Annual Report on Technology Transfer: 

Approach and Plans, Fiscal Year 2010 Activities and Achievements 

U.S. Department of Commerce 

Report prepared by: 

National Institute of Standards and Technology 

National Oceanic and Atmospheric Administration 

National Telecommunications and Information Administration 

Institute for Telecommunication Sciences 

Pursuant to the 

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

January 2011 
ii 

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iii 

FOREWORD 

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

Commerce’s federal laboratories for fiscal year (FY) 2010. At the Department of Commerce, 

technology transfer is a significant part of the mission and programmatic activities of the 

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

Administration (NOAA), and the National Telecommunications and Information 

Administration’s (NTIA) Institute for Telecommunication Sciences (ITS). Accordingly, this 

report focuses on the activities of these agencies. 

This report is in response to the statutory requirement for an annual “agency report on 

utilization” (15 U.S.C. Section 3710(f)) process established by the Technology Transfer 

Commercialization Act of 2000 (Pub. L. 106-404). All federal agencies that direct one or more 

federal laboratories or conduct other activities under Section 207 and 209 of Title 35, United 

States Code are subject to the requirements of this statute. 

This report summarizes the Department’s overall and laboratory- specific approaches, and its 

plans for technology transfer. The report focuses on current year activities and 

accomplishments, but provides statistical information from FY 2006 through FY 2010. 

This report has been organized and prepared with the participation of the NIST, NOAA and ITS 

technology transfer offices. An electronic version of this report and versions from previous 

fiscal years are available online at: http://www.nist.gov/tpo/transfer_20101013.cfm 
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v 

TABLE OF CONTENTS

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

Summary of Technology Transfer Activities FY 2006 – FY 2010 ............................................ 2

CHAPTER 2 - National Institute of Standards and Technology ................................................. 5

Approach and Plans for Technology Transfer ............................................................................ 5

Additional Details in FY 2010 .................................................................................................. 10

Downstream Outcomes from NIST Technology Transfer Activities ....................................... 14

CHAPTER 3 - National Oceanic and Atmospheric Administration.......................................... 17

Approach and Plans for Technology Transfer .......................................................................... 17

Additional Details in FY 2010 .................................................................................................. 19

Downstream Outcomes from NOAA Technology Transfer Activities .................................... 24

CHAPTER 4 - National Telecommunications and Information Administration 

Institute for Telecommunication Sciences .................................................................................. 29

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

Additional Details in FY 2010 .................................................................................................. 31

Downstream Outcomes from ITS Technology Transfer Activities .......................................... 35

SUMMARY................................................................................................................................... 36
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1 

CHAPTER 1 

Department of Commerce Overview 

Technology transfer plays an important role in the Department of Commerce’s (hereinafter, the 

Department) mission to advance economic growth and job opportunities within the United 

States. The Department works in partnership with businesses, universities, state governments, 

and communities to promote innovation and to improve the nation’s overall competitiveness in 

the global economy. The Department 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. 

 

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

and advanced science and technology at the National Institute of Standards and Technology 

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

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

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

programmatic activities in each of these agencies’ federal laboratory systems. Technology 

transfer is about connecting the technological advances from the Department’s science and 

engineering programs to the American economy. 

In addition to the technology transfer efforts of the Department’s own laboratories, the 

Department is responsible for coordinating the technology transfer activities across federal 

agencies. Through NIST, the Department hosts the Interagency Workgroup for Technology 

Transfer, which facilitates interagency discussion on policy, new approaches to technology 

transfer, and lessons learned from agency technology transfer programs. NIST also serves as the 

host agency for the Federal Laboratory Consortium for Technology Transfer, the nationwide 

network of federal laboratories that provides a forum to develop strategies and opportunities for 

linking laboratory mission technologies and expertise with the marketplace. 

The Department also has a leading role in leveraging the resources of the federal government to 

enhance the understanding and promotion of innovation, entrepreneurship and commercialization 

in America. In an effort to advance these goals, NIST and the Economic Development 

Administration (EDA) are coordinating a multi-agency effort to understand the current state of 

affairs in commercializing technologies developed in federal laboratories. This high-level study 

is helping to set the stage for future collaborative work between the Department of Commerce 

bureaus and other federal agencies. 

More information about Department of Commerce technology transfer is available on the 

following websites: 

NIST: http://www.nist.gov/tpo/index.cfm; NOAA: http://www.noaa.gov/ 

ITS: http://www.its.bldrdoc.gov/programs/tech_transfer/
2 

Summary of Technology Transfer Activities FY 2006 – FY 2010 

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

Department’s federal laboratories. This information covers intellectual property 

(patents/licenses), cooperative research and development relationships, and other technology 

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

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

 The Department’s technology transfer activities include more than cooperative R&D agreements 

(CRADAs), patenting, and licensing. Technology transfer is also accomplished through 

technical publications, technical support development for industrial standards and materials, 

other public dissemination such as meetings and workshops, and opportunities for guest 

researchers, post-doctoral fellows, students and other collaborating professionals from across the 

United States to participate in federal laboratory activities. 

The Technology Transfer Commercialization Act of 2000 (Pub. L. 106-404, codified in 15 

U.S.C. Section 3710(f)) requires each federal agency to report to Congress the results of its 

technology transfer activities. This information is also required by Office of Management and 

Budget Circular A-11. The following tables present the required data. The information 

presented in this report is based on a stable framework of metrics that has been used traditionally 

to evaluate the effectiveness of technology transfer. The Department continues to explore the 

development of better metrics for technology transfer statistics. 

Invention Disclosure and Patenting 

FY 

2006

FY 

2007

FY 

2008

FY 

2009

FY

2010

● New inventions disclosed

 NIST 

NOAA 

ITS

Department

10

4

 0

14

29

3

 0

32

40

0

 0

40

 36

5(2)

 0

41(2)

30

4

0

34

● Patent applications filed

 NIST 

NOAA 

ITS 

Department

4

0

 1

5

 6

 2

 0

8 (1)

18

3

 0

21

18

1

 0

19

15

1

0

16

● Patents issued 

 NIST

NOAA 

ITS

Department

6

0

 1

7

 3

0 (1)

 0

 3

1

1

 0

2

7

0

 0

7

7

0

0

7

(1) Reflects correction of data from FY 2007 Report. 

(2) Reflects correction of data from FY 2009 Report. 
3 

Licensing – Profile of Active Licenses 

FY 

2006

FY 

2007

FY 

2008

FY 

2009

FY 

2010

● All Department of Commerce 

licenses

111(1) 222(1) 29 40 41

 Patent licenses 

 NIST

NOAA 

ITS

Department

24(1)

 5

 7

 35

30(1)

 6

 10

46(1)

23 

6 

0

29

33

7

 0

40

35

6

0

41

 Other invention licenses 

ITS 75 176 0 0 0

(1) Reflects correction of data from FY 2008 Report. 

Characteristics of Licenses Bearing Income 

FY 

2006

FY 

2007

FY

2008

FY 

2009

FY

2010

● All income-bearing licenses 

Department 30 35 25 27 24

 - Patent licenses 

 NIST

NOAA

ITS

18

5

 7

21

4

10

21 

4 

 0 

22

5

 0

22

4

0

 ▫ Exclusive, partially exclusive, 

non-exclusive 

 NIST

 NOAA

ITS

 Department

16, 0, 2

 1, 0, 4

 0, 0, 7

17, 0, 13

 16, 0, 5

 0, 0, 4

 0, 0, 10

 16, 0, 19

14, 0, 7

 0, 0, 4

 0, 0, 0

14, 0, 11

15, 0, 7

 0, 0, 5

 0, 0, 0

15, 0, 12

15, 0, 7

 0, 0, 4

 0, 0, 0

15, 0,11
4 

Income from Licensing 

FY 

2006

FY

2007

FY

2008

FY 

2009

FY

2010

● Total income Department $194,393 $224,847 $292,647 $335,889 $237,259

 NIST 

 NOAA

 ITS

$156,793

$13,100

$24,500

$195,347

$22,000

$7,500

$223,640

$69,007

$0(3)

$197,445

$138,444(2)

$0

$202,216

$35,043

$0

(2) Increase is due to a license with The Walt Disney Company for NOAA's Science on a Sphere for a one-time 

royalty of $75,000. (3) ITS no longer licenses Video Quality Metric (VQM) technology. This software is available 

free of charge via open-source download. 

Collaborative Relationships for Research and Development 

FY 

2006

FY 

2007

FY 

2008

FY 

2009

FY

2010

● CRADAs* 

 ▪ Traditional CRADAs 

NIST 

NOAA

ITS

 Department

135

6

 8

149

140

5

 9

154

121

 4

 6

131

 65(1)

 5

 7

 77

65

5 

 7 

77

 ▪ Non-traditional CRADAs 

 NIST

ITS

Department

2,353

 506

2,895

2,348

 276

2,510

 2,224

 35(2)(3)

 2,259

2,284

 25

2,309

2,297

 25 

2,309

*CRADA = Cooperative Research and Development Agreement 

(1) Decrease in CRADAs attributed to successful conclusion of multi party CRADA Consortiums. (2) In 2008 ITS 

removed some of its telecommunication analysis services from the Web. These services provided network-based 

access to research results, models, and databases supporting applications in wireless system design and analysis. As 

a result, there was a significant decrease in the number of CRADAs between the government and industry that 

allowed for improvement to these models. ITS is working on a newer geographic information system- (GIS-) based 

platform for the modeling services, which will be available in the future. 

(3)Reflects correction of data from FY 2007 Report. 

Later chapters provide agency-specific information and details on the above metrics. 
5 

CHAPTER 2 

 National Institute of Standards and Technology 

Approach and Plans for Technology Transfer 

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

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

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

An important part of NIST’s activities is to anticipate future measurement and standards needs of 

U.S. industry. Rapidly evolving sectors like nanotechnology, biotechnology, homeland security, 

information technology, and advanced manufacturing need sophisticated technical support 

systems in order to flourish and grow. NIST laboratories develop measurement techniques, 

reference data, test methods, standards, and other technologies and services that support U.S. 

industry, scientific research, and the activities of many other federal agencies. In carrying out its 

mission, NIST works directly with industry partners (individual companies and consortia), 

universities, other domestic and foreign associations, and other government agencies. 

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

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

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

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

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

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

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

uses many different collaboration mechanisms to promote innovation and ensure that the 

resulting technologies are broadly disseminated. 

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

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

NIST uses the following mechanisms to transfer its knowledge, intellectual property and other 

technical assets: 

• Patents and licenses 

• Cooperative Research and Development Agreements (CRADAs) 

• Research Agreements 

• International Cooperation Agreements 

• Guest Researchers 

• Small Business Innovation Research (SBIR) 

• User Facilities 

• Technical publications 
6 

• Standard Reference Materials 

• Standard Reference Data 

• Calibration and Accreditation Services 

• Software tools 

• Conferences, workshops, and inquiries 

• Participation in Documentary Standards Committees 

Patents and Licensing 

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

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

innovation and industrial competition. NIST will seek patent protection when a patent: 

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

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

would further the goals of a Cooperative Research and Development Agreement (CRADA) or 

other agreement. NIST conducts periodic informational sessions and meetings with NIST staff 

to emphasize the importance of NIST invention policies and procedures, and the use of these 

policies and procedures to advance their research and fulfill NIST’s mission. (See: 

http://tsapps.nist.gov/techtransfer/) 

Cooperative Research and Development Agreements (CRADAs) 

Cooperative research and development between federal laboratories, academia and outside 

partners is an effective means for technology transfer. Beyond the improved know-how and new 

technologies that result, these joint efforts often help collaborators to leverage each other’s 

resources and technical capabilities. They also provide mechanisms for collaborators to gain 

new technical competencies and acquire new skills. Cooperative Research and Development 

Agreements (CRADAs) are a mechanism for establishing joint relationships with industry 

academia, and state and local governments. A CRADA is an agreement between a federal 

laboratory and one or more partners to collaborate on defined R&D projects. The legal authority 

for CRADAs was created by the Federal Technology Transfer Act of 1986 with the aim of 

encouraging federal laboratories to participate in R&D partnerships to advance promising new 

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

Guest Researchers 

Each year thousands of researchers visit NIST to participate in collaborative projects. (See: 

http://www.nist.gov/tpo/collaborations/guestresearchers.cfm). Technology transfer involves not 

only inventions, innovations, data, patents and licenses, but also “people.” While inventions 

with commercial potential are an important element of technology transfer, hosting innovative 

guest scientists at NIST are of equal importance in accomplishing NIST’s technology transfer 

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

guest researchers, collaborators, student fellows, and post-doctoral fellows. After their tenures at 

NIST, many will seek career opportunities in academia, the private sector, or the federal 

government. While some guest researchers’ work at NIST may result in inventions, all of them 

will leave NIST with technical and research skills that place them on the cutting edge of their 

disciplines. Each individual brings to their new careers and their new employers these skills, 
7 

knowledge and a desire to employ them in innovative ways. Moreover, these “NIST alumni” 

bring to their new employers knowledge of how to collaborate with federal laboratories and 

knowledge of federal resources that are available to assist companies as they create and develop 

new and improved technologies. This focus on NIST alumni reflects NIST’s view that 

technology transfer involves “people” transferring new knowledge as well as innovative 

“things.” 

NIST has been recognized1 as a vital contributor to encouraging and supporting the nation’s 

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

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

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

enrich basic research programs such as: 

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

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

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

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

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

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

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

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

NIST has also begun a program to provide students and post-doctoral fellows with information 

on the use of science in industry, including co-sponsoring a career fair with other agencies and 

Rockville Economic Development, Inc. 

In addition, NIST jointly operates the following research organizations established to promote 

cross-disciplinary collaborations (see: http://www.nist.gov/locations.cfm): 

• JILA2, Boulder, CO, a world-class physics research institute jointly operated by NIST 

and the University of Colorado at Boulder 

• Center for Advanced Research in Biotechnology, Rockville, MD, an interdisciplinary 

partnership in cutting-edge biotechnology between NIST and the University of Maryland 

Biotechnology Institute 

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

physics research that is jointly operated with the University of Maryland 

• Hollings Marine Laboratory, Charleston, SC, a national center for coastal ocean science, 

in which NIST is one of five federal, state, and university partners 

 

Small Business Innovation Research (SBIR) 

 

1

 The Federal Laboratory Consortium (FLC) gave its 2011 award for excellence in the support of STEM education 

to six NIST employees. 

2

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

Laboratory Astrophysics.” At present, according to common usage, JILA stands for “JILA,” a joint NIST-UC 

research institute. 
8 

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

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

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

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

User Facilities 

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

operates two unique and valuable laboratory facilities – the NIST Center for Neutron Research 

(NCNR) and the Center for Nanoscale Science and Technology (CNST). The NCNR is a 

national center for research using thermal and cold neutrons. Many of its instruments rely on 

intense beams of cold neutrons emanating from an advanced liquid hydrogen moderator. The 

CNST supports the development of nanotechnology from discovery to production. The Center 

operates a national shared-use nanofabrication and measurement facility (the NanoFab), 

complemented by a multidisciplinary research staff creating the next generation tools for 

advancing nanotechnology. (See: http://www.nist.gov/user-facilities.cfm)

Technical Publications 

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

its research to industry, academia, and other agencies. NIST staff author more than 1,200 

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

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

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

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

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

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

Standard Reference Materials 

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

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

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

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

Standard Reference Data 

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

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

data is extracted from scientific and technical literature, or from measurements done at NIST 

laboratories, and critically evaluated by for accuracy and reliability. NIST’s SRD databases 

cover many areas of science, including analytical chemistry, atomic and molecular physics, 

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

Calibration and Accreditation Services 

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

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

services are designed to help manufacturers and users of precision instruments achieve the 
9 

highest possible levels of measurement quality and productivity. (See: 

http://www.nist.gov/calibrations/index.cfm) 

The National Voluntary Laboratory Accreditation Program (NVLAP) is a voluntary and feesupported program to accredit laboratories that are found competent to perform specific tests or 

calibrations, or types of tests or calibrations. Through laboratory accreditation, NIST efficiently 

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

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

Software Tools 

NIST provides a wide variety of application software programs and testing tools to U.S. industry, 

academia and other interested users. NIST develops standards, conformance tests, tools, and 

methods to evaluate the quality of software and the software’s conformation to standards. 

Conferences, Workshops, and Inquiries 

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

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

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

technology. During FY 2010, NIST hosted 83 conferences with more than 8300 conference 

participants. Further, NIST staff was made available to answer over 6,564 e-mail, telephone, and 

mail inquiries from the public, including inquiries from researchers requesting information and 

details about NIST technical developments and research results. 

Participation in Documentary Standards Committees 

NIST transfers technology through active participation in documentary standards developing 

organizations, which develop consensus standards on a range of technologies. NIST 

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

directly into standards setting bodies. NIST also reports these activities to the Office of 

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

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

Training 

Over the past five years, approximately 6,100 students have participated in NIST Seminars. 

During FY 2010, about 1,200 students participated in over 60 NIST measurement and 

documentary standards seminars. These seminars were taught by: scientists from other National 

Metrology Institutes in the Americas; officials from U.S. federal agencies; weights and measures 

officials from state government; laboratory staff from U.S. industry calibration laboratories; and 

middle-school science teachers. In addition to laboratory and classroom courses, NIST offers 

special webinars to participants. 

NIST Training (FY2006 through FY2010): Focus on Measurement and Standards 

Fiscal Year Number of Classes Number of People Trained

2006 60 1029

2007 61 1812

2008 63 1302

2009 44 792

2010 61 1202
10 

Additional Details in FY 2010 

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

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

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

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

patenting, and licensing. The data includes other technology transfer mechanisms utilized by the 

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

publications produced, calibration tests, and guest researcher collaborations. 

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

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

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

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

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

performance and plans its work through: economic impact studies; peer review and other forms 

of external assessment; customer feedback; and quantitative output metrics. From 2000 to 2009, 

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

that the ratio of overall return on investment is 36:1. 3

Additional details on NIST economic 

performance measures are available online at 

http://www.nist.gov/director/planning/impact_assessment.htm. NIST also reports its 

performance through Department of Commerce Government Performance and Results Act of 

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

 Collaborative Relationships for Research and Development 

FY 

2006

FY

2007

FY

2008

FY

2009

FY

2010

● CRADAs*, total active in the fiscal year (1) 2,488 2,488 2,343 2,343 1465

 - New, executed in the fiscal year 1,646 1,585 1,575 1,492 1390

 ▪ Traditional CRADAs, (2) total active in 

the fiscal year

 135 140 121 655 66

 - New, executed in the FY 74 20 12 19 16

 ▪ Non-traditional CRADAs, (3) total active 

in the fiscal

 Year

2,353 2,348 2,224 2,284 1399

 - New, executed in the fiscal year 1,572 1,565 1,565 1,473 1374

● Other types of collaborative R&D 

relationships

 ▪ Guest scientists and engineers during the 

fiscal year (4)

2,114 2,672 2,816 2,828 2,897

*CRADA = Cooperative Research and Development Agreement. 

(1) “Active” means agreements in force at any time during the fiscal year. “Total active” is comprehensive of all agreements 

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

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

 

3

 Various internal NIST studies performed by Dr. Gregory Tassey, Senior NIST Economist during the period 2000 

through 2009. 
11 

(3) CRADAs used for special purposes, such as laboratory accreditation, materials transfer or technical assistance that may result 

in protected information. 

(4) “Guest scientists and engineers” includes foreign and domestic guest researchers and researchers working at NIST under 

Intergovernmental Personnel Act (IPA) agreements, CRADAs, and Facility Use Agreements. 

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

Licensing Details 

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

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

as copyright licenses. 

Profile of Active Licenses 

FY

2006

FY

2007

FY

2008

FY

2009

FY

2010

● All licenses, number total active in the 

fiscal year (1)

24 30 23 33 35

 ▫ New, executed in the fiscal year 3 5 2 11 5

 ▪ Invention licenses, total active in the 

fiscal year

24 30 23 33 35

 ▫ New, executed in the fiscal year 3 5 2 11 5

 - Patent licenses, (2) total active in the 

fiscal year

24 30 23 33 35

 ▫ New, executed in the fiscal year 3 5 2 11 5

 - Material transfer licenses 

(inventions), total active

0 0 0 0 0

 ▫ New, executed in the fiscal year 0 0 0 0 0

 - Other invention licenses, total active 

in the fiscal year

0 0 0 0 0

 ▫ New, executed in the fiscal year 0 0 0 0 0

 ▪ Other IP licenses, total active in the 

fiscal year

0 0 0 0 0

 ▫ New, executed in the fiscal year 0 0 0 0 0

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

 ▫ New, executed in the fiscal year 0 0 0 0 0

 - Material transfer licenses (noninventions), total active0 0 0 0 0

 ▫ New, executed in the fiscal year 0 0 0 0 0

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

(2) Includes pending patent applications. 
12 

Licensing Management 

FY 

2006

FY

2007

FY

2008

FY 

2009

FY

2010

● License negotiation time,(1) licenses 

granted in the fiscal year

 ▪ Invention licenses (Patent licenses) (2)

 ▫ Average, months

 ▫ Minimum

 ▫ Maximum

6.0

1.0

13.0

2.0

1.0

3.0

 10.5(3) 

3.0(3)

 2.0 

4.8

3

7

3

2

4

● Licenses terminated for cause, number in 

the fiscal year

 

 ▪ Invention licenses (Patent licenses) (2) 0 0 0 0 0

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

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

negotiations.) 

(2) Patent licenses include pending patent applications. 

(3) These numbers reflect an increase in income-bearing licenses, which take longer to negotiate than royalty-free 

research licenses. 

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

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

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

Characteristics of Licenses Bearing Income

FY 

2006

FY

2007

FY

2008

FY 

2009

FY

2010

● All income bearing licenses, (1) total 

number

18 21 21 22 22

 ▫ Exclusive

 ▫ Partially exclusive

 ▫ Non-exclusive

16

0

2

16

0

5

14

0

7

15

0

7

15

0

7

 ▪ Invention licenses (Patent licenses),(1) (2) 

 total distributed, income bearing 

18 21 21 22 22

 ▫ Exclusive

 ▫ Partially exclusive

 ▫ Non-exclusive

16

0

2

16

0

5

14

0

7

15

0

7

15

0

7

 ▪ Other IP licenses, income bearing 0 0 0 0 0

● All royalty bearing licenses, (3) total 

number

18 21 21 22 22

 ▪ Invention licenses, royalty bearing 18 21 21 22 22

 - Patent licenses,(2) royalty bearing 18 21 21 22 22

 ▪ Other IP licenses, royalty bearing 0 0 0 0 0

(1) Detailed statistics are required under the Technology Transfer Commercialization Act of 2000 (Pub. L. 106- 

404) [15 U.S.C. Section 3710 (f)]. 

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

(3) Royalties are only one component of total license income. 
13 

Income from Licenses 

FY 

2006

FY

2007

FY

2008

FY 

2009

FY

2010

● Total income, all licenses active in FY (1) $156,793 $195,347 $223,640 $197,445 $202,216

 ▪ Invention licenses (patent licenses)(2) $156,793 $195,347 $223,640 $197,445 $202,216

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

 

● Total Earned Royalty Income (ERI) (3)(4) $156,793 $195,347 $223,640 $197,445 $202,216

 ▫ Median ERI $5,000 $15,000 $20,000 $15,625 $3,438

 ▫ Minimum ERI $640 $1,280 $640 $320 $1,245

 ▫ Maximum ERI $85,403 $169,067 $100,000 $100,000 $100,000

 ▫ ERI from top 1% of licenses dw dw dw dw dw

 ▫ ERI from top 5% of licenses dw dw dw dw dw

 ▫ ERI from top 20% of licenses dw dw dw dw dw

 ▪ Invention licenses (Patent licenses)(2) )(4) $156,793 $195,347 $223,640 $197,445 $202,216

 ▫ Median ERI $5,000 $15,000 $20,000 $15,625 $3,438

 ▫ Minimum ERI $640 $1,280 $640 $320 $1,245

 ▫ Maximum ERI $85,403 $169,067 $100,000 $100,000 $100,000

 ▫ ERI from top 1% of licenses dw dw dw dw

 ▫ ERI from top 5% of licenses dw dw dw dw dw

 ▫ ERI from top 20% of licenses dw dw dw dw dw

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

 

“n/a” means that the data is not available from the agency at time of this report. 

“dw” means data withheld to protect proprietary information. 

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

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

patent costs and Standard Reference Data. 

(2) Patent license tally includes licenses to pending patent applications. 

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

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

(4) Detailed statistics are required under the Technology Transfer Commercialization Act of 2000 (Pub. L. 106-

404) [15 U.S.C. Section 3710 (f)].

Disposition of Invention License Income 

FY

2005

FY 

2006

FY 

2007

FY 

2008

FY 

2009

● Income distributed (1)

 ▪ Invention licenses, (Patent licenses), (2) 

 total distributed

$123,348 $156,793 $195,347 $223,640 $197,445

 - To inventor(s) $48,148

(39%)

$47,536

(30%)

$65,100

(33%)

$75,140

(33%)

$66,757

(34%)

 - To NIST (3) $75,199

(61%)

$109,257

(70%)

$130,247

(67%)

$148,500

(66%)

$130,688

(66%)

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

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

(3) NIST only in FY 2001-2004. Percentages indicate amounts of total licensing income to inventors and to NIST 
14 

Other Performance Measures Deemed Important by the Agency 

FY

2006

FY

2007

FY

2008

FY 

2009

FY

20104

Standard Reference Materials (SRMs) 

available (1)

1,302 1,285 1,282 1,283 1283

Standard Reference Materials (SRMs) units 

sold (2)

31,195 32,614 33,373 29,769 31,667

Standard Reference Data (SRD) titles 

available (3)

 113 109 102 120 120

Number of calibration tests performed (4) 13,127 27,489* 25,944 18, 609 17,697

Technical publications in peer-reviewed 

journals(5)

 1,163 1,272 1,271 1,463 1,243

* The number of calibration tests performed in FY 2007 was significantly higher than the number of tests performed 

in FY 2005 and FY 2006 due principally to a surge in calibration testing for the military and its contractors. 

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

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

expects slight growth in the number of SRMs available. 

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

been expecting a continuing slight decline in the number of SRM units sold, as NIST made greater use of 

highly leveraged SRM services over time, including accreditation of Nationally Traceable Reference 

Material producers. However, in FY 2005, the number of SRMs sold increased. Some possible contributing 

factors include the implementation of new Environmental Protection Agency (EPA) regulations, 

environmental activities, an increase in construction projects, and the availability of previously out-of-stock 

SRMs. 

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

continued modest growth in the total number of SRD titles available. Of those titles currently available, 

about 40% are available for sale, and 60% are free online systems. Over time, a larger percentage of SRDs 

will be distributed via the Internet. New growth in online systems was anticipated for FY 2008-09 with the 

release of fee-based titles for the Internet. 

(4) Calibration tests performed by the NIST laboratories. 

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

journals. 

Downstream Outcomes from NIST Technology Transfer Activities 

Advanced Combinatorial Testing Suites

A NIST software testing tool, the “Advanced Combinatorial Test Suites” (ACTS), is available to 

industry, academia and other government agencies. The software provides a systematic means 

for testing complex software failure modes, caused by the interaction of changing software 

parameters, during high user/high data volume operations. A 2002 study5

 by the US Department 

of Commerce found that ineffective or incomplete software testing costs US industry $59.5 

billion a year. Thus, the need for dramatic improvements in software testing is a top priority for 

the Department. 

 

5

Gregory Tassey, “The Economic Impacts of Inadequate Infrastructure for Software Testing,” Planning Report 02-

3, May 2002, http://www.nist.gov/director/prog-ofc/report02-3.pdf 
15 

ACTS generates failure test suites based on possible modes of system failure defined by various 

combinations of system operating parameters. ACTS can accommodate combinations of 2 to 6 

different parameter. Prior to ACTS, construction of test scenarios for combinations of 2 to 6 

parameters, even with the fastest processors, required many hours or days for large and/or 

complex configurations. The ACTS tool represents a breakthrough in software testing 

technology; it constructs smaller test suites in a fraction of the time required than other available 

tools. 

The NIST ACTS team used an innovative approach – distribution of test copies via world-wideweb – to field test the ACTS software. In January 2009 the ACTS team initially distributed 185 

copies of ACTS on an open- source basis to targeted federal agencies, academic institutions, and 

private sector firms including Microsoft, Lockheed Martin, Cisco, SAP, AT&T and SAIC. 

Recipients were urged to share the technology with others having an interest in software testing. 

Through the use of innovative social networking based marketing, the number of systems 

deployed increased to more than 800. As a part of the overall technology transfer effort, NIST 

team members were available to all recipients for technical consultation and collaboration. At 

present, the total number of ACTS units deployed throughout the world, both through target 

distribution and user sharing, is estimated to be in excess of 5,000 and growing. 

RoboCrane® Erects New Safe Confinement Structure for Chernobyl Nuclear Plant 

A modified version of the RoboCrane®, a unique floating platform developed by NIST, will be 

used for cleanup operations over the destroyed reactor number four at the former Chernobyl 

nuclear power plant in northern Ukraine. PaR Systems, a company based in Minneapolis/St. 

Paul, Minn., licensed the computer-controlled roving tool platform for use in the area 

immediately surrounding the exploded reactor core to help erect the New Safe Confinement 

structure for the reactor. 

The RoboCrane®, developed at NIST in the 1990s, expands on the principle of a Stewart 

platform, a device that uses three sets of paired winches (motor-driven spools of cable) to 

suspend and manipulate a platform with six degrees of freedom (lateral, longitudinal, vertical, 

roll, pitch and yaw). Stewart platforms are commonly used as the base for flight simulators. The 

platform’s precision maneuverability throughout a large space, and its ability to accommodate a 

large variety of tools, make it ideal for this type of cleanup operation. PaR will affix a variety of 

interchangeable tools to the end of the spine, including a robotic arm, drill, jackhammer, shear, 

high-power vacuum system and closed circuit television viewing system, all of which will be 

operated remotely. 

Integrated Colony-Counting Software Solution to Pneumonia Vaccine Testing Problems 

NIST scientists have found a way to improve the efficiency of a pneumonia vaccine testing 

method developed at the University of Alabama at Birmingham (UAB). Pneumonia is the 

world's leading cause of death in children under five years of age, and it poses a serious risk to 

elderly adults. The leading cause of pneumonia worldwide is the pneumococcus bacterium, 

which also causes meningitis, sepsis and other complications. Pneumococcus has more than 90 
16 

strains that vary by geographic region and change over time. Consequently, ongoing testing is 

necessary to monitor existing vaccines and advance new ones. 

One novel high-throughput testing method involves culturing the bacteria along with a 

vaccinated person's blood serum and human white blood cells. If the vaccine is effective, the 

white cells kill the pneumococci and very few of the bacteria survive. Scientists can determine 

the vaccine's effectiveness by counting the number of surviving pneumococcus colonies. 

Therefore, rapid, accurate and standardized counting of these colonies is critical to this testing 

method. At present, the most commonly used counting process is manual counting, which is 

time-consuming and exhausting. Automated counting devices exist, but they require customized 

image acquisition methods that are expensive and not readily available in developing countries. 

NIST researchers have created software, NIST's Integrated Colony Enumerator (NICE), that 

addresses the above concerns and works on any common imaging device. NICE receives a 

digital image as input and counts colonies grown from single pneumococcal cells. 

NIST Software Security Patent to Improve Health IT Privacy 

Role-Based Access Control (RBAC) Workflow is an algorithm that can be incorporated into a 

larger software designed to control access to information systems. For example, patient 

admission procedure at a hospital involves a number of steps and, at each step, someone requires 

access to patient medical records for specific purposes, such as registering a patient or verifying 

a patient’s insurance information or medical history before initiating emergency treatment. 

This technology was developed with the assistance of a SBIR award. Virtual Global, a provider 

of enterprise cloud solutions, has used the RBAC technology to develop a Health IT platform 

(“HealthCapsule”) for improving patient privacy. 

In 2010 HealthCapsule will enter SBIR Phase III stage, during which HealthCapsule will 

undergo additional validation. After validation, VirtualGlobal will launch the HealthCapsule for 

commercial use. 

Individual Staff Researcher Awards with Technology Transfer Impact 

In 2010 NIST researchers received numerous external awards for their achievements in science 

and technology. One such award includes the election of the following NIST researchers as 

IEEE Fellows, a distinction reserved for select few with extraordinary record of 

accomplishments in any of the IEEE fields of interest: 

• James Baker-Jarvis, NIST Boulder, CO Campus, for contributions to dielectric measurement 

and analysis of microwave measurement structures. 

• Samuel Paul Benz, NIST Boulder, CO Campus, for contributions to quantum-based 

Josephson junction array waveform synthesizer. 

• Christopher L. Holloway, NIST Boulder, CO Campus, for application of new material in the 

field of electromagnetic compatibility. 

• Nicholas G. Paulter, NIST Gaithersburg, MD Campus, for contributions to ultra-high speed 

waveform measurements. 
17 

CHAPTER 3 

 National Oceanic and Atmospheric Administration 

Approach and Plans for Technology Transfer 

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

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

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

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

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

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

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

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

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

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

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

internet, and NOAA Weather Radio. Federal, state, and local governments and the public use 

weather warnings to save lives and prevent destruction of property. Television stations, and 

many weather related firms, use weather data and forecasts in their daily operations. Industry 

uses NOAA data in home construction and design, crop selection, disease control, and fuel 

delivery and supply. Weather data have been used for deciding such diverse applications as 

automobile fuel delivery system design, the best time to market umbrellas, and even for 

determining optimum conditions for breeding honeybees. Accurate and longer range weather 

forecasts depend on an ongoing program of research and development. 

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

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

forecasting, solar emission forecasting, estimating fish stocks, predicting water resources, 

tsunami warning, and charting ocean bottom topography. Research results are transferred to 

NOAA’s operational components to improve prediction, management, and other mission 

activities. 

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

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

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

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

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

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

scientific and technical information to individuals, industry, government, and universities. This 

means of transfer is consistent with the agency’s mission and scientific tradition. Although 

NOAA finds this method of technology transfer to be more efficient and economical, NOAA 

continues to transfer certain intellectual property through licenses and Cooperative Research and 

Development Agreements (CRADAs) when it provides a competitive edge to U.S. companies. 
18 

In FY 2010 NOAA’s technology transfer program disseminated applications resulting from its 

meteorological and oceanographic technologies to individuals, industry, government, and 

universities. In addition, NOAA provided daily weather forecasts and warnings through the 

media and NOAA Weather Radio. NOAA also transferred its technology through presentations 

at scientific meetings, publication in peer-reviewed scientific journals, and through NOAA 

scientific and technical publications. 

NOAA collaborates with other federal research agencies on topics of joint interest in science and 

technology development. For example, NOAA and the Environmental Protection Agency (EPA) 

teamed up to provide new experimental air quality forecast guidance that enables state and local 

agencies to issue more accurate and geographically specific air quality warnings to the public. 

The annual cost of poor air quality to the U.S. from air pollution-related illnesses has been 

estimated at $150 billion. 

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

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

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

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

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

worldwide collaboration and information sharing. This is accomplished through formal 

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

World Meteorological Organization (WMO), the Intergovernmental Oceanographic Commission 

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

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

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

international organizations. NOAA also provides technical assistance and training to individuals 

from other countries, and participates in an international visiting scientist program. Further, 

NOAA shares environmental data through its participation in the World Data Center program. 

In the future, NOAA will continue to direct its technology transfer and international 

collaboration activities toward four mission goals: 

1. Climate Adaptation and Mitigation: An informed society anticipating and responding 

to climate and its impacts; 

2. Weather-Ready Nation: Society is prepared for and responds to weather-related events; 

3. Healthy Oceans: Marine fisheries, habitats, and biodiversity are sustained within healthy 

and productive ecosystems; and 

4. Resilient Coastal Communities and Economies: Coastal and Great Lakes communities 

are environmentally and economically sustainable. 
19 

Additional Details in FY 2010 

Collaborative Relationships for Research & Development 

FY 

2006

FY 

2007

FY 

2008

FY 

2009

FY 

2010

● CRADAs*, total active in the fiscal year (1) 6 5 4 5 6 

 - New, executed in the fiscal year 0 0 1 2(4)

 2 

 ▪ Traditional CRADAs,(2) total active in the fiscal 

year

6 5 4 5 6 

 - New, executed in the fiscal year 0 0 0 0 0 

 ▪ Non-traditional CRADAs,(3) total active in the 

fiscal year

0 0 0 0 0 

 - New, executed in the fiscal year 

 

0 0 0 0 0 

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

CRADA = Cooperative Research and Development Agreement. 

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

executed under CRADA authority (15 USC 3710a). 

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

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

information. 

(4) FY 2009: Correction made to “newly executed” CRADAs; there were two not one as previously reported. 

Licensing 

Profile of Active Licenses 

FY 

2006 

FY 

2007 

FY 

2008 

FY 

2009 

FY 

2010 

● All licenses, number total active in the FY (1) 5 6 6 7 6 

 ▫ New, executed in the FY 1 3 0 1* 0 

 ▪ Invention licenses, total active in the FY 5 6 6 7 6 

 ▫ New, executed in the FY 1 3 0 0 0 

 - Patent licenses,(2) total active in FY 5 6 6 7 0 

 ▫ New, executed in the FY 1 3 0 0 0 

 - Material transfer licenses (inventions), total 

active

0 0 0 0 0 

 ▫ New, executed in the FY 0 0 0 0 0 

 - Other invention licenses, total active in the 

FY

0 0 0 0 0 

 ▫ New, executed in the FY 0 0 0 0 0 
20 

FY 

2006 

FY 

2007 

FY 

2008 

FY 

2009 

FY 

2010 

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

 ▫ New, executed in the FY 0 0 0 0 0 

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

 ▫ New, executed in the FY 0 0 0 0 0

 - Material transfer licenses (non-inventions), 

total active

0 0 0 0 0

 ▫ New, executed in the FY 0 0 0 0 0

 - Other, total active in the FY 0 0 0 0 0

 ▫ New, executed in the FY 0 0 0 0 0

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

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

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

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

* One-Time License only with one-time flat fee royalty 

Licensing Management 

FY 

2006 

FY 

2007 

FY 

2008 

FY 

2009 

FY 

2010 

● Elapsed execution time,

(1) licenses granted in the 

FY

 

 ▪ Invention licenses

 ▫ Average, months

 ▫ Minimum

 ▫ Maximum

7.0 5.0

6.0

7.0

* 7.0 7.0

 - Patent licenses (2)

 ▫ Average, months

 ▫ Minimum

 ▫ Maximum

7.0 5.0

6.0

7.0

* 7.0 7.0

● Licenses terminated for cause, number in the 

FY

 

 ▪ Invention licenses 0 0 0 0 0

 

 - Patent licenses (2) 0 0 0 0 0

Data included in this table (intentionally) addresses only invention licenses, with patent licenses distinguished as a 

sub-class. 

* No new licenses were executed in FY 2004, FY 2005, 2008. 

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

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

negotiations.) 

(2) Patent license tally includes patent applications which are licensed. 
21 

Characteristics of Licenses Bearing Income 

FY 

2006 

FY 

2007 

FY 

2008 

FY 

2009 

FY 

2010 

● All income bearing licenses, total number 5 4 4 5 4 

 ▫ Exclusive

 ▫ Partially exclusive

 ▫ Non-exclusive

1

0

4

0

0

4

0

0

4

0

0

5

0 

0 

4 

 ▪ Invention licenses, income bearing 5 4 4 5 4 

 ▫ Exclusive

 ▫ Partially exclusive

 ▫ Non-exclusive

1

0

4

0

0

4

0

0

4

0

0

5

0 

0 

4 

 - Patent licenses,(1) income bearing 5 4 4 5 4 

 ▫ Exclusive

 ▫ Partially exclusive

 ▫ Non-exclusive

1

0

4

0

0

4

0

0

4

0

0

5 

0 

0 

 4 

 ▪ Other IP licenses, income bearing 0 0 0 0 0 

 ▫ Exclusive

 ▫ Partially exclusive

 ▫ Non-exclusive

 

 - Copyright licenses (fee bearing) 

 ▫ Exclusive

 ▫ Partially exclusive

 ▫ Non-exclusive

 

● All royalty bearing licenses,

(2) total number 5 4 4 5 4 

 ▪ Invention licenses, royalty bearing 5 4 4 5 4 

 - Patent licenses,(1) royalty bearing 5 4 4 5 4 

 ▪ Other IP licenses, royalty bearing 0 0 0 0 0 

 - Copyright licenses (fee bearing) 5 4 4 5 4 

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

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

the licensee including patent costs. 

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

(2) Note that royalties are one component of total license income. 
22 

Income from Licenses 

FY 

2006 

FY 

2007 

FY 

2008 

FY 

2009 

FY 

2010 

● Total income, all licenses active in the FY (1) $13,100 $22,000 $69,007 $138,444(4) $35,043

 ▪ Invention licenses $13,100 $22,000 $69,007 $138,444 $35,043 

 - Patent licenses (2) $13,100 $22,000 $69,007 $138,444 $35,043 

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

 - Copyright licenses 

● Total Earned Royalty Income (ERI) (3) $13,100 $22,000 $69,007 $138,444 $35,044 

 ▫ Median ERI $1,000 $4,000 $9,007 $19,000 $5,000

 ▫ Minimum ERI $100 $1,000 $1,000 $1,000 $1,000

 ▫ Maximum ERI $5,000 $9,000 $25,000 $75,000 $17,044

 ▫ ERI from top 1% of licenses $5,000 $9,000 $25,000 $75,000 $17,044

 ▫ ERI from top 5% of licenses $5,000 $9,000 $25,000 $75,000 $17,044

 ▫ ERI from top 20% of licenses $5,000 $9,000 $25,000 $75,000 $17,044

 ▪ Invention licenses $13,100 $22,000 $69,007 $138,444 $35,044

 ▫ Median ERI $1,000 $4,000 $9,007 $19,000 $5,000

 ▫ Minimum ERI $100 $1,000 $1,000 $1,000 $1,000

 ▫ Maximum ERI $5,000 $9,000 $25,000 $75,000 $17,044

 ▫ ERI from top 1% of licenses $5,000 $9,000 $25,000 $75,000 $17,044

 ▫ ERI from top 5% of licenses $5,000 $9,000 $25,000 $75,000 $17,044

 ▫ ERI from top 20% of licenses $5,000 $9,000 $25,000 $75,000 $17,044

 - Patent licenses (2) $13,100 $22,000 $69,007 $138,444 $35,044 

 ▫ Median ERI $1,000 $4,000 $9,007 $19,000 $5,000

 ▫ Minimum ERI $100 $1,000 $1,000 $1,000 $1,000

 ▫ Maximum ERI $5,000 $9,000 $25,000 $75,000 $17,044

 ▫ ERI from top 1% of licenses $5,000 $9,000 $25,000 $75,000 $17,044

 ▫ ERI from top 5% of licenses $5,000 $9,000 $25,000 $75,000 $17,044

 ▫ ERI from top 20% of licenses $5,000 $9,000 $25,000 $75,000 $17,044

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

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

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

costs. 

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

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

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

(4) Increase is due to a license with Walt Disney for NOAA's Science on a Sphere for a one-time royalty of 

$75,000. 
23 

Disposition of License Income 

FY

2006

FY

2007

FY

2008

FY

2009

FY

2010

● Income distributed (1) 

 ▪ Invention licenses, total distributed $13,100 $22,000 $69,007 $138,444 $35,044 

 - To inventor(s) $7,500

(57%)

$12,200

(55%)

$21,802

(32%)

$45,153

(33%)

$14,514 

(41%) 

 - To other $5,600

(43%)

$9,800

(45%)

$46,205

(68%)

$93,291

(67%)

$20,530 

(59%) 

 - Patent licenses, (2) total distributed $13,100 $22,000 $69,007 $138,444 $35,044 

 - To inventor(s) $7,500

(57%)

$12,200

(55%)

$21,802

(32%)

$45,153

(33%)

$14,514 

(41%) 

 -To other $5,600

(43%)

$9,800

(45%)

$46,205

(68%)

$93,291

(67%)

$20,530 

(59%) 

Invention licenses are the chief policy interest regarding disposition of income; content of table reflects this focus. 

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

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

Other Performance Measures Deemed Important by the Agency: 

FY

2006

FY 

2007*

FY 

2008*

FY 

2009*

FY 

2010

Journal articles published 444 909 838 789 709

Technical reports published 148 284 258 186 158

*Publication counts have been recently updated by the NOAA Laboratories for FY 2007, FY 2008 and FY 2009. 

GREAT LAKES ENVIRONMENTAL RESEARCH 

LABORATORY

FY

2007

FY

2008

FY 

2009

FY 

2010

Website hits (HTML pages) (M) 2,244,420 3,086,605 2,790,351 2,941,319

Website downloads (PDF pages)—brochures, research 

papers, technical memos, etc.

65,740 110,880 93,400 95,137 

*Update made for FY2007 and FY 2008 on number of articles published and reports published. 
24 

Prestigious Awards for NOAA’s Scientific Technology received in FY 2010 

NOAA Technology Transfer Award: 

Harold Barnet, National Marine Fisheries Service, NOAA – In recognition for the development 

and commercialization of a process for transforming fish processing wastes into high quality fish 

meal and oil aquaculture feeds. 

Dusan Zrnic, Office of Ocean and Atmospheric Research, NOAA – In recognition for 

developing a novel method to measure linear orthogonal polarimetric variables without a switch. 

NOAA transferred the patented method to the private sector causing significant savings in the 

implementation of commercial dual polarization radars. 

 NOAA Silver Medal Award: 

Alan Leonardi, Deputy Director, NOAA/OAR/AOML

For exemplary leadership in building a first-of its-kind partnership with Google to disseminate 

NOAA ocean data and information through Google Earth. 

Alan had a productive and fascinating assignment in 2009 – a detail in California with Google. 

His efforts helped incorporate NOAA’s vast ocean data into Google Earth, to include NOAA (& 

worldwide) Bathymetry Data, NOAA Content for Google’s “Explore the Ocean Layer,” and 

NOAA Data in the Google Earth Observations Layer. This unique partnership between NOAA 

and Google is another opportunity to make publicly-owned data easily available and put it in a 

form that people can use with ease. The CRADA between NOAA and Google was signed 

January 6, 2010. 

Downstream Outcomes from NOAA Technology Transfer Activities 

Tsunami Training 

NOAA’s Pacific Marine Environmental Laboratory (PMEL) Center for Tsunami Research 

(NCTR) has developed training programs to assist states and collaborating countries to improve 

tsunami readiness for their citizens. Training includes instruction in the development and 

implementation of tsunami forecast systems, and in providing “train the trainer” classes for 

improving tsunami readiness at the local level. 

• Tsunami Awareness Training 

The NCTR and the Natural Disaster Preparedness Training Center (NDPTC) at the 

University of Hawaii have developed a training course for emergency management officials. 

The course focuses on tsunami mitigation, risk analysis, preparedness, and recovery. In 

2010, 125 students attended three courses presented in Honolulu (HI), Pago Pago (American 

Samoa), and Camp Murray, (WA).

• ComMIT Training 

A Community Model Interface for Tsunami (ComMIT) is a major avenue to transfer 

modeling expertise and capabilities from NOAA to other countries, primarily countries in the 
25 

Indian Ocean. ComMIT can also be used to transfer modeling information between these 

countries. The community model is a critical tool for building tsunami-resilient 

communities. It provides tools for the construction of tsunami inundation maps under 

different scenarios and for real-time tsunami forecast applications. The United Nations 

Educational Scientific and Cultural Organization and the United States Agency for 

International Development provided funds to PMEL/NOAA to develop ComMIT, and it 

allows nations access modeling tools via an internet-enabled interface. ComMIT enables 

government agencies and others in the region to run tsunami models, using data from local or 

remote databases. This approach allows nations without a significant cadre of trained 

modelers to build tsunami modeling capability for forecast and hazard assessment. Further, 

it allows nations with restrictions on sharing geo-spatial data to input that data locally and not 

share it with other web-based model users. Most importantly, the internet-based approach 

creates a virtual regional and global community of modelers using the same tools and 

approaches to understand tsunami threats. In 2010, seventeen scientists received training in 

ComMIT at Daejeon, Republic of Korea. 

• Tsunami “Train the Trainer” Training 

The Washington State Train-the-Trainer program aims to develop an educational curriculum 

to train qualified Tsunami Public Education Instructors. The Train-the-Trainer program is a 

joint effort of the NOAA Center for Tsunami Research (NCTR) and the Washington state 

Emergency Management Division (WA EMD). On 3 June 2010, WA EMD hosted the 2nd

Annual Train-the-Trainer Workshop in Port Angeles, Washington. NCTR and WA EMD 

taught the workshop with the objective of training qualified Tsunami Public Education 

Instructors. This objective is a critical component to the National Tsunami Hazard 

Mitigation Program (NTHMP) Educational Plan. A total of 20 participants from various 

coastal Washington jurisdictions attended the Workshop. Attendees included personnel from 

county and community organizations such as Emergency Management and Community 

Emergency Response Team. 

Cooperative Agreement between NOAA and the University of New Hampshire 

NOAA’s Center for Coastal and Ocean Mapping (CCOM)/ Joint Hydrographic Center (JHC) is a 

University of New Hampshire program aimed at creating a national center for expertise in ocean 

mapping and hydrographic sciences. Guided by a Memorandum of Understanding, with funding 

from the National Oceanic and Atmospheric Administration (NOAA) under a CRADA, the JHC 

operates in partnership with NOAA's National Ocean Service. The CCOM is a University center 

that expands the scope of interaction and cooperation with the private sector, universities and 

other government agencies including the US Geological Survey, the Office of Naval Research, 

the Naval Research Lab, Defense Advanced Research Projects Agency and National Science 

Foundation. The centers focus their activities on two major tasks, an educational task, aimed at 

creating a learning center that will promote and foster the education of a new generation of 

hydrographers and ocean mapping scientists, and a research task aimed at developing and 

evaluating a wide range of state-of-the-art hydrographic and ocean mapping technologies and 

applications. 

Below are a few examples of the work that’s being done under this Cooperative Agreement: 
26 

• The Combined Uncertainty and Bathymetric Editor (CUBE) multi-beam sonar data 

processing algorithm, developed by UNH, is licensed to several major hydrographic software 

firms and is widely used in their commercial packages. This algorithm is rapidly becoming 

the standard for processing multi-beam sonar data worldwide. To date, 11 companies have 

licensed CUBE, but there were no CUBE licenses issued in 2010. The JHC and Science 

Applications International Corporation (SAIC) have entered into an agreement for licensing 

software for the conversion of CUBE Bathymetry Format encoded data to Generic Sensor 

Data format (CBF2GSF). 

• Several software packages have adopted NOAA’s Navigation Surface algorithm for 

managing CUBE’s multi-beam data. This technology is now open-source and managed 

world-wide through an “open navigation surface working group” consisting of 

representatives from government, academia, and industry. NOAA has licensed the Geocoder 

software for seafloor character mapping and acoustic sediment size determination to several 

sonar and software companies. The software is widely used by the private sector and 

governments worldwide. To date, there are six companies licensing Geocoder with several 

more being negotiated. 

• Recently, JHC and the New Hampshire Innovation Research Center successfully transferred 

technology for processing and visualizing mid-water targets from single and multibeam sonar 

data. This software has seen wide use in the Gulf of Mexico at the Deepwater Horizon spill 

site, where it was used to map gas seeps, search for deep oil plumes, and monitor the 

wellhead for leaks. 

Transforming Fish Wastes into Useful Products 

Scientists at NOAA’s Northwest Fisheries Science Center (NWFSC) have partnered with the 

State of Alaska’s Industrial Development and Export Authority (AIDEA) and a private sector 

fish processing plant in Sitka, AK to develop a process for economically transforming fish 

processing wastes into high quality fish meal and oil for aquaculture feeds. The process uniquely 

combines a double drum dryer process commonly used in other industries and includes a plant 

design from a previous (NWFSC) research. The process was successfully piloted at the Center 

and demonstrated to industry. 

This new technological breakthrough includes: 1) it creates a method to stabilize the waste 

enabling managers to “bank” the material when it is either in excess or under the amount needed 

for efficient processing, 2) it uses a mobile plant to handle multiple fisheries and operate more 

days per year, and 3) it uses drum dryers to gently dehydrate the meal and preserve quality. The 

process produces high quality fishmeal, oil, gelatin, and bone meals that perform well in fish 

feeds and pet food. 

The process can be used in a variety of remote and seasonal fisheries that cannot use existing 

waste refining technology. It promises to reduce coastal nutrient pollution from seafood 

processing plants worldwide while providing an environmentally sound source of fishmeal and 

oil for aquaculture and the animal feed industries. With funding from AIDEA, several seafood 

processors in Sitka, Alaska plan to build a plant that will transform the 17 million pounds of 

waste dumped into Sitka harbor every year into useful products having an estimated annual value 

of at least $3.5 million. 
27 

Improved Modeling of Circulation in the Nearshore Zones of Lakes 

In 2010 NOAA’s Great Lakes Environmental Research Laboratory (GLERL) hosted a visiting 

scientist from the Budapest (Hungary) University of Technology and Economics to collaborate 

on lake modeling. Lake St. Clair was used to develop a one-dimensional wind model to improve 

the modeling of circulation in the nearshore zones of lakes. The model accounts for sudden 

changes in surface temperature and roughness at the shoreline, and the atmospheric boundary 

layer providing non-uniform wind shear stress input to lake models. It was found that nearshore 

circulation is very sensitive to the non-uniformity of the wind with important consequences for 

pollutants and sediments. In order to validate the approach, measurements are being made on 

currents close to the main public beach in Detroit, MI. Upon returning to Hungary, the visiting 

scientist will apply these hydrodynamic modeling and forecasting techniques to his work on 

European lakes and rivers. 

Early Warning of Hypoxia and Internal Waves 

The NOAA GLERL’s Real-time Environmental Coastal Observations Network (ReCON) buoy 

array brings together a team of NOAA and Great Lakes institutes to construct experimental and 

integrated environmental observing systems. The integrated environmental observatory provides 

real-time observations of chemical, biological, and physical parameters. Observations from the 

ReCON buoy array have supported the Cleveland Water Department in early warning of hypoxia 

and internal waves at water supply intakes. 

The Cleveland Water Department (CWD) provides drinking water to approximately 1.5 million 

people in 72 communities in Northeast Ohio. The water system gets its source water from the 

Lake Erie Central Basin through four water intakes covering approximately 27 miles of shoreline 

in the greater Cleveland area. Water treatment plants can be exposed to hypoxic waters from 

Lake Erie compromising water quality in the system. When these waters reach CWD intakes, 

pre-treatment operations are disrupted and corrosion control strategies are affected. Low oxygen 

conditions also result in an increase in anaerobic bacteria that contribute high levels of 

manganese leading to drinking water taste and odor problems. Project researchers and CWD 

drinking water processing managers receive real-time information including hourly updates of 

decreasing dissolved oxygen and internal wave status. This gives managers time to prepare 

alternate processing methods. 

Seagrass Restoration 

In January 2010 the Qatar Ministry of Environment invited NOAA’s National Centers for 

Coastal Ocean Science (NCCOS) staff to participate in a week-long workshop on preparing a 

conservation and restoration protocol for seagrasses. Qatari government staff, university 

scientists, United Nations Environmental Program advisors, and regional contractors were 

briefed on conservation and restoration tools developed by NCCOS scientists. The workshop 

program included an evaluation of potential seagrass restoration sites among Qatar’s rich and 

diverse coastal marine resources at two locations where seagrasses were impacted by dredging 

and filling operations. Following the workshop, NCCOS staff prepared a seagrass restoration 

guidelines document for the Ministry of Environment. 
28 

NOAA’s National Centers for Coastal Ocean Science (NCCOS) Domoic Acid Detection Kit 

At the request of the French government, NOAA scientists trained researchers from the French 

Research Institute for Exploitation of the Sea (IFREMER) on how to incorporate the domoic acid 

detection kit developed by NOAA scientists into the French national shellfish monitoring 

system. Domoic acid is a potent neurotoxin produced by bloom-forming microalgae, which 

accumulates in shellfish and causes amnesic shellfish poisoning. It is a major problem in both 

the United States and France. The detection kit developed by NOAA, and commercialized by 

Mercury Science, provides a rapid, accurate and cost-effective method for monitoring this toxin. 
29 

CHAPTER 4 

 National Telecommunications and Information Administration 

Institute for Telecommunication Sciences 

Approach and Plans for Technology Transfer 

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

the National Telecommunications and Information Administration (NTIA). 

ITS supports NTIA telecommunications objectives of promoting advanced telecommunications 

and information infrastructure development in the United States, enhancing domestic 

competitiveness, improving foreign trade opportunities for U.S. telecommunications firms, and 

facilitating more efficient and effective use of the radio spectrum. ITS also serves as a principal 

federal resource for solving telecommunications concerns of other federal agencies, state and 

local governments, private corporations and associations, and international organizations. 

In 2003 ITS added a new metric under the “Other Performance Measures” category: number of 

publications approved through the Editorial Review Board (ERB) process. This metric provides 

a useful working indicator of the number of quality publications released to the public. In 2004 

ITS added a measure for participation on standards committees. In 2006 ITS added another 

metric: the total number of hits on the publications listed on the “ITS Online Documents.” This 

metric more directly provides an indication of ultimate benefit to the public. 

ITS uses three principal means for achieving technology transfer: cooperative research and 

development; technical publications; and leadership and technical contributions in the 

development of telecommunications standards. 

Cooperative Research and Development 

CRADAs, based on the Federal Technology Transfer Act (FTTA) of 1986, are a means through 

which ITS aids the private sector. The FTTA provides the legal basis for, and encourages, 

shared use of government facilities and resources with the private sector in advanced 

telecommunications technologies. 

These partnerships aid in the commercialization of new products and services, as well as enhance 

the capabilities of ITS laboratories. They also provide insights into industry’s needs for 

productivity growth and competitiveness. This enables ITS to adjust the focus and direction of 

its programs for effectiveness and value. 

In FY 2010 ITS’ efforts in technology transfer and commercialization fostered cooperative 

telecommunications research in areas where U.S. companies can directly benefit from improved 

competitiveness and market opportunities. These efforts will continue in future years. ITS also 

participated—as it has for a number of years—in CRADAs with private-sector organizations to 

design, develop, test, and evaluate advanced telecommunication concepts. The private industry 
30 

partner benefits through such cooperative relationships, as does the Institute, because the partner 

is able to research in commercially important areas that it would not otherwise undertake. 

To date, major contributions to personal communication services (PCS), local multipoint 

distribution service (LMDS), ultra wideband (UWB), and Broadband over Power Line (BPL) 

technologies have been achieved through CRADAs. These have aided U.S. efforts to rapidly 

introduce new socially constructive communications technologies. More recently, CRADAs in 

the areas of objective audio and video quality, advanced antennas for wireless systems, and 

remote sensing and global position (GPS) technology have allowed ITS to contribute to the 

development of new products and services. 

Technical Publications 

Publication has historically been the means through which ITS has transferred research results to 

other researchers, the commercial sector, and government agencies. Many of these 

publications—both internal reports and monographs and peer-reviewed articles in external 

scientific journals—have become standard references in several telecommunications areas. 

Technical publication remains a principal means for ITS technology transfer. Most of these 

technical publications are released only after going through an internal peer review process 

managed by the ITS Editorial Review Board (ERB). Of the publications released through the 

ERB process in recent years, approximately one-half were approved for external publication in 

the scientific literature. 

Development of Telecommunication Standards 

This method of ITS technology transfer directly addresses improvement of U.S. competitiveness 

in telecommunications. For several decades, ITS has provided leadership and technical 

contributions to organizations, both national and international, responsible for developing 

telecommunication standards. For example, a plurality of the technical recommendations of the 

International Telecommunication Union (ITU), a treaty organization, are based on research 

conducted at ITS. Also, key national quality-of-service standards developed under the American 

National Standards Institute (ANSI) T1 committee for video, audio, and digital data incorporate 

research results obtained at ITS. 

ITS continues to chair numerous committees and working groups in the ITU, ANSI T1 (now 

ATIS – Alliance for Telecommunications Industry Solutions), and other telecommunication 

standards organizations, providing technical leadership that is trusted by the commercial-sector 

participants. ITS’s technical inputs are relied upon as technically advanced and sound, and as 

unbiased by commercial interests. 

In FY 2010 ITS continued its technical leadership and contributions to communications 

standards for public safety, particularly for first responders. ITS’s primary area of contribution 

has been interoperability standards and testing procedures. ITS’s objective video quality 

measurement method has been made a national standard by ANSI. This method was also the

best-performing metric in comparison testing by the ITU with other methods from around the 

world. 
31 

Additional Details in FY 2010 

Collaborative Relationships for Research & Development

FY 

2006

FY

2007

FY 

2008 (1)

FY 

2009

FY

2010

● CRADAs, total active in the fiscal year (1) 514 285 41 32 42

 - New, executed in the fiscal year 512 280 7 8 16

 ▪ Traditional CRADAs,(2) total active in the fiscal 

year

8 9 6 7 29

 - New, executed in the fiscal year 6 4 6 7 8

 ▪ Non-traditional CRADAs,(3) total active in the 

fiscal year

506 276 35 25 13

 - New, executed in the fiscal year 506 276 1 1 8

● Other types of collaborative R&D relationships

 ▪ Collaborative standards contributions,(4) (5) 

 total active in FY

16 25 25 20 21

 -New, executed in the fiscal year 5 9 10 5 1

CRADA = Cooperative Research and Development Agreement. 

(1) In 2008 ITS took down from the Web some of its telecommunication analysis services. These services 

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

system design and analysis. As a result, the number of CRADAs between the government and industry, which 

allowed for improvement to these models, were down significantly. NTIA-ITS is working on a newer 

geographic information system- (GIS-) based platform for the modeling services, which will be available in 

future years. 

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

under CRADA authority (15 USC 3710a). 

(3) CRADAs involving collaborative research and development by a Federal laboratory and non-Federal partners. 

(4) ITS’ Telecommunications Analysis Services (TA Services) is Internet-accessible through Web-based electronic 

CRADAs. TA Services provides analysis support to private industry and public agencies in the areas of 

wireless system design and evaluation, and site selection. The service is provided on a cost-reimbursable basis, 

24 hours a day, 7 days a week, throughout the year. TA Services currently reaches numerous government and 

private-sector users across the nation, providing the latest versions of ITS-developed telecommunications 

models, databases, and tools. Use of the CRADA makes TA Services available to users in a short time and on a 

cost-reimbursable basis. Additionally, CRADA partners provide useful evaluations of the ITS software used. 

This information aids ITS to improve existing software tools for wireless system design and analysis and to 

develop new ones, benefiting both ITS’ own research capabilities and the resources that outside users can draw 

upon. The CRADA agreement also allows ITS to gain valuable insights from users’ feedback about the rapidly 

changing needs of industry and government in telecommunications technology. 

(5) ITS works with industry to apply research results to the development of telecommunication performance 

standards and guidelines. In FY 2010 ITS worked collaboratively with the ITU, the Telecommunications 

Industry Association, the ATIS, and various Federal public safety groups to interpret and analyze standards and 

regulations. 
32 

Invention Disclosure and Patenting 

FY 

2006

FY 

2007

FY 

2008

FY

2009

FY 

2010

● New inventions disclosed in the fiscal year (1) 1 0 0 0 0

● Patent applications filed in the fiscal year (2) 0 1 0 0 0

● Patents issued in the fiscal year 0 1 0 0 0

● Active patents, end of the fiscal year 6 8 7 7 2

(1) New invention disclosed and provisional patent filed. 

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

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

foreign, and PCT applications.

 Licensing 

Profile of Active Licenses 

FY 

2006

FY

2007

FY

2008*

FY 

2009

FY

2010

● All licenses, number total active in the fiscal year 

(1) (2)

82 186 0 0 0

 ▫ New, executed in the fiscal year 79 179 0 0 0

 ▪ Invention licenses, total active in the fiscal year 82 186 0 0 0

 ▫ New, executed in the fiscal year 79 179 0 0 0

 - Patent licenses,(3) total active in the fiscal 

year

7 10 0 0 0

 ▫ New, executed in the fiscal year 4 3 0 0 0

 - Material transfer licenses (inventions), total 

active

0 0 0 0 0

 ▫ New, executed in the fiscal year 0 0 0 0 0

 - Other invention licenses, (4) total active in the 

fiscal year

75 176 0 0 0

 ▫ New, executed in the fiscal year 75 176 0 0 0

 ▪ Other IP licenses, total active in the fiscal year 0 0 0 0 0

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

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

* This number of licenses for FY2008 through FY 2010 is zero because ITS no longer licenses Video Quality Metric 

(VQM) technology. Instead, ITS has made this software available via open-source download. 

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

(2) As of FY 2008 VQM software is available for download without a license. 

(3) Patent license tally includes patent applications that are licensed. 

(4) International copyright licenses (non-fee-bearing) for VQM technology 
33 

Licensing Management 

FY 

2006

FY

2007

FY

2008*

FY 

2009

FY

2010

● License Negotiation time,

(1) licenses granted in 

the fiscal year 

 ▪ Invention licenses (Patent licenses) (2)

 ▫ Average (or median), months

 ▫ Minimum

 ▫ Maximum

1.5

1.0

2.0

1.0

0.5

1.5

0

0

0

0

0

0

0

0

0

● Licenses terminated for cause, number in the 

fiscal year

 ▪ Invention licenses (Patent licenses) (2) 0 0 0 0 0

Data included in this table (intentionally) address only invention licenses, with patent licenses distinguished as a 

subclass. 

* This number of licenses for FY 2008 through FY2010 is zero because ITS no longer licenses Video Quality Metric 

(VQM) technology. Instead, ITS has made this software available via open-source download. 

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

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

negotiations.) 

(2) Patent licenses include patent applications that are licensed. 

Characteristics of Licenses Bearing Income

FY 

2006

FY

2007

FY

2008*

FY 

2009

FY

2010

● All income-bearing licenses, total number 7 10 0 0 0

 ▫ Exclusive

 ▫ Partially exclusive

 ▫ Non-exclusive

0

0

7

0

0

10

0

0

0

0

0

0

0

0

0

 ▪ Invention licenses, (Patent licenses), (1) 

income-bearing

7 10 0 0 0

 ▫ Exclusive

 ▫ Partially exclusive

 ▫ Non-exclusive

0

0

7

0

0

10

0

0

0

0

0

0

0

0

0

 ▪ Other IP licenses, income-bearing 0 0 0 0 0

● All royalty-bearing licenses, (2) total number 7 0 0 0 0

 ▪ Invention licenses, (Patent licenses) (1) royaltybearing7 0 0 0 0

 ▪ Other IP licenses, royalty-bearing 0 0 0 0 0

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

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

laboratory to the licensee including patent costs. 

* This number of licenses for FY 2008 through FY2010 is zero because ITS no longer licenses Video Quality Metric 

(VQM) technology. Instead, ITS has made this software available via open-source download. 

(1) Patent licenses include patent applications that are licensed. 

(2) Note that royalties are one component of total license income. 
34 

Income from Licenses 

FY 

2006

FY

2007

FY

2008*

FY 

2009

FY

2010

● Total income, all licenses active in the fiscal 

year (1)

$24,500 $7,500 $0 $0 $0

 ▪ Invention licenses (Patent Licenses) (2) $24,500 $7,500 $0 $0 $0

 ▪ Other IP licenses, all active licenses in FY $0 $0 $0 $0 $0

 

● Total Earned Royalty Income (ERI) (3) $0 $0 $0 $0 $0

 ▪ Invention licenses (Patent licenses) (2) $0 $0 $0 $0 $0

 ▫ Median ERI $0 $0 $0 $0 $0

 ▫ Minimum ERI $0 $0 $0 $0 $0

 ▫ Maximum ERI $0 $0 $0 $0 $0

 ▫ ERI from top 1% of licenses $0 $0 $0 $0 $0

 ▫ ERI from top 5% of licenses $0 $0 $0 $0 $0

 ▫ ERI from top 20% of licenses $0 $0 $0 $0 $0

 ▪ Other IP licenses, total active in the fiscal 

year

$0 $0 $0 $0 $0

* This number of licenses for FY2008 through FY2010 is zero because ITS no longer licenses Video Quality Metric 

(VQM) technology. Instead, ITS has made this software available via open-source download. 

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

reimbursement for full cost recovery of goods and services provided by the laboratory to the licensee including 

patent costs. 

(2) Patent licenses include patent applications which are licensed. 

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

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

Disposition of License Income 

FY 

2006

FY

2007

FY

2008*

FY 

2009

FY

2010

● Income distributed (1)

 ▪ Invention licenses, (Patent licenses), (2) 

 total distributed

$24,500 $7,500 $0 $0 $0

 - To inventor(s) $15,750

(64%)

$5,050

(67%)

$0 $0 $0

 - To other (3) $8,750

(36%)

$2,450

(33%)

$0 $0 $0

Invention licenses are the chief policy interest regarding disposition of income; the content of this table reflects this 

focus. 

* This number of licenses for FY2008 through FY2010 is zero because ITS no longer licenses Video Quality Metric 

(VQM) technology. Instead, ITS has made this software available via open-source download. 

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

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

(3) To ITS/NTIA. 
35 

Other Performance Measures Deemed Important by the Agency 

FY 

2006

FY

2007

FY

2008

FY 

2009

FY

2010

Technical publications produced 8 3 15 12 17

Total number of hits on online 

publications

1,116,573 1,426,125 1,526,409 3,020,629 3,667,000

See “Technical Publications” above in the first section of this report for additional information on this topic. 

FY

2006

FY

2007

FY

2008

FY

2009

FY

2010

Technical publications produced – ITS 8 3 15 12 12

Collaborative contributions - ITS 16 25 25 20 20

Downstream Outcomes from ITS Technology Transfer Activities 

The following are examples of downstream outcomes from ITS technology transfer efforts: 

Table Mountain Research 

The Table Mountain Field Site and Radio Quiet Zone supports fundamental research in the 

nature, interaction, and evaluation of telecommunication devices, systems, and services. Each 

year, private companies, universities and other organizations conduct research at Table Mountain 

under Cooperative Research and Development Agreements (CRADAs). The following are brief 

descriptions of some of these recent CRADAs: 

• For the past four 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 2010 several companies have 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 eleventh year field-testing and 

characterizing components, subsystems and systems for eye-safe coherent laser radar. 

This has benefited NTIA and the Department of Defense. 

• In FY2010, ITS performed testing for the National Weather Service to identify the 

strengths and weaknesses in commercial NOAA weather radio receivers. 
36 

SUMMARY 

Technology transfer is an essential mission of the Department of Commerce, using our nation’s 

innovation and investment in science and technology to strengthen our economy and 

competitiveness in world markets. This report details the results of technology partnering 

activities originating from the Department of Commerce’s federal laboratories. Federal research 

is a complex process that provides the opportunity for new ideas and innovations to be 

successfully marketed to serve citizens. The success stories in this report provide examples of 

how society benefits from technology transfer activities across the Department of Commerce’s 

federal laboratories. As knowledge advances and the needs of the economy change, the 

Department of Commerce will continue to play a role in keeping America in the forefront of 

innovation and supporting our economy by aiding in the transfer and commercialization of 

knowledge.