Annual Report on Technology Transfer: 

Approach and Plans, Fiscal Year 2012 Activities and Achievements

U.S. Department of Commerce 

Report prepared by: 

National Institute of Standards and Technology 

National Oceanic and Atmospheric Administration 

National Telecommunications and Information Administration 

Institute for Telecommunication Sciences 

Pursuant to the 

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

January 2013 
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iii 

FOREWORD 

This report summarizes technology transfer activities and achievements of the Department of 

Commerce’s (DOC’s) Federal laboratories for fiscal year (FY) 2012. At the DOC, technology 

transfer is a significant part of the mission and programmatic activities of the National Institute 

of Standards and Technology (NIST), the National Oceanic and Atmospheric Administration 

(NOAA), and the National Telecommunications and Information Administration’s (NTIA’s) 

Institute for Telecommunication Sciences (ITS). Accordingly, this report focuses on the 

activities of these agencies. 

This report has been prepared in response to the statutory requirement for an annual “agency 

report on utilization” (15 U.S.C. Section 3710(f)) process established under Section 10 of the 

Technology Transfer Commercialization Act of 2000 (Pub. L. 106-404). All Federal agencies 

that operate or direct one or more Federal laboratories or conduct other activities under Sections 

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

DOC’s overall and laboratory-specific approaches and its plans for technology transfer are 

summarized within this report. The report focuses on current year activities and 

accomplishments, and provides statistical information from FY 2008 through FY 2012. 

NIST, NOAA and ITS technology transfer offices have contributed to the organization and 

preparation of the material reported. An electronic version of this report and versions from 

previous fiscal years are available online at: http://www.nist.gov/tpo/publications/index.cfm. 
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TABLE OF CONTENTS

CHAPTER 1 - Department of Commerce Overview ................................................................. 1

Summary of Technology Transfer Activities FY 2008 – FY 2012 ........................................ 3

CHAPTER 2 - National Institute of Standards and Technology ............................................. 6

Approach and Plans for Technology Transfer ....................................................................... 6

Additional Details in FY 2012 ................................................................................................ 16

CHAPTER 3 - National Oceanic and Atmospheric Administration ...................................... 29

Approach and Plans for Technology Transfer ..................................................................... 29

Additional Details in FY 2012 ................................................................................................ 31

Downstream Outcomes from NOAA Technology Transfer Activities ............................... 36

CHAPTER 4 - National Telecommunications and Information Administration Institute for 

Telecommunication Sciences...................................................................................................... 42

Approach and Plans for Technology Transfer ..................................................................... 42

Additional Details in FY 2012 ................................................................................................ 44

Downstream Outcomes from ITS Technology Transfer Activities .................................... 46

SUMMARY ................................................................................................................................. 47
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1 

CHAPTER 1 

Department of Commerce Overview 

Technology transfer plays an important role in the Department of Commerce’s (DOC’s) mission 

to promote job creation, economic growth, sustainable development and improved standards of 

living for all Americans. DOC works in partnership with businesses, universities, State, tribal 

and local governments, and communities, to promote innovation and to improve the Nation’s 

overall competitiveness in the global economy. DOC pursues these objectives through policies 

and programs directed at strengthening the Nation’s economic infrastructure, facilitating the 

development of cutting-edge science and technology, providing critical scientific information 

and data, and managing national resources. 

 

DOC conducts research and development (R&D) in numerous areas of fundamental and 

advanced science and technology at the National Institute of Standards and Technology (NIST), 

the laboratory facilities of the National Oceanic and Atmospheric Administration (NOAA), and 

the National Telecommunications and Information Administration’s (NTIA’s) Institute for 

Telecommunication Sciences (ITS). Technology transfer is a key part of the programmatic 

activities in each of these agencies’ Federal laboratories. Technology transfer is about 

connecting the technological advances from DOC’s science and engineering programs to the 

American economy. 

In addition to the technology transfer efforts of DOC’s own laboratories, DOC is responsible for 

coordinating technology transfer activities across Federal agencies. Through NIST, DOC 

coordinates the Interagency Workgroup for Technology Transfer (IAWGTT),1

 which facilitates 

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

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

Laboratory Consortium for Technology Transfer, the nationwide network of Federal laboratories 

that provides a forum to develop strategies and opportunities for linking laboratory mission 

technologies and expertise with the marketplace. 

DOC’s coordination role was further expanded by the October 21, 2011 Presidential 

Memorandum – Accelerating Technology Transfer and Commercialization of Federal Research 

in Support of High-Growth Businesses (PM).

2

 The purpose of this PM is to foster innovation by 

increasing the rate of technology transfer and the economic and societal impact from Federal 

R&D investments. The PM directs that agencies with Federal laboratories take actions to 

establish goals and measure performance, streamline administrative processes, and facilitate 

local and regional partnerships in order to accelerate technology transfer and support private 

sector commercialization. The aim is to increase the successful outcomes of agency technology 

 

1

 Agencies participating in the IAWGTT, established pursuant to Executive Order 12591 of April 10, 1987, include 

the Department of Agriculture, Department of Commerce, Department of Defense, Department of Energy, 

Department of Health and Human Services, Department of Homeland Security, Department of Interior, Department 

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

Space Administration. 

2 http://www.whitehouse.gov/the-press-office/2011/10/28/presidential-memorandum-accelerating-technologytransfer-and-commerciali
 

2 

transfer and commercialization activities significantly over the next 5 years, while 

simultaneously achieving excellence in each agency’s focused research activities. 

Section 2 of the PM calls for the establishment of performance goals, metrics, and evaluation 

methods, as well as implementing and tracking progress relative to those goals, specifically 

directing that “[t]he Secretary of Commerce, in consultation with other agencies, including the 

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

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

transfer summary report, submitted pursuant to 15 U.S.C. § 3710(g)(2).” 3

 

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

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

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

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

 

3

 For a list of available reports see http://www.nist.gov/tpo/publications/doc-annual-reports-techtransfer.cfm 
 

3 

Summary of Technology Transfer Activities FY 2008 – FY 2012

This annual report provides comprehensive statistics on the technology transfer activities of 

DOC Federal laboratories.4

 This information covers invention disclosures, intellectual property 

(patents/licenses), collaborative relationships for research and development, and other 

technology transfer mechanisms. This report also highlights examples of successful downstream 

results (e.g., commercially significant technologies) from these technology transfer activities. 

Section 10 of the Technology Transfer Commercialization Act of 2000 (Pub. L. 106-404, 

codified at 15 U.S.C. Section 3710(f)) requires each Federal agency which operates or directs 

one or more Federal laboratories, or conducts activities under 35 U.S.C. Sections 207 and 209, to 

report to Congress the results of its technology transfer activities. This information is also 

required by Office of Management and Budget Circular A-11, Section 25.5. The tables below 

present the required data. 

Invention Disclosure and Patenting 

New Inventions Disclosures Prepared

NIST 40 36 30 25 52

NOAA 0 5 (1) 4 10

ITS 0 0 0 0 0

Department Total 40 41 (1) 34 26 52

Patent Applications Filed

NIST 18 19 (1) 19 (1) 17 (1) 20

NOAA 3 1 1 0 1

ITS 0 0 0 0 0

Department Total 21 20 (1) 20 (1) 17 (1) 21

Patents Issued 

NIST 2 (1) 7 10 (1) 13 (1) 11

NOAA 1 0 1 (1) 2 1

ITS 0 0 0 0 0

Department Total 3 (1) 7 11 (1) 15 (1) 12

2012

FY FY FY FY FY

2008 2009 2010 2011

(1) Reflects a correction of data previously reported. 

 

4

 Note that numerical values from past years have fluctuated for a variety of reasons. Notices of revisions are 

retained to avoid confusion. The latest annual report will provide the most accurate estimates of available data. 
 

4 

Licensing – Profile of Active Licenses(1) 

FY 

2008

FY 

2009

FY 

2010

FY 

2011

FY 

2012 

● All Department of Commerce licenses 29 40 46(2) 40(2) 41 

Patent licenses 

NIST

NOAA 

ITS

 23

 6

 0

33

 7

 0

 40(2)

 6

 0

 34(2)

 6

 0

36 

 5 

 0 

Other invention licenses 

ITS 0 0 0 0 0 

(1) “Active” means an agreement in force at any time during the fiscal year. 

(2) Reflects a correction of data previously reported. 

Characteristics of Licenses Bearing Income 

FY

2008

FY 

2009

FY

2010

FY

2011

FY 

2012 

Total income-bearing licenses 

Department 25 27 28(1) 25(1)

 

24 

 Patent licenses 

 NIST

NOAA

ITS

21

4

0

22

5

0

 24(1)

 4

 0

 22(1)

3

0

 21 

 3 

 0 

 License types (exclusive, partially 

 exclusive, or non-exclusive) 

 NIST

 NOAA

ITS

 Department

14, 0, 7

 0, 0, 4

 0, 0, 0

14, 0, 11

15, 0, 7

 0, 0, 5

 0, 0, 0

15, 0, 12

17, 0, 7(1)

 0, 0, 4

 0, 0, 0

17, 0,11(1)

15, 0, 7(1)

 0, 0, 3

 0, 0, 0

15, 0,10(1)

 15, 0, 6 

 0, 0, 3 

 0, 0, 0 

 15, 0, 9 

(1) Reflects a correction of data previously reported. 

Income from Licensing 

FY

2008

FY 

2009

FY

2010

FY

2011

FY 

2012 

Total licensing income 

Department $292,647 $335,889 $237,259 $276,567 $247,663

 NIST 

 NOAA

 ITS

$223,640

 $69,007

 $0(2)

$197,445

$138,444(1)

 $0

$202,216 

$35,043 

$0

$169,347 

$107,220 

$0 

$146,796 

$100,867 

$0

(1) Increase is attributed to a license for NOAA's Science on a Sphere for a one-time royalty of $75,000. 

(2) ITS no longer licenses Video Quality Metric (VQM) technology. This software is available free of 

charge via open-source download. 
 

5 

Collaborative Relationships for Research and Development 

FY 

2008

FY 

2009

FY

2010

FY

2011

FY 

2012 

CRADAs(1) 

Department 2,390 2,397 2,254(2) 2,280(2) 2,934 

 Traditional CRADAs 

NIST 

NOAA

ITS

 Department

 121

 4

 6

 131

 65(3)

 5

 31

 101

 66

 6 

 29 

 101

 103(4) 

 7 

 23 

 133

 140(5)

 10 

 60(5)

 156(5)

 Non-traditional CRADAs 

 NIST

 ITS 

Department

 2,224

 35(6)

 2,259 

2,284

 12

2,296

2,141(2)

 12 

2,153

2,138(2)

 9 

 2,147

2776 

 2 

2778 

(1) CRADA = Cooperative Research and Development Agreement. Traditional CRADAs involve 

collaborative research and development projects by a Federal laboratory and non-federal partners. 

Non-traditional CRADAs are used for special purposes, such as laboratory accreditation, materials 

transfer or technical assistance that may result in protected information. 

(2) Reflects a correction of data previously reported. 

(3) Decrease is attributed to successful conclusion of multi-party CRADA Consortiums. 

(4) Increase is attributed to new multi-party CRADA Consortiums. 

(5) NIST and ITS together are involved in 54 Public Safety 700 MHz Broadband Demonstration 

Agreements. The Department total for Traditional CRADAs reflects these shared agreements. 

(6) In 2008, ITS removed some of its telecommunication analysis services from the Web. These services 

provided network-based access to research results, models, and databases supporting applications in 

wireless system design and analysis. As a result, there was a significant decrease in the number of 

CRADAs between the government and industry that allowed for improvement to these models. ITS 

is working on a newer geographic information system (GIS)-based platform for the modeling 

services, which will be available in the future. 

The Department’s technology transfer activities include more than CRADAs, patenting, and 

licensing. Technology transfer is also accomplished through technical publications, technical 

support development for industrial standards and reference materials, other public dissemination 

such as meetings and workshops, and opportunities for guest researchers, post-doctoral fellows, 

students and other collaborating professionals from across the world to participate in Federal 

laboratory activities. Details on these activities and other agency-specific information are 

provided in the agency-specific chapters that follow. 
 

6 

CHAPTER 2 

National Institute of Standards and Technology

Approach and Plans for Technology Transfer 

The National Institute of Standards and Technology (NIST) has a broad mission: to promote U.S. 

innovation and industrial competitiveness by advancing measurement science, standards, and 

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

An important part of accomplishing NIST’s mission is to anticipate future measurement and 

standards needs of U.S. industry. Rapidly evolving sectors like nanotechnology, biotechnology, 

homeland security, information technology, and advanced manufacturing need sophisticated 

technical support systems in order to flourish and grow. NIST laboratories develop measurement 

techniques, test methods, standards, reference materials, reference data, and other technologies 

and services that support U.S. industry, scientific research, and the activities of many other 

Federal agencies. In carrying out its mission, NIST works directly with industry partners 

(individual companies and consortia), universities, standards organizations, other domestic and 

foreign associations, and other government agencies. 

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

research results and its measurements and standards research results to industry and other 

interested parties. In order to provide leading-edge scientific and technical work, NIST is 

required to have expertise in multiple disciplines, to maintain high levels of collaboration with 

organizations and people with diverse capabilities, and to have highly specialized facilities and 

tools. For more than a century, NIST’s laboratories have successfully collaborated with others to 

provide the measurement techniques and technical tools needed by America’s innovators.5 

In order to implement the PM, the NIST Director established the NIST Technology Transfer 

Policy Committee (hereinafter, the Committee) and directed it to develop a more comprehensive 

definition of technology transfer, and to identify improvements to processes and metrics that 

would more accurately capture the full impact of our scientific enterprise. The Committee, 

comprised of senior NIST management, reviewed definitions of technology transfer used by 

NIST, other agencies, and the Federal Laboratory Consortium, and recommended the following 

new, broader definition of technology transfer for NIST to reflect the realities of the many ways 

that NIST reaches external partners: 

“Technology transfer is the overall process by which NIST knowledge, facilities, or 

capabilities in measurement science, standards and technology promote U.S. 

innovation and industrial competitiveness in order to enhance economic security and 

improve quality of life.” 

NIST’s new, broader definition of technology transfer is meant to reflect the many means by 

which NIST is transferring technology. The Committee recognized that the definition includes, 

 

5

 Additional details on NIST’s technology transfer program are available at: 

http://www.nist.gov/tpo/index.cfm. 
 

7 

inter alia: 1) knowledge transfer, the act of transferring knowledge from one individual to 

another by means of mentoring, training, documentation, or other collaboration; and 2) 

commercialization, the adoption of a technology into the private sector through a business or 

other organization. 

The Committee reviewed NIST’s policies governing formal, statutory means of technology 

transfer and discussed the many other means by which NIST transfers technology to benefit the 

Nation. The Committee discussed the need to encourage and facilitate formal mechanisms of 

technology transfer when these best suit the mission of NIST and the mission of its Operating 

Units (OUs). The Committee also advocated collecting measures of informal collaborations, 

when appropriate, as these are no less significant to NIST’s mission. 

Finally, the Committee reviewed metrics currently collected for the DOC’s annual Technology 

Transfer report, as well as metrics that were described by representatives of the OUs in meetings 

with the NIST Technology Partnerships Office (TPO). Whenever possible, the metrics will be 

synchronized with metrics collected by NIST’s other reporting requirements to allow consistency 

in NIST reports and to reduce the burden of information collection. 

The Committee’s recommendations supported two broad goals: 1) improving the transfer of 

NIST technology and work products; and 2) improving NIST technology transfer through 

collaborations. Specific metrics were recommended to evaluate progress towards these goals. 

The following summary highlights the many different technology transfer mechanisms that NIST 

uses to promote innovation and ensure that the resulting technologies are broadly disseminated. 

Proposed changes recommended by the Committee are discussed below and the resulting 

changes will be included beginning with the FY 2013 annual DOC Technology Transfer Report. 

1. NIST Technology and Work Products 

Participation in Documentary Standards Committees 

Documentary standards are shared sets of rules that specify, as examples, a test method, a 

product’s properties or a practice. Documentary standards codify, among other things, 

measurement methods, standard practices, and product specifications. Econometric studies have 

concluded that standards contribute significantly to economic growth. The econometric work 

reviewed and evaluated by Swann (2010) 6 led that author to several conclusions. Among those 

conclusions: development of standards are integral to innovation; documentary standards 

contribute to economic growth at least as much as do patents; and the macroeconomic benefits of 

the development of standards extend beyond the benefits to the companies that use the standards. 

NIST’s participation in the development of consensus documentary standards is one of the 

mechanisms used to transfer NIST measurement-science research and other technologies to 

market use. NIST has nearly 400 staff involved with more than 100 standards organizations. 

NIST participation helps NIST respond programmatically to needs of the private sector and 

 

6

 Peter Swann, G.M., Report for the UK Department of Business, Innovation, and Skills (BIS), 2010 

http://www.bis.gov.uk/assets/biscore/innovation/docs/e/10-1135-economics-of-standardizationupdate.pdf
 

8 

enables its scientists and engineers to bring NIST technology and know-how directly into 

standards-setting bodies. NIST reports its activities in standards development to the Office of 

Management and Budget and to Congress, as required by the National Technology Transfer and 

Advancement Act of 1995 (Pub. L. 104-113). (See: http://gsi.nist.gov/global/index.cfm/L1-1) 

The NIST Standards Coordination Office (SCO) maintains the Standards Committee 

Participation Database for employees to self-report their involvement, and leadership positions, 

within standards organizations. SCO has been proactively expanding the database to collect 

information on staff tenure on a standards committee, standard(s) developed with NIST staff 

participation, and other information relevant to NIST’s contributions to creating new 

documentary standards and the maintenance of the Nation’s catalog of existing documentary 

standards. 

Standard Reference Data 

The Standard Reference Data (SRD) program provides critically evaluated numeric data to 

scientists and engineers for use in technical problem-solving, research, and development. Many 

types of reference data are critically important in engineering structures, optimizing chemical 

processes, and other industrial applications. Standard Reference Data are extracted from the 

scientific and technical literature, or developed from measurements made at NIST laboratories, 

and are critically evaluated for accuracy and reliability. NIST’s SRD databases cover many 

areas of science, including analytical chemistry, atomic and molecular physics, biotechnology, 

and materials sciences. (See http://www.nist.gov/srd/index.cfm) 

NIST’s data evaluations are supplied to NIST customers through the Standard Reference Data 

Program. NIST plans to study SRD-related data to determine whether information regarding 

usage of databases is sufficiently centralized, and whether more comprehensive metrics for 

judging impact can be obtained. 

Standard Reference Materials 

Standard Reference Materials (SRMs) are a definitive source of measurement traceability in the 

United States. Measurements made using SRMs can be traced to a common and recognized set 

of basic standards that provide the basis for measurement compatibility among different 

laboratories. The certified property values for Standard Reference Materials often depend on the 

development of unique measurement capabilities within NIST. 

(See: http://www.nist.gov/srm/index.cfm) 

NIST will continue to report on the number of SRMs sold and new SRMs developed while 

studying whether other meaningful impact information can be developed using existing customer 

data. 

Patents and Licensing 

NIST actively seeks to identify commercially valuable inventions that result from its research. A 

NIST Patent Review Committee evaluates each reported invention’s potential to promote U.S. 

innovation and industrial competitiveness. NIST will generally seek patent protection when a 

patent: 

(1) would enhance the potential for an invention’s commercialization; (2) would have a positive 

impact on a new field of science or technology and/or the visibility and vitality of NIST; (3) 
 

9 

would further the goals of a CRADA or other agreement; (4) would further U.S. manufacturing; 

or (5) would likely lead to a commercialization license. 

NIST will continue to report on patents and licenses and additional information, such as the age 

and size of companies licensing NIST technologies and the number of jointly-owned inventions. 

Software and Other Downloadable Products 

NIST provides a wide variety of application software programs, testing tools, and databases that 

are accessible over the Internet and available to U.S. industry, academia and other interested 

users. These applications are an important means of disseminating NIST research results and 

technical information. 

NIST will explore how to better reflect the significant technology transfer contribution made 

through downloads of NIST software and data be implemented by creating a NIST-wide group to 

exchange effective practices and study appropriate metrics for assessing the impact of NIST 

published software. 

Technical Publications 

Technical publications are one of the major mechanisms NIST uses to disseminate the results of 

its research to industry, academia, and other agencies. NIST staff authored more than 1,300 

publications in peer-reviewed journals in FY2012. (See: http://nvl.nist.gov/) 

NIST also publicizes its planned, ongoing and recently completed work in the trade and technical 

press, which is typically followed by the organizations most likely to have an interest in NIST’s 

research and services. In addition to news releases, websites and contacts with the media, NIST 

publishes Tech Beat, a biweekly plain language newsletter of recent research results. 

(See: http://www.nist.gov/public_affairs/tech-beat/index.cfm) 

2. NIST Collaborations 

Cooperative Research and Development Agreements (CRADAs) 

Collaborative research and development projects between Federal laboratories, academia and 

outside partners are an effective means of technology transfer. Beyond the improved know-how 

and new technologies that result, these joint efforts often help collaborators to leverage each 

other’s resources and technical capabilities. They also provide mechanisms for collaborators to 

gain technical competencies and acquire new skills. CRADAs are a major collaborative 

mechanism for establishing joint relationships with industry, academia, and state and local 

governments. A CRADA is an agreement between a Federal laboratory and one or more 

partners to collaborate on defined R&D projects. The legal authority for CRADAs was created 

by the Federal Technology Transfer Act of 1986 (Pub. L. 99-502) with the aim of encouraging 

Federal laboratories to participate in R&D partnerships to advance promising new technologies 

toward commercialization. (See: http://www.nist.gov/tpo/collaborations/crada.cfm) 

NIST will expand beyond the number of CRADAs into a comprehensive metric that 

encompasses the broad range of NIST formal and informal collaborations by (i) developing a 

definition of a credited “collaboration,” (ii) developing processes and procedures to capture 
 

10 

credited collaborations, and (iii) conducting a feasibility study on whether impact data can be 

generated. 

User Facilities – Research Participants 

To support U.S. industry, academic institutions, NIST’s own laboratories, and other government 

laboratories, NIST operates two unique and valuable laboratory facilities – the NIST Center for 

Neutron Research (NCNR) and the Center for Nanoscale Science and Technology (CNST). 

These facilities are a vibrant means by which NIST customers tap directly into NIST 

measurement expertise to solve their problems. The NCNR is a national center for research using 

thermal and cold neutrons. Many of its instruments rely on intense beams of cold neutrons 

emanating from an advanced liquid hydrogen moderator. The CNST supports the development 

of nanotechnology from discovery to production. The CNST operates a national shared-use 

nanofabrication and measurement facility (the NanoFab), complemented by a multidisciplinary 

research staff creating next-generation tools for advancing nanotechnology. (See: 

http://www.nist.gov/user-facilities.cfm)

The metric currently reported is the number of those who are registered in the NIST Associates 

database to be on the NIST campus to use the two User Facilities. For a variety of reasons, this 

metric currently undercounts both the utilization and direct impact of the facilities. 

Alternatively, the User Facilities have for many years used the “number of Research 

Participants” as a fundamental measure of their productivity. NIST User Facility “Research 

Participants” are those who directly participate in an NCNR experiment or CNST project. 

Participants include those who use the facility on-site or remotely, and their collaborators on the 

experiment or project. NIST will change the metric to “number of Research Participants.” 

Postdoctoral Researchers 

Technology transfer involves not only inventions, innovations, data, patents and licenses, but 

also “people.” Postdoctoral researchers, or “postdocs,” working at NIST are therefore another 

important means by which NIST technology is transferred. (See: 

http://www.nist.gov/iaao/postdoc.cfm) 

NIST will include post-NIST employment information as an additional technology transfer 

metric. The National Science Foundation’s (NSF’s) description of a postdoctoral researcher 

position as a temporary position taken after the completion of a doctorate ... as a period of 

apprenticeship for the purpose of gaining scientific, technical, and professional skills,”7

combined with the NRC-NIST’s stipulation of there being five years since the Ph.D. was 

awarded, will be used to define this type of position. 

Guest Researchers 

In addition to postdocs, each year thousands of researchers visit NIST to participate in 

collaborative projects. (See: http://www.nist.gov/tpo/collaborations/guestresearchers.cfm). 

NIST hosts many term appointment researchers and non-NIST employees working as guest 

researchers, collaborators, and student fellows. As with postdoctoral researchers, many guest 

researchers will seek career opportunities in academia, the private sector, or the Federal 

 

7

 National Science Board, Science and Engineering Indicators 2012, http://www.nsf.gov/statistics/seind12/
 

11 

government agencies once their tenure at NIST ends. While some guest researchers’ work at 

NIST may result in inventions, all guest researchers leave NIST with technical and research 

skills that place them on the cutting edge of their disciplines. Each individual takes to new 

careers and new employers these skills, knowledge and a desire to employ them in innovative 

ways. Moreover, these “NIST alumni” bring to their new employers knowledge of how to 

collaborate with Federal laboratories and knowledge of Federal resources that are available to 

assist companies as they create and develop new and improved technologies. This focus on 

NIST alumni reflects NIST’s view that technology transfer involves “people” transferring new 

knowledge as well as innovative “things.” 

NIST will significantly expand the relevant information mined from existing sources of 

information and will study the linkages between these data and other metrics. 

Start-ups and Young Entrepreneurial Companies 

NIST has several different means by which it and its Joint Institutes nurture young companies, 

including “start-ups,” in high-growth technology areas. 

NIST will develop a list of NIST-related start-up and NIST-related young technology companies 

by end of first quarter of FY2014. NIST will explore ways to gauge the effectiveness of NIST’s 

support of these young entrepreneurial companies. Such metrics, with inclusion of anecdotal 

information, are anticipated to include tracking the development of these companies over time. 

Calibration and Accreditation Services 

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

including calibration services, special tests, and measurement assurance programs. NIST’s 

calibration services are designed to help manufacturers and users of precision instruments 

achieve the highest possible levels of measurement quality and productivity. NIST calibrations 

often provide the basis for private sector companies that provide commercial calibration services 

and calibration equipment. (See: http://www.nist.gov/calibrations/index.cfm) 

The NIST National Voluntary Laboratory Accreditation Program (NVLAP) is a voluntary and 

fee-supported program to accredit private sector laboratories that are found competent to perform 

specific tests or calibrations, or types of tests or calibrations. Through NVLAP, NIST efficiently 

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

conducted within the private sector. (See: http://www.nist.gov/nvlap/) 

STEM Education 

NIST has been recognized8

 as a vital contributor to encouraging and supporting the Nation’s 

efforts in science, technology, engineering and mathematics (STEM) education. As part of its 

mission, and to help create a long-term and well-qualified workforce for standards and 

measurement research, NIST has several education outreach programs and partnerships that 

enrich basic research programs such as: 

 

8

 The Federal Laboratory Consortium (FLC) gave its 2013 award for excellence in the support of STEM education 

to Dr. Mary Satterfield, a scientific advisor in the Material Measurement Laboratory at NIST. 
 

12 

• the Summer Undergraduate Research Fellowship (SURF) program (See: 

http://www.nist.gov/surfgaithersburg/index.cfm); 

• the Summer High School Internship (SHIP) program (See: 

http://www.nist.gov/hrmd/staffing/ship.cfm); 

• the NIST Summer Institute for Middle School Science Teachers (See: 

http://www.nist.gov/iaao/teachlearn/index.cfm); and 

• the Professional Research Experience Program (PREP) (See: 

http://www.boulder.nist.gov/bdprepo.htm). 

NIST provides student and post doc fellows with information on the use of science by industry, 

including co-sponsoring a career fair with other agencies and with Rockville Economic 

Development, Inc., located near the NIST Gaithersburg campus in Rockville, Maryland. 

In addition, NIST jointly operates several research organizations that have been established to 

promote cross-disciplinary collaborations. (See: http://www.nist.gov/locations.cfm) These 

include: 

• JILA,9 Boulder, Colorado, a world-class physics research institute jointly operated by 

NIST and the University of Colorado at Boulder; 

• Institute for Bioscience and Biotechnology Research, Rockville, Maryland, an 

interdisciplinary partnership in cutting-edge biotechnology between NIST and the 

University of Maryland; 

• Joint Quantum Institute, College Park, Maryland, a new institute for advancing quantum 

physics research that is jointly operated with the University of Maryland; and 

• Hollings Marine Laboratory, Charleston, South Carolina, a national center for coastal 

ocean science, in which NIST is one of five Federal, state, and university partners. 

Over the past five years, approximately 6,000 students have participated in NIST Seminars. In 

FY 2012, approximately 1,200 students participated in over 60 NIST measurement and 

documentary standards seminars. These seminars were taught by scientists from other national 

metrology institutes, officials from U.S. Federal agencies, weights and measures officials from 

state governments, laboratory staff from U.S. industry calibration laboratories, and middleschool science teachers. In addition to laboratory and classroom courses, NIST offers special 

webinars to participants. 

NIST will retain STEM education activities as a metric. STEM education metrics will be 

expanded to include SURF, SHIP, and the Pathways Program. 

Small Business Innovation Research (SBIR) 

NIST’s Small Business Innovation Research (SBIR) program provides funding to small high 

technology U.S. firms. The program offers qualified small businesses the opportunity to propose 

 

9

 When first established by NIST and the University of Colorado-Boulder, JILA stood for “Joint Institute for 

Laboratory Astrophysics.” At present, according to common usage, JILA simply denotes the joint NIST-UC 

research institute. 
 

13 

innovative ideas that meet specific NIST research and development needs, and have the potential 

for commercialization. (See: http://www.nist.gov/tpo/sbir/index.cfm) 

NIST will take the following steps to improve and streamline SBIR practices. These changes to 

administrative practices and to proposal solicitation and review practices will reduce the 

administrative burden on small businesses and will reduce the time needed to process and issue 

awards. 

1. Streamlining administrative practices to reduce the administrative burden on small businesses 

and reduce the time needed to process and issue awards. 

2. Reducing the number of topics and subtopics to balance the work required to obtain 

proposals and increase the selection rate for worthwhile proposals. NIST Programmatic 

Investment Priority Areas in the NIST Three Year Programmatic Plan serve as topics to align 

SBIR priorities to NISTs mission. The goal is to bring the Phase 1 SBIR award rate up to the 

national average of 17%. 

3. Implementing a two-step review process to evaluate technical feasibility and to maximize 

investments, catalyze commercialization, and achieve a strategic focus. The first step is a 

technical evaluation conducted by the NIST laboratories. The second step is prioritization of 

proposals considered meritorious in the laboratory review through the use of criteria based on 

the overall NIST strategy and SBIR program goals. 

4. Reducing by 10% the time from close of solicitation to award issuance. 

Conferences, Workshops, and Inquiries 

Some of the most important mechanisms for technology dissemination are communication, 

education, and interaction among researchers, developers and users of technology. NIST hosts 

numerous conferences, workshops, and other meetings each year to facilitate the transfer of 

technology. Further, NIST staff answers e-mail, telephone, and mail inquiries from the public, 

including inquiries from researchers requesting information and details about NIST technical 

developments and research results. 

NIST will retain current information on metrology training as a metric and will expand that to 

include additional information on OU-specific training activities that are routinely conducted for 

facility users. 

Assessing the Economic Impact of Technology Transfer

As a Federal research organization, NIST provides a wide range of public goods and services 

that would otherwise be inadequately provided or not be provided at all by private sector sources. 

While such public sector investments in areas of measurement science, standards and innovative 

technology solutions are deemed to be critical for the Nation’s sustained economic security and 

growth, there is a continuing need to demonstrate the value of NIST’s investments. 

NIST regularly assesses the downstream impact of its research projects and technologies. NIST 

utilizes a diverse, yet complementary, set of performance indicators and measures to evaluate its 

programmatic performance over time. NIST’s performance evaluation system accommodates 

the Institute’s diverse products, and addresses the intrinsic difficulty of measuring the results of 
 

14 

Federal investments in scientific and technological products and services. NIST evaluates its 

performance and plans its work with assistance from peer reviews and other forms of external 

assessments including customer surveys and independent economic impact studies. From 2000 to 

2012, 14 economic impact studies were conducted on NIST research programs. These studies 

were overseen by Dr. Gregory Tassey, Senior NIST Economist, and show an overall return on 

investment ratio of approximately 36:1. Additional details on NIST economic performance 

measures are available online at http://www.nist.gov/director/planning/impact_assessment.cfm. 

NIST also reports its performance through Department of Commerce Government Performance 

and Results Act of 1993 (GPRA) documents, and the NIST Financial Statements. 

NIST has established the Economic Analysis Office (EAO) to manage the development of 

prospective and retrospective economic impact studies that evaluate the effectiveness of NIST’s 

investments. 

EAO will: 

1. establish data collection methodologies and make recommendations to NIST 

management regarding efforts to improve the collection of technology transfer metrics; 

2. establish criteria to evaluate the feasibility of performing economic impact studies; 

3. investigate novel sources of research data such as the National Science Foundation’s Star 

Metrics project10 and other methods that quantitatively analyze technical publications; 

and 

4. develop training materials that explain how economic data are gathered, how the results 

of economic impact studies should be interpreted, and how these studies can be used to 

justify public sector investments in R&D. 

EAO will commission a series of studies to assess economic impact utilizing the wider range of 

technology transfer metrics identified in this report and will initiate novel attempts to measure 

the broad impacts of critical outputs, such as standard reference materials, standards committee 

participation, CRADA participation, etc. These studies will begin during the initial years of the 

proposed five-year plan. 

Working closely with staff from the NIST laboratories and building on ongoing analytic efforts 

by the Standards Coordination Office, NIST management will increase the regularity with which 

it implements lessons learned from these studies. In addition, NIST will engage with other 

bureaus within the Department of Commerce that have analytic capabilities and relevant 

responsibilities, such as the Economic and Statistics Administration (ESA) and the Patent and 

Trademark Office (PTO). NIST will also continue to engage with, participate in, and benefit 

from the work conducted by other Federal agencies and non-federal stakeholders, such as the 

Association of Public and Land-grant Universities (APLU) and the Association of University 

Technology Managers (AUTM), that are expanding the measurement and analysis of the impacts 

associated with university-based technology transfer. 

 

10 Julia Lane and Stefano Bertuzzi, ‘The STAR METRICS Project: Current and Future Uses for S&E,’ National 

Science Foundation, September 8, 2011. 
 

15 

Along with providing an effective response to the PM, NIST’s efforts will address the Office of 

Science and Technology Policy’s request to support the development and use of the “Science of 

Science Policy Roadmap” that calls on agencies to work together to develop new tools, methods, 

data, and data infrastructure to help science and technology policy-makers make better 

decisions.11 

Through all of these efforts, NIST will improve its ability to measure and analyze the economic 

impact of its funding decisions and will work to remove barriers that prevent the efficient and 

timely transfer of technologies to industry. 

 

11 National Science and Technology Council, November 2008. 
 

16 

Additional Details in FY 2012 

Pursuant to the reporting requirements of the Technology Transfer Commercialization Act of 

2000 and other relevant legislation, NIST provides the following data on its transfer of 

knowledge and technology to the private sector. The data provide collaborative relationships for 

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

patenting, and licensing. The data also include other technology transfer mechanisms utilized by 

the NIST laboratories, e.g., Standard Reference Materials, Standard Reference Data, technical 

publications produced, calibration tests, and guest researcher collaborations. 

 Collaborative Relationships for Research and Development 

FY

2008

FY

2009

FY

2010

FY

2011

FY

2012

CRADAs(1) 

Total Active(2) CRADAs 2,345 2,349 2,207 2,241 2,916 

 New CRADAs executed 1,577 1,492 2,142 2,173 2,810 

 

Total Active Traditional CRADAs 121 65(3) 66 103(4) 140

 New Traditional CRADAs executed 12 19 16 51(4) 53

 

Total Active Non-traditional CRADAs 2,224 2,284 2,141(5) 2,138(5) 2,776 

 New Non-traditional CRADAs executed 1,565 1,473 2,126(5) 2,122(5) 2,757 

 

Other types of collaborative R&D 

relationships

 Guest scientists and engineers (6) 2,816 2,828 2,897 2,899 2,782 

 

Traditional CRADAs involving small 

businesses (new metric in FY2012) -- -- -- -- 20 

(1) CRADA = Cooperative Research and Development Agreement. Traditional CRADAs involve 

collaborative research and development projects by a Federal laboratory and non-federal partners. 

Non-traditional CRADAs are used for special purposes, such as laboratory accreditation, materials 

transfer or technical assistance that may result in protected information. 

(2) “Active” means an agreement in force at any time during the fiscal year. “Total active” includes all 

agreements executed under CRADA authority (15 U.S.C. 3710a). 

(3) The decrease in CRADAs is attributable to the successful conclusion of multi-CRADA Consortiums. 

(4) The increase in CRADAs is attributable to new multi-CRADA consortiums. 

(5) Reflects a correction of data previously reported. 

(6) “Guest scientists and engineers” includes foreign and domestic guest researchers and researchers 

working at NIST under Intergovernmental Personnel Act (IPA) agreements, CRADAs, and Facility 

Use Agreements. 
 

17 

Licensing Details 

Multiple inventions included in a single license are counted as one license. Licenses that include 

both patents and copyrights (hybrid licenses) are reported as patent licenses and are not counted 

as copyright licenses. 

Profile of Active Licenses 

FY

2008

FY

2009

FY

2010

FY

2011

FY

2012

Total number of active licenses (1) 23 33 40 34 36

 New licenses executed 2 11 7(2) 5(2) 6 

 

Total invention licenses active 23 33 40 34 36

 New invention licenses executed 2 11 7(2) 5(2) 6 

 

Total patent licenses active (3) 23 33 40 34 36 

 New patent licenses executed 2 11 7(2) 5(2) 6 

 

Total material transfer licenses active 

(inventions) 

0 0 0 0 0

 New material transfer licenses 0 0 0 0 0

 (inventions) 

 

Total material transfer licenses active 

(non-inventions)

0 0 0 0 0

 New material transfer licenses executed 0 0 0 0 0

 (non-inventions) 

 

Total “Other invention licenses” active 0 0 0 0 0

 New “Other invention licenses” executed 0 0 0 0 0

 

Total “Other IP licenses” active 0 0 0 0 0

 New “Other IP licenses” executed 0 0 0 0 0

 

Copyright licenses (fee-bearing) active 0 0 0 0 0

 New copyright licenses executed 0 0 0 0 0

 

New Licenses issued to small businesses 

(New metric for FY2012) -- -- -- -- 2 

(1) “Active” means an agreement in force at any time during the fiscal year. 

(2) Reflects a correction of data previously reported. 

(3) Patent licenses include licenses to pending patent applications. 
 

18 

Licensing Management 

FY

2008

FY

2009

FY

2010

FY

2011

FY

2012

License negotiation time(1) 

 Invention licenses (Patent licenses) (2)

 Average (months) 10.5(3) 4.8 3.0 1.9 2.9 

 Minimum (months) 3.0(3) 3.0 2.0 1.0 2.4 

 Maximum (months) 18.0(4) 7.0 4.0 4.5 5.5 

 

Licenses terminated for cause 

 Invention licenses (Patent licenses) 0 0 0 0 0 

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

laboratory formally acknowledges the written request for a license from a prospective licensee and 

agrees to enter into negotiations.) 

(2) Patent licenses include licenses to pending patent applications. 

(3) Numbers reflect an increase in income-bearing licenses, which take longer to negotiate than nonincome bearing research licenses. 

(4) Reflects a correction of data previously reported. 

Income from licensing comes from a variety of sources: license issue fees; earned royalties; 

minimum annual royalties; paid-up license fees; reimbursement for full-cost recovery of goods; 

and services provided by the laboratory to the licensee (including patent costs). 

Characteristics of Licenses Bearing Income 

FY

2008

FY 

2009

FY

2010

FY

2011

FY

2012

Total income bearing licenses 21 22 24(1) 22(1) 21

 Exclusive licenses

 Partially exclusive licenses 

 Non-exclusive licenses

14

0

7

15

0

7

 17(1)

0

7

 15(1)

0

7

 15 

 0

 6

 

Total income bearing Invention licenses

(Patent licenses)(2) 21 22 24 22 21

 Exclusive

 Partially exclusive

 Non-exclusive

14

0

7

15

0

7

17

 0

 7 

15

0

7

15

 0

 6

 

 Total Other income bearing IP licenses 0 0 0 0 0

 

Total royalty bearing licenses (3) 21 22 24 22 21

Total royalty bearing invention licenses 21 22 24 22 21

Royalty bearing Patent licenses 21 22 24 22 21

Other royalty bearing IP licenses 0 0 0 0 0

(1) Reflects a correction of data previously reported. 

(2) Patent licenses include licenses to pending patent applications. 

(3) Royalties are only one component of total license income. 
 

19 

Income from Licenses 

FY

2008

FY 

2009

FY

2010

FY

2011

FY

2012

Total income, all licenses active (1) $223,640 $197,445 $202,216 $169,347 $146,796

 Invention licenses (patent licenses)

 (2) $223,640 $197,445 $202,216 $169,347 $146,796

 Other IP licenses, total active 0 0 0 0 0

 

Total Earned Royalty Income (ERI) (3) $223,640 $197,445 $202,216 $169,347 $146,796

 Median ERI $20,000 $15,625 $3,438 $1,844 $9,971

 Minimum ERI $640 $320 $1,245 $1,500 $1,500

 Maximum ERI $100,000 $100,000 $100,000 $100,000 $64,185

 ERI from top 1% of licenses(4) -- -- -- -- -- 

 ERI from top 5% of licenses(4) -- -- -- -- -- 

 ERI from top 20% of licenses(4) -- -- -- -- -- 

Invention licenses (Patent licenses) $223,640 $197,445 $202,216 $169,347 $146,796

 Median ERI $20,000 $15,625 $3,438 $1,844 $9,971

 Minimum ERI $640 $320 $1,245 $1,500 $1,500

 Maximum ERI $100,000 $100,000 $100,000 $100,000 $64,185

 ERI from top 1% of licenses(4) -- -- -- -- -- 

 ERI from top 5% of licenses(4) -- -- -- -- -- 

 ERI from top 20% of licenses(4) -- -- -- -- -- 

Other IP licenses, total active $0 $0 $0 $0 $0

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

fees, reimbursement for full-cost recovery of goods and services provided by the laboratory to the 

licensee including patent costs and Standard Reference Data. “Active” means an agreement in force at 

any time during the fiscal year. 

(2) Patent licenses include licenses to pending patent applications. 

(3) “Earned royalty” is a royalty based on use of a licensed invention (usually, a percentage of sales or of 

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

(4) Data withheld to protect proprietary information. 

Disposition of Invention License Income 

FY 

2008

FY 

2009

FY 

2010

FY 

2011

FY 

2012

Income distributed (1) 

 Invention licenses (patent licenses) (2) $223,640 $197,445 $202,216 $169,347 $146,796 

 Licensing income to inventor(s) $75,140 

(34%) 

$66,757 

(34%) 

$72,157 

(36%) 

$56,698 

(33%) 

 $61,300 

(42%) 

 Licensing income to NIST $148,500 

(66%) 

$130,688 

(66%) 

$130,058 

(64%) 

$112,649(3) 

(67%) 

 $85,497

(58%) 

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

(2) Patent licenses include licenses to pending patent applications. 

(3) Reflects the redistribution of $1,500 of license income to the National Institutes of Health. 
 

20 

Other Performance Measures Deemed Important by the Agency 

FY

2008

FY 

2009

FY

2010

FY

2011

FY

2012

Standard Reference Materials (SRMs) 

available (1) 1,282 1,283 1,283 1,177 1,298

Standard Reference Materials (SRMs) units 

sold (2) 33,373 29,769 31,667 32,864 33,441

Standard Reference Data (SRD) titles 

available (3) 102 120 120 120 111

Number of calibration tests performed (4) 25,944 18, 609 17,697 18,195 17,206

Technical publications in peer-reviewed 

journals(5) 1,271 1,463 1,243 1,210 1,335

(1) 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. 

(2) Direct and verifiable count of NIST SRM units sold during the fiscal year. In recent years, NIST 

had been expecting a continuing slight decline in the number of SRM units sold. 

(3) Direct and verifiable count of SRD products developed and disseminated by NIST. Of the titles 

currently available, about 40% are available for sale, and 60% are free online systems. Over 

time, a larger percentage of SRDs will be distributed via the Internet. 

(4) Calibration tests performed by the NIST laboratories. 

(5) Annual number of NIST’s technical publications appearing in scientific peer-reviewed journals. 

Downstream Outcomes from NIST Technology Transfer Activities 

700 MHz Public Safety Broadband Demonstration Network CRADA Consortia 

Public safety agencies have long struggled with effective cross-agency radio communications 

due mainly to incompatible systems and non-contiguous spectrum assignments. But newly 

enacted Congressional legislation will soon make broadband spectrum in the 700 MHz band 

available to public safety, allowing for a unified system that would foster nationwide roaming 

and interoperability. 

In support of this effort, NIST, through its Public Safety Communications Research Program 

(PSCR) and in collaboration with NTIA and the Department of Homeland Security’s (DHS’s) 

Office for Interoperability and Compatibility (OIC), has built a 700 MHz Public Safety 

Broadband Demonstration Network, which provides manufacturers and first responders a 

location for early deployment of their systems in a multi-vendor, neutral host environment. 

Emergency responders can see how these broadband systems will function and determine 

through hands-on experience whether these systems meet their unique needs. 

This new public safety broadband communications network will allow for a unified system to 

foster nationwide roaming and interoperability. 

NIST Releases Two New SRMs for Monitoring Human Exposure to Environmental Toxins

NIST, in collaboration with the Centers for Disease Control and Prevention (CDC), has 

developed two new Standard Reference Materials (SRMs) for measurements of human exposure 

to environmental toxins. Used as a sort of chemical ruler to check the accuracy of tests and 

analytic procedures, the new reference materials ( SRMs 2668 and 3668) replace and improve 
 

21 

older versions, adding measures for emerging environmental contaminants such as perchlorate, a 

chemical that the Environmental Protection Agency has targeted for regulation as a contaminant 

under the Safe Drinking Water Act. 

Because sample collection is non-invasive and the test results reflect exposures as recent as two 

days, urine is preferred for clinical diagnostics and monitoring of toxic environmental chemicals. 

Once collected, samples are frozen while they await testing. 

In order to generate comparable results among tests, best practices in clinical chemistry require 

that a reference material should closely mimic how a specimen would respond to these tests. The 

best way to achieve such close resemblance is to make the physical, chemical and biological 

properties of the reference material match those of the specimen as closely as possible to the 

specimen. 

In addition to NIST, the CDC, Mayo Clinic and the New York State Department of Health made 

certification measurements of the two SRMs to ensure their relevance for the intended 

applications. The development of SRMs 2668 and 3668 reflects NIST’s commitment to 

continually improve chemical metrology to improve the health of the Nation. 

NIST Standard Available for Better Diagnosis, Treatment of Cytomegalovirus 

A new clinical SRM from NIST will help health care professionals more accurately diagnose and 

treat cytomegalovirus (CMV), a common pathogen that is particularly dangerous for infants and 

persons with weakened immune systems. 

CMV is found in 50 to 80 percent of the population. It is a member of the herpes family of 

viruses that includes two herpes simplex viruses (the causes of cold sores and genital herpes), the 

varicella-zoster virus (the cause of chicken pox and shingles) and the Epstein-Barr virus (the 

cause of mononucleosis). Like its cousin herpes viruses, CMV generally remains latent in an 

infected person unless certain conditions trigger its activation. CMV poses a significant health 

risk to people who are immunocompromised (such as organ transplant patients or cancer patients 

undergoing chemotherapy) and to babies who receive the virus from their mothers before birth. 

Congenital CMV infections cause more long-term problems and childhood deaths than many 

other prenatal disorders including fetal alcohol syndrome, Down syndrome and neural tube 

defects such as spinal bifida. 

If a CMV infection becomes dangerous, antiviral agents can be used to moderate the impact. 

Unfortunately, many of these compounds are toxic, so a physician must know the severity of the 

infection—a measure known as viral load (number of virus copies per microliter of blood)—to 

prescribe the optimal dosage and duration of treatment. The current means of measuring viral 

load is to use polymerase chain reaction (PCR)—the standard technique for "amplifying" or 

making multiple copies of a DNA segment or molecule—to amplify a region of the CMV gene 

and then use a calibration curve to estimate the number of virus particles in the original sample. 

Accuracy of these measurements can vary greatly from one test facility to another as there are 

many different PCR protocols used to determine viral load, including commercial and "in-house" 

(privately developed) laboratory assays. 
 

22 

The new NIST reference, SRM 2366, addresses the variability problem by providing a 

standardized CMV DNA. Consistency of the viral DNA in the standard was ensured by 

manufacturing it in Escherichia coli bacteria. Each of these recombinant E. coli cells contains a 

copy of the CMV genome in a "DNA construct"—an artificially constructed segment of nucleic 

acid that codes for a specific product, in this case, CMV DNA. The DNA copies made by this E. 

coli cell culture "factory" can then be purified and quantified using digital PCR. SRM 2366 

consists of three solutions, each with a specific concentration of CMV DNA copies per 

microliter: 420; 1,702; and 19,641. These are designed to qualify prepared calibration samples 

(known as calibrants). They also can be used as quality control samples for diagnostic 

equipment. For added traceability, the SRM certificate of analysis includes the genetic sequences 

of the nine CMV genome regions copied for the standard. 

SRM 2366 joins more than 50 reference materials produced by NIST for quality control in 

clinical testing. 

PML's Pernstich Develops Open-Source Software to Automate Test Equipment 

A free, easily customizable software program for automating test equipment via GPIB or RS232 

bus may sound too good to be true, especially for smaller companies, graduate students, and 

hobbyists or for day-to-day laboratory work. But that's exactly what Kurt Pernstich of the PML's 

Semiconductor and Dimensional Metrology Division has created. 

Instrument Control (iC) is a NIST open-source software program that can perform many of the 

same functions as the widely used licensed software systems currently available. iC has the 

added benefit of being easily extended, with users able to define new commands in simple text 

files; no programming knowledge is required. Pernstich has made iC available on-line, and a full 

description of the software will be published in an upcoming issue of the Journal of Research of 

NIST. 

In the research, development, and production community, virtually everyone uses some type of 

data-acquisition software, because measurements are made faster—measuring 10 datapoints 

manually can take longer than measuring 200 datapoints using data-acquisition software—and 

can be performed while the researcher is back at his/her desk or home for the weekend. In short, 

data-acquisition software is essential in today's laboratories, and the availability of a free version 

of a customizable program is a tremendous benefit to the American public. 

NIST Releases Gulf of Mexico Crude Oil Reference Material 

NIST has released a new certified reference material to support the Federal government’s 

Natural Resources Damage Assessment (NRDA) in the wake of the April 2010 Deepwater 

Horizon oil spill off the Louisiana coast. The new Standard Reference Material, Gulf of Mexico 

Crude Oil” (SRM 2779), will be used as a quality control material for the ongoing environmental 

impact analyses of the NRDA effort. 

The Deepwater Horizon disaster resulted in the discharge of tens of thousands of barrels of oil 

per day from the seafloor into the Gulf of Mexico. In what has become the worst offshore oil 

spill in U.S. history, a wide expanse and variety of natural resources have been exposed to and 

potentially impacted by oil. During the NRDA, tens of thousands of environmental samples, 
 

23 

including oil in various forms, water, sediment and biological samples are being collected and 

analyzed to characterize both pre-spill and post-spill environmental conditions. 

The petroleum crude oil for SRM 2779 was collected on May 21, 2010, on the drillship 

Discoverer Enterprise, from the insertion tube that was receiving oil directly from the Macondo 

well during response operations. The oil was collected in 2.5 liter glass bottles and transported 

via a defined chain of custody to a laboratory in College Station, Texas. A portion was 

subsequently provided to NIST under the authority of the National Oceanic and Atmospheric 

Administration (NOAA) for use in the preparation of SRM 2779. 

Using the data from three independent methods of analysis performed at NIST, as well as one set 

of data from an interlaboratory study coordinated by NIST and NOAA, certified and reference 

values (as mass fractions) are provided for a number of polycyclic aromatic hydrocarbons 

(PAHs), along with reference values (as mass fractions) for a number of alkylated PAH groups, 

hopanes and steranes. These compound classes are among those used as indicators for the 

presence of petroleum crude oil. A unit of SRM 2779 consists of five ampoules, each containing 

1.2 mL of crude oil. Technical details of SRM 2779, Gulf of Mexico Crude Oil, are available at 

https://www-s.nist.gov/srmors/view_detail.cfm?srm=2779. 

Petroleum Volume: Getting Calibrations in the Can 

The volume of oil and oil products moving through America’s pipelines, waterways, roads, and 

rails borders on the unimaginable. 

“Look at it this way,” says John Wright, a Project Leader in PML’s Fluid Metrology Group, “per 

capita consumption of petroleum in the United States is 10 liters per day. And there are 300 

million people. That’s three billion liters moving around each day and usually being metered 

several times along the way. The infrastructure requirements are mind-boggling.” 

So is the value. Three billion liters is about 19 million barrels, and with crude oil priced around 

$100 a barrel these days, approximately $2 billion worth of petroleum travels from multiple 

sellers to multiple buyers every 24 hours. Clearly, even tiny errors in measurement can amount 

to a great deal of money. 

To ensure maximum accuracy, the U.S. petroleum industry relies on volume measurements 

traceable to NIST, and specifically to the Flow Metrology Group in PML’s Sensor Science 

Division. Customers bring in their own “field test measures” – stainless steel containers ranging 

in capacity from four liters to 8,000 liters, made with graduated necks but informally called 

“cans” – to be calibrated. 

The cans are used to calibrate various “prover” mechanisms that measure movement of volume 

per unit time, and the provers in turn are used to calibrate various kinds of flowmeters. Because 

the provers and meters differ widely in capacity, a variety of can sizes is typically necessary. 

For example, private-sector calibrators spent two weeks at NIST calibrating 13 cans ranging 

from 1 to 500 gallons. That may seem like a long time, but the process is laborious and 

painstaking. Each can is cleaned and thoroughly dried, carefully leveled, and weighed empty. 
 

24 

Then the can is filled with purified water and weighed again. This entire process is repeated five 

times for cans of 380 liters or less, and at least twice for larger cans. 

“We often calibrate over 100 measures a year here, from all sorts of customers,” says Fluid 

Metrology technician Sherry Sheckels, “including some designed to be transported by barge out 

to offshore oil platforms for on-site calibrations.” 

Not surprisingly, there are industry standards specified by the American Petroleum Institute that 

govern each stage of the calibration operation. For example, cans smaller than 20 liters are 

drained by pouring through the neck while tilted to 70 degrees from horizontal (not 90 degrees, 

which is completely vertical) and there are standardized drainage and drip times. 

Because the mass, density and temperature of the water are extremely well known, container 

volume can be determined to high accuracy after correcting for factors such as thermal expansion 

of the metal. The petroleum industry expects uncertainties less than 0.05 % for custody transfer 

or billing applications. NIST’s can-volume calibrations are in the range of 0.01 % for very large 

cans. 

The other variable of intense interest is how the measurements change or “drift” over time. “If 

our calibrations or our customers’ calibrations or the pipe-provers’ change too much,” Wright 

says, “then there’s a lot of retroactive money that changes hands. It can amount to very large 

sums because the volume is extraordinarily high.” 

State laws governing the volumetric accuracy of products delivered to the consumer usually 

specify 0.5% uncertainty, and end-point distribution has to be monitored from time to time. 

“Five gallon cans are used at gas stations by state labs to make sure that pumps are calibrated 

properly,” Wright says. 

Because petroleum and other products sold by volume can cross many national borders, it is 

highly important that international standards agree as closely as possible. This necessitates 

round-robin comparisons, and Wright is now preparing to test a set of precision containers from 

Mexico. 

“In general, the agreement among different national metrology institutes is extremely good,” 

Wright says. “But that doesn’t mean we can ever stop measuring.” 

NIST Launches New Website to Educate Industry about Alternatives to Mercury 

Thermometers 

As part of a larger effort to reduce the amount of mercury, a potent neurotoxin, in the 

environment, NIST has launched a new website to help industry scientists and engineers decide 

the best temperature measurement alternative for their purposes. The website also includes 

information about myths pertaining to mercury and temperature measurement and how to safely 

package and recycle mercury-containing products. 

NIST stopped providing calibration services for mercury thermometers on March 1, 2011. This 

was motivated in part by NIST’s work with the Environmental Protection Agency to eliminate as 

many sources of mercury in the environment as possible. 
 

25 

According to Greg Strouse, leader of NIST’s temperature, pressure and vacuum programs, 

mercury thermometers are neither a superior nor a standard method for measuring temperature. 

“We haven’t used mercury thermometers as a calibration standard since 1927 when the platinum 

resistance thermometer standard was adopted,” says Strouse. “Our goal with this new website is 

to show that there is a temperature-sensing technology that will satisfy their needs as well as, or 

better than, a mercury thermometer, all without the added liability of containing a neurotoxin that 

is hugely expensive to clean up if released into the environment.” 

According to NIST researcher Dawn Cross, industrial scientists commonly object to replacing 

their mercury thermometers because they have grown accustomed to getting the same answer 

from their mercury thermometers over the years, even if it is less accurate than can be provided 

by modern digital thermometers. 

“Some people who are used to using mercury thermometers think that they define temperature, 

and this simply isn’t true,” Cross says. “Graduations on a piece of glass filled with a fluid can 

never give as accurate a reading as a digital thermometer, based on how the conductivity of 

metals change as a function of temperature, something we know and can characterize very, very 

well.” 

Cross points out that other thermometers based on the principle of thermal expansion of a fluid, 

such as alcohol, are not hopelessly inaccurate. In fact, they are as accurate as mercury 

thermometers and are suitable for some applications that don’t require stringent temperature 

control. For example, alcohol thermometers might be suitable for measuring the temperature of 

gasoline and other fuels, but they would be unsuitable for monitoring the temperature of 

vaccines, the viability of which relies on strict control of their temperature. 

New NIST Screening Method Identifies 1,200 Candidate Refrigerants to Combat Global 

Warming 

Researchers at NIST have developed a new computational method for identifying candidate 

refrigerant fluids with low "global warming potential" (GWP)—the tendency to trap heat in the 

atmosphere for many decades—as well as other desirable performance and safety features. 

The NIST effort is the most extensive systematic search for a new class of refrigerants that meet 

the latest concerns about climate change. The new method was used to identify about 1,200 

promising, low-GWP chemicals for further study among some 56,000 that were considered. 

Only about 60 of these have boiling points low enough to be suitable for common refrigeration 

equipment, an indication of how difficult it is to identify usable fluids. 

The ongoing NIST project is a response to U.S. industry interest in a new generation of 

alternative refrigerants that already are required for use in the European Union. The refrigerants 

now used in cars and homes in the U.S. are mainly hydrofluorocarbons (HFCs). They were 

adopted a generation ago in the effort to phase out chlorofluorocarbons (CFCs), which deplete 

the stratospheric ozone layer. An example is R-134a (1,1,1,2-tetrafluoroethane), which replaced 

ozone-depleting chemicals in automobile air conditioners and home refrigerators. R-134a now is 

being phased out in Europe because HFCs remain in the atmosphere for many years, yielding a 

high GWP. A compound's GWP is defined as the warming potential of one kilogram of the gas 
 

26 

relative to one kilogram of carbon dioxide. R-134a has a GWP of 1,430, much higher than the 

GWP of 150 or less now mandated for automotive use in Europe. 

Promising low-GWP chemicals include fluorinated olefins, which react rapidly with atmospheric 

compounds and thus do not persist for long periods. "What industry is trying to do is be 

prepared, because moving from a GWP in the thousands or tens of thousands to a GWP of 150 is 

an enormous challenge, both economically and technologically," says NIST chemist Michael 

Frenkel. "We decided to leverage the tools NIST has been developing for the last 15 years to 

look into the whole slew of available chemicals." 

The affected industry is huge: The U.S. air conditioning, heating and refrigeration equipment 

manufacturing industry ships about $30 billion in goods annually, according to the U.S. Bureau 

of the Census. NIST has extensive experience evaluating alternative refrigerants, having 

previously helped the refrigeration industry find replacements for CFCs. 

The new NIST method estimates GWP by combining calculations of a compound's radiative 

efficiency (a measure of how well it absorbs infrared radiation) and atmospheric lifetime, both 

derived from molecular structure. Additional filtering is based on low toxicity and flammability, 

adequate stability, and critical temperature (where the compound's liquid and gas properties 

converge) in a desirable range. The method was applied to 56,203 compounds and identified 

1,234 candidates for further study. The method, which was validated against available literature 

data, is accurate and fast enough for virtual screening applications. The approach is similar to the 

large-scale virtual screening and computational design methods for discovering new 

pharmaceuticals. 

The screening is the initial stage of a larger study funded by the U.S. Department of Energy. The 

next step will be to further narrow down the candidates to a couple dozen suitable for detailed 

investigation in refrigeration cycle modeling. 

NIST Plays a Central Role in Standards Agreement by 22 Federal Agencies 

NIST’s Physical Measurement Laboratory (PML) researchers played a central role in the 

establishment of new testing and evaluation standards for radiation and nuclear detectors about 

to be adopted by 22 Federal agencies. 

The standards, now in the final stages of approval, cover a range of devices from personaldetection equipment to hand-held radionuclide identifiers for field use and portal monitors for 

vehicles and cargo containers. 

Users of the equipment are military personnel and the Department of Defense, Federal and State 

first responders, and others from agencies including the DHS, the Food and Drug 

Administration, the Centers for Disease Control and Prevention, the Environmental Protection 

Agency, and the National Institute of Occupational Safety and Health. 

“For people using this type of equipment,” says Dr. Lisa Karam, Chief of PML's Radiation and 

Biomolecular Physics Division, “knowing that the detectors’ performance is reliable and ‘fit for 

purpose’ is absolutely necessary for their confidence that the results they get are reliable.” 
 

27 

The new standards are the first of a planned total of eight to be issued by an interagency panel, 

the Department of Defense Test and Evaluation Capabilities and Methodologies Integrated 

Process Team (TECMIPT). It was formed to address a lack of uniform standards and validation 

procedures for threat –detection equipment across the array of possible military situations, that 

lack of uniformity prevents inter-comparisons of measurements, resulting in costly redundant 

evaluation, and complicating procurement procedures. 

Individual Staff Researcher Awards with Technology Transfer Impact 

In 2012, NIST researchers received numerous external awards for their achievements in science 

and technology. 

Nobel Prize in Physics 

The 2012 Nobel Prize in Physics was shared by NIST Researcher David Wineland with 

Professor Serge Haroche of the Collège de France and Ecole Normale Supérieure “for groundbreaking experimental methods that enable measuring and manipulation of individual quantum 

systems.” Dr. Wineland is the fourth Nobel winner since 1997 to have worked at NIST. 

AAAS Fellows 

Four NIST researchers were elected as Fellows of the American Association for the Advancement 

of Science (AAAS), the world's largest general scientific society. They include: 

• Jeffrey Voas, from the NIST Information Technology Laboratory, for distinguished 

contributions in the development of trustworthy software systems and advanced software 

fault injection-based testing techniques. 

• Jeffrey Nico, from the NIST Physical Measurement Laboratory, for distinguished 

contributions to precision measurements and fundamental symmetry tests using cold 

neutrons and to radiochemical determinations of the proton-proton fusion solar neutrino 

flux. 

• Vijay Srinivasan, from the NIST Engineering Laboratory, for distinguished contributions 

to scientific theory, algorithms, and standards for computer-aided design and 

manufacturing. 

• Cedric Powell, from the NIST Material Measurement Laboratory, for outstanding 

contributions to electron spectroscopies of solids, especially in application to quantitative 

analysis of surfaces and establishment of surface measurement standards. 

American Physical Society 

Two NIST researchers were recognized by the American Physical Society for their outstanding 

contributions to physics. They are: 
 

28 

• J. Alexander Liddle from the CNST Nanofabrication Research Group, for contributions 

to science and technology of nanofabrication and nanolithography. 

• Ian Spielman from the NIST Physical Measurement Laboratory, for work in quantum 

phenomena at intersection of atomic and condensed matter physics using quantum 

simulation with ultracold atoms. 
 

29 

CHAPTER 3 

National Oceanic and Atmospheric Administration

Approach and Plans for Technology Transfer

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

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

with others; and to conserve and manage coastal and marine ecosystems and resources. This 

mission will become ever more critical in the 21st century as national issues related to climate 

change; limited freshwater supply, ecosystem management, and homeland security intensify. 

NOAA is one of the Nation’s premier scientific agencies. NOAA science and technology impact 

the daily lives of the Nation’s citizens, and have a significant impact on the national economy. 

About one-third of the U.S. economy (approximately $3 trillion) is weather sensitive. Industries 

related to agriculture, energy, construction, health, travel, and transportation are almost entirely 

weather dependent. Weather data and forecasts play a critical role in these major economic 

sectors. NOAA’s operations in the areas of weather and climate form the backbone of a thriving 

Weather and Climate Enterprise. This Weather and Climate Enterprise includes the Federal 

government (i.e., NOAA), the private sector, and the academic sector. Together all three sectors 

serve the Nation’s need for weather and climate services. The private sector in the Weather and 

Climate Enterprise is a thriving business including the media, private consultants, and equipment 

manufacturers supporting the weather industry. Current estimates are that this is a $5 billion 

industry. The private sector relies on NOAA observations and forecasts as the foundation of 

their business. Transfer of these data to our partners in the private sector is important to the 

success of this industry. 

Weather-related information is transferred to the industry and the public via the media, 

electronically (e.g., internet, data portals, experimental wireless services), and NOAA Weather 

Radio. Federal, state, and local governments and the public use weather warnings to save lives 

and prevent destruction of property. Television stations, and many weather related firms, use 

weather data and forecasts in their daily operations. Industry uses NOAA data in home 

construction and design, crop selection, disease control, and fuel delivery and supply. Weather 

data have been used for deciding such diverse applications as automobile fuel delivery system 

design, the best time to market umbrellas, and even for determining optimum conditions for 

breeding honeybees. Accurate and longer range weather forecasts depend on an ongoing 

program of research and development. 

Research by NOAA’s laboratories is primarily aimed at assisting NOAA’s operational 

components. Recent examples demonstrating the direction of NOAA’s research are severe storm 

(hurricane, tornado, derecho winds) forecasting, physical forecasts for renewable energy siting, 

predicting fresh water resources, tsunami warnings, air quality measurement, solar emission 

forecasting, monitoring and estimating of fish stocks and species health, coastal habitat 

monitoring and pollution, invasive species monitoring, coral reef health, ocean acidification, 

coastal/ocean disaster response and restoration, charting ocean bottom topography, and a wide 

variety of climate research and the impacts of a changing climate on human health, coastal zone 
 

30 

management, and oceans. Research results are transferred to NOAA’s operational components 

to improve prediction, management, and other mission activities. 

NOAA provides details of its research and technology to the public in the form of information 

products and services. These include weather and climate forecast data, El Niño prediction and 

monitoring, tides and currents, satellite imagery, fishery statistics, information on protected 

species, air quality, coastal conditions, beach temperatures, nautical charts, and databases on 

climate, oceans, ice, atmosphere, geophysics and the sun. 

NOAA's primary technology transfer mechanism has historically been the open dissemination of 

scientific and technical information through our cooperative institutes, websites, data portals, and 

peer-reviewed scientific publications to individuals, industry, government, and universities. This 

means of transfer is consistent with the agency’s mission and scientific tradition, and is critical to 

the ongoing growth of both the private and academic sectors of America’s Weather and Climate 

Enterprise. 

In addition, NOAA transfers certain intellectual property through patent licenses and 

Cooperative Research and Development Agreements (CRADAs) when it provides a competitive 

edge to U.S. companies. In 2011- 12, NOAA researchers were granted two new patents and are 

currently seeking licensing opportunities. We have expanded our internal training and have 

redesigned our website to greatly increase the availability of information about NOAA science 

that is ready for commercialization. The goal of these activities will be to increase the overall 

number of CRADAs, patents, and licenses in NOAA, as well as to speed the execution of these 

agreements. 

NOAA collaborates with other Federal research agencies on many topics of joint interest in 

science and technology development. For example, a current collaboration with National 

Institute of Standards and Technology, the U.S. Forest Service, and other agencies provides 

research in support of operational fire weather forecasts. According to a 2008 report from 

NOAA’s Science Advisory Board, costs for fire suppression and subsequent property damage 

extend into the billions of dollars, not to mention the lives lost in fighting or trying to escape 

wildfires. 

To ensure that United States benefits from and fully exploits scientific research and technology 

developed abroad, NOAA collaborates and shares information with organizations in countries 

throughout the world. Through these international relationships, NOAA receives technology that 

may eventually benefit U.S. industries and public users. For example, the understanding and 

forecasting of global phenomena that occur in the atmosphere, oceans, and on the sun require 

worldwide collaboration and information sharing. This is accomplished through formal 

agreements with individual countries and participation in international organizations, such as the 

World Meteorological Organization (WMO), the Intergovernmental Oceanographic Commission 

(IOC), and the International Astronomical Union (IAU). NOAA participates in international 

scientific programs, such as in the Global Earth Observation System, and shares technology and 

scientific data. This effort involves nearly 50 countries, the European Commission, and 29 

international organizations. NOAA also provides technical assistance and training to individuals 
 

31 

from other countries, and participates in an international visiting scientist program. Further, 

NOAA shares environmental data through its participation in the World Data Center program. 

In the future, NOAA will continue to direct its technology transfer and international 

collaboration activities toward four mission goals: 

 

1. Climate Adaptation and Mitigation: An informed society anticipating and responding 

to climate and its impacts; 

2. Weather-Ready Nation: Society is prepared for and responds to weather-related events; 

3. Healthy Oceans: Marine fisheries, habitats, and biodiversity are sustained within healthy 

and productive ecosystems; and 

4. Resilient Coastal Communities and Economies: Coastal and Great Lakes communities 

are environmentally and economically sustainable. 

Additional Details in FY 2012 

Collaborative Relationships for Research & Development 

FY 

2008

FY

2009

FY

2010

FY

2011

FY

2012 

● CRADAs(1), total active (2) 4 5 6 7 10 

 - New, executed 1 2 2 2 4 

 ▪ Traditional CRADAs, total active 4 5 6 7 10 

 - New, executed 1 2 2 2 4 

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

 - New, executed 0 0 0 0 0 

 

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

(1) CRADA = Cooperative Research and Development Agreement. Traditional CRADAs involve 

collaborative research and development projects by a Federal laboratory and non-federal partners. 

Non-traditional CRADAs are used for special purposes, such as laboratory accreditation, materials 

transfer or technical assistance that may result in protected information. 

(2) “Active” means an agreement in force at any time during the fiscal year. “Total active” is 

comprehensive of all agreements executed under CRADA authority (15 USC 3710a). 
 

32 

Licensing Details 

Profile of Active Licenses 

FY 

2008 

FY 

2009 

FY 

2010 

FY 

2011 

FY

2012

● All licenses, number total active(1) 6 7 6 6 5 

 ▫ New, executed 0 1 0 0 0 

 

 ▪ Invention licenses, total active 6 7 6 6 5 

 ▫ New, executed 0 0 0 0 0 

 - Patent licenses,(2) total active 6 7 6 6 5 

 ▫ New, executed 0 0 0 0 0 

 - Material transfer licenses total active 0 0 0 0 0 

 (inventions) 

 ▫ New, executed 0 0 0 0 0 

 - Other invention licenses, total active 0 0 0 0 0 

 ▫ New, executed 0 0 0 0 0 

 

 ▪ Other IP licenses, total active 0 0 0 0 0 

 ▫ New, executed 0 0 0 0 0 

 - Copyright licenses (fee bearing) 0 0 0 0 0 

 ▫ New, executed 0 0 0 0 0 

 - Material transfer licenses, total active 0 0 0 0 0 

 (non-inventions) 

 ▫ New, executed 0 0 0 0 0 

 - Other, total active 0 0 0 0 0 

 ▫ New, executed 0 0 0 0 0 

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 are not included in the count of copyright 

licenses. 

(1) “Active” means an agreement in force at any time during the fiscal year. 

(2) Patent license tally includes patent applications which are licensed. One-Time License only with onetime flat fee royalty 
 

33 

Licensing Management 

FY 

2008 

FY 

2009 

FY 

2010 

FY 

2011 

FY

2012

● Elapsed execution time,

(1) licenses granted 

 ▪ Invention licenses

 ▫ Average, months

 ▫ Minimum

 ▫ Maximum

7.0 7.0 7.0

 - Patent licenses (2)

 ▫ Average, months

 ▫ Minimum

 ▫ Maximum

7.0 7.0 7.0

● Licenses terminated for cause 

 ▪ Invention licenses 0 0 0 0 0 

 - Patent licenses (2) 0 0 0 0 0 

Data included in this table (intentionally) addresses only invention licenses, with patent licenses 

distinguished as a sub-class. 

 No new licenses were executed in FY 2008 or FY 2012. 

(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. 
 

34 

Characteristics of Licenses Bearing Income 

FY 

2008 

FY 

2009 

FY 

2010 

FY 

2011 

FY

2012

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

 ▫ Exclusive

 ▫ Partially exclusive

 ▫ Non-exclusive

0

0

4

0

0

5

0 

0 

4 

0 

0 

3 

0 

0 

3 

 ▪ Invention licenses, income bearing 4 5 4 3 3 

 ▫ Exclusive

 ▫ Partially exclusive

 ▫ Non-exclusive

0

0

4

0

0

5

0 

0 

4 

0 

0 

3 

0 

0 

3 

 - Patent licenses,(1) income bearing 4 5 4 3 3 

 ▫ Exclusive

 ▫ Partially exclusive

 ▫ Non-exclusive

0

0

4

0

0

5

0 

0 

4 

0 

0 

3 

0 

0 

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 4 5 4 3 3 

 ▪ Invention licenses, royalty bearing 4 5 4 3 3 

 - Patent licenses,(1) royalty bearing 4 5 4 3 3 

 ▪ Other IP licenses, royalty bearing 0 0 0 0 0 

 - Copyright licenses (fee bearing) 4 5 4 3 0 

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. 
 

35 

Income from Licenses 

FY 

2008 

FY 

2009 

FY 

2010 

FY 

2011 

FY

2012

● Total income, all licenses active (1) $69,007 $138,444 $35,044 $107,220 $100,867 

 ▪ Invention licenses $69,007 $138,444 $35,044 $107,220 $100,867 

 - Patent licenses (2) $69,007 $138,444 $35,044 $107,220 $100,867 

 ▪ Other IP licenses, total active 0 0 0 0 0 

 - Copyright licenses 

● Total Earned Royalty Income (ERI) (3) $69,007 $138,444 $35,044 $107,220 $100,867 

 ▫ Median ERI $9,007 $19,000 $5,000 $34,000 $9,902 

 ▫ Minimum ERI $1,000 $1,000 $1,000 $1,000 $1,000 

 ▫ Maximum ERI $25,000 $75,000 $17,044 $69,000 $89,965 

 ▫ ERI from top 1% of licenses $25,000 $75,000 $17,044 $69,000 $89,965 

 ▫ ERI from top 5% of licenses $25,000 $75,000 $17,044 $69,000 $89,965 

 ▫ ERI from top 20% of licenses $25,000 $75,000 $17,044 $69,000 $89,965 

 ▪ Invention licenses $69,007 $138,444 $35,044 $107,220 $100,867 

 ▫ Median ERI $9,007 $19,000 $5,000 $34,000 $9,902 

 ▫ Minimum ERI $1,000 $1,000 $1,000 $1,000 $1,000 

 ▫ Maximum ERI $25,000 $75,000 $17,044 $69,000 $89,965 

 ▫ ERI from top 1% of licenses $25,000 $75,000 $17,044 $69,000 $89,965 

 ▫ ERI from top 5% of licenses $25,000 $75,000 $17,044 $69,000 $89,965 

 ▫ ERI from top 20% of licenses $25,000 $75,000 $17,044 $69,000 $89,965 

 - Patent licenses (2) $69,007 $138,444 $35,044 $107,220 $100,867 

 ▫ Median ERI $9,007 $19,000 $5,000 $34,000 $9,902 

 ▫ Minimum ERI $1,000 $1,000 $1,000 $1,000 $1,000 

 ▫ Maximum ERI $25,000 $75,000 $17,044 $69,000 $89,965 

 ▫ ERI from top 1% of licenses $25,000 $75,000 $17,044 $69,000 $89,965 

 ▫ ERI from top 5% of licenses $25,000 $75,000 $17,044 $69,000 $89,965 

 ▫ ERI from top 20% of licenses $25,000 $75,000 $17,044 $69,000 $89,965 

 ▪ Other IP licenses, total active 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 & 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. 

 
 

36 

Disposition of License Income 

FY

2008

FY

2009

FY

2010

FY

2011

FY

2012 

● Income distributed (1) 

 ▪ Invention licenses, total distributed $69,007 $138,444 $35,044 $107,220 $100,867 

 - To inventor(s) $22,802

(32%)

$45,153

(33%)

$14,514 

(41%) 

$34,266 

(32%) 

$35,331 

(35%) 

 - To other $46,205

(68%)

$93,291

(67%)

$20,530 

(59%) 

$72,954 

(68%) 

$65,536 

(65%) 

 - Patent licenses, (2) total distributed $69,007 $138,444 $35,044 $107,220 $100,867 

 - To inventor(s) $22,802

(32%)

$45,153

(33%)

$14,514 

(41%) 

$34,266 

(32%) 

$35,331 

(35%) 

 -To other $46,205

(68%)

$93,291

(67%)

$20,530 

(59%) 

$72,954 

(68%) 

$65,536 

(65%) 

Invention licenses are the chief policy interest regarding disposition of income; content of 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 

FY

2008

FY

2009

FY

2010

FY

2011

FY

2012 

Journal articles published 838 789 709 1,034 1,769 

Technical reports published 258 186 161 151 250 

Publication counts have been recently updated by the NOAA Laboratories for FY 2010 and FY 2011. 

GREAT LAKES ENVIRONMENTAL 

RESEARCH LABORATORY

FY

2008

FY

2009

FY

2010 

FY

2011

FY

2012 

Website hits (HTML pages) 3,086,605 2,790,351 2,941,319 3,598,240 3,961,983 

Website downloads (PDF pages)—

brochures, research papers, technical 

memos, etc.

110,880 93,400 95,137 107,078 126,501 

Downstream Outcomes from NOAA Technology Transfer Activities 

Hail and Severe Storm Risk Management Initiative (NSSL) 

Atmospheric and Environmental Research (AER) and the National Severe Storm Laboratory 

(NSSL) are collaborating to fuel the research and development of operational weather risk 

management solutions for insurance and other industries impacted by severe storms. AER also 

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

insurance carriers to reduce loss adjustment expense and cycle times by integrating propertyspecific analytics into the hail claims workflow. 

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

in providing data-driven solutions that improve industry practice. As part of a Cooperative 

Research and Development Agreement (CRADA), NSSL provided AER access to high-
 

37 

resolution radar data across the continental United States so AER could develop value-added 

products and test the products in the insurance industry. AER in turn provided insurance industry 

feedback and quality control assessments to NSSL for inclusion back into their radar algorithms. 

Storm-related damage is a growing problem for insurance carriers and their customers. AER 

adds value through targeted scientific analysis and by building applications for business to 

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

tornadoes. The expanded real-time hail and rain capabilities complement AER’s existing services 

related to hurricanes, wildfires and other natural hazards. 

“NSSL is world renowned for their knowledge and leadership in storm observation and 

prediction,” said Paul Walsh, AER senior vice president. “Pairing this data with the insurance 

expertise and analytic capabilities within our enterprise enables AER to provide a gamechanging weather risk management capability for the insurance industry. An example is AER 

Respond which catastrophe teams can use to reduce expense and claims cycle times, determine 

resource demand and logistics, and validate the date of loss of each weather-related claim.” 

NSSL to collaborate with Willis Re Inc. on the development and validation of advanced 

radar products to estimate size and location of surface hail (NSSL) 

Radar data provide a new potential source of information for the insurance industry. One of the 

expected uses is providing a more exact estimate of the location and size of large hail that may 

be used in modeling impacts from severe storms. NSSL collects, blends, and analyzes data from 

about 150 WSR-88D radars in the 48 contiguous United States in real-time. These radar data are 

combined with environmental temperature profiles in an algorithm to estimate hail size. This 

Hail Detection Algorithm has shown improved spatial coverage accuracy over spotter reports 

collected by the NWS. However, this algorithm estimates the size and area of hail cores aloft 

(usually 10,000 ft. to 50,000 ft. above the Earth’s surface) does not specifically estimate the size 

of hail at the ground where damage to property is most likely to occur. Research will focus on 

improving the estimate of the hail size and coverage at the surface, which can differ from the hail 

areas aloft on a storm, through the use of high-resolution verification, environmental wind and 

storm type information, and new radar data types provided by the dual-polarization upgrade to 

the United States WSR-88D radar system that begins in 2011. 

To improve the hail size estimates, NSSL will collect a unique, high-resolution hail verification 

data set using techniques developed by the Severe Hazards Analysis and Verification 

Experiment. Improvement to the spatial coverage and hail size estimates require a very highresolution (1 km and 5 minutes; matching the radar data resolution) validation data set that 

includes reports of large (damaging) hail, small (non-damaging) hail, as well as the locations in 

and near a storm where no hail fell at all. Willis Re Inc. will provide feedback on the 

performance of these products as used in the insurance industry, to help improve the 

performance of the algorithm analysis. 

Willis Re Inc., (Willis) is a reinsurance intermediary and risk advisor serving insurance 

companies, corporates and public sector institutions in the U.S. Willis funds the Willis Research 

Network (WRN) program, which supports research at approximately 50 public science 

institutions in the United States and abroad to improve the quality of reinsurance, risk 
 

38 

management, and resilience for exposed populations. This CRADA is being undertaken as part 

of the WRN research program, and it is expected that this will lead to additional WRN 

connections and inputs to support the project. Willis and the WRN will provide expertise in the 

development, use, and delivery of severe weather analysis applications to the insurance industry, 

and feedback on how products may be tailored and operated to provide maximum value in 

insurance industry and the populations they serve. Willis and the WRN will also provide 

expertise and feedback on algorithm performance based on insurance claims data as available, to 

quantify any biases in size or spatial coverage and help improve algorithm performance. 

NSSL will provide expertise in the development of severe weather analysis applications based on 

data from radar and other remote sensing tools, as well as interpretation of those data sets. These 

“research-grade” products and data will be available to Willis Re Inc., and its clients and market 

partners for the purposes of improving their quality and performance and assessing the value 

they may provide to insurance industry. These “research-grade” data and products are intended 

to be used for research, development and evaluating their quality, impact and value. These 

services should not be sold as specific products, though it is understood that they will be 

distributed to clients of Willis for development, testing, and evaluation purposes. If Willis Re 

Inc. determines the products and data have value to the company such that they wish to 

commercialize them, then Willis Re Inc. will need to either purchase the real-time commercialquality data from existing vendors or procure a license and invest in the infrastructure to produce 

the real-time data apart from NSSL. NSSL will also provide expertise in the high-resolution 

validation of severe weather events. 

ESRL/GSD Software Used by U. Wisconsin and NESDIS to help develop Next-Generation 

Geostationary Operational Environmental Satellite (GOES) Products (ESRL GSD) 

Global Positioning System water vapor estimates (GPS Met) are recognized around the world as 

an accurate and reliable way of monitoring total column precipitable water vapor under all 

weather conditions. Since 2005, GPS Met data and products produced by the Forecast 

Applications Branch of the ESRL’s Global Systems Division have been used by NOAA’s 

National Weather Service in its operational numerical weather prediction models; Regional 

Forecasters and the Storm Prediction Center in their short-range weather warnings and forecasts; 

the Upper-Air Program to monitor the performance of rawinsondes and assess the quality of 

rawinsonde improvements; and the Office of Science and Technology to evaluate moisture 

soundings made by commercial aircraft during ascent from and descent into U.S. airports across 

the country. 

Most recently, software designed and developed by ESRL/GSD has been used by NESDIS and 

the NOAA Cooperative Institute for Meteorological Satellite Studies (CIMSS) at the University 

of Wisconsin-Madison’s Space Science and Engineering Center to assess next-generation data 

processing algorithms for operational and future U.S. (GOES-R) geostationary orbit 

environmental satellites. ESRL software compares Total Precipitable Water Vapor products 

produced from data acquired by operational and research satellites, as well as simulated data and 

products derived from these observations, with actual GPS Met observations made over CONUS 

in near real-time. This capability provides mission scientists, instrument designers and software 

developers with the ability to immediately assess the impact of changes in their codes and system 
 

39 

software for the first time, and allows them to evaluate the relative merits of different data 

processing schemes over long periods of time with high reliability. 

Tsunami Training (PMEL) 

The Pacific Marine Environmental Laboratory (PMEL) NOAA Center for Tsunami Research 

(NCTR) has developed and refreshed multiple training curricula to assist states and cooperating 

nations to improve tsunami readiness for their citizens. Training includes Tsunami Awareness 

aimed at emergency management, instruction in the development and implementation of tsunami 

forecast systems through the web-enabled ComMIT interface, and the award winning “Train-theTrainer” classes aimed at emergency managers and decision makers for improving tsunami 

readiness at the local level. Tsunami Awareness training and the Train-the-Trainer training are 

now provided by local groups, but continue to use materials and scenarios developed by NCTR. 

 

ComMIT Training 

A Community Model Interface for Tsunami (ComMIT) provides an easily accessible avenue to 

transfer modeling expertise and capabilities from NOAA to, and between, worldwide coastal 

constituencies, such as Indian Ocean countries. USAID and UNESCO provided funding to 

PMEL to develop ComMIT and accompanying tools now available to enable government 

agencies and regional researchers to run tsunami models, using data from local or remote 

databases, with an internet-enabled interface. Access to tools for the construction of tsunami 

inundation maps under selectable scenarios and for real-time tsunami forecast applications 

provides an easily accessible, critical tool for building tsunami-resilient communities. This 

approach allows nations without a significant cadre of trained modelers to build tsunami 

modeling capability for forecast and hazard assessment, allows nations with restrictions on 

sharing geo-spatial data to input that data locally and not share it with other web-based model 

users. Most significantly, the internet-based approach creates a virtual regional and global 

community of modelers using the same tools and approaches to understand tsunami threats all 

the while providing the capability to share information and insights among themselves. 

In 2012, ComMIT training was provided on the French Caribbean island of Guadeloupe and in 

Sydney, Australia to 32 students, bringing the total to 220 persons trained from a total of 51 

countries. Funding was provided by USAID, UNESCO, and AusAID. 

National Snow Analysis Web-based Information Portal (NWS)

The National Weather Service National Operational Hydrologic Remote Sensing Center 

(NOHRSC) hosts the National Snow Analysis (NSA) web site that distributes high resolution 

gridded snow pack state variables (e.g., water content of the snow pack, snow pack temperature) 

for the coterminous United States, Alaska, and Southern Canada. The snow pack is an 

important weather and climate feature accounting for most of the water supply in the western 

states and a major contributor to flood events in the central and eastern states. From a climate 

perspective, the snow pack is the most prominent surface feature during winter months, strongly 

influencing energy fluxes between the Earth and its atmosphere. The NSA products are widely 

used by NWS river forecast operations and in the preparation of water supply and flood outlooks, 

in Federal and state water resources decision support, by commercial sector clients whose 

enterprises are directly affected by snow, and by millions of private individuals. The NSA web 

site can be found at www.nohrsc.noaa.gov. 
 

40 

Hurricane Forecast Improvement Program (HFIP) 

HFIP provides the basis for NOAA and other agencies to coordinate hurricane research needed 

to significantly improve guidance for hurricane track, intensity, and storm surge forecasts. It also 

engages and aligns the inter-agency and larger scientific community efforts towards addressing 

the challenges posed to improve hurricane forecasts. The goals of the HFIP are to improve the 

accuracy and reliability of hurricane forecasts; to extend lead time for hurricane forecasts with 

increased certainty; and to increase confidence in hurricane forecasts. These efforts will require 

major investments in enhanced observational strategies, improved data assimilation, numerical 

model systems, and expanded forecast applications based on the high resolution and ensemblebased numerical prediction systems. 

The specific goals of the HFIP are to reduce the average errors of hurricane track and intensity 

forecasts by 20% within five years and 50% in ten years with a forecast period out to 7 days. The 

benefits of HFIP will significantly improve NOAA's forecast services through improved 

hurricane forecast science and technology. Forecasts of higher accuracy and greater reliability 

(i.e., user confidence) are expected to lead to improved public response, including savings of life 

and property. Experimental forecast guidance from various HFIP contributors is provided in a 

consolidated web-based information portal at http://www.hfip.org/products/

NOAA Atlas 14: Precipitation-Frequency Atlas of the United States – A Data Portal 

In 1953, NWS began publishing general rainfall intensity frequency duration values or 

precipitation frequency estimates. NWS precipitation frequency estimates have traditionally 

been delivered in the form of Weather Bureau Technical Papers and Memoranda as well as 

NOAA Atlases, all hard copy documents. With the advent of the World Wide Web, these 

documents have been scanned and made available via a web-based data portal. 

The National Weather Service specifically developed the Precipitation Frequency Data Server as 

the primary web portal to precipitation frequency estimates and associated information. Recent 

updates to NWS precipitation frequency are being delivered entirely in digital rather than hard 

copy form in order to make the estimates more widely available to the public and to provide the 

data in a broader and more accessible range of formats. Civil Engineers use probabilistic 

estimates of rainfall intensities for particular durations and locations for the design of a wide 

range of structures from urban storm water drainage systems to dams and spillways. More 

recently their use has extended beyond the realm of civil engineering to include a broad array of 

environmental management and analysis concerns including the Federal Emergency 

Management Administrations flood plain mapping program and the Environmental Protection 

Agency’s pollution discharge regulations. In the last 12 months, there were approximately 

300,000 data inquiries through this data portal. 

Investigating New Dissemination Technologies to Communicate NOAA Information 

NOAA/NWS has two Cooperative Research and Development Agreements (CRADA) in place 

with Weather Decision Technologies, Inc. (WDT) to investigate IP-based audio/visual streaming 

for television and web audiences. The goal is to develop new technologies to expand the reach 

of NOAA information to the public during high impact weather events. The first CRADA active 

during FY 2012 allowed WDT to collaborate with the NWS National Hurricane Center to 

provide streaming web and TV-based briefings during land-falling hurricanes. Current 
 

41 

audio/video dissemination systems were not designed to distribute feeds in a format that can 

directly connect to media servicers for public distribution. WDT’s new technology delivers 

audio/video stream to television outlets and media websites, greatly expanding the reach of 

critical information to US citizens. 

In FY 2012, NOAA (NWS Weather Forecast Office Los Angeles/Oxnard) signed a new CRADA 

with WDT, Inc. to explore use of this technology approach to enhance communication with the 

public at NWS local offices serving large population centers/media markets and the potential for 

use at regional operations centers. The research also expanded beyond that of the NHC-based 

CRADA to explore an interactive interview capability between media outlets and WFO Los 

Angeles/Oxnard. It is envisioned that the system will allow delivery of weather messages to 

threat zones where there is no direct communications links between them and the WFO. 

Prestigious Awards for NOAA’s Science and Technology received in 2012 

NOAA Patent Award for “System for Monitoring, Determining, and Reporting Directional 

Spectra of Ocean Surface Waves in Near Real-Time from a Moored Buoy" 

Dr. Chung-Chu Teng, Division Chief in NOS’s CO-OPS Office, Richard Bouchard and Dr. 

Rodney Riley, both from the NWS National Data Buoy Center (NDBC), successfully patented a 

system for “measuring spectra of surface ocean waves in near real-time.” Dr. Teng was also 

with NDBC during the time the patented work was developed. 

The patent, which was awarded in June 2012, describes a “moored buoy floating at the ocean 

surface and anchored to the seafloor precisely measur[ing] acceleration, pitch, roll, and Earth's 

magnetic flux field of the buoy over a limited sampling period.” NDBC has already received 

requests to license the new technology. 
 

42 

CHAPTER 4 

National Telecommunications and Information Administration Institute for 

Telecommunication Sciences 

Approach and Plans for Technology Transfer 

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

National Telecommunications and Information Administration (NTIA). ITS supports NTIA 

telecommunications objectives of promoting advanced telecommunications and information 

infrastructure development in the United States, enhancing domestic competitiveness, improving 

foreign trade opportunities for U.S. telecommunications firms, and facilitating more efficient and 

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

telecommunications concerns of other Federal agencies, state and local governments, private 

corporations and associations, and international organizations. 

ITS uses three principal means for achieving technology transfer: cooperative research and 

development; technical publications; and leadership and technical contributions in the 

development of telecommunications standards. 

Cooperative Research and Development 

Cooperative Research and Development Agreements (CRADAs), authorized under the Federal 

Technology Transfer Act of 1986 (FTTA), allow ITS to enter into cooperative research 

agreements with private industry, universities, and other interested parties that protect 

proprietary information, grant patent rights, and provide for user licenses to private entities. The 

FTTA provides the legal basis for, and encourages, shared use of government facilities and 

resources with the private sector, aiding in the commercialization of new products and services 

as well as enhancing the capabilities of ITS laboratories. 

In FY 2012, ITS’ efforts in technology transfer and commercialization fostered cooperative 

telecommunications research in areas where U.S. companies can directly benefit from improved 

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. CRADAs provide ITS 

with insights into industry’s needs for productivity growth and competitiveness. This enables 

ITS to adjust the focus and direction of its programs for effectiveness and value. The private 

industry partner benefits by gaining access to the results of research in commercially important 

areas that it would not otherwise be able to undertake. 

To date, major contributions to personal communication services (PCS), local multipoint 

distribution service (LMDS), ultra wideband (UWB), and Broadband over Power Line (BPL) 

technologies have been achieved through CRADAs. These have aided U.S. efforts to rapidly 

introduce new socially constructive communications technologies. More recently, CRADAs in 

the areas of objective audio and video quality, advanced antennas for wireless systems, and 

remote sensing and global position (GPS) technology have allowed ITS to contribute to the 

development of new products and services. 
 

43 

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 peer-reviewed articles in external 

scientific journals—have become standard references in several telecommunications areas. 

Technical publication remains 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). Approximately one-half of the publications 

released through the ERB process in FY 2012 were approved for external publication in 

scientific journals or conference proceedings and one half were published as NTIA reports. 

Development of Telecommunication Standards 

ITS works with industry to apply research results to the development of telecommunication 

performance standards and guidelines. For several decades, ITS has provided leadership and 

technical contributions to organizations, both national and international, responsible for 

developing telecommunication standards. ITS’s technical inputs are relied upon as technically 

advanced and sound, and as unbiased by commercial interests. 

In FY 2012 ITS worked collaboratively with the International Telecommunication Union (ITU), 

the Telecommunications Industry Association (TIA), the Alliance for Telecommunications 

Industry Solutions (ATIS), and various Federal public safety groups to interpret and analyze 

standards and regulations. This method of ITS technology transfer directly addresses 

improvement of U.S. competitiveness in telecommunications. For example, a plurality of the 

technical recommendations of the 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 (now 

ATIS), and other telecommunication standards organizations, providing technical leadership that 

is trusted by the commercial-sector participants. In FY 2012, the ATIS annual Award for 

Outstanding Contributions was presented to an ITS engineer. 

ITS released an important update to its the video quality measurement (VQM) software tools in 

FY 2012. These tools use an objective video quality measurement method, which has been made 

a national standard by ANSI, to estimate the quality of video impairments, providing users an 

inexpensive alternative to viewer panels for testing new transmission technologies. 

Also in FY 2012, ITS continued its technical leadership and contributions to communications 

standards for public safety, particularly for first responders. ITS’s primary area of contribution in 

this area has been interoperability standards, testing procedures, and multi-vendor testing venues. 

In the area of international standardization, ITS staff authored a suite of about a dozen U.S. 

technical contributions to ITU-R Study Group 3 (SG3) planning meetings for the 2015 World 

Radio Conference, firmly establishing U.S. leadership in radio propagation. ITS staff hold 

numerous key leadership positions in the ITU-R, including the U.S. Chair of SG3, International 

Chair of SG3 Working Party 3K, and U.S. Chair or Co-chair of four other Working Parties. 
 

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Additional Details in FY 2012 

Collaborative Relationships for Research & Development 

Cooperative Research and Development Agreements FY FY FY FY FY

2008 2009 2010 2011 2012

CRADAs, total active(1) 41 43 41 32 62

- New, executed 7 18 15 17 30

▪ Traditional CRADAs,(2) total active 6 31 29 23 60

- New, executed 6 10 9 10 28

▪ Non-traditional CRADAs,(3) total active 35 12 12 9 2

- New, executed 1 8 6 7 2

(1) “Active” means an agreement in force at any time during the fiscal year. “Total active” includes 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) ITS’ Telecommunications 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. FY12 is the last year 

that TA services will be offered to the public. The program language used to develop these services 

is too old and complex to update. Other service applications will be developed in the future depending 

on funding. 

The vast majority of Cooperative Research and Development Agreements (CRADA) ITS has 

entered into in the past two years and will likely continue to enter into for the next several years 

are the Public Safety 700 MHz Broadband Demonstration Agreements. These agreements allow 

vendors who intend to supply 700 MHz LTE equipment and service to public safety 

organizations to operate various elements of an LTE network in the Public Safety 

Communications Research test bed and over-the-air (OTA) network (both hosted and managed 

by ITS) in order to test interoperability of public safety communications equipment under 

simulated field conditions, with the participation of public safety practitioners. The CRADAs 

protect the intellectual property of vendors and manufacturers; encouraging participation in 

testing that simulates real multi-vendor environments in the field. 

Summary of ITS CRADAs for FY 2012: 

Type of Research Number of CRADAs

700 MHz Broadband Demonstration Network 54

Use of Table Mountain Facilities 4

Other Research 4

Total 62
 

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Licensing 

Since FY 2008, ITS no longer licenses Video Quality Metric (VQM) technology. Instead, ITS 

has made this software available via open-source download. Therefore, no licensing metrics are 

reported. Since FY 2008, approximately 1,500 users have downloaded the VQM software. 

Other Performance Measures Deemed Important by the Agency 

In 2003, ITS added a new metric under the “Other Performance Measures” category: number of 

publications approved through the Editorial Review Board (ERB) process. This metric provides 

a useful working indicator of the number of quality publications released to the public. In 2004, 

ITS added a measure for participation on standards committees. 

In 2006, ITS added another metric: the total number of hits on the publications listed on the “ITS 

Online Documents.” This metric was intended to provide a more direct indication of ultimate 

benefit to the public. Changes in the Internet environment, in particular an explosion in the 

number of “bot hits,” have rendered this metric unreliable, inflated, and meaningless. Therefore 

for FY 2012, the metric for publications was reported as unique page views of pages from which 

downloads are initiated; this served as an interim proxy for a count of actual PDF downloads, a 

metric implemented in the first quarter of FY 2013. 

In FY 2010, ITS began development of the Consumer Digital Video Library, a web site hosted 

and maintained by ITS that provides researchers access to high quality, uncompressed video 

clips royalty-free for use in video processing and video quality product development and testing. 

This is a collaborative project whose technical committee includes industry and academic, 

representatives as well as ITS and Public Safety Communications Research staff. ITS launched 

the site with 1000 clips and doubled that in FY 2011. Additional clips continue to be added by 

ITS and other collaborators. Users must register for each download or upload session, and the 

project tracks the number of registrants and the number of uploads and downloads. The number 

of registrants each year was selected as the most significant measure of the impact of this 

resource, and collection of that metric began in FY 2011, the first full year of operation. 

Other Performance Measures Deemed 

Important by the Agency

FY 

2008

FY 

2009

FY 

2010

FY 

2011

FY 

2012

Technical publications produced - ITS 15 12 12 15 13

Unique pageviews of publication abstract pages n/a n/a n/a n/a ≈2000(1)

Collaborative standards contributions 25 21 21 25 28

Consumer Digital Video Library new users n/a n/a n/a 242 187

(1) “Collection of unique page-view counts began in the middle of the second quarter; the figure given is 

annualized based on partial year counts. 
 

46 

Downstream Outcomes from ITS Technology Transfer Activities

The following are examples of downstream outcomes from ITS technology transfer efforts: 

Table Mountain Research 

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

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

year, private companies, universities and other organizations conduct research at Table Mountain 

under Cooperative Research and Development Agreements (CRADAs). The following are brief 

descriptions of some of these recent CRADAs: 

• For the past six years, the University of Colorado’s Research and Engineering Center for 

Unmanned Vehicles has conducted measurements on the performance of ad hoc wireless 

networks with both ground-based and airborne terminals at Table Mountain. 

• In FY 2012, several companies performed antenna, Light Detection and Ranging 

(LIDAR)/Global Positioning Satellite (GPS), and other testing at the Table Mountain 

turntable facility under a CRADA. 

• Lockheed Martin Coherent Technologies is in its thirteenth year of field-testing and 

characterizing components, subsystems and systems for eye-safe coherent laser radar. This 

has benefited NTIA and the Department of Defense. 
 

47 

SUMMARY

Technology transfer is an essential mission of the Department of Commerce, using our Nation’s 

innovation and investment in science and technology to strengthen our economy and 

competitiveness in world markets. This report details the results of technology partnering 

activities originating from the Department of Commerce’s Federal laboratories. Federal research 

is a complex process that provides the opportunity for new ideas and innovations to achieved 

practical application for the benefit of U.S. citizens. The success stories in this report provide 

examples of how society benefits from technology transfer activities across the Department of 

Commerce’s Federal laboratories. As knowledge advances and the needs of the economy 

change, the Department of Commerce will continue to play a role in keeping America in the 

forefront of innovation and supporting our economy by aiding in the transfer and 

commercialization of knowledge.