SUPPLEMENTAL REPORT

Department of Commerce, Annual Budget Proposal, FY 2005

Annual Report on Technology Transfer: 

Approach and Plans, FY 2003 Activities and Achievements

U.S. Department of Commerce

Report prepared by:

Office of Technology Policy, Technology Administration;

National Institute of Standards and Technology, Technology Administration;

National Oceanic and Atmospheric Administration;

Institute for Telecommunication Sciences, National Telecommunications and Information 

Administration

In response to the: 

Technology Transfer and Commercialization Act of 2000 (P.L. 106-404)

January 5, 2004 
Foreword. This is the calendar year 2004 edition of a report series summarizing the 

technology transfer activities and achievements of the Department of Commerce’s federal 

laboratories. This report responds to the statutory requirement for an annual “agency report on 

utilization” [15 U.S.C. Section 3710 (f)] under the revised federal-wide reporting process 

established by the Technology Transfer Commercialization Act of 2000 (P.L. 106-404). All 

federal agencies that direct one or more federal laboratories or conduct other activities under 

Section 207 and 209 of Title 35, United States Code are subject to the requirements of this 

statute.

 

At the Department of Commerce, technology transfer is a part of the mission and program 

activities of principally the National Institute of Standards and Technology (Technology 

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

Telecommunication Sciences (National Telecommunications and Information Administration). 

Accordingly, this report focuses on the activities of these three departmental agencies.

 

Each of the major sections of this report is organized to summarize the agency’s technology 

transfer approaches and plans and to provide specific information about the activities and 

accomplishments for FY 2003 and several earlier comparative years. The report begins with a 

summary of this information for the Department of Commerce as a whole.

__________ 

This report has been organized and prepared by the Office of Technology Policy (Technology 

Administration), along with the joint participation of technology transfer personnel at the 

National Institute of Standards and Technology (Technology Administration), the National 

Oceanic and Atmospheric Administration, and the Institute for Telecommunication Sciences 

(National Telecommunications and Information Administration). 

Table of Contents

I. Department of Commerce Overview ...................................................................1 

II. Technology Administration -- National Institute of Standards and Technology

1. Agency Approach and Plans for Technology Transfer .......................................13 

2. Performance in FY 2003: Activities and Achievements .....................................18 

III. National Oceanic and Atmospheric Administration

1. Agency Approach and Plans for Technology Transfer .......................................31 

Performance in FY 2003: Activities and Achievements ........................................33 

IV. National Telecommunications and Information Administration -- Institute for

 Telecommunication Sciences

1. Agency Approach and Plans for Technology Transfer ........................................41 

2. Performance in FY 2003: Activities and Achievements ....................................43 
Annual Report on DoC Federal Lab Technology Transfer, January 2004 Page 1 

I. DEPARTMENT OF COMMERCE OVERVIEW

Technology Transfer by the Department’s Federal Laboratories – 

Summary of Approaches and FY 2003 Activities/Achievements

The Department of Commerce works in partnership with businesses, universities, communities, 

and workers to promote U.S. competitiveness. The department pursues this objective through a 

host of policy and program activities directed at strengthening the nation’s economic 

infrastructure, facilitating the development of cutting-edge science and technology, providing an 

information base, and managing national resources. 

At the department, research and development (R&D) in numerous areas of contemporary science 

and technology is underway at the federal laboratories of the Technology Administration (the 

National Institute of Standards and Technology -- NIST), National Oceanic and Atmospheric 

Administration (various lab facilities across NOAA’s bureaus), and the National 

Telecommunications and Information Administration (Institute for Telecommunication Research 

– ITS). Technology transfer is part of the program activities at each of these agencies’ federal 

lab systems.

1

 

¦ Agency Missions and Main Channels for Technology Transfer

Mission Tech Transfer

Technology Administration – National Institute of Standards 

and Technology 

 

NIST’s mission is to develop and promote measurement, 

standards, and technology to enhance productivity, facilitate 

trade, and improve the 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.

 

? The focus of NIST’s technology transfer 

activities in general is the broad dissemination 

of research results to industry, rather than the 

creation of patents and associated licenses. 

As such, NIST utilizes a diverse group of 

mechanisms to transfer the knowledge and 

technologies that result from its laboratory 

research.

Principal tech tranfer mechanisms:

CRADAs,

Patents and licenses,

Technical publications,

Standard Reference Materials,

Standard Reference Data,

Calibration services,

Documentary standards

Conferences, workshops, and inquiries

Guest researchers and facilities users.

 

1

 In reviewing the technology transfer plans and activity statistics provided , it is imp ortant to recognize there are 

significant differences among the three agencies in the level of resources available to support R&D activities. For 

NIST, budget authority for R&D (including conduct of R&D and R&D facilities) in FY 2003 totaled an estimated 

$527 million. For NOAA, the corresponding figure for R&D budget authority in FY 2003 is $684 million. For ITS, 

the corresponding FY 2003 figure is $6 million. 
Annual Report on DoC Federal Lab Technology Transfer, January 2004 Page 2 

Mission Tech Transfer

National Oceanic and Atmospheric Administration 

NOAA’s primary mission is to transfer environmental data on a 

wide range of time and space scales in order to protect life and 

property, and provide industry and government decision-makers 

with a reliable base of scientific information. As part of this 

mission, almost half of the organization works to produce the 

daily weather forecast, which advises and warns the general 

public and, at the same time, provides a base of scientific and 

technical information for engineers and managers in federal and 

state governments and in the heating, construction, 

manufacturing, transportation, and health industries.

? NOAA’s broad approach to tech transfer 

involves licensing intellectual property, 

cooperative research relationships with 

industry, and/or direct transfer. NOAA works 

with each of its laboratories based on its 

ability to provide the necessary resources. 

Principal tech tranfer mechanisms:

Dissemination

CRADAs,

Patents and licenses

National Telecommunications and Information 

Administration -- Institute for Telecommunication Sciences 

NTIA’s Institute for Telecommunication Sciences (ITS) supports

agency telecommunications objectives such as promoting 

advanced telecommunications and information infrastructure 

development in the United States, enhancing domestic 

competitiveness, improving foreign trade opportunities for U.S. 

telecommunications firms, and facilitating more efficient and 

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

federal resource for solving the telecommunications concerns of 

other federal agencies, state and local governments, private 

corporations and associations, and international organizations.

 

? ITS participates in tech transfer and 

commercialization by fostering cooperative 

research with industry where benefits can 

directly facilitate U.S. competitiveness and 

market opportunities. 

Principal tech tranfer mechanisms:

CRADAs,

Patents and licenses,

Telecommunications analysis services.

For a more detailed discussion, see the initial section of each of the three agency chapters below. 

¦ Summary of Technology Transfer Activities and Achievements across the 

Department, FY 2003 and Several Recent Years 

? Selected Activity Measures 

Collaborative Relationships for Research & Development

FY 

1999

FY

2000

FY

2001

FY 

2002

FY 

2003

 

 

? CRADAs, total active in the FY (1)

 ? Traditional CRADAs (2) Department 275 221 188 139 92

 NIST 261 208 174 125 76

 NOAA 8 10 8 8 11

 ITS 6 3 6 6 5

 ? Non-traditional CRADAs (3) 

 

 

 Department -- -- 59 1,744 1,811

 NIST 0 0 0 1,687 1,577

 NOAA 0 0 0 0 0

 ITS -- -- 59 57 234

 

 

 

 

 

 

 
Annual Report on DoC Federal Lab Technology Transfer, January 2004 Page 3 

FY 

1999

FY

2000

FY

2001

FY 

2002

FY 

2003

 

? Other types of collaborative R&D relationships (4) 

 ? Facility use agreements NIST -- -- 372 391 512

 ? Guest scientists and engineers NIST -- -- 1,200 1,300 1,300

 ? Collaborative standards contributions ITS -- -- 3 3 2

CRADA = Cooperative Research and Development Agreement. -- = Data not requested from agencies in reports of 

earlier years.

(1) “Active” = legally in force at any time during the FY. “Total active” is comprehensive of all agreements 

executed under CRADA authority (15 USC 3710a).

(2) CRADAs involving collaborative research and development by a federal laboratory and non-federal partners.

(3) CRADAs used for special purposes -- such as, material transfer or technical assistance that may result in 

protected information. 

(4) For details on these types of R&D relationships see the respective agency’s chapter later in this report.

Invention Disclosure and Patenting

FY 

1999

FY

2000

FY

2001

FY 

2002

FY 

2003

? New inventions disclosed in the FY (1) Department 38 34 26 17 21

 NIST 35 32 24 16 16

 NOAA 3 2 1 1 5

 ITS 0 0 1 0 0

 

 

 

 

? Patent applications filed in the FY (2)  Department 30 20 12 12 5

 NIST 27 18 9 11 5

 NOAA 2 2 3 0 0

 ITS 1 0 0 1 0

 

? Patents issued in the FY 

 

 Department 28 18 21 20 9

 NIST 26 14 20 15 7

 NOAA 2 2 1 5 1

 ITS 0 2 0 0 1

 

 

(1) Inventions arising at the federal lab. 

(2) Tally includes: U.S. patent applications, foreign patent applications filed on cases for which no U.S. application 

was filed, divisional applications, and continuation-in-part applications. Excludes: provisional, continuation, 

duplicate foreign, and PCT applications. 
Annual Report on DoC Federal Lab Technology Transfer, January 2004 Page 4 

Licensing -- Profile of Active Licenses

FY FY FY FY FY 

1999 2000 2001 2002 2003

All licenses, number total active in FY (1) Department 43 43 40 41 101

Invention licenses, total active in FY Department 43 43 40 41 101

 Patent licenses (2) Department 43 43 40 41 101

NIST 40 39 36 35 39

NOAA 2 2 2 3 5

ITS 1 2 2 3 57

 Material transfer licenses (inventions) 0 0 0 0 0

 Other invention licenses 0 0 0 0 0

Other IP licenses, total active in FY Department 0 0 0 0 0

 Copyright licenses (fee bearing)

 Material transfer licenses (non-inventions)

 Other

? 

 ? 

 -

 

 

 

 

 

 -

 -

 ? 

 -

 -

 -

Multiple inventions in a single license are counted as one license. Licenses that include both patents and copyrights 

(hybrid licenses) are reported as patent licenses -- and not included in the count of copyright licenses.

(1) “Active” = legally in force at any time during the FY. 

(2) Patent license tally includes patent applications which are licensed.

Note: For simplicity, sub-departmental detail is suppressed in this table, where the appropriate disaggregated figures 

are straightforwardly evident from data listed in other rows.

Licensing -- Profile of Active Licenses (cont.)

FY FY FY FY FY

1999 2000 2001 2002 2003

? All income bearing licenses, number Department 20 18 22 39 37

Invention licenses, income bearing Department 20 18 22 39 37

 

 

 Patent licenses (1) Department 20 18 22 39 37

 NIST 18 16 19 33 29

 NOAA 1 1 2 3 5

 ITS 1 1 1 3 3

 

 

Other IP licenses, income bearing 0 0 0 0 0

 ? 

 -

 

 

 ? Exclusive/partially exclusive/ 

 non-exclusive 

 

 

 ? 

 Department -- -- 16/5/4 19/2/18 20/0/17

 NIST -- -- 15/5/2 18/2/13 19/0/10

 NOAA 1/0/0 1/0/0 1/0/1 1/0/2 1/0/4

 ITS 0/0/1 0/0/1 0/0/1 0/0/3 0/0/3
Annual Report on DoC Federal Lab Technology Transfer, January 2004 Page 5 

FY FY FY FY FY

1999 2000 2001 2002 2003

All royalty bearing licenses,

(2) number 20 18 22 36 34

Invention licenses, royalty bearing 20 18 22 36 34

 Patent licenses (1) Department 20 18 22 36 34

 NIST 18 16 19 33 29

 NOAA 1 1 2 3 5

 ITS 1 1 1 0 0

Other IP licenses, royalty bearing 0 0 0 0 0

? 

 ? 

 - 

 

 

 

 ? 

-- = Data not requested from agency in reports of previous years.

(1) Patent license tally includes patent applications which are licensed.

(2) Note that royalties are one component of total license income.

Note: For simplicity, sub-departmental detail is suppressed in this table, where the appropriate disaggregated figures 

are straightforwardly evident from data listed in other rows.

Licensing Management 

FY FY FY FY FY

1999 2000 2001 2002 2003

Elapsed execution time ,

(1) licenses granted in the FY

Invention licenses, average, months

 NIST -- -- 4.8 5.4 3.4

 NOAA -- -- 8* 8* 5

 ITS -- -- ** 5** 1

 

 

Licenses terminated for cause, number in the FY

Invention licenses

NIST -- -- 7 3 1

NOAA -- -- 0 0 0

ITS -- -- 0 0 0

? 

 ? 

 

 

 

? 

 ? 

 

 

-- = Data not requested from agency in previous years’ reports.

For additional statistics on these metrics see the corresponding table in each of the later agency chapters of this 

report.

(1) Date of license application to the date of license execution. (Date of license application is the date the lab 

formally acknowledges the written request for a license from a prospective licensee and agrees to enter into 

negotiations.)

* For NOAA, no new licenses were executed in FY 1999 and 2000. Also, in FY 2001 and 2002, only a single 

license was executed.

** For ITS, no new licenses were executed in FY 1999 and 2000. Also, in FY 2001 and 2002, only a single license 

was executed. 
Annual Report on DoC Federal Lab Technology Transfer, January 2004 Page 6 

Income from Licensing

FY FY FY FY FY

1999 2000 2001 2002 2003

Total income , all licenses active in FY (1) $405,469 $186,368 $268,568 $164,622 $127,566

Invention licenses $405,469 $186,368 $268,568 $164,622 $127,566

 Patent licenses (2) Department $405,469 $186,368 $268,568 $164,622 $127,566

 NIST $394,387 $122,575 $261,968 $89,750 $122,850

 NOAA $100 $100 $1,600 $9,402 $4,716

 ITS $10,982 $63,693 $5,000 $65,470 $0

 

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

Total Earned Royalty Income (3) $405,469 $186,368 $263,568 $99,152 $127,566

Invention licenses $405,469 $186,368 $263,568 $99,152 $127,566

 Patent licenses (2) Department

 NIST $394,387 $122,575 $261,968 $89,750 $122,850

 NOAA $100 $100 $1,600 $9,402 $4,716

 ITS $10,982 $63,693 $0 $0 $0

$405,469 $186,368 $263,568 $99,152 $127,566

 

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

? 

 ? 

 - 

 ? 

 

? 

 ? 

 - 

 ? 

(1) Total income includes license issue fees, earned royalties, minimum annual royalties, paid-up license fees, and 

reimbursement for full-cost recovery of goods and services provided by the lab to the licensee including patent 

costs.

(2) Patent license tally includes patent applications which are licensed.

(3) “Earned royalty” = royalty based upon use of a licensed invention (usually, a percentage of sales or of units 

sold). Not a license issue fee or a minimum royalty. 

Note: For simplicity, sub-departmental detail is suppressed in this table, where the appropriate disaggregated figures 

are straightforwardly evident from data listed in other rows.

Disposition of License Income

FY FY FY FY FY

1999 2000 2001 2002 2003

Income distributed(1)

Invention licenses Department $405,469 $186,368 $268,568 $164,622 $127,566

 NIST $394,387 $122,575 $261,968 $89,750 $122,850

 NOAA $100 $100 $1,600 $9,402 $4,716

 ITS $10,982 $63,693 $5,000 $65,470 $0

 

 

? 

 ? 

 
Annual Report on DoC Federal Lab Technology Transfer, January 2004 Page 7 

FY 

1999

FY

2000

FY

2001

FY

2002

FY

2003

 - To inventor(s) 

 - To other (2) 

 Department $146,957 $77,931 $106,440 $67,387 $52,903

(36%) (43%) (39%) (41%) (41%)

 NIST $142,262 $57,423 $102,040 $45,650 $51,773

(36%) (47%) (39%) (51%) (42%)

 NOAA $0 $0 $1,500 $696 $1,130

(0%) (0%) (94%) (7%) (24%)

 ITS $4,695 $20,508 $2,900 $21,041 $0

(43%) (32%) (58%) (32%) (0%)

 

 

 

 Department $258,412 $108,437 $162,128 $88,529 $74,662

(64%) (58%) (60%) (59%) (59%)

 NIST $252,125 $65,152 $159,928 $44,100 $71,076

(64%) (53%) (61%) (49%) (58%)

 NOAA $100 $100 $100 $8,706 $3,586

(100%) (100%) (6%) (93%) (76%)

 ITS $6,287 $43,185 $2,100 $44,429 $0

(57%) (68%) (42%) (68%) (0%)

 

 

 

 

 

 

 

Invention licenses are the chief policy interest in regard to income disposition. This table reflects this focu

(1) Income includes royalties and other payments received during the FY.

(2) To internal purposes, in the case of each agency.

s.

Other Important Mechanisms for Technology and Knowledge Transfer (1)

FY FY FY FY FY 

1999 2000 2001 2002 2003

Standard Reference Materials (SRMs) available NIST 1,288 1,292 1,335 1,353 1,214

Standard Reference Materials (SRMs) sold NIST 33,347 34,020 31,985 30,996 29,527

Standard Reference Data (SRD) titles available NIST 60 63 65 90 106

Number of items calibrated NIST 3,118 2,969 3,192 2,924 3,459

Technical publications produced NIST 2,270 2,250 2,207 2,236 1,918

 ITS 32 20 17 17 20

(1) See the NIST and ITS chapters later in this report for definitions and further information on these measures.

Further detail on the measures cited in the tables above, as well as additional activity statistics

can be found in the individual agency chapters later in this report.
Annual Report on DoC Federal Lab Technology Transfer, January 2004 Page 8 

? Illustrative Outcomes from Technology Transfer Cited by the Agencies

The following cases were selected and described by the agencies in their 2003 reports as 

examples of “downstream” outcomes resulting from agency technology transfer efforts:

Agency Downstream Outcomes Listed

Technology Administration -- National

Institute of Standards and Technology

 

? “Out of this world” atomic clock – NIST is working in conjunctio

with NASA to place an extremely accurate atomic clock aboard the 

International Space Station. This clock will provide new 

opportunities for fundamental research in physics, as well as a way t

improve the accuracy of timekeeping on earth.

? Composition standard for peanut butter – NIST’s recently release

Standard Reference Material for peanut butter (SRM 2387), based o

state-of-the-art measurement methods provides values for fat, protei

vitamins, minerals, and other substances present. This new standar

will be used by food manufacturers to validate production and quali

control procedures, as well as to ensure accurate labeling of product

content.

? Better tools for measuring light reflectivity from roadway signs –

Road signs and markings are designed to be visible at night through

“retroreflectivity,” that is, by their ability to reflect some of the light

emitted by oncoming vehicles back toward drivers’ eyes. NIST has

recently developed improved methods for measuring retroflectivity. 

These new measurement tools are expected to provide a basis for 

designing better and safer highway signs and markings.

? Improved lab analysis of male DNA – Genomics related research 

NIST over the last several years has yielded an improved lab metho

and standard reference material for analyzing male DNA. This new 

standard is expected to be useful in forensic work, paternity analyse

and population studies of human evolution. 

? Improved reliability in military communications technology – NIS

researchers, in conjunction with a private company, have developed

significantly improved optical fiber power detector. This new syste

will provide a significant benefit to military calibration centers, whi

are responsible for the accuracy of optical fiber power systems used

the field.

? Standards for measuring micromachine properties –

Microelectromechanical systems (MEMS), also known as 

“micromachines,” are a new technology that uses existing 

microelectronics manufacturing methods to create complex machin

with micrometer sized features. MEMS devices represent a rapidly 

growing sector of the semiconductor industry. NIST has recently 

helped develop 3 ASTM International Standard test methods for thi

films used to make micromachines. This standard will help 

manufacturers ensure their micro devices are made to the exacting 

specifications on dimensions and materials needed for reliable 

operation.

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Annual Report on DoC Federal Lab Technology Transfer, January 2004 Page 9 

Agency Downstream Outcomes Listed

? Novel scanning-tunneling microscope system for nanometer 

measurements and etching – NIST R&D to date has yielded a novel 

device capable of resolving distances smaller than the radius of an 

atom and a reliable method for writing 10 nanometer sized features on 

silicon. Aiming ultimately for an accuracy of less than 1 nanometer, 

NIST is working toward supplying the semiconductor industry with 

benchmark references to calibrate measurement tools for both 

research and production.

? Smart materials to aid in reparing defective teeth – “Smart” 

materials invented at NIST may soon be available that stimulate repair 

of defective teeth. Lab studies show that these composites -- made of 

amorphous calcium phosphate embedded in polyers -- can efficiently 

promote regro wth of tooth structures. NIST is currently working with 

the National Institutes of Health (NIH) and the American Dental 

Association to promote the further development and 

commercialization of these materials.

? Improved methods of testing for use of illict drugs – NIST has 

recently developed two new Standard Reference Materials which aid 

the use of human hair samples in detecting the use of illicit drugs such 

as cocaine, PCP, codeine, and THC. Analysis of hair samples provide 

a means to both ease the collection of samples and substantially

extend the period of time after use where positive identification can be 

made. 

? Device to help blind/visually impaired people to feel images – A 

new technology developed by NIST researchers allows people who 

are blind or visually impaired to feel electronic images. The device --

termed a tactile graphic display -- uses an array of more than three 

thousand rounded pins that can be raised in any pattern and then 

locked into place. Unlike embossed images on paper, the tactile 

display can be used over and over again.

? Improved standards for radiation detectors and monitors – NIST 

researchers are working with the Institute of Electrical and Electronics 

Engineers (IEEE) and the American National Standards Institute 

(ANSI) to develop new standards for a variety of radiation detectors 

and monitors. These new standards are directed in part at Homeland 

Security related tasks -- such as helping to detect “dirty bombs” and 

related radiation hazards. 

? Improved standards for civilian gas masks – NIST has teamed up 

with the National Institute for Occupational Health and Safety 

(NIOSH) and the Army’s Soldier and Biological Chemical Command 

to develop a full suite of gas mask standards for civilian workers. 

These standards are particularly relevant for the conditions firefighters 

and other first responders may encounter in terrorist incidents or other 

emergency response circumstances.

? Online database to aid consumers in choosing among house repair 

options – NIST researchers have developed a free software program 

that helps homeowners select the most cost-effective replacement 

materials for roofing, siding, windows, and garage doors. The 
Annual Report on DoC Federal Lab Technology Transfer, January 2004 Page 10 

Agency Downstream Outcomes Listed

software accounts for the owner’s zip code and includes cost 

estimates for replacements, including cost of local labor and materials, 

and for ongoing maintenance.

? New software to aid engineerings in designing more efficient 

residential air conditioners – New simulation software developed by 

NIST will help cooling system manufacturers meet Department of 

Energy goals calling for a 20% increase by 2006 in the energy 

efficiency of residential air conditioners. 

National Oceanic and Atmospheric 

Administration ? Accurate warnings and track forecasts for Hurricane Isabel –

NOAA’s teamwork, warnings, and forecasts helped reduce the toll on 

lives of property of this severe September 2003 storm episode.

? Shift to five day advance forecasts for hurricanes – Improved 

forecasting methods and databases have allowed the usual three-day 

in advance forecasts to be enlarged to five-day in advance forecasts.

? Improved leadtime warnings for tornadoes – NOAA teamwork and 

improved methods enabled a significant improvement in warning 

leadtime during the particularly severe weather period of May 4-10, 

2003.

? Print-on-demand nautical charts – A NOAA CRADA with a private 

sector partner has provided an electronic commerce, print-on-demand 

service for users to access NOAA’s suite of more than a thousand 

nautical charts.

? Public access to atmosphere and ocean models – A NOAA lab has 

released several Earth System model components and model data to 

university collaborators and the public. 

? Web-based access to earth science databases – A NOAA lab has 

transferred Live Access Server software for web-based visualization 

and downloading of earth science data sets to a broad scientific 

community.

? Scientific Graphics Toolkit and ncBrowse – A NOAA lab has 

developed Java-based tools to more easily visualize oceanographic 

(and other) data in both web and desktop computer applications.

National Telecommunications and 

Information Administration -- Institute 

for Telecommunication Sciences 

? Video quality metric – ITS has developed a superior method of 

measuring video quality objectively by machine, which closely 

predicts the quality that subjective human vision would perceive. 

? Comarco Cellular test equipment – ITS-developed MNB speech 

quality estimation algorithm, licensed to a U.S. test equipment 

manufacturer, used by major cellphone service providers to test, 

diagnose, and maintain cellular radio systems. 

? Personal communications services – Cooperative R&D with a major 

IT industry research laboratory on smart antenna performance. This 
Annual Report on DoC Federal Lab Technology Transfer, January 2004 Page 11 

Agency Downstream Outcomes Listed

technology is targeted to dramatically increase the capacity of 

wireless systems and, thereby, reduce the problem of spectrum 

crowding.

? Local multipoint distribution services – Continuing cooperative 

R&D with industry partners on radio propagation for LMDS, which 

(among other results) provides broadband wireless communications 

for business and residential applications.

See the agency chapters below for further details on these cases.

¦ Progress in Improving the Department’s Performance Metrics for 

Technology Transfer

This year’s annual report again provides a comprehensive set of statistics on the technology 

transfer activities of each of the department’s agencies with federal lab operations. This 

information covers cooperative research and development relationships, invention 

disclosure/patenting, licensing, and other technology transfer mechanisms employed by the labs. 

There is also a new round of agency-selected case illustrations of downstream outcomes (e.g., 

commercially significant technologies) resulting from these federal lab technology transfer 

activities.

The content and format of this year’s performance report is consistent with guidelines issued for 

the annual performance reporting by the Office of Management and Budget in its July 2003 

edition of Circular A-11. (OMB’s guidelines draw closely from the performance reporting 

approach organized by the Interagency Working Group on Technology Transfer/Department of 

Commerce, in December 2001 and revised in December 2002. This approach has been the basis 

for the Department of Commerce’s and other agencies’ reporting over the last several years.) 

Further developed again this year are the agencies’ discussions of technology transfer efforts

through mechanisms beyond the cooperative R&D, patenting, and licensing that comprises the 

mainstream currently of technology transfer for most agencies. Included here are activities such 

as transfer through technical publications, development of industrial standards, other forms of 

public dissemination, and opportunities for guest scientists and engineers to participate in federal 

lab activities. Each of the agencies now indicate the important roles these “other” mechanism 

play in their overall approaches to technology transfer. 

Plans for technology transfer activities by the Department of Commerce’s federal labs generally 

continue to emphasize the development of better metrics for program performance. Ongoing 

initiatives include the following: 

? NIST: 

? NIST continues to evaluate the effectiveness of the wide variety of mechanisms employed for 

technology transfer. 
Annual Report on DoC Federal Lab Technology Transfer, January 2004 Page 12 

? In the FY 2002 and 2003 annual reports, NIST added new categories for non-traditional 

CRADA's to cover NIST calibration services, provide greater detail on licenses and license 

income, address workshops, conferences, and publications, and include participation by NIST 

staff in documentary standards committees. 

? The NIST Director has asked the National Research Council’s Board on Assessment, as part of 

its annual assessment of the NIST laboratories, to examine the effectiveness of the 

communication of its intellectual property policy to technical staff at all levels, so that IP 

protection is sought when it is appropriate to do so.

? NOAA

NOAA has found the conventional technology transfer mechanisms of patenting and licensing of 

research products and participating in CRADA's to be far less effective in achieving NOAA's

mission than the open dissemination of NOAA's scientific products and services. Accordingly, 

the vast majority of the agency’s technology transfer is accomplished through the open 

dissemination methods more traditional for scientific organizations. 

?Nonetheless, the recent emphasis on performance measurements for agency technology transfer 

activities have resulted in an enhanced NOAA effort to monitor and update agency management 

information about these activities. 

?Additionally, in future reports, NOAA will include mission related data that addresses NOAA's 

primary technology mechanism, which is the open dissemination of its products and services. 

Possible metrics for reporting this aspect of NOAA's technology transfer activities include: 

numbers of publications in scientific journals, presentations at scientific meetings, NOAA 

technical publications, collaborative research (other than CRADAs),visiting scientists, data 

exchange agreements, numbers of data requests received by NOAA's environmental data

centers, and external agency studies are being investigated as metrics for reporting.

? ITS

?ITS’ annual performance reporting has been revised to conform to the Department of 

Commerce guidelines. Starting in 2002, ITS added a new metric under the “Other Performance 

Measures” category: ”number of publications approved through the Editorial Review Board 

(ERB) process.” While not perfect, this metric provides a useful, working indicator of the 

number of quality publications released to the public. 

?In addition, ITS continues to explore other metrics for ITS technology transfer through 

telecommunication standards development activities. Possible metrics include the number of 

standards committee leadership positions, the number of documents submitted, and the number 

of standards adopted that include ITS technology. It is anticipated that a metric (or metrics) will 

be selected that is (are) both measurable and as well as possible reflects the value of ITS’ 

standards activities. (ITS standards documents do not go through the ERB process.) 
NIST/TA

Annual Report on DoC Federal Lab Technology Transfer, January 2004 Page 13 

II. TECHNOLOGY ADMINISTRATION -- NATIONAL INSTITUTE OF 

STANDARDS AND TECHNOLOGY 

Technology Transfer at the Agency’s Federal Laboratories – Approach and 

Plans, FY 2003 Activities/Achievements

1. Agency Approach and Plans for Technology Transfer

The mission of the National Institute of Standards and Technology (NIST) is to develop and 

promote measurements, standards, and technology to enhance productivity, facilitate trade, and 

improve the quality of life. NIST’s 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.

NIST’s technology transfer activities are designed to disseminate the Institute’s measurements 

and standards research results broadly to industry and other customers. NIST pursues patents, 

licensing agreements, and related technology transfer as one of several means for transferring the 

knowledge and technologies that result from its laboratory research. Generally, NIST has the 

broadest possible downstream leverage when it uses diverse technology dissemination channels, 

ranging from reference materials and calibration services to technical publications and guest 

researchers, as well as patents, licensing agreements, CRADA’s, and the like.

Leading-edge scientific and technical work requires multiple disciplines, high levels of 

collaboration among organizations and people with diverse capabilities, and highly specialized 

facilities and tools. For more than a century, the NIST laboratories have successfully 

collaborated with industry and universities to provide the measurement techniques and technical 

tools needed by America’s innovators. NIST uses many mechanisms -- including, but not 

limited to, CRADAs and patent licensing -- to collaborate with industry and to ensure that the 

resulting knowledge and infrastructural technologies are broadly disseminated. 

While NIST does conduct “traditional” technology transfer activities (participate in CRADAs, 

hold patents, and engage in licensing), its laboratories create patents and licenses, where 

appropriate, as tools to accomplish NIST’s mission. These and other technology transfer 

mechanisms such as workshops, conferences, publications, and partnering tools, as well as 

SRM’s, calibrations, and participation in documentary standards committees, enable NIST to 

disseminate its measurement capabilities to customers. Together, they represent major outputs 

that NIST’s customers use in their R&D activities, production processes, service delivery 

methods, market transactions, and other economically valuable activities. 

This sequence of activities, along with the methods NIST uses to evaluate them, are depicted in 

the following logic model:
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Annual Report on DoC Federal Lab Technology Transfer, January 2004 Page 14 

Inputs

Funding

Appropriated and 

reimbursable funds

Staff

3000+ employees

Guest 

researchers/year

Facilities and 

Equipment

State-of-the-art 

measurement and 

standards 

laboratories (ACSL, 

AML construction)

Activities

Laboratory 

research

Measurement 

services and 

product 

dissemination

Conferences and 

workshops

Participation in 

standards 

committees and 

working groups

Outputs

Contributions to 

basic measurement 

science

Measurement and 

test methods

Standards 

development

Calibration services

Reference 

materials

Evaluated data

Technical 

publications

Advisory services 

and other 

knowledge transfer 

mechanisms

Evaluation of Performance: Outputs

Assessment of production and 

dissemination of key product and service 

outputs as indicators of progress along 

value chain; includes:

Standard Reference Materials

Standard Reference Databases

Items calibrated

Technical publications

Evaluation of Performance: Quality, Relevance, and Effectiveness

National Research Council (NRC) peer review : External assessment of Laboratory 

programs, focusing on: the technical quality relative to the state-of-the-art 

worldwide; the effectiveness with which the laboratory programs are carried out 

and the results disseminated to their customers; and the relevance of the 

laboratory programs to the needs of their customers.

Impacts on Primary 

Customers

Facilitate new R&D 

and technical 

capabilities

Increase R&D 

productivity

Develop new 

products, processes & 

services

Improve product or 

service quality and 

performance

Improve process 

quality and efficiency

Reduce technical 

barriers to trade

Lower transaction 

costs

Outcomes

Supply Chain 

Impacts

Improvements in 

sales, profits, and 

employment

Socioeconomic 

Impacts

Productivity gains

Increased market 

access and 

efficiency

Public benefits: 

higher standard 

of living; better 

quality of life 

Evaluation of Performance:

Long-term Impacts

Economic impact studies: Projectlevel estimates of the net present 

value, benefit-cost ratio, and social 

rate-of-return

The set of outputs that NIST uses to transfer its measurement capabilities and technologies to 

customers includes standard reference materials, calibration services, and other products and 

services that are described below. 2 

• Standard Reference Materials

Standard Reference Materials (SRMs) are one definitive source of measurement traceability 

in the United States. All measurements using SRMs can be traced to a common and 

recognized set of basic standards that provides the basis for compatibility of measurements 

among different laboratories. As economic exchange has become more global, customers 

increasingly use SRMs to achieve measurement quality and conformance to process 

requirements that address both national and international needs for commerce and trade. 

 

2

 NIST’s authority to perform its technology/knowledge transfer activities does not rest solely in the Bayh-Dole Act, 

Stevenson-Wydler Act, Federal Technology Transfer Act (FTTA) and related legislation. It also resides in NIST’s 

Organic Act (15 USC 272) and the Standard Reference Data Act (15 USC 290).
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Annual Report on DoC Federal Lab Technology Transfer, January 2004 Page 15 

NIST produces and disseminates (sells) SRMs to a large and diverse group of custome rs, 

including private sector laboratories, universities, and other federal agencies. NIST SRMs 

support industrial materials production and analysis, environmental analysis, health 

measurements, and basic measurements in science and metrology. 

The number of SRMs available for sale -- currently over 1,300 -- illustrates the breadth of 

measurements supported by NIST. Over time, NIST expects slight growth in the number of 

SRMs available, given its current strategy of focusing on those SRMs that cannot be 

produced by secondary laboratories and which have broad and/or high downstream impact. 

In establishing its out-year projections, the NIST SRM Program monitors, among other 

things, trends in emerging technologies, new regulations that will depend on SRMs for 

enforcement, and the reference material needs of other federal agencies. Several 

microeconomic studies of NIST SRM programs have shown the technology transfer 

mechanisms built into these efforts to be effective with resulting high economic benefits 

delivered to industry.

• Calibration Services

The NIST laboratories provide physical measurement services for their customers, including 

calibration services, special tests, and measurement assurance programs (MAPs). Calibration 

services and special tests are characterizations of particular instruments, devices, and sets of 

standards with respect to international and national standards. MAPs are quality control 

programs for calibrating entire measurement systems. NIST’s calibration services are 

designed to help the makers and users of precision instruments achieve the highest possible 

levels of measurement quality and productivity. The services constitute the highest order of 

calibration services available in the United States. NIST offers more than 500 different types 

of physical calibrations covering the following measurement areas: dimensional; mechanical, 

including flow, acoustic, and ultrasonic; thermodynamic; optical radiation; ionizing 

radiation; electromagnetic; and time and frequency. 

Over the past several years, NIST has calibrated approximately 3,000 items annually. Over 

the next several years, NIST expects to realize a relatively high but slightly declining number 

of items calibrated. This is in keeping with a long-term trend, over the past several decades, 

of a decline in the number of items calibrated by NIST. Despite this overall trend, individual 

years may fluctuate slightly due to multi-year calibration cycles. NIST expects to provide 

fewer but more highly leveraged calibration services over time. NIST’s strategy is driven by 

the need to effectively manage trends in demand from its major industry and government 

customers for these services. NIST is pursuing three strategies: (1) performing only those 

calibrations that require a direct connection to the national standards; (2) improving 

calibration accuracy in those areas where new industry demands are emerging; and (3) 

accrediting primary and secondary calibration laboratories to meet on-going industry needs. 

In FY 2003, NIST accredited 72 calibration laboratories in fields ranging from dimensional 

metrology to optical and chemical. Through this overall approach, NIST efficiently 

leverages its primary calibration services to support a broader base of secondary calibrations 

conducted within the private sector. Several microeconomic studies of NIST calibration 
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Annual Report on DoC Federal Lab Technology Transfer, January 2004 Page 16 

programs have shown the technology transfer mechanisms built into these efforts to be 

effective with resulting high economic benefits delivered to industry.

• Standard Reference Data

NIST produces and makes available (i.e., sells or distributes for free) many Standard 

Reference Data titles (SRDs). SRDs provide numeric data to scientists and engineers for use 

in technical problem solving, research, and development. These recommended values are 

based on data extracted from scientific and technical literature or on measurements done at 

NIST laboratories, which are then assessed for reliability and evaluated to select the preferred 

values. NIST’s SRD databases cover many areas of science, including analytical chemistry, 

atomic and molecular physics, biotechnology, and materials sciences.

Historically, NIST has produced two new SRD titles per year. At the same time, NIST also 

provides numerous upgrades to existing databases. Each year, however, some database titles 

are eliminated from the NIST catalog. Over time, NIST expects continued modest growth in 

the total number of SRD titles available. Of those titles currently available, about 50% are 

available for sale, and 50% are free online systems. Over time, a larger percentage of these 

titles will be distributed via the Internet. Several microeconomic studies of NIST SRD 

programs have shown the technology transfer mechanisms built into these efforts to be 

effective with resulting high economic benefits delivered to industry.

• Technical Publications

NIST uses publications as a key mechanism to transfer the results of its work to the U.S. 

private sector and to other government agencies that need cutting-edge measurements and 

standards. Many of these publications appear in prestigious scientific journals and withstand 

peer review by the scientific community. Others appear in technological forums where 

measurement standards and technologies developed by NIST staff (at times in collaboration 

with private sector partners) are disseminated. Of the technical publications produced 

annually, approximately 80% are approved for external publication (such as in scientific 

journals), while the remaining 20% are NIST reports and special publications.

Over time, NIST expects a relatively constant level of high quality publications (2,000-2,300 

per year) to be produced by its technical staff.

 

• Guest Researchers and Facilities Users

Each year hundreds of researchers visit NIST to participate in collaborative projects and/or to 

use NIST’s research facilities. NIST makes its facilities available for limited periods of time 

to domestic and foreign guest researchers to collaborate with NIST staff on research and 

development projects of mutual interest or to transfer NIST techniques, procedures, and best 

practices. NIST also sponsors several formal collaboration programs with universities, 

among them JILA, an interdisciplinary institute for research and graduate education in the 

physical sciences, located on the main campus of the University of Colorado (CU) in 

Boulder, and operated jointly by CU and NIST; and the Center for Advanced Research in 
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Annual Report on DoC Federal Lab Technology Transfer, January 2004 Page 17 

Biotechnology (CARB). CARB conducts research and provides interdisciplinary training in 

fundamental problems at the forefront of biotechnology through collaborations with scientists 

at its parent institutions, the University of Maryland Biotechnology Institute and NIST.

• Conferences, Workshops, and Inquiries

NIST also transfers technology through the hosting of numerous conferences and workshops, 

as well as through answering inquiries. In FY 2003, NIST Public and Business Affairs 

handled about 9600 inquiries. In addition, during FY 2003, this office managed 130 

conferences with about 11,000 attendees at the NIST sites in Gaithersburg and Boulder.

• Participation in Documentary Standards Committees

Still another means by which NIST transfers technology is through staff participation in the 

activities of documentary standards committees, which develop consensus standards on a 

host of technologies. NIST participation enables NIST scientists and engineers to bring 

NIST technology directly into a standard, which could involve test methods and procedures 

for protecting health, safety, and/or the environment, or specifications for performance or 

interoperability, to name a few. During CY 02, a total of 440 NIST staff participated in 1426 

activities of 968 standards committees, including 470 American Society for Testing and 

Materials (ASTM) committees, 93 American National Standards Institute (ANSI) 

committees, 53 Institute for Electrical and Electronic Engineers (IEEE), and 73 International 

Organization for Standardization (ISO) committees.3 These activities are also reported by 

NIST to the Office of Management and Budget and to Congress as required by the National 

Technology Transfer and Advancement Act of 1995. 

 

3

 Statistics on NIST’s participation in these standards committees are collected on a calendar year (CY) rather than 

fiscal year (FY) basis. At time of this report, the CY 2002 figures cited are the most recent available. However, the 

CY 2003 figures are not expected differ significantly. 
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Annual Report on DoC Federal Lab Technology Transfer, January 2004 Page 18 

2. Performance in FY 2003: Activities and Achievements

The data below describe the many ways through which NIST transfers knowledge and 

technology to the private sector. 

In response to the reporting requirements of the Technology Transfer Commercialization Act of 

2000 and other relevant legislation, data are provided for collaborative relationships for research 

and development relationships (CRADAs and other kinds of relationships), invention disclosures 

and patenting, and licensing. In addition, in keeping with the previous discussion, data are also 

provided for some of the other technology transfer mechanisms utilized by the NIST 

laboratories: such as Standard Reference Materials available, technical publications produced, 

items calibrated, and guest researcher collaborations. A number of examples of downstream 

outcomes from NIST technology transfer activities are also provided at the end.

¦ Collaborative Relationships for Research & Development

FY 

1999

FY

2000

FY

2001

FY 

2002

FY 

2003

? CRADAs, total active in the FY (1) 261 208 174 1,812 1,653

 - New, executed in the FY 62 40 22 1,712 1,589

 ? Traditional CRADAs,(2) total active in the FY 261 208 174 125* 76*

 - New, executed in the FY 62 40 22 25 12

 ? Non-traditional CRADAs,(3) total active in the FY -- -- 0 1,687 1,577

 - New, executed in the FY -- -- 0 1,687** 1,577**

? Other types of collaborative R&D relationships

 ? Facility use agreements, total in effect a end of FY (4) -- -- 372 391 512

 -New, executed in the FY -- -- 172 62 n/a

 ? Guest scientists and engineers during the FY (5) -- -- 1,200a 1,300a 1,300a

CRADA = Cooperative Research and Development Agreement. n/a = Data not available from agency at time of 

this report. -- = Data not requested from agency in reports of earlier years. a = Figures are approximate.

(1) “Active” = legally in force at any time during the FY. “Total active” is comprehensive of all agreements 

executed under CRADA authority (15 USC 3710a).

(2) CRADAs involving collaborative research and development by a federal laboratory and non-federal partners. 

(DA/CFO).

(3) CRADAs used for special purposes -- such as, material transfer or technical assistance that may result in 

protected information. 

(4) NIST authorizes individuals to use designated facilities. The numbers reported here represent the Facility Use 

Agreements in effect for the NIST Center for Neutron Research.

(5) “Guest scientists and engineers” includes foreign and domestic guest researchers, and researchers working at 

NIST under Intergovernmental Personnel Act (IPA) Agreements and CRADAs. 

* Includes CRADA’s associated with all NIST programs, including Manufacturing Extension Partnership (MEP),

Technology Services (TS), and the Director of Administration/Chief Financial Officer.
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Annual Report on DoC Federal Lab Technology Transfer, January 2004 Page 19 

**1,687 “non-traditional” CRADAs were issued in FY 2002 to protect the results (under CRADA authority) of 

2,924 calibrated items from disclosure for a period of five years after development. Such “non-traditional” 

CRADA’s are issued (and terminate) on an annual basis. Similarly, 1,577 “non-traditional” CRADA’s were issued

in FY 2003.

¦ Invention Disclosure and Patenting

FY 

1999

FY

2000

FY

2001

FY 

2002

FY 

2003

(1) ? New inventions disclosed in the FY 35 32 24 16 16

? Patent applications filed in the FY (2) 27 18 9 11 5

? Patents issued in the FY 26 14 20 15 7

? Active patents, end of the FY -- -- -- 199 198

? Patents purposely dropped (triaged) during the FY -- -- -- 34 17

-- = Data not requested from agency in reports of earlier years.

(1) Inventions arising at the federal lab. 

(2) Tally includes: U.S. patent applications, foreign patent applications filed on cases for which no U.S. application 

was filed, divisional applications, and continuation-in-part applications. Excludes: provisional, continuation, 

duplicate foreign, and PCT applications. 

¦ Licensing

Profile of Active Licenses

FY FY FY FY FY 

1999 2000 2001 2002 2003

All licenses, number total active in the FY (1) 40 39 36 35 39

? New, executed in the FY 7 3 4 2 3

Invention licenses, total active in the FY 40 39 36 35 39

? New, executed in the FY 7 3 4 2 3

 Patent licenses, (2) total active in FY 40 39 36 35 39

? New, executed in the FY 7 3 4 2 3

 Material transfer licenses (inventions), total active 0 0 0 0 0

? New, executed in the FY 0 0 0 0 0

 Other invention licenses,total active in the FY 0 0 0 0 0

? New, executed in the FY 0 0 0 0 0

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

? New, executed in the FY 0 0 0 0 0

 Copyright licenses (fee bearing)

? 

 

 ? 

 

 -

 

 -

 

 -

 

 ? 

 

 -
NIST/TA

Annual Report on DoC Federal Lab Technology Transfer, January 2004 Page 20 

FY FY FY FY FY 

1999 2000 2001 2002 2003

? New, executed in the FY

 Material transfer licenses (non-inventions), total active

? New, executed in the FY

 Other,total active in the FY

 ? New, executed in the FY

 

 -

 

 -

Multiple inventions in a single license are counted as one license. Licenses that include both patents and copyrights 

(hybrid licenses) are reported as patent licenses -- and not included in the count of copyright licenses.

(1) “Active” = legally in force at any time during the FY. 

(2) Patent license tally includes patent applications which are licensed.

Profile of Active Licenses (cont.)

FY FY FY FY FY

1999 2000 2001 2002 2003

All income bearing licenses, total number 18 16 19 33 29

? Exclusive -- -- 12 18 19

Partially exclusive -- -- 5 2 0

? Non-exclusive -- -- 2 13 10

Invention licenses, income bearing 18 16 19 33 29

? Exclusive -- -- 12 18 19

? Partially exclusive -- -- 5 2 0

? Non-exclusive -- -- 2 13 10

 Patent licenses,(1) income bearing 18 16 19 33 29

? Exclusive -- -- 12 18 19

? Partially exclusive -- -- 5 2 0

? Non-exclusive -- -- 2 13 10

Other IP licenses, income bearing 0 0 0 0 0

? Exclusive

? Partially exclusive

? Non-exclusive

 Copyright licenses (fee bearing)

? Exclusive

? Partially exclusive

? Non-exclusive

All royalty bearing licenses,

(2) total number 18 16 19 33 29

Invention licenses, royalty bearing 18 16 19 33 29

 Patent licenses,(1) royalty bearing 18 16 19 33* 29

Other IP licenses, royalty bearing 0 0 0 0 0

? 

 

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 -

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NIST/TA

Annual Report on DoC Federal Lab Technology Transfer, January 2004 Page 21 

FY FY FY FY FY

1999 2000 2001 2002 2003

 - Copyright licenses (fee bearing)

-- = Data not requested from agency reports of earlier years.

In general, license income can result from various sources: license issue fees, earned royalties, minimum annual 

royalties, paid-up license fees, and reimbursement for full-cost recovery of goods and services provided by the lab 

the licensee including patent costs.

(1) Patent license tally includes patent applications which are licensed.

(2) Note that royalties are one component of total license income.

* Of the 35 licenses active in FY 2002 (see the previous table), 2 were royalty-free research licenses.

to 

Licensing Management 

FY FY FY FY FY

1999 2000 2001 2002 2003

Elapsed execution time ,

(1) licenses granted in the FY

Invention licenses

? Average, months -- -- 4.75 5.4 3.4

? Minimum -- -- 2 2.5 1

? Maximum -- -- 5 5 10

(2) Patent licenses 

? Average, months -- -- 4.75 5.4 3.4

? Minimum -- -- 2 2.5 1

? Maximum -- -- 5 5 10

Licenses terminated for cause, number in the FY

Invention licenses -- -- 7 3 1

 Patent licenses (2) -- -- 7 3* 1

? 

 ? 

 

 

 

 -

 

 

 

? 

 ? 

 -

-- = Data not requested from agency in reports of earlier years.

(1) Date of license application to the date of license execution. (Date of license application is the date the lab 

formally acknowledges the written request for a license from a prospective licensee and agrees to enter into 

negotiations.)

(2) Patent license tally includes patent applications which are licensed.

* In addition to the cited 3 licenses terminated “for cause” in FY 2002, 4 licenses were terminated by mutual 

agreement and 4 expired with the end of their original term.
NIST/TA

Annual Report on DoC Federal Lab Technology Transfer, January 2004 Page 22 

License Income

FY FY FY FY FY

1999 2000 2001 2002 2003

Total income , all licenses active in the FY (1) $394,387 $122,575 $261,968 $89,750 $122,850

Invention licenses $394,387 $122,575 $261,968 $89,750 $122,850

 Patent licenses (2) $394,387 $122,575 $261,968 $89,750 $122,850

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

 Copyright licenses

Total Earned Royalty Income (ERI) (3) $394,387 $122,575 $261,968 $89,750 $122,850

? Median ERI -- -- n/a $2,300 n/a

? Minimum ERI -- -- $1,000 $700 $960

? Maximum ERI $135,927 $20,000 $35,000

? ERI from top 1% of licenses -- -- n/a $20,000 $35,000

? ERI from top 5% of licenses -- -- n/a $20,000 $35,000

? ERI from top 20% of licenses -- -- n/a $50,000 $45,000

Invention licenses $394,387 $122,575 $261,968 $89,750 $122,850

? Median ERI -- -- n/a $2,300 n/a

? Minimum ERI -- -- $1,000 $700 $960

? Maximum ERI $135,927 $20,000 $35,000

? ERI from top 1% of licenses -- -- n/a $20,000 $35,000

? ERI from top 5% of licenses -- -- n/a $20,000 $35,000

? ERI from top 20% of licenses -- -- n/a $50,000 $45,000

 Patent licenses (2) $394,387 $122,575 $261,968 $89,750 $122,850

? Median ERI -- -- n/a $2,300 n/a

? Minimum ERI -- -- $1,000 $700 $960

? Maximum ERI $135,927 $20,000 $35,000

? ERI from top 1% of licenses -- -- n/a $20,000 $35,000

? ERI from top 5% of licenses -- -- n/a $20,000 $35,000

? ERI from top 20% of licenses -- -- n/a $50,000 $45,000

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

? Median ERI

? Minimum ERI

? Maximum ERI

? ERI from top 1% of licenses

? ERI from top 5% of licenses

? ERI from top 20% of licenses

 Copyright licenses

? Median ERI

? Minimum ERI

? Maximum ERI

? ERI from top 1% of licenses

? ERI from top 5% of licenses

? ERI from top 20% of licenses

? 

 ? 

 -

 ? 

 -

 

? 

 

 

 

 

 

 

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NIST/TA

Annual Report on DoC Federal Lab Technology Transfer, January 2004 Page 23 

n/a = Data not available from agency at time of this report. -- = Data not requested from agency in reports of earlier 

years.

(1) Total income includes license issue fees, earned royalties, minimum annual royalties, paid-up license fees, and 

reimbursement for full-cost recovery of goods and services provided by the lab to the licensee including patent 

costs.

(2) Patent license tally includes patent applications which are licensed.

(3) “Earned royalty” = royalty based upon use of a licensed invention (usually, a percentage of sales or of units 

sold). Not a license issue fee or a minimum royalty. 

Disposition of License Income

FY FY FY FY FY

1999 2000 2001 2002 2003

Income distributed(1)

Invention licenses, total distributed $394,387 $122,575 $261,968 $89,750 $122,850

 To inventor(s) $142,262

(36%)

$57,423

(47%)

$102,040

(39%)

$45,650

(51%)

$51,773

(42%)

 To other (3) $252,125 $65,152 $159,928 $44,100 $71,076

(64%) (53%) (61%) (49%) (58%)

 Patent licenses,

(2) total distributed $394,387 $122,575 $261,968 $89,750 $122,850

 To inventor(s) $142,262

(36%)

$57,423

(47%)

$102,040

(39%)

$45,650

(51%)

$51,773

(42%)

To other (3) $252,125

(64%)

$65,152

(53%)

$159,928

(61%)

$44,100

(49%)

$71,076

(58%)

? 

 ? 

 -

 -

 -

 -

 -

Invention licenses are the chief policy interest in regard to income disposition. This table reflects this focus.

(1) Income includes royalties and other payments received during the FY.

(2) Patent license tally includes patent applications which are licensed.

(3) NIST

¦ Other Performance Measures Deemed Important by the Agency

Other Important Mechanisms for Technology and Knowledge Transfer (1)

FY 

1999

FY

2000

FY

2001

FY 

2002

FY 

2003

Standard Reference Materials (SRMs) available (2) 1,288 1,292 1,335 1,353 1,214

Standard Reference Materials (SRMs) sold (3) 33,347 34,020 31,985 30,996 29,527

Standard Reference Data (SRD) titles available (4) 60 63 65 90 106

Number of items calibrated (5) 3,118 2,969 3,192 2,924(7) 3,459
NIST/TA

Annual Report on DoC Federal Lab Technology Transfer, January 2004 Page 24 

FY FY FY FY FY 

1999 2000 2001 2002 2003

Technical publications produced (6) 2,270 2,250 2,207 2,236 1,918

(1) See Section 1 above for additional information about the measures listed here. See also the Department of 

Commerce’s annual submissions under the Government Performance and Results Act (GPRA) for detailed 

information about each of these measures, analysis of trends, and future-year performance projections 

(http://www.osec.doc.gov/bmi/budget/02APPR/02ta.pdf).

(2) Direct and verifiable count of SRMs available to customers at the close of the fiscal year. The number of SRMs 

available for sale illustrates the breadth of measurements supported by NIST. Over time, NIST expects slight 

growth in the number of SRMs available.

(3) Direct and verifiable count of NIST SRM units sold during the fiscal year. NIST expects a continued slight 

decline in the number of SRM units sold, as NIST makes greater use of highly leveraged SRM services over time, 

including accreditation of Nationally Traceable Reference Material producers.

(4) Direct and verifiable count of SRD products developed and disseminated by NIST. NIST expects continued 

modest growth in the total number of SRD titles available. Of those titles currently available, about 70% are 

available for sale, and 30% are free online systems. Over time, a larger percentage of SRDs will be distributed via 

the Internet.

(5) Direct and verifiable count of items calibrated by the NIST laboratories. Over the next several years, NIST 

expects to realize a relatively high but slightly declining number of items calibrated. This is in keeping with a longterm trend, over the past several decades, of a decline in the number of items calibrated by NIST. NIST expects to 

provide fewer but more highly leveraged calibration services over time.

(6) Annual number of technical publications generated by NIST’s technical staff. The number is a direct count of 

the number of technical publications cleared for publication by the NIST Editorial Review Boards at the 

Gaithersburg and Boulder sites. Over time, NIST expects a relatively constant level of high quality publications 

(2,000-2,200 per year) produced by its technical staff. Of the publications produced annually, approx. 80% are 

approved for external publication (such as in scientific journals); the other 20% are NIST reports and special 

publications.

(7) These 2,924 calibrated items were covered by 1,687 “non-traditional” CRADAs that protect the results from 

disclosure.

¦ Outcomes from Technology Transfer

NIST develops and disseminates infrastructural technologies and services required by the U.S. 

private sector and other non-profit and government partners. The outputs of the NIST 

laboratories provide a foundation for industry in all stages of commerce -- research, 

development, testing, production, and marketing -- and in turn enable socioeconomic impacts, 

such as productivity gains, increased market access and efficiency, and improved quality of life. 

These impacts are long-term, accruing years after the original infrastructural technologies were 

developed by NIST (often in conjunction with industry partners).

The examples below show how NIST’s various technology transfer mechanisms – CRADA’s, 

Standard Reference Materials, joint research facilities, software, and documentary standards –

have, over the long term, produced outcomes that significantly benefit consumers and improve 

the quality of life. Most of these examples are linked to the NIST 2010 Strategic Plan, which 

identified five strategic focus areas: measurements and standards essential to established 

industries; nanoscale measurements and data; health care quality assurance; measurements and 

standards for Homeland Security and information and knowledge management;
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Annual Report on DoC Federal Lab Technology Transfer, January 2004 Page 25 

Measurements and Standards

• NIST helping prepare an 'out of this world' atomic clock. Setting the world’s clocks from 

a timepiece far above the Earth someday may be the norm if the National Institute of Standards 

and Technology (NIST)-led program to put an atomic clock aboard the International Space 

Station (ISS) proves successful. This effort is part of the NASA-funded Primary Atomic 

Reference Clock in Space (PARCS) mission, scheduled to fly on the ISS in early 2006. PARCS 

will be used to test gravitational theory, study laser-cooled atoms in microgravity and explore 

ways to improve the accuracy of timekeeping on Earth. Atoms in microgravity can be slowed to 

speeds significantly below those used in atomic clocks on Earth, providing a predicted 10-fold 

improvement in clock accuracy. (The current U.S. standard, the NIST-F1 clock, is accurate to 

within one second in 30 million years.) The PARCS space clock will be compared continuously 

to the hydrogen maser, a fundamentally different clock, to provide a test of an Einstein theory 

that predicts that two different kinds of clocks in the same environment will keep the same time. 

To measure gravitational frequency shift, comparisons will be made between the space clock and 

a clock on Earth. Signals conveyed to the ground from such space clocks someday might serve 

as an international time standard available to anyone around the world. PARCS is a cooperative 

effort involving NASA’s Jet Propulsion Laboratory (JPL), NIST, Harvard-Smithsonian Center 

for Astrophysics, the University of Colorado at Boulder, and the University of Torino in Italy. 

JPL is leading the actual development of the space package.

• Peanut butter standard spreads quality. The National Institute of Standards and 

Technology (NIST) recently issued Standard Reference Material (SRM) 2387, a peanut butter

sample characterized with state-of-the-art measurement methods to provide values for fat, 

protein, vitamins, minerals, and other substances it contains. It can be used by food 

manufacturers to validate production and quality control procedures, as well as to ensure 

accurate labeling of product content. The new SRM is the first NIST food-matrix reference 

material with values assigned for 18 individual amino acids -- the building blocks of proteins --

and for aflatoxins, carcinogenic substances produced by mold in crops. It also is the only SRM 

that is high in both fat content and protein, making it useful in evaluating the fat and protein 

content of other food products. SRM 2387 already has found a scientific use in evaluating 

allergen test kits. Even a trace of peanut protein can cause serious reactions, including death, if 

someone is highly allergic. 

• New NIST facility soon will be ‘reflecting’ on safer signs. Roadways should get safer in the 

future, now that the National Institute of Standards and Technology (NIST) has developed a way 

to accurately and reliably measure how light reflects off stop signs and other road markings. 

Road signs and markings are designed to be visible at night by retroreflectivity -- that is, they 

reflect some of the light emitted by a vehicle’s headlights back toward the driver’s eyes. 

However, measurements of retroreflectivity have varied so much among different devices and 

laboratories that federal transportation officials have been unable to define minimum standards 

for this congressionally mandated characteristic. Recently, NIST established a facility, funded 

by the Transportation Research Board of the National Cooperative Research Program, that 

resolves numerous measurement problems and improves accuracy. Inside the facility, one finds 

a long black tunnel with a set of tracks on which sits an instrumented platform. Signs or 
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Annual Report on DoC Federal Lab Technology Transfer, January 2004 Page 26 

materials are mounted on the platform, which can be moved 3 to 30 meters (10 to 100 feet) from 

a light source at one end of the tunnel. Using custom software, scientists precisely control all of 

the components and measure the characteristics of light reflected from the sign to a detector 

located close to the source. NIST expects that the facility will begin providing calibration 

services early in 2004. 

• Standard improves tests of male DNA. Mother Goose tells us that boys are made of “snips 

and snails and puppy dog tails.” She was clearly misinformed about the snails and tails, but she 

was on to something with the snips. What you really need to build a boy is a “Y” chromosome, 

and it turns out that SNPs (single nucleotide polymorphisms), known by the biotech cognoscenti

as simply “snips,” can be helpful in sorting out who fathered the boy. If DNA can be thought of 

as an instruction book for building a specific person, then SNPs are single letters at an exact 

location in that book that tend to vary among individuals. A new Standard Reference Material 

(SRM) issued by the National Institute of Standards and Technology (NIST) uses both SNPs and 

STRs (sections where three to five DNA “letters” form repeating patterns) to help improve the 

reliability of laboratory analyses of male DNA. The result of several years of research, the 

standard consists of six vials of very carefully analyzed DNA. Five are male samples, and one is 

female. Laboratories that perform forensics or paternity DNA analyses can use the SRM to 

double check the accuracy of their equipment and test procedures for analyzing the Y 

chromosome. It also may be helpful for population studies that study whether the human race 

evolved from one or many “Adams.” Each vial comes with certified DNA sequences for 22 

different STR locations and 42 different SNPs. 

• System helps ensure reliability of military communications. The Army, Navy and Air 

Force use thousands of miles of optical fibers on ships, planes and land-based installations to 

transmit voice and data. They needed a simple, effective, and highly accurate way to measure the 

amount of light delivered by these glass “wires” at key points in the transmission system. Power 

degradation along the network can cause communication failure. Working with ILX Lightwave 

Corp. of Bozeman, Mont., the National Institute of Standards and Technology (NIST) came up 

with a system capable of world-class optical measurements with push-button convenience. The 

system consists of a NIST-designed optical detector and an optical multimeter -- designed by 

ILX Lightwave -- that measures light emitted from a fiber over a wide range of wavelengths. 

There are two versions of the novel detector: one using silicon-based sensors and the other using 

germanium-based sensors. The sensors connect directly to an optical fiber without any additional 

optics and with barely measurable light loss. Measurement uncertainty is half tha t of previous 

optical fiber power detectors. The new systems are now being shipped to military calibration 

centers where they will be used to annually check the accuracy of optical fiber power systems 

utilized in the field.

Nanotechnology

• Standards to help manufacturers measure micromachine properties. When a car collides 

with another car, a tiny device called an accelerometer detects the change in motion and sets off 

an air bag, an innovation that has saved many lives. The accelerometer is one of the most 

common uses of microelectromechanical systems (MEMS), but scientists and engineers also are 
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Annual Report on DoC Federal Lab Technology Transfer, January 2004 Page 27 

starting to use them in devices ranging from angioplasty pressure sensors and pacemakers to 

optical disk drives. MEMS, also known as micromachines, are a relatively new technology that 

uses existing microelectronics manufacturing methods to create complex machines with 

micrometer feature sizes. MEMS devices represent a rapidly growing component of the 

semiconductor industry. Many micromachines contain moving parts that are combined with 

integrated circuits. Like most high-tech devices, they must be made with precise dimensions and 

materials properties to operate properly. To help manufacturers ensure that their devices meet 

these exacting specifications, National Institute of Standards and Technology (NIST) scientists 

and engineers helped develop three ASTM International standard test methods for the thin films 

used to make micromachines. The test procedures, which are the first such standards in the 

world, will be published in The Annual Book of ASTM International Standards this month. The 

standards are expected to facilitate global commerce in MEMS technologies by enabling 

measurements that will lead to the development of more reliable and reproducible MEMS

devices. The three standards provide detailed instructions for measuring thin-film dimensions 

and "strain," a property related to the stress in the thin film. NIST researchers have created a 

Web site to help semiconductor manufacturers perform the complex mathematical calculations 

required by the new standard test methods. For further information, see 

www.eeel.nist.gov/812/test-structures.

• NIST helps chip industry measure features by counting atoms. The quest to develop the 

nanotechnology equivalent of ruler length measurement references based on the spacing of atoms 

in a perfectly ordered crystal has inspired a burst of innovation at the National Institute of 

Standards and Technology (NIST). Progress to date has yielded a novel device that can resolve 

distances smaller than the radius of an atom and a reliable method for writing 10 nanometer sized 

features on silicon. NIST researchers are packaging the new technology and know-how into a 

scanning tunneling microscope (STM) system designed to write patterns with dimensions 

determined by counting the atoms that make up the patterns’ structural features. Ultimately 

aiming for an accuracy of better than 1 nanometer, the team intends to supply the semiconductor 

industry with benchmark references to calibrate measurement tools used in research and 

production. To measure exceedingly small distances, members of the “atom-based artifacts 

project” developed a novel diode laser-based interferometer. The new, compact instrument 

incorporates elements of two types of existing interferometers -- devices that determine the 

distance between two objects on the basis of light interference patterns -- but achieves much 

higher levels of resolution. To date, the team has measured distances in increments smaller than 

10 picometers, or less than one hundredth of a nanometer. Efforts to produce durable, siliconbased measurement references have paid off with a method for reliably writing patterns with 10 

nanometer line widths -- equivalent to about 30 silicon atoms across. These STM-written 

patterns are long-lived, even outside of a vacuum, and recent work suggests that reactive ion 

etching can increase their three dimensional relief.

Healthcare

• Tooth, heal thyself. “Smart materials” invented at the National Institute of Standards and 

Technology (NIST) soon may be available that stimulate repair of defective teeth. Laboratory 

studies show that these composites, made of amorphous calcium phosphate embedded in 
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Annual Report on DoC Federal Lab Technology Transfer, January 2004 Page 28 

polymers, can efficiently promote re-growth of tooth structures. In the presence of saliva-like 

solutions the material releases calcium and phosphate ions, forming a crystalline calcium 

phosphate similar to the mineral found naturally in teeth and bone. Deve loped through a longstanding partnership between NIST and the American Dental Association (ADA), initial 

applications for these bioactive, biocompatible materials include adhesive cements for 

orthodontic braces and anti-cavity liners underneath conventional fillings. NIH and NIST 

entered into an interagency agreement whereby NIST took the lead on prosecuting and licensing 

the smart dental material. After further development, NIST exclusively licensed the invention to 

the ADA, which has signed one commercialization license to date. This activity is an example of 

increasingly close ties between federal agencies, non-profit organizations and the private sector. 

• Hairs’ to better drug testing. There’s a relatively new weapon in the battle against illicit 

drug use -- hair. Unlike urine or other body fluids, hair tissue retains traces of cocaine and other 

drugs for at least 90 days (not just two or three). Hair also is easier to collect and harder to switch 

or contaminate. As a result, hair analysis increasingly is used to screen job applicants, athletes, 

and others for illicit drug use. The accuracy of such tests now can be checked through the use of 

two new National Institute of Standards and Technology (NIST) Standard Reference Materials 

(SRM’s). The standards consist of human hair segments that have been soaked in solutions 

containing target drugs and then carefully measured for drug concentrations. SRM 2379 is 

designed for calibrating tests of stimulants (“uppers”) such as cocaine and PCP, while SRM 2380 

helps check tests for depressants (“downers”), such as codeine and THC (the active ingredient in 

marijuana). Drugs usually are not detectable in hair samples until 10 days after use, so hair 

analysis is likely to complement rather than completely replace traditional screening methods. 

• Device lets blind feel images. A new technology developed by National Institute of 

Standards and Technology (NIST) researchers allows people who are blind or visually impaired 

to feel electronic images. Called a tactile graphic display, the device uses an array of more than 

3,000 rounded pins that can be raised in any pattern and then locked into place. The inspiration 

for the tactile graphic display came from a “bed of nails” toy found in a novelty store. The NIST 

researchers just needed a way to connect an array of moveable pins with electric signals. The 

answer came in the form of outdated technology. The researchers took a 20-year-old scientific 

pen plotter and made it work upside down. Instead of pushing a pen down to draw images on 

paper, the device now pushes pins up to form an image. Unlike embossed images on paper, the 

tactile display can be used over and over again. Each image is sent electronically to the device, 

which uses software to determine how to create a tactile display that matches the image. The 

display converts scanned illustrations, photographs, map outlines, or other graphical images into 

raised patterns and can translate images displayed on Internet Web pages or in electronic books. 

After the pins are “viewed” with the fingertips, they can be withdrawn to form a flat surface 

ready to be reset into a new image. NIST is working with the private sector to apply the 

technology under a non-exclusive research license. In addition, several patents are pending on 

the technology and commercialization licenses are available.
NIST/TA

Annual Report on DoC Federal Lab Technology Transfer, January 2004 Page 29 

Homeland Security

• Finding dirty bombs and other radiation threats. In an age of terrorism, law enforcement 

agents and other first responders need to be prepared for a wide range of threats, including socalled “dirty bombs” and other radiation hazards. To help ensure the performance of devices 

used to detect such threats, National Institute of Standards and Technology (NIST) researchers 

are working with the Institute of Electrical and Electronics Engineers (IEEE) and the American 

National Standards Institute (ANSI) to develop new standards for a variety of radiation detectors 

and monitors. With partial funding from the Department of Homeland Security (DHS) and 

NIST’s Office of Law Enforcement Standards, NIST researchers are investigating a wide variety 

of detection devices, ranging from 3-meter-high portal towers that scan truck trailers while they 

move through checkpoints to small, pager-size monitors that serve as personal dosimeters. Many 

of these devices originally were designed for monitoring workers in factories and laboratories. 

The new standards under development will ensure that the devices work as intended under the 

new conditions now encountered in homeland security related tasks. For example, some devices 

work differently in the rain or high humidity conditions, as well as in wide temperature ranges. 

So far, the NIST researchers also have found that the calibration of some detectors depends a lot 

on the exposure rate and energy of the radiation detected. The accuracy of 19 different hand-held 

detectors ranged within plus or minus 5 percent of the actual radiation value to plus or minus 40 

percent depending on whether they were measuring high, medium or low energy radiation 

sources.

• Ensuring the safety of first responder gas masks. Firefighters and other first responders 

faced with a terrorist attack soon will breathe a little easier knowing that their gas masks have 

been tested to ensure they work properly under emergency response conditions. Air purifying 

respirators, commonly known as gas masks, protect workers from hazards associated with 

chemical, biological, radiological and nuclear (CBRN) agents. The National Institute of 

Standards and Technology (NIST) has teamed up with the National Institute for Occupational 

Safety and Health (NIOSH) and the U.S. Army Soldier and Biological Chemical Command to 

develop a full suite of gas mask standards for civilian workers. Scientists will begin live agent 

testing of masks this spring at the Army’s Aberdeen Proving Grounds in Maryland, one of only a 

few nationwide laboratories that can do such tests safely. The tests will ensure that the masks 

protect workers from a mustard blistering agent and from the nerve gas sarin. The tests are done 

on specially designed mannequins that can precisely measure minute amounts of vapor that may 

penetrate through the masks. Masks worn by first responders must meet different standards from 

those designed for troops. Most military uses involve outdoor attacks where air currents would 

naturally disperse chemicals or other hazardous agents. The civilian testing procedures address 

release of a hazardous agent inside buildings or other closed environments. The standard will 

include a maximum pene tration rate for hazardous substances and methods for testing the fit of 

gas masks for individuals. 

Information and Knowledge Management

• Helping consumers choose among house repair options. House maintenance is a neverending and costly task. Roofing, siding, windows and even garage doors wear out. Now 
NIST/TA

Annual Report on DoC Federal Lab Technology Transfer, January 2004 Page 30 

researchers at the National Institute of Standards and Technology (NIST) have developed a 

software program that takes the guesswork out of replacement decisions. The free program, 

called NEST (for National Economic Service-life Tools), allows homeowners to select the most 

cost-effective replacement material for roofing, siding, windows and garage doors. It also 

provides, for the user’s own zip code, cost estimates for replacements, including the cost of local 

labor and local materials, as well as the cost of maintenance. NEST currently consists of two 

software tools. “NEST Builder” and “Durability Doctor.” NEST Builder asks homeowners to 

specify the house layout and size, as well as various kinds of materials used for roofing, siding, 

windows and garage doors. The software program uses the information to build a virtual or 

graphic model of a user’s home. “Durability Doctor” then combines the house model data with 

information on material cost and service life of the selected housing component. It estimates the 

installation and maintenance cost as well as the monthly financing cost of each alternative over 

the product's lifetime. Consumers then can compare costs for nine different types of roofing, four

garage door materials, six types of windows and eight varieties of siding. “Durability Doctor” 

also reports which replacements are the most durable, have the lowest installation cost and 

lowest life-cycle cost for each housing component. NIST developed NEST with funds from the 

Partnership for Advancing Technology in Housing, a government-industry initiative led by the 

Department of Housing and Urban Develop

is available at www.pathnet.org/sp.asp?

ment to modernize the homebuilding industry. NEST 

• Designing efficient cooling systems for the dog days of summer. New software developed 

by National Institute of Standards and Technology (NIST) can help cooling system 

manufacturers meet Department of Energy goals calling for a 20 percent increase in energy 

efficiency of residential air conditioners by 2006. Manufacturing engineers can use the software, 

called EVAP-COND, to improve evaporators and condensers, two types of heat exchangers that 

are essential components of every air conditioner. Improved heat exchangers mean increased 

energy efficiency. The software simulations depict the performance of evaporators and 

condensers working with any one of 10 cooling agents, including new generation atmospheric 

ozone-safe hydrofluorocarbon fluids and “natural refrigerants,” such as carbon dioxide or 

propane. The software’s computer graphics package enables engineers to observe and to 

understand refrigerant behavior throughout the simulated heat exchanger. Different designs can 

be tested to achieve desired environmental results. According to the software developer, 

“EVAP-COND can increase design engineer productivity and can reduce laboratory testing, thus 

shortening design-to-production time. This software can save manufacturers time and money, 

while it is helping to conserve energy.” NIST developed the software with funds from the 21st 

Century Research Program of the Air-conditioning and Refrigeration Technology Institute and 

the U.S. Department of Energy. The Windows-based program can be downloaded from 

www2.bfrl.nist.gov/software/evap-cond/.
NOAA

Annual Report on DoC Federal Lab Technology Transfer, January 2004 Page 31 

III. NATIONAL OCEANIC AND ATMOSPHERIC ADMINISTRATION

Technology Transfer at the Agency’s Federal Laboratories – Approach and 

Plans, FY 2003 Activities/Achievements

1. Agency Approach and Plans for Technology Transfer

The National Oceanic and Atmospheric Administration (NOAA) is one of the world’s foremost 

scientific and environmental agencies. It is a critical part of our Nation’s economic structure. 

NOAA science and technology products impact the daily lives of every one of our citizens, and 

have economic consequences which significantly affect our Nation’s Gross Domestic Product.

For example, about one-third of the U.S. economy (approximately $3 trillion) is weather 

sensitive. 

NOAA’s mission 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. NOAA's primary technology transfer mechanism has historically been the 

open dissemination of scientific and technical information to individuals, industry, government, 

and universities. This means of technology transfer is consistent with the agency’s mission and 

scientific tradition and has been found to be more efficient and economical than transfer through 

patenting and licensing. Also, NOAA scientists have found that the time and expense required to 

set-up Cooperative Research and Development Agreements (CRADAs) often outweigh their 

advantages. Consequently, NOAA’s technology transfer program should not be measured solely 

in terms of CRADAs, patents, and licenses. Rather, it should be viewed in terms of meeting the 

primary agency mission and its benefits to the public. An example of beneficial information 

disseminated to the public is the daily weather forecast and warnings of severe weather events.

For FY 2003, NOAA carried out an extensive technology transfer program by not only providing 

the daily weather forecasts and warnings through the media and through NOAA Weather Radio, 

but also by applying meteorological and oceanographic technologies and information through 

open dissemination to individuals, industry, government, and universities. NOAA technology is 

also transferred through presentations at scientific meetings, publication of meeting papers, 

publication in peer reviewed scientific journals, and through NOAA scientific and technical 

publications. NOAA Weather Radio has been integrated into the Nation’s homeland security 

efforts and will be used to alert citizens to chemical or nuclear spills and terrorist attacks.

 

The NOAA web page at www.noaa.gov details the voluminous amount of technology made 

available to all in the form of data and information products and services, such as weather and 

climate data, climate forecasts, El Nino, tides and currents, satellite imagery and direct readout, 

fishery statistics and information on protected species, air quality, state of the coasts, beach 

temperatures, and nautical charts, as well as extensive data bases on climate, oceans, geophysics, 

and the sun. 

The understanding and forecasting of global phenomena that occur in the atmosphere, oceans, 

and on the sun require collaboration and information sharing with organizations in countries 
NOAA

Annual Report on DoC Federal Lab Technology Transfer, January 2004 Page 32 

throughout the world. This is accomplished through formal agreements with individual countries 

and participation in international organizations, such as the World Meteorological 

Organization(WMO), Intergovernmental Oceanographic Commission(IOC), and International 

Astronomical Union (IAU). NOAA also participates in international scientific expeditions with 

other nations to share technology and scientific data. In addition, NOAA provides technical 

assistance and training to individuals from other countries, and participates in a visiting scientist 

program. Much environmental data is also shared through NOAA’s participation in the World 

Data Center program.

 

In future years, NOAA will continue to carry out these considerable technology transfer 

activities and international collaboration, while working towards four mission goals: 1. Protect, 

restore, and manage the use of coastal and ocean resources through ecosystem management 

approaches; 2. Understand climate variability and change to enhance society’s ability to plan 

and respond; 3. Serve society’s needs for weather and water information; 4. Support the 

Nation’s commerce with information for safe and efficient transportation. 

To benefit the competitiveness of U.S. industry, NOAA will also continue to provide intellectual 

property to industry through licenses, CRADAs, or by open dissemination. 
NOAA

Annual Report on DoC Federal Lab Technology Transfer, January 2004 Page 33 

2. Performance in FY 2003: Activities and Achievements

¦ Collaborative Relationships for Research & Development

FY 

1999

FY

2000

FY

2001

FY 

2002

FY 

2003

? CRADAs, total active in the FY (1) 8 10 8 8 11

 - New, executed in the FY 1 3 3 1 0

 ? Traditional CRADAs,(2) total active in the FY 8 10 8 8 11

 - New, executed in the FY 1 3 3 1 0

 ? Non-traditional CRADAs,(3) total active in the FY 0 0 0 0 0

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

? Other types of collaborative R&D relationships 0 0 0 0 0

Figures for FY 2003 are estimates at time of this report.

CRADA = Cooperative Research and Development Agreement.

(1) “Active” = legally in force at any time during the FY. “Total active” is comprehensive of all agreements 

executed under CRADA authority (15 USC 3710a).

(2) CRADAs involving collaborative research and development by a federal laboratory and non-federal partners.

(3) CRADAs used for special purposes -- such as, material transfer or technical assistance that may result in 

protected information. 

¦ Invention Disclosure and Patenting

FY FY FY FY FY 

1999 2000 2001 2002 2003

(1) ? New inventions disclosed in the FY 3 2 1 1 5

? Patent applications filed in the FY (2) 2 2 3 0 0

? Patents issued in the FY 2 2 1 5 1

Figures for FY 2003 are estimates at time of this report.

(1) Inventions arising at the federal lab. 

(2) Tally includes: U.S. patent applications, foreign patent applications filed on cases for which no U.S. application 

was filed, divisional applications, and continuation-in-part applications. Excludes: provisional, continuation, 

duplicate foreign, and PCT applications. 
NOAA

Annual Report on DoC Federal Lab Technology Transfer, January 2004 Page 34 

¦ Licensing

Profile of Active Licenses

FY FY FY FY FY 

1999 2000 2001 2002 2003

? All licenses, number total active in the FY (1) 2 2 2 3 5

 ? New, executed in the FY 1 0 1 1 2

 ? Invention licenses, total active in the FY 2 2 2 3 5

 ? New, executed in the FY 1 0 1 1 2

 - Patent licenses,(2) total active in FY 2 2 2 3 5

 ? New, executed in the FY 1 0 1 1 2

 - Material transfer licenses (inventions), total active 0 0 0 0 0

 ? New, executed in the FY 0 0 0 0 0

 - Other invention licenses,total active in the FY 0 0 0 0 0

 ? New, executed in the FY 0 0 0 0 0

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

 ? New, executed in the FY 0 0 0 0 0

 - Copyright licenses (fee bearing)

 ? New, executed in the FY

 - Material transfer licenses (non-inventions), total active

 ? New, executed in the FY

 - Other,total active in the FY 

 ? New, executed in the FY

Figures for FY 2003 are estimates at time of this report.

Multiple inventions in a single license are counted as one license. Licenses that include both patents and copyrights 

(hybrid licenses) are reported as patent licenses -- and not included in the count of copyright licenses.

(1) “Active” = legally in force at any time during the FY. 

(2) Patent license tally includes patent applications which are licensed.

Profile of Active Licenses (cont.)

FY FY FY FY FY

1999 2000 2001 2002 2003

? All income bearing licenses, total number 1 1 2 3 5

 ? Exclusive 1 1 1 1 1

 ? Partially exclusive 0 0 0 0 0

 ? Non-exclusive 0 0 1 2 4

 ? Invention licenses, income bearing 1 1 2 3 5
NOAA

Annual Report on DoC Federal Lab Technology Transfer, January 2004 Page 35 

FY FY FY FY FY

1999 2000 2001 2002 2003

? Exclusive 1 1 1 1 1

? Partially exclusive 0 0 0 0 0

? Non-exclusive 0 0 1 2 4

 Patent licenses,(1) income bearing 1 1 2 3 5

? Exclusive 1 1 1 1 1

? Partially exclusive 0 0 0 0 0

? Non-exclusive 0 0 1 2 4

Other IP licenses, income bearing 0 0 0 0 0

? Exclusive

? Partially exclusive

? Non-exclusive

 Copyright licenses (fee bearing)

? Exclusive

? Partially exclusive

? Non-exclusive

All royalty bearing licenses,

(2) total number 1 1 2 3 5

Invention licenses, royalty bearing 1 1 2 3 5

 Patent licenses,(1) royalty bearing 1 1 2 3 5

Other IP licenses, royalty bearing 0 0 0 0 0

 Copyright licenses (fee bearing)

 

 

 

 -

 

 

 

 ? 

 

 

 

 -

 

 

 

? 

 ? 

 -

 ? 

 -

Figures for FY 2003 are estimates at time of this report.

-- = Data not requested from agency in previous years’ reports.

In general, license income can result from various sources: license issue fees, earned royalties, minimum annual 

royalties, paid-up license fees, and reimbursement for full-cost recovery of goods and services provided by the lab to 

the licensee including patent costs.

(1) Patent license tally includes patent applications which are licensed.

(2) Note that royalties are one component of total license income.

Licensing Management 

FY FY FY FY FY

1999 2000 2001 2002 2003

(1) 

? Average , months * * 6** 8** 5

? Minimum n/a

? Maximum n/a

? Elapsed execution time , licenses granted in the FY

 ? Invention licenses

 

 

 
NOAA

Annual Report on DoC Federal Lab Technology Transfer, January 2004 Page 36 

FY FY FY FY FY

1999 2000 2001 2002 2003

 Patent licenses (2)

 

? Average, months * * 6** 8** 5

? Minimum n/a

? Maximum n/a

Licenses terminated for cause, number in the FY

? Invention licenses 0 0 0 0 0

 Patent licenses (2) 0 0 0 0 0

-

 

 

 

? 

 

 -

Figures for FY 2003 are estimates at time of this report.

-- = Data not requested from agency in previous years’ reports.

(1) Date of license application to the date of license execution. (Date of license application is the date the lab 

formally acknowledges the written request for a license from a prospective licensee and agrees to enter into 

negotiations.)

(2) Patent license tally includes patent applications which are licensed.

* No new licenses were executed in FY 1999 and 2000.

** In FY 2001, and 2002, only a single license was executed. Thus, there is no min-max range for elapsed 

execution time to report. 

License Income

FY FY FY FY FY

1999 2000 2001 2002 2003

Total income , all licenses active in the FY (1) $100 $100 $1,600 $9,402 $4,716

Invention licenses $100 $100 $1,600 $9,402 $4,716

 Patent licenses (2) $100 $100 $1,600 $9,402 $4,716

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

 Copyright licenses

Total Earned Royalty Income (ERI) (3) $100 $100 $1,600 $9,402 $4,716

? Median ERI $800 $1,333 $696

? Minimum ERI $100 $100 $100

? Maximum ERI $1,500 $7,969 $4,716

? ERI from top 1% of licenses $16 $94 $472

? ERI from top 5% of licenses $80 $470 $236

? ERI from top 20% of licenses $320 $1,800 $943

Invention licenses $100 $100 $1,600 $9,102 $4,716

? Median ERI $800 $1,333 $696

? Minimum ERI $100 $100 $100

? Maximum ERI $1,500 $7,969 $4,716

? ERI from top 1% of licenses $16 $94 $472

? ERI from top 5% of licenses $80 $470 $236

? 

 ? 

 -

 ? 

 -

 

? 

 

 

 

 

 

 

 ? 

 

 

 

 

 
NOAA

Annual Report on DoC Federal Lab Technology Transfer, January 2004 Page 37 

FY FY FY FY FY

1999 2000 2001 2002 2003

 ? ERI from top 20% of licenses $320 $1,800 $943

 Patent licenses (2) $100* $100* $1,600 $9,102 $4,716

? Median ERI $800 $1,333 $696

? Minimum ERI $100 $100 $100

? Maximum ERI $1,500 $7,969 $4,716

? ERI from top 1% of licenses $16 $94 $472

? ERI from top 5% of licenses $80 $470 $236

? ERI from top 20% of licenses $320 $1,800 $943

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

? Median ERI

? Minimum ERI

? Maximum ERI

? ERI from top 1% of licenses

? ERI from top 5% of licenses

? ERI from top 20% of licenses

 Copyright licenses

? Median ERI

? Minimum ERI

? Maximum ERI

? ERI from top 1% of licenses

? ERI from top 5% of licenses

? ERI from top 20% of licenses

 -

 

 

 

 

 

 

 ? 

 

 

 

 

 

 

 -

 

 

 

 

 

 

Figures for FY 2003 are estimates at time of this report.

(1) Total income includes license issue fees, earned royalties, minimum annual royalties, paid-up license fees, and 

reimbursement for full-cost recovery of goods and services provided by the lab to the licensee including patent 

costs.

(2) Patent license tally includes patent applications which are licensed.

(3) “Earned royalty” = royalty based upon use of a licensed invention (usually, a percentage of sales or of units 

sold). Not a license issue fee or a minimum royalty. 

* In FY 1999 and 2000, there was only one active license. Thus, there are no distributional statistics on Earned 

Royalty Income to report for either of these years.
NOAA

Annual Report on DoC Federal Lab Technology Transfer, January 2004 Page 38 

Disposition of License Income

FY FY FY FY FY

1999 2000 2001 2002 2003

Income distributed(1)

Invention licenses, total distributed $100 $100 $1,600 $9,402 $4,716

 To inventor(s) 0 0 $1,500 $696 $1,130

(0%) (0%) (94%) (7%) (24%)

 To other $100 $100 $100 $8,706 $3,586

(100%) (100%) (6%) (93%) (76%)

 Patent licenses,(1) total distributed $100 $100 $1,600 $9,402 $4,716

 To inventor(s) 0 0 $1,500 $696 $1,130

(0%) (0%) (94%) (7%) (24%)

To other $100 $100 $100 $8,706 $3,586

(100%) (100%) (6%) (93%) (76%)

? 

 ? 

 -

 -

 -

 -

 -

Figures for FY 2003 are estimates at time of this report.

Invention licenses are the chief policy interest in regard to income disposition. This table reflects this focus.

(1) Income includes royalties and other payments received during the FY.

(2) Patent license tally includes patent applications which are licensed.

¦ Other Performance Measures Deemed Important by the Agency

PC Magazine selected the NOAA home page as one of this year’s “100 Top Undiscovered Web 

Sites.” NOAAs is the only federal government website listed in the top 100. The NOAA home 

page has over 275 million users. It is the starting point for people to find the latest information 

on the weather, climate, oceans, and space. For instance, millions of users turned to the NOAA 

home page during severe weather events, such as hurricanes like Isabel, tornadoes, and 

snowstorms. Users also find technology like satellite imagery of Iraq, whale songs, a tour of an 

undersea habitat, 7-day weather forecasts, market price of fish, and annual tidal predictions 

useful and/or interesting to their daily lives.

¦ Outcomes from Technology Transfer

• Hurricane Isabel. Without NOAA’s excellent forecasts and end-to-end teamwork, Hurricane

Isabel’s toll on lives and property would have been even more devastating. NOAA’s track forecast 

was outstanding. Isabel swept over the East Coast some 38 hours after well-positioned hurricane 

warnings and track forecasts had been issued. This is 14 possibly life-saving hours ahead of NOAA’s 

24-hour lead time goal. The Director and Deputy Director of NOAA’s National Hurricane Center 

gave 180 broadcast interviews. National Hurricane Center staff handled an additional 280 phone 

interviews, plus another 45 in Spanish. On the Monday after, the Center Director briefed President 

Bush and several governors via video teleconference as they reviewed Isabel’s wrath in a number of 
NOAA

Annual Report on DoC Federal Lab Technology Transfer, January 2004 Page 39 

states. Beginning with the President, kudos for NOAA’s accuracy and endurance flowed in from 

throughout the Nation.

• Improved hurricane forecasts. NOAA’s National Weather Service (NWS) announced it will 

begin issuing five-day hurricane forecasts, extending the three-day forecasts issued since 1964. 

NWS cited customer needs for longer-range forecasts and major improvements in track forecasting 

skill over the past few decades as reasons for lengthening the forecasts. The new forecast is to move 

resources out of harms way, such as U.S. Navy ships. The decision to extend the forecasts came after 

two years of successful testing with data from the 2001 and 2002 seasons, indicating the five-day 

track forecast will be as accurate as the three-day forecast was 15 years ago.

• Tornado warnings save lives. NOAA and our Nation owe a heartfelt thanks to the many 

dedicated men and women in the National Weather Service who worked tirelessly during the May 4-

10 outbreak of severe weather. Early reports indicated that about 400 tornadoes hit 10 central and 

southern U.S. states during this record-breaking week. The preliminary average lead time provided 

for all tornado events is about 19 minutes - well above our current 11 minute performance goal. 

During this period, NOAA staff residing in these hard-hit communities literally lived in their offices, 

working to save lives rather than returning home to their own families. Undoubtedly the tragic loss 

of life would have been even higher without the front-line commitment of so many NOAA staff. On 

May 8, for example, a severe weather forecast briefing was broadcast live over NOAA Weather 

Radio transmitters in the Oklahoma City area – nearly three hours before tornadoes hit. Heavily 

promoted among local media and emergency managers, the briefing carried up-to-the-minute 

information on timing, location and expected impact. Tornado safety rules and preparedness were 

highlighted in the briefing. Then, as an F4 tornado tore through heavily populated areas in and 

around Oklahoma City, our forecasters broadcast continuing live updates of the storm’s track on 

NOAA Weather Radio. Listeners phoned and e-mailed our Norman Forecast Office with thanks for 

outstanding service, and Oklahoma Governor Henry issued praise for the advance notice that saved 

lives. Missouri Governor Holden expressed appreciation as well.

• Electronic commerce and print-on-demand for nautical charts. The Office of Coast Survey, 

National Ocean Service and OceanGrafix collaborated in a CRADA to build Print on Demand/ecommerce for NOAA’s suite of 1,000+ nautical charts. This technology prints charts only when 

ordered, and from digital files that NOAA updates daily. Electronic commerce software controls the 

automatic assembly and printing of ordered charts from digital files. The CRADA furthered 

NOAA’s mission by providing mariners with nautical charts that are up-to-date with all critical 

corrections, a federal requirement for regulated vessels. Further, the transferred technology permits 

the customization of charts; eliminates inventory, warehouses, and the wasteful disposal of obsolete 

charts thus reducing costs; and eliminates labor and errors in order taking and fulfilling. The most 

important result will be improved safety and efficiency of marine transportation, and the protection 

of life, property, and the marine environment.

• Public release of atmosphere and ocean models and model output. The Geophysical Fluid 

Dynamics Laboratory (GFDL) has released several Earth System model components and model data 

to the public and university collaborators. A new Atmospheric Model (AM2) has been released to 

university collaborators the latest versions of the Modular Ocean Model (MOM4), an ocean model 

expressed in isopycnal coordinates (HIM), and the Flexible Modeling System (FMS) infrastructure 
NOAA

Annual Report on DoC Federal Lab Technology Transfer, January 2004 Page 40 

on which these models are based have been released and are available at 

http://nomads.gfdl.noaa.gov/. Model output from several experimental programs at GFDL, 

including Decadal-Centennial Coupled Climate and Ocean Data Assimilation are also available. 

There have been downloads to over 10,000 distinct hosts, including over 720 for MOM, almost 

600 for HIM, and almost 800 for the FMS infrastructure. Nearly a terabyte of data has been 

requested.

· Web-based access to distributed data sets. The Pacific Marine Environmental Laboratory 

(PMEL) has transferred Live Access Server (LAS) software for web-based browsing 

(visualization) and downloading (subsetting) of earth science data sets to a broad scientific 

community. LAS presents geographically distributed data sets as a unified virtual data base. It is 

compatible with scientific data networking provided by the Open Source Project for a Network 

Data Access Protocol (OPeNDAP, formerly known as DODS). PMEL promoted the use of LAS 

throughout the Nation and the world. There are approximately 50 installations of LAS in 

research institutions spanning, NOAA, NASA, the U. S. Navy, Department of Energy, and 

national and international research institutions, such as the National Center for Atmospheric 

Research, the Monterey Bay Aquarium, the British Atmospheric Data Center and the Centre 

National de la Recherche Scientifique.

· Scientific Graphics Toolkit and ncBrowse. The Pacific Marine Environmental Laboratory 

(PMEL) has developed Java-based tools to more easily visualize oceanographic (and other) data 

for both web-based and desktop applications. The Scientific Graphics Toolkit (SGT) is designed 

to aid developers in producing scientific graphics applications. SGT has found a large 

international audience with over 5800 sites from 70 countries having downloaded the toolkit. 

The ncBrowse is a general purpose Java desktop application designed to enable users to 

interactively browse and visualize data from netCDF files and OPeNDAP resources. NetCDF is 

a file format that is commonly used by the oceanographic community to store both observations 

and model results. The ncBrowse has also found an international and cross-discipline audience 

with users from over 4000 sites from 60 countries downloading the application. The ncBrowse 

is included with the Precision Agricultural-Landscape Modeling System (PALMS) distribution 

from the University of Wisconsin-Madison and the International Oceanographic Data and 

Information Exchange (IODE) Ocean Teacher Data Management Resource Kit.
ITS/NTIA

Annual Report on DoC Federal Lab Technology Transfer, January 2004 Page 41 

IV. NATIONAL TELECOMMUNICATIONS AND INFORMATION 

ADMINISTRATION -- INSTITUTE FOR TELECOMMUNICATION 

SCIENCES 

Technology Transfer at the Agency’s Federal Laboratories – Approach and 

Plans, FY 2003 Activities/Achievements

I. Agency Approach and Plans for Technology Transfer

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 U.S. 

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.

ITS uses three principal means for achieving technology transfer: cooperative research and 

development, technical publications, and leadership and technical contributions to 

telecommunications standards. 

Cooperative research and development. Cooperative research and development agreements 

(CRADAs), based upon the Federal Technology Transfer Act (FTTA) of 1986, are a principal 

means through which ITS aids the private sector. The FTTA provides the legal basis for and 

encourages shared use of government facilities and resources with the private sector in advanced

telecommunications technologies. These partnerships aid in the commercialization of new 

products and services; they also enhance the capabilities of ITS laboratories.

In FY 2003, ITS participated in technology transfer and commercialization efforts by fostering 

cooperative telecommunications research with industry where benefits can directly facilitate U.S. 

competitiveness and market opportunities. These efforts will continue in future years. ITS also 

participated – as it has for a number of years -- in CRADAs with private sector organizations to 

design, develop, test, and evaluate advanced telecommunication concepts. The private industry 

partner benefits through such cooperative relationships, as does the Institute, as it is able to 

undertake research in commercially important areas that it would not otherwise be able to do. 

To date, major contributions to personal communication services (PCS) and local multipoint 

distribution service (LMDS) technologies have been achieved through CRADAs, which have 

aided U.S. efforts to rapidly introduce socially-beneficial, new communications technologies. 

More recently, CRADAs in the areas of objective audio and video quality and advanced antennas 
ITS/NTIA

Annual Report on DoC Federal Lab Technology Transfer, January 2004 Page 42 

for wireless systems have allowed ITS to contribute to the development of new products and 

services.

In addition, ITS plans to continue using patents to secure intellectual property rights in 

laboratory innovations with commercial promise. ITS plans to advance its mission and benefit 

the competitiveness of U.S. industry by pursuing opportunities to commercially license patents to

CRADA partners and other interested parties. As an example, ITS is targeting software 

implementing a video quality metric for commercial development. This software incorporates 

technology covered by two patents. A beta version of the software has been requested by more 

than 200 parties for testing purposes and commercial licensing negotiations have begun with one 

U.S. corportation.

Technical publications. Publication has, historically, been the means through which ITS has 

transferred research results to other researchers, the commercial sector, and government 

agencies. Many of these publications – both internal reports and monographs and external, peer 

reviewed, scientific journal articles – have become standard references in several 

telecommunications areas. 

Technical publication remains at present a principal means for ITS’ technology transfer. Most of 

these technical publications are released only after going through an internal peer review process 

managed by the ITS Editorial Review Board (ERB). Of the publications released through the 

ERB process in recent years, approximately two thirds were approved for external publication in 

the scientific literature and one third were NTIA reports. 

Development of telecommunication standards. This third principal means of ITS technology 

transfer directly addresses improvement of U.S. competitiveness in telecommunications. For 

several decades, ITS has provided leadership and technical contributions to organizations, both 

national and international, responsible for developing telecommunication standards. For 

example, a plurality of the technical recommendations of the International Telecommunications 

Union (ITU -- a treaty organization) are based on research conducted at ITS. Also, key national 

quality of service standards developed under the American National Standards Institute (ANSI) 

T1 committee for video, audio, and digital data incorporate research results obtained at ITS.

ITS continues to chair numerous committees and working groups in the ITU, ANSI T1, and 

other telecommunication standards organizations, providing technical leadership that is trusted 

by the commercial sector participants. ITS’ technical inputs are relied upon as technically 

advanced and sound, and unbiased by commercial interests. 

In FY 2003, ITS continued its technical leadership and contributions to communications 

standards for public safety, particularly for first responders. ITS’ primary area of contribution 

has been interoperability standards and testing procedures. ITS’ objective video quality 

measurement method has been made a national standard by ANSI. ITS’ method was also the 

best performing metric in comparison testing by the ITU with other methods from around the 

world.
ITS/NTIA

Annual Report on DoC Federal Lab Technology Transfer, January 2004 Page 43 

II. Performance in FY 2003: Activities and Achievements

¦ Collaborative Relationships for Research & Development

FY FY FY FY FY 

1999 2000 2001 2002 2003

CRADAs, total active in the FY (1) -- -- 65 63 239

 New, executed in the FY -- -- -- 6 178

? Traditional CRADAs,(2) total active in the FY 6 3 6 6 5

 New, executed in the FY 4 3 1 0 0

? Non-traditional CRADAs,(3,4) total active in FY -- -- 59 57 234

 New, executed in the FY -- -- -- 6 178

Other types of collaborative R&D relationships

? Collaborative standards contributions,(5) -- -- 3 3 2

 total active in FY

New, executed in the FY -- -- 3 0 1

? 

 -

 

 -

 

 -

? 

 

 -

CRADA = Cooperative Research and Development Agreement. -- = Data not requested from agency in previous 

years’ reports.

(1) “Active” = legally in force at any time during the FY. “Total active” is comprehensive of all agreements 

executed under CRADA authority (15 USC 3710a).

(2) CRADAs involving collaborative research and development by a federal laboratory and non-federal partners.

(3) CRADAs used for special purposes -- such as, material transfer or technical assistance that may result in 

protected information. 

(4) ITS’ “Telecommunication Analysis Services” (TA Services) is Internet accessible through Web-based electronic 

CRADAs. TA Services provides analysis support to private industry and public agencies in the areas of wireless 

system design and evaluation, and site selection. The service is provided on a cost reimbursable basis, 24 hours a 

day/7 days a week throughout the year. TA Services currently reaches numerous government and private sector 

users across the nation, providing the latest versions of ITS-developed telecommunications models, databases, and 

tools. The use of CRADAs makes TA Services available to users in a short time and on a cost reimbursable basis. 

Additionally, CRADA partners provide useful evaluations of the ITS software used. This information aids ITS to 

improve existing software tools for wireless system design and analysis, and develop new ones – benefiting both 

ITS’ own research capabilities and the resources that outside users can draw upon. The CRADA agreement also 

allows ITS to gain valuable insights from users’ feedback about the rapidly changing needs of industry and 

government in telecommunications technology.

(5) ITS works with industry, through a number of standards fora, to apply research results to the development of 

telecommunication performance standards and guidelines. In FY 2003, ITS worked collaboratively with Tektronix 

to produce an updated report for assessing the accuracy and cross-calibration of video quality metrics. ITS also 

collaborated with other researchers to produce a number of papers for the featured topic of IP network quality of 

service. 

Benefits of collaborative research for lab performance. Cooperative research with private 

industry has helped ITS accomplish its mission to support industry’s productivity and 

competitiveness by providing insight into industry needs. And this has led to adjustments in the 

focus and direction of other Institute programs to improve their effectiveness and value.

 
ITS/NTIA

Annual Report on DoC Federal Lab Technology Transfer, January 2004 Page 44 

¦ Invention Disclosure and Patenting

FY 

1999

FY

2000

FY

2001

FY 

2002

FY 

2003

(1) ? New inventions disclosed in the FY 0 0 1 0 0

? Patent applications filed in the FY (2) 1 0 0 1 0

? Patents issued in the FY 0 2 0 0 1

? Active patents, end of the FY 3 5 5 5 6

(1) Inventions arising at the federal lab. 

(2) Tally includes: U.S. patent applications, foreign patent applications filed on cases for which no U.S. application 

was filed, divisional applications, and continuation-in-part applications. Excludes: provisional, continuation, 

duplicate foreign, and PCT applications. 

¦ Licensing

Profile of Active Licenses

FY FY FY FY FY 

1999 2000 2001 2002 2003

All licenses, number total active in the FY (1) 1 2 2 3 57

? New, executed in the FY 0 1 0 2 54

Invention licenses, total active in the FY 1 2 2 3 57

? New, executed in the FY 0 1 0 2 54

(2) total active in FY 1 2 2 3 57

? New, executed in the FY 0 1 0 2 54

 Material transfer licenses (inventions), total active 0 0 0 0 0

? New, executed in the FY 0 0 0 0 0

 Other invention licenses, (3) total active in the FY 0 0 0 0 0

? New, executed in the FY 0 0 0 0 0

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

? New, executed in the FY 0 0 0 0 0

 Copyright licenses (fee bearing)

? New, executed in the FY

 Material transfer licenses (non-inventions), total active

? New, executed in the FY

 Other,(3) total active in the FY

? New, executed in the FY

? 

 

 ? 

 

 - Patent licenses,

 

 -

 

 -

 

 ? 

 

 -

 

 -

 

 -

 

Multiple inventions in a single license are counted as one license. Licenses that include both patents and copyrights 

(hybrid licenses) are reported as patent licenses -- and not included in the count of copyright licenses.
ITS/NTIA

Annual Report on DoC Federal Lab Technology Transfer, January 2004 Page 45 

(1) “Active” = legally in force at any time during the FY. 

(2) Patent license tally includes patent applications which are licensed.

Profile of Active Licenses (cont.)

FY FY FY FY FY

1999 2000 2001 2002 2003

All income bearing licenses, total number 1 1 1 3 3

? Exclusive 0 0 0 0 0

? Partially exclusive 0 0 0 0 0

? Non-exclusive 1 1 1 3 3

Invention licenses, income bearing 1 1 1 3 3

? Exclusive 0 0 0 0 0

? Partially exclusive 0 0 0 0 0

? Non-exclusive 1 1 1 3 3

 Patent licenses,(1) income bearing 1 1 1 3 3

? Exclusive 0 0 0 0 0

? Partially exclusive 0 0 0 0 0

? Non-exclusive 1 1 1 3 3

Other IP licenses, income bearing 0 0 0 0 0

? Exclusive

? Partially exclusive

? Non-exclusive

 Copyright licenses (fee bearing)

? Exclusive

? Partially exclusive

? Non-exclusive

All royalty bearing licenses,

(2) total number 1 1 1 0 0

Invention licenses, royalty bearing 1 1 1 0 0

 Patent licenses,(1) royalty bearing 1 1 1 0 0

Other IP licenses, royalty bearing 0 0 0 0 0

 Copyright licenses (fee bearing)

? 

 

 

 

 ? 

 

 

 

 -

 

 

 

 ? 

 

 

 

 -

 

 

 

? 

 ? 

 -

 ? 

 -

-- = Data not requested from agency in previous years’ reports.

In general, license income can result from various sources: license issue fees, earned royalties, minimum annual 

royalties, paid-up license fees, and reimbursement for full-cost recovery of goods and services provided by the lab to 

the licensee including patent costs.

(1) Patent license tally includes patent applications which are licensed.

(2) Note that royalties are one component of total license income.
ITS/NTIA

Annual Report on DoC Federal Lab Technology Transfer, January 2004 Page 46 

Licensing Management 

FY FY FY FY FY

1999 2000 2001 2002 2003

? Elapsed execution time ,

(1) licenses granted in the FY

? Invention licenses

? Average (or median), months * 6** * 5** 1

? Minimum 1

? Maximum 1

(2) - Patent licenses 

? Average (or median), months * 6** * 5** 1

? Minimum 1

? Maximum 1

Licenses terminated for cause, number in the FY

Invention licenses 0 0 0 0 0

 Patent licenses (2) 0 0 0 0 0

 

 

 

 

 

 

 

 

? 

 ? 

 -

-- = Data not requested from agency in previous years’ reports.

(1) Date of license application to the date of license execution. (Date of license application is the date the lab 

formally acknowledges the written request for a license from a prospective licensee and agrees to enter into 

negotiations.)

(2) Patent license tally includes patent applications which are licensed.

*No new licenses were executed in FYs 1999 and 2000.

** In FY 2001 and 2002, only a single license was executed. Thus, there is no min-max range for elapsed execution 

time to report. 

License Income

FY 

1999

FY

2000

FY

2001

FY

2002

FY

2003

? Total income, all licenses active in the FY (1) $10,982 $63,693 $5,000 $65,470 $0

? Invention licenses $10,982 $63,693 $5,000 $65,470 $0

- Patent licenses (2) $10,982 $63,693 $5,000 $65,470 $0

? Other IP licenses, all active licenses in FY $0 $0 $0 $0 $0

- Copyright licenses

? Total Earned Royalty Income (ERI) (3) $10,982 $63,693 $0 $0 $0

? Median ERI

? Minimum ERI

? Maximum ERI

? ERI from top 1% of licenses

? ERI from top 5% of licenses

? ERI from top 20% of licenses

? Invention licenses $10,982 $63,693 $0 $0 $0

? Median ERI

 

 

 

 

 

 

 

 

 

 

 

 
ITS/NTIA

Annual Report on DoC Federal Lab Technology Transfer, January 2004 Page 47 

FY FY FY FY FY

1999 2000 2001 2002 2003

? Minimum ERI

? Maximum ERI

? ERI from top 1% of licenses

? ERI from top 5% of licenses

? ERI from top 20% of licenses

- Patent licenses (2) $10,982* $63,693* $0 $0 $0

? Median ERI

? Minimum ERI

? Maximum ERI

? ERI from top 1% of licenses

? ERI from top 5% of licenses

? ERI from top 20% of licenses

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

? Median ERI

? Minimum ERI

? Maximum ERI

? ERI from top 1% of licenses

? ERI from top 5% of licenses

? ERI from top 20% of licenses

- Copyright licenses

? Median ERI

? Minimum ERI

? Maximum ERI

? ERI from top 1% of licenses

? ERI from top 5% of licenses

? ERI from top 20% of licenses

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

(1) Total income includes license issue fees, earned royalties, minimum annual royalties, paid-up license fees, and 

reimbursement for full-cost recovery of goods and services provided by the lab to the licensee including patent 

costs.

(2) Patent license tally includes patent applications which are licensed.

(3) “Earned royalty” = royalty based upon use of a licensed invention (usually, a percentage of sales or of units 

sold). Not a license issue fee or a minimum royalty. 

* In FYs 1999, 2000, 2001, there was only one active license. Thus, there are no distributional statistics on Earned 

Royalty Income to report for either of these years.

Disposition of License Income

FY FY FY FY FY

1999 2000 2001 2002 2003

? Income distributed(1)

 ? Invention licenses, total distributed $10,982 $63,693 $5,000 $65,470 $0
ITS/NTIA

Annual Report on DoC Federal Lab Technology Transfer, January 2004 Page 48 

FY FY FY FY FY

1999 2000 2001 2002 2003

- To inventor(s) $4,695

(43%)

$20,508

(32%)

$2,900

(58%)

$21,041

(32%)

(3) - To other $6,287

(57%)

$43,185

(68%)

$2,100

(42%)

$44,429

(68%)

- Patent licenses, (2) total distributed $10,982 $63,693 $5,000 $65,470 $0

- To inventor(s) $4,695

(43%)

$20,508

(32%)

$2,900

(58%)

$21,041

(32%)

-To other (3) $6,287

(57%)

$43,185

(68%)

$2,100

(42%)

$44,429

(68%)

 

 

 

 

 

Invention licenses are the chief policy interest in regard to income disposition. This table re flects this focus.

(1) Income includes royalties and other payments received during the FY.

(2) Patent license tally includes patent applications which are licensed.

(3) ITS/NTIA

¦ Other Performance Measures Deemed Important by the Agency

Other Important Mechanisms for Technology and Knowledge Transfer (1)

FY FY FY FY FY 

1999 2000 2001 2002 2003

Technical publications produced 32 20 17 17 20

(1) See section 1 above for additional information about the measures listed here. 

¦ Outcomes from Technology Transfer

• Video quality metric. ITS developed a superior method of measuring video quality 

objectively by machine that closely predicts the quality that subjective human views would 

perceive. The technology is covered by three patents owned by ITS/NTIA. In FY 2003, the ITS 

method was adopted by the ANSI as a U.S. national standard. In addition, the ITU tested a 

number of proposed video quality metrics from around the world and found the ITS method 

superior. It is anticipated that ITS’ method will soon be an international standard.

ITS targeted this technology for commercial development, with the potential of producing a 

royalty income for the laboratory within one year. More than 200 copies of software 

implementing the method have been requested this FY for purposes of evaluation. Negotiations 

for a commercial license have begun with a U.S. corporation.

• Comarco cellular test equipment. Comarco, Inc. (a U.S. test equipment manufacturer), 

signed a patent license for the use of ITS’ MNB speech quality estimation algorithm. Comarco 
ITS/NTIA

Annual Report on DoC Federal Lab Technology Transfer, January 2004 Page 49 

based their Q-MOS algorithm on the ITS MNB algorithm and offered it for sale as an available 

software tool in several of the Comarco cellular test equipment product lines. This test 

equipment is used by major cell phone service providers to test, diagnose, and maintain their 

cellular radio systems.

• Personal communication services (PCS). Much of ITS’ work in PCS, over several years, has 

been accomplished through CRADAs with partners such as U.S. West, Bell South, Telesis 

Technology Laboratory, and Motorola. Collaboration between ITS and Motorola was 

instrumental in Motorola receiving a license (valued at $100,000,000) to provide PCS in Hong 

Kong. PCS has now been commercialized worldwide, and new developments continue as PCS is 

extended to third generation PCS and beyond. ITS continues this work in FY 2003 through a 

CRADA with Lucent Technologies’ Bell Laboratories to investigate smart antenna performance, 

a technology that is targeted to dramatically increase the capacity of wireless systems and, 

therefore, reduce the problem of spectrum crowding. This technology is 2 to 4 years from 

commercial application.

• Local multipoint distribution services (LMDS). ITS has been a premier laboratory in 

millimeter wave research for two decades. CRADAs with private industry have enabled ITS to 

apply this unique expertise to radio propagation for LMDS. LMDS provides broadband wireless 

communications for business and residential applications. Systems have been deployed in the

U.S. and a number of U.S. companies are exporting systems and services. Research into LMDS 

was conducted with Hewlett Packard, U.S. WEST, and Lucent Technologies.