficiently recovers, stores and 

reuses braking power while significantly reducing idling and optimizing engine operation to use 

less fuel and reduce air pollution. HHV technology has been demonstrated and field tested in a 

number of vehicles, including package delivery vehicles and reuse trucks. EPA believes this 

vehicle design can improve the efficiency of the yard hostler operation by 50-60 percent. 

Several EPA programs, including the National Clean Diesel Campaign and its Clean Ports USA, 

Clean Automotive Technology, Office of International Affairs, and EPA Region 2 (New York 

and New Jersey) collaborated on this project. Industry technical partners include APM 

Terminals, Parker-Hannifin, Kalmar Industries, FEV Inc., R. H. Sheppard Co Inc., and Webasto. 

Additional support was provided by the Port Authority of New York and the New Jersey 

Department of Environmental Protection. By developing cost-effective technologies, the Clean 

Automotive Technology Program also encourages manufacturers to produce cleaner and more 

fuel-efficient vehicles. Fleet owners benefit by being able to recoup the initial hybrid system 

costs through lower operating costs within a few years. More information about the program and 

EPA technologies can be found at http://www.epa.gov/otaq/technology. 
40

• EPA ToxCastTM Program 

EPA initially launched ToxCastTM in 2007 to develop a cost-effective approach for prioritizing 

the toxicity testing of large numbers of chemicals in a short period of time. Using data from 

state-of-the-art high throughput screening (HTS) bioassays developed in the pharmaceutical 

industry, ToxCastTM is building computational models to forecast the potential human toxicity of 

chemicals. 

With the launch of ToxCastTM, EPA announced collaborative opportunities for facilitating and 

expanding the development of ToxCastTM. The response to the announcement has been 

overwhelming. In Phase 1 of the ToxCastTM program alone, EPA executed over 20 agreements 

to expand the high-throughput bioassay data results available on more than 300 wellcharacterized chemicals (primarily pesticides) in over 400 HTS endpoints. These endpoints 

include biochemical assays of protein function, cell-based transcriptional reporter assays, multicell interaction assays, transcriptomics on primary cell cultures, and developmental assays in 

zebrafish embryos. 

Almost all of the compounds examined in Phase 1 of ToxCastTM have been tested in traditional 

toxicology tests, including developmental toxicity, multi-generational studies, and sub-chronic 

and chronic rodent bioassays. ToxRefDB, a relational database created to house this 

information, will contain nearly $1B worth of toxicity studies in animals when completed. These 

ToxCastTM signatures will be defined and evaluated by their ability to predict outcomes form 

existing mammalian toxicity testing, and identify toxicity pathways that are relevant to human 

health effects. 

The second phase of ToxCastTM will screen additional compounds representing broader chemical 

structure and use classes, in order to evaluate the predictive bioactivity signatures developed in 

Phase I. Following successful conclusion of Phases I and II, ToxCastTM will provide EPA 

regulatory programs an efficient tool for rapidly and efficiently screening compounds and 

prioritizing further toxicity testing. 
41

National Aeronautics and Space Administration (NASA) 

Since its creation in 1958, NASA has been charged with disseminating the results of its research 

broadly for public benefit. Beginning in FY 2011, the organization responsible for technology 

transfer within NASA, the Innovative Partnerships Program (IPP), is being merged into the 

newly created Office of Chief Technologist. With offices at HQ and all ten of NASA’s Centers, 

IPP seeks to develop technology to meet NASA’s needs through technology development 

partnerships with industry, academia, government agencies, and national laboratories; IPP also 

facilitates intellectual property protection and transfer out of NASA developed technology for 

commercial application and other public benefit. For these purposes, NASA Centers also 

facilitate collaborations with state and local government economic development agencies. Under 

the auspices of the Office of Chief Technologist, NASA will continue to seek dual use 

technology development partnerships and transfer out NASA technology for commercial 

application and other public benefit. In addition, under the Office of the Chief Technologist, 

NASA will continue to exercise its Prize Authority for the purpose of inviting and encouraging 

citizen inventors to create and demonstrate technologies targeted to some of NASA’s, and the 

Nation’s, greatest challenges. 

Each year, NASA documents some notable successes from its technology transfer efforts in 

NASA’s annual Spinoff Magazine publication. The magazine is available online at 

http://www.sti.nasa.gov/spinoff, and hard copies are available on request. To date, 1,712 spinoff 

successes have been documented in the publication, all of which searchable by keyword on the 

website. In addition, NASA has established a website called NASA@Home, NASA City, 

located at http://www.nasa.gov/city which helps to make the public aware of NASA’s 

contributions to the quality and safety of everyday life. NASA participates with several other 

federal agencies in highlighting technologies available for licensing for commercial and research 

applications; details on this and other initiatives are available on the Office of Chief Technologist 

web site: http://www.nasa.gov/offices/oct/home/index.html. More information about the NASA 

Innovative Partnerships Program can be found at: http://www.sti.nasa.gov/spinoff ; 

http://www.nasa.gov/city

 

• Image-Capture Devices Extend Medicine’s Reach 

On the International Space Station, diagnosing an injury can be problematic; bulky medical 

imaging devices like X-ray or MRI machines are too large and heavy for costly transportation 

into space. The ISS does, however, have a much smaller ultrasound machine. Johnson Space 

Center, Henry Ford Hospital in Detroit, and Houston-based Wyle Laboratories collaborated 

on NASA’s Advanced Diagnostic Ultrasound in Microgravity (ADUM) experiment, which 

developed revolutionary medical ultrasound diagnostic techniques for long-distance use. 

Mediphan, a Canadian company with U.S. operations in Springfield, NJ, drew on NASA 

expertise to create frame-grabber and data archiving technology that enables ultrasound users 

with minimal training to send diagnostic-quality ultrasound images and video to medical 

professionals via the Internet in near-real time—allowing patients as varied as professional 

athletes, Olympians, and mountain climbers to receive medical attention as soon as it is 

needed. More than 345 musculoskeletal ultrasound examinations have been performed on 

these patients so far, a number of these with remote guidance.
42

• Robots Save Soldiers’ Lives Overseas 

Marshall Space Flight Center mobile communications platform designs for future lunar 

missions led to improvements to fleets of tactical robots now being deployed by the U.S. 

Army. The Multi-function Agile Remote Control Robot (MARCbot) helps soldiers search out 

and identify improvised explosive devices. NASA used the MARCbot to test its mobile 

communications platform, and in working with it made the robot faster while adding 

capabilities—upgrading to a digital camera, encrypting the controllers and video transmission, 

as well as increasing the robot’s range and adding communications abilities. NASA engineers 

also simplified the design, providing more plug-and-play sensors and replacing some of the 

complex electronics with more trouble-free, low-cost components. Applied Geo Technologies 

Inc., a tribally-owned corporation in Choctaw, Mississippi, was given the task of 

manufacturing the modified robots. The company is now producing 40 units per month, 300 

of which have already been deployed overseas. 

• Air Purifiers Eliminate Pathogens, Preserve Food 

NASA-funded researchers produced an ethylene reduction device for a plant growth unit 

designed for cultivating crops in space. KES Science and Technology Inc., a Kennesaw, 

Georgia-based company specializing in sustaining perishable foods, licensed the ethylene 

scrubbing technology. KES partnered with Akida Holdings of Jacksonville, Florida, which 

now markets the NASA-developed technology as AiroCide. According to the company, it is 

the only air purifier that completely destroys airborne bacteria, mold, fungi, mycotoxins, 

viruses, volatile organic compounds (like ethylene), and odors. The devices have no filters 

that need changing and produce no harmful byproducts, such as the ozone created by some 

filtration systems. The technology is now featured in a line of refrigerators that preserve 

freshness and reduce food waste, and AiroCide units have been deployed to remote regions of 

the world where harsh environments and underdeveloped infrastructure complicate food 

storage and distribution. In the health care arena, the technology has been incorporated into 

doctors’ clinics, operating rooms, neonatal wards, and waiting areas. 

• Tensile Fabrics Enhance Architecture Around the World 

Using a remarkable fabric originally developed to protect Apollo astronauts as part of their 

spacesuits, Birdair Inc. of Amherst, New York, has crafted robust, safe, environmentally 

friendly, and architecturally stunning tensile membrane roofs for over 900 landmark 

structures around the world. The material is pound-for-pound stronger than steel, lightweight, 

energy-efficient thanks to its ability to let in natural light while reflecting heat, and costeffective due to its durability and low maintenance characteristics. Travelers in airports, sports 

fans at stadiums, and shoppers in malls have all experienced the benefits of the Teflon-coated 

fiberglass fabric that has enabled Birdair to grow from a small company established in its 

founder’s kitchen in 1956 to a multimillion-dollar specialty contractor today. Among the 

recent structures that feature Birdair’s NASA-derived roof technology are the new Dallas 

Cowboys’ stadium and three of the four primary stadiums for the 2010 World Cup in South 

Africa. 
43

CONCLUSION 

Technology transfer is an active and essential mission of Federal laboratories. By leveraging our 

nation’s innovative nature and investing in science and technology, we strengthen our economy 

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

partnering activities cultivated in the Federal sector. 

The statistical data provided in this report indicate that over the five-year span from 2005 

through 2009, collaborations at Federal labs using CRADAs show a flat to slightly upward trend 

for both new and active CRADAs. Although the number of new inventions reported 

demonstrates a declining trend, new patent applications and issued patents actually show an 

increase over the same time period. The number of “other” licenses shows an upward trend in 

contrast to standard invention licensing which shows a decline. The net impact on total licensing 

shows the income from licensing trend as relatively flat. 

These numbers, however, do not tell the whole story. Federal laboratories transfer many 

technologies through a variety of mechanisms not reflected by these numbers and charts. A 

number of studies and workgroups are underway to evaluate technology transfer and appropriate 

metrics to accurately describe and measure the role of Federal research in supporting our over-all 

economic well-being. 

The success stories in this report provide examples of how society benefits from technology 

transfer activities across the Federal laboratories. As technology advances and the needs of the 

economy change, Federal laboratories will continue to play a vital role in keeping America in the 

forefront of innovation. Federal research continues to support our economic and international 

competitiveness by successfully transferring and facilitating commercialization of Federally 

created technologies.