100 Bureau Drive, Gaithersburg, MD 20899-2200 | http://www.nist.gov

Federal Laboratory Technology Transfer

Fiscal Year 2012

Summary Report to the President and the Congress

Prepared by:

National Institute of 

Standards and Technology

U.S. Department of Commerce

December 2014

Federal Laboratory Technology Transfer Report Fiscal Year 2012 i
Cover photo credit:

Title: Nanoparticles in a Neural Cell

Two PIF imaging tools enabled researchers to prove that the 30-nanometer gold particles were actually 

inside neural progenitor cells; a new capability. The micrograph at (a) shows the cell after exposure to the 

nanoparticles. A focused ion beam was used to mill away portions of the cell to reveal the interior. Researchers 

can mill an entire cell to reveal multiple cross-sections obtaining information about nanoparticle uptake. Image 

(b) shows a cutaway view of the cell corresponding to the dotted line in (a). The arrow points to a cluster 

of nanoparticles, which were then imaged with high resolution by a helium ion microscope (c), revealing 

nanoparticles (light-colored dots) near the cell membrane. 

– Material Measurements Laboratory

Courtesy National Institute of Standards and Technology.

Credit: Jeerage/NIST 12/1/2014

ii Fiscal Year 2012 Federal Laboratory Technology Transfer Report
FOREWORD

The Department of Commerce is pleased to submit this Fiscal Year 2012 Technology Transfer Summary 

Report to the President and the Congress. This report illustrates the continuing efforts of Federal laboratories 

to ensure that the Nation’s investment in innovative research is transferred from our laboratories to the 

American people.

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

historically been at the forefront of scientific discovery, invention and technological innovation. Technology 

transfer facilitates the practical application of Federal research directly through the transfer of laboratory 

results and by providing non-federal entities opportunities to partner with Federal laboratories on innovative 

research of mutual interest. Over the years, new products, services, and the formation of new companies have 

occurred through technology transfer initiatives.

The Administration recognizes the importance of invention and technological innovation as drivers of 

economic growth and has challenged Federal laboratories to accelerate technology transfer operations 

over the next five years. This challenge was issued formally by the President on October 28, 2011, in the 

Memorandum for the Heads of Executive Departments and Agencies, entitled “Accelerating Technology 

Transfer and Commercialization of Federal Research in Support of High-Growth Businesses”. This 

Presidential Memorandum reiterated the important role of innovation in accelerating the development of 

new industries, products, and services that lead to economic growth and job creation. In addition to directing 

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

expand, where appropriate, the collection of metrics regarding the effectiveness of Federal technology transfer 

activities. This effort continues to be a major priority across agencies as described in the Lab-to-Market 

Cross-Agency Priority Goal in support of the President’s Management Agenda issued in 2014. The present 

report will help serve as a baseline to measure progress toward achieving this ambitious challenge, while 

maintaining excellence in performing mission-focused research.

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

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

achievements of Federal technology transfer and includes data on the use of specific transfer authorities. We 

will use future editions of this report to continue to keep the President and the Congress informed of the 

on-going efforts of Federal laboratories to expand our technology transfer 

efforts in partnership with U.S. industry; academic institutions; non-profit 

foundations; and state, local and tribal governments. These efforts will 

continue to play a vital role in building the Nation’s economic strength.

Willie E. May

Acting Under Secretary of Commerce for Standards and Technology

Federal Laboratory Technology Transfer Report Fiscal Year 2012 iii
This page intentionally left blank

iv Fiscal Year 2012 Federal Laboratory Technology Transfer Report
TABLE OF CONTENTS

Chapter 1 Overview of Federal Technology Transfer . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 

Federal Technology Transfer Summary 

Chapter 1 Overview of Federal Technology Transfer . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 

Federal Technology Transfer Summary 

Chapter 2 Agency Performance in FY 2012 .

Department of Agriculture (USDA) .

Department of Commerce (DOC) .

Department of Defense (DoD) .

Department of Energy (DOE)  .

Department of Health and Human Services (HHS) .

Department of Homeland Security (DHS) .

Department of the Interior (DOI) .

Department of Transportation (DOT) .

Department of Veterans Affairs (VA) .

Environmental Protection Agency (EPA) .

National Aeronautics and Space Administration (NASA) .

Chapter 3 Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9

Appendix A . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9

Appendix B . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10

Federal Laboratory Technology Transfer Report Fiscal Year 2012 v
This page intentionally left blank

vi Fiscal Year 2012 Federal Laboratory Technology Transfer Report
Chapter 1 

Overview of Federal Technology Transfer

Many Federal agencies conduct research and development activities as part of their mission that often 

result in the creation of new information, innovations, and technologies. To make effective use of their 

resources, Federal agencies leverage their research activities by partnering with other Federal agencies, as 

well as many non-federal organizations in industry; academia; the non- profit sector; and state, local, and 

tribal governments. Through these partnerships, Federal agencies are better able to effectively develop and 

transform the results of their research from the bench scale in a laboratory to new products and services 

available in the marketplace. The transfer of federally developed information and technology to industry 

promotes economic growth and benefits society. 

Federal agencies have a variety of legal authorities that are used to evaluate, protect, license, transfer, and 

monitor the utilization and commercialization of technologies. By making these technologies available 

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

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

Americans.

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

agencies that have significant Federal laboratory operations:

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

intellectual property developed in its R&D laboratories and has provided the data contained in this report. The 

Department of Commerce’s National Institute of Standards and Technology (NIST) prepared and organized 

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

Technology Transfer Principles and Approach

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

developed technologies is a high priority for Federal laboratories. Collaborations between Federal agencies 

and non-federal organizations provide leverage that promotes more efficient and timely development of new 

technologies and facilitates the creation of new information and knowledge. These collaborations create 

better access to the results of Federal agency research and play an important role in the efficient and timely 

development of innovative technologies and new products. 

• Department of Agriculture (USDA)

• Department of Commerce (DOC)

• Department of Defense (DoD)

• Department of Energy (DOE)

• Department of Health and Human Services (HHS)

• Department of Homeland Security (DHS) 

• Department of the Interior (DOI)

• Department of Transportation (DOT)

• Department of Veterans Affairs (VA)

• Environmental Protection Agency (EPA)

• National Aeronautics and Space 

Administration (NASA)

Federal Laboratory Technology Transfer Report Fiscal Year 2012 5

1
Efficient technology transfer activities of Federal agencies ensure that taxpayer investments in research and 

development significantly benefit the domestic economy. Transferring research results, know-how, and rights 

to develop, refine, use, and market new technologies developed by Federal R&D laboratories reaps many 

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

are often driven by agency-specific missions, technologies that are developed for a particular agency’s use 

might otherwise be overlooked or go unused outside the agency without the dedicated efforts of Federal 

technology transfer offices, which promote the dissemination and utilization of these technologies. 

Effective technology transfer promotes real economic growth through the development of new products, 

processes, medical treatments, services, and other benefits that serve a market need. The economic growth 

spurred by the transfer of Federal R&D creates a stronger job market, resulting from the manufacturing and 

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

successful partnerships with non-federal entities provide other benefits, including:

• Stimulating the flow of ideas between the Federal government and non-federal entities;

• Creating new businesses, especially small businesses; 

• Attracting and retaining talented scientific personnel within Federal laboratories;

• Providing support to the mission of each agency;

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

marketplace;

• Supporting further research by generating licensing revenue; 

• Rewarding innovative accomplishments of Federal employee inventors through royalty sharing; and

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

many other sectors of the economy.

Federal Technology Transfer Summary

Technology transfer involves the transition of research from the laboratory into products and services into 

the economy. Federal legislation1 provides a variety of vehicles through which technology developed with 

U.S. Government funds can be transferred to non-government entities in ways that benefit the Nation. These 

vehicles facilitate the potential commercialization of inventions produced from Federal funds, enable the use 

of Federal laboratory facilities by non-federal entities, and allow for the establishment of research partnerships 

between Federal laboratories and other entities. Federal legislation provides Federal agencies with the 

authorization to apply for patents or other forms of protection on inventions in which the Federal government 

owns a right, title, or interest. Federal agencies are also authorized to grant nonexclusive, exclusive, or 

partially exclusive licenses of patented, federally owned inventions. Agencies make the decisions to exercise 

these authorities within the context of their missions. 

1

 The primary legislation addressing Federal technology transfer includes the Stevenson-Wydler Technology Innovation Act of 1980 

(P.L. 96-480), Patent and Trademark Act Amendments of 1980 (P.L. 96-517) (Bayh-Dole Act), Small Business Innovation Development Act of 

1982 (P.L. 97-219), Federal Technology Transfer Act of 1986 (P.L. 99-502), Omnibus Trade and Competitiveness Act of 1988 (P.L. 100-418), National 

Competitiveness Technology Transfer Act of 1989 (P.L. 101-189), American Technology Preeminence Act of 1991 (P.L. 102-245), Small Business 

Research and Development Enhancement Act of 1992 (P.L. 102-564), National Defense Authorization Act for Fiscal Year 1994 (P.L. 103-160), 

National Technology Transfer and Advancement Act of 1995 (P.L. 104-113), Technology Transfer Commercialization Act of 2000 (P.L. 106-404), 

Energy Policy Act of 2005 (P.L. 109-58), and the America COMPETES Act of 2007 (P.L. 110-69). Numerous other acts indirectly affect Federal 

technology transfer activities.

6 Fiscal Year 2012 Federal Laboratory Technology Transfer Report
Every Federal agency that operates or directs one or more Federal laboratories, or that conducts research and 

development activities, is required to prepare and submit an annual report of its technology transfer activities 

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

program and include agency plans to use technology transfer to advance the agency’s mission and to promote 

U.S. competitiveness. The following figures and tables summarize Federal technology transfer activities for 

the five-year period from FY 2008 through FY 2012.2

Invention Disclosure and Patenting

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

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

potential. Federal laboratory achievements in the areas of invention disclosures and patents obtained are often 

cited as metrics of the active management of intellectual assets and technical know-how by Federal agencies. 

Between FY 2008 and FY 2012, the number of invention disclosures reported by Federal agencies increased 

by 13% to a total of 5,149 in FY 2012. The number of patent applications filed increased by 20% to 2,346, 

and the number of patents issued increased by 44% to 1,808.

DOE has reported the largest number of invention disclosures (1,661) for FY 2012, followed by NASA 

(1,582) and DoD (1,037). These three agencies accounted for 83% of all invention disclosures reported in this 

year.

DoD has reported the largest number of patent applications (888) and patents issued (667). DOE was 

second in both categories (780 and 483) and HHS was third (222 and 372). In FY 2012, these three agencies 

accounted for 81% of patent applications and 84% of patents issued. 

2

 Technology transfer data are typically adjusted over time to account for new information resulting from changes in reporting procedures, patent 

decisions, programmatic changes, etc. Throughout this report, data prior to FY 2012 have been adjusted, where necessary, to reflect the most accurate 

estimates for each year reported. 

Federal Laboratory Technology Transfer Report Fiscal Year 2012 7
Using data from the US Patent Office (USPTO), the technical areas covered by patents issued to Federal 

agencies in FY 2012 can be identified. The figure below shows the percentage of patents issued to Federal 

agencies by technology area based on a fractional count of patents.3 In FY 2012, the technical area in which 

the most patents were obtained involved Biotechnologies.4

3

 For this study, patents are credited on a fractional-count basis (i.e., for patents with assignees from multiple Federal agencies, other U.S. institutions, 

or foreign institutions, each Federal agency receives fractional credit on the basis of the proportion of its participating institution(s)). Patents assigned 

by The Patent Board’s technology area classification. Sources: National Science Foundation, National Center for Science and Engineering Statistics, 

and The Patent BoardTM, special tabulations (2013). Copyright 2013 © The Patent Board, used with permission.

4

 Definitions of all technology areas addressed are included in Appendix 1.

FY 2008 FY 2009 FY 2010 FY 2011 FY 2012

New Inventions Disclosed 4,572 4,452 4,781 5,292 5,149

Patent Applications Filed 1,952 1,957 1,841 2,159 2,346

Patents Issued 1,253 1,319 1,151 1,577 1,808

8 Fiscal Year 2012 Federal Laboratory Technology Transfer Report
14%

14%

9%

7%

4%

5% 5%

4%

4%

4%

3%

3%

3%

2%

2%

2%

2%

2%

13%

USPTO patents assigned to selected U.S. Federal agencies b

technology area: FY 2012

Biotechnology - 14% Measurement Techniques & Instrumentation - 14%

Aerospace & Defense - 9% Information Processing - 7%

Telecommunications - 5% Materials Manufacturing - 5%

Semiconductors - 4% Optics - 4%

Materials - 4% Power Generation & Distribution - 4%

Pharmaceuticals - 3% Chemicals - 3%

Electronic Components & Devices - 3% Medical Electronics - 2%

Chemical Engineering & Environmental Processes - 2% Agriculture - 2%

Automation & Control - 2% Medical Equipment - 2%

Other - 13%

Federal Laboratory Technology Transfer Report Fiscal Year 2012 9
Licensing

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

industry to invest the resources necessary to develop and commercialize nascent leading-edge technologies. 

Successful development and commercialization creates benefits to the economy and contributes to 

competitiveness and domestic economic growth. The ability to grant licenses to the non-federal sector to 

develop and commercialize government-owned technologies helps promote federally developed innovations, 

which would otherwise not be further developed into commercial products or services. The terms and 

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

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

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

Between FY 2008 and FY 2012, the number of total active licenses reported by Federal laboratories increased 

by 5% to a total of 13,405 in FY 2012. The number of invention licenses declined slightly by 0.4%. The 

number of income-bearing licenses declined by 16%, while the number of exclusive licenses increased by 6% 

to a total of 1,092. 

DOE reported the largest number of licenses (5,328), followed by NASA (4,870) and HHS (1,465). These 

three agencies accounted for 87% of all licenses reported in FY 2012.

DOE reported the largest number of invention licenses (1,428), followed by HHS (1,090) and NASA (434). 

Together these three agencies accounted for 73% of invention licenses.

DOE reported the largest number of income-bearing licenses (3,340) which was significantly higher than all 

other agencies combined. This number includes software licenses under copyright; however, while software is 

increasingly a key element of Federal laboratory R&D outputs, most other Federal agencies cannot copyright 

software developed by their employees.5 HHS was second (856) followed by USDA (379). Together these 

three agencies accounted for 84% of income-bearing licenses.

DOE reported the largest number of income-bearing exclusive licenses (344), followed by USDA (277) and 

HHS (135). Together these three agencies accounted for 69% of income-bearing exclusive licenses.

5

 Under 17 U.S.C. § 105, copyright protection is not available for any work of the United States Government.

10 Fiscal Year 2012 Federal Laboratory Technology Transfer Report
FY 2008 FY 2009 FY 2010 FY 2011 FY 2012

Licenses, Total Active 12,732 12,596 15,163 13,935 13,405

New Licenses 1,703 1,936 2,142 2,207 1,438

Invention Licenses, Total Active 4,046 3,851 4,078 3,358 4,029

New Invention Licenses 548 493 505 424 490

Income Bearing Licenses, Total Active 6,481 5,300 5,313 5,656 5,451

Income Bearing Exclusive Licenses 1,033 1,050 1,113 980 1,092

Federal Laboratory Technology Transfer Report Fiscal Year 2012 11
Licensing Income

Between FY 2008 and FY 2012, income from all licensing decreased by 3% to a total of $166.8 million. 

Income from invention licenses also declined over this period by 2% to a total of $159.1 million. 

HHS accounted for the most licensing income in FY 2012 ($110.6 million) and the most invention 

licensing income ($108.3 million) followed by DOE ($40.9 million / $36.1 million), and DoD ($7.1 

million / $6.6 million). Together these three agencies accounted for 95% of reported licensing income 

and 95% of reported income from invention licenses.

FY 2008 FY 2009 FY 2010 FY 2011 FY 2012

Total Income, all Active Licenses $171,309 $155,108 $144,186 $167,542 $166,835

Invention Licenses $162,046 $148,594 $138,729 $147,214 $159,059

Total Earned Royalty Income $117,920 $112,020 $107,677 $115,606 $119,427

12 Fiscal Year 2012 Federal Laboratory Technology Transfer Report
Collaborative Research and Development Relationships

Collaborative research and development relationships between Federal laboratories and non-federal 

collaborators are widely viewed as an effective and economical means of transferring technology and 

promoting joint research. These relationships create a mutually advantageous leveraging of Federal 

agency and collaborator resources and technical capabilities, and they provide avenues for both the 

collaborator and the Federal laboratory to gain new competencies and develop new skills. 

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

Research and Development Agreement (CRADA). The CRADA is a multifaceted mechanism that can 

be used to address several kinds of transfer and intellectual protection needs. A “traditional CRADA” 

refers to a formal collaborative research and development agreement between a Federal laboratory and 

non-federal partners. Other CRADA arrangements can address special purpose applications such as 

material transfer agreements or agreements that facilitate technical assistance activities that may yield 

information needing intellectual property protection. 

In addition to CRADAs, many agencies have other specific authorities which also facilitate cooperative 

R&D relationships such as Space Act Agreements (NASA), guest researcher agreements, etc.

Between FY 2008 and FY 2012, the number of active CRADAs increased by 27% to a total of 

8,812. During this period the number of traditional CRADAs increased by 16% to 4,288 and other 

collaborative R&D relationships increased by 70% to 21,677. 

In FY 2012, DOC reported the largest number of CRADAs (2,934), followed by DoD (2,400) and VA 

(1,510). DoD reported the largest number of traditional CRADAs (1,328), followed by DOE (742) and 

HHS (206). USDA reported the largest number of other collaborative R&D relationships (14,351), 

NASA was second (4,245 Space Act Agreements), and DOC was third (2,782).

Federal Laboratory Technology Transfer Report Fiscal Year 2012 13
FY 2008 FY 2009 FY 2010 FY 2011 FY 2012

CRADAs, Total Active 6,954 7,756 8,392 7,800 8,812

New CRADAs 2,984 3,141 3,859 4,107 5,008

Traditional CRADAs, Total Active 3,712 4,296 4,800 4,160 4,288

Other Collaborative R&D Relationships 12,719 17,649 19,138 22,396 21,677

14 Fiscal Year 2012 Federal Laboratory Technology Transfer Report
Improving Metrics 

While the metrics summarized in this report demonstrate a robust use of technology transfer mechanisms, 

there has long been a desire to expand the types of metrics being gathered and by doing so, improve our 

ability to assess the impact of Federal technology transfer upon the economy. To this end, the Federal 

Interagency Working Group on Technology Transfer (IAWGTT)6 routinely meets and discusses how 

technology transfer mechanisms and metrics can be improved. This group, which is comprised of agency 

leaders from across the Federal government, serves as a broad forum to identify and discuss best practices, 

better metrics, emerging concerns, and trends through dialogue, interagency comparisons, and experiencesharing. Through the IAWGTT, Federal agencies cooperatively discuss and review new and better means to 

improve both quantitative and qualitative measurements of technology transfer activities and other means to 

improve the dissemination of federally developed technologies. 

More recently, an even greater emphasis has been given to the tasks of improving metrics and assessing 

technology transfer impacts. On October 28, 2011, the President issued a Presidential Memorandum (PM), 

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

Businesses”,

7 that calls on Federal agencies engaged in laboratory research to establish performance goals, 

metrics, evaluation methods, and implementation plans to improve the efficacy of Federal technology transfer 

activities. In response to this directive, Federal agencies have prepared and are currently implementing plans 

for improving the monitoring and assessment of their technology transfer operations.8

Beginning in Fiscal Year 2013, improvements implemented through Federal agency plans will also be 

presented in this annual technology transfer report. 

It is anticipated that these new methods and metrics will present a broader multi-agency perspective of 

technology transfer and will contain more information on interactions with small businesses and other 

collaborative efforts that have the potential to spur scientific advances, discoveries, and innovations. These 

new methods and metrics will also provide better and more information to help inform future policy decision 

and enable Federal agencies to adjust and improve plans on a continuing basis. 

Assessing Impact

The PM also calls on agencies to develop criteria to assess the effectiveness and impact of the Nation’s economy 

of planned or future technology transfer efforts. Federal agencies have a long history of producing impact studies 

to justify budget initiatives to fund research projects and public services. For example, since 2000, NIST has 

conducted 16 economic impact studies that support a wide variety of laboratory research and standards programs.9

These studies, which have focused on benefits attributed to test methods, calibration services, reference materials, 

and other services provided by NIST, show a combined benefit-to-cost ratio of 47:1, indicating significant economic 

impact flowing from the transfer of NIST knowledge and know-how to the marketplace. 

6

 Agencies participating in the IAWGTT, established pursuant to Executive Order 12591 of April 10, 1987, include USDA, DOC, DoD, DOE, HHS, 

DHS, DOI, DOT, VA, EPA, and NASA.

7

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

8

 In response to the PM, Federal agencies prepared plans for improving their technology transfer operations, which were submitted to the Office 

of Management and Budget and to the Office of Science and Technology Policy for review. These plans are available online at http://nist.gov/tpo/

publications/agency-responses-presidential-memo.cfm

9

 See http://www.nist.gov/director/planning/summary-studies.cfm

Federal Laboratory Technology Transfer Report Fiscal Year 2012 15
Using a different approach, DoD recently published a study that assesses how Federal licensing agreements 

have contributed to new economic activity and job creation in the United States and how these licenses have 

resulted in the transition of new technologies to U.S. military use.10 In this study, more than 500 companies, 

with a total of more than 600 license agreements with DoD during the 2000-2011 time periods, were surveyed 

to determine the total sales of new products and services directly related to their DoD license agreements. 

Economic-impact assessment software was then used to simulate economic activity and forecast how these 

licensing agreements would affect economic output, value added, employment, labor income, and tax 

revenues. Total economy-wide sales, as measured by output, were estimated at $36.3 billion. Value added was 

estimated at $17.4 billion, representing new wealth creation in the economy. Employment impacts included 

163,067 jobs with an average wage of $65,000. Labor income in 2011 was estimated at $10.6 billion. The 

$13.4 billion in sales and its economy-wide effects generated approximately $2.3 billion in Federal tax 

revenues and over $1.3 billion in state and local tax revenues. 

Similarly, a 2009 study commissioned by the Navy simulated the economic impact associated with 103 

CRADA and licensing agreements between the Navy and the private sector, consisting predominately of 

companies and university partners.11 The study estimated that the combined impact from these technology 

transfer mechanisms generated $345 million in additional regional economic activity, an additional $60 

million in Federal, state, and local taxes, and were directly responsible for creating 670 jobs. 

In order to get a more comprehensive understanding of what studies have been done, NIST recently 

commissioned a review of contemporary literature dealing with efforts to assess Federal technology transfer 

activities. This study, Technology Transfer Research and Evaluation: Implications for Federal Laboratory 

Practice, by Dr. Barry Bozeman, focuses on peer-reviewed studies published between 2000 and 2012 that 

assess the impact of technologies developed in and transferred from Federal laboratories.12 

Of more than 200 technology transfer studies reviewed, only a third quantitatively assessed the impact of 

Federal technology transfer activities. These studies were grouped by four basic characteristics (who actually 

did the transfer, how they did it, what they transferred, and to whom the technology was transferred) and then 

analyzed according to a set of common traits including advantages and disadvantages of the approaches used. 

Dr. Bozeman’s study thus catalogues the various approaches that have been used to assess economic impact 

and helps identify the most efficient approaches to use when designing future impact assessment studies of 

Federal technology transfer. 

The IAWGTT will increase its efforts to evaluate the criteria for assessing economic impact and will 

coordinate efforts to promote best practices and approaches to assess the economic impact from Federal 

technology transfer activities. The results of these efforts will also be presented in future editions of this 

report.

10 See http://static.techlinkcenter.org/techlinkcenter.org/files/economic-impacts/DoD-Economic-Impact-Final-2.13.pdf

11 See http://www.ibrc.indiana.edu/studies/t2.pdf

12 Dr. Bozeman is the Arizona Centennial Professor of Public Management and Technology Policy and Director of the Center of Organizational 

Research and Design at the School of Public Affairs, Arizona State University. This paper has recently been submitted for publication.

16 Fiscal Year 2012 Federal Laboratory Technology Transfer Report
Chapter 2 

Agency Performance in FY 2012

Each Federal research and development agency prepares and submits an annual report covering data on 

technology transfer as described in 15 U.S.C. § 3710(f). These reports include details on each agency’s 

technology transfer program and plans to use technology transfer to advance the agency’s mission and 

promote U.S. competitiveness.

This chapter provides a comparable summary of the content of these eleven Federal agency reports. 

Two main topic areas are addressed: 

• Statistical data on the agency’s technology transfer activity levels for a number of measures (e.g., 

cooperative research and development relationships, invention disclosure and patenting, and 

intellectual property licensing) for the most recently closed Fiscal Year (FY 2013) and several 

prior years (chiefly, FY 2008-2012); and 

• Reported examples of successful downstream outcomes arising from the agency’s technology 

transfer activities (such as new products or improved industrial processes available in the 

marketplace that arise from the transfer and commercialization of Federal lab inventions). 

Federal Laboratory Technology Transfer Report Fiscal Year 2012 17

2
Department of Agriculture (USDA)

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

benefit. These science-based innovations from USDA intramural research --- through these public/private 

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

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

for the U.S. agriculture sector. Thus, technology transfer functions are critical to accelerating utility of public 

R&D investments, creating economic activity, creating jobs, and sustaining economic development.

Principal among the formal instruments of technology transfer are Cooperative Research and Development 

Agreements (CRADAs), patents, and invention licenses for commercialization by the private sector, as well 

as material transfer agreements with industry. In addition to these formal instruments, technology transfer 

also occurs through publications, workshops, field days, press releases, and other conventional mechanisms. 

To assist USDA in transferring technologies to the private sector, the Agricultural Research Service (ARS) 

recently created the Agricultural Technology Innovation Partnership (ATIP) program to further enhance the 

likelihood that research outcomes will be adopted by the private sector for commercialization. ATIP members 

coordinate regional, co-sponsored events with USDA, showcasing available technologies for licensing, and 

USDA intramural research capabilities available to businesses to assist in solving high priority, mission-related 

issues connected to the agricultural industries. Additionally, ATIP members provide the current or prospective 

private sector partners of USDA with access to business mentors, entrepreneur schools, seed and venture 

funds, and to NIST Hollings Manufacturing Extension Partnership (MEP) program Centers.

The ARS has been delegated authority by the Secretary of Agriculture to administer the patent program for 

ARS, the review of CRADAs, and the technology licensing program for all intramural research conducted by 

USDA. This report covers technology transfer activities and metrics for the ARS, Forest Service (FS), Animal 

and Plant Health Inspection Service’s Wildlife Services (APHISWS), Animal and Plant Health Inspection 

Service’s Veterinary Services (APHIS-VS), Animal and Plant Health Inspection Service’s Plant Protection and 

Quarantine (APHIS-PPQ), Animal and Plant Health Inspection Service’s Biotechnology Regulatory Services 

(APHIS-BRS), Animal and Plant Health Inspection Service’s International Services (APHIS-IS), National 

Institute of Food and Agriculture (NIFA), Economic Research Service (ERS), National Agricultural Statistics 

Service (NASS), Foreign Agricultural Service (FAS), Rural Development (RD), Agricultural Marketing 

Service (AMS), Grain inspection, Packers, and Stockyards Administration (GIPSA), Food Safety and 

Inspection Service (FSIS) and Natural Resources Conservation Service (NRCS). 

More information about USDA’s technology transfer activities is available on the following websites:

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

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

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

18 Fiscal Year 2012 Federal Laboratory Technology Transfer Report
USDA Invention Disclosures and Patenting

Between FY 2008 and FY 2012, the number of invention disclosures increased by 60% to a total of 160 in 

FY 2012. The number of patent applications has been relatively constant, declining by 1% to 122, while the 

number of patents issued has increased by 133% from 30 in FY 2008 to 70 in FY 2012. 

FY 2008 FY 2009 FY 2010 FY 2011 FY 2012

New Inventions Disclosed 100 143 149 142 160

Patent Applications Filed 123 123 112 121 122

Patents Issued 30 24 46 49 70

Federal Laboratory Technology Transfer Report Fiscal Year 2012 19
USDA Licenses

Between FY 2008 and FY 2012, the number of total active licenses increased by 17% to a total of 384 in 

FY 2012, while the number of invention licenses increased by 12% to 341. The number of income-bearing 

licenses increased by 16% to a total of 379, while the number of income-bearing, exclusive licenses increased 

by 18% to a total of 277. 

FY 2008 FY 2009 FY 2010 FY 2011 FY 2012

Licenses, Total Active 328 330 344 358 384

New Licenses 28 26 22 35 34

Invention Licenses, Total Active 304 302 313 322 341

New Invention Licenses 24 22 18 29 28

Income Bearing Licenses, Total Active 326 327 340 354 379

Income Bearing Exclusive Licenses 235 234 248 257 277

20 Fiscal Year 2012 Federal Laboratory Technology Transfer Report
USDA Income from Licensing

Between FY 2008 and FY 2012, income from all licensing decreased by 4% to a total of $3.81 million in FY 

2012. Income from invention licenses also declined over this period by 5% to a total of $3.67 million.

FY 2008 FY 2009 FY 2010 FY 2011 FY 2012

Total Income, all Active Licenses $3,953 $5,376 $3,641 $3,989 $3,806

Invention Licenses $3,884 $5,318 $3,566 $3,855 $3,671

Federal Laboratory Technology Transfer Report Fiscal Year 2012 21
USDA Collaborative R&D Relationships

Between FY 2008 and FY 2012, the number of active CRADAs increased by 1% to a total of 257 in FY 2012. 

During this period, the number of traditional CRADAs declined by 19% to 180. Other collaborative R&D 

relationships increased by 147% to 14,351. 

FY 2008 FY 2009 FY 2010 FY 2011 FY 2012

CRADAs, Total Active 254 259 288 300 257

New CRADAs 77 80 99 88 59

Traditional CRADAs, Total Active 223 207 218 186 180

Other Collaborative R&D Relationships 5,821 10,306 11,570 13,458 14,351

22 Fiscal Year 2012 Federal Laboratory Technology Transfer Report
Downstream Success Stories for USDA 

Replacing Antibiotics in Young Swine Feed with Natural Alternatives

Antibiotics have been fed at sub-therapeutic levels as health, growth, and efficiency promoters for more 

than 50 years and much of the swine produced in the United States receives antibiotics in their feed at some 

point during the production process; however, because of concerns over antibiotic resistance, alternatives to 

antibiotics are a high priority for United States swine producers. ARS researchers determined that feeding 

a natural antimicrobial agent called lysozyme to young pigs consuming a liquid diet was as effective as 

antibiotics in increasing growth performance, improving gastrointestinal health, and decreasing pathogen 

shedding in feces. This natural antimicrobial agent is a suitable alternative to antibiotics for young pigs 

consuming manufactured liquid diets. The identification of suitable alternatives to antibiotics will enable the 

swine industry to effectively transition away from dietary antibiotic use. Nutrition Research Unit and Meat 

Safety & Quality Research Unit, Clay Center, NE

Continuous Monitoring of the Nutritional Content of Common U.S. Foo

Monitoring the nutritional content of the U.S. food supply has been a USDA priority since 1891. The nutrient 

data compiled by this USDA program are used as the basis for national and international food policy decisions 

that link food or nutrient intake to health or disease risk and are also the basic data used for many private food 

databases. ARS researchers from Beltsville, Maryland, have released the 24th version of the National Nutrient 

Database for Standard Reference. In addition to a focus on 7,500 foods and up to 140 nutrients, a special 

interest database on flavonoid content of foods was released that will allow researchers to study the potential 

health benefits of these compounds, found in fruits, vegetables, tea, and cocoa. These databases will update 

nutritional assessment of the U.S. food supply and will ensure that nutritional policy is made using the most 

up-to-date information. National Data Laboratory, Beltsville, MD

New Decision Tool Targets Rangeland Erosion to Save Money and Conserve Soil

Soil erosion from agricultural lands and deposits of sediment into rivers and lakes are persistent 

environmental challenges that cost the United States over $6 billion every year. In collaboration with ARS 

scientists in Boise, Idaho, and Tucson, Arizona, the scientists at the Great Basin Rangelands Research Unit in 

Reno, Nevada developed a new soil prediction tool for rangelands that helps land managers predict long-term 

soil loss after individual storms. This new tool provides a way for land managers to predict where erosion 

will occur, and provides a way to assess the possible effectiveness of different conservation practices before 

soil degradation occurs. The tool has been adopted by the Natural Resources Conservation Service and is 

being used to evaluate existing conservation programs and how they can be enhanced to improve delivery of 

conservation in a more cost-effective manner by targeting areas of concern. This research contributes to the 

USDA Conservation Effects Assessment Project for western rangelands. Great Basin Rangelands Research 

Unit, Reno, NV

New Gene Inserted in Alfalfa Could Save Dairy Producers $100 Million Annually

More efficient food production will be required to meet increasing demands by a growing population. 

Reducing protein nitrogen losses in dairy operations is one strategy to improve production efficiency. ARS 

researchers identified a novel red clover enzyme and transferred the gene that encodes this enzyme to alfalfa. 

If red clover phaselic acid protection can be reconstituted in alfalfa, it is estimated that improved protein and 

nitrogen utilization would save farmers more than $100 million annually by reducing the need for purchased 

Federal Laboratory Technology Transfer Report Fiscal Year 2012 23
supplemental feed proteins. Improved efficiency could also substantially reduce nitrogen waste from cattle 

on dairies which would end up in surface and ground waters. Plants with higher levels of phaselic acid may 

also be more resistant to ultraviolet light and ozone pollution stresses, as well as stresses from insect pests and 

plant pathogens. U.S. Dairy Forage Research Center, Madison, WI

Red River Runner Peanut Variety Released

RED RIVER RUNNER (RRR) is the latest high value peanut variety released by the USDA-ARS peanut 

breeding program at the Plant Science Research Unit in Stillwater, Oklahoma. Cooperators on this variety 

release include Texas AgriLife Research and Oklahoma State University. RRR offers producers in the 

Southwestern U.S. three qualities necessary in a peanut variety for sustainable production: high-oleic fatty 

acid oil content; high yield; and superior grade. Beyond those important traits, RRR also offers moderate 

resistance to Sclerotinia blight, a fungal disease of peanut which can result in devastating yield and profit loss 

for producers. The superior grade potential of RRR is certainly the trait that makes peanut producers desire 

its production. In trials conducted in Oklahoma and Texas, RRR, when compared to all other runner varieties 

grown in the Southwestern U.S., averaged a significantly higher return by $80/acre or more. RRR is quickly 

becoming the most highly coveted runner peanut variety grown in the Southwestern U.S. with production 

limited only by seed availability. Wheat, Peanut and Other Field Crops Research, Stillwater, OK

A Salmon Line for Faster Growth and Greater Weight

Increasing harvest size and reducing the time to harvest Atlantic salmon are two goals of the salmon producers 

in North America. Commercial salmon producers in the United States utilize stocks that are not many 

generations removed from wild, unselected stocks and are legally required to culture stocks certified to be 

of North American origin. ARS researchers evaluated the growth of salmon from their breeding program in 

commercial sea cages in collaboration with industry. A salmon line selected for faster growth and greater 

weight was produced and germplasm was released to commercial producers. Utilization of improved 

germplasm will reduce the time to harvest, increase the profitability and sustainability of coldwater marine 

aquaculture in the United States, and provide a quality seafood product to U.S. consumers. National Cold 

Water Marine Aquaculture Center, Franklin, ME

24 Fiscal Year 2012 Federal Laboratory Technology Transfer Report
Department of Commerce (DOC)

Technology transfer plays an important role in 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 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 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 IAWGTT, 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 (FLC), 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. 

More information about DOC’s technology transfer activities 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/

Federal Laboratory Technology Transfer Report Fiscal Year 2012 25
DOC Invention Disclosures and Patenting

Between FY 2008 and FY 2012, the number of invention disclosures increased by 30% to a total of 52 in FY 

2012. The number of patent applications filed stayed the same at 21. The number of patents issued increased 

by 300% from 3 in FY 2008 to 12 in FY 2012. 

FY 2008 FY 2009 FY 2010 FY 2011 FY 2012

New Inventions Disclosed 40 41 34 26 52

Patent Applications Filed 21 20 20 17 21

Patents Issued 3 7 11 15 12

26 Fiscal Year 2012 Federal Laboratory Technology Transfer Report
DOC Licenses

Between FY 2008 and FY 2012, the number of total active licenses (all of which are invention licenses) 

increased by 41% to a total of 41 in FY 2012. The number of income-bearing licenses declined by 4% to a 

total of 24, while the number of exclusive licenses increased by 7% to a total of 15 in FY 2012.

FY 2008 FY 2009 FY 2010 FY 2011 FY 2012

Licenses, Total Active 29 40 46 40 41

New Licenses 2 12 7 5 6

Invention Licenses, Total Active 29 40 46 40 41

New Invention Licenses 2 12 7 5 6

Income Bearing Licenses, Total Active 25 27 28 25 24

Income Bearing Exclusive Licenses 14 15 17 15 15

Federal Laboratory Technology Transfer Report Fiscal Year 2012 27
DOC Income from Licensing

Between FY 2008 and FY 2012, income from all licensing decreased by 15% to a total of $248 thousand. 

FY 2008 FY 2009 FY 2010 FY 2011 FY 2012

Total Income, all Active Licenses $293 $336 $237 $277 $248

Invention Licenses $293 $336 $237 $277 $248

28 Fiscal Year 2012 Federal Laboratory Technology Transfer Report
DOC Collaborative R&D Relationships

Between FY 2008 and FY 2012, the number of active CRADAs increased by 23% to a total of 2,934. During 

this period, the number of traditional CRADAs declined by 19% to a total of 156, while other collaborative 

R&D relationships decreased by 1% to a total of 2,782. 

FY 2008 FY 2009 FY 2010 FY 2011 FY 2012

CRADAs, Total Active 2,390 2397 2254 2,280 2,934

New CRADAs 1,585 1,512 2,159 2,192 2,844

Traditional CRADAs, Total Active 131 101 101 133 156

Other Collaborative R&D Relationships 2,816 2,828 2,897 2,899 2,782

Federal Laboratory Technology Transfer Report Fiscal Year 2012 29
Downstream Success Stories for DOC 

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. 

Release of Two New Standards 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 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 wait 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 

30 Fiscal Year 2012 Federal Laboratory Technology Transfer Report
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.

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. 

NOAA: 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 property-specific 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-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 

Federal Laboratory Technology Transfer Report Fiscal Year 2012 31
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 game-changing 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 weatherrelated claim.”

NOAA: 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 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.

NOAA: 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 interagency 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.

32 Fiscal Year 2012 Federal Laboratory Technology Transfer Report
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/.

ITS: 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.

Federal Laboratory Technology Transfer Report Fiscal Year 2012 33
Department of Defense (DoD)

The purpose of the DoD Office of Technology Transition is to ensure, to the maximum extent practicable, 

technology developed for national security purposes is integrated into the private sector of the United States in 

order to enhance national technology and industrial base, reinvestment and conversion activities.

DoD is unique in applying the principles, practices, and tools of technology transfer in the execution of its 

mission. DOD funds and develops mission-focused technology, and technology transfer statutory authorities 

enable it to promote and facilitate the commercialization of that technology for both military and civilian 

purposes. Concurrently, DoD is a technology buyer as it strives to purchase new technology embodied in 

products and systems to meet the challenges faced by our warfighters. In many instances, technology transfer 

and technology transition are becoming a seamless path to fielding new technology critical to responding to 

the new and dynamic threats of asymmetric warfare, the global war on terrorism, and the ever-expanding 

role of civil assistance and disaster recovery worldwide. In the 1980s, when much of the technology transfer 

legislation was enacted, the Federal government, including DoD, was the principle funding source for R&D. 

Consequently, technology transfer was viewed as a “spin out” to the marketplace, a stimulus to the domestic 

economy, and a return on investment for taxpayer funded R&D. Today, the majority of U.S. R&D is industryfunded. This shift in funding has led to a greater emphasis on technology transfer as a collaborative effort 

between DoD labs and their partners in industry, academia, and state and local government. 

Each of the Military Services, Defense Agencies, and Office of the Secretary of Defense

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

The websites are:

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

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

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

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

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

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

34 Fiscal Year 2012 Federal Laboratory Technology Transfer Report
DoD Invention Disclosures and Patenting

Between FY 2008 and FY 2012, the number of invention disclosures increased by 2% to a total of 1,037 in 

FY 2012. The number of patent applications filed increased by 51% to a total of 888. The number of patents 

issued increased by 44% to a total of 667 in FY 2012.

FY 2008 FY 2009 FY 2010 FY 2011 FY 2012

New Inventions Disclosed 1,018 831 698 929 1,037

Patent Applications Filed 590 690 436 844 888

Patents Issued 462 404 304 523 667

Federal Laboratory Technology Transfer Report Fiscal Year 2012 35
DoD Licenses

Between FY 2008 and FY 2012, the number of total active licenses increased by 42% to a total of 520 in 

FY 2012, while the number of invention licenses increased by 23% to 432. The number of income-bearing 

licenses increased by 70% to 356 and the number of income-bearing, exclusive licenses increased by 71% to a 

total of 120.

FY 2008 FY 2009 FY 2010 FY 2011 FY 2012

Licenses, Total Active 365 432 397 633 520

New Licenses 52 57 50 63 44

Invention Licenses, Total Active 351 386 341 431 432

New Invention Licenses 52 57 50 63 44

Income Bearing Licenses, Total Active 210 227 134 214 356

Income Bearing Exclusive Licenses 70 78 67 51 120

36 Fiscal Year 2012 Federal Laboratory Technology Transfer Report
DoD Income from Licensing

Between FY 2008 and FY 2012, income from all licensing decreased by 56% to a total of $7.06 million. 

Income from invention licenses also declined over this period by 59% to a total of $6.55 million.13 

FY 2008 FY 2009 FY 2010 FY 2011 FY 2012

Total Income, all Active Licenses $16,057 $16,439 $13,424 $15,682 $7,055

Invention Licenses $16,048 $16,165 $13,026 $15,364 $6,552

13 In FY2012, no royalty income was received from a USU license due to ongoing litigation. This case has been settled and USU revenue of $7.8 

million which would otherwise have been received in FY 2012 will be reported in FY 2013.

Federal Laboratory Technology Transfer Report Fiscal Year 2012 37
DoD Collaborative R&D Relationships

Between FY 2008 and FY 2012, the number of active CRADAs decreased by 8% to a total of 2,400. The 

number of traditional CRADAs declined by 33% to 1,328, while the number of other collaborative R&D 

relationships which increased from 3 in FY 2008 to 988 in FY 2011, and were reported to be zero in FY 2012. 

FY 2008 FY 2009 FY 2010 FY 2011 FY 2012

CRADAs, Total Active 2,596 2,870 3,248 2,554 2,400

New CRADAs 745 659 720 762 757

Traditional CRADAs, Total Active 1,993 2,247 2,516 1,685 1,328

Other Collaborative R&D Relationships 3 1 287 988 0

38 Fiscal Year 2012 Federal Laboratory Technology Transfer Report
Department of Energy (DOE)

The Department of Energy’s 17 National Laboratories conduct world-class research in pursuit of technologies 

that will contribute to energy independence, enhance our national security, protect our environment, and 

increase our economic prosperity. 

DOE’s national scientific user facilities provide researchers with some of the most advanced, if not worldclass, tools of modern science including accelerators, colliders, supercomputers, light sources, and neutron 

sources, as well as facilities for studying the nanoworld, the environment, and the atmosphere. In Fiscal Year 

2012 over 29,000 researchers from academia, industry, and government laboratories, spanning all fifty states 

and the District of Columbia, utilized these unique facilities to perform cutting-edge scientific research.

The Department continues to be guided by the technology transfer principles established in the FY 2011 

Secretarial Policy Statement on Technology Transfer at DOE Facilities14 including: commitment to improving 

technology transfer policies and procedures; empowerment of innovators; fairness of opportunity; facilitation 

of commercialization transactions; visibility to laboratory capabilities and intellectual property; leveraging 

resources; assuring and measuring impact; streamlined processes and transparency; and sharing of best 

practices. 

Increasing stakeholder engagement was a top priority in 2012. Several initiatives were continued or 

established to support this priority including: 

• The America’s Next Top Energy Innovator15 options program;

• The creation of the Technology Transfer Working Group16, as required by the Energy Policy Act of 

2005, section 1001;

• The creation of the DOE Licensing Guide and Sample License17;

• An expansion of the Technology Transfer Portal, a one-stop resource for DOE Energy Efficiency and 

Renewable Energy (EERR) technologies18; and 

• The Agreement for Commercializing Technology (ACT)19 pilot.

More information about DOE’s technology transfer activities is available at

http://technologytransfer.energy.gov/.

DOE Invention Disclosures and Patenting

Between FY 2008 and FY 2012, the number of invention disclosures increased by 14% to a total of 1,661 in 

FY 2012. The number of patent applications filed decreased by 14% to 780, and the number of patents issued 

increased by 31% to 483.

14 http://www.energy.gov/sites/prod/files/gcprod/documents/Policy_Statement_on_TT.pdf

15 http://energy.gov/science-innovation/innovation/americas-next-top-energy-innovator/americas-next-top-energy-innovator

16 https://www.ameslab.gov/techtransfer/ttwg

17 http://technologytransfer.energy.gov/LicensingGuideFINAL.pdf

18 http://techportal.eere.energy.gov/

19 http://www.federallabs.org/flc/education/t2-mechanisms/mech-profile/?mechanism_id=185

Federal Laboratory Technology Transfer Report Fiscal Year 2012 39
FY 2008 FY 2009 FY 2010 FY 2011 FY 2012

New Inventions Disclosed 1,460 1,439 1,616 1,820 1,661

Patent Applications Filed 904 775 965 686 780

Patents Issued 370 363 480 460 483

40 Fiscal Year 2012 Federal Laboratory Technology Transfer Report
DOE Licenses

Between FY 2008 and FY 2012, the number of total active licenses decreased by 14% to a total of 5,328 

in FY 2012, and the number of invention licenses declined by 1% to 1,428. The number of income-bearing 

licenses declined by 24% to 3,340, while the number of income-bearing, exclusive licenses decreased by 8% 

to a total of 344.

FY 2008 FY 2009 FY 2010 FY 2011 FY 2012

Licenses, Total Active 6,196 5,742 6,228 5,310 5,328

New Licenses 685 755 826 822 757

Invention Licenses, Total Active 1,448 1,452 1,453 1,432 1,428

New Invention Licenses 177 139 166 169 192

Income Bearing Licenses, Total Active 4,397 3,339 3,493 3,510 3,340

Income Bearing Exclusive Licenses 372 411 462 315 344

Federal Laboratory Technology Transfer Report Fiscal Year 2012 41
DOE Income from Licensing

Between FY 2008 and FY 2012, income from all licensing decreased by 17% to a total of $40.85 million. 

Income from invention licenses also decreased by 16% to a total of $36.10 million.

FY 2008 FY 2009 FY 2010 FY 2011 FY 2012

Total Income, all Active Licenses $49,318 $43,570 $40,644 $44,728 $40,849

Invention Licenses $43,108 $40,262 $37,066 $40,600 $36,103

42 Fiscal Year 2012 Federal Laboratory Technology Transfer Report
DOE Collaborative R&D Relationships

Between FY 2008 and FY 2012, the number of active CRADAs increased by 4% to a total of 742. 

FY 2008 FY 2009 FY 2010 FY 2011 FY 2012

CRADAs, Total Active 711 744 697 720 742

New CRADAs 178 176 176 178 184

Traditional CRADAs, Total Active 711 744 697 720 742

Other Collaborative R&D Relationships 0 0 0 0 0

Federal Laboratory Technology Transfer Report Fiscal Year 2012 43
Downstream Success Stories for DOE

Desiccant-based air-conditioning uses far less energy

In 2012, the National Renewable Energy Laboratory (NREL) won an R&D100 award for its Desiccantenhanced Evaporative (DEVAP) Air-Conditioning Cycle technology. The technology was developed by 

NREL scientists along with industrial partners AIL Research and Synapse Product Development LLC. 

DEVAP cools commercial buildings at a small fraction of the energy use of a traditional cooler, provides 

superior comfort in any climate, releases far less carbon dioxide, and could cut costly peak electricity demand 

by 80 percent.

DEVAP can work in any climate, including areas that are hot and humid, by employing an innovative 

combination of air-cooling technologies to reduce energy use. It relies on the desiccants’ capacity to create dry 

air using heat and evaporative coolers’ capacity to take dry air and make cold air. 

Air conditioning currently consumes about 15% of the electricity generated in the United States and is a 

major contributor to peak electrical demand on hot summer days, which can lead to escalating power costs, 

brownouts, and rolling blackouts. DEVAP uses 40 percent to 80 percent less energy than top-of-the-line 

refrigerant-based air conditioning.

MicroPower Source

A collaboration between Sandia National Laboratory (SNL), Pacific Northwest National Laboratory (PNNL), 

Front Edge Technology, and University of California at Los Angeles (UCLA), has resulted in the development 

of the Micro Power Source, a system that integrates a lithium-ion-based solid electrolyte battery with an ultrathin PV cell, producing a self-charging battery. 

The micro power source is an ultra-small form factor, energy harvesting (self-charging) power source that 

occupies a volume of only 1μL, yet possesses a high peak-power density greater than 1,000 W/L. Originally 

funded by Defense Advanced Research Projects Agency (DARPA), the device features Sandia’s Microsystems 

and Engineering Sciences Applications fabricated ultra-thin PV cells; Front Edge Technology’s thin film 

rechargeable lithium cells and masking technique for manufacturing thin film batteries; PNNL’s ultra-thin 

sealing material; and UCLA Nanofabrication Lab’s assembly and packaging techniques. 

While DARPA’s specific applications are not available, the micro power source has the potential to 

revolutionize a number of commercial industries such as those involving handheld electronics, cyber security, 

and alternative energy. Front Edge Technology, Inc., has plans to market this product in the future. 

Sandia National Laboratories is managed and operated by Sandia Corporation, a wholly owned subsidiary of 

Lockheed Martin Corporation, for the U.S. Department of Energy’s National Nuclear Security Administration. 

Pacific Northwest National Laboratory is a multi-program laboratory managed and operated by Battelle for 

the U.S. Department of Energy’s Office of Science.

Fifteen scientists, engineers to be inducted into LLNL Entrepreneurs Hall of Fame

In October 2012, 15 former Lawrence Livermore National Laboratory (LLNL) scientists and engineers 

were inducted into the Lab’s new Entrepreneurs’ Hall of Fame (EHF). The researchers who were inducted 

developed technologies during or after their Laboratory careers that created major economic impacts and 

spawned important new companies.

44 Fiscal Year 2012 Federal Laboratory Technology Transfer Report
Once in the commercial world, the LLNL EHF inductees started 23 companies and developed about 50 

products. Four of the companies -- Cepheid, Digital Globe, Valid Logic/Cadence Design and Rambus -- 

founded or co-founded by six of the inductees have a current valuation of more than $8 billion. In addition, 

four inductees were leaders in the computer industry and computer-aided design industry in Silicon Valley, 

collectively starting 13 companies there.

Among the products invented by other inductees are the Duracell battery tester, (spawned by Lab research 

in liquid crystal plastics), the imagery used for Google Earth, the software that first enabled computerized 

automobile crash simulation (which currently saves that industry about $14 billion a year in cost avoidance, 

according to a recent report by the Council on Competitiveness) and rapid polymerase chain reaction used for 

DNA analysis.

LLNL is managed and operated by Lawrence Livermore National Security, LLC, for the Department of 

Energy’s National Nuclear Security Administration

Development of a Platinum-Chromium Alloy for Improved Coronary Stents

Scientists at the National Energy Technology Laboratory (NETL), developed platinum-chromium alloy, a 

stainless steel formulation with a significant concentration of a highly radiopaque element (platinum) which 

makes it easier for coronary specialists to see the stent in the catheter during insertion, placement, and 

expansion. This alloy also increases the stent’s corrosive resistance, strength, and flexibility—all of which 

offer positive benefits to patients and cardiovascular surgeons. The scientists from NETL worked closely 

with their counterparts from commercialization partner, Boston Scientific Corporation, to perform innovative 

alloy formulation and primary material process development. Boston Scientific utilized the improved alloy 

performance to develop new coronary stent products with superior properties compared to existing stainless 

steel stents. For their efforts, they won a 2012 Excellence in Technology Transfer from the Federal Laboratory 

Consortium for Technology Transfer. R&D Magazine recognized the team’s effort by selecting them as a 

winner of the 2011 R&D 100 Award. 

NETL is part of the U.S. Department of Energy’s (DOE) national laboratory system and is owned and 

operated by the DOE.

Federal Laboratory Technology Transfer Report Fiscal Year 2012 45
Department of Health and Human Services 

(HHS)

Research at the Department of Health and Human Services is conducted primarily by the Centers for Disease 

Control and Prevention (CDC), the Food and Drug Administration (FDA), and the National Institutes of 

Health (NIH). 

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

• CDC: http://www.cdc.gov/od/science/technology/techtransfer; 

• NIH: http://www.ott.nih.gov/; and 

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

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

complex. Traditionally, efforts to measure the effect of technology transfer activities focus on outputs such 

as the number of patents and licenses or the amount of royalties generated. However, this approach does not 

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

inventions are commercialized.

46 Fiscal Year 2012 Federal Laboratory Technology Transfer Report
HHS Invention Disclosures and Patenting

Between FY 2008 and FY 2012, the number of invention disclosures decreased by 10% to a total of 395 in FY 

2012. The number of patent applications filed increased by 47%, to 241, while the number of patents issued 

increased by 40% to 389.

FY 2008 FY 2009 FY 2010 FY 2011 FY 2012

New Inventions Disclosed 437 389 363 402 395

Patent Applications Filed 164 156 113 266 241

Patents Issued 278 397 153 320 389

Federal Laboratory Technology Transfer Report Fiscal Year 2012 47
HHS Licenses

Between FY 2008 and FY 2012, the number of total active licenses decreased by 0.8% to 1,661, and the 

number of invention licenses declined by 14% to 1,164. The number of income-bearing licenses declined by 

0.4% to 1052, while the number of income-bearing, exclusive licenses increased by 4% to a total of 155.

FY 2008 FY 2009 FY 2010 FY 2011 FY 2012

Licenses, Total Active 1,675 1,584 1,941 1,613 1,661

New Licenses 277 221 269 264 260

Invention Licenses, Total Active 1,376 1,304 1,240 414 1,164

New Invention Licenses 233 198 217 106 202

Income Bearing Licenses, Total Active 1,057 899 838 1,023 1,052

Income Bearing Exclusive Licenses 149 111 113 131 155

48 Fiscal Year 2012 Federal Laboratory Technology Transfer Report
HHS Income from Licensing

Between FY 2008 and FY 2012, income from all licensing increased by 15% to a total of $112.38 million. 

During this time period, income from invention licenses increased by 15% to a total of $108.93 million. 

FY 2008 FY 2009 FY 2010 FY 2011 FY 2012

Total Income, all Active Licenses $97,609 $85,059 $80,923 $98,453 $112,382

Invention Licenses $94,712 $83,041 $79,805 $82,842 $108,927

Federal Laboratory Technology Transfer Report Fiscal Year 2012 49
HHS Collaborative R&D Relationships

Between FY 2008 and FY 2012, the number of active CRADAs increased by 1% to a total of 459 in FY 2012. 

The number of traditional CRADAs also increased by 8% to a total of 319. 

FY 2008 FY 2009 FY 2010 FY 2011 FY 2012

CRADAs, Total Active 453 457 447 430 459

New CRADAs 83 105 83 81 110

Traditional CRADAs, Total Active 295 284 300 284 319

Other Collaborative R&D Relationships n/a n/a n/a n/a n/a

50 Fiscal Year 2012 Federal Laboratory Technology Transfer Report
Downstream Success Stories for HHS

High-Performance Instrument for Detection of Infectious Bacteria

Vivione launched its RAPID-B instrument system, a high-performance, integrated infectious disease 

detection system, developed with FDA technology. Using a multi-dimensional system of analysis, results are 

obtained faster, with less sample preparation to provide quantitative identification of live viable pathogen 

within the sample. RAPID-B includes five patented technologies invented by scientists at the Food and Drug 

Administration (FDA) National Center for Toxicological Research (NCTR) and Center for Drug Evaluation 

and Research (CDER).

Gene Therapy System Used to Treat Ultra-Rare Genetic Disease LPLD

Adeno-associated virus (AAV), which does not appear to cause harm to humans, has become a useful tool in 

approaches to treat faulty genes with gene therapy. A normal gene is spliced into the AAV and delivered to a 

patient’s cells to replace a defective gene. National Heart Lung and Blood Institute (NHLBI) scientists at NIH 

have isolated several strains of the virus to which NIH holds patents. NIH has licensed the virus vector system 

broadly. UniQure took a non-exclusive license to the AAV vector for use with their proprietary technology 

resulting in a gene therapy product, Glybera, for treating lipoprotein lipase deficiency (LPLD), an ultra-rare 

disease. LPLD patients are unable to break down fat molecules resulting in their accumulation in the blood 

and recurrent acute pancreatitis. Glybera is the first product to treat LPLD and the first gene therapy product 

to receive European regulatory (EMEA) approval. The U.S. FDA regulatory filing is pending. 

Heat Inactivated Rotavirus Vaccine Being Developed to Meet Global Health Needs

Center for Disease Control and Prevention (CDC) scientists have developed a heat inactivated rotavirus 

vaccine that has been broadly licensed for evaluation and development to companies in the U.S., Europe, 

China, India and Vietnam. Rotavirus is the single most important cause of severe diarrhea among children 

throughout the world and is responsible for millions of hospitalizations and an estimated 527,000 deaths 

per year, with 85% of these deaths occurring in developing countries. Live oral rotavirus vaccines have 

demonstrated good efficacy against severe rotavirus diarrhea in clinical trials conducted in the Americas and 

Europe; however, an effective vaccine is most needed in lower income countries. This inactivated rotavirus 

vaccine is an alternative approach to such live oral vaccines to ensure that the best vaccines are developed for 

resource-limited settings. 

Gene Diagnostic Test for Risk of Developing Cervical Cancer

NIH licensed to Quest Diagnostics a patented diagnostic technology for cervical cancer, the TERC gene 

marker, invented by scientists at the National Human Genome Research Institute (NHGRI). Under this 

nonexclusive license, Quest has launched a new test to identify molecular changes to cervical cells that 

increase the likelihood a woman may develop cervical cancer. Having received results from this test, 

physicians will be better able to identify women who are at increased risk of developing cancer after receiving 

unclear results for cervical cancer risk from other standard tests. 

Federal Laboratory Technology Transfer Report Fiscal Year 2012 51
Product Showcase of Technologies Brought to Market from NIH Inventions

NIH has created a Product Showcase (http://www.ott.nih.gov/product-showcase) that displays products from 

its intramural research program utilized every day to detect, treat or prevent disease or assist researchers as 

they continue to explore ways to develop newer and more effective health care products and procedures. The 

Showcase includes products that are now or have been in the past on the market. Some are FDA-approved and 

many are outside the scope of FDA regulations, e.g. those not used in humans or as human diagnostics.

52 Fiscal Year 2012 Federal Laboratory Technology Transfer Report
Department of Homeland Security (DHS)

The DHS’s Office of Research and Technology Applications (ORTA) is housed in the Science and Technology 

Directorate. The ORTA is responsible for developing and instituting policies to facilitate technology transfer 

in accordance with 15 U.S.C. § 3710 throughout DHS and its laboratories. The ORTA’s responsibilities 

include:

• Standardizing and approving DHS Cooperative Research and Development Agreements (CRADAs), 

licensing, and other technology transfer agreements;

• Preparing application assessments for selected research and development projects in which the DHS 

Laboratory is involved and may have commercial application;

• Providing and disseminating information on federally owned or originated technologies which have 

potential application to State and local governments and private industry;

• Preparing and providing an annual report to Congress and the President through submission to the 

National Institute of Standards and Technologies (NIST);

• Developing training programs on technology transfer and intellectual property for DHS employees; and

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

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

More information about DHS technology transfer activities is available on the following website:

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

Federal Laboratory Technology Transfer Report Fiscal Year 2012 53
DHS Invention Disclosures and Patenting

Between FY 2008 and FY 2012, the number of invention disclosures increased by 300% to a total of 40 in FY 

2012. The number of patent applications filed, which lags the number of new invention disclosures, increased 

from 0 to 10. No patents were issued in FY 2011 and FY 2012. 

FY 2008 FY 2009 FY 2010 FY 2011 FY 2012

New Inventions Disclosed 10 32 7 38 40 

Patent Applications Filed 0 2 2 12 10 

Patents Issued 1 2 1 0 0 

54 Fiscal Year 2012 Federal Laboratory Technology Transfer Report
DHS Licenses

Between FY 2008 and FY 2012, the number of total active licenses increased 18 to 532. No invention 

licenses or income-bearing licenses were reported. 

FY 2008 FY 2009 FY 2010 FY 2011 FY 2012

Licenses, Total Active 18 63 458 495 532

New Licenses 0 45 458 418 37

Federal Laboratory Technology Transfer Report Fiscal Year 2012 55
DHS Licensing Income

DHS reports no licensing income between FY 2008 and FY 2012.

DHS Collaborative R&D Relationships

Between FY 2008 and FY 2012, the number of active CRADAs increased by 409% to a total of 94. 

During this period, the number of traditional CRADAs increased by 424% to 89, and the number of other 

collaborative R&D relationships increased by 367% to 11.

FY 2008 FY 2009 FY 2010 FY 2011 FY 2012

CRADAs, Total Active 23 23 36 62 94

New CRADAs 8 6 14 31 53

Traditional CRADAs, Total Active 21 22 32 55 89

Other Collaborative R&D Relationships 3 5 3 11 11

56 Fiscal Year 2012 Federal Laboratory Technology Transfer Report
Downstream Success Stories for DHS

Radiological Emergency Management System (REMS)

The Radiological Emergency Management System (REMS) is a post-event gamma radiation sensor network 

designed for response and recovery after an accidental or deliberate release of radiation in an urban area. 

History has taught that advance planning, coupled with the availability of accurate, real-time information 

about an emergency incident, can significantly enhance response capabilities. It is to this end that REMS was 

conceived, pilot-tested, commercialized, and deployed in New York City.

Organized under the U.S. Department of Homeland Security’s Science and Technology Directorate, the 

National Urban Security Technology Laboratory (NUSTL) is a Federal Laboratory located in New York City. 

The Laboratory formed the idea for REMS shortly after the events of September 11, 2001, when NUSTL 

scientists and engineers began investigating potential designs for the system. 

Over a six-year period, the Lab conducted a pilot of a small REMS network comprising sensors located on 

rooftops of buildings in Manhattan. The success of the pilot led the New York Police Department (NYPD) 

to commit to a City-wide implementation of REMS. To support this large-scale deployment, NUSTL’s 

concept and design were commercialized via a CRADA with a major instrument manufacturer. REMS is an 

allowable equipment expenditure under FEMA’s Authorized Equipment List and so DHS funds can be used 

for acquisition by NYPD or other state/local/tribal/territorial agency. 

Currently, numerous REMS sensors are installed on buildings throughout the City in a staged deployment. 

Each sensor in the REMS network continuously measures environmental radiation levels and sends real-time 

data to a central command center. REMS sensors also provide gamma spectroscopy data used to identify 

the isotope responsible for the radiation. In the event of a radiation release, the system provides emergency 

managers with a single picture of the threat early in the incident. Specifically, the system informs emergency 

managers of radiation levels before responders enter an affected area, provides guidance on which areas to 

evacuate versus shelter-in-place, and offers officials timely information about potential radiation exposure. By 

communicating exposure information to the public early on, officials can reduce unnecessary evacuations and 

panic. Additionally, data from REMS can be used to predict the path of a radioactive plume when integrated 

with an atmospheric plume dispersion model, enabling advance warning to affected areas. Not only does 

REMS serve life-saving purposes, but the system also enables economic recovery by preventing unnecessary 

evacuations and expediting the return of residents to areas of the City that are deemed safe.

NYPD currently owns and operates its own REMS network, for which NUSTL continues to provide technical 

expertise and services in support of system implementation and operation. NUSTL performs independent 

testing of the sensors before they are installed and has developed a comprehensive test plan to ensure proper 

operation of the sensors, communications, and system software. NYPD considers NUSTL to be a valuable 

and essential partner, and Laboratory staff often advises them on issues from the selection of optimal sensor 

locations to the advanced interpretation of radiation data during an emergency. The successful partnership 

experience of NUSTL and New York City with REMS provides a model for expansion of post-event radiation 

detection systems to other cities.

Federal Laboratory Technology Transfer Report Fiscal Year 2012 57
 Transportation Security Laboratory (TSL) Innovation Initiative 

The Transportation Security Laboratory (TSL) Business Office launched an initiative to capture intellectual 

property and encourage a culture of innovation at TSL. TSL’s Technology Transfer Specialist worked with an 

attorney loaned by the Science and Technology Directorate to identify 34 patent initiatives during 2011-2012. 

TSL’s efforts in technology transfer were recently recognized by the Federal Laboratory Consortium (FLC): 

TSL was selected as the winner of the 2012 FLC Northeast Region Laboratory Award, which recognized 

extraordinary efforts, which exceed legislated requirements, in the furtherance of national and regional 

technology transfer activities. A panel of technology transfer experts from the FLC chose TSL’s nomination as 

the best example of technology transfer at work in the region.

TSL has formalized a new process to aid industry in the development of technology. TSL’s Technology 

Optimization Partnerships (TOPs) process is a public-private partnership designed to expedite the maturation 

and deployment of technologies. The TOPs-centered improvement to TSL processes and the new emphasis 

on technology transfer has increased the number of TSL CRADAs. TSL has increased the number of 

collaborative agreements with partners throughout the Nation and with foreign enterprises.

In support of the Technology Transfer Program, the Director of the TSL provided a dedicated TSL employee 

to work on Technology Transfer not only with industrial partnerships, but with technology developed by 

personnel within the Transportation Security Laboratory. An initial step taken was to develop a partnership 

with the S&T legal team for a member to come to the TSL frequently to educate the scientists and engineers 

on the legal requirements for patents, inventions, and disclosures such that intellectual property could be 

protected, shared, and commercialized. Several group and individual meetings have been and continue to 

be held with the technical team at TSL to initiate invention/disclosure process. The TSL provided incentives 

for filing patent disclosures to TSL scientists, and helped foster the sense of accomplishment and prestige 

associated with disclosure. TSL has identified 34 patent initiatives during the last year, which was a 600% 

increase from the previous year. This includes intellectual property ranging from novel methods to interface 

orthogonal explosives detection technology for better detection, to the development of suites of non-toxic, 

inert explosive simulants that can be used for a wide variety of technologies, to novel methods for stand-off 

detection of explosives using active millimeter waves, and new sampling devices designed to sample trace 

amounts of explosive residues from shoes or shipping containers.

Foot-and-Mouth Disease Vaccine Cooperative Research and Development Agreement 

The Department of Homeland Security’s Science and Technology Directorate (DHS S&T) Plum Island 

Animal Disease Center (PIADC) entered into a Cooperative Research and Development Agreement (CRADA) 

with Inovio Pharmaceuticals to assess Foot-and-Mouth Disease (FMD) synthetic vaccines’ potential to help 

ensure U.S food supply safety. Inovio’s patented SynCon® vaccines cannot cause FMD, thus providing a 

safe approach to potentially protect against FMD and reduce its serous impact on global food supply and 

commerce. Leveraging Inovio’s SynCon® vaccines in combination with Inovio’s proprietary CELLECTRA® 

vaccine delivery method to advance infectious disease and cancer products for human medicine, the DHS 

S&T -PIADC CRADA goal is to rationally design and evaluate SynCon® FMD vaccines to protect swine 

against FMD.

58 Fiscal Year 2012 Federal Laboratory Technology Transfer Report
As a result of this ongoing partnership, key milestones were achieved during FY12:

• DHS S&T PIADC and Inovio scientists designed SynCon® FMD vaccine candidates for two different 

FMD virus serotypes; and

• Initial studies in mice demonstrate SynCon® FMD vaccine candidates induced functional immune 

responses in mice.

The FMD SynCon® vaccine candidates are currently undergoing proof-of-concept efficacy studies in the 

DHS S&T PIADC BSL-3 containment facilities. If successful, this DNA vaccine-based technology (using 

the CELLECTRA® vaccine delivery system previously approved for use in swine) will be the focus of 

strong commercial interest from global veterinary medicine biopharmaceutical companies interested in 

manufacturing next generation FMD vaccine without the need for high biocontainment production facilities.

Federal Laboratory Technology Transfer Report Fiscal Year 2012 59
Department of the Interior (DOI)

Technology transfer for DOI includes a range of activities designed to disseminate scientific and technical 

information and knowledge between DOI and other Federal and non-federal entities. It includes but is not 

limited to: publications, exchange of scientific and technical information, protecting and licensing intellectual 

property rights, and sharing (or otherwise making available for scientific or technical purposes) the expertise 

and specialized scientific material and resources which DOI manages. In general, technology transfer 

activities within DOI are consistent with its mission to protect and manage the Nation’s natural resources 

and cultural heritage; to make available scientific and other information about those resources; to honor trust 

responsibilities to Tribes; and to supply energy for the future. 

The FY 2012-enacted budget for DOI included $822.2 million for research and development. Much of the 

funding was for applied research ($650.9 million), while basic research and development received $55.5 

million and $115.8 million, respectively. The programs supported through these funds generate large amounts 

of knowledge, information, and technology, which help Interior meet its mission objectives and are transferred 

to resource managers, stakeholders, and the general public.

DOI’s bureaus have varying levels of involvement with scientific and technical research and innovation, and 

technology transfer. In FY 2012, as in previous years, the majority of technology transfer activities being 

reported by the Department under the Federal Technology Transfer Act of 1986 (FTTA), was undertaken by 

the U.S. Geological Survey (USGS). It is the largest R&D organization within DOI, both in terms of budget 

and personnel, and typically accounts for 80% of DOI’s R&D budget.

DOI’s scientists, engineers and other technical personnel advance the state of knowledge related to DOI’s 

resources, and ensure that this information is accessible to resource managers, private industry, and the 

general public. The vast majority of DOI’s technology transfer activities use traditional technology transfer 

mechanisms such as publications of peer-reviewed papers and reports, webpage postings, and presentations at 

meetings and conferences. In 2012, USGS and U.S. Fish and Wildlife Service (FWS) personnel, for example, 

authored or co-authored over 2,300 reports, books, fact sheets, and other publications, including over 1,300 

scientific journal articles. Bureaus also use other conventional approaches to share scientific and technical 

resources and expertise with each other, universities, and other entities to address resource management issues. 

For example, several are active participants in the network of Cooperative Ecosystem Studies Units (CESUs), 

a collaboration among 13 Federal agencies (including six DOI bureaus) and over 300 non-federal partners 

(including universities, Tribes and tribal organizations, State agencies, museums, aquariums, arboretums, and 

conservation organizations) organized into 17 CESUs, each hosted by a university.

Bureaus that are active in research and development, or have research capabilities that complement U.S. 

commercial interests, may also utilize technology transfer agreements authorized by the FTTA to join forces 

with non-federal partners. Such agreements allow DOI’s bureaus and private sector industries to pool their 

expertise and resources to jointly create and advance technologies that help fulfill agency missions while 

helping U.S. industries innovate and commercialize technologies that can strengthen our national economy 

and create jobs. This report focuses primarily on the aspects of technology transfer related to the FTTA.

60 Fiscal Year 2012 Federal Laboratory Technology Transfer Report
Departmental Plan on Technology Transfer

In response to the 2011 Presidential Memorandum, DOI submitted a plan in 2012 that commits to:

• Developing a Departmental Manual chapter specifying general policies for implementing technology 

transfer activities authorized by the FTTA, and related legislation;

• Revising the current Departmental Manual chapter on patents and inventions that dates to the 1980s;

• Developing an online repository of documents and legal templates detailing best practices for 

technology transfer agreements and activities from around the government and elsewhere;

• Submitting annually to OMB consolidated reports on technology transfer activities and achievements, 

including analysis of trends in these activities;

• Developing a unified website to improve public access to information related to inventions owned by 

the various bureaus, and other technology transfer activities; and

• Developing materials to train bureau R&D personnel in technology transfer activities, including training 

on relevant ethics and legal issues.

More information about DOI technology transfer activities is available at

http://www.doi.gov/techtransfer/index.cfm.

Federal Laboratory Technology Transfer Report Fiscal Year 2012 61
DOI Invention Disclosures and Patenting

In FY 2012, DOI reported 10 invention disclosures, 3 patent applications filed, and 3 patents issued. 

FY 2008 FY 2009 FY 2010 FY 2011 FY 2012

New Inventions Disclosed 7 4 5 5 10

Patent Applications Filed 7 8 7 2 3

Patents Issued 1 4 5 1 3

62 Fiscal Year 2012 Federal Laboratory Technology Transfer Report
DOI Licenses

Between FY 2008 and FY 2012, total active licenses increased by 37% to 26, invention licenses increased by 

34% to 24, income-bearing licenses increased by 38% to 22, and exclusive income-bearing licenses increased 

by 140% to 12.

FY 2008 FY 2009 FY 2010 FY 2011 FY 2012

Licenses, Total Active 19 21 28 25 26

New Licenses 1 4 4 2 1

Invention Licenses, Total Active 18 18 23 23 24

New Invention Licenses 1 3 3 2 1

Income Bearing Licenses, Total Active 16 18 19 22 22

Income Bearing Exclusive Licenses 5 4 5 3 12

Federal Laboratory Technology Transfer Report Fiscal Year 2012 63
DOI Income from Licensing

Between FY 2008 and FY 2012, DOI reported a 1% decrease in total income to $78,000.

FY 2008 FY 2009 FY 2010 FY 2011 FY 2012

Total Income, all Active Licenses $79 $89 $80 $93 $78

Invention Licenses $79 $89 $80 $93 $78

64 Fiscal Year 2012 Federal Laboratory Technology Transfer Report
DOI Collaborative R&D Relationships

Between FY 2008 and FY 2012, DOI reported a 123% increase in the number of active CRADAs to a total 

of 379 in FY 2012. During this period, the number of traditional CRADAs declined by 15% to a total of 28, 

while the number of other, non-CRADA collaborative R&D relationships in FY 2012 was 283.20

FY 2008 FY 2009 FY 2010 FY 2011 FY 2012

CRADAs, Total Active 170 248 436 351 379

New CRADAs 98 74 82 295 284

Traditional CRADAs, Total Active 33 36 29 22 28

Other Collaborative R&D Relationships 0 0 0 209 283

20 Other Collaborative R&D Relationships were not reported prior to FY 2011

Federal Laboratory Technology Transfer Report Fiscal Year 2012 65
Downstream Success Stories for DOI 

Improving Earthquake Hazard Assessments

The USGS Earthquake Program has a long running CRADA with the Pacific Gas and Electric Company 

(PG&E), a publicly regulated utility providing service within California, to help reduce the impact of future 

earthquakes on the performance of the latter’s gas and electric systems, and to maintain acceptable levels of 

customer service. The PG&E CRADA, which complements the USGS Earthquake Program, is carried out 

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

and Marine, California Water, and Geologic Hazards). In one particular project under the CRADA, the USGS 

and PG&E produced new geophysical data as part of the Diablo Canyon Power Plant (DCPP) Long Term 

Seismic Program. Following identification of the Shoreline fault zone offshore the DCPP in 2008, PG&E 

embarked on a two-year study to more completely evaluate the geologic and seismologic characteristics of the 

Shoreline fault zone and assess the ground motion hazard at the DCPP. The data and results were reported by 

PG&E to the U.S. Nuclear Regulatory Commission (NRC) in 2012. The researchers are now performing reassessments of hazards with the NRC.

Treating Flesh-Eating Bacteria

The USGS co-owns with Arizona State University an invention relating to synthetic antibacterial compositions 

having clay-like properties and a method of using these compositions to topically treat skin infections and skin 

diseases caused by certain types of bacteria, including antibiotic-resistant bacteria. The clay composition kills 

the bacteria or compromises their ability to grow or reproduce. 

Conventional antibiotics have been increasingly ineffective at treating certain bacterial infections of the 

skin due to resistant bacteria. Past studies have documented the use of natural, medicinal clays in the Ivory 

Coast for effectively counteracting Buruli ulcers, which are caused by flesh-eating bacteria. This suggests 

that medicinal clays may provide a means of effectively counteracting skin bacterial infections. While earlier 

studies indicated that the flesh-eating bacteria succumbed to a type of medicinal clay, specific guidance to 

identify which clays possess antibacterial properties was lacking, as was an understanding of the mechanism 

behind the clay’s antibacterial activity. The inventors studied many different natural clays and clay minerals 

to determine factors that make clay toxic to bacteria. Through extensive research, the inventors identified a 

reducing agent (pyrite) and the concentration at which, in fine particle form, it renders certain natural clays 

antibacterial. This invention provides a method for identifying a natural clay having bactericidal activity in its 

natural form and provides formulations of reducing agents such as pyrite and marcasite and clays to impart a 

bactericidal effect.

In FY 2012, USGS continued to experiment with clays by transforming non-therapeutic clay into therapeutic 

clay, which was provided free to third parties in exchange for feedback on its efficacy. Anecdotal information 

suggests that it may be effective for treating horses infected by flesh eating bacteria. 

Rapid Mapping and Characterization of Hydrocarbon and Dispersant Plumes in Seawater 

The April 2010 Deepwater Horizon oil spill in the Gulf of Mexico highlighted the need for tracking undersea 

hydrocarbon plumes and understanding their impacts over the long term. At present, there is no good method 

of tracking the remnants of such huge pollution events or their long term impacts, since divers can rarely 

descend below 100 meters, and visibility via remotely-operated underwater vehicles is poor. In addition, 

there are over 6,600 active or removed oil platforms in the Gulf of Mexico alone and each connects to a huge 

66 Fiscal Year 2012 Federal Laboratory Technology Transfer Report
network of pipelines lying on or just below the seafloor. Many of them are old, corroded, or damaged by 

hurricanes and are known to be leaking. To protect coastline and marine environments, new technologies are 

needed to detect, map, and characterize undersea hydrocarbon plumes and to predict their movements. 

The USGS owns an invention that tracks undersea hydrocarbon plumes by using oil’s ability to serve as a 

dielectric insulator. A voltage applied across a dielectric insulator induces a charge in the latter. The magnitude 

of this charge depends on the “capacitance” of the dielectric. [The capacitance is a measure of the electrical 

charge that can be induced per volt applied.] A mixture of seawater and oil also serves as a dielectric. The 

greater the dispersal of the hydrocarbons in the seawater the greater the induced charge. An oscillating voltage 

signal in polluted seawater causes a varying response whose frequency depends on the size and density of the 

oil droplets.

The measurement device consists of a towed electrical transmitter-sensor streamer array having three or more 

streamer cables that is pulled through the water column at three or more depths to detect hydrocarbons in the 

seawater column by measuring seawater capacitance. This permits immediate development of detailed maps 

measuring seawater capacitance, such that hydrocarbon plumes in seawater can be mapped and characterized, 

including their location and movement, for better environmental control and management. 

Following successful laboratory studies that indicate that variations of this method can be used to efficiently 

map hydrocarbon plumes in 3-D in the deep ocean. The device is now being further tested under a Technical 

Assistance Agreement with Williamson & Associates, Inc. of Seattle, WA and Zonge International, Inc. of 

Tucson, AZ.

Water Purification Technologies

Ensuring access to the quantity and quality of water needed to support growing economies, societies, and 

overall quality of life is a national and international challenge. New and improved desalination technologies 

are central to meeting this challenge. U.S. industries are currently world leaders in manufacturing desalination 

technologies. Desalination technologies are not only tools to convert seawater into useable waters, but also to 

treat traditional and non-traditional sources of inland waters for a variety of uses. Pooling the know-how and 

research capacity of Federal and U.S. private sector companies is vital to maintaining and growing the U.S.’s 

world-wide leadership position in this vital area and meeting the growing needs for water in the U.S. and 

abroad. 

During 2012, Reclamation entered into a Material Transfer Agreement (MTA) with Dow Chemical Company 

(Dow) to evaluate Reclamation’s recently patented desalination membrane to purify water while resisting 

chlorine degradation. A significant deficiency of industry-standard desalination membranes is their poor 

ability to resist chlorine degradation. This is important because chlorine dosing is vital to the water treatment 

process in order to prevent membrane biofouling. Chlorine is also commonly found in the water that has to be 

treated by desalination membranes.

Under the agreement, Reclamation provided Dow with its patented chemical membrane formulation to 

manufacture a set of full-scale membranes for prototype testing. Dow provided their manufacturing knowhow and capability to scale-up the Reclamation formulation into the full size membranes and also provided a 

set of the current Dow industry-standard membranes for comparison testing. The membranes were tested by 

Reclamation at Reclamation’s Yuma Area Office-Water Quality Improvement Center. Results indicate the new 

Federal Laboratory Technology Transfer Report Fiscal Year 2012 67
Reclamation formulation performed well, but did not exceed that of the Dow industry standard. The patented 

Reclamation formulation has many derivations and patent applications for additional new formulations were 

filed by Reclamation during 2012. Reclamation and Dow are now considering an expanded collaborative 

agreement to jointly evaluate and test a broader spectrum of Reclamation’s formulations. 

Controlling Invasive Mussels

Starting in 2009, Reclamation partnered with Marrone Bio Innovations (MBI) under a Cooperative Research 

and Development agreement (CRADA) to test and improve Marrone’s molluscicide — Zequanox® — a 

biopesticide product made from a dead, naturally occurring soil microbe called Pseudomonas fluorescen. 

Controlling quagga mussels that have recently invaded the Colorado River and other western water bodies is 

a high priority for Reclamation and other Western water managers. These mussels have clogged many closedsystem water delivery and cooling systems across the network of Reclamation and other western water storage 

and delivery infrastructure. Under the CRADA, MBI funded Reclamation to help test multiple formulations 

of Zequanox in closed water systems at Davis Dam on the Colorado River during FY2012. The CRADA 

objective was to fine-tune product formulations, delivery systems, and application rates under prototype field 

conditions to accelerate the development of a commercial product that could be transferred and deployed 

across typical water infrastructure and operational settings. Reclamation’s CRADA contributions included the 

use of facilities and expert assistance from Reclamation’s quagga mussel research team to collaborate with the 

MBI research staff. 

In FY 2012, the U.S. Environmental Protection Agency (EPA) approved a dry formulation of Zequanox® 

under the Federal Insecticide, Fungicide, and Rodenticide Act (FIFRA) as an EPA registered biological 

product for controlling invasive mussels within enclosed systems and infrastructures (registration number 

84059-15). The objective of FIFRA is to provide Federal control of pesticide distribution, sale, and use. All

pesticides used in the United States must be registered by EPA. Registration assures that pesticides will be 

properly labeled and that, if used in accordance with specifications, they will not cause unreasonable harm 

to the environment. Use of each registered pesticide must be consistent with use directions contained in any 

labeling. 

68 Fiscal Year 2012 Federal Laboratory Technology Transfer Report
Department of Transportation (DOT)

DOT is the Federal steward of the Nation’s transportation system. DOT consists of multiple modal Operating 

Administrations, which carry out mission-related Research, Development and Technology (RD&T) programs 

in support of the DOT strategic goals: Safety; Livable Communities; State of Good Repair; Economic 

Competitiveness; and Environmental Sustainability. In 2004, the Research and Innovative Technology 

Administration (RITA) was charged by its enabling legislation (Public Law 108-426, November 30, 2004 

(118 STAT. 2423)) with coordination of DOT-wide RD&T and technology transfer activities. In the Omnibus 

Bill of 2014, RITA was elevated to the Office of the Secretary and given a new name – the Office of the 

Assistant Secretary for Research and Technology.

Technology Transfer activities are executed by the following DOT laboratories: 

Federal Aviation Administration (FAA): The FAA’s Federal laboratory is the William J. Hughes Technical 

Center located at the Atlantic City International Airport, New Jersey; Federal Highway Administration 

(FHWA); The FWHA’s Federal laboratory is the Turner-Fairbank Highway Research Center (McLean, VA); 

Office of the Assistant Secretary for Research and Technology; and the John A. Volpe National Transportation 

Systems Center (Volpe Center, Cambridge, MA). 

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

• FAA http://www.faa.gov/about/office_org/headquarters_offices/ang/offices /tc/initiatives/ttp/;

• FHWA http://www.fhwa.dot.gov/everydaycounts/; and

• OST http://www.volpe.dot.gov/ourwork/techtrns.html.

Federal Laboratory Technology Transfer Report Fiscal Year 2012 69
DOT Invention Disclosures and Patenting

DOT reported two new invention disclosures and one patent application filed in FY 2012.

FY 2008 FY 2009 FY 2010 FY 2011 FY 2012

New Inventions Disclosed 3 3 1 2 2

Patent Applications Filed 2 2 2 2 1

Patents Issued 4 1 2 0 0

70 Fiscal Year 2012 Federal Laboratory Technology Transfer Report
DOT Licenses

DOT reported three active, income-bearing licenses, two of which are income-bearing, exclusive licenses.

FY 2008 FY 2009 FY 2010 FY 2011 FY 2012

Licenses, Total Active 5 3 3 3 3 

New Licenses 0 0 0 1 1 

Invention Licenses, Total Active 5 3 3 3 3 

New Invention Licenses 0 0 0 0 0 

Income Bearing Licenses, Total Active 4 3 3 3 3 

Income Bearing Exclusive Licenses 1 3 3 2 2 

Federal Laboratory Technology Transfer Report Fiscal Year 2012 71
DOT Income from Licensing

DOT reported $7,000 in income from active licenses in FY 2012.

FY 2008 FY 2009 FY 2010 FY 2011 FY 2012

Total Income, all Active Licenses $18 $44 $17 $15 $7

Invention Licenses $18 $44 $17 $15 $7

72 Fiscal Year 2012 Federal Laboratory Technology Transfer Report
DOT Collaborative R&D Relationships 

DOT reported 27 active CRADAs in FY 2012.

23

22 22

25

27

6

7

0

8

2

23

0 0 0

1

0

2 2

5 5

0

5

10

15

20

25

30

FY 2008 FY 2009 FY 2010 FY 2011 FY 2012

DOT Collaborative R&D Relationships

CRADAs, Total Active New CRADAs

Traditional CRADAs, Total Active Other Collaborative R&D Relationships

FY 2008 FY 2009 FY 2010 FY 2011 FY 2012

CRADAs, Total Active 23 22 22 25 27

New CRADAs 6 7 0 8 2

Traditional CRADAs, Total Active 23 0 0 0 1

Other Collaborative R&D Relationships 0 2 2 5 5

Downstream Success Stories for DOT

FAA Launches Research Agreement to Address Radio Spectrum Congestion

The Federal Aviation Administration’s (FAA) Technology Transfer Program recently established a 

Cooperative Research and Development Agreement (CRADA) with SELEX Systems Integration Inc. 

(SELEX), of Overland Park, Kansas, to address the growing problem of radio frequency spectrum congestion. 

 As the FAA migrates from the current NAS to the Next Generation Air Transportation System (NextGen) 

environment, increasing demands are being placed on spectrum in frequency bands used by Automatic 

Dependent Surveillance-Broadcast (ADS-B) and secondary surveillance radar. Communications for all 

these integral systems use the 1030/1090 MHz frequency band. The FAA identified 1030/1090 MHz radio 

spectrum congestion as a significant risk to the future of the ADS-B program, NextGen, and other safetyFederal Laboratory Technology Transfer Report Fiscal Year 2012 73
critical systems. The secondary radar surveillance systems that rely on 1030/1090 MHz frequency bands 

of the spectrum include: Air Traffic Control Beacon Interrogator Model 5 (ATCBI-5), ATCBI-6 and ModeSelect (Mode-S); all ASDE-X systems, including wide area multilateration (WAM) and precision runway 

monitor (PRM) multilateration subsystems; and traffic collision avoidance system (TCAS)/Airborne Collision 

Avoidance System (ACAS). 

The FAA has conducted multiple studies, and has concluded that over-interrogation of aircraft by legacy 

radars limits transponder availability and produces a large number of unwanted replies (e.g., FRUIT), which 

contributes significantly to congestion of this spectrum. The main objective of the research performed 

under this CRADA is to reduce transponder occupancy time in order to alleviate 1030/1090 MHz spectrum 

congestion. 

The SELEX-FAA research team will establish specific research areas of interest. SELEX and FAA engineers 

then will work cooperatively to investigate performance enhancements and technology improvements to 

Mode-S transponders. The Department of Defense is also participating in this research agreement, as it 

operates several systems that use the 1030/1090 MHz frequency band. 

The FAA’s Technology Transfer Program oversees Cooperative Research and Development Agreements, and 

is based at the William J. Hughes Technical Center, near Atlantic City, N.J. 

Innovative Welding Processes for Small to Medium Diameter Gas Transmission Pipelines 

The Pipeline and Hazardous Materials Safety Administration (PHMSA) is sponsoring research and 

development projects focused on providing near-term solutions that will increase the safety, cleanliness, and 

reliability of the Nation’s pipeline system. 

A major challenge in high strength pipeline construction is producing small- to medium-diameter girth welds 

that have high quality and integrity. Manually shielded metal arc welding is currently used on these pipeline 

applications where the resulting weld deposit has marginal properties, high hydrogen content, and high 

defect propensity. The project team includes EWI, an internationally recognized leader in the development, 

evaluation and validation of pipeline welding, and materials joining technology; and Cranfield University, a 

leading provider of state-of-the-art automated pipeline welding technology. 

The project developed and demonstrated Root Pass Welding Techniques, Improved Root Pass Techniques, 

and Process Control Systems for Pipeline Girth Welding with the CRC-Evans pulsed gas metal arc welding 

(GMAW-P) technology (P-450 & P-260). 

FAA CRADA with RFID TagSource Reaches Major Milestone

The Federal Aviation Administration’s (FAA) Technology Transfer Program, under a Cooperative Research 

and Development Agreement (CRADA) with RFID TagSource, of Camden, N.J., achieved a major milestone 

recently when partners conducted a series of international flight tests of their new technology.

Scientists affixed seven RFID TagSource High Memory AeroTag Radio Frequency Identification (RFID) tags 

to an engine on the FAA William J. Hughes Technical Center Federal Laboratory’s Bombardier Global 5000 

business jet. The unique RFID tags are designed and programmed to store maintenance history directly on the 

aircraft parts to which they are attached.

74 Fiscal Year 2012 Federal Laboratory Technology Transfer Report
After many trans-Atlantic flights on the state-of-the-art Global 5000 test aircraft were conducted, these tags 

have continued to function accurately. The plan now is to leave the tags in place for continued flights, and to 

coordinate with the Technical Center’s aircraft maintenance team to inspect the tags periodically when the 

Global 5000 is in the Technical Center hanger.

Leading airframe manufacturers, including Boeing and Airbus, are actively adopting and promoting this 

technology to their parts suppliers and airline customers as a means to ensure that aircraft parts are flightcertified and properly maintained. RFID TagSource is the only U.S. company and one of just four companies 

worldwide developing this technology. The work now under way on the Global 5000 is the most advanced 

testing of this technology ever conducted.

Flight testing of the RFID tags was the culmination of many ground-based laboratory tests, performed to test 

the tags for flight safety and durability for use on a commercial aircraft. The resources for these tests, made 

available under the CRADA, include the Technical Center’s chemical laboratory, environmental chambers 

and fire test facilities. The unique access to these resources enabled the company to develop this technology in 

a manner that would not have been possible otherwise.

The benefits of adopting this new tag technology across the aerospace industry are well defined. The joint 

Technical Center/RFID TagSource CRADA is an excellent example of how the FAA collaborates with 

industry, using its top-notch facilities and resources, to deliver a unique, important capability, and ultimately 

support the mission of the FAA.

Technical and Economic Feasibility of Preventing SCC through Control of Oxygen

PHMSA is sponsoring research and development projects focused on providing near-term solutions that will 

increase the safety, cleanliness, and reliability of the Nation’s pipeline system. 

Stress corrosion cracking (SCC) has been observed in carbon steel tanks and piping in contact with fuel grade 

ethanol (FGE) in user terminals, storage tanks, and loading/unloading racks. Previous detailed laboratory 

studies demonstrated that, in ASTM D-4806 fuel grade ethanol, dissolved oxygen was the most important 

factor leading to SCC, followed in importance by pre-existing scale on steel, chloride, and methanol. 

In a Roadmapping Workshop conducted in October 2007, methods to avoid oxygen contamination in ethanol 

and defining safe operating limits in terms of ethanol chemistry and oxygen concentration were identified as 

major gaps in the safe transportation of ethanol in pipelines. 

The project validated the use of oxygen probes for measuring oxygen levels in pure ethanol and in fuel 

grade ethanol. The project improved Polestar oxygen probes so that they could directly measure the oxygen 

concentrations in ppm rather than in a partial pressure environment common with legacy systems.

Speeding Up FMCSA Technology Transfer and Deployment: New Mobile App Helps Consumers Assess 

Bus Safety

Recently, a team at the Volpe Center partnered with the Federal Motor Carrier Safety Administration 

(FMCSA) to develop and launch the SaferBus app—the first mobile application developed by DOT to enable 

users to view the safety records of bus companies. 

Federal Laboratory Technology Transfer Report Fiscal Year 2012 75
SaferBus is available for free for all iOS devices. It operates under the motto “look before you book”. The app 

gives users on-the-go access to important safety information about bus operators, providing consumers with 

the tools to make smart decisions prior to traveling with a particular company. 

This app delivers streamlined access to FMCSA safety performance data, which includes privately operated 

motor coach, school bus, and tour bus companies. These records include a carrier’s performance in important 

safety categories, including unsafe driving and driving under the influence of controlled substances or alcohol, 

from the agency’s Compliance, Safety, Accountability (CSA) Safety Measurement System (SMS). The app 

also indicates that a company is “Not Allowed to Operate” if that company has been placed out of service or 

does not have the proper operating authority. 

Volpe’s team utilized non-proprietary software and subscription services, thus reducing the high licensing 

costs associated with the traditional software development model. FMCSA has asked Volpe to develop a 

SaferBus app for the Android platform as well, which would expand the tool’s mobile reach beyond the Apple 

iPhone and iPad devices.

Volpe/NHTSA Development of Potential Specifications and Countermeasure Sounds for Quieter Vehicle 

to Ensure the Safety of Blind Pedestrians

Funded by the National Highway Traffic Safety Administration (NHTSA), Volpe Center prepared a report 

documenting research conducted to identify potential methods of developing a specification for vehicle 

sounds (audible countermeasures) for use in electric vehicles (EV), plug-in-hybrid electric vehicles (PHEV), 

or hybrid electric vehicles (HEV) operating in electric mode. This research initially studied the audibility 

safety issues of Quieter Cars, and focused on developing objective specifications for detectability using sound 

pressure levels (SPLs) and spectral profile characteristics. The purpose for the feasibility study of objectively 

specifying other aspects of sound quality was for predicting recognition. 

76 Fiscal Year 2012 Federal Laboratory Technology Transfer Report
Department of Veterans Affairs (VA)

The Department of Veterans Affairs (VA) operates, through the Veterans Health Administration (VHA), a 

substantial research program in connection with the research programs at many of the medical institutions 

with which VA is affiliated. As a result, many of our researchers also hold academic appointments with our 

affiliates. Some of our best and most beneficial inventions have come out of this setting, and VA wants to 

continue to promote this research environment and relationship, as it benefits our Veterans and the public 

generally.

Every year, VA researchers develop dozens of new health care-related technologies and other inventions. VA’s 

Technology Transfer Program (TTP) translates the results of those discoveries into practice. TTP educates 

VA inventors on their rights and obligations; assists inventors on applying for Intellectual Property (IP) 

protections, evaluates invention disclosures; obtains patents; and helps commercialize new products to benefit 

Veterans and the American public.

VA’s research program is different from other Federal technology transfer programs, because it is highly 

decentralized. The TTP office is located in Washington DC; however, the actual research is conducted at more 

than 100 VA Medical Centers (VAMC), all of which are Federal laboratories. 

In addition, 124 VAMCs have formal affiliations with academic institutions and many VA researchers also 

have academic appointments. As a result, most VA inventions are jointly owned by VA and its academic 

affiliates, making technology transfer a collaborative effort between two entities. Affiliated academic 

institutions ask their employees and academic appointees to enter into agreements that give ownership of 

inventions to the academic affiliate. Because of this requirement, most VA inventions are jointly-owned by 

VA and its academic affiliates. To facilitate efficient technology transfer, TTP has executed Cooperative 

Technology Administration Agreements (CTAA) on VA’s behalf with many academic affiliates. These CTAAs 

allow the affiliate to take the lead in the management of the co-owned inventions. At the same time, TTP 

manages the patent prosecution and marketing of inventions solely owned by VA, or inventions in which the 

academic affiliate declines to take the lead.

Critical components of any successful intellectual property program include patenting, marketing, and 

licensing new inventions or technologies to ensure timely production and introduction into the marketplace. 

CTAAs allow affiliates to take the lead in these activities for most jointly owned IP. Where VA is the sole 

owner of an invention or lead partner in a jointly owned invention, VA undertakes these activities. VA, 

through contracts, works with selected law firms to patent inventions. Marketing activities include advertising 

available technologies available for license on the TTP web site, and the use of professional services of an IP 

marketing contractor for technology assessments and marketing efforts. 

TTP and VA Office of General Counsel (OGC) coordinate the negotiation of Cooperative Research and 

Development Agreements (CRADAs) and/or licenses with commercial entities. VA’s OGC reviews and 

approves CRADAs and licenses prior to execution by the appropriate signing authority.

Successful patents licensed to manufacturers provide a royalty stream. As a result, inventors, their research 

laboratories, and the local VA facility share in licensing royalties. The American taxpayer will gain from this 

return on the research investment because resources will be reinvested in the original research laboratories to 

further additional biomedical advances.

Federal Laboratory Technology Transfer Report Fiscal Year 2012 77
Recently, VA TTP has developed a series of new initiatives to fulfill the goals of the President’s Memorandum 

dated October 28, 2011, requiring all Federal departments and agencies to accelerate technology transfer 

and support private sector commercialization. Among these initiatives: increasing the number and quality 

of Invention Disclosures (ID) VA receives; streamlining the process of determining whether the Federal 

government is the owner of any invention; improving VA’s current mechanisms for working with its affiliates; 

establishing a more systematic internal patent policy for VA; and improving VA’s commercial licensing 

processes.

VA TTP is an important link in the process of ensuring Veterans receive access to the latest technologies 

developed by VA researchers. The program also helps VA and the American public to receive their fair share 

of royalties from patents and joint ventures with non-governmental agencies and private companies. VA is 

proud to support the President’s goal of using technology transfer as a driver of successful innovation in the 

United States.

More information about VA technology transfer activities is available at

http://www.research.va.gov/programs/tech_transfer/default.cfm.

78 Fiscal Year 2012 Federal Laboratory Technology Transfer Report
VA Invention Disclosures and Patenting

Between FY 2008 and FY 2012, invention disclosures increased by 104% to a total of 335 in FY 2012. The 

number of patent applications filed increased by 1,054% to 150, and the number of patents issued increased 

by 380% to 48 in FY 2012.

FY 2008 FY 2009 FY 2010 FY 2011 FY 2012

New Inventions Disclosed 164 150 168 191 335

Patent Applications Filed 13 37 31 47 150

Patents Issued 10 15 10 32 48

Federal Laboratory Technology Transfer Report Fiscal Year 2012 79
VA Licenses

Between FY 2008 and FY 2012, the number of total active, invention licenses increased by 29% to a total of 

197 in FY 2012. The number of income-bearing licenses increased by 27% to 175 and the number of incomebearing, exclusive licenses increased by 34% to 82 in FY 2012. 

FY 2008 FY 2009 FY 2010 FY 2011 FY 2012

Licenses, Total Active 153 163 169 192 197

New Licenses 23 10 6 11 8

Invention Licenses, Total Active 153 163 169 192 197

New Invention Licenses 23 10 6 11 8

Income Bearing Licenses, Total Active 138 144 150 170 175

Income Bearing Exclusive Licenses 61 64 69 77 82

80 Fiscal Year 2012 Federal Laboratory Technology Transfer Report
VA Income from Licensing

Between FY 2008 and FY 2012, income from all active, invention licenses increased by 177% to $391,000. 

FY 2008 FY 2009 FY 2010 FY 2011 FY 2012

Total Income, all Active Licenses $141 $202 $167 $401 $391

Invention Licenses $141 $202 $167 $401 $391

Federal Laboratory Technology Transfer Report Fiscal Year 2012 81
VA Collaborative R&D Relationships

Between FY 2008 and FY 2012, the number of active CRADAs increased by 583% to a total of 1,510. No 

traditional CRADAs were reported in FY 2011 and FY 2012.

FY 2008 FY 2009 FY 2010 FY 2011 FY 2012

CRADAs, Total Active 221 623 897 994 1,510

New CRADAs 155 438 493 446 542

Traditional CRADAs, Total Active 207 581 835 0 0

Other Collaborative R&D Relationships 0 0 0 0 0

82 Fiscal Year 2012 Federal Laboratory Technology Transfer Report
Environmental Protection Agency (EPA)

EPA’s Federal Technology Transfer Act (FTTA) Program was established to promote

collaboration between private sector and Federal researchers. EPA offers exceptional opportunities to develop 

and commercialize new technologies. Through the authority given to EPA by the Federal Technology Transfer 

Act of 1986 (Public Law 99-502), EPA facilitates the transfer of new technologies to the marketplace while 

protecting intellectual property rights of all parties.

Partners in the FTTA Program have the benefit of collaborating with world-class EPA scientists involved in 

leading-edge research. Collaboration enhances the quality of research projects and helps move environmental 

technologies into the marketplace, resulting in better protection of human health and the environment.

More information about EPA technology transfer activities is available at

http://www.epa.gov/osp/ftta.htm.

Federal Laboratory Technology Transfer Report Fiscal Year 2012 83
EPA Invention Disclosures and Patenting

Between FY 2008 and FY 2012, new invention disclosures increased by 100% to 18, patent applications 

increased by 67% to 10 and the number of patents issued increased by 325% to 17.

FY 2008 FY 2009 FY 2010 FY 2011 FY 2012

New Inventions Disclosed 9 8 5 8 18

Patent Applications Filed 6 3 3 8 10

Patents Issued 4 9 9 12 17

84 Fiscal Year 2012 Federal Laboratory Technology Transfer Report
EPA Licenses

Between FY 2008 and FY 2012, active invention licenses increased by 14% to 42, income-bearing licenses 

increased by 5% to 39, and exclusive income-bearing licenses increased by 43% to 10.

FY 2008 FY 2009 FY 2010 FY 2011 FY 2012

Licenses, Total Active 37 40 37 45 42

New Licenses 2 3 2 6 2

Invention Licenses, Total Active 37 40 37 45 42

New Invention Licenses 2 3 2 6 2

Income Bearing Licenses, Total Active 37 40 37 42 39

Income Bearing Exclusive Licenses 7 8 7 9 10

Federal Laboratory Technology Transfer Report Fiscal Year 2012 85
EPA Income from Licensing

Between FY 2008 and FY 2012, income from all licensing decreased by 30% to a total of $727,000. 

FY 2008 FY 2009 FY 2010 FY 2011 FY 2012

Total Income, all Active Licenses $1,038 $849 $536 $383 $727

Invention Licenses $1,038 $849 $536 $383 $727

86 Fiscal Year 2012 Federal Laboratory Technology Transfer Report
EPA Collaborative R&D Relationships

Between FY 2008 and FY 2012, the number of active CRADAs decreased by 18% to a total of 92. The 

number of traditional CRADAs declined by 15% to 63.

FY 2008 FY 2009 FY 2010 FY 2011 FY 2012

CRADAs, Total Active 112 112 67 84 92

New CRADAs 49 83 33 26 22

Traditional CRADAs, Total Active 74 51 50 54 63

Other Collaborative R&D Relationships 0 0 0 0 0

Federal Laboratory Technology Transfer Report Fiscal Year 2012 87
Downstream Success Stories for EPA

Collaborative Effort to Characterize Impacts of Wood-fired Technologies

The U.S. Environmental Protection Agency’s (EPA’s) Office of Research and Development (ORD) and the 

New York State Energy Research and Development Authority (NYSERDA) conducted a joint research project 

using a Cooperative Research and Development Agreement (CRADA) to characterize emissions, health 

impacts, and energy market penetration for a range of wood-fired, residential hydronic heater technologies. 

Four types of residential wood-burning technologies were evaluated and characterized at the ORD combustion 

laboratories in Research Triangle Park, North Carolina for a variety of emissions under realistic, homeowner 

operation scenarios. The types of technologies evaluated included a common hydronic heater, a highefficiency pellet heater, and a unit with thermal storage. Three fuel types, including red oak, white pine, and 

red oak with supplementary household refuse, were tested. Measurements included emissions of particulate 

matter, elemental carbon, carbon monoxide, polycyclic aromatic hydrocarbons (PAHs), volatile organic 

compounds (VOCs), semi-volatile organic compounds (SVOCs), and polychlorinated dibenzodioxins/

dibenzofurans (PCDDs/Fs). 

This work was complemented by an energy and market impacts analysis of hydronic heaters for the State of 

New York. Lastly, the health effects of hydronic heater emissions were evaluated with an exposure study for 

pulmonary and systemic biomarkers of injury and inflammation. The results of this study are anticipated to be 

of value to New York State in its efforts to develop a high-efficiency biomass heating market of technologies 

with acceptable emissions performance. It is also anticipated that these results will be of value to the U.S. EPA 

as it sets New Source Performance Standards for biomass-fired hydronic heaters.

A final report, executive summary, and two journal papers have been published on the results. Information on 

the effort has been presented at conferences in the northeastern United States. 

Follow-up research is being conducted by New York State.

Collaboration to Develop Methods to Remediate Environmental Contaminants in Soil and Water Using 

Greener Nanomaterials

Since 2008, EPA’s National Risk Management Research Laboratory (NRMRL) and VeruTEK Technologies 

have been collaborating under a CRADA to further develop nanoparticle-based methods for remediating 

and destroying organic and inorganic environmental contaminants in the subsurface and in water. These 

methods help to address contamination at industrial sites. The project combines EPA expertise and more 

environmentally-friendly technologies using surfactant-enhanced in situ chemical oxidation methods with 

VeruTEK’s in situ reduction methods. The benefits of this project are development and testing of new 

technologies that provide “greener” remediation of pollutants in soil and water.

Thus far in this project, EPA and VeruTEK have co-authored three peer-reviewed journal articles, which 

describe usage of greener synthesis of nanoparticles (such as Nanoscale Zero-Valent Iron) for use in 

environmental remediation, including single-step synthesis of iron nanoparticles using tea. The collaborators 

have also had six patents issued on technologies, such as polymer-coated nanoparticle activation of oxidants 

for remediation, and green synthesis of nanometals using plant extracts.

VeruTEK is in the process of commercializing the Green nano-scale Zero-Valent Iron (GnZVI) product 

developed under the CRADA. Zero-Valent Iron is an effective reducing agent, used in environmental 

88 Fiscal Year 2012 Federal Laboratory Technology Transfer Report
remediation and wastewater treatment to eliminate contaminants such as chlorinated solvents, a wide range of 

pesticides, and arsenic. ZVI is often implemented as part of permeable reactive barrier (PRB), or is injected 

into the subsurface with an emulsifier or capping agent. 

The GnZVI product, developed from natural plant extracts such as sorghum and green tea, has demonstrated 

strong performance in studies conducted by academics and third party environmental testing laboratories both 

as a novel activator for chemical oxidation techniques and as a reductant. In addition, the product successfully 

reduced TCE contamination in a field pilot at a U.S. Superfund site. As a result of the strong trial results, the 

GnZVI product has attracted commercial interest from a number of sources.

Federal Laboratory Technology Transfer Report Fiscal Year 2012 89
National Aeronautics and 

Space Administration (NASA)

NASA has a long history of being a leader in technology development and transferring its space and 

aeronautics research to the public. The benefits of NASA research are all around us: knowledge provided by 

weather and navigational spacecraft, efficiency improvements in both ground and air transportation, super 

computers, solar- and wind-generated energy, the cameras found in many of today’s cell phones, improved 

biomedical applications including advanced medical imaging and even more nutritious infant formula, as well 

as the protective gear that keeps our military, firefighters, and police safe.

NASA technologies have made us healthier and safer, introduced space-age efficiencies to our manufacturing 

processes, made transportation safer, and paved the way for cleaner and greener technologies. Meanwhile, 

these same technologies have launched companies, even industries, saved lives, and created jobs. 

To facilitate and manage the transfer of NASA technology, the agency has a technology transfer office at 

each of its ten field centers, and the overall activity is managed out of NASA Headquarters in Washington, 

DC. Each of the field centers is responsible for maintenance of its own technology portfolio and technology 

transfer activities, from new technology reporting through reporting of successes.

In the coming years, as NASA renews its technology-development emphasis, the agency’s technology transfer 

program will work to meet this influx of new inventions, and the public should experience a commensurate 

increase in the benefits of NASA’s research and development activities.

NASA’s new technology investment strategy will drive the next wave of innovation, enabling missions to 

be performed in new ways and creating missions never possible before. NASA’s innovations will provide 

countless opportunities for advances in science, engineering, transportation, public safety, computer science, 

industrial productivity, consumer goods, health, and medicine while supporting the U.S. global leadership in 

innovation.

NASA will implement a robust effort that matures technologies so that they are used by NASA missions as 

well as other government agencies and private sectors. NASA will identify and patent those technologies 

that are promising. Industry will license existing patents. Other technologies may be distributed via other 

collaborative research partnerships. Those that are successfully transferred to the commercial market will be 

highlighted in the annual Spinoff report.

More information about NASA technology transfer activities is available at

http://www.nasa.gov/offices/oct/home/index.html.

90 Fiscal Year 2012 Federal Laboratory Technology Transfer Report
NASA Invention Disclosures and Patenting

Between FY 2008 and FY 2012, the number of new invention disclosures increased by 19% to a total of 1,582 

in FY 2012. The number of patent applications filed increased by 14% to 139, and the number of patents 

issued increased by 51% to 136 in FY 2012. 

FY 2008 FY 2009 FY 2010 FY 2011 FY 2012

New Inventions Disclosed 1,324 1,412 1,735 1,729 1,582

Patent Applications Filed 122 141 150 154 139

Patents Issued 90 93 130 165 136

Federal Laboratory Technology Transfer Report Fiscal Year 2012 91
NASA Licenses

Between FY 2008 and FY 2012, the number of total active licenses increased by 24% to a total of 4,870 in 

FY 2012. The number of invention licenses increased by 32% to 434. The number of income-bearing licenses 

declined by 5% to 257, while the number of income-bearing, exclusive licenses declined by 20% to a total of 

95. 

FY 2008 FY 2009 FY 2010 FY 2011 FY 2012

Licenses, Total Active 3,912 4,181 5,515 5,224 4,870

New Licenses 633 803 498 581 324

Invention Licenses, Total Active 330 146 456 459 434

New Invention Licenses 34 49 36 33 23

Income Bearing Licenses, Total Active 271 276 271 293 257

Income Bearing Exclusive Licenses 119 122 122 120 95

92 Fiscal Year 2012 Federal Laboratory Technology Transfer Report
NASA Income from Licensing

Between FY 2008 and FY 2012, income from all licensing increased by 11% to a total of $3.10 million. 

Income from invention licenses increased by 9% to $2.98 million. 

FY 2008 FY 2009 FY 2010 FY 2011 FY 2012

Total Income, all Active Licenses $2,802 $3,144 $4,517 $3,522 $3,098

Invention Licenses $2,725 $2,288 $4,229 $3,385 $2,975

Federal Laboratory Technology Transfer Report Fiscal Year 2012 93
NASA Collaborative R&D Relationships

A significant portion of NASA’s technology transfer is implemented through partnerships with other 

government agencies, industry, academia, and other entities through non-CRADA mechanisms such as Space 

Act Agreements (SAA).21 

Between FY 2008 and FY 2012, the number of active collaborative relationships (SAAs) has increased by 4% 

to a total of 4,245. 

FY 2008 FY 2009 FY 2010 FY 2011 FY 2012

CRADAs, Total Active 1 1 0 0 0

New CRADAs 0 1 0 0 0

Traditional CRADAs, Total Active 1 1 0 0 0

4,245 Other Collaborative R&D Relationships 

(Space Act Agreements) 4,076 4,507 4,379 4,826

21 See http://www.nasa.gov/open/plan/space-act.html

94 Fiscal Year 2012 Federal Laboratory Technology Transfer Report
Downstream Success Stories for NASA

Thermal Components Boost Performance of HVAC Systems

A Rockledge, Florida-based company, Mainstream Engineering Corporation, works with NASA to develop 

advanced thermal control technology for spacecraft. Most recently, Mainstream developed new products, 

based on SBIR work with Johnson Space Center, that improve air conditioner performance and filtration—a 

boon for allergy and asthma sufferers. 

Control Algorithms Charge Batteries Faster

Advanced Power Electronics Corporation of Orlando, Florida, partnered with Glenn Research Center through 

the SBIR program to develop an advanced power converter for space systems. The company incorporated 

control algorithms created through the partnership into a solar charger that charges batteries 30 percent faster 

than comparative devices.

Rugged Analyzers Measure Greenhouse Gasses, Airborne Pollutants

Los Gatos Research Inc., of Mountain View, California, partnered with Ames Research Center to develop 

instrumentation for detecting signs of life in deep sea and deep space environments. This led the company 

to commercialize a range of highly accurate and sensitive analyzers for detecting pollutants and greenhouse 

gasses. Los Gatos plans to grow from 30 to nearly 50 full-time employees by the end of 2011. 

Custom Machines Advance Composite Manufacturing

Through the SBIR program, Accudyne Systems Inc. of Newark, Delaware, developed a device for creating 

thermoplastic composite structures without the use of an expensive autoclave. The partnership yielded 

technology for the company’s commercial, custom-built composite manufacturing machines, helping advance 

composite part fabrication. 

Integrated Design Tools Save Time, Money

Thanks in part to a SBIR award with Langley Research Center, Phoenix Integration Inc., based in Blacksburg, 

Virginia, modified and advanced software for process integration and design automation. For NASA, the 

tool has resulted in lower project costs and reductions in design time; clients of Phoenix Integration are 

experiencing the same rewards. 

Federal Laboratory Technology Transfer Report Fiscal Year 2012 95
This page intentionally left blank

96 Fiscal Year 2012 Federal Laboratory Technology Transfer Report
Chapter 3 Conclusion

Technology transfer is an active and essential mission of Federal research and development laboratories. 

By leveraging our Nation’s innovative nature and investing in science and technology, we strengthen our 

economy and American competitiveness in world markets. This report details the results of technology 

partnering activities of Federal agencies. 

Statistical data provided in this report indicates that there has been an increase in invention disclosures and 

patenting activities over the five-year span from 2008 through 2012. Most significant was a 44% increase in 

the number of patents issued. Licensing activity was fairly constant over this period with a 16% decline in 

the overall number of income-bearing licenses and a 6% increase in the number of income-bearing exclusive 

licenses. Licensing income was reported to have decreased by 3%, but this number will be revised upward 

in future reports to account for anomalies caused by litigation issues.22 Finally, the number of Federal 

collaborative R&D relationships has increased significantly due primarily to increases in reporting of nonCRADA arrangements. CRADAs (both traditional and non-traditional) increased by 27%, with traditional 

CRADAs increasing by 16%. Reports of other types of collaborative activity (guest scientists and engineers, 

user facilities agreements, etc.) resulted in increases of 70% in the reported values.

While these numbers show a robust and wide-ranging set of technology transfer activities, they do not tell the 

whole story. Federal laboratories transfer many technologies through a variety of mechanisms not reflected in 

this report. As a result of the September, 2011 Presidential Memorandum on technology transfer, significant 

efforts are now underway to greatly expand and improve the metrics Federal agencies use to monitor 

technology transfer activities and to provide more effective methods to assess the resulting economic impacts. 

Future editions of this report will include these changes.

The success stories presented in this report provides examples of how society benefits from technology 

transfer activities across the Federal laboratories. As technology advances and the needs of the economy 

change, Federal laboratories will continue to play a vital role in keeping America in the forefront of 

innovation. Federal research and development supports the Nation’s economic growth and international 

competitiveness by successfully transferring and facilitating commercialization of federally created 

technologies. 

22 See footnote 13.

Federal Laboratory Technology Transfer Report Fiscal Year 2012 97

3
Appendix A

Federal Invention Disclosure and Patenting

Agency Metric FY 2008 FY 2009 FY 2010 FY 2011 FY2012

DHS New inventions disclosed 10 32 7 38 40 

Patent applications filed - 2 2 12 10 

Patents issued 1 2 1 - - 

DOC New inventions disclosed 40 41 34 26 52 

Patent applications filed 21 20 20 17 21 

Patents issued 3 7 11 15 12 

DOD New inventions disclosed 1,018 831 698 929 1,037 

Patent applications filed 590 690 436 844 888 

Patents issued 462 404 304 523 667 

DOE New inventions disclosed 1,460 1,439 1,616 1,820 1,661 

Patent applications filed 904 775 965 686 780 

Patents issued 370 363 480 460 483 

DOI New inventions disclosed 7 4 5 5 10 

Patent applications filed 7 8 7 2 3 

Patents issued 1 4 5 1 3 

DOT New inventions disclosed 3 3 1 2 2 

Patent applications filed 2 2 2 2 1 

Patents issued 4 1 2 - - 

98 Fiscal Year 2012 Federal Laboratory Technology Transfer Report
Federal Invention Disclosures and Patenting (continued)

Agency Metric FY 2008 FY 2009 FY 2010 FY 2011 FY2012

EPA New inventions disclosed 9 8 5 8 18 

Patent applications filed 6 3 3 8 10 

Patents issued 4 9 9 12 17 

HHS New inventions disclosed 437 389 363 402 252 

Patent applications filed 164 156 113 266 222 

Patents issued 278 397 153 320 372 

NASA New inventions disclosed 1,324 1,412 1,735 1,729 1,582 

Patent applications filed 122 141 150 154 139 

Patents issued 90 93 130 165 136 

USDA New inventions disclosed 100 143 149 142 160 

Patent applications filed 123 123 112 121 122 

Patents issued 30 24 46 49 70 

VA New inventions disclosed 164 150 168 191 335 

Patent applications filed 13 37 31 47 150 

Patents issued 10 15 10 32 48 

Total Metric FY 2008 FY 2009 FY 2010 FY 2011 FY2012

New inventions disclosed 4,572 4,452 4,781 5,292 5,149

Patent applications filed 1,952 1,957 1,841 2,159 2,346

Patents issued 1,253 1,319 1,151 1,577 1,808

Federal Laboratory Technology Transfer Report Fiscal Year 2012 99
Federal Licenses

Agency Metric FY 2008 FY 2009 FY 2010 FY 2011 FY2012

DHS All licenses, number total active 18 63 458 495 532 

Invention licenses, total active - - - - - 

All income bearing licenses, total active - - - - - 

Income bearing exclusive licenses - - - - - 

DOC All licenses, number total active 29 40 46 40 41 

Invention licenses, total active 29 40 46 40 41 

All income bearing licenses, total active 25 27 28 25 24 

Income bearing exclusive licenses 14 15 17 15 15 

DOD All licenses, number total active 365 432 397 633 520 

Invention licenses, total active 351 386 341 431 432 

All income bearing licenses, total active 210 227 134 214 356 

Income bearing exclusive licenses 70 78 67 51 120 

DOE All licenses, number total active 6,196 5,742 6,228 5,310 5,328 

Invention licenses, total active 1,448 1,452 1,453 1,432 1,428 

All income bearing licenses, total active 4,397 3,339 3,493 3,510 3,340 

Income bearing exclusive licenses 372 411 462 315 344 

DOI All licenses, number total active 19 21 28 25 26 

Invention licenses, total active 18 18 23 23 24 

All income bearing licenses, total active 16 18 19 22 22 

Income bearing exclusive licenses 5 4 5 3 12 

DOT All licenses, number total active 5 2 3 3 3 

Invention licenses, total active 5 3 3 3 3 

All income bearing licenses, total active 4 3 3 3 3 

Income bearing exclusive licenses 1 3 3 2 2 

100 Fiscal Year 2012 Federal Laboratory Technology Transfer Report
Federal Licenses (continued)

Agency Metric FY 2008 FY 2009 FY 2010 FY 2011 FY2012

EPA All licenses, number total active 37 40 37 45 42 

Invention licenses, total active 37 40 37 45 42 

All income bearing licenses, total active 37 40 37 42 39 

Income bearing exclusive licenses 7 8 7 9 10 

HHS All licenses, number total active 1,675 1,584 1,941 1,613 1,465 

Invention licenses, total active 1,376 1,304 1,240 414 1,090 

All income bearing licenses, total active 1,057 899 838 1,023 856 

Income bearing exclusive licenses 149 111 113 131 135 

NASA All licenses, number total active 3,912 4,181 5,515 5,224 4,870 

Invention licenses, total active 330 146 456 459 434 

All income bearing licenses, total active 271 276 271 293 257 

Income bearing exclusive licenses 119 122 122 120 95 

USDA All licenses, number total active 328 330 344 358 384 

Invention licenses, total active 304 302 313 322 341 

All income bearing licenses, total active 326 327 340 354 379 

Income bearing exclusive licenses 235 234 248 257 277 

VA All licenses, number total active 153 163 169 192 197 

Invention licenses, total active 153 163 169 192 197 

All income bearing licenses, total active 138 144 150 170 175 

Income bearing exclusive licenses 61 64 69 77 82 

Total Metric 2008 2009 2010 2011 2012

All licenses, number total active 12,732 12,596 15,163 13,935 13,405 

Invention licenses, total active 4,046 3,851 4,078 3,358 4,029 

All income bearing licenses, total active 6,481 5,300 5,313 5,656 5,451 

Income bearing exclusive licenses 1,033 1,050 1,113 980 1,092 

Federal Laboratory Technology Transfer Report Fiscal Year 2012 101
 Federal Income from Licensing ($000)

Agency Metric FY 2008 FY 2009 FY 2010 FY 2011 FY2012

DHS Total income, all licenses active $0 $0 $0 $0 $0

Invention licenses $0 $0 $0 $0 $0

DOC Total income, all licenses active $293 $336 $237 $277 $248

Invention licenses $293 $336 $237 $277 $248

DOD Total income, all licenses active $16,057 $16,439 $13,424 $15,682 $7,055

Invention licenses $16,048 $16,165 $13,026 $15,364 $6,552

DOE Total income, all licenses active $49,318 $43,570 $40,644 $44,728 $40,849

Invention licenses $43,108 $40,262 $37,066 $40,600 $36,103

DOI Total income, all licenses active $79 $89 $80 $93 $78

Invention licenses $79 $89 $80 $93 $78

DOT Total income, all licenses active $18 $44 $17 $15 $7

Invention licenses $18 $44 $17 $15 $7

EPA Total income, all licenses active $1,038 $849 $536 $383 $727

Invention licenses $1,038 $849 $536 $383 $727

HHS Total income, all licenses active $97,609 $85,059 $80,923 $98,453 $110,576

Invention licenses $94,712 $83,041 $79,805 $82,842 $108,308

NASA Total income, all licenses active $2,802 $3,144 $4,517 $3,522 $3,098

Invention licenses $2,725 $2,288 $4,229 $3,385 $2,975

USDA Total income, all licenses active $3,953 $5,376 $3,641 $3,989 $3,806

Invention licenses $3,884 $5,318 $3,566 $3,855 $3,671

VA Total income, all licenses active $141 $202 $167 $401 $391

Invention licenses $141 $202 $167 $401 $391

Total Metric FY 2008 FY 2009 FY 2010 FY 2011 FY2012

Total income, all active licenses $171,309 $155,108 $144,186 $167,542 $166,835

Invention licenses $162,046 $148,594 $138,729 $147,214 $159,059

102 Fiscal Year 2012 Federal Laboratory Technology Transfer Report
Federal Collaborative R&D Relationships

Agency Metric FY 2008 FY 2009 FY 2010 FY 2011 FY2012

DHS CRADAs, total active in the FY 23 23 36 62 94

Traditional CRADAs, total active in the FY 21 22 32 55 89

Other collaborative R&D relationships 3 5 3 11 11

DOC CRADAs, total active in the FY 2,390 2397 2254 2,280 2,934

Traditional CRADAs, total active in the FY 131 101 101 133 156

Other collaborative R&D relationships 2,816 2,828 2,897 2,899 2,782

DOD CRADAs, total active in the FY 2,596 2,870 3,248 2,554 2,400

Traditional CRADAs, total active in the FY 1,993 2,247 2,516 1,685 1,328

Other collaborative R&D relationships 3 1 287 988 0

DOE CRADAs, total active in the FY 711 744 697 720 742

Traditional CRADAs, total active in the FY 711 744 697 720 742

Other collaborative R&D relationships 0 0 0 0 0

DOI CRADAs, total active in the FY 170 248 436 351 379

Traditional CRADAs, total active in the FY 33 36 29 24 28

Other collaborative R&D relationships 0 0 0 209 283

DOT CRADAs, total active in the FY 23 22 22 25 27

Traditional CRADAs, total active in the FY 23 22 22 25 27

Other collaborative R&D relationships 0 2 2 5 5

Federal Laboratory Technology Transfer Report Fiscal Year 2012 103
Federal Collaborative R&D Relationships (continued)

Agency Metric FY 2008 FY 2009 FY 2010 FY 2011 FY2012

EPA CRADAs, total active in the FY 112 112 67 84 92

Traditional CRADAs, total active in the FY 74 51 50 54 63

Other collaborative R&D relationships 0 0 0 0 0

HHS CRADAs, total active in the FY 453 457 447 430 377

Traditional CRADAs, total active in the FY 295 284 300 284 245

Other collaborative R&D relationships 0 0 0 0 0

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

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

Other collaborative R&D relationships 4,076 4,507 4,379 4,826 4,245

USDA CRADAs, total active in the FY 254 259 288 300 257

Traditional CRADAs, total active in the FY 223 207 218 186 180

Other collaborative R&D relationships 5,821 10,306 11,570 13,458 14,351

VA CRADAs, total active in the FY 221 623 897 994 1510

Traditional CRADAs, total active in the FY 207 581 835 994 1430

Other collaborative R&D relationships 0 0 0 0

Total Metric 2008 2009 2010 2011 2012

CRADAs, total active in the FY 6,954 7,756 8,392 7,800 8,812

Traditional CRADAs, total active in the FY 3,712 4,296 4,800 4,160 4,288

Other collaborative R&D relationships 12,719 17,649 19,138 22,396 21,677

104 Fiscal Year 2012 Federal Laboratory Technology Transfer Report
Appendix B

Technology Area Classifications

Mapping of International 

Patent Classifications to Technology Area23

Aerospace & Defense: parts and components that pertain to aircraft and spacecraft as well as defense 

mechanisms. This includes engines, jet propulsion, gas turbines, and fuel control related to airplanes, 

helicopters, spacecraft and lighter-than-air vehicles. Defense includes weapons, ammunition, explosives, 

warship or submarine weaponry as well as protective gear, armed vehicles and land defense devices. Note: 

Engines and turbines included here are primarily for aircraft, but some for locomotives and ships will appear 

as well.

Agriculture: equipment, methods and materials used for farming and livestock. This includes equipment for 

harvesting, mowing, soil working, plowing, thrashing and fertilizing. It also includes pesticides, fertilizers, 

growth regulators, soil additives, plant biotechnology, seed genetics and horticulture techniques. Animal 

husbandry includes housing, breeding, taming, grooming, feeding devices, pasteurizing equipment and 

shearing tools. 

Audio-Visual Electronics: high-tech consumer electronics and their underlying technologies and 

distribution. This includes photography equipment (cameras, photo processing, printing (includes some 

lithographic apparatuses), televisions, stereos, speakers, video games, musical instruments as well as pictorial 

and broadcast communication.

Automation & Control: items that controls, monitor and automate machinery and devices. This includes 

sensors, switches, and alarms, regulating mechanisms, micro fluidics, safety devices and industrial robotics. 

This provides for remote control, traffic control, rail signaling and switching and pipe-line system control. 

Also includes are automatic door/window mechanisms widely used in the automotive industry.

Biotechnology: pertains to living organisms (or parts of living organism) used primarily for medicinal 

purposes and diagnostics, as well as genetic engineering and biotechnology research equipment. This 

includes vaccines, pharmaceuticals, nutraceuticals, herbal remedies, peptides, sugars, nucleic acids, microorganisms, enzymes, genetic engineering, measuring and testing techniques, research and laboratory 

equipment and combinatorial chemistry.

Chemical Engineering & Environmental Processes: select processes and techniques used in chemical 

industrial processes, recycling, treating materials to make them safer or for safe disposal. This includes 

separation and filtration techniques, mixing, cryogenics, waste and water treatments, soil reclamation and 

solid waste disposal. Included in separation techniques are processes related to catalysts, including catalytic 

converters for engine exhaust gases (but not muffler/exhaust systems).

23 Copyright ©2013, The Patent Board.

Federal Laboratory Technology Transfer Report Fiscal Year 2012 105
Chemicals: organic or inorganic compositions and processes involving dyes, pigments, coating, cleaning, 

polishing, glue, gelatin, catalysts, fatty acids, petrochemicals, natural resins, and electrolytic processes.

Civil Engineering: involves the design and structural integrity of natural and man-made structures. This 

includes bridges, railways, roads, highways, platforms and pads, foundations, dams, other water structures, 

scaffolding, supports, building systems and structures, including interior architectural aspects (partitions, 

ceilings, roof constructions, etc.).

Computer Systems: related to the hardware and basic software necessary to operate a computer. This 

includes static and dynamic information storage, memory, data transfer to peripherals, power control, input/

output, CPUs, disk drives, and peripherals such as keyboards and mice. Included in information storage is 

magnetic recording which may also relate to audio/visual storage devices.

Construction & Building Components: primarily construction materials and components of buildings, 

but also contains valves and mechanisms used for hydraulic systems. This includes plumbing and sewage 

supplies, bathroom fixtures and other fixtures such as doors, windows and their hardware, roofs, gutters, fluid 

handling (includes fire-fighting equipment), dispensers and sprayers (some hand pumps and atomizers in 

here) as well as concrete shaping and mixing. It also includes ladders, winches, pulleys and hardware (nails, 

screws, nuts, bolts, etc.) as well as locks and locking mechanisms (widespread industry use which includes 

vehicle door locks and handcuffs). 

Electrical Components & Equipment: materials and equipment necessary to run electricity, and the 

mechanisms that connects them. This includes connectors (many of the type made by electronic connector 

companies), plugs, outlets, surge protectors, switches, fuses, relays, cables (includes those used for 

telecommunications, i.e. coaxial cable), lines, wires, insulators, magnets, inductors, transducers, spark gaps 

(not plugs used for vehicles), printed circuits and shielding devices (includes EMI).

Electronic Components & Devices: components related to high-tech electronic equipment and devices 

that perform functions. This includes display technologies, capacitors, resistors, actuators, piezoelectric 

devices, card readers and connectors, as well as components for navigational items, spectrometers, microelectromechanical systems (MEMS), data collectors (i.e. bar code scanners, ID card readers) and registers.

Food & Tobacco: food, beverage and tobacco products, processes and manufacturing equipment. This 

includes treatments and products for dairy, sweets and oils including fragrances & flavorings, additives, 

preservatives, dough/flour treatments as well as beverages such as coffee, tea, alcohol and beer. It also 

includes meat processing and butchering, milking machines, food processing/chemistry, sugar processing, beer 

brewing, protein manipulation (e.g. enzymes), animal feed and tobacco processing and products.

Household Appliances & Lighting: electric appliances used in the home as well as lighting fixtures. This 

includes dishwashers, ovens, ranges, microwaves, refrigerators, washers, dryers, sewing machines, vacuums, 

space heaters, small kitchen appliances, fireplaces and grills. Lighting includes fixtures as well as their 

electric parts, bulbs, sources, forms and use including some aspects for vehicle lighting and light sources for 

backlights or LEDs.

106 Fiscal Year 2012 Federal Laboratory Technology Transfer Report
Industrial Machinery & Tools: machinery and their parts used for industrial means as well as hand and 

power tools. This includes equipment for welding, soldering, cutting, abrading, crushing, printing (not 

printers), presses, sandblasting, lubricating, perforating and punching. It also includes rotary piston machines, 

electric machinery, general purpose engines, compressors, pumps, boilers, furnaces, water heaters, heating, 

ventilation, air conditioning (includes window units), humidifiers (some stand-alone units) and refrigeration, 

jacks, forklifts as well as hand (hammers, pliers, crowbars, woodworking, etc.) and power tools along with 

workbenches and storage. Parts include bearings, gears, transmission, belts, seals and pistons as well as parts 

that go into motors used in a wide variety of products (i.e. spindle motors, disk drive motors).

Industrial Manufacturing: processes and techniques used to manufacture products. This includes 

packaging and handling machinery such as sheet feeders, conveyers, cranes, bottle and jar closures as well as 

processes for coating, drying, fluid dispensing, applying or handling, heat exchangers, heating and melting 

equipment, electrostatic spraying, pattern making, etching, labeling and bookbinding. This also includes 

postal/document handling or sorting as well as storage and transport containers.

Information Processing: data or information processing, computational models, business methods. This 

includes image analysis, data capture and collectors, speech/audio processing, database structures, error 

detection/correction, security, analog to digital conversion, data transfer sequencing as well as computer 

software.

Materials Manufacturing: processing and treatment of materials along with their related machinery, 

as well as layered products. This includes metalworking, metal casting, metal rolling, foundry molding, 

photomechanical processes, chemical and mechanical treatments, textile cleaning and dying, clothes 

manufacturing, electrolytic processes, paper/cardboard processes, coating processes as well as layered 

products comprising different materials or are of certain forms.

Materials: glass, minerals, pulp, paper, fibers, textiles, metals, and composites thereof. This includes plastics, 

polymers, rubber, cement, ceramics, stone, micro and nano-structures, liquid crystal materials, anti-oxidants 

and adhesives as well as materials that are electro chromic, photosensitive, luminescent, thermoelectric and 

radioactive in nature.

Measurement Techniques & Instrumentation: techniques and use of instrumentation which measures, 

tests, inspects or analyzes a wide variety of materials or processes. This includes measuring electric variables, 

distances, volume, flow, velocity, speed, force, stress, torque, temperatures, weight, length, thickness, and 

mechanical vibrations through tapes, levels, global-positioning devices, radar, scales, thermometers and 

flow meters, among other specialized devices. This also includes horology, meteorology, geophysics (e.g. 

earthquake detection/measurement), analyzing chemical or physical processes and associated laboratory 

equipment (e.g. centrifuges, beakers, test tubes, etc.), investigating or analyzing materials (includes optical 

means for inspection widely used in the semiconductor industry) and scanning-probe microscopy.

Medical Electronics: electronics used for therapy, diagnostic and imaging purposes on humans. This 

includes x-rays, radiation imaging, ultrasonic imaging and materials analysis.

Federal Laboratory Technology Transfer Report Fiscal Year 2012 107
Medical Equipment: materials, devices, instruments and equipment used to diagnose or treat human 

or animal medical ailments. This includes equipment related to veterinary care, dental, ophthalmic and 

hearing treatments as well as drug delivery means, surgical instruments, implantable devices, wound 

care, contraceptives, prostheses; as well as catheters, sterilization techniques, diagnostic equipment (nonelectronic), scopes and stethoscopes.

Motor Vehicles & Parts: parts and components that pertain to motor vehicles. This includes the vehicle 

body, seats, tires, wheels, engines, exhaust system, heating and ventilation. Parts include spark plugs, shocks, 

starters, ignition, fuel injection, mechanical controls, steering, clutches, brakes, gearings, air bags and other 

safety mechanisms, suspension, springs, shocks, dampeners, lubricators, windshield wipers along with other 

vehicle fittings and parts.

Networking: technology related to transmission of data over a network. This is primarily related to digital 

transmission via transport protocols, modems and routers, as well as the control, starting, synchronization 

or stabilization of electronic oscillation or pulses (phase-locked loops). Note: there are many aspects of 

the internet protocol suite that spans codes that are not primarily for companies involved with networking 

applications and equipment and therefore are not included.

Office Equipment: primarily high-tech equipment and their special functions that used in an office. This 

includes technologies related to copiers, printers, fax machines, imaging functions, as well as the ink and 

recording materials relating to them. It also includes general office supplies such as staplers, paper clips, pens, 

pencils, whiteboards, erasers, etc.

Oil & Gas, Mining: machinery, processes and production of oil, gas and mining techniques. This includes 

boreholes, hydrocarbon production and recovery, lubricants, drilling compositions, fuel compositions and 

processing, petroleum products, coke ovens, distillation, mining machinery, ventilation and safety.

Optics: optical elements, materials and systems. This includes light guides, lenses, waveguides, optical fibers, 

electro-chromic materials, microscopes, telescopes, optical modulation, MEMS, masers, lasers, holography, 

optical measuring instruments and optical arrangements for controlling displays.

Other Transport: parts and components that pertain to locomotives, railways, boats, ships, hovercrafts, 

bicycles, snowmobiles, animal drawn and hand propelled vehicles (strollers, carriages, carts). This includes 

engines, propulsion systems, steering, wheels, brakes, frames, suspension, couplings, docking and launching. 

It also contains elevators and escalators.

Other: processes, methods, machinery and materials that do not fit any one category. This area currently 

comprises cleaning machines (semiconductor cleaning and dishwashers are prevalent), igniters, burners, gas 

handling and storage, designs and patterns, theatrical devices, safes, strong-rooms, sound producing/protecting 

(not speakers) mechanical vibration producing machinery, electric shock devices, engravers, stampers, street 

sweepers, snow making/removal and laminating methods. Note that this category will also cover any IPC 

coding errors (typos) as well as newly formed IPC codes.

108 Fiscal Year 2012 Federal Laboratory Technology Transfer Report
Personal Care & Household Goods: items used by people or for basic household needs. This includes 

cosmetics, skin care, grooming, toiletries, air fresheners, baby items (bottles, pacifiers, diapers, etc.), cleaning 

implements and kitchenware (not appliances). Also included are furniture, apparel (includes protective gear 

and professional garments such as surgical gowns), umbrellas, canes, luggage, purses, and window and door 

coverings, greeting cards, picture frames/displays and identification tags.

Pharmaceuticals: preparation and compounds of synthetic therapeutic drugs. This includes over-the-counter 

drugs, targeted medicinals and steroids.

Power Generation & Distribution: generation of small or large-scale power from both traditional and 

alternative energy sources and means for distribution. This includes batteries, fuel cells, generators, motors 

(motor control), fusion reactors as well as combustion, power conversion and distribution. Alternative energy 

includes solar, wind, wave, tidal, hydroelectricity and geothermal means as well as nuclear.

Recreation & Sports Equipment: items that relate to sports, games, toys and amusement. This includes 

rackets, balls, clubs, and training implements for sports such as golf, tennis, basketball, baseball, billiards, 

bowling, skiing, boxing, skating, archery, fishing and gymnastics. It also includes equipment used for 

camping, horseback riding, parks and amusement rides, tracks and rinks, as well as games (not video), toys, 

and miscellaneous carriers for sports or other equipment.

Semiconductors: semiconductor materials, manufacturing, design and processes. This includes silicon wafer 

manufacturing, solid-state devices and solar cells, as well as processes such as chemical-vapor deposition 

(CVD), coating, etching and polishing as well as computer-aided design.

Telecommunications: transmission of voice/data over land lines or wireless and the equipment necessary 

to deliver. This includes antennas, receivers, equipment arrangements, modulation, waveguides, resonators, 

multiplexing, and impedance networks. 

Federal Laboratory Technology Transfer Report Fiscal Year 2012 109
This page intentionally left blank

110 Fiscal Year 2012 Federal Laboratory Technology Transfer Report

100 Bureau Drive, Gaithersburg, MD 20899-2200 | http://www.nist.gov