Federal Laboratory

Technology Transfer 

Fiscal Year 2007

Prepared by:

National Institute of

Standards and Technology

U.S. Department of Commerce

January 2009

Summary Report to

the President and the Congress
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ii

FOREWORD

The Department of Commerce is pleased to present to the President and the Congress this 

Federal Laboratory Technology Transfer Report summarizing the achievements of 

Federal technology transfer and partnering programs of the Federal research and 

development agencies in fiscal year 2007. This report fulfills the requirement in 15 USC 

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

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

106-404) and related legislation. 

Technology transfer fosters the commercialization of government funded discoveries 

resulting from Federal laboratories’ research and collaborative programs as an important 

part of the laboratories’ mission. Today, Federal laboratories continue to reach out to 

industry, academic institutions, foundations, state and local governments, and 

international institutions through external collaborations and partnerships, leveraging 

Federal research and development as an engine to keep the United States a leader in 

technology and innovation and to stimulate economic growth. This report provides a 

summary of the results of Federal technology transfer in fiscal year 2007. 
iii

TABLE OF CONTENTS 

CHAPTER 1: Overview of Federal Technology Transfer........................................ 1 

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

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

CHAPTER 2: Performance in Fiscal Year 2007 ....................................................... 4 

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

CHAPTER 3: Outcomes and Impact of Technology Transfer Activities ............. 16 

Department of Agriculture (USDA) ............................................................................. 16 

Department of Commerce (DOC) ................................................................................ 19 

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

Department of Energy (DOE)....................................................................................... 24 

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

Department of Homeland Security (DHS) ................................................................... 29 

Department of the Interior (DOI) ................................................................................. 30 

Department of Transportation (DOT)........................................................................... 32 

Department of Veterans Affairs (VA).......................................................................... 34 

Environmental Protection Agency (EPA) .................................................................... 35 

National Aeronautics and Space Administration (NASA) ........................................... 38 

Conclusion ................................................................................................................... 40 

LIST OF TABLES 

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

Table 2: Invention Disclosure and Patenting...................................................................... 8 

Table 3: Profile of Active Licenses .................................................................................. 10 

Table 4: Characteristics of Licensing Bearing Income..................................................... 13 

Table 5: Income from Licensing (Dollars reported in thousands).................................... 14 
iv

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1

CHAPTER 1 

Overview of Federal Technology Transfer 

Federal laboratories continue to actively partner with numerous and diverse non-federal 

organizations in industry, academia, the non-profit sector, State and local governments, 

and international organizations. These partnerships transform research into economic 

and social value using a variety of activities for evaluating, protecting, transferring, and 

monitoring Federal inventions. While focusing on critical national issues, Federal 

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

solve many of our greatest challenges. By making these discoveries accessible to private, 

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

provides expertise and resources resulting in viable products that can give the United 

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

Americans. 

This report summarizes information from individual reports prepared by each Federal 

agency conducting R&D within its laboratories and provides an overview of activities 

across agencies. This is the first year the summary report has been organized and 

prepared by the Department of Commerce (DOC) National Institute of Standards and 

Technology (NIST). An electronic version of this report is available on the internet at: 

http://patapsco.nist.gov/ts/220/external/index.htm. Previous editions of this report were 

prepared by DOC’s former Technology Administration and are also available on the 

internet at: http://patapsco.nist.gov/ts/220/external/tech_transfer.htm.

Scope 

This report summarizes the technology transfer achievements of the eleven Federal 

agencies that have significant Federal laboratory operations: 

Department of Agriculture (USDA) 

Department of Commerce (DOC) 

Department of Defense (DoD) 

Department of Energy (DOE) 

Department of Health and Human Services (HHS) 

Department of Homeland Security (DHS) 

Department of the Interior (DOI) 

Department of Transportation (DOT) 

Department of Veterans Affairs (VA) 

Environmental Protection Agency (EPA) 

National Aeronautics and Space Administration (NASA) 

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

intellectual property arising from their laboratory science and technology endeavors. 
2

Technology Transfer Principles and Approach 

Federal laboratories collaborate with industry, academia, non-profit organizations, State 

and local governments, and international organizations to form partnerships and transfer 

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

Although research results are often driven by a specific need, many economically viable 

advances might otherwise be overlooked or go unused without a dedicated effort by 

technology transfer offices. Technology transfer offices within the Federal laboratories 

assist by guiding the inventors and collaborators through the process to transfer 

innovations. A primary benefit of technology transfer is the contribution made to the 

public from new products, medical treatments, services, and innovations that reach the 

market, as well as the jobs created from cultivating and marketing these new goods. In 

addition to strengthening the regional and United States economies, successful 

partnerships provide additional benefits including: 

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

• Create new businesses, especially small businesses 

• Attract and retain talented innovators within the Federal laboratories 

• Provide direct support to the mission of each agency 

• Accelerate the development process and reduces costs for products and services to 

reach the marketplace 

• Support further research by generating licensing revenue 

• Create new products in health care, defense and security 

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

Cooperative Research and Development 

Relationships for cooperative research and development between federal laboratories and 

outside partners are widely viewed as beneficial settings for technology transfer. Beyond 

the new know-how and technology that may result, these joint efforts can often confer a 

mutually advantageous leveraging of partners’ resources and technical capabilities, as 

well as avenues for a partner to gain new competences and absorb new skills. 

One frequently used mechanism for establishing these joint relationships is the 

Cooperative Research and Development Agreement (CRADA). CRADAs are 

agreements between a Federal laboratory and one or more partners to work together on a 

R&D project. CRADAs were legislated by the Congress to encourage the Federal 

laboratories to participate in R&D partnerships for the purpose of advancing promising 

technologies toward commercialization. Some agencies have unique authority for 

cooperative R&D, such as NASA’s use of Space Act Agreements. 

 Intellectual Property Management 

Invention Disclosure and Patenting 

The protection of intellectual property is vital to driving additional investment and 

product development for early stage research products to reach their full commercial 

potential. Federal laboratory activities in the areas of invention disclosure and patenting 
3

are often cited as indicators of the active management of intellectual assets and technical 

know-how. 

Licensing 

Licensing is one of the chief commercialization mechanisms to create incentives for 

industry to further develop leading edge technologies that will be put to use in the 

economy contributing to competitiveness and growth, rather than leaving them unused. 

Without the availability of licenses from the Federal Government to develop 

Government-owned technologies and inventions, those technologies would not be used or 

developed into products and services. The terms and conditions by which intellectual 

property is licensed are negotiated for each agreement and vary based on many factors 

including state of readiness for the technology to reach the market, the financial resources 

needed to develop the technology into a product ready for consumers, and projected 

market impact.

Other Mechanisms 

There is a wide variety of types of technology transfer involving different purposes and 

tools appropriate for different situations. In addition to the mechanisms mentioned 

above, technology transfer offices use other mechanisms tailored to support the specific 

focus and mission of each Federal laboratory. Some of these technology transfer 

mechanisms include: 

• Conferences, workshops, and inquiries 

• Guest researchers and facilities users 

• Outreach to trade and technical media 

• Written information including technical publications, and reports to stakeholders 

• Standard Reference Materials 

• Standard Reference Data 

• Documentary standards 

• Material transfer licenses 

• Calibration services

• Collaborative Research Agreements (e.g., MOUs, Clinical Trial Agreements)
4

CHAPTER 2 

Performance in Fiscal Year 2007 

Strengthening Performance Metrics 

Each Federal research and development agency prepares and submits an annual report 

covering data on technology transfer as described in 15 USC 3710(f). These reports 

include details on each agency’s technology transfer program and plans to use technology 

transfer to advance the agency’s mission and promote U.S. competitiveness. In addition, 

specific data is provided that demonstrates a level of utilization of the basic technology 

transfer authority including: 

• number of patents filed 

• number of patents received 

• number of fully executed licenses and details regarding the license 

• earned royalty income and other royalty statistical information 

• disposition of royalty income 

• number of licenses terminated for cause 

• discussion of other relevant parameters unique to the agency 

The tables below present a brief cross-agency summary of the numeric data on the 

utilization of technology transfer tools. It is evident from this numerical data that 

technology transfer tools and practices continue to be well used across the agencies. 

However, measuring the overall impact of technology transfer continues to be 

challenging. It remains far easier to assemble statistics on technology transfer activities 

than to quantify downstream benefits and the effectiveness of implemented programs 

because bringing inventions into practice involves many variables and factors. For 

example, knowledge gained from initial research may not make an immediate impact on 

the public, but may open new avenues for discoveries that lead to future products, 

medical treatments, and services that benefit the United States. Anecdotal evidence and 

success stories demonstrating the broad range of successful outcomes of technology 

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

hazards, and new business start-ups are but a few examples. Chapter 3 of this report 

provides a small sampling of the numerous positive impacts and outcomes of Federal 

technology transfer activities. 

The Federal agencies jointly discuss and review new and better ways to improve both 

quantitative and qualitative measurements of performance, and other ways to disseminate 

and adopt best practices, through the Inter-agency Workgroup for Technology Transfer. 

Program-specific evaluations at each Federal laboratory can be found described in 

individual agency technology transfer reports. 

 The following tables give a summary of key data on technology transfer activities for FY 

2003 – 2007. The total figures from all the agencies at the bottom of the tables indicate 

that CRADAs, licensing, and associated income generally increased between 2003 and 

2007, whereas new inventions disclosed and patenting remained steady. These total 
5

figures and trends represent a steady program, although there remains, as shown by the 

volume of CRADAs, licensing, patenting, and earned royalty income activities, a very 

active Federal technology transfer curriculum. The data was complied from individual 

reports prepared by each agency. 

In Table 1, traditional CRADAs refer to collaborative research and development by a 

federal laboratory and non-federal partners. Non-traditional CRADAs are used for 

special purposes such as material transfer or technical assistance that may result in 

protected information. In table 3, other IP licenses include copyrighted software (not 

including open source software licenses, which are also copyrighted software), open 

channel-web and noncommercial software licenses, biological materials, and other forms 

of intellectual property. 
6

Table 1: Collaborative Relationships for Research and Development . 

 FY 2003 FY 2004 FY 2005 FY 2006 FY 2007 

DHS DHS will begin compiling and reporting data in 2008 

 

DOC ● CRADAs, total active in the FY 1,903 1,969 1,904 3,008 2,778

 - New, executed in the FY 1,767 1,790 1,764 2,158 1,865

 ▪ Traditional CRADAs, total active in the FY 92 67 80 149 154

 ▪ Non-traditional CRADAs, total active in FY 1,811 1,902 1,826 2,859 2,624

 ▪ Other collaborative R&D relationships 1,814 2,301 2,714 2,769 2,695

 

DOD ● CRADAs, total active in the FY 2,134 2,833 2,736 2,999 2,971

 - New, executed in the FY 630 786 679 705 641

 ▪ Traditional CRADAs, total active in the FY 1,523 2,425 2,736 2,424 2,383

 ▪ Non-traditional CRADAs, total active in FY 611 408 474 575 588

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

 

DOE ● CRADAs, total active in the FY 661 610 644 631 697

 - New, executed in the FY 140 157 164 168 182

 ▪ Traditional CRADAs, total active in the FY 661 610 644 631 697

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

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

 

DOI ● CRADAs, total active in the FY 51 61 70 82 170

 - New, executed in the FY 12 16 21 38 112

 ▪ Traditional CRADAs, total active in the FY 51 45 49 31 20

 ▪ Non-traditional CRADAs, total active in FY 0 16 21 51 150

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

 

DOT ● CRADAs, total active in the FY 96 0 57 59 36

 - New, executed in the FY 7 0 5 6 7

 ▪ Traditional CRADAs, total active in the FY 96 0 55 59 36

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

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

 

EPA ● CRADAs, total active in the FY 91 104 107 94 84

 - New, executed in the FY 39 23 33 16 18

 ▪ Traditional CRADAs, total active in the FY 77 82 95 83 67

 ▪ Non-traditional CRADAs, total active in FY 14 22 12 11 17

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

 

HHS ● CRADAs, total active in the FY 427 220 215 164 285

 - New, executed in the FY 102 95 101 66 69

 ▪ Traditional CRADAs, total active in the FY 254 119 117 92 206

 ▪ Non-traditional CRADAs, total active in FY 173 101 98 72 79

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

 
7

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

 FY 2003 FY 2004 FY 2005 FY 2006 FY 2007 

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

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

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

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

 ▪ Other collaborative R&D relationships 3,579(*) 3,987 4,025 3,492 2,666

 

USDA ● CRADAs, total active in the FY 229(*) 205 199 195 230

 - New, executed in the FY 55(*) 44 55 57 69

 ▪ Traditional CRADAs, total active in the FY 212(*) 185 171 163 184

 ▪ Non-traditional CRADAs, total active in FY 17(*) 20 28 22 23

 ▪ Other collaborative R&D relationships 2,769 1,166 5,028 3,477 4,084

 

VA ● CRADAs, total active in the FY 11(*) 14 16 38 75

 - New, executed in the FY 8 5 3 24 44

 ▪ Traditional CRADAs, total active in the FY 11(*) 14 15 34 66

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

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

 

TOTALS ● CRADAs, total active in the FY 5,603 6,016 5,949 7,271 7,327

 - New, executed in the FY 2,760 2,916 2,826 3,238 3,006

 ▪ Traditional CRADAs, total active in the FY 2,316 2,937 3,319 3,036 3,117

 ▪ Non-traditional CRADAs, total active in FY 2,626 2,469 2,461 3,590 3,481

 ▪ Other collaborative R&D relationships 8,162 7,454 11,767 9,738 9,445

 

(*) Reflects data correction from FY 2003 Summary Report.

n/r = Data not reported. 
8

Table 2: Invention Disclosure and Patenting 

 FY 2003 FY 2004 FY 2005 FY 2006 FY 2007 

DHS DHS will begin compiling and reporting data in 2008 

 

DOC ● New inventions disclosed in the FY 21 25 21 14 32

 ● Patent applications filed in the FY 5 12 12 5 7

 ● Patents issued in the FY 9 12 10 7 4

 

DOD ● New inventions disclosed in the FY 1,332 1,369 534 1,056 838

 ● Patent applications filed in the FY 810 517 354 691 597

 ● Patents issued in the FY 619 426 191 472 425

 

DOE ● New inventions disclosed in the FY 1,469 1,617 1,776 1,694 1,575

 ● Patent applications filed in the FY 866 661 812 726 693

 ● Patents issued in the FY 627 520 467 438 441

 

DOI ● New inventions disclosed in the FY 9 6 4 5 7

 ● Patent applications filed in the FY 8 6 3 2 5

 ● Patents issued in the FY 5 9 9 5 6

 

DOT ● New inventions disclosed in the FY 0 0 4 3 2

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

 ● Patents issued in the FY 0 0 2 0 3

 

EPA ● New inventions disclosed in the FY 14 18 12 12 16

 ● Patent applications filed in the FY 23 12 13 13 15

 ● Patents issued in the FY 8 11 9 10 10

 

HHS ● New inventions disclosed in the FY 472 461 452 442 447

 ● Patent applications filed in the FY 279 216 230 166 261

 ● Patents issued in the FY 136 167 154 164 379

 

NASA ● New inventions disclosed in the FY 1,485(*) 1,612 1,678 1,705 1,268

 ● Patent applications filed in the FY 231(*) 207 202 196 105

 ● Patents issued in the FY 155(*) 189 133 144 93

 

USDA ● New inventions disclosed in the FY 121 142 125 105 126

 ● Patent applications filed in the FY 60 81 88 83 114

 ● Patents issued in the FY 64 50 27 39 37

 
9

Table 2: Invention Disclosure and Patenting (continued) 

 FY 2003 FY 2004 FY 2005 FY 2006 FY 2007 

VA ● New inventions disclosed in the FY 183 204 165 157 175

 ● Patent applications filed in the FY 36 54 26 27 25

 ● Patents issued in the FY 8 7 10 5 8

 

TOTALS ● New inventions disclosed in the FY 5,106 5,454 4,771 5,193 4,486

 ● Patent applications filed in the FY 2,318 1,768 1,745 1,912 1,824

 ● Patents issued in the FY 1,631 1,391 1,012 1,284 1,406

 

(*) Reflects data correction from FY 2003 Summary Report.
10

Table 3: Profile of Active Licenses 

 FY 2003 FY 2004 FY 2005 FY 2006 FY 2007 

DHS DHS will begin compiling and reporting data in 2008 

 

DOC ● All licenses, number total active in the FY 101 125 133 111 217

 ▫ New, executed in the FY 59 100 108 83 187

 ▪ Invention licenses, total active in the FY 101 125 133 111 222

 ▫ New, executed in the FY 59 100 108 83 187

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

 

DOD ● All licenses, number total active in the FY 364 369 412 444 460

 ▫ New, executed in the FY 49 60 60 56 67

 ▪ Invention licenses, total active in the FY 361 364 406 438 460

 ▫ New, executed in the FY 49 60 60 56 67

 ▪ Other IP licenses, total active in the FY 3 5 6 6 35

 

DOE ● All licenses, number total active in the FY 3,687 4,345 5,677 5,916 5,842

 ▫ New, executed in the FY 711 616 750 652 606

 ▪ Invention licenses, total active in the FY 1,223 1,362 1,535 1,420 1,354

 ▫ New, executed in the FY 172 168 198 203 164

 ▪ Other IP licenses, total active in the FY 2,464 2,983 4,142 4,496 4,488

 

DOI ● All licenses, number total active in the FY 11 13 20 21 15

 ▫ New, executed in the FY 1 3 5 1 1

 ▪ Invention licenses, total active in the FY 10 12 19 20 15

 ▫ New, executed in the FY 1 3 5 1 0

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

 

DOT ● All licenses, number total active in the FY 0 1 5 5 5

 ▫ New, executed in the FY 0 0 4 0 0

 ▪ Invention licenses, total active in the FY 0 1 5 5 1

 ▫ New, executed in the FY 0 0 4 4 0

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

 
11

Table 3: Profile of Active Licenses (continued) 

 FY 2003 FY 2004 FY 2005 FY 2006 FY 2007 

EPA ● All licenses, number total active in the FY 32 38 39 35 38

 ▫ New, executed in the FY 9 7 4 2 5

 ▪ Invention licenses, total active in the FY 32 38 39 35 38

 ▫ New, executed in the FY 9 7 4 2 5

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

 

HHS ● All licenses, number total active in the FY 1,423(*) 1,424 1,532 1,535 1,418

 ▫ New, executed in the FY 230(*) 288 349 290 293

 ▪ Invention licenses, total active in the FY 1,350(*) 1,173 1,237 1,213 915

 ▫ New, executed in the FY 218(*) 249 291 253 234

 ▪ Other IP licenses, total active in the FY 82 251 295 322 460

 

NASA ● All licenses, number total active in the FY 521 861 1,338 1,675 1,883

 ▫ New, executed in the FY 270(*) 423 505 375 261

 ▪ Invention licenses, total active in the FY 312(*) 338 441 477 461

 ▫ New, executed in the FY 71(*) 107 129 73 28

 ▪ Other IP licenses, total active in the FY 209(*) 523 897 1,198 1,422

 

USDA ● All licenses, number total active in the FY 270 296 320 332 339

 ▫ New, executed in the FY 27 29 33 25 25

 ▪ Invention licenses, total active in the FY 270 296 320 332 339

 ▫ New, executed in the FY 27 29 33 25 25

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

 

VA ● All licenses, number total active in the FY 88 95 101 112 130

 ▫ New, executed in the FY 7 9 6 11 18

 ▪ Invention licenses, total active in the FY 88(*) 95 101 112 130

 ▫ New, executed in the FY 7 9 6 11 18

 ▪ Other IP licenses, total active in the FY 12 12 0 0 0

 
12

Table 3: Profile of Active Licenses (continued) 

 FY 2003 FY 2004 FY 2005 FY 2006 FY 2007 

TOTALS ● All licenses, number total active in the FY 6,497 7,567 9,577 10,186 10,347

 ▫ New, executed in the FY 1,363 1,535 1,824 1,495 1,463

 ▪ Invention licenses, total active in the FY 3,747 3,804 4,236 4,163 3,935

 ▫ New, executed in the FY 613 732 838 711 728

 ▪ Other IP licenses, total active in the FY 2,771 3,775 5,341 6,023 6,405

 

(*) Reflects data correction from FY 2003 Summary Report.
13

Table 4: Characteristics of Licensing Bearing Income

 FY 2003 FY 2004 FY 2005 FY 2006 FY 2007 

 DHS DHS will begin compiling and reporting data in 2008 

 

DOC ● All income bearing licenses, number 37 23 25 30 35

 ▫ Exclusive 20 11 12 17 16

 

DOD ● All income bearing licenses, number 135 103 110 112 194

 ▫ Exclusive 55 48 59 64 84

 

DOE ● All income bearing licenses, number 2,523 3,236 2,549 2,822 3,291

 ▫ Exclusive 246 255 248 353 352

 

DOI ● All income bearing licenses, number 11 14 18 18 14

 ▫ Exclusive 5 8 9 9 4

 

DOT ● All income bearing licenses, number 7(*) 1 5 4 4

 ▫ Exclusive 2(*) 1 2 3 2

 

EPA ● All income bearing licenses, number 32 38 39 35 38

 ▫ Exclusive 7 8 5 6 6

 

HHS ● All income bearing licenses, number 821 758 816 849 901

 ▫ Exclusive 121 121 127 134 144

 

NASA ● All income bearing licenses, number 203(*) 225 235 244 236

 ▫ Exclusive 106(*) 103 103 106 106

 

USDA ● All income bearing licenses, number 268 294 318 330 337

 ▫ Exclusive 183 200 220 233 241

 

VA ● All income bearing licenses, number 67 74 82 93 115

 ▫ Exclusive 8 9 14 24 44

 

TOTALS ● All income bearing licenses, number 3,969 4,797 4,267 4,597 5,181

 ▫ Exclusive 698 767 810 950 1,000

(*) Reflects data correction from FY 2003 Summary Report.
14

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

 FY 2003 FY 2004 FY 2005 FY 2006 FY 2007 

DHS DHS will begin compiling and reporting data in 2008 

 

DOC ● Total income, all licenses active in FY $128 $203 $147 $194 $225

 ▪ Invention licenses $128 $203 $147 $194 $225

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

 ● Total Earned Royalty Income, (ERI) $128 $170 $139 $170 $217

 

DOD ● Total income, all licenses active in FY $9,966 $9,204 $10,650 $10,963 $14,246

 ▪ Invention licenses $9,966 $9,199 $10,637 $10,961 $14,240

 ▪ Other IP licenses, total active in the FY $0 $5 $13 $2 $6

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

 

DOE ● Total income, all licenses active in FY $25,805 $27,252 $27,382 $35,572 $39,165

 ▪ Invention licenses $23,670 $23,321 $24,226 $32,211 $34,933

 ▪ Other IP licenses, total active in the FY $2,136 $3,931 $3,156 $3,362 $4,233

 ● Total Earned Royalty Income, (ERI) $6,612 $10,882 $12,443 $18,332 $18,759

 

DOI ● Total income, all licenses active in FY $41 $48 $71 $47 $57 

 ▪ Invention licenses $41 $48 $71 $47 $57 

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

 ● Total Earned Royalty Income, (ERI) $41 $45 $68 $46 $57 

 

DOT ● Total income, all licenses active in FY $0 $0 $37 $22 $34

 ▪ Invention licenses $0 $0 $22 $22 $34

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

 ● Total Earned Royalty Income, (ERI) $0 $0 $22 $22 $34

 

EPA ● Total income, all licenses active in FY $908 $762 $666 $632 $544

 ▪ Invention licenses $908 $762 $666 $632 $544

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

 ● Total Earned Royalty Income, (ERI) $677(*) $205 $34 $29 $107

 

HHS ● Total income, all licenses active in FY $55,199 $56,479 $98,542 $83,097 $88,799

 ▪ Invention licenses $54,571 $56,170 $96,485 $82,187 $67,108

 ▪ Other IP licenses, total active in the FY $628 $309 $2,057 $909 $19,128

 ● Total Earned Royalty Income, (ERI) $58,782(*) $39,456 $76,695 $63,250 $70,743

 
15

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

 FY 2003 FY 2004 FY 2005 FY 2006 FY 2007 

NASA ● Total income, all licenses active in FY $2,799(*) $3,124 $3,935 $4,862 $2,912

 ▪ Invention licenses $1,694(*) $3,036 $3,935 $4,726 $2,912

 ▪ Other IP licenses, total active in the FY $5(*) $89 n/a $136 n/a

 ● Total Earned Royalty Income, (ERI) $234(*) $929 $1,333 $2,162 $1,352

 

USDA ● Total income, all licenses active in FY $2,291 $2,164 $3,315 $3,162 $3,588

 ▪ Invention licenses $2,291 $2,164 $3,315 $3,162 $3,588

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

 ● Total Earned Royalty Income, (ERI) $1,561 $1,427 $2,089 $2,337 $2,682

 

VA ● Total income, all licenses active in FY $153 $279 $117 $138 $358

 ▪ Invention licenses $153 $279 $117 $138 $358

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

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

 

TOTAL ● Total income, all licenses active in FY $97,290 $99,211 $144,640 $138,243 $149,894

 ▪ Invention licenses $93,422 $73,269 $115,313 $107,714 $123,965

 ▪ Other IP licenses, total active in the FY $2,769 $4,334 $5,226 $4,409 $23,367

 ● Total Earned Royalty Income, (ERI) $47,591 $53,113 $92,801 $86,326 $93,917

(*) Reflects data correction from FY 2003 Summary Report.

n/a = Data not available from agency.
16

CHAPTER 3 

Outcomes and Impact of Technology Transfer Activities 

Individual success stories cut across industrial sectors and demonstrate the broad reach of 

technology transfer into the lives of American citizens. Incorporated within these success 

stories are examples of new and innovative approaches and best practices. Agencies 

continue to review, discuss, and refine these practices to that improve and strengthen the 

overall technology transfer process across the Federal government. The cases provided 

below are provided as examples of the downstream outcomes arising from technology 

transfer activities. 

Department of Agriculture (USDA) 

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

solutions to agricultural problems of high national priority to: 

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

• assess the nutritional needs of Americans; 

• sustain a competitive agricultural economy; 

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

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

Beginning in FY 2006, the ARS Office of Technology Transfer expanded its services to 

include Animal Plant Health Inspection Service (APHIS) Wildlife Services (WS). 

APHIS is responsible for protecting and promoting U.S. agricultural health, 

administering the Animal Welfare Act, and carrying out wildlife damage management 

activities. 

More information about USDA technology transfer please visit: 

ARS: http://www.ars.usda.gov/partnering

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

• Novel Sweetener Reaches Market

ARS researchers at the USDA/ARS Bioproducts and Biocatalysis Research Unit at the 

National Center for Agricultural Utilization Research (NCAUR), in Peoria, IL, are 

working in partnership with Cargill on the use of enzymes to convert sugar and corn 

syrup to value-added complex carbohydrates. Using ARS-developed methods to produce 

and characterize novel carbohydrate products from agricultural materials, ARS and 

Cargill surveyed more than 100 microbial isolates from culture collections and natural 

isolations. This research led to the discovery of a novel low-glycemic index sweetener, 

called XtendTM sucromalt. The new product provides food and beverage customers with 

a natural and slow release carbohydrate syrup. This fully digestible, low glycemic syrup 

provides natural sweetness for products such as nutritional beverages and bars, cereals, 

ice cream, jams and jellies, and yogurts. The product is named sucromalt because it is 

derived from a combination of sucrose (cane or beet sugar) and maltose (corn sugar). 
17

This technology was transferred through a Cooperative Research and Development 

Agreement (CRADA), in which ARS provided facilities and expert scientific 

contributions to the production and characterization of novel carbohydrate materials and 

related enzyme systems and Cargill tested and developed applications. ARS identified 

microbial strains and Cargill developed the commercial product. Cargill has licensed 

ARS’s background technology and has filed patent applications for the use of lowglycemic sweeteners in food and beverage compositions.

Cargill is commercially producing XtendTM sucromalt as a food ingredient, rather than a 

finished food product, for use in such products as the recently-introduced energy drink 

Fuelosophy (currently in Whole Foods stores across the Midwest), and the products 

marketed under their GlucernaTM trade name for diabetics and others who need or desire 

to follow a low-glycemic index diet. The Glucerna products, which include cereal, 

shakes and snack bars, are now available in stores across the country. 

Cargill’s sucromalt provides food and beverage customers with a natural and slow release 

carbohydrate syrup. The slow and complete digestibility of sucromalt makes it unique 

among other sweeteners. In food and beverages, sucromalt releases its carbohydrates into 

the bloodstream slowly, resulting in a muted blood sugar response and a ‘sustained 

energy’ release versus the ‘fast energy’ release and higher glycemic response of sugar. 

Sucromalt offers manufacturers and consumers health benefits over traditional 

sweeteners, while still providing a satisfying, sweet taste. It is 70% as sweet as sugar. 

Food industry studies predict sales of low glycemic index products in the United States to 

grow at a rate of 45.7% through 2011, when the market is expected to reach $1.8 billion 

per annum. 

The Low Glycemic Index Sweetener Team of Gregory Cote, Timothy Leathers, Melinda 

Nunnally, and Sheila Maroney (Midwest Area, Peoria, IL), Ting Carlson and Anton Woo 

(Cargill, Inc) won a 2007 Superior Effort ARS Technology Transfer Award for this work. 

• Slick New Method Protects Ready-to-Eat Meat Products

Listeria monocytogenes is a well documented foodborne bacterial pathogen responsible 

for severe illness in humans and costly product recalls. It is a particular problem in 

ready-to-eat (RTE) foods such as hams, roast beef, turkey breast, and frankfurters. In 

recent years,1.2-2.4 billion dollars have been lost in recalls of these products. Previous 

post processing methods can reduce the presence of Listeria by 90 to 99.9%, but these 

methods may have a negative impact on flavor, or add to production costs and processing 

time. 

To overcome these problems, a team of USDA/ARS researchers at the Eastern Regional 

Research Center (ERRC) in Wyndmoor, PA developed a new process called the Sprayed 

Lethality in Container intervention delivery method or SLIC. SLIC sprays fluid 

containing a food-grade antimicrobial chemical into packages immediately prior to 

inserting the food product. A vacuum is used to seal the container uniformly, which 

distributes the antimicrobial across the product surface and allows for contact time 

throughout shelf life. The SLIC process successfully inhibits outgrowth of Listeria 
18

monocytogenes during extended refrigerated storage, resulting in a 99.999% reduction of 

Listeria within 24 hours at 4oC. Equally important, the RTE product has no reduction in 

taste quality. Because of its effectiveness and safety, SLIC has achieved Food Safety and 

Inspection Service (FSIS) regulatory status. 

The ERRC researchers entered into a Cooperative Research and Development Agreement 

(CRADA) with a major meat-processing company to evaluate SLIC on RTE ham 

products. The results of the studies, conducted as part of the CRADA, were published in 

a peer-reviewed publication. A second CRADA with the same cooperator is evaluating 

SLIC on other RTE meat and poultry products. A third CRADA, with another industrial 

partner was recently signed to further develop SLIC for RTE meats and poultry. This 

new industrial partner intends to collaborate with the other food processors to ensure that 

SLIC is broadly available and adopted. 

The technology has already had a great impact on the processing of RTE food products. 

One company is now using SLIC on four different production lines for hams and 

frankfurters, with a production capacity of 2.7 million pounds per year. Another 

processor is using SLIC to treat 19 million pounds a year of RTE chicken, turkey, and 

beef products. A third company is in the process of testing SLIC on 13 of its ham 

production lines, with an approximate production capacity of 176.5 million pounds per 

year, nine of its sliced luncheon meat production lines, with the approximate production 

capacity of 33 million pounds per year, and 10 of its frankfurter production lines with 

approximate annual production capacity of 150 million pounds. It is estimated that the 

average production cost of RTE foods using SLIC is reduced from 2-3 cents per pound to 

0.2 to 0.9 cents per pound. This results in cost savings of about $1 to 2 million per year 

for large processing plants. More importantly, consumers are being better protected from 

products potentially contaminated with Listeria monocytogenes. 

John Luchansky and Neil Goldberg (Microbial Food Safety Research Unit, North 

Atlantic Area, Wyndmoor, PA) and Alas Oser (Industry partner) won a 2007 Superior 

Effort ARS Technology Transfer Award for this work. 

Forest Service 

• New Technology For the Fermentation of Hemicellulosic Sugars to Biofuels

USDA Forest Service researchers from the Institute for Microbial and Biochemical 

Technology, at the USDA Forest Products Laboratory (FPL), in Madison, WI, have 

found an improved method of producing biofuels from hemicellulose – a compound that 

is common is paper, pulp and agricultural processing waste streams. The Forest Service 

team developed genetically engineered yeast strains for the improved production of 

xylitol and ethanol from hemicellulosic sugars. To approach this goal, the Madison 

researchers obtained the complete genomic sequence of the xylose fermenting yeast, 

Pichia stipitis, through collaboration with the Department of Energy Joint Genome 

Institute (JGI) and worked with the USDA/ARS National Center for Agricultural 

Utilization Research (NCAUR) in Peoria, IL, which provided valuable culture collection 

services and collaborated in gene expression analysis. The Forest Service team used the 
19

information gathered from their research partners to conduct large-scale assessments of 

gene expression. They also developed efficient genetic transformation technology that 

would enable them to engineer the target yeast organism. The researchers assessed which 

genes and other genetic factors could be rate limiting to the overall fermentation and then 

altered the expression of those genes to improve the desired metabolic activities. To do 

this they had to know which of about 200 different genes contribute most to xylose 

utilization and ethanol production. Generally no one gene determines a complex trait of 

this sort. Instead, various genes need to be regulated in a concerted manner to achieve 

optimal metabolic activity. Multiple gene expression in a stable manner is essential for 

commercial development. 

The new technology was transferred through major presentations at number of 

conferences that focus on biotechnology for renewable fuels and through publications in 

a number of peer reviewed journals such as Applied and Environmental Microbiology, 

Nature Biotechnology and Applied Microbiology and Biotechnology. Potential 

beneficiaries include companies in the pulp and paper industry that are interested in 

producing ethanol from pulp waste streams, and companies in the grain ethanol 

processing industry that are interested in making better, more economical use of 

cellulosic and hemicellulosic agricultural residues. 

However, the ultimate beneficiary of this technology will be the public because 

commercialization will provide many new jobs in rural areas while providing a 

sustainable, clean-burning fuel for transportation. In 2006, the grain ethanol industry 

supported the creation of 160,000 new jobs while producing 5 billion gallons of ethanol 

from grain. The President's goal of producing 35 billion gallons of ethanol per year by 

2017 can only be met if a substantial fraction of that total is derived from cellulose and 

hemicellulose. 

Department of Commerce (DOC) 

At the Department Commerce, R&D in numerous areas of contemporary science and 

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

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

Telecommunication Sciences within the National Telecommunications and Information 

Administration (ITS). 

More information about the DOC technology transfer is available on these websites: 

NIST: http://patapsco.nist.gov/ts/220/external/index.htm

NOAA: http://www.noaa.gov/

ITS: http://www.its.bldrdoc.gov/programs/tech_transfer/
20

National Institute of Standards and Technology 

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

advancing measurement science, standards, and technology in ways that enhance 

economic security and improve our quality of life. NIST laboratories develop and 

disseminate measurement techniques, reference data, test methods, standards, and other 

infrastructural technologies and services that support U.S. industry, scientific research, 

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

directly with industry partners (and consortia), universities, associations, and other 

government agencies. 

• Making Robotic Movement of Goods More ‘Pallet-able’ 

Under a cooperative research and development agreement (CRADA) with Transbotics, a 

Charlotte, N.C., automatic guided vehicle (AGV) manufacturer, NIST has developed 

advanced sensor processing and modeling algorithms to help robot forklifts verify the 

location and orientation of pallets laden with goods. 

The experimental system utilizes two onboard, single scan-line Laser Detection and 

Ranging (LADAR) devices to negotiate obstacles and home in on warehouse pallets. 

LADAR is an optical technology which measures properties of scattered laser light to 

find range and other information about a distant target. One LADAR device, located at 

the base of the AGV, is used as a safety sensor to detect obstacles such as humans in the 

forklift's path. It also can be used to scan inside a truck's cargo area to detect the 

presence of a pallet or define distances from the forklift to the truck's inside walls. 

The other sensor, called the Panner, is a panning laser ranger mounted on a rotating 

motor at the top front of the AGV. The Panner acquires many scan lines of range data 

that allows the scene in front of the device to be reconstructed in various visual formats 

such as a pseudo-colored coded image (where colors indicate relative proximity to an 

object) or a 3-dimensional data point “cloud.” A computer model is then derived from 

the data with the output sent immediately to the AGV’s control center. This allows the 

robot forklift to maneuver, load and unload pallets, verify the remaining space within the 

truck being loaded, and track the number of pallets still needing handling. 

Transbotics is planning to implement the NIST pallet verification software on one of its 

AGVs for use in real manufacturing situations. 

• NIST Helps the Blind See 

A recently completed licensing agreement for two novel NIST technologies may help 

bring affordable graphic reading systems for the blind and visually impaired to market. 

The two systems bring electronic images to life in the same way that Braille makes words 

readable. 

ELIA Life Technology Inc. of New York, N.Y., licensed for commercialization both the 

tactile graphic display device and fingertip graphic reader developed by NIST 

researchers. The former, first introduced as a prototype in 2002, allows a person to feel a 
21

succession of images on a reusable surface by raising some 3,600 small pins (actuator 

points) into a pattern that can be locked in place, read by touch and then reset to display 

the next graphic in line. Each image—from scanned illustrations, Web pages, electronic 

books or other sources—is sent electronically to the reader where special software 

determines how to create a matching tactile display. 

An array of about 100 small, very closely spaced (1/10 of a millimeter apart) actuator 

points set against a user’s fingertip is the key to the more recently created “tactile graphic 

display for localized sensory stimulation.” To “view” a computer graphic with this 

technology, a blind or visually impaired person moves a device-tipped finger across a 

surface like a computer mouse to scan an image in computer memory. The computer 

sends a signal to the display device and moves the actuators against the skin to “translate” 

the pattern, replicating the sensation of the finger moving over the pattern being 

displayed. With further development, the technology could possibly be used to make 

fingertip tactile graphics practical for virtual reality systems or give a detailed sense of 

touch to robotic control (teleoperation) and space suit gloves. 

National Oceanic and Atmospheric Administration 

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

understand and predict changes in the Earth’s environment and conserve and manage 

coastal and marine resources to meet the Nation’s economic, social, and environmental 

needs. This mission will become ever more critical in the 21st century as national needs 

intensify concerning global warming, freshwater supply, ecosystem management, and 

homeland security. 

• New Tsunami Warning Stations Deployed 

The launch of the first Deep-ocean Assessment and Reporting of Tsunamis (DART®) 

stations in the Indian Ocean in December 2006 marked an important milestone toward 

the goal of early detection and real-time reporting of tsunamis in the open ocean. 

Launched just a few weeks short of the second anniversary of the 2004 Boxing Day 

tsunami in Indonesia, the DART® stations bring important tsunami wave data to the 

region. One of the realities of the 2004 event was that the lack of real-time data made it 

very difficult to detect and warn of such an event. The DART® system was developed 

by NOAA Pacific Marine Environmental Laboratory, in Seattle, Washington, and is 

operated by the NOAA National Data Buoy Center, within the National Weather Service 

Office of Operational Systems. The stations consist of a bottom pressure sensor that is 

anchored to the seafloor and a companion moored surface buoy. An acoustic link 

transmits data from the bottom pressure sensor to the surface buoy. Then satellite links 

relay the data to ground stations. The result is tsunami detection that is communicated to 

forecasters in real-time. The new DART® station will equip Indian Ocean countries with 

additional information to determine if and when to issue tsunami warnings. Thailand is 

responsible for the deployment and long-term maintenance as per a recently signed 

Memorandum of Agreement with NOAA. NOAA is also providing the region with 

technical leadership in building an end-to-end system by improving communications 

systems, establishing modeling and forecasting capabilities, building resilient 

communities, providing expertise in building regional and national operations centers, 
22

and training technical officials on various aspects of tsunami and multi-hazard warning 

operations. NOAA and the University of Washington trained tsunami warning and 

preparedness officials. The initial class included 31 participants from India, Indonesia, 

Thailand, Sri Lanka, and the Maldives. 

The United States and Indonesia also launched a second DART® station in the Indian 

Ocean. The deployment was funded under a US Agency for International Development 

program (USAID) to make strategic investments in support of the Indian Ocean Tsunami 

Warning System (IOTWS). Using technology developed by NOAA, the Australian 

Bureau of Meteorology deployed its first Deep-ocean Assessment and Reporting of 

Tsunami buoy station. The DART® station is in the southeast Tasman Sea some 1,200 

kilometers from Tasmania. 

Tsunamis: http://www.noaa.gov/tsunamis.html 

Real-time DART® Data: http://www.ndbc.noaa.gov/dart.shtml

National Telecommunications and Information Administration—Institute for 

Telecommunication Sciences 

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

arm of the National Telecommunications and Information Administration (NTIA). 

ITS supports such NTIA telecommunications objectives as promotion of advanced 

telecommunications and information infrastructure development in the United States, 

enhancement of domestic competitiveness, improvement of foreign trade opportunities 

for United States telecommunications firms, and facilitation of more efficient and 

effective use of the radio spectrum. ITS also serves as a principal federal resource for 

solving the telecommunications concerns of other federal agencies, state and local 

governments, private corporations and associations, and international organizations. 

Department of Defense (DoD) 

The purpose of the Office of Technology Transition 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.

Each of the military services, defense agencies, and Office of the Secretary of Defense 

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

general information. 

The websites are: 

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

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

http://www.onr.navy.mil/sci_tech/3t/transition/tech_tran/

http://www.wpafb.af.mil/library/factsheets/factsheet.asp?id=6026

http://www.mda.mil/mdalink/html/transfer.html
23

http://www.nsa.gov/techtrans/index.cfm

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

• Advancements in Real Time Biological Pathogen Detection Technology 

The Naval Research Lab (NRL) has executed several CRADAs and a patent license with 

a startup company, Sword Diagnostics, Inc, to develop a real time biological pathogen 

detection technology. In this partnered effort, NRL is providing expertise in laser 

physics, spectroscopy and analytical software coupled with their swept wavelength 

optical detector invention and their patented OASISTM software. This will enable the 

design and fabrication of a prototype instrument. Sword will incorporate their knowledge 

in applied microbiology to develop the critical analysis criteria for the instrument. The 

first technology trials are for use in meat packing plants. 

Because the detection of dangerous microbiological organism has taken on new urgency 

in the fields of food safety and homeland security, the end product could have real public 

benefit by filling this growing global need for rapid pathogen detection. Sword 

Diagnostics will focus initially on applications in the $1.6 billion food safety testing 

market. The first commercial product is targeted for the meat packing industry where 

there have been repeated instances of recalls of more than a million pounds of hamburger 

for potential E. coli contamination. The company’s “real time” field system will identify 

pathogens in a matter of minutes, whereas the current state-of-the-art lab tests take almost 

two days. In a later version of the product, the company plans to develop a test for prions 

to detect “Mad Cow” disease.

Sword Diagnostics will commercialize a potential “breakthrough” diagnostic system 

based on the combination of a novel NRL laser based analytical instrument with patented 

NRL software. If successful, the revolutionary new system, based on two NRL patent 

applications and two issued patents would scan swabbed samples from the combination 

blood, tissue, and fecal matter typical of a beef slaughterhouse floor and, by comparing 

the data with identifying data in a pathogen library, could allow the detection and 

identification of as little as a single bacterial. It also has the potential for real time 

detection of bioterrorism agents such as anthrax. The New Jersey Technology Counsel 

selected Sword Diagnostics for its award for the NJ startup company with the “Most 

Innovative Product/Service.” Most importantly, company researchers testing a simplified 

version of the detector found a way to make a product that could be for sale in less than a 

year. 

• New Vein Viewer Technology 

Scientists from the Air Force Research Laboratory (AFRL) Materials and Manufacturing 

Directorate have invented, developed, patented and licensed a breakthrough medical 

technology, a Vein Viewing device that can be used to see beneath the skin and through 

body sections to show the vasculature, the network of blood veins in the body, in a broad 

range of lighting conditions. According to military medical personnel, the most pressing 

need on the battlefield is the ability to insert an intravenous needle into a wounded soldier 

to administer life sustaining fluids or medication, especially during the first, most critical 

hour after the wound occurs. However, the prompt insertion of an IV can be difficult or 
24

nearly impossible under low ambient lighting or nighttime conditions. Conventional 

methods for finding a patient’s veins rely on tactile and visual cues, a stab and guess 

process that requires available visible light to work. Experts in the medical imaging 

community struggled to discover an effective way to rapidly access veins in low light 

level conditions for several decades. Due to the technology’s potential for a broad range 

of civilian medical uses, the lab established a CRADA with InfraRed Imaging Systems 

(IRIS) Inc., of Columbus, Ohio, to manufacture and market the technology. IRIS has 

gone on to further develop the technology and create a product, the IRIS Vascular 

Viewer, for commercial release. 

The vein viewer technology provides both the Air Force and the medical community with 

the solution to the need for a reliable and accurate method of viewing a patient’s veins, 

rapidly and accurately in conditions where the lighting is less than optimal.. 

• Advancements in Intelligent Search and Retrieval Tool 

The Army Communications – Electronics RD&E Center worked with Austin Info 

Systems to produce a commercially available intelligent search and retrieval tool known 

as the Open Source Automated Link Analysis Tool (OSALAT). The Internet has proved 

to be an extraordinary information source, but, at the same time, can quickly become 

information overload for intelligence analysts. The challenge is to find relevant and 

timely data for mission planning. OSALAT provides an intelligent search agent to find 

relevant documents; organize the results for easy review; supports gathering information 

from external sources; extracts information from the overall collection; displays findings 

in graphical and textual reports; and contributes to the dissemination of information. The 

comprehensive nature of OSALAT allows the automating of information analysts’ 

business processes that are currently handled manually 

Retrieval of documents does not guarantee useful data and useful intelligence may not be 

found in those documents. OSALAT extracts information from documents using several 

state-of-the-art processes and artificial intelligence algorithms to provide extraction 

capabilities that “learn from their own errors,” supports identification of relationships 

between them and also collects this information on a case-wide basis. Through these 

capabilities, OSALAT provides cross-document intelligence gathering, which is being 

used extensively by the U.S. Army today. The company has been selected as one of the 

50 fastest growing small businesses in Austin, TX, four years in a row.

Department of Energy (DOE) 

Technology partnering is an active and significant component of DOE’s overall mission, 

particularly in areas associated with its scientific, engineering and related technical 

activities. Technology transfer is carried out at all 17 of DOE’s national laboratories and 

at 5 other DOE research and/or production facilities, as authorized through provisions in 

DOE’s management and operating (M&O) contracts. 

As required by the Energy Policy Act of 2005, for the first time, the energy secretary 

appointed a technology transfer coordinator to be the principal advisor on all matters 
25

relating to technology transfer and commercialization. To assist the Coordinator and to 

allow for continuity and uniformity in technology transfer throughout the DOE complex, 

a Technology Transfer Policy Board was established, made up of senior career 

representatives of the major organizations within the agency. 

DOE has recently promulgated its guiding principals for technology transfer at DOE 

facilities. They emphasize that technology transfer requires the direct involvement of the 

facility where the technology arose or will be further developed; that facilities must 

ensure fairness of opportunity, promote domestic economic interests, prevent 

inappropriate competition with the private sector and protect national security in 

partnering transactions; and affirm that it is the policy of DOE that commercialization 

transactions involve partners with substantial business plans to further develop and 

deploy the technology as expeditiously as possible. They further state that DOE facilities 

should promote access by small businesses, including entrepreneurs, to accelerate 

commercialization of new technologies arising at the Facilities. Of greatest significance, 

they point out that royalties and equity interests received as a result of licensing 

transactions are not the measure of success and should not be the centerpiece for 

negotiation of any partnering transaction. 

More information about the DOE technology transfer program can be found at: 

http://www.science.doe.gov/Technology_Transfer/overview.htm

• Newest Radiation Detectors in Development 

Development and commercialization of a new generation of multiplicity shift registers, 

devices used to better detect plutonium and other radioactive materials, are now underway. 

Under a cooperative research and development agreement, Los Alamos National Laboratory 

(LANL) and Canberra Albuquerque Inc. will develop the new benchtop or handheld 

devices, which have the potential for use in homeland security applications domestically and 

abroad. 

These instruments, first developed by the LANL more than 15 years ago, count and analyze 

pulse streams generated by neutron detectors to quantify radioactive materials. They are 

currently used by the International Atomic Energy Agency (IAEA) to ensure that 

radioactive materials are not lost, stolen, or used for military purposes. 

According to LANL researcher and principal investigator Matt Newell, the new multiplicity 

shift registers are needed because existing devices are nearly 10 years old and becoming 

incompatible with other detection technology used by the IAEA. 

“We were contacted by people who use the current technology, asking us to do some new 

development,” Newell said. “Many of the parts used to make the current shift registers are 

obsolete or becoming obsolete.” 

Under the recently-signed agreement, Canberra Albuquerque will fund the development of a 

new multiplicity shift register, which can continuously store neutron measurements 

automatically without an operator present, for use in remote or unattended operations. In 
26

addition, the company will validate the use of a handheld, battery-operated multiplicity shift 

register already developed by Newell and his team. Both devices will be faster, easier to 

use, compatible with new measurement instrumentation, and designed in accordance with 

IAEA guidelines. 

The LANL and Canberra expect testing and commercialization to take approximately two 

years, after which Canberra Albuquerque intends to manufacture the instruments at its 

Albuquerque facilities. 

“Our collaboration with Los Alamos National Laboratory is vital to Canberra's work 

extending the boundaries of neutron-counting technology,” said Dr. Markku Koskelo, Vice 

President of Special Projects. “Together we have built a roadmap for the next generation of 

shift registers.” 

LANL is managed and operated under contract to the DOE National Nuclear Security 

Administration by the Los Alamos National Security, LLC (formed by the University of 

California, Bechtel, BWX Technologies, and Washington Group International). 

• Burying Global Warming with SEQURETM Well Finding Technology 

SEQURETM Well-Finding Technology was developed by DOE National Energy 

Technology Laboratory (NETL) researchers Richard Hammack and Garret Veloski in 

partnership with Apogee Scientific, Inc. (Englewood, Colorado), Fugro Airborne Surveys 

(Mississauga, Ontario), and LaSen, Inc. (Las Cruces, New Mexico). 

By way of background, geologic sequestration stores the greenhouse gas CO2 in geologic 

formations, such as depleted oil and gas reservoirs, and is an important step towards 

curbing emissions of greenhouse gases. Those formations must subsequently be 

evaluated to make sure they are properly sealed and suitable for the task. SEQURETM

locates wells quickly and efficiently, allowing researchers to pinpoint the most reliable 

reservoirs to help curb emissions of greenhouse gases, and thus constitutes a major 

breakthrough in carbon sequestration efforts. 

If you have ever re-used jars to can your own vegetables, this approach will sound 

familiar. Oil and gas are trapped under ground and under pressure for millions of years 

until engineers extract these hydrocarbons to feed our energy needs. What remains are 

reusable containers capable of indefinitely storing the byproduct of our fossil fuel use, 

CO2. While this sounds easy enough, the caprock (think lid) of the hydrocarbon cans was 

punctured in 1859 and today is now perforated with millions of wells. If the holes can be 

patched and the wells made into air-tight vessels once again, depleted hydrocarbon 

reservoirs would be the perfect place for CO2 storage. In many cases, however, the 

abandoned wells leak. Cement that was used to plug the wells degrades over time or was 

never made completely air tight to begin with. Improperly plugged wells would release 

the CO2 stored in the reservoirs and such wells are considered among the greatest threats 

to such carbon storage. 
27

The solution? Find and check every abandoned well to ensure that all potential leak 

points are sealed. And that’s no small task. Over time, many wells have become buried. 

In some cases, parking lots have even been built over them. 

SEQURETM provides a speedy way to locate the wells, which are spread over miles, so 

that ground teams can more efficiently evaluate them. SEQURETM deploys helicopters 

loaded with magnetic and methane sensors to locate lost wells—a search that stretches 

over hundreds of square kilometers. It saves time, is cost-effective, and is the only 

commercially available well-finding technology for large areas. SEQURETM was 

recognized by R&D Magazine with a 2007 R&D 100 award. 

• Cadmium Telluride (CdTe) Photovoltaic (PV) Technology 

In February 2007, the National Renewable Energy Laboratory (NREL) and PrimeStar 

Solar, Inc. signed an $870,000 Cooperative Research and Development Agreement 

(CRADA) to transition NREL’s leading cadmium telluride (CdTe) photovoltaic (PV) 

technology to commercial module production. This technology, developed at NREL, 

produces the world record CdTe PV cell efficiency of 16.5 percent. 

In addition to technology transfer, the CRADA provides PrimeStar Solar with ready 

access to NREL’s world-class photovoltaic scientists and state-of-the-art equipment. 

PrimeStar Solar has leased a 16,000 square foot facility near NREL in Golden, Colorado, 

to develop a pilot plant. Initial CdTe processing equipment has been delivered from 

PrimeStar’s assembly facility in Michigan. 

PrimeStar Solar secured seed capital in excess of $6M from individual investors and a 

global investment bank to help fund a portion of the initial scale-up work. The company 

plans to rapidly scale up low-cost CdTe PV module production. 

NREL has been researching, developing, and helping to commercialize CdTe technology 

for several years. In 2003, NREL researchers shared an R&D 100 Award with First Solar 

for developing a high-rate vapor deposition technology that deposits a thin, uniform layer 

of CdTe or cadmium sulfide over a glass substrate in less than 40 seconds. This 

technology revolutionized thin-film, PV module production. 

NREL’s CdTe PV technology research and development supports the U.S. Department of 

Energy’s (DOE) Solar America Initiative. This initiative strives to make solar energy 

cost-competitive with conventional forms of electricity by 2015. The strategy pursues 

complementary activities in research and development, and in market transformation. 

The goals are to reduce costs through research and development, and to eliminate market 

barriers through deployment. It also supports NREL’s mission to develop renewable 

energy and energy efficiency technologies and practices, advance related science and 

engineering, and transfer knowledge and innovations to address the nation's energy and 

environmental goals. 

NREL is managed and operated under contract to the DOE Office of Energy Efficiency 

and Renewable Energy (EERE) by the Midwest Research Institute and the Battelle 

Memorial Institute. 
28

Department of Health and Human Services (HHS) 

The National Institutes of Health (NIH) has as its mission the conduct and support of 

biomedical research to improve the public health. The Office of Technology Transfer 

(OTT), Office of the Director, NIH, is responsible for identifying, evaluating, protecting 

and marketing technologies derived in NIH intramural laboratories. OTT transfers these 

technologies through licenses to the private sector, where they can be further developed 

into products used in the prevention, diagnosis, or treatment of disease. 

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

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

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

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

activities, and may, in fact, distort the importance of ensuring that novel biomedical 

inventions are commercialized. 

Therefore, NIH has developed a new method for measuring technology transfer outcomes 

that focuses on the manner and extent to which technologies developed in NIH 

laboratories and transferred to commercial partners are meeting the NIH mission of 

improving the public health. NIH conducted ten case studies using this method. These 

case studies are a part of a series. The full ten case studies are available at: 

http://www.ott.nih.gov/about_nih/success_stories.html#pdfLink 

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

CDC: http://www.cdc.gov/od/science/techTran 

FDA: http://www.fda.gov/oc/ofacs/partnership/techtran/default.htm 

NIH: http://www.ott.nih.gov/about_nih/success_stories.html

• Potential New Treatment For Delayed Cerebral Vasospasm 

The NIH Office of Technology Transfer completed a license agreement for the 

development of sodium nitrite as a potential treatment for delayed cerebral vasospasm. 

Delayed cerebral vasospasm is an orphan drug indication and a currently unmet medical 

need with no treatment yet proven in controlled trials to improve outcome following 

subarachnoid hemorrhage (SAH) through a prevention or reversal of vasospastic arterial 

narrowing.

Development of such a new treatment based upon sodium nitrite would be considered an 

important development in low cost patient care. Non-traumatic aneurysmal subarachnoid 

hemorrhage (SAH) today afflicts an estimated 28,000 people in the U.S. annually 

(incidence approximately 10 cases per 100,000 persons), which represents almost 5-10% 

of all strokes and increases with age. Approximately 25% of patients die from the 

immediate hemorrhage or as a consequence of secondary complications, and 50% of 

those patients who survive become seriously disabled. Bleeding may result in brain 

damage, decreased cerebral perfusion, brain shift and herniation and hydrocephalus. 

Patients who survive the initial event are at risk of secondary complications for the next 

three weeks, notably aneurysmal rebleeding and cerebral vasospasm (delayed ischemia 
29

can occur as early as day one and as late as day 40 following the initial bleed). The 

estimated lifetime cost for annual cases of patients hospitalized with aneurysmal SAH in 

the U.S. is $1.75 billion dollars. 

• New Therapeutic Cancer Vaccine Against Solid Tumors 

The NIH Office of Technology Transfer completed a license agreement to provide access 

to a pox virus vector delivery system, modified vaccinia virus Ankara (MVA), which will 

be an essential part of a new cancer vaccine against a wide range of solid cancer tumors, 

including those found with renal, colorectal and prostate cancer. This cancer vaccine, 

now in mid-to-late clinical trials, has been used in about approximately 900 patients to 

date. Using a proprietary cancer antigen, the vaccine has been safe and well tolerated so 

far and has induced an anti-tumor immune response in the majority of patients. The 

strongest immune responders have also tended to show the greatest clinical benefit. 

Therapeutic cancer vaccines such as this coax a person's immune system into recognizing 

and destroying malignant cells without harming normal cells. Worldwide cancer vaccine 

revenues are estimated by some analysts to reach approximately $6 billion by 2010. 

With ongoing development in renal, colorectal and prostate cancer, this product may well 

address markets that currently exceed $8 billion based on annual sales of existing cancer 

treatments, thus potentially providing substantial public health benefits to cancer patients. 

Department of Homeland Security (DHS) 

DHS officially established the Office of Research and Technology Applications (ORTA) 

in February 2008. 

For more information, please visit: 

http://www.dhs.gov/xnews/releases/press_release_0219.shtm

• Field Tests of a Prototype Shoe Screening Device at Atlantic City International 

Airport

During the week of July 28, 2008 TSL field tested a prototype shoe scanning device 

under a Cooperative Research and Development Agreement (CRADA) between the 

South Jersey Transportation Authority (SJTA) and the Department of Homeland 

Security. Passengers in the baggage claim at Atlantic City International Airport were 

asked if they would like to help DHS test a new technology to improve and expedite 

security screening. This testing was the first under this new CRADA signed on July 15 

in ceremony that included: Mr. Bart Mueller, Executive Director of SJTA; Dr. Susan 

Hallowell, Director of the TSL; Mr. Brad Buswell, Deputy Under Secretary of the DHS 

Science and Technology Directorate; Mr. Ron Facciponti, Transportation Security 

Administration (TSA) Federal Security Director for Atlantic City International Airport. 

The CRADA will allow the TSL to work in partnership with the SJTA to develop, test, 

and evaluate security technology prototypes, procedures, and processes in an operational 

environment. While the initial focus is aviation, this agreement will allow field testing of 

security technology at sea ports, rail facilities, and highways. 
30

Department of the Interior (DOI) 

The United States Geological Survey 

The United States Geological Survey (USGS) is a bureau of the Department of the 

Interior. The mission of the USGS is to serve the nation by providing reliable scientific 

information to describe and understand the Earth, minimize loss of life and property from 

natural disasters, manage water, biological, energy, and mineral resources, and enhance 

and protect our quality of life. 

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

transfer activities with the public sector and the private sector, including academia and 

non-profits, typically support the collection and transference of scientific data 

(knowledge dissemination). The USGS cooperates with its public and private 

collaborators to help them maintain necessary services, better understand the 

environmental consequences of their commercial and non-commercial activities, and to 

develop new products and services. 

For more information please visit: 

http://www.usgs.gov/tech-transfer/contacts.html

• Expanding Coalbed Methane (CBM) Technology 

From 2000-2005, the USGS collaborated with the State of Louisiana and numerous small 

private energy firms to leverage drilling costs and share scientific information to identify 

domestic gas sources in coal reserves in previously unknown and/or untested areas. 

Follow-up partnerships are now testing and comparing USGS’s bio-assay technology 

with similar technologies from the private sector to identify cost-effective biochemical 

techniques that will allow the bioconversion of coal to methane. Meanwhile, other USGS 

research teams are working with U.S. companies and federal partners to develop the 

water-quality information required by state regulators that would permit the reuse of coalbed methane ground water, thereby supporting the growth of new water reuse systems 

and companies. 

• Developing Mineral and Anthropogenic Waste Information 

In 2007, a USGS licensed technology was used by a company that subsequently became 

a USGS licensee to successfully complete a six week mineral identification survey in the 

Bismarck Sea. During the six week trial, the licensee and its client gathered information 

on 1,200-line kilometers of ocean floor, and generated 830,000 induced polarization 

resistivity measurements that were sampled simultaneously at four to seven depths. The 

technology verified the fact that the paleo channels the company was mining on land 

could be mapped along, and beneath, the seafloor. It identified the existence of similar 

mineral profiles, of interest to the company, that had not previously been tested for and 

established a vertical distribution for such minerals to a depth of 20 meters, suggesting 

that mineral resources were also present beneath the test zone. 
31

The technology is now being used in environmentally sensitive urban offshore areas 

where anthropogenic waste (such as sewage outfalls, garbage-barge dumps, and industrial 

waste that contains significant metal content) pose navigational and environmental 

problems that impact human health and ecosystem balance. Offshore regions in the 200 

mile-wide U.S. Exclusive Economic Zone equate to more than 3 million square miles of 

land beneath the water-sediment interface that have not been scientifically mapped, 

categorized, or explored; this zone holds the potential for significant economic benefits to 

the nation as well as for the private sector. 

Bureau of Reclamation 

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

deliveries for Reclamation projects throughout the 17 Western states. Reclamation 

manages several research programs that provide advanced solutions to a broad range of 

water and power management issues. The research results serve to improve Reclamation 

water management practices, increase water supply, and ensure cost-effective power 

generation operations to benefit Reclamation’s stakeholders. 

The Reclamation Research and Development (R&D) programs that participate in federal 

technology transfer legislative activities are the Science and Technology Program, the 

Colorado River Basin Salinity Control Program, and the Operations and Maintenance 

Program. 

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

• Chlorine Resistant Membrane 

Reclamation researchers, in collaboration with University of Denver (DU) and 

Separations Systems Technologies (SST) have discovered new polyamide membrane 

technology that can potentially revolutionize the desalination membrane industry. This 

membrane technology has demonstrated equal or better ability to purify water without 

being degraded by chlorine. Chlorination is required upstream of the desalination 

membrane in order to control microorganisms that biofoul and clog the membrane. In 

addition, chlorine has typically been added to many source waters to prevent water-borne 

diseases. A high performance, chlorine-resistant membrane that resists chlorine 

degradation has been a long-sought capability by the desalination industry, and would 

also be a tool that would modernize and lower the cost of operating desalting plants. 

Initial tests of the new polyamide membranes constructed on flat sheets were conducted 

at SST. From SST, the most successful new polyamide membranes were transferred to 

Reclamation’s Water Quality Improvement Center (WQIC) in Yuma, AZ to verify how 

these membranes would react in actual field test situations. Water flux and salt rejection 

comparisons for a standard polyamide membrane and new polyamide membranes were 

monitored beginning in August 2005 at the WQIC. Currently, about 50% of the new 
32

polyamide membranes have completed long-term testing. Several of the new polyamide 

membranes tested indicated a superior degree of chlorine resistance. 

Currently, long-term testing of new polyamide membranes is done on flat sheets rather 

than actual spiral-wound membranes. The next step is to run long-term tests using a 

number of 2” diameter by 40” long spiral-wound membranes in carefully designed 

experiments to establish industry standard engineering data. Reclamation is currently 

seeking industry partners to cooperate in further testing and commercializing these new 

chlorine resistant membranes. 

Department of Transportation (DOT) 

The Department of Transportation (DOT) is the federal steward of the nation’s 

transportation system. DOT is made up of many transportation agencies and programs, 

all of which seek to apply innovations from the research and development (R&D) 

programs to fulfill the key goals of the Department: safety, mobility, global connectivity, 

environmental stewardship, security, and organizational excellence. Technology 

Transfer is carried out in all of laboratories in the Department. They include the Federal 

Aviation Administration’s (FAA) William J. Hughes Technical Center, the Federal 

Highway Administration’s (FHWA) Turner-Fairbank Highway Research Center, and the 

Research and Innovative Technology Administration’s (RITA) Volpe National 

Transportation Systems Center (Volpe Center). Beginning in 2004 the Research and 

Innovative Technology Administration was charged with the coordination of technology 

transfer efforts across the Department. 

For more information about the DOT technology transfer please visit:

FAA: http://faa.gov/about/office_org/headquarters_offices/ato/tc/initiatives/ttp

FHWA: http://www.fhwa.dot.gov

RITA: http://www.volpe.dot.gov/ourwork/techtrns.html

Volpe National Transportation Systems Center 

• Global Maritime Domain Awareness Tool Serving 40 Countries 

Harvard University’s Kennedy School’s Ash Institute for Democratic Governance and 

Innovation announced the Global Maritime Domain Awareness Program as a winner of 

the prestigious 2008 Innovations in American Government Awards for its efforts in 

enhancing levels of safety and economic stability on the global seas. Developed by the 

Volpe Center of the U.S. DOT’s Research and Innovative Technology Administration, 

the program provides an unprecedented level of visibility into transit and port activity. 

The movements of more than 10,000 vessels from over 40 nations are tracked and 

updated in real-time. Called a “wiki on the waves,” the program fosters an unparalleled 

level of cooperation among participating nations. 

The Volpe MSSIS Team Members awarded for this work were Kam Chin, McCharles 

Craven, Bryan Long, Daniel Nim, Dave Phinny, Brendon Providence, and Henry 

Wychorski. 
33

William J. Hughes Technical Center 

 

• Localizer to Improve Margin of Safety at Airports All Over the Country 

Steven Edwards, a member of the FAA’s Navigational Aids unit at the Dallas/Fort Worth 

International Airport developed the Localizer Cable Fault Analyzer. This unique 

electronic device can quickly troubleshoot problems in an instrument landing system’s 

(ILS) antenna array. The ILS provides precise source and height guidance to an aircraft 

approaching a runway. The system is made up of a localizer antenna array, with several 

pairs of directional antennas beyond the end of the runway. All antennas must be 

functioning properly for the transmitted signal to be correct in the aircraft and for the 

system to work properly. Any antenna problem can result in an unsafe condition during 

the final approach. 

 

The analyzer will catch an antenna cable fault and memorize the antenna that has the 

fault. The device is connected to the ILS equipment, enabling technicians to quickly 

identify and repair the malfunctioning antenna, greatly reducing the amount of time the 

ILS is out of service. The analyzer immediately pinpoints the faulty antenna, saving 

hours of troubleshooting and repair time. 

The Air Traffic Control Association awarded Steven Edwards the Airway Transportation 

Systems Specialist of the Year. The Localizer was featured at the World’s Best 

Technologies Exposition. 

Turner-Fairbank Highway Research Center 

 

• Traffic Signal Timing - ACS-Lite 

Adaptive Control Software Lite (ACS-Lite) is a low cost signal timing optimization 

system that dynamically adjusts signal timing to meet current traffic demands. ACS-Lite 

was developed through a public private partnership between FHWA, Siemens, The 

University of Arizona, Purdue University, Siemens/Eagle, Econolite, Quixote/Peek and 

McCain Traffic. 

Traditional traffic signal timing is designed by sampling traffic demand during peak 

periods and designing signal timing to meet those demands. Most local traffic agencies 

do not commit sufficient resources to evaluate and retime traffic signals on the 

recommended frequency of 3 to 5 years. As communities grow and traffic demands 

change due to schools opening and closing, seasonal shifts, special events and a host of 

other sources, congestion and delays are frequently the result. ACS-Lite is a technology 

solution that allows signal timing to address changes in demand and adjust signal timing 

appropriately. 

As part of ACS-Lite testing, researchers conducted a before-and-after traffic study on 

State Route 70 in Manatee County, FL, to assess the benefits of the software. 

Specifically, the study focused on collecting data on traffic volumes at eight intersections 

between Caruso Road to the east and U.S. 301 to the west, performing "floating car" 

travel time and delay studies, and conducting statistical analyses on traffic volume, speed 
34

and travel time, and delay data. The floating car methodology involves performing travel 

time runs using a test vehicle driven at an average speed through the arterial, allowing 

vehicular speed to be dictated by the platoon speed, not the posted speed limits. Travel 

time measurements begin when the test vehicle passes the stop line at the first 

intersection and end when the vehicle passes the stop line at the last intersection in the 

section or arterial being evaluated. 

The result indicated that the total travel time, stopped delay, number of stops, and fuel 

consumption decreased during the "after" study period when the ACS-Lite software was 

in effect. In addition to a 9 percent reduction in network traffic volumes between the 

"before" and "after" study periods, the researchers also reported a 12 percent reduction in 

travel time, 28 percent reduction in travel time delay, attributing a significant portion of 

the gains to the ACS-Lite software. http://www.oti.dot.gov/tst/practices/acslite.htm

Department of Veterans Affairs (VA) 

The mission of VA’s Technology Transfer Program (TTP) is to serve veterans and the 

American public by commercializing worthy discoveries made by VA employees in 

furtherance of VA’s research mission. This requires a program that educates inventors 

concerning their rights and obligations, rigorously evaluates all inventions, obtains 

patents, and assists in the commercialization of new products. It also requires consistent 

policies that govern the necessary relationships between investigator (i.e., inventor), 

academic partners, local VA medical centers, VHA-affiliated non-profit corporations, 

industry, and the Department of Commerce. 

More information is available on the VA's Technology Transfer Program website: 

http://www.research.va.gov/programs/tech_transfer/default.cfm

• New System For Living Organ Transplants

One of VA’s most successful licenses this year was a new system that enables living 

organ transplants. The technology was licensed to TransMedics, a medical device 

company. The technology entails a warm blood perfusion technology, the Organ Care 

System which is designed to maintain organs in a functioning state outside the human 

body to optimize their health and to allow clinical evaluation. This could potentially 

increase organ availability and improve outcomes for the growing population of patients 

with end stage organ failure in need of a transplant, bridging the widening gap between 

the number of organs available and the number of recipients awaiting transplants. This 

technology is currently available in European Union, throughout Asia and is expected to 

enter clinical trials in 2008 for use in heart transplants in the US. 

• Solution For Tissue Preservation

Another invention that VA licenses is a solution for tissue preservation. In particular, the 

GALA solution is an aqueous salt solution for the preservation of venous and arterial 

grafts prior to transplantation during Cardiac By-Pass Surgery. The GALA solution is 

the only solution that has been shown to fully preserve the endothelium of vascular 

conduits for up to 72 hours, insuring the implantation of fully viable conduits during 
35

coronary artery and peripheral artery revascularization. The GALA solution has been 

used in more than 2500 consecutive patients (both in cardiac and peripheral vascular 

surgery) with superb clinical results. 

Environmental Protection Agency (EPA) 

EPA’s Federal Technology Transfer Act (FTTA) Program was established to promote 

collaboration between private and federal research. EPA offers exceptional opportunities 

to develop and commercialize new technologies. Through the authority given to EPA by 

the Federal Technology Transfer Act, EPA facilitates the transfer of new technologies to 

the marketplace while protecting intellectual property rights of all parties. 

Partners in the FTTA Program will have the benefit of collaborating with world class 

EPA scientists involved in leading-edge research. Collaboration enhances the quality of 

research projects and helps move the environmental technologies into the marketplace 

more quickly, resulting in better protection of human health and the environment. 

For more information please visit: 

http://www.epa.gov/osp/ftta.htm

• Successful Aerobic In situ Bioremediation of MTBE/BTEX Contamination Using 

BioLuxing Technology and Solid Oxygen Source Pellets

The U.S. EPA and Foremost Environmental Solutions of Denver, CO, teamed up under a 

Cooperative Research and Development Agreement (CRADA) to successfully 

demonstrate how the company’s patented “BioLuxing” technology could aerobically 

biodegrade benzene, toluene, ethylbenzene, and xylene (BTEX) and methyl tertiarybutyl ether (MTBE) in situ more effectively by adding EPA’s patented solid oxygen 

source (SOS) pellets in Foremost’s treatment slurry. The objective of study was to 

determine the most effective and efficient method of providing oxygen to the aerobic 

treatment zone with BioLuxing. The demonstration showed that SOS met the oxygen 

demands for up to 22 months without additional activities. With typical mechanical 

problems, compressed air was about 70% effective when compared to SOS. 

The patented and trademarked BioLuxing technology is a process in which 

Bioremediation is enhanced by creating a Luxurious in situ environment for the selected 

microbes (bacteria) that will degrade the contaminants. By fracturing with the porous 

pellets, two major cleanup advantages are developed: preferential pathways to direct the 

contaminants into the designed treatment zones are created; and the reactive sheets 

contain a porous microbial matrix which will slowly release nutrients (and oxygen when 

SOS is included) and can accommodate exceptionally large volumes of microbes. This 

provides an ideal “microbial growth and working environment” for Bioaugmentation of 

selected additional microbes or Biostimulation of the naturally occurring indigenous 

microorganisms. Each sub-surface fracture, (a 1⁄2 inch thick and 30-40 feet in diameter 

sheet) is a “BioLux” and each stack of BioLuxes (normally includes two to five, spaced 

about 2-4 feet apart, between 15-40 feet below ground surface [bgs]) is referred to as a 

“BioNet.” 
36

The project included seven BioNets on the Flathead Indian Reservation near Ronan, 

Montana. The MTBE plume from a retail gasoline station was contaminating about 15 

acres of farmland and threatening Native American-owned surface waters. The BioNets 

contained a selected variety of slurry mixtures of: (1) sand or Isolite, (small porous 

ceramic pellets) as a fracture material/proppant, which created bioremediation zones and 

facilitated inoculation and also allowed attachment of the bacteria; (2) a zone for addition 

of oxygen by aeration or SOS; (3) enhanced porosity/permeability of the subsurface; (4) 

selected aerobic bacteria known to degrade MTBE; and (5) a proprietary nutrient mix. 

Bioaugmentation results indicated that 12 months after inoculation, the reductions of 

MTBE in the groundwater samples were as high as 85 percent where optimum conditions 

were created for biodegradation, when the slurry injections included Isolite inoculated 

with the selected microbes, nutrients, and the SOS pellets. The use of SOS stimulates as 

much, or more reduction as the use of oxygen as supplied air, when available, at various 

flow rates. In the test BioNet used for Biostimulation where Isolite was inoculated only 

with nutrients and provided with air, no reductions were noted for the first four months. 

Additionally, the barrier installed around the gasoline station for treatment did not cause 

disruption to service and the station achieved its most profitable day during the clean up. 

Further licensing opportunities for EPA’s SOS technology are under discussion. 

• EPA CRADA Partnerships Demonstrate Arsenic Removal in Drinking Water 

Arsenic is a widely distributed, naturally-occurring semi-metal that is found in ground 

water in locations throughout the United States. Long-term exposure to arsenic has been 

linked to adverse health effects, including cancers of the bladder, lungs, skin, kidneys, 

and liver. 

In January, 2001, when the U.S. Environmental Protections Agency (EPA, or Agency) 

announced the final standard for arsenic in drinking water, the EPA Administrator 

pledged financial and technical support for small drinking water system owners and 

operators to reduce their costs with implementing and meeting the new standards. 

Over the next several years, EPA conducted two rounds of demonstrations of 

technologies for removing arsenic from drinking water. In order to assist each 

community water system with choosing the most appropriate arsenic removal technology 

for its specific needs, EPA partnered with municipalities and equipment producers 

through Cooperative Research and Development Agreements (CRADAs). This allowed 

the Agency to demonstrate new technologies where their effectiveness could be 

demonstrated on-site. 

Demonstrations typically follow a set procedure. First, new water treatment equipment, 

matched to the characteristics of the water source, is installed. This new equipment is 

operated by the local systems managers while EPA-contracted scientists monitor water 

samples weekly. EPA used the results from this and similar projects to demonstrate new 

methods, tailored to community water conditions, for arsenic removal from drinking 

water. 
37

The expected outcomes of the demonstration projects include widely communicating the 

benefits and accessibility of the latest, most cost-effective technologies for removing 

arsenic from drinking water. The results of this effort will assist small communities with 

selecting the most appropriate and cost-effective technology for use at their sites. In 

addition, residents will benefit by having arsenic levels in their drinking water reduced to 

levels that comply with the new EPA standard. 

Details about these demonstration projects can be found at this Web site: 

http://www.epa.gov/ORD/NRMRL/arsenic

• CRADA Technology Cleans Water with Recycled Catalyst 

EPA is inventing and supporting technologies that eliminate arsenic from drinking water. 

As an added benefit, removal of arsenic with a recycled catalyst enhances the 

sustainability of the metals removal process, and reuses equipment that would otherwise 

be discarded. MAR Systems is commercializing a patent pending process developed 

under a Cooperative Research and Development Agreement (CRADA) with the US 

Environmental Protection Agency at their National Risk Management Research 

Laboratory, Cincinnati, Ohio. The process removes metal contaminants from water and 

industrial fluid waste streams through its Sorbster TM brand of products. The product 

uses recycled material – a spent catalyst which was historically disposed of as a nonhazardous waste – to extract hazardous metals such as arsenic, mercury, selenium and 

uranium from water. In addition to providing a leading edge technology in meeting the 

stringent demands of EPA drinking water standards announced in January, 2001, the 

process will establish a new standard in cost, simplicity and reliability. This is a 

significant commercial advantage over competitive approaches. 

 

The process is based on the reuse of the spent catalyst from the Claus Process, a final 

polishing step for light hydrocarbons (including natural gas) to remove trace amounts of 

sulfur. Based on initial tests, impregnation of the alumina with sulfur promotes the 

absorption of heavy metals. The spent catalyst absorbs heavy metals at a rate that is ten 

times faster than pre-existing processes, thus making it the only product suitable for 

treatment at the tap, while saving 70%-85% on cost and minimizing waste. In addition to 

the reuse of the catalysts, MAR can also manufacture sulfur impregnated alumina to meet 

production needs. As a result, Sorbster TM is expected to be a competitive technology for 

the removal of arsenic from drinking water (estimated at $4 billion domestically in 2006) 

and from industrial waste water (estimated at $15 billion domestically in 2006). 

Analytical work at Ohio University is planned to qualify the catalyst for mass production 

by utilizing their ‘quick catalyst screening’ procedure. Analytical research and initial 

pilot plants have proven Sorbster’s effectiveness. Second generation pilot plants are 

operational at Ohio locations to remove arsenic from drinking water that exhibit >15 ppb 

arsenic levels and to define media adsorption capacity. Also, the research and 

development efforts of the MAR system’s drinking water technology will directly apply 

to the emerging needs of other aqueous waste streams. The 2006 revision to the Arsenic 

drinking water regulation established a new threshold for aqueous streams that may come 

into contact with ground water or other sources of potable water. 
38

In addition to drinking water, the Sorbster TM product line is being tested to reduce 

mercury emissions to the environment. In March, 2005, EPA issued the Clean Air 

Mercury Rule, which creates performance standards and establishes permanent, declining 

caps on mercury emissions. The products show promise in removing metal 

contaminants from gaseous streams, including coal-fired electrical generators and 

industrial incinerators. A pilot plant has been established to remove mercury from an 

industrial effluent containing >5ppb mercury. 

With energy prices soaring, developing countries relying more heavily on coal-based 

energy, and national and international regulations stressing the removal of mercury from 

the air and arsenic from the water, means of achieving standards outlined in these 

regulations will become more valuable internationally. Thus the relatively inexpensive 

and overwhelmingly effective MAR System process could take a large share of an 

expanding global market. 

National Aeronautics and Space Administration (NASA) 

Since its creation in 1958, NASA has been charged with disseminating the results of its 

research broadly for public benefit. The organization responsible for technology transfer 

within NASA is the Innovative Partnerships Program (IPP). With offices at HQ and all 

ten of NASA’s field centers, IPP seeks to develop technology to meet NASA’s needs 

through partnerships with industry, academia, government agencies, and national 

laboratories, and facilitates intellectual property protection and transfer out of NASA 

developed technology for commercial application and broad public benefit. 

 

Each year, NASA documents some notable successes from technology transfer efforts in 

the annual Spinoff publication. It is available online at http://www.sti.nasa.gov/spinoff, 

and hard copies are available upon request. More than 1,600 spinoff successes have been 

documented in the publication and are all searchable by keyword on the website. In 

addition, NASA has established a website called NASA@Home, NASA City, located at 

http://www.nasa.gov/city which helps the public understand how NASA technologies are 

present in and contributing to the quality and safety of their everyday life. 

More information about the NASA Innovative Partnership Program can be found at: 

http://www.ipp.nasa.gov; http://www.sti.nasa.gov/spinoff; http://www.nasa.gov/city. 

 

• NASA Invention of the Year Controls Noise and Vibration 

Developed at NASA’s Langley Research Center, the Macro-Fiber Composite (MFC) is 

designed to control vibration, noise, and deflections in composite structural beams and 

panels. Smart Material Corporation specializes in the development of piezo composite 

components, and licensed the MFC technology from Langley in 2002. To date, Smart 

Material Corporation has sold MFCs to over 120 customers, including such industry 

giants as Volkswagen, Toyota, Honda, BMW, General Electric, and the tennis company, 

HEAD. The company estimates that its customers have filed at least 100 patents for their 

various unique uses of the technology. In addition, the company’s product portfolio has 

grown to include piezo ceramic fibers and fiber composites, piezo ceramic actuators and 
39

sensors, and test equipment for these products. It also offers a compact, lightweight 

power system for MFC testing and validation. Consumer applications already on the 

market include piezoelectric systems as part of audio speakers, phonograph cartridges 

and microphones, and recreational products requiring vibration control, such as skis, 

snowboards, baseball bats, hockey sticks, and tennis racquets. 

• Noninvasive Test Detects Cardiovascular Disease 

At NASA’s Jet Propulsion Laboratory (JPL), NASA-developed Video Imaging 

Communication and Retrieval (VICAR) software laid the groundwork for analyzing 

images of all kinds. A project seeking to use imaging technology for health care 

diagnosis began when the imaging team considered using the VICAR software to analyze 

X-ray images of soft tissue. With marginal success using X-rays, the team applied the 

same methodology to ultrasound imagery, which was already digitally formatted. The 

new approach proved successful for assessing amounts of plaque build-up and arterial 

wall thickness, direct predictors of heart disease, and the result was a noninvasive 

diagnostic system with the ability to accurately predict heart health. 

Medical Technologies International Inc. (MTI) further developed and then submitted the 

technology to a vigorous review process at the FDA, which cleared the software for 

public use. The software, patented under the name Prowin, is being used in MTI’s 

patented ArterioVision, a carotid intima-media thickness (CIMT) test that uses ultrasound 

image-capturing and analysis software to noninvasively identify the risk for the major 

cause of heart attack and strokes: atherosclerosis. ArterioVision provides a direct 

measurement of atherosclerosis by safely and painlessly measuring the thickness of the 

first two layers of the carotid artery wall using an ultrasound procedure and advanced 

image-analysis software. The technology is now in use in all 50 states and in many 

countries throughout the world. 

• Sensor Network Provides Environmental Data 

The National Biocomputation Center, a joint partnership between the Stanford University 

School of Medicine’s Department of Surgery and NASA’s Ames Research Center, is the 

test bed for much of NASA’s research in telemedicine, the remote delivery of medical 

care. In early 2005, researchers at the National Biocomputation Center formed a spinoff 

company, Intelesense Technologies, to use the telemedicine sensors to provide integrated 

global monitoring systems. Intelesense uses the systems to better understand how 

environments and people are linked, monitor and protect natural resources, predict and 

adapt to environmental changes, provide for sustainable development, reduce the costs 

and impacts of natural disasters, and provide an effective and intelligent response to such 

disasters. Current projects range from protecting the environment to tracking emerging 

infectious diseases like avian influenza (bird flu) and helping people from around the 

world connect and interact with each other to better understand their environment and 

themselves.
40

Conclusion 

Technology transfer is an active and essential mission of Federal laboratories, using our 

nation’s innovation and investment in science and technology to strengthen our economy 

and American competitiveness in world markets. This report details the results of 

technology partnering activities cultivated in the Federal sector. The statistical data 

provided in this report indicate that CRADAs, licensing, and associated income generally 

increased between 2002 and 2007, whereas new inventions disclosed and patenting 

remained steady. Federal research is a complex process that provides the opportunity for 

new ideas and innovations to be successfully marketed to serve citizens. The success 

stories in this report provide examples of how society benefits from technology transfer 

activities across the Federal laboratories. As knowledge advances and the needs of the 

economy change, Federal laboratories will continue to play a role in keeping America in 

the forefront of innovation and supporting our economy by aiding in the transfer and 

commercialization of knowledge.