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Federal Laboratory Technology Transfer

Fiscal Year 2011

Summary Report to the President and the Congress

Prepared by:

National Institute of 

Standards and Technology

U.S. Department of Commerce

September 2013

Federal Laboratory Technology Transfer Report Fiscal Year 2011 i
Cover photo credit:

Title: Quantum Physics; Quantum Computing; Fourier Transform/Beryllium Ions 

This colorized image shows the fluorescence from three trapped beryllium ions illuminated with

an ultraviolet laser beam. Black and blue areas indicate lower intensity, and red and white higher

intensity.

NIST physicists used three beryllium ions to demonstrate a crucial step in a procedure that could

enable future quantum computers to break today’s most commonly used encryption codes. Methods for 

ion-trapping and for quantum control of ions led to David Wineland’s (NIST) 2012 Nobel Prize in Physics.

Courtesy National Institute of Standards and Technology

ii Fiscal Year 2011 Federal Laboratory Technology Transfer Report
FOREWORD

The Department of Commerce is pleased to submit this Fiscal Year 2011 Technology Transfer 

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

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

transferred from our laboratories to the American people.

Federal laboratories, through their basic and mission-oriented research and development 

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

technological innovation. Technology transfer facilitates the adoption of Federal research 

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

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

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

through technology transfer initiatives.

The Administration recognizes the importance of invention and technological innovation as 

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

transfer operations over the next five years. This challenge was issued formally by the 

President on October 28, 2011, in the Memorandum for the Heads of Executive Departments 

and Agencies, entitled “Accelerating Technology Transfer and Commercialization of Federal 

Research in Support of High-Growth Businesses.” This Presidential Memorandum reiterated 

the important role of innovation in accelerating the development of new industries, products, 

and services that lead to economic growth and job creation. In addition to directing agencies 

to accelerate technology transfer activities, it directed the Secretary of Commerce to improve 

and expand, where appropriate, the collection of metrics regarding the effectiveness of Federal 

technology transfer activities. The present report will help serve as a baseline to measure 

continued progress toward achieving this ambitious challenge, while achieving excellence in 

performing mission-focused research.

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

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

It highlights the achievements of Federal technology transfer 

and includes data on the use of specific transfer authorities.

We will use future editions of this report to continue to keep 

the President and the Congress informed of the on-going 

efforts of Federal laboratories to expand our technology 

transfer efforts in partnership with U.S. industry, academic 

institutions, non-profit foundations, and state, local and tribal 

governments. These efforts will continue to play a vital role 

in building the Nation’s economic strength.

Patrick D. Gallagher 

Under Secretary of Commerce for Standards and Technology 

Federal Laboratory Technology Transfer Report Fiscal Year 2011 iii
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iv Fiscal Year 2011 Federal Laboratory Technology Transfer Report
TABLE OF CONTENTS

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

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

Technology Transfer Principles and Approach.......................................................... 2

CHAPTER 2 .............................................................................................................. 5

Strengthening Performance Metrics .........................................................................5

CHAPTER 3 ............................................................................................................ 19

Department of Agriculture (USDA).........................................................................19

Department of Commerce (DOC) .........................................................................21

Department of Defense (DoD)...............................................................................24

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

Department of Health and Human Services (HHS)..................................................29

Department of Homeland Security (DHS) ...............................................................32

Department of the Interior (DOI) ...........................................................................35

Department of Transportation (DOT)......................................................................39

Environmental Protection Agency (EPA) ..................................................................43

National Aeronautics and Space Administration (NASA) .........................................46

Department of Veterans Affairs (VA).......................................................................49

CONCLUSION........................................................................................................ 50

LIST OF TABLES

Table 1: Collaborative Relationships for Research and Development...............................7

Table 2: Invention Disclosure and Patenting.................................................................10

Table 3: Profile of Active Licenses ................................................................................13

Table 4: Characteristics of Licensing Bearing Income ...................................................16

Table 5: Income from Licensing .................................................................................17

Federal Laboratory Technology Transfer Report Fiscal Year 2011 v
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vi Fiscal Year 2011 Federal Laboratory Technology Transfer Report
CHAPTER 1

Overview of Federal Technology Transfer

As part of their missions, many Federal laboratories conduct research and development 

activities in their laboratories. These activities often result in the creation of new intellectual 

property, new information and new technologies. To make effective use of their resources, 

Federal laboratories leverage their research activities by partnering with other federal agencies 

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

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

the laboratory to the market. The transfer of federally-developed information and technology 

to industry promotes economic growth and benefits society. 

Federal agencies have a variety of legal authorities which are used to evaluate, protect, license, 

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

or in part by Federal laboratories. By making these technologies available to private, academic 

and other government entities, Federal research and development (R&D) activities provide the 

United States a competitive edge in today’s global market and improve the quality of life for all 

Americans.

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

Federal agencies that have significant R&D programs. The data contained in this report were 

obtained directly from each of the Federal agencies. The Department of Commerce’s National 

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

version of this report is available at: http://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) 

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

commercialization of intellectual property developed in their R&D laboratories. 

Federal Laboratory Technology Transfer Report Fiscal Year 2011 1

1
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. Collaborations 

between Federal laboratories and non-federal organizations provide leverage which promotes 

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

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

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

of innovative technologies and new products. Efficient technology transfer activities of Federal 

agencies ensure that taxpayer investments in research and development significantly benefit 

the domestic economy. Transferring research results, know-how and rights to develop, refine, 

use and market new technologies developed by Federal R&D laboratories reaps many benefits 

for the economy and for the health, safety and welfare of the public. Since Federal research 

activities are often driven by agency-specific missions, technologies that are developed for a 

particular agency’s use might otherwise be overlooked or go unused outside the agency without 

the dedicated efforts of Federal technology transfer offices, which promote the dissemination 

and utilization of these technologies. Effective technology transfer promotes real economic 

growth through the development of new products, processes, medical treatments, services 

and other benefits that serve a market need. The economic growth spurred by the transfer of 

Federal R&D results to industry creates a stronger job market, resulting from the manufacture 

and marketing of new products and services. In addition to strengthening domestic and 

regional economies, successful partnerships with non-federal entities provide other 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 employee 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 from the Federal government to the 

private sector: 

Cooperative Research and Development 

Cooperative research and development relationships between Federal laboratories and nonfederal collaborators are widely viewed as an effective and economical means of transferring 

technology and promoting joint research. These cooperative relationships create a mutually 

advantageous leveraging of Federal agency and collaborator resources and technical 

capabilities, as well as provide avenues for both the collaborator and the Federal laboratory 

to gain new competencies and develop new skills. 

2 Fiscal Year 2011 Federal Laboratory Technology Transfer Report
One frequently used mechanism for establishing joint research relationships is the Cooperative 

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

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

scope of work. CRADAs allow Federal laboratories to create R&D partnerships to develop and 

advance promising new technologies towards commercialization. Many agencies have other 

specific authorities which also facilitate cooperative R&D relationships. 

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

intellectual assets and technical know-how by Federal agencies. 

Licensing

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

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

leading-edge technologies. Successful development and commercialization creates benefits 

to the economy and contributes to competitiveness and domestic economic growth. The 

ability to grant licenses to the non-federal sector to develop and commercialize governmentowned technologies helps protect federally developed innovations, which would otherwise not 

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

which Federal intellectual property is licensed vary based upon many factors, including the 

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

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

Other Technology Transfer Mechanisms

In addition to licensing, there is a wide variety of other technology transfer mechanisms used 

by Federal agencies. Different mechanisms are used when licensing may not be necessary 

to efficiently or effectively transfer a technology to the non-federal sector. 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:

• Material transfer agreements

• Technical publications and reports 

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

Clinical Trial Agreements)

• Presentations at conferences, workshops, poster sessions and responding to inquiries

• Creation and utilization of user-facilities

• Outreach to trade and technical media

Federal Laboratory Technology Transfer Report Fiscal Year 2011 3
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4 Fiscal Year 2011 Federal Laboratory Technology Transfer Report
CHAPTER 2

Performance in Fiscal Year 2011

Strengthening Performance Metrics

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

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

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

agency’s technology transfer program and include agency plans to use technology transfer to 

advance the agency’s mission and to promote U.S. competitiveness. Additionally, specific data 

are provided in order to measure the level of basic technology transfer. These data include:

• Number of patent applications filed

• Number of patents granted

• Number of licenses granted and details regarding the licenses

• Earned royalty income and other statistical information regarding royalty income

• 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 these 

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

demonstrate robust use of these technology transfer tools, the metrics only address a part of 

the full picture of the successfulness of Federal technology transfer. While it is not difficult to 

compile statistics on technology transfer activities, it is far more difficult to actually identify 

and quantify the downstream benefits and the effectiveness of the technology transfers, simply 

because of the many variables and factors involved in successfully utilizing and commercializing 

nascent technologies. For example, knowledge gained from initial research may not make 

an immediate impact on the state of science or on the economy in general, but it may open 

new avenues for discoveries that lead to further innovation and to future products, medical 

treatments, and services which will advance science and benefit the economy. Additionally, new 

mechanisms of technology transfer have appeared and Federal laboratories have embraced 

these new approaches. As examples of new approaches, open source software from Federal 

research is available and material properties databases have been made available on the 

Internet. Both of these technology transfer mechanisms have had significant impact on U.S. 

businesses. Likewise, Federal laboratories are engaged in transferring technical knowledge 

to the next generation of scientists and engineers through postdoctoral appointments and 

partnering with universities. Contributions like these are not captured in the statistics presented 

here. 

Federal Laboratory Technology Transfer Report Fiscal Year 2011 5

2
In a continuing effort to develop better metrics and to improve the effectiveness of Federal 

technology transfer, the Federal Interagency Working Group on Technology Transfer (IWGTT) 

meets regularly. This group and comprises agency representatives and technology transfer 

experts from across the Federal government. The IWGTT serves as a broad forum to identify 

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

interagency comparisons and experience sharing. Through the IWGTT, Federal agencies 

cooperatively discuss and review new and better means to improve both quantitative and 

qualitative measurements of technology transfer activities and other means to improve 

dissemination of federally developed technologies. 

On October 28, 2011, the President issued the Presidential Memorandum -- Accelerating 

Technology Transfer and Commercialization of Federal Research in Support of High-Growth 

Businesses.1 Section 2 of the Presidential Memorandum (PM) called for the establishment of 

performance goals, metrics, and evaluation methods, as well as implementing and tracking 

progress relative to those goals. In Fiscal Year 2012, Federal agencies prepared plans for 

improving their technology transfer operations. These plans were submitted to the Office of 

Management and Budget and to the Office of Science and Technology Policy for clearance.

The PM directed that the Secretary of Commerce, “in consultation with other agencies, including 

the National Center for Science and Engineering Statistics, shall improve and expand, where 

appropriate, its collection of metrics in the Department of Commerce’s annual technology 

transfer summary report, submitted pursuant to 15 U.S.C. § 3710(g)(2).” In accordance 

with the PM, in Fiscal Year 2012, the IWGTT reviewed previous years’ methods and types of 

technology transfer metrics. The IWGTT is now in the process of revising and improving the 

types of metrics collected and reported. Beginning in Fiscal Year 2013, these improved metrics 

will be reflected in the annual technology transfer report. The expanded metrics will provide 

better and more information to help improve future policy decisions. These metrics will, among 

other things, present a broader multi-agency perspective of technology transfer and will contain 

more information on interactions with small businesses and other collaborative efforts that have 

the potential to spur scientific advances, discoveries and innovations. 

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

Federal agency technology transfer, such as life-saving treatments, increased security, enhanced 

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 Federal agency technology transfer activities for a fiveyear period from Fiscal Year 2007 through Fiscal Year 2011. The tables are compiled from 

each agency’s reports over those years. The total figures from the eleven agencies indicate 

that licenses and new licenses both trended upward slightly. Income from licenses, and 

earned royalty income were generally steady over this period. Invention disclosures, patent 

1 http://www.whitehouse.gov/the-press-office/2011/10/28/presidential-memorandum-accelerating-technology-transfer-and-commerciali

6 Fiscal Year 2011 Federal Laboratory Technology Transfer Report
applications filed, and patents issued remained steady over the period from Fiscal Year 2007 

through Fiscal Year 2010, followed by significant increases in Fiscal Year 2011. The number 

of active CRADAs declined slightly in Fiscal Year 2008, but rebounded to new heights in Fiscal 

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

Federal government represent steady, mature programs, as shown by the consistently high and 

relatively stable volume of CRADAs, licenses, patents, and earned royalty income activities. 

In Table 1, “Traditional CRADAs” refers to collaborative research and development agreements 

between a Federal laboratory and non-federal partners. “Total CRADAs” includes agreements 

in addition to traditional CRADAs. These additional agreements may include material transfer 

agreements, non-disclosure agreements, and others. In Table 3, “All licenses” includes, in 

addition to invention licenses, other licenses for copyrighted software, open channel-web and 

noncommercial software, biological materials, and other forms of intellectual property.

Table 1: Collaborative Relationships for Research and Development

FY 2007 FY 2008 FY 2009 FY 2010 FY 2011

DHS • CRADAs, total active in the FY - 23 23 36 62

- New, executed in the FY - 8 6 14 31

• Traditional CRADAs, total active in the FY - 21 22 32 55

• Other collaborative R&D relationships - 3 5 3 11

DOC • CRADAs, total active in the FY 2,778 2,390 2,397* 2,254* 2,280

- New, executed in the FY 1,865 1,583 1,501 1,408 1,402

• Traditional CRADAs, total active in the FY 154 131 101* 101* 133

• Other collaborative R&D relationships1 2,672* 2,816 2,828 2,897 2,899

DOD • CRADAs, total active in the FY 2,971 2,596 2,870 3,248 2,554

- New, executed in the FY 641 745 659 720 762

• Traditional CRADAs, total active in the FY 2,383 1,993 2,247 2,516 1,685

• Other collaborative R&D relationships 0 3 1 287 988

DOE • CRADAs, total active in the FY 697 711 744 697 720

- New, executed in the FY 182 178 176 176 208

• Traditional CRADAs, total active in the FY 697 711 744 697 720

• Other collaborative R&D relationships 0 0 0 0 0

•

DOI • CRADAs, total active in the FY 170 170 248 436 351

- New, executed in the FY 112 98 74 82 295

• Traditional CRADAs, total active in the FY 20 33 36 29 22

• Other collaborative R&D relationships 0 0 0 0 209

Federal Laboratory Technology Transfer Report Fiscal Year 2011 7
FY 2007 FY 2008 FY 2009 FY 2010 FY 2011

DOT • CRADAs, total active in the FY 36 23 22 22 25

- New, executed in the FY 7 6 7 0 8

• Traditional CRADAs, total active in the FY 36 23 0 0 0

• Other collaborative R&D relationships 0 0 2 2 5

EPA • CRADAs, total active in the FY 84 112 112 67 84

- New, executed in the FY 18 49 83 33 26

• Traditional CRADAs, total active in the FY 67 74 51 50 54

• Other collaborative R&D relationships 0 0 0 0 0

HHS • CRADAs, total active in the FY 284 453 457 447 430

- New, executed in the FY 68 83 105 83 81

• Traditional CRADAs, total active in the FY 206 295 284 300 284

• Other collaborative R&D relationships NR NR NR NR 4861

NASA • CRADAs, total active in the FY 1 1 1 0 0

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

• Traditional CRADAs, total active in the FY 1 1 1 0 0

• Other collaborative R&D relationships** 3,812 4,076 4,507 4,379* 3,480

USDA • CRADAs, total active in the FY 230 252 259 287 298

- New, executed in the FY 69 76 79 99 88

• Traditional CRADAs, total active in the FY 207* 224* 217 233 213

• Other collaborative R&D relationships 4,084 5,466 9,960 11,214 13,007

VA • CRADAs, total active in the FY 82 221 623 897* 994

- New, executed in the FY 52 155 438 493* 446

• Traditional CRADAs, total active in the FY 74 207 581 835* n/r

• Other collaborative R&D relationships 0 0 0 0 0

TOTALS • CRADAs, total active in the FY 7,333 6,952 7,756 8,391 7,798

- New, executed in the FY 3,014 2,981 3,129 3,108 3,347

• Traditional CRADAs, total active in the FY 3,845 3,713 4,284 4,793 3,166

• Other collaborative R&D relationships 10,568 12,364 17,303 18,800 25,460

-DHS began compiling and reporting data in 2008. 

n/r – Data not reported. 

* Updated to correct earlier data.

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

1 Includes domestic and foreign guest researchers and other researchers working at NIST under various agreements. 

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

8 Fiscal Year 2011 Federal Laboratory Technology Transfer Report
9

0

2,000

4,000

6,000

8,000

10,000

FY07 FY08 FY09 FY10 FY11

Total Active CRADAs

Trend

0

500

1,000

1,500

2,000

2,500

3,000

3,500

FY07 FY08 FY09 FY10 FY11

Total New, Executed CRADAs

Trend

Federal Laboratory Technology Transfer Report Fiscal Year 2011 9
Table 2: Invention Disclosure and Patenting

FY 2007 FY 2008 FY 2009 FY 2010 FY 2011

DHS • New inventions disclosed in the FY - 10 32 7 38

• Patent applications filed in the FY - 0 2 2 12

• Patents issued in the FY - 1 2 1 0

•

DOC • New inventions disclosed in the FY 32 40 41 34 26

• Patent applications filed in the FY 8 21 20 19 15

• Patents issued in the FY 3 3* 7 11 14

DOD • New inventions disclosed in the FY 838 1,018 831 698 929

• Patent applications filed in the FY 597 590 690 436 844

• Patents issued in the FY 425 462 404 304 523

DOE • New inventions disclosed in the FY 1,575 1,460 1,439 1,616 1,820

• Patent applications filed in the FY 693 904 775* 965* 868

• Patents issued in the FY 441 370 363* 480 460

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

• Patent applications filed in the FY 5 7 8 7 2

• Patents issued in the FY 6 1 4 5 1

DOT • New inventions disclosed in the FY 2 3 3 1 2

• Patent applications filed in the FY 2 0 1 1 1

• Patents issued in the FY 3 2 1 1 0

EPA • New inventions disclosed in the FY 16 9 8 5 8

• Patent applications filed in the FY 15 6 3 3 8

• Patents issued in the FY 10 4 9 9 12

HHS • New inventions disclosed in the FY 447 437 389 363 402

• Patent applications filed in the FY 261 164 156 113 266

• Patents issued in the FY 379 278 397 153 320

10 Fiscal Year 2011 Federal Laboratory Technology Transfer Report
FY 2007 FY 2008 FY 2009 FY 2010 FY 2011

NASA • New inventions disclosed in the FY 1,514 1,324 1,412 1,735* 1,721

• Patent applications filed in the FY 127 122 141* 150* 130

• Patents issued in the FY 68 90 93 130* 156

USDA • New inventions disclosed in the FY 126 133 154 164 152

• Patent applications filed in the FY 114 123 123 112 142

• Patents issued in the FY 37 30 24 44 57

VA • New inventions disclosed in the FY 175 164 150 168 191

• Patent applications filed in the FY 25 13 37 31 93

• Patents issued in the FY 8 10 15 10 32

TOTALS • New inventions disclosed in the FY 4,732 4,605 4,463 4,796 5,294

• Patent applications filed in the FY 1,847 1,950 1,956 1,839 2,381

• Patents issued in the FY 1,380 1,251 1,319 1,148 1,575

-DHS began compiling and reporting data in 2008. 

n/r – Data not reported. 

* Updated to correct earlier data.

Table 2: Invention Disclosure and Patenting (continued)

Federal Laboratory Technology Transfer Report Fiscal Year 2011 11
12

0

1,000

2,000

3,000

4,000

5,000

6,000

FY07 FY08 FY09 FY10 FY11

New Inventions Disclosed

Trend

0

500

1,000

1,500

2,000

2,500

3,000

FY07 FY08 FY09 FY10 FY11

Patent Applications Filed

Trend

0

500

1,000

1,500

2,000

FY07 FY08 FY09 FY10 FY11

Patents Issued

Trend

12 Fiscal Year 2011 Federal Laboratory Technology Transfer Report
Table 3: Profile of Active Licenses

FY 2007 FY 2008 FY 2009 FY 2010 FY 2011

DHS • All licenses, number total active in the FY - 18 63 458 495

• New, executed in the FY - 0 45 458 418

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

• New, executed in the FY - 0 0 0 0

DOC • All licenses, number total active in the FY 222 29 40 46 40

• New, executed in the FY 187 2 12 7 5

• Invention licenses, total active in the FY 222 29 40 46 40

• New, executed in the FY 187 2 12 7 5

DOD • All licenses, number total active in the FY 495 365 432 397 633

• New, executed in the FY 67 52 57 50 63

• Invention licenses, total active in the FY 460 351 386 341 431

• New, executed in the FY 67 52 57 50 63

DOE • All licenses, number total active in the FY 5,842 6,146* 5,742* 6,228* 5,310

• New, executed in the FY 606 685 755* 826* 665

• Invention licenses, total active in the FY 1,354 1,448* 1,452 1,453 1,432

• New, executed in the FY 164 177 139 166 169

DOI • All licenses, number total active in the FY 15 19 21 28 25

• New, executed in the FY 1 1 4 4 2

• Invention licenses, total active in the FY 15 18 18 23 23

• New, executed in the FY 0 1 3 3 2

DOT • All licenses, number total active in the FY 5 5 2 3 3

• New, executed in the FY 0 0 0 0 1

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

• New, executed in the FY 0 0 0 0 0

EPA • All licenses, number total active in the FY 38 37 40 37* 45

• New, executed in the FY 5 2 3 2 6

• Invention licenses, total active in the FY 38 37 40 37* 45

• New, executed in the FY 5 2 3 2 6

Federal Laboratory Technology Transfer Report Fiscal Year 2011 13
FY 2007 FY 2008 FY 2009 FY 2010 FY 2011

HHS • All licenses, number total active in the FY 1,418 1,675 1,584 1,941 1,613

• New, executed in the FY 293 277 221 269 264

• Invention licenses, total active in the FY 915 1,376 1,304 1240 414

• New, executed in the FY 234 233 198 217 106

NASA • All licenses, number total active in the FY 3,520 3,912 4,181 5,515* 5,227

• New, executed in the FY 721 633 803 498 581

• Invention licenses, total active in the FY 316 330 146 456* 461

• New, executed in the FY 45 34 49 36 34

USDA • All licenses, number total active in the FY 339 328 329 343 357

• New, executed in the FY 25 28 25 22 35

• Invention licenses, total active in the FY 339 328 329 343 357

• New, executed in the FY 25 28 25 22 35

VA • All licenses, number total active in the FY 130 153 163 169 192

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

• Invention licenses, total active in the FY 130 153 163 169 192

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

TOTALS • All licenses, number total active in the FY 12,024 12,687 12,597 15,165 13,940

• New, executed in the FY 1,923 1,703 1,935 2,142 2,051

• Invention licenses, total active in the FY 3,790 4,075 3,881 4,111 3,398

• New, executed in the FY 745 552 496 509 431

-DHS began compiling and reporting data in 2008. 

* Updated to correct earlier data.

Table 3: Profile of Active Licenses (continued)

14 Fiscal Year 2011 Federal Laboratory Technology Transfer Report
0

2,000

4,000

6,000

8,000

10,000

12,000

14,000

16,000

FY07 FY08 FY09 FY10 FY11

All Licenses

Trend

0

500

1,000

1,500

2,000

2,500

FY07 FY08 FY09 FY10 FY11

Total New Licenses

Trend

Federal Laboratory Technology Transfer Report Fiscal Year 2011 15
Table 4: Characteristics of Licensing Bearing Income

FY 2007 FY 2008 FY 2009 FY 2010 FY 2011

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

• Exclusive - 0 0 0 0

DOC • All income bearing licenses, number 35 25 27 28 25

• Exclusive 16 14 15 17 15

DOD • All income bearing licenses, number 194 210 227 134 214

• Exclusive 84 70 78 67 51

DOE • All income bearing licenses, number 3,291 4,397 3,339 3,493* 3,510

• Exclusive 352 372 411 462 315

DOI • All income bearing licenses, number 14 16 18 19 22

• Exclusive 4 5 4 5 3

DOT • All income bearing licenses, number 4 4 3 3 3

• Exclusive 2 1 3 3 2

EPA • All income bearing licenses, number 38 37 40 37 42

• Exclusive 6 7 8 7 8

HHS • All income bearing licenses, number 901 1,057 899 838 1,023

• Exclusive 144 149 111 113 131

NASA • All income bearing licenses, number 254 271 276 271 292

• Exclusive 110 119 122 122 119

USDA • All income bearing licenses, number 337 313 314 321 335

• Exclusive 241 223 222 230 239

VA • All income bearing licenses, number 115 138 144 150 170

• Exclusive 44 61 64 69 77

TOTALS • All income bearing licenses, number 5,183 6,468 5,287 5,292 5,635

• Exclusive 1,003 1,021 1,038 1,093 959

- DHS began compiling and reporting data in 2008.

* Updated to reflect corrected data.

n/r – Data not reported

16 Fiscal Year 2011 Federal Laboratory Technology Transfer Report
Table 5: Income from Licensing (Dollars reported in thousands)

FY 2007 FY 2008 FY 2009 FY 2010 FY 2011

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

• Invention licenses - $0 $0 $0 $0

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

DOC • Total income, all licenses active in FY $225 $293 $336 $237 $277

• Invention licenses $225 $293 $336 $237* $277

• Total Earned Royalty Income, (ERI) $217 $293 $336 $237 $277

DOD • Total income, all licenses active in FY $14,246 $16,057 $16,439 $13,424 $15,682

• Invention licenses $14,240 $16,048 $16,165 $13,026 $15,364

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

DOE • Total income, all licenses active in FY $39,165 $49,318 $43,496 $40,642 $44,728

• Invention licenses $34,933 $43,108 $40,238 $37,066 $40,600

• Total Earned Royalty Income, (ERI) $18,759 $31,718 $28,901 $25,220 $27,107

DOI • Total income, all licenses active in FY $57 $79 $89 $80 $93

• Invention licenses $57 $79 $89 $80 $93

• Total Earned Royalty Income, (ERI) $57 $79 $89 n/a $82

DOT • Total income, all licenses active in FY $34 $18 $44 $17 $15

• Invention licenses $34 $18 $44 $17 $15

• Total Earned Royalty Income, (ERI) $34 $9 $34 $3 $5

EPA • Total income, all licenses active in FY $544 $1,038 $849 $536 $383

• Invention licenses $544 $1,038 $849 $536 $383

• Total Earned Royalty Income, (ERI) $107 $296* $255 $197* $135

HHS • Total income, all licenses active in FY $88,799 $97,609 $85,059 $80,923 $98,453

• Invention licenses $67,108 $94,712 $83,041 $79,805 $82,842

• Total Earned Royalty Income, (ERI) $70,743 $80,805 $77,251 $76,665 $84,807

NASA • Total income, all licenses active in FY $3,651 $2,802 $3,144 $4,517* $3,506

• Invention licenses $3,462 $2,725 $2,288 $4,229* $3,369

• Total Earned Royalty Income, (ERI) $1,520 $1,711 $732 $2,280* $1,504

USDA • Total income, all licenses active in FY $3,634 $3,978 $5,383 $3,647* $4,005

• Invention licenses $3,634* $3,978 $5,383 $3,647* $4,005

• Total Earned Royalty Income, (ERI) $2,682* $3,010* $4,422* $3,075* $3,137

Federal Laboratory Technology Transfer Report Fiscal Year 2011 17
18

$0

$50,000

$100,000

$150,000

$200,000

FY07 FY08 FY09 FY10 FY11

Total Income from Licensing (in thousands)

Trend

FY 2007 FY 2008 FY 2009 FY 2010 FY 2011

VA • Total income, all licenses active in FY $358 $141 $202 $167 $401

• Invention licenses $358 $141 $202 $167 $401

• Total Earned Royalty Income, (ERI) n/a n/a n/a n/a n/r

TOTAL • Total income, all licenses active in FY $150,713 $171,333 $155,041 $144,190 $167,543 

• Invention licenses $124,595 $162,140 $148,635 $138,810 $147,349 

• Total Earned Royalty Income, (ERI) $94,119 $117,921 $112,020 $107,677 $117,054 

- DHS began compiling and reporting data in 2008.

* Updated to reflect corrected data.

n/a – Data not available from agency.

n/r – Data not reported.

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

18 Fiscal Year 2011 Federal Laboratory Technology Transfer Report
CHAPTER 3

Outcomes and Impact of Technology Transfer Activities

Reports of the successful transfer and use of federally developed technologies cut across 

industrial sectors and demonstrate the broad impact of Federal agency technology transfer 

activities. The case studies provided below are examples of some of the downstream outcomes 

arising from technology transfer activities.

Department of Agriculture (USDA) 

USDA broadly defines technology transfer as the adoption of research outcomes (i.e., solutions) 

for public benefit. These science-based innovations from USDA intramural research create 

new or improved technologies, processes, products and services that benefit the Nation 

by increasing productivity, increasing efficiency (keeping costs low) and enhancing global 

competitiveness for the U.S. agriculture sector. Thus, technology transfer functions are critical 

to accelerating utility of public R&D investments, creating economic activity, and promoting job 

creation and sustainable economic development. 

Agricultural Research Service (ARS) ARS is USDA’s principal intramural scientific research 

agency. Agency goals are to find solutions to agricultural problems that affect Americans every 

day, from field to table, such as (a) protecting crops and livestock from pests and diseases, (b) 

improving the quality and safety of agricultural products, (c) determining the best nutrition for 

people from infancy to old age, (d) sustaining our soil and other natural resources, (e) ensuring 

profitability for farmers and processors, and (f) keeping costs down for consumers.

Animal and Plant Health Inspection Service (APHIS) – Wildlife Services (WS) APHIS-WS 

provides Federal leadership and expertise to resolve wildlife conflicts and creates a balance 

that allows people and wildlife to coexist peacefully. Current program activities include 

threatened and endangered species conservation, the protection of public health and safety, 

wildlife disease surveillance and monitoring, a nationally coordinated research effort, and other 

activities and programs.

Forest Service (FS) The mission of FS is to sustain the health, diversity, and productivity of 

the Nation’s forests and grasslands to meet the needs of present and future generations. 

Established in 1905, FS directly manages 193 million acres of public land in national forests 

and grasslands, and works with state forestry agencies and other partners to assist in managing 

491 million acres of state and private forest lands.

More information about USDA technology transfer:

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

Animal and Plant Health Inspection Service: http://www.aphis.usda.gov/wildlife_damage/nwrc/

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

Federal Laboratory Technology Transfer Report Fiscal Year 2011 19

3
Highlights from Some of the Agency’s Technology Transfer Activities

Flash Pasteurization, Food Safety, and Intervention Technologies

Flash Pasteurization uses bursts of steam to inactivate microorganisms on the surfaces of raw 

and processed meat products immediately prior to packaging. Flash Pasteurization is derived 

from the Vacuum-Steam-Vacuum process invented at the ARS’s Eastern Regional Research 

Center. The Flash Pasteurization technology was developed as part of a CRADA between ARS 

and an industry partner. Flash Pasteurization, used in combination with “generally recognized 

as safe” antimicrobials, has now been commercialized for the decontamination of frankfurters 

and over $1 billion of product has been treated by the process in North and South America. 

For this work, the engineers and scientists involved won the ARS Outstanding Technology 

Transfer Award for 2008 (top honor) as well as the 2011 Federal Laboratory Consortium 

Excellence in Technology Transfer Award.

Testing and Screening for Veterinary Drug Residues

ARS researchers developed, extensively validated, and transferred to the Food Safety and 

Inspection Service (FSIS) a pair of advanced methods with fast sample throughput and 

much better performance to screen and identify 67 priority veterinary drug residues in meat 

samples. The new approach uses rapid extraction, followed by ultrahigh performance liquid 

chromatography – tandem mass spectrometry, to cover the existing drugs monitored below 

regulatory tolerance levels, and also expands the range to include many priority drug residues 

previously missed. FSIS is in the process of implementing the new approach, which is the 

central innovation leading FSIS officials to devise a more efficient and effective overall National 

Residue Program for residue monitoring and regulatory actions. This development is a major 

improvement over the FSIS’s currently used combination of three (comparatively inefficient) 

screening tests, which are capable only of determining classes of drugs responsible for positive 

drug residue results. Use of the advanced ARS methods will ensure that every food animal 

is properly screened in thousands of slaughter establishments across the United States. This 

screening will protect the public from exposure to potentially harmful residues.

Xylose Fermenting Yeast

In the United States, there is considerable interest in developing alternative energy sources to 

reduce dependence on foreign oil and nonrenewable energy. The use of ethanol as a fuel has 

become increasingly prevalent in recent years. Biomass can be used to produce ethanol, but 

the high concentrations of xylose in biomass make metabolization into ethanol inefficient and 

not economically feasible. New yeast strains developed by USDA Forest Products Laboratory 

(FPL) and the methods to use them are needed to develop a more efficient means of bioethanol 

production. A clean technology company serving the global biofuels industry has licensed a 

yeast technology that was co-developed by researchers from the USDA Forest Service and the 

University of Wisconsin – Madison. This technology is associated with the fermentation of C5 

sugars, such as xylose, to ethanol. The license marks the culmination of several CRADAs.

20 Fiscal Year 2011 Federal Laboratory Technology Transfer Report
Boll Weevil Migrant Detection and Tracking

A multidisciplinary USDA-ARS team developed a highly effective technology package (boll 

weevil migrant detection and tracking technology) that facilitates cost-effective protection of 

boll weevil eradication zones from re-infestation. Real-world application of the package has 

improved detection of weevil populations and their source regions by identifying weevil genetics 

and pollen taxa associated with captured weevils, enhancing the use and interpretation of 

pheromone traps, and simulating weevil migratory flight pathways. In response to critical 

pest management issues raised by Boll Weevil Eradication Program leaders, APHIS, the 

National Cotton Council, Cotton Incorporated, and other major cotton stakeholders, the team 

developed, reported and transferred the technologies for operational implementation in the 

Eradication Program. With financial support from the Cotton Foundation and after training 

by ARS team members, APHIS is now capable of performing the genetics work necessary to 

conduct weevil population assignment analyses. Adoption and effective application of this boll 

weevil migrant detection and tracking technology package have, over the past several years, 

resulted in direct savings to the cotton industry in excess of $1M annually and have greatly 

enhanced the capability of the Eradication Program to efficiently protect against and mitigate 

post-eradication re-infestations. This technology was transferred through public release.

Department of Commerce (DOC) 

At the Department Commerce, R&D 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://www.nist.gov/tpo/ 

• NOAA: http://www.noaa.gov

• ITS: http://www.its.bldrdoc.gov/media/1558/technology_transfer.pdf

National Institute of Standards and Technology (NIST) NIST’s mission is to promote U.S. 

innovation and industrial competitiveness by advancing measurement science, standards, 

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

laboratories develop and disseminate measurement techniques, reference data, test methods, 

standards, and other technologies that support U.S. industry, academia, scientific research, and 

the activities of many federal agencies. In carrying out its mission, NIST partners directly with 

industry, academia, associations, and other government agencies.

National Oceanic and Atmospheric Administration (NOAA) NOAA’s mission is: to 

understand and predict changes in climate, weather, oceans, and coasts; to share that 

knowledge and information with others; and to conserve and manage coastal and marine 

Federal Laboratory Technology Transfer Report Fiscal Year 2011 21
ecosystems and resources. NOAA’s mission will become ever more critical in the 21st century 

as national issues related to climate change, limited freshwater supply, ecosystem management, 

and homeland security intensify.

The Institute for Telecommunication Sciences (ITS) ITS is the chief research and engineering 

arm of the NTIA. ITS supports NTIA telecommunications objectives of promoting advanced 

telecommunications and information infrastructure development in the United States, enhancing 

domestic competitiveness, improving foreign trade opportunities for U.S. telecommunications 

firms, and facilitating more efficient and effective use of the radio spectrum. ITS also serves 

as a principal Federal resource for solving telecommunications concerns of other Federal 

agencies, state and local governments, private corporations and associations, and international 

organizations.

Highlights from Some of the Agency’s Technology Transfer Activities

NIST Reference Data for Machining Helps Industry to Improve Models and Simulations 

NIST’s unique experimental setup for analyzing fundamental process characteristics for 

machining of metals is used to generate a wealth of data that are used by companies in the 

manufacturing industry, such as GE Aerospace, Boeing, Pratt & Whitney/United Technologies, 

and Kennametal, through their use of commercially available modeling software developed by 

Third Wave Systems (TWS). 

NIST’s setup includes state-of-the-art dual spectrum (visible and infrared), high-speed camera 

enabling simultaneous visible and infrared images to measure temperature distribution, strain, 

and strain rates at the material-cutting tool interface to validate and improve machining 

simulation models.

Commercialization of NIST Atomic Clock Technology

The NIST Time and Frequency Division has become a world leader in research, metrology, 

and development of chip-scale atomic clocks (CSACs) and similar chip-scale atomic devices, 

including magnetometers and gyroscopes. The program began with the in-house development 

of a miniature all-optical atomic clock, which led to subsequent support from DARPA for 

development of microminiature versions. Today, NIST’s CSAC technology, which was invented 

and nurtured within the Time and Frequency Division, has been successfully transferred 

to industry. For example, Symmetricom, Inc., from its manufacturing base in Beverly, 

Massachusetts, has begun commercial deliveries of CSACs, and Honeywell and Teledyne 

have development programs for captive applications of the CSAC technology. NIST continues 

to assist in the development and commercialization of the technology. CSACs will enable 

portable, low-power electronic devices to have greatly improved performance and innovative 

new functionality. 

The CSAC product unveiled by Symmetricom weighs less than 35 grams (about 1.25 ounces) 

and operates on only 115 milliwatts of 3.3 VDC power. It serves as a precise and stable 

oscillator that is more than two orders of magnitude better than quartz-oscillator technology.

22 Fiscal Year 2011 Federal Laboratory Technology Transfer Report
Taking advantage of the improved performance of CSACs, GPS receivers can determine their 

position more quickly and operate more reliably under impaired conditions. Systems that 

depend on GPS, such as cellular telephone networks, can hold synchronization longer during 

GPS signal interruptions. And where GPS is not available at all, for example underwater, early 

adopters of CSACs include makers of underwater seismic sensors—hydrophones or geophones 

using time difference-of-arrival techniques.

In military applications, CSACs can be used in backpack-mounted radios and IED jammers 

needed in unimproved environments, such as Afghanistan, where 70 percent of patrols move 

on foot because of the lack of roads. These applications require precise synchronization so 

that soldiers do not jam their own communications and navigation systems, while blocking 

detonation signals. The CSACs’ low power consumption and increased stability significantly 

reduce the weight of the batteries that the soldiers must carry, and allow longer mission 

durations.

Making Connections for Microfluidic Technology

Researchers and industry practitioners of microfluidic technology—a cutting-edge approach 

used, for example, to develop advanced medical assays or to examine the behavior of 

complex fluids—face a universal problem. Fabricating the tiny channels, chambers and valves 

inherent to microfluidic “lab-on-a-chip” devices is now routine, but the means of connecting 

these devices to the pumps and the analytical equipment needed to support them involves a 

haphazard collection of gluing, clamping and awkward screw ports. To address this problem, 

NIST researchers developed and patented an elegant system of magnetic connectors that 

enable supporting tube lines to be attached to the input and output ports of microfluidics 

devices in a convenient, rapid and reliable way. Whereas gluing connections can take 

hours, the magnetic connectors hook up in seconds, and over the range of pressures used in 

microfluidics, they do not leak.

In 2010, SFC Fluidics LLC, a small business headquartered in Arkansas, licensed the NIST 

magnetic connector technology. Over the last year, SFC Fluidics has successfully established 

and marketed an entire product line of QuickConnectTM devices that leverage nearly every 

innovation described in the NIST patent application. QuickConnectTM products can rapidly 

attach single lines and tube manifolds to microfluidic devices, and they can be switched to 

other devices in seconds. In addition, one type of connector can act as a valve to control flow 

to devices. The innovative magnetic microfluidic connectors invented by NIST scientists will 

help researchers more efficiently prototype and test lab-on-a-chip platforms and will potentially 

accelerate the development of technologies such as point-of-care medical devices. 

Hail and Severe Storm Risk Management Initiative

NOAA’s National Severe Storm Laboratory (NSSL) and Atmospheric and Environmental 

Research (AER) of Lexington, Massachusetts, are collaborating on research and development 

of operational weather risk management solutions for insurance and other industries impacted 

by severe storms. Storm-related damage is a growing problem for insurance carriers and their 

Federal Laboratory Technology Transfer Report Fiscal Year 2011 23
customers. AER uses targeted scientific analysis and builds applications for business to pinpoint 

the location and severity of weather events like straight-line winds, hail, rain and tornadoes. 

The alliance combines NSSL’s resources in weather radar data processing with AER’s expertise 

in providing data-driven solutions that improve industry practice. As part of a CRADA, NSSL 

provided AER access to high-resolution radar data across the continental United States, which 

allowed AER to develop new weather risk management products and to test the products in the 

insurance industry. AER in turn provided NSSL with insurance industry feedback and quality 

control assessments, allowing NSSL to improve its weather radar algorithms.

AER also announced the AER RespondTM hail analysis service, which leveraged NSSL data to 

enable insurance carriers to reduce loss adjustment expense and cycle times by integrating 

property-specific analytics into the hail claims workflow. The expanded real-time hail and rain 

capabilities complement AER’s existing services related to hurricanes, wildfires and other natural 

hazards.

Pathogen spread, risk model

This year, NOAA transferred a model to Maryland that forecasts where and when pathogens 

are most likely to be found in the Chesapeake Bay based on salinity and temperature of the 

water in a given location. The model generates three-day forecasts for state and county health 

officials. They, in turn, use these forecasts to target water quality monitoring, and to put out 

public health messages at high risk times. When pathogens are present, cooking shellfish and 

washing open wounds after contact with coastal waters minimizes risk of infection and sickness. 

Not only is this partnership reducing the number of people getting sick from pathogens, but it is 

saving these offices money because they can limit their monitoring to the places and times that 

are most problematic.

Department of Defense (DoD) 

The purpose of the DoD’s Technology Transition program, managed by the Defense 

Laboratories Office, is to ensure, to the maximum extent practicable, that 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 

24 Fiscal Year 2011 Federal Laboratory Technology Transfer Report
role of civil assistance and disaster recovery worldwide. In the 1980s, 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, the Defense Agencies, and the Office of the Secretary of Defense

(OSD) maintains technology transfer websites to inform the public and make available general 

information.

The websites are:

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

http://www.onr.navy.mil/en/Science-Technology/Directorates/Transition/Technology-Transfer-T2.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

Department of Energy (DOE) 

The Department of Energy’s 17 national laboratories conduct much of its fundamental and 

applied research, and they license to and collaborate with industry and academia to develop 

and commercialize products and processes for commercial use. Technology partnering is an 

active component of DOE’s overall mission to promote scientific and technological innovation 

that advances the economic, energy, and national security interests of the United States. 

Technology transfer is carried out at all 17 DOE national laboratories as well as at 5 other 

DOE research and/or production facilities. The contractor-operated laboratories and facilities 

are authorized and required to conduct technology transfer by provisions in DOE’s laboratory 

management and operating (M&O) contracts. Motivated by mutual self-interest and notably 

without transfer of Federal funds to the non-federal partners, these arrangements provide a 

means for collaboration and cooperation between DOE and the private sector, and allow each 

party to leverage resources to achieve its mission.

In FY2011, DOE issued a new Secretarial Policy Statement on Technology Transfer at DOE 

Labs and Facilities. The updated policy reflects a deepening commitment by DOE to guide, 

strengthen and highlight the importance of its technology transfer efforts. It underscores nine 

principles to guide its technology transfer program within DOE’s statutory authorities:

1. Commitment to continuously improving its policies and procedures for effective 

technology transfer in support of its mission, and for the Nation’s benefit.

Federal Laboratory Technology Transfer Report Fiscal Year 2011 25
2. Empowerment of innovators who discover and develop technologies at 

DOE Labs and Facilities.

3. Fairness of opportunity and U.S. competitiveness considerations.

4. Facilitation of commercialization transactions involving partners with viable business 

plans for expeditious technology development and deployment.

5. Assuring visibility of DOE Labs and Facilities to promote access to capabilities and 

intellectual property.

6. Leveraging of its resources in partnering transactions to complement DOE’s mission, 

goals and objectives and demonstrably benefit the United States.

7. Assuring and measuring impact with identified measurable outcomes that are effective 

indicators of success and impact.

8. Predictability, streamlined processes, transparency, and appropriate flexibility in the 

application of policies governing technology transfer activities.

9. Cooperation throughout the DOE complex for sharing best practices and lessons 

learned in order to further technology transfer at the DOE, for collaborating in 

commercialization, for maximizing flexibility and to eliminate and avoid unnecessary 

barriers in order to achieve positive impact.

In FY2011, the DOE Laboratories and Facilities began tracking new measures of technology 

transfer that more closely measure impact. Data for these elements are presented below 

without reference to earlier years, for which no data were collected:

Startup Companies: 24

A company is counted as a startup if it is a new company formed in the reporting year (with 

or without laboratory employee involvement) based on a license for laboratory intellectual 

property and with a business plan based largely on DOE technology. 

Commercialized Technologies: 858

A commercialized technology has been defined as a product, process, method or service 

that incorporates at least one DOE-developed technology and is in the marketplace, actively 

licensed, or otherwise provided to a non-federal entity. 

Personnel Exchanges Initiated: 1,604

A personnel exchange is defined as a limited-term exchange of personnel between a nonFederal organization and a DOE laboratory/facility to share knowledge, supported by a written 

agreement, with or without funding. 

26 Fiscal Year 2011 Federal Laboratory Technology Transfer Report
Science Education Activities Performed: 29,809

An activity in science education is reported for individuals participating as follows:

1. Undergraduate Interns 

2. Special Short Course Technical School Attendees such as “Microscope School,” etc. 

(presuming these schools are for several days or a week or more) 

3. Graduate Students involved in thesis work on site 

4. Post Doctoral Appointees 

5. Faculty - Student Teams -- Under the “FAST” Program. This is typically a faculty 

member and two students. 

6. Teacher Education Programs 

Technical Scientific Results Published: 12,968

Technical scientific results are reported as published when a technical or scientific paper is 

published in a primary journal and reviewed by scientific peers. 

Highlight from Agency’s Technology Transfer Activities

Fukushima clean-up aided by Sandia National Laboratories technology and 

researchers

Following the March 11, 2011 earthquake and tsunami in Japan, seawater was used to 

cool the severely damaged reactors, leading to radioactive cesium contamination in the 

wastewater. Researchers at Sandia 

National Laboratories and UOP LLC, 

a Honeywell company that licensed 

wastewater cleanup technology from 

Sandia, showed that crystalline silicotitanate, or CST, a molecular sieve that 

can separate highly volatile elements 

from radioactive wastewater, can 

also be used to decontaminate salt 

water. In the days after the disaster 

in Japan, Sandia researchers and 

UOP employees separately conducted 

extensive testing to determine the 

efficacy of CST in removing cesium 

from contaminated saltwater. The 

technology was deployed to remove 

radioactive material from more than 

43 million gallons of contaminated 

wastewater at the Fukushima Daiichi site.

Crystalline silico-titanate, or CST, is an inorganic molecular sieve 

that can capture and separate highly volatile elements from 

radioactive wastewater. Image: Sandia National Laboratories

Federal Laboratory Technology Transfer Report Fiscal Year 2011 27
The partnership between Sandia and UOP began in the early years of technology transfer at 

Sandia, with UOP first licensing CST technology in 1994, the year after the technology transfer 

was begun at Sandia. The technology was further developed through a Cooperative Research 

and Development Agreement between Sandia and UOP. In 1996, CST work by Sandia, 

Texas A&M, and UOP won an R&D 100 award. Sandia has extended UOP’s licenses for CST 

technology through 2017, when the last of the patents expires. This received an Excellence in 

Technology Transfer award from the Federal Laboratory Consortium for Technology Transfer 

(FLC). Sandia National Laboratories is managed and operated by Sandia Corporation, a 

wholly owned subsidiary of Lockheed Martin Corporation, for the U.S. Department of Energy’s 

National Nuclear Security Administration.

Another winner of the Excellence in Technology Transfer award was the National Energy 

Technology Laboratory (NETL) for their Basic Immobilized Amine Sorbent (BIAS) Process 

for CO2 Capture. Carbon dioxide (CO2) is considered to be one of the major greenhouse 

gases responsible for global warming. Consequently, it is critical that CO2 emission into the 

earth’s atmosphere be controlled. The NETL BIAS Process utilizes low-cost, regenerable, solid 

CO2 sorbents in large-scale fossil fuel-burning power plants. The process entails the novel 

steps of (1) treating an amine compound (composed of nitrogen and hydrogen atoms) to make 

it more selective and reactive towards CO2; (2) depositing the amine onto a porous solid 

support to formulate the sorbent; (3) utilizing the sorbent to selectively react with CO2 to extract 

it from the flue gas; and (4) regenerating the sorbent by heating it to release the CO2 for 

storage, thereby refreshing the sorbent for reuse.

As a result of the technology transfer efforts of 

NETL, various parties are now ready to adopt the 

BIAS Process technology for capturing CO2 from 

power plants and are developing commercial 

applications. This could lead to a reduction in 

global warming trends through reduced CO2 in 

the atmosphere. Pressure Chemicals Company has 

recently manufactured large batches of the sorbent 

for pilot-plant testing, and ADA-ES has successfully 

run this sorbent on a pilot-plant scale. TVA has tested the technology and is interested in its use 

in power plants. Industrial collaborators of the technology, such as Fuji Silysia Company, LTD., 

and PQ, Inc., for the porous solid support, Pressure Chemicals Company for the bulk sorbent 

manufacture, and ADA-ES for actual environmental applications, are eager to commercialize 

the BIAS Process. Also, an MOU has been signed with NASA to investigate the technology 

for controlling CO2 levels in enclosed habitats in space. NETL is a government-owned and 

operated laboratory for the Office of Fossil Energy in the Department of Energy.

28 Fiscal Year 2011 Federal Laboratory Technology Transfer Report
And one more winner of the FLC Excellence in Technology Transfer was the Oak Ridge 

National Laboratory for their Laser-Induced Fluorescence Fiber-Optic Measurement of 

Fuel in Oil. This technology enables a user to measure the accumulation of fuel in engine oil, 

which can occur as fuel-efficient engines are operated in advanced modes to meet increasingly 

lower emissions regulations. Fuel found in oil is also associated with the use of biodiesel and 

fuel injection system control for modern diesel particulate filters. The fuel thins the oil, lowers 

its lubricating ability, and can lead to higher engine wear, increased oil consumption, and in 

extreme cases, engine failure. The technology uses a laser and fuel tagged with a fluorescent 

dye to detect the fuel that has mixed with the oil. When the laser illuminates the diluted oil, 

it excites the dye, and as the dye returns to its unexcited state, it fluoresces. The emitted light 

is transmitted to an instrument that determines and records the amount of fuel in the oil. 

Conventional techniques require sending a sample of the oil to an analytical laboratory, 

resulting in up to two days delay for results. This new technology can take measurements 

at many different points in an engine system with a small fiber optic probe; the technique is 

portable and provides real-time in situ feedback. 

The technology was developed under a CRADA 

project with Cummins, Inc., which raised the 

need for measurement of fuel dilution of oil. 

Commercialization of the technology began with a 

patent license agreement between the UT-Battelle, 

LLC (the management and operations contractor 

for ORNL) and Da Vinci Emissions Services, Ltd. 

The benefit of the technology transfer effort is 

that a small niche market is now able to operate 

with significantly improved technology—faster, 

less expensive, and capable of detecting fuel contamination in lower amounts than other 

methods. As a result, monitoring oil dilution in an engine can be done in situ, which will enable 

faster improvements to both engine efficiency and reduced emissions while reducing product 

development costs. Furthermore, a small U.S. business now has the potential to double in 

size and eventually move the licensed technology into the global arena. Oak Ridge National 

Laboratory is managed and operated by UT-Battelle, LLC, for the Office of Science in the 

Department of Energy.

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 mission is to seek fundamental knowledge about the nature and behavior of living 

systems and the application of that knowledge to enhance health, lengthen life, and reduce 

illness and disability. The NIH Office of Technology Transfer (OTT) is responsible for identifying, 

Federal Laboratory Technology Transfer Report Fiscal Year 2011 29
evaluating, protecting, and marketing technologies derived in NIH and FDA 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.

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

• CDC: http://www.cdc.gov/od/ads/techtran/us.htm; 

• NIH: http://www.ott.nih.gov/

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

Effectively measuring the public health outcomes that result from such technologies is 

challenging and complex. Traditionally, efforts to measure the effect of technology transfer 

activities focus on outputs such as the number of patents and licenses or the amount of royalties 

generated. However, this approach does not depict the full scope of activities.

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 to 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 in the past been on the market. Some are FDA-approved and many do not 

require FDA approval. 

Highlights from Some of the Agency’s Technology Transfer Activities

AAV Technology: Delivery Vehicle of Choice for Gene Therapy

Adeno-associated viruses (AAVs) are attractive delivery vectors in the field of gene therapy. 

Gene therapy is on the brink of becoming a common medical practice, but developing safe 

and effective gene therapy products has been challenging. One major issue has been finding a 

delivery vector to target the diseased tissues in the body, without often-devastating side effects. 

NIH developed AAV Type 5-based vectors for delivering gene therapy products into parts of 

human bodies. AAV5 is a small virus that infects humans but is not known to cause disease, 

and its only known side-effect is a very mild immune response. These features make AAV5 an 

attractive delivery vector for gene therapy. In fact, the AAV-based vectors developed at the NIH 

present a popular choice for gene therapy.

The AAV5 technology has been out-licensed extensively by the NIH OTT, under both 

commercialization licenses and research use licenses. An exemplary license agreement was 

a recent exclusive and non-exclusive combination license for the commercial development of 

AAV5-based gene therapy products. Under this license agreement, Amsterdam Molecular 

Therapeutics (AMT) will have exclusive rights for developing treatments for a restricted 

number of disease indications, but non-exclusive rights for developing treatments for other 

diseases. As such, NIH OTT not only allows enough incentive for the expedited therapeutic 

30 Fiscal Year 2011 Federal Laboratory Technology Transfer Report
development of AAV5 technology by one licensee, but also ensures the continued availability of 

AAV5 technology widely to future commercial partners. In support of the NIH’s public health 

mission, NIH OTT also agreed to reduce royalties when AMT collaborates with academic 

institutions on therapies for ultra-orphan indications. This is just one approach that NIH OTT 

uses under its license agreements to provide incentives for companies targeting rare and 

neglected diseases, which broadens the application of NIH technologies to meet public health 

needs. The technology transfer effort of the NIH OTT has maximized the return on publicly 

funded research, and the commercialization of the scientific discovery of AAV5 technology 

has advanced the public health mission of the NIH, and will provide direct benefit to patients 

worldwide. 

Launch of MenAfriVac

The launch of MenAfriVac®, a low-cost meningitis vaccine for sub-Saharan Africa, provides 

a compelling story of interagency and inter-institutional collaboration to meet a global health 

need. Meningitis infection can result in deafness, mental retardation, seizures, paralysis, and 

death. Although group C meningitis vaccines were developed in the 1960s, they had little 

effect in the meningitis belt of Africa, where nearly half a million people live and where group A 

meningitis, not found in industrialized countries, prevails. 

Under a 2004 license agreement, NIH OTT transferred conjugate vaccine technology, 

developed by FDA inventors Drs. Che-Hung Robert Lee and Carl Frasch, to the non-profit 

organization PATH (Program for Appropriate Technology in Health) of Seattle, Washington, 

through PATH’s Meningitis Vaccine Program (MVP) to facilitate product development. The result 

was the successful launch of a first vaccine whose development was tailored to meet the needs 

of a specific region. 

With a focus on meeting the public health goal, NIH OTT provided PATH with the appropriate 

flexibility to form multiple partnerships to manufacture the vaccine. The agreement included the 

right to sublicense the non-exclusively licensed technology, which was atypical at that time for 

nonexclusive licenses and critical to allowing PATH to partner with the Serum Institute of India 

at essentially no cost. In exchange for technology know-how, Serum Institute is able to produce 

the vaccine at less than $0.50 per dose. 

The license agreement also provides for distribution of millions of doses royalty-free, which are 

needed to support adoption of the new vaccine, as acceptance of new vaccines into any market 

can pose challenges. An initial vaccination campaign began in December 2010 in Burkina 

Faso, Mali, and Niger (three countries in which meningitis is considered hyperendemic). So far, 

nearly 20 million doses have been administered and much illness and many deaths have been 

averted.

Federal Laboratory Technology Transfer Report Fiscal Year 2011 31
Department of Homeland Security (DHS)

The DHS’s Technology Transfer Program is housed in the Science and Technology Directorate 

within the Public-Private Partnerships Office. The Technology Transfer program is responsible 

for developing and instituting policies to facilitate technology transfer in accordance with 15 

U.S.C. § 3710 throughout DHS and its laboratories. The responsibilities include:

• Standardizing and 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 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.

For more information about DHS technology transfer, please visit: 

http://www.dhs.gov/technology-transfer-program. 

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

exception of the Coast Guard Research and Development Center and the Federal Law 

Enforcement Training Center, the DHS laboratories listed are within the Science and Technology 

Directorate. Data included in this report were provided by:

• Chemical Security Analysis Center (CSAC)

• Coast Guard Research and Development Center

• National Urban Security Technology Laboratory (NUSTL)

• National Biological Analysis and Countermeasures Center (NBACC)

• Plum Island Animal Disease Center (PIADC)

• Transportation Security Laboratory (TSL)

• Federal Law Enforcement Training Center (FLETC).

Highlights from Some of the Agency’s Technology Transfer Activities

Joint Technology Transfer Initiative

DHS and the U.S. Army Medical Research and Materiel Command (USAMRMC) entered into 

a partnership with the Maryland Technology Development Corporation (TEDCO) through the 

Joint Technology Transfer Initiative (JTTI). The JTTI, a Congressionally-funded program, awards 

up to $75,000 to for-profit, small businesses that have a proposed technology that will meet the 

needs of DHS and/or the U. S. Army Medical Research and Materiel Command (USAMRMC). 

32 Fiscal Year 2011 Federal Laboratory Technology Transfer Report
As a result of this partnership, DHS entered into collaborative agreements with three Maryland 

companies: TRX Systems, Inc.; Smart Imaging Systems, Inc.; and Emerging Science and 

Technologies (ES&T) Group, Inc.

• TRX Systems, Inc., located in Greenbelt, MD, developed the Sentrix system, which provides 

the capability to track personnel in global positioning system (GPS)-denied environments. 

The Sentrix system uses ranging data to provide corrections to the estimated position of 

the tracked individuals. The DHS Science and Technology Directorate (S&T) Infrastructure 

Protection Division entered into an agreement with TRX Systems, Inc., to implement and 

pilot test the GPS-denied tracking integrated with radio frequency (RF) ranging.

• Smart Imaging Systems, Inc., located in Beltsville, MD, is building the world’s smallest 

X-ray scanner mounted on a small robot for inspection of unidentified and suspicious 

objects. The system can be driven inside buildings and can be easily deployed by first 

responders. The DHS S&T Explosives Division entered into an agreement to collaborate on 

the development of the next generation X-ray imaging system for threat diagnostics.

• ES&T, Inc., located in Boonsboro, MD, developed an early-stage technology, MEDUSA, to 

disable blasting caps by introducing electrical energy in a specific sequence of voltage, 

current, and waveforms. The DHS S&T Explosives Division entered into a CRADA to 

investigate the DaveyFire bridgewire detonator’s physical, material, and metallurgical 

failure aspects.

TEDCO awarded each company $75,000 to participate in collaborative efforts with DHS.

Technology Optimization Partnerships (TOPs) 

In FY 2011, the DHS Transportation Security Laboratory (TSL) continued to help technology 

developers mature their products with several CRADAs through TSL’s Technology Optimization 

Partnerships (TOPs) process. The TOPs process assists with expediting the maturation and 

deployment of technologies aligned with the DHS S&T mission. Through CRADAs and the 

TOPs process, TSL conducts research, development, test and evaluation activities to help 

CRADA partners advance their technologies so that those technologies meet performance 

requirements. With the use of CRADAs, the TOPs process provides industry a means to bring 

emerging technology to TSL, enabling them to obtain test samples, have their system evaluated, 

and provide technical input that assists in the maturation of such technology. Additionally, the 

TOPs process can provide requirements-based information to technology developers through 

rigorous test and evaluation by subject matter experts at TSL. Three levels of partnerships have 

been created to support system development, selection of which depends on the different stages 

of the CRADA partner’s technological readiness: 

• Exploratory TOPs (eTOPs): For early proof-of-concept, feasibility, or laboratory experiments.

• Readiness Assistance (RA): For partners providing working prototypes or production-ready 

systems who wish to receive test and evaluation data and development guidance; may or 

may not be correlated to a particular acquisition window.

• Readiness Testing (RT): For partners involved in a certification or qualification window. 

4P.L 108-426, November 30, 2004 (118 STAT.2423).

Federal Laboratory Technology Transfer Report Fiscal Year 2011 33
In FY 2011, TSL applied the TOPs process, which resulted in a partnership agreement through 

the use of CRADAs, to support a major DHS initiative for enhancing the efficiency of airport 

checkpoint technology. While several different instruments can detect explosives on persons 

and in carry-on bags, these technologies must be matured to meet the requirements for 

effectiveness, efficiency, and passenger privacy. Through Readiness Assistance TOPs, CRADA 

partners used TSL test methodology to improve the performance of Advanced Technology 

Checkpoint X-ray Equipment for carry-on articles as well as Advanced Imaging Technology 

(AIT) Suicide-bomb Detection Equipment. By utilizing technology transfer, these two significant 

advances in explosive detection are closer to being deployed and integrated into checkpoints. 

In FY 2011, TSL started on Readiness Testing TOPs for AITs; TSL entered into two CRADAs with 

AIT system manufacturers and will be entering into more in 2012 and beyond. For this effort, 

TSL began developing innocuous test articles that simulate actual explosives to aid in testing 

and evaluation of both X-ray and millimeter wave AIT platforms. TSL played a key role in the 

evaluation of both the original and modified AITs, which use automated threat recognition and 

an “avatar” outline of a person. The development of test articles and appropriate use protocols 

was significant in that it rapidly established the safety protocols for data collection necessary 

for the development of automatic threat recognition of explosives and weapons. Each CRADA 

partner will be able to further improve the performance of its technology following the TOPs 

interaction with TSL.

Through several CRADAs, TSL was able to assist vendors of Advanced Technology Checkpoint 

X-ray equipment in FY 2011. TSL assisted with the development of the enhanced performance 

of Advanced Technology Checkpoint X-ray equipment by providing CRADA partners with data 

and information to develop “smarter” algorithms and then validate the performance of these 

algorithms. With TSL’s help, these advanced technology systems will decrease the amount of 

time necessary to screen carry-on luggage at checkpoints, and benefit both the government 

and the American public.

The Richard Stockton College of New Jersey 

TSL continues to share benefits from a CRADA with The Richard Stockton College of New 

Jersey. Located within a few miles from one another, Stockton students and faculty work with 

TSL scientists on a range of research efforts. For example, incoming freshmen students are 

provided with opportunities to enroll in Stockton Chemistry “Honors” Classes, allowing them to 

be trained on homeland security-related chemistry projects. As these students advance in their 

academic career, they perform advanced independent research and have the opportunity to 

work at TSL as summer interns. 

In Fiscal Year 2011, Stockton and TSL collaborated on several different projects, including 

the work by Stockton/TSL summer interns on an advanced vapor generator system (in TSL 

labs). In the future, this vapor test bed will be the single tool used to test and evaluate trace 

explosive vapor detectors for DHS and its collaborators. In addition, research was performed 

34 Fiscal Year 2011 Federal Laboratory Technology Transfer Report
at Stockton College under the guidance of Stockton professors and TSL scientists regarding 

exploration into the shelf life stability of TSL Trace Explosive Test and Evaluation standards; 

specifically, the research was on the effect of light on those explosive test standards. Stockton 

has also provided access to scientific equipment and facilities for an assortment of TSL-hosted 

technology meetings, research, and workshops. Along these lines, TSL scientists have given 

presentations at the College to help students better understand science and technology issues 

related to homeland security. In general, these and other projects will continue into the future 

for the greater success of TSL and the education of Stockton College science technology 

engineering and math (STEM) students. 

Department of the Interior (DOI)

The United States Geological Survey (USGS) 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 transfer 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 develop new products and services. For more information please 

visit: http://www.usgs.gov/tech-transfer/index.html

Bureau of Reclamation (Reclamation) Reclamation is responsible for water and hydropower 

deliveries throughout 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-largest 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 demonstrate mission relevancy by improving Reclamation 

water management practices, increasing water supply, and/or ensuring cost-effective power 

generation operations that benefit Reclamation’s project managers and stakeholders, the 

Federal Laboratory Technology Transfer Report Fiscal Year 2011 35
western water community, other Federal agencies, the 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.

Highlights from Some of the Agency’s Technology Transfer Activities

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 its 

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. 

Determining If Attic and Wall Insulation Is Contaminated

The USGS owns a pending patent property entitled “Spectral Method for Determining the 

Source of Vermiculite Insulation in Attics and Walls” which may be used to determine both 

the source of vermiculite, an ore used in attic insulation, and whether it is contaminated with 

fibrous amphiboles (which are types of asbestos). Approximately 1 million homes in the 

United States use expanded vermiculite attic insulation. Before 1990, there were four primary 

sources of vermiculite in the world, in (1) Enoree, South Carolina, (2) Louisa, Virginia, (3) 

Libby, Montana, and (4) Palabora, South Africa. Health studies in Libby, Montana, showed that 

fibrous amphibole was present in significant quantities in the vermiculite taken from the Libby 

mine but was not found in significant quantity at the other major vermiculite sources. A strong 

connection was found between the presence of fibrous amphibole in vermiculite and incidences 

of asbestos-related lung disease. Prior to its closing in 1990, the Libby mine supplied up to 80 

percent of the world’s vermiculite. 

Greater awareness of the potential health risks posed by exposure to fibrous amphiboles in 

connection with preparing for home improvements or maintenance has engendered increasing 

interest in determining the personal risk of asbestos exposure. The method currently in use 

involves taking vermiculite samples to off-site laboratories for analysis. This is time-consuming 

(results take a week or more to obtain), costly, and generates hazardous waste that must be 

disposed of properly. The USGS invention addresses these shortcomings by employing portable 

field spectrometers to measure the wavelengths and intensities of a material’s radiation 

spectrum. Such measurements can reveal, on the spot, the source of the analyzed vermiculite 

as well as the presence of any asbestos contamination. This is a significant improvement over 

the current method.

36 Fiscal Year 2011 Federal Laboratory Technology Transfer Report
Borehole Geophysical Logging for Ground and Surface Water Monitoring 

of an Ecologically Sensitive Aquifer

In 2010, the USGS’s Fort Lauderdale Water Science Center entered into a Technical Assistance 

Agreement (TAA) with Florida Power & Light Company (FPL) to collaborate on a study of salinity 

intrusion into groundwater at FPL’s Turkey Point Nuclear Plant in southeastern Florida. This 

power plant uses a recirculating cooling system. The salinity of the cooling water is greater 

than natural groundwater salinities in the highly permeable carbonate Biscayne aquifer located 

in the area. Aquifers in terrain with landforms and hydrology created from the dissolution of 

soluble rocks, also known as karst aquifers, are highly vulnerable to contamination due to the 

hydrogeology of the landscape. In the U.S., about 40% of the groundwater used for drinking 

comes from such aquifers. Because of this vulnerability of the Biscayne aquifer near the Turkey 

Point plant, a monitoring plan for groundwater was implemented.

Recirculating cooling systems at thermoelectric power plants are of considerable interest to 

USGS because engineered cooling systems are common in populated areas. Power plants are 

the third largest consumptive users of water, after irrigation and industry. The Turkey Point site 

is important because the facility is located several miles away from public water supply well 

fields and is adjacent to sensitive ecological areas. As the primary Federal science agency for 

water-resources information, the USGS is responsible for monitoring the quantity and quality 

of water in the Nation’s rivers and aquifers and assessing the sources and fate of contaminants 

in aquatic systems. The goal of the TAA was to study the effect of salinity and temperature 

differences and aquifer heterogeneity on density-driven convection, and the combined impact 

on surface water, groundwater, and ecologic conditions at the Turkey Point Nuclear Plant. 

A primary task in the TAA was the construction of 14 groundwater monitoring well sites in and 

around the power plant. USGS staff used geophysical logs and observations of rock core to 

identify the base of the Biscayne aquifer and zones of higher permeability within the aquifer, 

and to plan the construction of several additional monitoring wells. 

In FY 2011, the TAA was amended to include applied research involving near-surface 

geophysical methods. The information collected using these methods will allow collaborators 

to determine which combinations of methods provide the type of information required for 

developing the surface geophysical monitoring strategy. This will add to the overall scientific 

knowledge on density-driven interaction between surface water with elevated salinities and fresh 

groundwater in a karst carbonate aquifer, and will help monitor, design and plan for the future 

construction of closed-loop cooling-canal system facilities for power plants.

Next-generation Desalination Membranes

For several years, Reclamation has been conducting research on next-generation desalination 

membranes and process technologies in partnership with Separations Systems Technology, Inc. 

(SST) of San Diego, CA. SST is a small, but internationally recognized, private sector research 

business focusing on desalination membrane separation technologies. The collaboration 

brings together unique capabilities that catalyze the innovation process. The collaboration is 

Federal Laboratory Technology Transfer Report Fiscal Year 2011 37
further enhanced and leveraged through DoD research grants that have been awarded to SST 

to develop these technologies for DoD applications. 

Reclamation funds its research chemists and chemical engineers to team up with research 

chemists at SST to formulate and synthesize new chemistry targeted at improving the 

performance of desalination membranes and lowering the overall cost of desalination/

water purification processes. Once new promising chemical formulations are identified and 

synthesized, SST develops new membrane materials for bench and small pilot scale testing. 

Reclamation tests these materials at the Water Quality Improvement Center, a desalination and 

water purification technology testing and demonstration facility co-located with Reclamation’s 

Yuma Desalting Plant in Yuma. AZ. Based on this testing, the more promising membrane 

alternatives are patented, and the search begins for partners among U.S. membrane 

manufacturers who might help develop and, ultimately, commercialize the technology.

For example, polyamide desalting membranes are the backbone of the desalination 

industry because of their unsurpassed ability to process and purify higher volumes of water 

contaminated by salts and other substances. Unfortunately, polyamide membranes deteriorate 

rapidly when exposed to chlorine, yet chlorine disinfection is essential upstream of the 

desalination process to control microorganisms to prevent water-borne diseases and to reduce 

the possibility that these microorganisms would biofoul and clog the membrane. Consequently, 

a polyamide desalination membrane that tolerates chlorine exposure without sacrificing water 

production capacity has been long sought by the global desalination industry. Such a material 

might revolutionize the economics of desalination.

In FY 2011, the U.S. Patent and Trademark Office issued one patent to the Reclamation/SST 

team for novel chlorine resistant polyamides and their associated desalination membranes. 

An additional related patent application was pending. The patent and patent application also 

includes a third collaborating inventor from the University of Denver, who contributed chemical 

expertise to the research team and contributed to the invention. 

Also in FY 2011, with patent advice from USDA-ARS under an existing interagency agreement, 

the Reclamation/SST team submitted two additional patent applications to the U.S. Patent and 

Trademark Office. One is for a more effective cellulose acetate desalination membrane. While 

polyamide membranes are the dominant type in use today, about 25% of desalination plants 

utilize cellulose acetate membranes. The latter allow more salts to pass through the membrane 

and require higher operating pressures than polyamide membranes. While improving water 

supply technologies is Reclamation’s mission objective, a more effective cellulose acetate 

membrane could also have broad application in the commercial sector, e.g., the beverage 

processing industry. 

A fourth Reclamation/SST patent application involves advances made in the area of forward 

osmosis, which is a candidate for the next-generation of desalination technology that utilizes a 

natural osmotic process instead of the energy-intensive, high pressure, reverse osmosis process 

commonly used today.

38 Fiscal Year 2011 Federal Laboratory Technology Transfer Report
Reclamation, through a formal agreement with its patent partners, has the responsibility to 

transfer the technology to U.S. industries for commercialization. In FY 2011, with consultation 

and assistance from the USDA-ARS Technology Transfer Office, and TechComm, which is part 

of the network of partnership intermediaries used by ARS and DoD, Reclamation conducted 

a series of initial outreach efforts to U.S. industries. By the end of FY 2011, Reclamation had 

entered into two material transfer agreements with two separate U.S. industry representatives. 

One agreement involves the chlorine resistant polyamide membrane ,and the other agreement 

involves the new cellulose acetate membrane. Under each agreement, the companies will 

evaluate these new membrane technologies, including manufacturing full scale “operational 

ready” membranes for side-by-side testing against the standard industry products in actual field 

conditions at Reclamation’s Yuma Desalting Plant and at the U.S. Navy’s seawater desalination 

test facility at Port Hueneme, CA. Reclamation anticipates completing the testing program in FY 

2012 and, if appropriate, entering into license agreements with industry to ensure faster and 

greater utilization of the technologies.

Department of Transportation (DOT)

The U.S. Department of Transportation (DOT) is the federal steward of the Nation’s 

transportation system. DOT consists of multiple modal Operating Administrations, which carry 

out mission-related Research, Development and Technology (RD&T) programs in support 

of the DOT strategic goals: Safety; Livable Communities; State of Good Repair; Economic 

Competitiveness; and Environmental Sustainability. In 2004, the Research and Innovative 

Technology Administration (RITA) was charged by its enabling legislation (Public Law 108-426, 

November 30, 2004 (118 STAT. 2423)) with coordination of DOT-wide RD&T and technology 

transfer activities.

Technology Transfer activities are executed by the following DOT laboratories: Federal Aviation 

Administration’s (FAA’s) William J. Hughes Technical Center (Atlantic City, NJ); Federal Highway 

Administration’s (FHWA’s) Turner-Fairbank Highway Research Center (McLean, VA); and RITA’s 

Volpe National Transportation Systems Center (“Volpe Center,” Cambridge, MA).

For more information about the DOT technology transfer, please visit:

FAA http://www.faa.gov/about/office_org/headquarters_offices/ang/offices/tc/initiatives/ttp/

FHWA http://www.fhwa.dot.gov/everydaycounts/

RITA http://www.volpe.dot.gov/ourwork/techtrns.html

Highlights from Some of the Agency’s Technology Transfer Activities

Early Win for NextGen in 2011: Leaner, Greener Aircraft Arrivals

San Francisco (SFO), Los Angeles (LAX) and Miami (MIA) International Airports reported fuel 

savings and emissions reductions after three years of testing oceanic Tailored Arrival (TA), a 

project that supports the FAA Next Generation Air Transportation System (NextGen) program 

Federal Laboratory Technology Transfer Report Fiscal Year 2011 39
and includes the RITA Volpe Center, FAA air traffic control facilities, NASA, airlines and aircraft 

manufacturers. In an oceanic TA situation, a properly–equipped aircraft approaching a coastal 

destination from the ocean follows a path that optimizes fuel use during its descent. TA trials 

at SFO demonstrated significant benefits including reduced controller and pilot workload by 

decreasing the number of discrete arrival clearances and radio transmissions; decreased fuel 

burn and emissions by flying at near-idle thrust engine settings during descent; improved 

overall efficiency; and predictability of flight paths. 

The FAA Office of NextGen Operations Planning led this collaborative project with the active 

participation and support of RITA’s Volpe Center NextGen team. Volpe Center supported 

the TA test phase by providing project management assistance, analyzing emissions data, 

developing standard operational and measurement procedures, and accelerating procedural 

documentation of the trials. For example, Volpe Center aviation measurement experts 

quantified fuel savings from the TA trials at MIA that demonstrate worthwhile fuel and emissions 

savings with the new oceanic TA operations, as compared to standard approaches. 

With the completion of the flight trial phase, the FAA Air Traffic Organization’s En Route and 

Oceanic Services (ATO-E) took over the management of the TA project. These results have 

provided an “early win” for NextGen by pointing to future success in advancing economic and 

environmental benefits as ATO-E replicates the successful trials at other U.S. airports and Air 

Force bases. 

Volpe Center Enhances Rail Passenger Equipment Crashworthiness 

and Occupant Protection

Protecting train occupants in the event of a collision or derailment is an ongoing area of 

research investment and attention for DOT’s Federal Railroad Administration (FRA). The 

FRA relies on Volpe Center engineers to improve its understanding of the factors involved 

in protecting occupants and absorbing crash energy, focusing on the types of structural 

modifications that can prevent rail equipment from crushing and then limit or control any 

crush that does occur. Volpe Center engineers have investigated many severe passenger train 

accidents; staged impact tests; analyzed car-crush zones; and studied train and occupant 

dynamics to improve accident survivability. The Volpe Center has developed modeling tools 

and passenger rail equipment design strategies with improved crashworthiness over existing 

designs. Volpe Center crashworthiness research is being applied as the FRA develops new 

regulations and supports industry standards.

Volpe Center technical studies on crashworthiness, including locomotive crashworthiness, are 

widely disseminated and shared with the rail industry, and the application of results from these 

studies has contributed to safer designs and new standards development for both passenger 

and freight rail. Through the American Public Transportation Association (APTA) and the 

Association of American Railroads, the railroads and their equipment suppliers are involved 

in planning and conducting these studies, to ensure technology transfer. In this regard, results 

were presented to stakeholders at the 2011 Joint Rail Conference (JRC), where Volpe Center 

40 Fiscal Year 2011 Federal Laboratory Technology Transfer Report
experts organized and chaired sessions. Findings were documented and disseminated in FRA/

Volpe Center reports and in technical papers for the American Society of Mechanical Engineers 

(ASME), the Transportation Research Board (TRB), and APTA. 

FHWA: A New World of Ultra-High Performance Concrete

As the Nation looks to build longer-lasting bridges and more rapidly renew its highway 

infrastructure, the use of high-strength and high-performing materials is more important than 

ever. For more than 10 years, FHWA’s structural concrete R&D program has worked to take 

concrete to new levels with the implementation of ultra-high performance concrete (UHPC). 

Exhibiting superior properties such as exceptional durability, high compressive strength, and 

long-term stability, UHPC components can facilitate accelerated construction and allow for the 

use of longer bridge spans. States including Iowa, New York, and Virginia are now beginning 

to use the new technology. In Buchanan County, Iowa, for example, the construction of the 

Jakway Park Bridge received a boost with the successful use of a new type of UHPC bridge 

girder developed through the FHWA R&D program. This was the first bridge in the country to 

be built using the UHPC technology, demonstrating the viability of the concept from design, 

through construction, and into everyday use.

UHPC research focal areas are advancing, including through a Transportation Pooled Fund 

project being conducted in partnership with the New York State Department of Transportation 

(NYSDOT) and the Iowa Department of Transportation. The project is evaluating the 

performance of novel field-cast UHPC connections linking prefabricated bridge girders to 

precast concrete bridge decks. While the use of modular bridge deck components can produce 

higher quality, more durable bridge decks, the required connections have often been lacking, 

diminishing the overall system performance. The new UHPC connection eliminates the conflict 

points between the deck reinforcing bars and the girder shear connectors, allowing for easy 

field assembly. NYSDOT hopes to use the concept in a highway interchange reconstruction 

project.

Volpe Center Modeling Tool Helps FAA Ease Airport Congestion

Boarding an airplane, pushing back from the gate, and then getting caught in a long departure 

queue on the runway, is a common and annoying aspect of air travel. RITA’s Volpe Center is 

applying operations research techniques to support the FAA’s Collaborative Departure Queue 

Management initiative (CDQM). CDQM is one of many technologies under development 

as part of the NextGen program. The FAA has invested heavily in tools and technologies to 

address congestion of the airspace, and now is examining how to reduce congestion on the 

airport surface, with Volpe Center technical support.

Easing congestion on the airport surface potentially improves the level of customer satisfaction 

and significantly cuts down on the amount of fuel burned during taxi operations. An added 

benefit is a reduction in greenhouse gas emissions. 

As part of the CDQM prototype evaluation at the Memphis, TN, airport, flight schedules and 

air capacity data are shared between flight operators (e.g., airlines) and air traffic control. 

Federal Laboratory Technology Transfer Report Fiscal Year 2011 41
Sophisticated algorithms are used to assess real-time surface capacity and provide flight 

operators recommendations on when aircraft can push back and begin taxi-out procedures 

to minimize wait times. In some cases, aircraft may push back from the gate and sit in a 

virtual queue without starting their engines, and then begin the taxi-out procedure only when 

the actual departure runway queue is short. In other cases, passengers may be held in the 

terminal and begin boarding only when surface capacity has opened up sufficiently to allow for 

departure. Volpe Center’s Aviation Systems Engineering Division has developed a modeling 

and simulation tool being used by the FAA to assess the applicability and likely benefits of 

implementing CDQM in other airports. The data from the modeling and simulation tool, along 

with results of the Memphis CDQM evaluation, will provide key insight into the effectiveness 

of CDQM as an airport congestion management system. The FAA estimates that when fully 

implemented at the Memphis airport, CDQM can potentially reduce taxi-out time by 5000 

hours per year, resulting in savings of thousands of gallons of fuel. 

Volpe Assessments of Pavements for Highway Traffic Noise Reduction 

The Volpe Center‘s acknowledged expertise in tire-pavement noise issues and highway traffic 

noise prediction led two state transportation agencies to ask the Volpe Center to help assess 

various pavement types in terms of vehicle and highway traffic noise levels. Excessive levels 

of highway traffic noise affect people in houses, schools, parks, offices, and other facilities in 

the vicinity of the highways. Transportation agencies typically construct noise barriers to help 

reduce highway traffic noise, and they are looking for additional noise reduction strategies. 

The Arizona Department of Transportation (ADOT) asked the Volpe Center to conduct two 

studies. The first study examined three different safety surface treatments for Portland Cement 

Concrete (PCC) and ranked these in terms of noise. The outcome resulted in a change of 

standard practice in Arizona to the quietest of the three surface treatments. The second study 

was part of the Quiet Pavement Pilot Program (QPPP), a partnering research program of FHWA 

and ADOT, which is examining the noise reducing benefit of rubberized asphalt over time. The 

QPPP allows ADOT to account for the benefits of quieter pavement in noise impact analyses 

and barrier designs.

The California Department of Transportation (Caltrans) also asked the Volpe Center to help 

conduct two studies. The first study examined various safety surface treatments for PCC and 

ranked these in terms of noise. The second study examined noise associated with five asphalt 

pavement formulations. The noise reduction benefit of each pavement was investigated in 

terms of pavement age, pavement composition, and vehicle type. Ultimately, this study will 

contribute to recommended pavement use throughout the State of California.

These Volpe Center studies and noise measurement protocols could influence standard practice 

of pavement choice for highway projects in these and other states, as well as the national 

FHWA policy on accounting for the effects of pavements in highway traffic noise impact 

prediction and analysis.

42 Fiscal Year 2011 Federal Laboratory Technology Transfer Report
Volpe Center Supports New Tools for Regional Transportation Planning

Over the past four years, RITA’s Volpe Center has supported the Federal Highway 

Administration’s efforts to accelerate deployment of the Transportation Analysis and Simulation 

System (TRANSIMS). TRANSIMS is an open-source transportation planning model, intended for 

regional use, which provides several capabilities beyond those of traditional planning models, 

including the use of either tours or trips, a very fine-grained time-of-day detail, and the ability 

to perform traffic simulation over a region. Volpe Center staff support the TRANSIMS online 

community, participate in peer reviews, and provide oversight over several TRANSIMS projects. 

One significant milestone was reached in 2011 with the completion of the Moreno Valley 

TRANSIMS project. Moreno Valley is located approximately 50 miles east of Los Angeles, 

California, near Riverside. This project, with work primarily done by City of Moreno Valley 

personnel, used TRANSIMS to examine regional economic development and freight issues. 

Accomplishments included: 

• Use of parallel processing to route the Southern California Association of Governments 

(SCAG) network under both current and future (2035) conditions; some 48 million daily 

trips are projected in the year 2035 

• Micro-simulation of approximately two million projected daily trips over a substantial area, 

i.e., the city of Moreno Valley and environs 

• Achieving results quality comparable to that from the current planning model

The work involved significant collaboration, with local agencies such as SCAG and Riverside 

County, as well as the Transportation Analysis and Computing Center (TRACC) of Argonne 

National Labs. The TRACC cluster provided the computing capability to run the SCAG network 

(one of the largest regional planning networks in the Nation), and Argonne National Labs 

personnel provided initial training to city of Moreno Valley collaborators on TRANSIMS.

Environmental Protection Agency (EPA)

EPA’s Federal Technology Transfer Act (FTTA) Program was established to promote

collaboration between private sector and Federal researchers. EPA offers exceptional 

opportunities to develop and commercialize new technologies. Through the authority given 

to EPA by the Federal Technology Transfer Act of 1986 (Public Law 99-502), EPA facilitates the 

transfer of new technologies to the marketplace while protecting intellectual property rights of 

all parties.

Partners in the FTTA Program have the benefit of collaborating with world class EPA scientists 

involved in leading-edge research. Collaboration enhances the quality of research projects and 

helps move environmental technologies into the marketplace, resulting in better protection of 

human health and the environment.

For more information please visit: http://www.epa.gov/osp/ftta.htm.

Federal Laboratory Technology Transfer Report Fiscal Year 2011 43
Highlights from Some of the Agency’s Technology Transfer Activities

Removing Mercury, Arsenic and Other Metals from Contaminated Water Streams

MAR Systems of Cleveland, Ohio, and the EPA National Risk Management Research Laboratory 

(NRMRL) partnered under a Cooperative Research and Development Agreement (CRADA) to 

investigate the reuse of spent catalysts from the Claus Process (a final polishing step for light 

hydrocarbons to remove trace amounts of sulfur). The spent Claus Catalysts have historically 

required disposal, but the researchers found a reuse opportunity for them. 

The researchers used the spent Claus Catalysts to remove soluble metal contaminants from 

contaminated water streams. The feasibility and economics of utilizing the spent catalysts were 

investigated initially to remove ionic mercury from power plant scrubber water and to remove 

elemental mercury from power plant stack gas.

The collaboration has continued through an exclusive license for commercialization, and the 

technology has been developed into a media (Sorbster) that is manufactured and used to treat 

mercury, selenium, arsenic, and other metals in waste water streams at pH 3-12. This includes 

contaminated water streams, ground and surface water, and industrial waste streams. The 

technology achieves Clean Water standards, and is also cost-effective, simple, and reliable.

Through Sorbster, the spent Claus Catalyst technology is now commercially available for 

purchase and use. There have been a number of demonstration projects established with small 

units (less than 10 gallons-per-minute), and a commercial scale (250 gallon-per minute-system) 

has been installed at a chemical manufacturing facility. Additional commercial installations are 

under discussion. 

The future direction is to optimize the technology for additional metals removal. The partners 

are also investigating metals removal of vapor or stack emissions, as well as metals removal 

from wastewater associated with hydraulic fracturing. Additionally, MAR Systems is scaling up 

its manufacturing capability.

Fecal Source Identification Protocol Project (SIPP)

Fecal microbes are a common biological contaminant worldwide. Currently, the EPA and 

World Health Organization recommend indicator methods that do not discriminate between 

animal sources in contaminated water. Yet there are a number of technologies that have been 

developed that claim to distinguish between animal sources of fecal matter in water samples. 

This could be useful in determining how to address the sources of contamination found at 

beaches, in drinking water, and other water sources, affecting public health.

EPA embarked on a collaboration, called the Source Identification Protocol Project (SIPP), 

comprised of five laboratories: University of California Los Angeles; Stanford University; 

University of California Davis; the NRMRL; and the Southern California Coastal Water Research 

Project (SCCWRP). The SIPP is testing technologies that identify fecal sources in water. The 

44 Fiscal Year 2011 Federal Laboratory Technology Transfer Report
SIPP created a series of blind challenge test samples (comprised of 12 different animal 

sources, some samples mixed and some single-source) for any city, state, Federal, academic, 

or commercial laboratory to use to test their technology of choice. Thirty-nine technologies 

were used for this effort. Technologies ranged from bacterial genetic markers to canine scent 

detection. Four of the technologies tested were developed by EPA researchers. 

A secondary component of this project involved analyzing the repeatability of fecal sourcing 

identification technologies. Twelve technologies were selected for the repeatability analysis, 

including two EPA-patented technologies. These two technologies were licensed to the other 

collaborating laboratories for the purposes of this study.

The SIPP method evaluation study is the largest of its kind ever performed. The benefits of this 

collaboration include the ability to select a technology that accurately identifies the sources 

of fecal contamination that exist in a municipality’s water. This is beneficial because if the 

municipality can determine the source of the contamination, then it can work more effectively to 

mitigate it. Additionally, the potential market for highly effective technologies is considerable. 

Municipalities will be able to purchase these technologies for testing, and once the guidance 

manual is implemented by the State of California for fecal source identification, the demand 

for these technologies is expected to increase. Any state or municipality will be able to use the 

test result information gained through this collaboration to help select the most appropriate and 

effective technology for detecting fecal sources in their water systems. 

Final results are just becoming available, and indicate that EPA’s HF183Taqman assay, 

developed by EPA researcher Orin Shanks, performed the best during testing. It demonstrated 

100% sensitivity and quantitative specificity superior to all other technologies tested. 

For the EPA, it is anticipated that these technologies will play a role in future Total Maximum 

Daily Load programs, evaluation of agricultural best management practices, identification of 

faulty human waste management infrastructure, and modeling public health risk from exposure 

to fecal pollution from specific animal sources.

All fecal source identification technologies patented by the EPA were recently licensed to 

MicrobialInsights, Inc., of Rockford, Tennesssee, for commercialization. It is anticipated that 

these technologies will be available to consumers early in 2012. 

Characterizing Activity and Exhaust Emissions from Mobile Sources in the 

Houston-Galveston Area

Mobile sources contribute significantly to ambient concentrations of air contaminants, including 

particulate matter. EPA’s National Vehicle and Fuel Emissions Laboratory undertook a 

collaboration to develop a new sampling methodology and technical approaches to determine 

the amount and frequency of emissions within the Houston-Galveston, Texas area that pertain 

to the heavy-duty vehicle population. In particular, heavy-duty drayage vehicles used at ports 

were studied to determine their emissions contribution. Over 40 vehicles were studied in-depth 

Federal Laboratory Technology Transfer Report Fiscal Year 2011 45
for both emissions as well as activities, double the number originally anticipated due to the 

team’s enhanced efficiencies as the project progressed.

Under a CRADA, both parties provided technical expertise, and the EPA contributed equipment 

and specialized expertise in statistical sampling and vehicle emissions measurement 

methodologies. The collaborators also worked with the Port Authority of Houston to enhance 

the data acquired on the amount of time vehicles were in the port area. 

Although final results are not yet available, EPA anticipates the ability to improve on its mobile 

source emission model (MOVES) to include port data acquired in this project. For a small 

cash contribution, the Houston-Galveston Area Council gained a much clearer picture of the 

contributions of port vehicles to their overall air emissions.

More broadly, the benefits of this research are in the potential for states to more accurately 

estimate the amount of emissions coming out of heavy-duty vehicle usage areas, such as ports. 

As EPA’s models are enhanced to include more real-world data, states can better anticipate how 

they will comply with National Ambient Air Quality Standards (NAAQS). 

Sampling methodologies were also enhanced through this project, and the EPA established a 

more thorough, statistically accurate sampling methodology for heavy-duty vehicles. These 

methodologies could be applied at numerous other geographic locations with heavy port usage 

to determine emissions contributions to the local area, as well as to further enhance the data 

used by the EPA to feed into its emissions models.

National Aeronautics and Space Administration (NASA)

Since its creation in 1958, NASA’s mandate has included the broad dissemination of its 

research results for the public benefit. In FY 2011 a new Office of Chief Technologist was 

created to serve as the focal point for overall coordination of the agency’s technology 

development efforts, as well as to manage a new Space Technology Program. The Innovative 

Partnerships Program was merged into this new Office. The technology transfer functions 

that were performed by the Innovative Partnerships Program are now the responsibility of the 

Innovative Partnerships Office (IPO) within the Office of Chief Technologist. In addition to its 

NASA Headquarters office in Washington, DC, the IPO has locations within each of NASA’s 

ten centers, and is dedicated to fostering technology transfer and technology development 

partnerships with industry, academia, government agencies, and national laboratories. The 

IPO is responsible for facilitating intellectual property protection and transfer of NASAdeveloped technology for commercial application and other public benefit. NASA continues to 

seek dual use technology development partnerships that advance agency mission goals and, at 

46 Fiscal Year 2011 Federal Laboratory Technology Transfer Report
the same time, apply NASA technology for the benefit of commerce and the public good.

NASA has a long history of being a leader in technology development and transferring its 

space and aeronautics research to the public. The benefits of NASA research are all around 

us. Knowledge provided by weather and navigational spacecraft, efficiency improvements in 

both ground and air transportation, super computers, solar- and wind-generated energy, the 

cameras found in many of today’s cell phones, improved biomedical applications including 

advanced medical imaging and even more nutritious infant formula, as well as the protective 

gear that keeps our military, firefighters and police safe, have all benefitted from our Nation’s 

investments in aerospace technology. 

NASA technologies have made us healthier and safer, introduced space-age efficiencies to 

our manufacturing processes, made transportation safer, and paved the way for cleaner and 

greener technologies. Meanwhile, these same technologies have launched companies, even 

industries, saved lives, and created jobs. 

In the coming years, as NASA renews its technology-development emphasis, the agency’s 

technology transfer program will work to meet this influx of new inventions, and the public 

should experience a commensurate increase in the benefits of NASA’s research and 

development activities.

NASA’s new technology investment strategy will drive the next wave of innovation, enabling 

missions to be performed in new ways and creating missions never possible before. NASA’s 

innovations will provide countless opportunities for advances in science, engineering, 

transportation, public safety, computer science, industrial productivity, consumer goods, health, 

and medicine, while supporting the U.S. global leadership in innovation.

NASA will implement a robust effort that matures technologies so that they are used by NASA 

missions as well as other government agencies and the private sector. NASA will identify and 

patent those technologies that are promising. Industry will license existing patents. Some 

technologies may be distributed via other collaborative research partnerships. Those that are 

successfully transferred to the commercial market will be highlighted in the annual Spinoff 

publication.

Each year, NASA documents examples of notable successes from its technology transfer 

efforts in its annual Spinoff magazine publication. The magazine is available online at http://

spinoff.nasa.gov/. To date, over 1,700 examples of technology transfer successes have been 

documented in the publication, all of which are searchable through an online database 

available through www.sti.nasa.gov/spinoff/database. In addition, NASA has established a 

website called NASA Home and 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 

Federal Laboratory Technology Transfer Report Fiscal Year 2011 47
participates with several other Federal agencies in highlighting technologies available for 

licensing for commercial and research application. 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

Highlights from Some of the Agency’s Technology Transfer Activities

Thermal Components Boost Performance of HVAC Systems

A Rockledge, Florida-based company, Mainstream Engineering Corporation, works with NASA 

to develop advanced thermal control technology for spacecraft. Most recently, Mainstream 

developed new products, based on SBIR work with Johnson Space Center, that improve air 

conditioner performance and filtration—a boon for allergy and asthma sufferers. 

Control Algorithms Charge Batteries Faster

Advanced Power Electronics Corporation of Orlando, Florida, partnered with Glenn Research 

Center through the SBIR program to develop an advanced power converter for space systems. 

The company incorporated control algorithms created through the partnership into a solar 

charger that charges batteries 30 percent faster than comparative devices.

Rugged Analyzers Measure Greenhouse Gasses, Airborne Pollutants

Los Gatos Research Inc., of Mountain View, California, partnered with Ames Research Center to 

develop instrumentation for detecting signs of life in deep sea and deep space environments. 

This led the company to commercialize a range of highly accurate and sensitive analyzers for 

detecting pollutants and greenhouse gasses. Los Gatos plans to grow from 30 to nearly 50 

full-time employees by the end of 2011. 

Custom Machines Advance Composite Manufacturing

Through the SBIR program, Accudyne Systems Inc., of Newark, Delaware, developed a device 

for creating thermoplastic composite structures without the use of an expensive autoclave. 

The partnership yielded technology for the company’s commercial, custom-built composite 

manufacturing machines, helping advance composite part fabrication. 

Integrated Design Tools Save Time, Money

Thanks in part to a SBIR award with Langley Research Center, Phoenix Integration Inc., based 

in Blacksburg, Virginia, modified and advanced software for process integration and design 

automation. For NASA, the tool has resulted in lower project costs and reductions in design 

time; clients of Phoenix Integration are experiencing the same rewards. 

48 Fiscal Year 2011 Federal Laboratory Technology Transfer Report
Department of Veterans Affairs (VA)

The Department of Veterans Affairs (VA) operates, through the Veterans Health Administration 

(VHA), a substantial research program in connection with the research programs at many of the 

medical institutions with which VA is affiliated. As a result, many of our researchers also hold 

academic appointments with our affiliates. Some of our best and most beneficial inventions 

have come out of this setting, and VA wants to continue to promote this research environment 

and relationship, as it benefits our veterans and the public generally.

Although VA can assert an ownership right in inventions made by our employees under 

Executive Order 10096, and its implementing regulations, it cannot and does not do so to the 

exclusion of our university partners or the inventors. Since many of VA’s researchers hold dual 

appointments with VA and a university, VA recognizes that the universities may have an interest 

in an invention made at a VA facility, leading to joint ownership.

To further enhance the unique relationship and the cooperation between the research 

affiliates and VA, and to facilitate the technology transfer process, the Office of Research 

and Development’s (ORD’s) Technology Transfer Program (TTP) developed a Cooperative 

Technology Administration Agreement (CTAA). This agreement encompasses the obligations 

of the university partner and the interests of VA while fostering the relationship between the 

two organizations. It further outlines relevant definitions, terms, and conditions for handling 

intellectual property (IP) on behalf of both organizations. Using the CTAA allows ownership to 

remain with VA while providing the university unimpeded access and authority to patent and 

market the IP in question. Using CTAAs creates a mutually beneficial situation for VA and its 

academic affiliates while strengthening and expanding existing partnerships to the advantage 

of both organizations. Currently, VA has 59 active CTAAs that include the leading research 

institutions in the country. This agreement format has proven extremely efficient in handling 

jointly owned intellectual property, and VA has not encountered any substantive problems. 

More information is available on the VA’s Technology Transfer Program website:

http://www.research.va.gov/programs/tech_transfer/default.cfm

Federal Laboratory Technology Transfer Report Fiscal Year 2011 49
CONCLUSION

Technology transfer is an active and essential mission of Federal research and development 

laboratories. By leveraging our Nation’s innovative nature and investing in science and 

technology, we strengthen our economy and American competitiveness in world markets. 

This report details the results of technology partnering activities of Federal agencies. 

The statistical data provided in this report indicate that over the five-year span from 2007 

through 2011, CRADA collaborations with Federal laboratories increased somewhat, 

corresponding to a small upward growth of new CRADAs. Invention disclosures, patent 

applications filed, and patents issued remained steady over the period from Fiscal Year 2007 

through Fiscal Year 2010, followed by significant increases in Fiscal Year 2011. Licensing 

activity showed an increasing trend over the past five years; however, licensing revenue 

remained relatively flat over the same period.

These numbers, however, do not tell the whole story. Federal laboratories transfer many 

technologies through a variety of mechanisms not reflected in this report. A number of studies 

and workgroups are underway to evaluate technology transfer and develop appropriate metrics 

to accurately describe and measure the role of Federal research in supporting our over-all 

economic well-being.

The sampling of success stories presented in this report provides 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 and development 

continues to support our economic growth and international competitiveness by successfully 

transferring and facilitating commercialization of federally created technologies. 

50 Fiscal Year 2011 Federal Laboratory Technology Transfer Report
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