Federal Laboratory Technology Transfer

Fiscal Year 2020

Summary Report to the President and Congress

Prepared by:

National Institute of

Standards and Technology

U.S. Department of Commerce

November 2022
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FOREWORD

The Department of Commerce (DOC) is pleased to submit this Fiscal Year 2020 Technology 

Transfer Summary Report to the President and Congress. This report illustrates the continuing 

efforts of Federal laboratories to ensure that the nation’s investment in innovative research is 

transferred from our laboratories to the American people.

Federal laboratories, through their fundamental and mission-oriented research and development 

(R&D) investments, operate at the forefront of scientific discovery, invention, and technological 

innovation. Technology transfer benefits the public by facilitating the practical application of 

Federal laboratory results and by providing non-Federal entities the opportunities to partner with 

Federal laboratories on innovative research of mutual interest. Over the years, new products and 

services have been offered, and the formation of new companies has occurred, through 

technology transfer initiatives.

Cross-agency efforts focus on the important role that innovation plays in accelerating the 

development of new industries, products, and services that lead to improvements in economic 

prosperity, national security, public health, public safety, quality of life, and more. Agencies 

continued to engage in efforts to streamline technology transfer activities, collect technology 

transfer metrics, establish performance goals, and evaluate programs to enhance the efficiency 

and impact of their technology transfer activities.

The COVID-19 pandemic, caused by the SARS-CoV-2 virus, significantly impacted the United 

States starting in Fiscal Year 2020. Federal agencies initiated a wide range of responses to this

pandemic—adapting their day-to-day operations, adopting new procedures and processes, and 

shifting their resources to address this novel virus. This report includes highlights of agency 

responses to the COVID-19 pandemic and offers insight into the role that Federal technology 

transfer played in addressing this extraordinary challenge.

This report fulfills the requirement contained in 15 U.S.C. § 3710(g)(2) for an annual report 

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

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

authorities. Future editions of this report will be used to continue to keep 

the President and Congress informed of the ongoing efforts of Federal

laboratories to expand technology transfer efforts in partnership with 

U.S. industry, academic institutions, non-profit foundations, and state, 

local, and tribal governments. These efforts will continue to play a vital 

role in building the nation’s economic strength, national security, public 

health, and more.

Dr. Laurie E Locascio

Under Secretary of Commerce for Standards and Technology, &

Director, National Institute of Standards and Technology
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Table of Contents

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

Federal Technology Transfer Summary..................................................................................... 4

Chapter 2 Agency Performance in FY 2020................................................................................... 8

Department of Agriculture (USDA)......................................................................................... 19

Department of Commerce (DOC)............................................................................................ 31

Department of Defense (DoD) ................................................................................................. 41

Department of Energy (DOE) .................................................................................................. 52

Department of Health and Human Services (HHS) ................................................................. 64

Department of Homeland Security (DHS)............................................................................... 75

Department of the Interior (DOI)............................................................................................. 89

Department of Transportation (DOT) .................................................................................... 102

Department of Veteran Affairs (VA) ..................................................................................... 112

Environmental Protection Agency (EPA).............................................................................. 121

National Aeronautics and Space Administration (NASA)..................................................... 131

Chapter 3 Conclusion.................................................................................................................. 141

Appendix A................................................................................................................................. 142

Appendix B................................................................................................................................. 147

Appendix C................................................................................................................................. 153
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1

Chapter 1

Overview of Federal Technology Transfer

Many Federal agencies conduct research and development (R&D) activities that result in the 

creation of new technologies. In most cases, these technologies are created to support the specific 

needs of an agency’s mission. In other cases, they are spontaneous creations of ongoing research. 

Regardless of how they are created, Federal technologies may have significant value that goes 

beyond an agency’s mission. It is the role of an agency’s technology transfer office to identify 

this value and provide the most effective means to transfer it outside of the agency.

Federal legislation provides a variety of vehicles through which Federal technology transfer 

occurs.

1 These vehicles facilitate the potential commercialization of inventions, enable the use of 

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

partnerships between Federal laboratories and other entities. This includes the processing of 

patent applications and licenses as well as cooperative research and development agreements 

(CRADAs) and other mechanisms that convey knowledge, ownership rights, or establish formal 

research agreements.

Collaborative research is particularly important to the technology transfer process and is in many 

ways fundamental to every agency’s mission. Collaborative research between Federal and nonFederal organizations greatly enhances researcher capabilities, core competencies, and creativity

by bringing together thousands of highly qualified researchers and world-class research facilities. 

This in turn leads to the flow of new ideas, new tools, more efficient techniques, new processes 

and products, and new businesses. Collaborative research also helps agencies attract and retain 

talented scientific personnel through rewards and royalty sharing opportunities.

Over the last decade, agencies have responded to the need to improve technology transfer 

operations to better address the needs of businesses, especially small businesses that are 

vulnerable to a slow-moving, bureaucratic system. The interagency coordination of efforts has 

led agencies to review their operations and improve the overall customer experience. These 

include efforts to streamline internal operations that increase efficiency and improvements to 

increase accessibility to the Federal technology transfer system for external customers.

This annual report summarizes the technology transfer activities and transfer vehicles used by 11 

Federal agencies that have significant Federal laboratory operations:2

1 The primary legislation addressing Federal technology transfer includes the Stevenson-Wydler Technology 

Innovation Act of 1980, 15 U.S.C. 3701 et seq., the Patent and Trademark Act Amendments of 1980 (Bayh-Dole 

Act), 35 U.S.C. 200 et seq., the Small Business Innovation Development Act of 1982, 15 U.S.C. 638, and the 

Federal Technology Transfer Act of 1986, 15 U.S.C. § 3710a. Numerous other acts indirectly affect Federal 

technology transfer activities.

2

In this report, the term “Federal laboratory” refers to any laboratory, any federally funded research and 

development center, or any center established under 15 U.S.C. § 3705 or 15 U.S.C. § 3707 that is owned, leased, or 

otherwise used by a Federal agency and funded by the Federal government, whether operated by the government or 

by a contractor.
2

Department of Agriculture (USDA) Department of the Interior (DOI)

Department of Commerce (DOC) Department of Transportation (DOT)

Department of Defense (DoD) Department of Veterans Affairs (VA)

Department of Energy (DOE) Environmental Protection Agency (EPA)

Department of Health and Human 

Services (HHS)

National Aeronautics and Space 

Administration (NASA)

Department of Homeland Security (DHS)

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

commercialization of technologies developed in its R&D laboratories and has provided the data 

contained in this report. The DOC’s National Institute of Standards and Technology (NIST) 

prepared and organized this report. An electronic version of this report is available.
3

Federal R&D Spending

Federal government R&D spending supports a wide variety of agency-specific missions, such as

military objectives, health and human services issues, energy development, space exploration, 

and so forth. In FY 2020, total Federal obligations for R&D were $167,403 million. Of this, 

$101,781 million (61%) was used to support R&D activities that occurred outside the Federal

laboratories. This includes funding for grants, cooperative agreements, and similar instruments.3

The remainder, $64,622 million (39%), supported R&D activities that occurred inside Federal

laboratories. This includes $51,472 million to support intramural activities and $13,150 million 

to support federally funded R&D centers (FFRDCs). The technology transfer activities described 

in this report support new technologies that arise from these Federal laboratory R&D 

investments. As shown in the table below, the percent of an agency’s budget that was available 

for Federal laboratory R&D varied significantly among agencies.

Federal Obligations for R&D

By Agency FY 2020 ($ million)4

Total 

R&D Intramural(a) FFRDCs

Intramural 

and 

FFRDCs

Percent 

of Total 

R&D 

Budget

All Agencies $167,403 $51,472 $13,150 $64,622 39%

 DoD $66,695 $22,667 $1,822 $24,489 37%

 HHS $60,006 $19,300 $931 $20,231 34%

 DOE $13,453 $872 $7,566 $8,438 63%

 NASA $10,538 $2,552 $2,266 $4,818 46%

 USDA $2,644 $1,690 $0 $1,690 64%

 DOC $1,622 $1,193 $24 $1,217 75%

 VA $1,565 $1,495 $70 $1,565 100%

 DOT $1,184 $222 $70 $292 25%

 DOI $837 $720 $1 $721 86%

 DHS $508 $133 $92 $225 44%

 EPA $489 $244 $2 $246 50%

 Other Agencies $7,863 $384 $307 $691 9%

(a) Intramural activities cover costs associated with the administration of intramural and 

extramural programs by Federal personnel as well as actual intramural performance.

3 A Federal award is an instrument setting forth terms and conditions of an agreement between a Federal agency and 

non-Federal entity. Awards can include, among other things, grants and cooperative agreements. Grants and 

cooperative agreements are similar in that they transfer funds (or anything of value) to a non-Federal entity but 

differ in that cooperative agreements involve substantial involvement by the Federal awarding agency usually in 

terms of project oversight and management. 

4 National Science Foundation (NSF), National Center for Science and Engineering Statistics, Survey of Federal 

Funds for Research and Development Fiscal Years 2020-21, Federal Obligations for Research and Development, by 

Agency and Performer, FY 2020, Table 7. https://ncses.nsf.gov/pubs/nsf22323
4

In FY 2020, DoD spent the largest amount of funding on intramural activities and FFRDCs with 

$24,489 million (37% of its R&D budget). HHS was second with $20,231 million (34% of its 

R&D budget), and DOE was third with $8,438 million (63% of its R&D budget).
5

Federal Technology Transfer Summary

Every Federal agency that operates or directs one or more Federal laboratories, or that conducts 

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

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

agency’s technology transfer program, as well as agency plans to use technology transfer to 

advance the agency’s mission and to promote U.S. competitiveness.5 The following tables 

summarize Federal technology transfer activities for the five-year period from FY 2016 through 

FY 2020.

6

5 A list of agency technology transfer reports.

6 Technology transfer data are routinely adjusted over time to account for new information resulting from changes in 

reporting procedures, patent decisions, programmatic changes, and other corrections. Throughout this report, data 

prior to FY 2020 have been adjusted where necessary to reflect the most accurate estimates for each year reported. 

The data in this report are accurate per the reporting agencies as of July 21, 2022. The data presented in this report 

may differ from individual agency reports submitted for FY 2020 if the agencies have updated those data after the 

agency report was submitted.
6

Federal Invention Disclosures and Patenting

The protection of intellectual property (IP) can be vital to attracting additional investment and 

product development resources necessary for early-stage technologies to be brought to their full 

commercial potential. Federal laboratory achievements in the areas of invention disclosures and 

patents issued are often cited as metrics of the active management of intellectual assets and 

technical know-how by Federal agencies.

Between FY 2016 and FY 2020, invention disclosures reported by Federal agencies increased by 

19%, from 4,994 in FY 2016 to 5,965 in FY 2020. Patent applications filed increased by 3%, 

from 2,513 in FY 2016 to 2,577 in FY 2020. Patents issued increased by 14%, from 2,300 in FY 

2016 to 2,623 in FY 2020. DOE reported the largest number of invention disclosures with 2,021

in FY 2020, followed by NASA with 1,882, and DoD with 804. These three agencies accounted 

for 78% of all invention disclosures reported in FY 2020.

In FY 2020, DOE reported the largest number of patent applications with 956, followed by DoD

with 881, and VA with 248. These three agencies accounted for 81% of patent applications in FY 

2020. DOE reported the largest number of patents issued in FY 2020 with 929, followed by HHS 

with 738, and DoD with 655. These three agencies accounted for 89% of reported patents issued 

in FY 2020.

Federal Invention Disclosures and Patenting

FY 2016 FY 2017 FY 2018 FY 2019 FY 2020

New Invention Disclosures 4,994 5,662 5,627 5,896 5,965

Patent Applications Filed 2,513 2,596 2,786 2,569 2,577

Patents Issued 2,300 2,275 2,386 2,600 2,623
7

Technical Area Summary of U.S. Federal Agency Patents

The chart below uses data from the U.S. Patent and Trademark Office (USPTO) to illustrate the 

technical areas covered by patents issued to Federal agencies in FY 2020. The chart shows the 

percentage of patents issued to Federal agencies by technology area based on fractional count 

patents.

7

In FY 2020, the largest number of Federal patents issued involved Measurement (11%) 

followed by Biotechnology (7%); Electrical Machinery, Apparatus, Energy (7%); Computer 

Technology (6%); Pharmaceuticals (6%); Other Special Machines (6%); Optics (4%); Materials, 

Metallurgy (4%); Semiconductors (4%); Medical Technology (3%); Transport (3%); Chemical 

Engineering (3%); Telecommunications (3%); Basic Materials Chemistry (3%); Surface 

Technology, Coating (3%); and Other (25%).8

USPTO Patents Assigned to Selected U.S. Federal Agencies by Technology Area: FY 2020

7

In this summary, patents are credited on a fractional-count basis (i.e., for patents with assignees from multiple 

federal agencies, other U.S. institutions, or foreign institutions, each federal agency receives fractional credit based 

on the proportion of its participating institution(s)). Furthermore, fractioning is used at the level of Internal Patent 

Classification (IPC) codes to ensure that the sum of patents across technology areas (WIPO technology 

classification) is equal to the total number of patents as each patent can be assigned to more than one technology 

area. Source: Prepared by Science-Metrix using USPTO data indexed in PatentsView in January 2022. Used with 

permission.

8 Definitions for all technology areas addressed are included in Appendix B.
8

Federal Licenses9

Licensing is an important technology transfer mechanism that creates incentives for industry to 

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

Successful development and commercialization of Federal technologies benefits the public and 

contributes to overall competitiveness and domestic economic growth. Without the ability to 

grant licenses and accompanying incentives to the non-Federal sector, federally developed 

innovations might be doomed to an idle future rather than developed into commercial products or 

services. The terms and conditions under which Federal IP is licensed varies based upon many 

factors, including the extent of development of the technology, the financial resources needed to 

further develop the technology for consumer use, fields of use, and projected market impact.

Between FY 2016 and FY 2020, total active licenses reported by agencies for which data were 

available increased by 2%, from 8,689 in FY 2016 to 8,865 in FY 2020.

10 New licenses reported 

by agencies for which data were available increased by 31%, from 1,098 in FY 2016 to 1,434 in 

FY 2020.

11 Total active invention licenses reported by agencies for which data were available

increased by 7%, from 3,826 in FY 2016 to 4,087 in FY 2020.

12 New invention licenses reported 

by agencies for which data were available increased by 22%, from 569 in FY 2016 to 697 in FY 

2020.

13 Invention licenses refers to inventions that are patented or could be patented. Incomebearing licenses decreased by 5%, from 5,793 in FY 2016 to 5,496 in FY 2020. Exclusive 

income-bearing licenses increased by 4%, from 976 in FY 2016 to 1,012 in FY 2020.

In FY 2020, DOE reported the largest number of total active licenses with 4,862 licenses. HHS 

was second with 2,028 licenses, and DoD was third with 627 licenses. These three agencies 

accounted for 85% of all licenses reported in FY 2020. 

In FY 2020, HHS reported the largest number of invention licenses with 1,546, followed by 

DOE 816, and NASA with 582. Together these three agencies accounted for 72% of invention 

licenses in FY 2020. 

In FY 2020, DOE reported the largest number of income-bearing licenses, 2,772. HHS was 

second with 1,059, followed by USDA with 594. Together these three agencies accounted for 

81% of income-bearing licenses in FY 2020.

9 Data for some agencies were not available for this report. Data for FY 2018, FY 2019, and FY 2020 values for 

total active licenses, new licenses, invention licenses, and new invention licenses were not available for VA. Data 

for FY 2018 values for total active invention licenses and new invention licenses, were not available for DoD. Data 

for FY 2018 values for invention licenses, total active, new invention licenses, and income bearing exclusive 

licenses were not available for DOI.

10 Total active licenses for all agencies, including those for which data were not available, decreased by 1%, from 

8,950 in FY 2016 to 8,865 in FY 2020.

11 New licenses for all agencies, including those for which data were not available, decreased by 30%, from 1,098 in 

FY 2016 to 1,434 in FY 2020.

12 Total active invention licenses for all agencies, including agencies for which data were not available, increased by 

0.02%, from 4,086 in FY 2016 to 4,087 in FY 2020.

13 New invention licenses for all agencies, including agencies for which data were not available, increased by 22% 

from 570 in FY 2016 to 697 in FY 2020.
9

In FY 2020, USDA reported the largest number of income-bearing exclusive licenses with 342, 

followed by VA with 211, and DoD with 144. Together these three agencies accounted for 69% 

of income-bearing exclusive licenses in FY 2020.

Federal Licenses14

Federal Income from Licenses15

Licensing income includes income received for earned royalties from partners, license issue fees, 

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. Between FY 2016

and FY 2020, income from all licensing for agencies for which data were available decreased by

50%, from $173 million in FY 2016 to $86 million in FY 2020.

16 Income from invention licenses 

for agencies for which data were available decreased by 49%, from $167 million in FY 2016 to 

14 This figure shows data for all reporting agencies, including agencies for which some data were not available.

15 Data for some agencies was not available for this report. DoD was unable to provide values for total income for 

all active licenses for FY 2017, FY 2018, and FY 2019. DoD was also unable to provide values for invention license 

income for FY 2017 and FY 2018.

16 Total income for all reporting agencies, including those for which data were not available, decreased by 45%, 

from $173 million in FY 2016 to $95 million in FY 2020.

FY 2016 FY 2017 FY 2018 FY 2019 FY 2020

Licenses, Total Active 8,950 7,750 8,226 8,289 8,865

New Licenses 1,099 1,248 1,325 1,257 1,434

Invention Licenses, Total Active 4,086 3,982 3,232 3,805 4,087

New Invention Licenses 570 598 530 572 697

Income Bearing Licenses, Total Active 5,793 5,179 5,642 5,235 5,496

Income Bearing Exclusive Licenses 976 895 1,036 1,069 1,017
10

$86 million in FY 2020. Total earned royalty income decreased by 32%, from $140 million in 

FY 2016 to $95 million in FY 2020. 

HHS accounted for the most licensing income with $54 million, followed by DOE with $25

million, and DoD with $9 million. Together these three agencies accounted for 93% of reported 

licensing income.

HHS accounted for the most invention license income with $52 million, followed by DOE with 

$21 million, and DoD with $6 million. Together these three agencies accounted for 92% of

reported invention license income.

HHS accounted for the most Earned Royalty Income with $64 million, followed by DOE with 

$16 million, and DoD with $9 million. Together these three agencies accounted for 94% of 

reported earned royalty income.

Federal Income from Licenses ($000s)17

17 This figure shows data for all reporting agencies, including those for which some data were unavailable.

FY 2016 FY 2017 FY 2018 FY 2019 FY 2020

Total Income, All Active Licenses $172,956 $180,653 $139,495 $114,130 $95,215

Invention Licenses $166,851 $174,590 $132,596 $105,301 $85,816

Total Earned Royalty Income, (ERI) $139,709 $163,350 $134,991 $103,460 $94,507
11

Federal Collaborative R&D Relationships18

Collaborative R&D relationships between Federal laboratories and non-Federal collaborators are 

widely viewed as an effective and economical means of transferring technology and knowledge 

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

agency and collaborator resources and technical capabilities. They also provide avenues for both 

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

One frequently used mechanism for establishing joint research relationships is the CRADA, a 

multifaceted mechanism that can be used to address several kinds of partnership needs. 

“Traditional CRADAs” refer to formal collaborative R&D agreements between a Federal

laboratory and non-Federal partners. Other special CRADA arrangements are used by Federal

agencies to address special purpose applications such as material transfer agreements or 

agreements that facilitate technical assistance activities. 

In addition to CRADAs, agencies may have other specific authorities that also facilitate 

cooperative R&D relationships, such as Space Act Agreements from NASA or other transaction 

authorities.

Between FY 2016 and FY 2020, active CRADAs increased by 19%, from 11,119 in FY 2016 to 

13,271 in FY 2020. New CRADA agreements decreased by 22%, from 5,027 in FY 2016 to 

3,937 in FY 2020. Other collaborative R&D relationships for agencies for which data were 

available decreased by 15%, from 12,172 in FY 2017 to 10,334 in FY 2020.

19

In FY 2020, DoD reported the largest number of active CRADAs with 6,962, followed by DOC 

with 2,014, and VA with 1,587. DOC reported the largest number of other collaborative R&D 

relationships with 2,952, followed by DoD reporting 2,755, and NASA reporting 2,004 (Space 

Act Agreements).

18 DHS was unable to provide values for other collaborative agreements for FY 2018, FY2019, and FY 2020.

19 Other collaborative R&D relationships for all agencies, including those for which some data were not available, 

decreased by 15% from 12,172 in FY 2016 to 10,334 in FY 2020.
12

Federal Collaborative R&D Relationships20

Science and Engineering (S&E) Articles

Although IP has traditionally been tracked in terms of patents, licenses, and collaborative efforts, 

most Federal research results are transferred through publication of S&E articles. Unfortunately, 

a uniform tracking system for S&E articles across all Federal agencies does not exist. However, 

data from Elsevier’s Scopus database can provide insight into the nature of S&E articles 

published by technology area even though not all articles published by Federal agencies are 

included in the publications covered by this database. For example, in calendar year (CY) 2020, 

Elsevier reported that Federal researchers authored or coauthored 73,196 articles using a wholecount basis (where each agency gets full credit for each article even if the article has co-authors 

from different agencies).21

20 This figure shows data for all reporting agencies, including agencies for which some data were unavailable.

21 Data prepared by Science-Metrix. Taxonomy of Discipline (TOD) fields are used to classify articles. The TOD is 

a classification scheme developed by the National Science Foundation to suit its need for a unified scheme. ScienceMetrix developed an alignment of its own classification scheme with the TOD and this alignment replaces the 

WebCaspar classification which was used in the past to produce bibliometric data for the Science & Engineering 

Indicators (SEI) reports. Journals are assigned to a unique TOD except for generalist journals, such as Science and 

Nature, for which articles are instead reclassified individually in TOD fields using an automated procedure based on 

machine-learning techniques. Used with permission.

FY 2016 FY 2017 FY 2018 FY 2019 FY 2020

CRADAs, Total Active 11,119 10,935 12,862 13,027 13,271

New CRADAs 5,027 4,962 5,235 4,273 3,937

Traditional CRADAs, Total Active 6,818 6,685 7,068 7,947 8,144

Other Collaborative R&D Relationships 12,172 12,939 11,587 10,194 10,334
13

The Elsevier database provided the additional benefit of identifying publications by Federal

researchers according to science and engineering categories. Using this data, the greatest 

percentage of articles addressed research in Health Sciences (27%); Biological and Biomedical

Sciences (19%); Engineering (14%); Physics (12%); and Geosciences, Atmospheric, and Ocean 

Sciences (7%).22

S&E Articles Authored by Selected U.S. Federal Agencies, by S&E Fields: CY 2020

Citations within U.S. Patents

Elsevier data also provides insight into the commercial relevance of S&E articles authored by 

Federal researchers through the number of articles cited in U.S. patents. In FY 2020, more than 

20,309 articles authored or coauthored by Federal researchers were cited in U.S. patents.23 Of 

these, the greatest number of articles addressed research in Biological and Biomedical Sciences

(38%), Health Sciences (22%), Engineering (12%), Physics (11%), and Chemistry (8%).24

22 Articles are credited on a whole-count basis. Source: Data prepared by Science-Metrix using Scopus (Elsevier) 

accessed in February 2022. Used with permission.

23 Data prepared by Science Metrix. Taxonomy of Discipline (TOD) fields are used to classify articles. The TOD is 

a classification scheme developed by the National Science Foundation to suit its need for a unified scheme. ScienceMetrix developed an alignment of its own classification scheme with the TOD and this alignment replaces the 

WebCaspar classification which was used in the past to produce bibliometric data for the Science & Engineering 

Indicators (SEI) reports. Journals are assigned to a unique TOD except for generalist journals, such as Science and 

Nature, for which articles are instead reclassified individually in TOD fields using an automated procedure based on 

machine-learning techniques. Used with permission.

24 Citations are classified on a fractional-count basis (i.e., for cited articles with collaborating institutions from 

federal agencies, other U.S. institutions, or foreign institutions, each federal agency receives fractional credit based 

on the proportion of its participating institution(s)). Source: Prepared by Science-Metrix using Scopus (Elsevier) 

accessed in September 2020 and PatentsView accessed in January 2022.
14

Citation of U.S. S&E Articles Authored by Selected U.S. Federal Agencies, in USPTO 

Patents, by S&E Field: FY 2020

Efforts to Enhance Technology Transfer Outcomes and Entrepreneurship

Federal agencies have been involved in activities to streamline the technology transfer process, 

promote awareness of technology transfer, enhance the effectiveness of technology transfer 

activities, and develop new metrics to better quantify technology transfer impacts.

The Innovation Corps Program

In 2011, the National Science Foundation (NSF) established the Innovation Corps (I-Corps) 

program to help scientists and engineers focus their attention upon critical, business-related 

issues that are fundamental to the commercialization of new and emerging technologies.25

Originally designed to broaden the impact of NSF-funded basic research projects, other Federal

agencies have adopted the successful program to enhance the economic impact of their own 

technology transfer efforts.26

The American Innovation and Competitiveness Act (AICA) (14 USC §1862s–8) provides a 

legislative mandate for the I-Corps program. Furthermore, it states, “I-Corps should continue to 

promote a strong innovation system by investing in and supporting female entrepreneurs through 

mentorship, education, and training because they are historically underrepresented in 

entrepreneurial fields.” NSF has extended this mandate to include individuals from 

underrepresented groups to align with its ongoing mission of creating an inclusive 

entrepreneurial community that reflects the nation as a whole.

25 See https://beta.nsf.gov/funding/initiatives/i-corps/about-i-corps

26 Descriptions of agency-specific I-Corps programs are taken from the 2021 Biennial Report issued by NSF: 

https://nsf-gov-resources.nsf.gov/2022-06/NSFI-Corps2021BiennialReport.pdf
15

NSF

NSF I-Corps improves the realization of the potential benefits of inventions by increasing the 

likelihood of successful commercialization through an immersive seven-week experiential 

training course led by experts in technology translation. NSF takes all areas of science and 

engineering into consideration for inclusion in I-Corps. The curriculum integrates scientific 

inquiry and customer discovery in an inclusive, data-driven culture impelled by rigor, relevance, 

and evidence. Through I-Corps training, academic researchers can reduce the time to translate a 

promising idea from the laboratory to the marketplace or relevant societal setting.

NSF seeks to strengthen a national innovation ecosystem that fosters innovation among scientific 

faculty and students; promotes regional coordination, linkages, and sharing of promising 

practices; and encourages networks to address pressing societal needs and economic 

opportunities for the nation.

Specifically, I-Corps has four primary objectives:

• Prepare scientists and engineers to extend their focus beyond the research laboratory

• Translate laboratory discoveries into solutions with benefits for the economy and society

• Leverage Federal research investments by advancing commercialization of research

outcomes

• Increase the economic impact of federally funded research

In FY 2019 and FY 2020, NSF piloted giving SBIR/STTR awardees the opportunity to 

participate in I-Corps cohorts. The pilot program provided the SBIR/STTR awardees with the ICorps curriculum and access to I-Corps instructors, and it required 100+ industry interviews. 

Sixty-one (61) teams participated in I-Corps cohorts for which the final decision was to identify 

next steps toward success. It is anticipated that this pilot will continue.

NIH

I-Corps at NIH empowers entrepreneurs to develop and validate a strategic business model

through diverse customer discovery to address unmet clinical needs. The I-Corps at NIH teams 

participate in an 8-week entrepreneurial immersion course based on NSF I-Corps to generate 

insights into challenges associated with the commercialization of biomedical and life sciences 

technologies.

In contrast to the NSF I-Corps program, which traditionally engages university researchers, the ICorps at NIH program is designed with small businesses in mind: NIH SBIR/STTR Phase I 

awardees. In SBIR/STTR Phase I, awardees work on early-stage technologies to establish their

technical merit, feasibility, and commercial potential. In this early stage, projects and teams 

benefit from the I-Corps curriculum. The program impacts the future direction of participants’ 

careers, research, and teaching, and it improves the commercial outcomes of NIH-funded small

businesses.

By design, the I-Corps at NIH program’s team structure incorporates the titles and roles of 

individuals with decision-making authority within the small business. Participating companies 

enter the program with three-person teams:
16

• C‐Level Corporate Officer (e.g., CEO)

• Principal Investigator/Technical Lead (e.g., assigned program director (PD) or principal 

investor (PI) listed on the Phase I award)

• Industry Expert (e.g., internal or external professional possessing business development

background in the target industry)

DOE

The DOE’s Energy I-Corps aims to accelerate the deployment of energy technologies by 

granting DOE laboratory staff access to direct market feedback on their technology offerings. 

Inspired by the NSF I-Corps model, the Energy I-Corps program empowers teams with the tools, 

resources, and relationships necessary to discover potential market pathways for their 

innovations. The DOE ARPA-E program also uses I-Corps to train researchers funded by 

ARPA-E. 

The DOE’s Energy I-Corps program encourages company formation but also defines metrics of 

success to include other outcomes such as external licenses, market insight into research, and 

improved external engagement. DOE sees great value in changing the problem-solving approach 

for researchers who return to the bench better equipped to ask and frame research questions 

through a customer lens based on their customer outreach. This promotes culture change and a 

new approach to problem solving that reverberates across the lab system for years to come.

Established in CY 2015 and formerly known as DOE’s Lab-Corps, Energy I-Corps became part 

of the OTT portfolio in CY 2018 and is managed by the National Renewable Energy Laboratory

(NREL). The NREL leads curriculum development and execution, recruits program instructors 

and industry mentors, and assembles teams from the following national labs:

Argonne National Laboratory 

Fermi National Accelerator Laboratory

Idaho National Laboratory

Lawrence Berkeley National Laboratory

Lawrence Livermore National Laboratory

National Energy Technology Laboratory

National Renewable Energy Laboratory 

Oak Ridge National Laboratory

Pacific Northwest National Laboratory 

Sandia National Laboratories

Los Alamos National Laboratory SLAC National Accelerator Laboratory

Other Agencies

Other agencies have incorporated I-Corps into their programs. DHS, DoD, and NASA have 

partnered with NSF to send their awardees through the NSF I-Corps programs. 

DoD

The goals of I-Corps @ DoD are: to spur the translation of fundamental research with potential 

defense relevance to the marketplace; to encourage collaboration between academia and 

industry; and to train students, faculty, and other researchers to understand innovation and 

entrepreneurship. DoD sends teams to NSF I-Corps cohorts.

DHS

The DHS Science and Technology Directorate SBIR program offers select awardees an 

opportunity to participate in NSF I-Corps. The participant companies evaluate the market
17

opportunity of their DHS-funded innovations to improve preparation for commercialization and 

increase the odds of successful commercialization.

NASA

The NASA I-Corps program enables small businesses, including startups, to improve the 

likelihood of success by introducing their SBIR and STTR awardees to business model 

development. NASA teams participate in NSF I-Corps cohorts. In addition to sending teams to 

NSF cohorts, NASA teams also participate in the NSF Beat-the-Odds Boot Camp.
18

Chapter 2

Agency Performance in FY 2020

Each Federal agency prepares and submits an annual report covering data on technology transfer 

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

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

promote U.S. competitiveness.

This chapter provides a comparable summary of the content of these 11 Federal agency reports. 

For each agency, this report considers three main topic areas:

• Statistical data on the agency’s technology transfer activity levels for a number of 

measures (e.g., cooperative R&D relationships, invention disclosures and patenting, and 

IP licensing) for FY 2020 and several prior years (FY 2016-2019);

• Streamlining activities at each agency to lower administrative burden and make 

technology transfer more accessible; and,

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

technology transfer activities, such as new products or improved industrial processes 

available in the marketplace that arise from the transfer and commercialization of Federal

lab inventions.
19

Department of Agriculture (USDA)

President Abraham Lincoln coined the phrase “the People’s Department” acknowledging the role

of the U.S. Department of Agriculture in solving problems that benefits all people every day.

Thus, well before the coining of the modern-day phrase “technology transfer,” it was the culture 

of USDA to deliver solutions to the people of the United States. Today, USDA broadly defines 

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

Although a seemingly simple statement, the process of adoption is complicated, requiring

integration of many assets from disparate sources in the successful delivery of solutions. “Public

benefit” is achieved through many mechanisms, including public release of information, tools,

and solutions; adoption and enhancement of research outcomes by partners through collaborative 

research, formal CRADAs authorized by the Federal Technology Transfer Act (FTTA), direct 

Federal, state, or local technical assistance; or through licensing of biological materials or 

protected IP directly to not-for-profit entities and for-profit private sector firms. Additionally, 

successful adoption of USDA knowledge and research outcomes typically requires 

complementary assets and services provided by multiple agencies in USDA, including agencies 

that are not primarily engaged in direct research in the physical and life science arenas.

Private-sector involvement in technology transfer adds the benefits of creating new or expanded

businesses, jobs, and economic prosperity. Science-based innovations from USDA intramural

research – often developed through public-private partnerships (PPPs) – create new or improved

technologies, processes, products, and services that benefit the Nation by increasing productivity,

increasing efficiency (keeping costs low), and enhancing global competitiveness for the U.S.

agriculture sector. Thus, technology transfer functions are critical to accelerating the utility of

public R&D investments, creating economic activity, job creation, and sustainable economic 

development.

The Agriculture Research Service (ARS) has been delegated authority by the Secretary of

Agriculture to administer the patent program for ARS, review CRADAs, and administer

technology licensing programs for all intramural research conducted by USDA. These activities

are housed in the Office of Technology Transfer.

The USDA’s FY 2020 annual report is available online and covers technology-transfer activities 

and metrics for the USDA Agricultural Marketing Service (AMS), Animal and Plant Health

Inspection Service (APHIS), Agricultural Research Service (ARS), Economic Research Service

(ERS), Foreign Agricultural Service (FAS), Food Safety and Inspection Service (FSIS), Forest

Service (FS), National Agricultural Statistics Service (NASS), National Institute of Food and

Agriculture (NIFA), Natural Resources Conservation Service (NRCS), and Rural Development

(RD).

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

websites:

Agricultural Research Service (ARS)

Animal and Plant Health Inspection Service (APHIS)

Forest Service (FS)
20

USDA Invention Disclosures and Patenting

Between FY 2016 and FY 2020, invention disclosures received decreased by 13%, from 244 to

213. Patent applications filed decreased 17%, from 109 in FY 2016 to 91 in FY 2020. Patents 

issued decreased by 3% from 60 in 2016 to 58 in FY 2020.

USDA Invention Disclosures and Patenting

FY 2016 FY 2017 FY 2018 FY 2019 FY 2020

New Invention Disclosures 244 166 320 243 213

Patent Applications Filed 109 111 120 97 91

Patents Issued 60 68 67 71 58
21

Patents issued to USDA in FY 2020 covered many technology areas including Biotechnology 

(29%), Basic Materials Chemistry (19%), Pharmaceuticals (11%), Organic Fine Chemistry (7%), 

and Food Chemistry (6%).

27

USPTO Patents Assigned to USDA by Technology Area: FY 2020

27 Source: Prepared by Science-Metrix using USPTO data indexed in PatentsView accessed in January 2022. Used 

with permission.
22

USDA Licenses

Between FY 2016 and FY 2020, total active licenses increased by 32% to 582 licenses in FY 

2020. Total active invention licenses increased by 11% to 410 licenses. Total active income 

bearing licenses increased 35%, from 439 in FY 2016 to 594 in FY 2020, while income-bearing 

exclusive licenses increased by 11% to 342.

USDA Licenses

FY 2016 FY 2017 FY 2018 FY 2019 FY 2020

Licenses, Total Active 441 448 472 512 582

New Licenses 3 1 4 0 4 0 5 1 9 3

Invention Licenses, Total Active 370 373 386 392 410

New Invention Licenses 2 5 3 1 2 7 1 7 3 0

Income Bearing Licenses, Total Active 439 437 471 522 594

Income Bearing Exclusive Licenses 307 302 324 334 342
23

USDA Income from Licensing

Between FY 2016 and FY 2020, total income from all active licenses decreased by 32% to $3.6

million in FY 2020. The income from invention licenses decreased by 33% to $3.0 million. Total 

earned royalty income decreased by 26%, from $3.6 million in FY 2016 to $2.7 million in FY 

2020.

USDA Income from Licensing ($000s)

FY 2016 FY 2017 FY 2018 FY 2019 FY 2020

Total Income, All Active Licenses $4,784 $5,703 $3,835 $3,562 $3,244

Invention Licenses $4,456 $5,378 $3,495 $3,275 $2,969

Total Earned Royalty Income, (ERI) $3,633 $3,504 $2,716 $3,172 $2,679
24

USDA Collaborative R&D Relationships

Between FY 2016 and FY 2020, total active CRADAs decreased by 7% to 221 agreements while 

new CRADAs increased by 6% to 84. Traditional CRADAs decreased by 7% to 221. Other 

collaborative R&D relationships decreased by 65% to 1,987 in FY 2020.

28

USDA Collaborative R&D Relationships

28 In prior reports, USDA reported all agreements that were not CRADAs as “Other collaborative R&D 

agreements.” Beginning with their FY 2017 agency report, USDA is reporting only agreements that are 

similar to CRADAs” as “Other collaborative R&D agreements”. For USDA, “Other collaborative R&D 

agreements” includes Trust Fund Cooperative Agreements, Reimbursable Agreements, Material Transfer 

Research Agreements, Specific Cooperative Agreements and Non-Funded Cooperative Agreements, 

Challenge Cost-Share Agreements, Collections Agreements, Cooperative Agreements, Inter-agency & 

Intra-agency Agreements, Joint Venture Agreements, Participating Agreements, Research CostReimbursable Agreements, Research Joint Venture Agreements.

FY 2016 FY 2017 FY 2018 FY 2019 FY 2020

CRADAs, Total Active 238 330 212 260 221

New CRADAs 7 9 9 1 6 1 9 5 8 4

Traditional CRADAs, Total Active 238 330 182 260 221

Other Collaborative R&D Relationships 5,628 6,125 3,369 1,888 1,987
25

USDA Downstream Success Stories

Agricultural Marketing Service (AMS): Harmonizing Biotech Reference Methods

There is a need for highly specific and accurate tests for the various GE crops grown in the 

United States. The Federal Grain Inspection Service (FGIS) has developed intra-laboratory 

validated, real-time polymerase chain reaction (PCR) methods and has evaluated the accuracy, 

reliability, and proficiency of publicly available methods used to detect and identify GE grains 

and oilseeds. These PCR reference methods are used in a Corn and Soy Biotech Proficiency 

Program, wherein FGIS seeks to improve the overall performance of testing for GE grains and 

oilseeds. The FGIS proficiency program report contains inter-laboratory comparisons to 

determine the performance of individual laboratories’ ability to detect and/or quantify transgenic 

traits in corn or soy as well as to monitor laboratories’ continuing performance. The program 

does not assess the effectiveness of different detection methods for GE traits, nor does it 

determine the characteristics of fortified samples to a particular degree of accuracy. However, 

the FGIS Proficiency Program helps organizations identify areas of concern and take corrective 

actions to improve testing precision, capability, and reliability.

Agricultural Marketing Service (AMS): Pesticide Data Program

The Pesticide Data Program (PDP) is a national pesticide residue monitoring program and 

produces the most comprehensive pesticide residue database in the United States. Since 1991, 

PDP has tested 126 different commodities for over 700 different pesticide residues. In FY 2020, 

PDP tested nearly 10,000 samples and generated over 2.5 million data points. All data are 

available to the public electronically by way of the PDP website, and customized reports are 

generated when requested. The Environmental Protection Agency uses the data to assess dietary 

risks from pesticide exposure and determine which pesticides can continue to be used in 

domestic agricultural production. It also uses the data to harmonize U.S. pesticide tolerance 

levels with international levels. The Food and Drug Administration uses the data to inform its 

targeted surveillance activities. State public health and environmental agencies use the data to 

fulfill their consumer protection commitments. Growers and distributors use the data to resolve 

trade issues. PDP data are also considered by the Codex Alimentarius Committee on Pesticide 

Residues to assist in benchmarking international Maximum Residue Levels (MRLs), as PDP is 

one of the largest sources for food pesticide residue data available.

Animal and Plant Health Inspection Service (APHIS): Feral Swine Management Tool 

Development

Invasive feral swine have been reported in at least 35 states in the United States, causing major 

damage to property, agriculture (crops and livestock), native species and ecosystems, and 

cultural and historic resources. The National Wildlife Research Center (NWRC) Feral Swine 

Research Project (FSRP) is participating in multiple partnerships that are leading to significant 

advances in toxicant and toxicant delivery systems and machine learning for use in feral swine 

damage management. In addition, scientists in this group have received national recognition for 

authoring seminal publications on feral swine damage management issues.

In FY 2020, the FSRP partnered with private business in two separate CRADAs aimed at 

developing new tools for feral swine management. The first CRADA, which began several years 

ago, is with an Australian vertebrate pesticide manufacturing company. It focuses on the 
26

development and registration of a toxicant for use in feral swine management. The 9-year effort 

has resulted in two toxicant formulations. The first formulation is registered for use in Australia 

and is seeing promising results and sales. The second formulation is for use in the United States. 

The Australian company is looking to establish U.S.-based manufacturing capabilities by either 

constructing a new manufacturing facility or contracting with an existing U.S. pesticide 

manufacturer. This collaboration also resulted in a patent-pending, swine-specific feeding station 

that prevents most other wildlife from accessing bait.

The second FSRP CRADA is with a U.S. company and focuses on the development of a 

recognition system to identify feral swine as they approach a feeding station. This CRADA uses 

two unique recognition systems, acoustic and visual, to distinguish feral swine from other 

species, such as deer, bear, or raccoon. When a positive identification is made, a mechanism on 

the feeding station is unlocked allowing the pig to access the bait. The combination of the 

toxicant, feral swine feeder and feral swine recognition system will yield valuable new tools for 

feral swine management.

In another collaboration, FSRP worked with computer scientists from a western university to 

develop software that analyzes images from motion-activated cameras (also known as camera 

traps or trail cameras) which remotely observe wildlife, including feral swine. Trail cameras can 

produce thousands of images which must be individually inspected to determine if the species of 

interest is in a photo. Machine learning was used to quickly and accurately review and classify 

images. NWRC and APHIS’ Veterinary Services, as well as State, non-profit, and university 

partners, used more than 3 million known wildlife images to train and test a deep-learning model 

to classify species of wildlife captured on camera traps. The trained model classified 

approximately 2,000 images per minute and achieved 98-percent accuracy in identifying U.S. 

wildlife species, the highest accuracy of such a model to date. The free tool, available as an R 

package (Machine Learning for Wildlife Image Classification), allows users to either use the 

existing trained model, or train their own model using images of wildlife from their studies. This 

system speeds up the analysis and evaluation of the types of wildlife attracted to and accessing 

the bait stations, which aids in the bait station design.

In recognition of their expertise and leadership in the field of feral swine damage management, 

FSRP scientists were finalists for the FY 2020 APHIS Scientist of the Year Award. They were 

acknowledged for their contributions to the development of “Invasive Wild Pigs: Ecology, 

Impacts and Management,” a comprehensive, 480-page reference book on invasive feral swine. 

Nominees were judged on the following criteria: scientific impact, scientific collaborative spirit, 

fostering an exceptional scientific work environment, supporting science in APHIS’ mission, and 

external scientific recognition. The book was also named The Wildlife Society’s 2020 Wildlife 

Publication of the Year in the Edited Book Category.

Agricultural Research Service (ARS): Non-inherited changes in DNA due to diet are 

associated with cardiovascular disease risk factors and all-cause mortality

Although genetics is known to play a role in heart disease and expected lifespan, there are also 

changes to genetic material that are not inherited. Such changes include binding of methyl 

groups to DNA, which changes the expression, or activity, of various genes. ARS-supported 

scientists in both Boston, MA, and Houston, TX, took part in a consortium that analyzed blood 
27

samples from 6,662 individuals with European ancestry, 2,702 with African ancestry, and 360 

with Hispanic ancestry. In individuals with European ancestry, habitual diet quality was 

associated with differential methylation levels in sites on DNA of white blood cells, most of 

which were also associated with multiple health outcomes. These findings demonstrate that 

integration of genomic analysis with dietary information may reveal molecular targets for disease 

prevention and treatment that are amenable to improved dietary choices.

Economic Research Service (ERS): Atlas of Rural and Small-Town America

Policymakers and the public are provided with easily accessible data on rural areas and issues

through the ERS Atlas of Rural and Small-Town America (https://www.ers.usda.gov/dataproducts/atlas-of-rural-and-small-town-america). The online mapping tool provides county-level

information on over 110 statistical indicators on the people, jobs, agriculture, and county

characteristics of rural (nonmetropolitan) America. The Atlas helps State and local decision 

makers pinpoint the needs of particular areas, recognize their diversity, and develop strategies to 

build on their assets by using location-based data on population, age structure, race and ethnicity, 

income, employment, indicators of well-being, and other measures. In FY 2018, the Atlas was 

updated with the most recent information on veterans, education, migration, and income from the 

American Community Survey. In FY 2019, the Atlas was updated with the most recent countylevel information on population, employment, poverty, veterans, education, migration, and 

income from the Census Bureau and the Bureau of Labor Statistics. In FY 2020, ERS continued 

to update the Atlas to include annual unemployment and employment data for 2019. New 

features were added to improve functionality and users’ ability to delineate rural and urban data 

for reporting and analysis.

Forest Service (FS): Approval of cross laminated timber shear wall system in U.S. codes

Cross laminated timber (CLT) is an innovative mass timber product that has now been 

commonly accepted as a new-generation engineered wood product with great potential to expand 

the wood building market. With the introduction of CLT to the U.S. construction market and the 

current modern urbanization trend, many believe that it can serve as a very effective solution for 

commercial and mixed-use building markets in seismic regions. The purpose of this study was to 

facilitate recognition of CLT seismic system in the U.S. building codes for the first time in 50 

years.

CLT offers many advantages such as the potential for mass production, prefabrication, speed of

construction, and sustainability as an environmentally friendly and renewable construction

product. Good thermal insulation, acoustic performance, and fire ratings are some additional 

benefits of the system. Despite these advantages, the lack of a current design approach is one of 

the challenges inhibiting widespread adoption of CLT in North America.

One area that requires attention is the development of seismic performance factors for CLT 

lateral systems so designers in the U.S. can begin to utilize CLT shear walls in seismic regions.

CLT-based Seismic Force Resisting Systems (SFRS) are not recognized in current U.S. design 

codes. The study follows a systematic approach that integrates design method, experimental 

results, nonlinear static and dynamic analyses, and incorporates uncertainties. The research 

consists of various development phases that encompass archetypes, design methodology, 

component and system testing, nonlinear structural modeling, and incremental time history 
28

analyses. All phases of development resulted in both the structural design procedure and 

associated seismic design parameters for the first approved wood-based lateral force resisting 

system in over 50 years.

The design procedure and seismic design parameters were approved by the Building Seismic 

Safety Council of the National Institute of Building Sciences in the spring of 2020. While the 

CLT shear wall design procedure was approved in July 2020 for the next version of the Special 

Design Provisions for Wind and Seismic, approval of the seismic design parameters for inclusion 

in the next version of ASCE 7 Minimum Design Loads and Associated Criteria for Buildings is 

ongoing. This final approval will result in the CLT shear wall lateral restrain systems to be in all 

U.S. building codes (such as the International Building Code). It will also eliminate the highest 

priority structural need as identified on the first Mass Timber needs assessment.

National Agricultural Statistics Service (NASS): Geospatial Products

NASS completed its 48-state Cropland Data Layer (CDL) in 2020 for the 2019 crop year, 

making 12 years of national CDLs available. This layer provides information on the crops 

planted and is useful in land cover, animal habitat, and watershed monitoring; soils utilization 

analysis and agribusiness planning; addressing biodiversity, crop intensity, and agricultural 

sustainability concerns; environmental research; and the remote sensing and Geographical 

Information System (GIS) value-added industry. The 48-state Crop Frequency Layers for corn, 

soybeans, wheat, and cotton were released in 2020 for the 2019 crop season. These layers 

identify crop-specific planting frequency and are based on land cover information derived from 

the 2008 through 2019 CDLs. NASS has been working collaboratively with the USDA 

Agricultural Research Service (ARS) to modernize the publicly available end-of-year CDL, 

which is published on a web portal as CropScape, as it is moved to the USDA cloud.

NASS, in collaboration with NASA and the ARS, developed a new geospatial portal, Crop 

Condition and Soil Moisture Application (Crop-CASMA), which is hosted at George Mason 

University (https://cloud.csiss.gmu.edu/Crop-CASMA). Crop-CASMA provides daily and 

weekly top and sub soil volumetric measurements; the measurements have been calibrated to the 

categorical moisture assessments presented in the weekly NASS Crop Progress and Condition 

Report. This product facilitates early determination of drought stress and excessive water or 

inundation. NASS continues to provide its 48-State VegScape portal, which is a geospatial data 

service offering automated updates of vegetative condition at daily, weekly, and biweekly 

intervals. The VegScape and Crop-CASMA portals are in the process of integrating soil moisture 

and vegetation condition quantitative observations to inform on crop change dynamics.

Geospatial decision support products were derived and provided for rapid response to assess

flooded areas and identify potential crop losses caused by the 12 named storms to make landfall

in the contiguous U.S. during 2020. The geospatial data products were derived from remotely

sensed satellite and meteorological information obtained from NASA, European Space Agency

(ESA), and National Oceanic Atmospheric Administration (NOAA). The estimates of crop and

pasture hay inundation were provided to the NASS Agricultural Statistics Board for decision

support. Crop inundation raster layers were shared with the USDA Operations Center

Emergency Programs Division to be included in their mapping efforts. The disaster assessment

reports, maps, crop inundation raster layers, metadata and a methodology report has been posted
29

on the NASS website for public dissemination at

https://www.nass.usda.gov/Research_and_Science/Disaster-Analysis/index.php. Final reports,

excluding in-season crop and pasture hay estimates, were posted on the NASS web site for

public use.

National Institute of Food and Agriculture (NIFA): Large Scale Conditioning and 

Transport of Maize Pollen

Accelerated Ag Technologies (AAT, dba PowerPollen®) developed protocols for large scale

conditioning and transport of maize pollen suitable for field applications. The company

collaborated with agricultural manufacturing firms to construct and deploy commercial-scale 

pollen collectors and PowerPollen applicators for parent seed fields and commercial hybrid seed 

fields. New technology developed enabled the conditioning, preservation, and storage of massive 

amounts of maize pollen. This novel technology generated new IP now listed under patents 

US20170238535A1 and US20190008144A1. From 2018 to 2020, AAT deployed PowerPollen 

across several commercial customers. The company entered into a long-term commercial license 

agreement in 2021, driven by the technology innovation.

Natural Resources Conservation Service (NRCS): Addressing Priority Pandemic Response 

Issues: Animal Mortalities Management

In early April 2020, COVID-19 diagnoses among workers at multiple large meat packing plants 

caused major concern for the livestock industry, particularly for pork producers. Due to the justin-time nature of modern livestock production, closure of slaughter facilities could easily leave 

producers with animals that were too large to keep on farm and could not be sold for meat. 

Producer organizations warned that growers could be faced with no other option but to euthanize 

large numbers of animals, primarily hogs. These carcasses would need to be disposed of in an 

environmentally responsible manner. Dairy producers were facing a similar issue with surplus 

milk that could not be marketed due to closures of major customers, including schools. The 

USDA Animal and Plant Health Inspection Service (APHIS) requested assistance from NRCS to 

help develop guidance for these livestock producers. The NRCS National Animal Manure and 

Nutrient Management Team was assigned to coordinate the agency response and requested 

assistance from agency soil scientists. They quickly identified two existing soil interpretations 

directly related to livestock carcass disposal, which were included in the initial guidelines 

presented and provided to NRCS staff within a week. 

Within a few days of this initial response, APHIS asked NRCS for additional assistance to 

support a new carcass disposal method called shallow burial. This method, which combined 

aspects of traditional burial and composting, was believed to be more acceptable to farmers,

since it required less time and did not require special equipment. APHIS also requested 

information from NRCS to inform disposal of excess milk that was accumulated on farm in 

response to market disruptions. NRCS national and regional soil scientists incorporated APHISprovided criteria for shallow burial into a new soil interpretation based on the format of existing 

related interpretations. Working collaboratively with the Connecticut State soils staff, they also 

developed a national milk disposal interpretation based on their existing State-specific prototype. 

Soil and Plant Science Division (SPSD) spatial analysis staff then developed maps and tabular 

information for both interpretations and made it available to all State soil scientists through an 
30

easily accessible web portal. In addition, this new information, along with the types and scope of 

assistance soil scientists should provide to agency field, area, and State staff was presented on a 

national webinar accompanied by written guidelines. 

Fortunately, livestock producers proved to be very innovative and meat packing plants reopened 

in short order. This prevented the need for widespread carcass disposal. However, these materials 

will remain available to speed agency response to future emergencies.
31

Department of Commerce (DOC)

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

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

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

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

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

programs directed at strengthening the nation’s economic infrastructure, facilitating the 

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

and data, and managing national resources. 

DOC conducts research and development (R&D) in areas of science and technology at the 

laboratory facilities of NIST, NOAA, and the National Telecommunications and Information 

Administration’s (NTIA) Institute for Telecommunication Sciences (ITS). Technology transfer,

which is a key part of the programmatic activities in these laboratories, connects technological 

advances of DOC’s science and engineering programs to the U.S. economy.

DOC is also responsible for organizing technology transfer activities across Federal agencies. 

Through NIST, DOC supports the interagency technology transfer community by serving as CoChair of the National Science and Technology Council's Lab-to-Market Subcommittee (L2M), 

host agency for the Federal Laboratory Consortium (FLC), and convener of the Interagency 

Working Group for Technology Transfer (IAWGTT) and the Interagency Working Group on 

Bayh-Dole (IAWGBD), and it issues implementing regulations for the Bayh-Dole Act. 

As a Co-Chair and the Executive Secretariat for L2M, DOC, through NIST, sets the high-level

strategies for increasing the efficiency at which federally funded technologies move out of the 

laboratories and into the market. Current strategies include identifying administrative and 

regulatory impediments, increasing engagement with innovation ecosystems, sponsoring 

innovative technology transfer tools and services, and finding gaps in the R&D continuum. 

Implementing these strategies is accomplished through the work of several subgroups such as the 

FLC, the IAWGTT, and the IAWGBD. 

DOC coordinates the IAWGTT, a NIST-hosted interagency discussion group that focuses on 

policy, new approaches to technology transfer, and lessons learned from agency technology 

transfer programs.29 The IAWGTT was established in 1987 by Executive Order 12591, Section 

7, to “convene an interagency task force comprised of the heads of representative agencies and 

the directors of representative Federal laboratories, or their designees, in order to identify and 

disseminate creative approaches to technology transfer from Federal laboratories.”

NIST also serves as the host agency for the FLC, which provides a forum for Federal labs to 

develop strategies and opportunities for linking technologies and expertise with the marketplace. 

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

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

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

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

Aeronautics and Space Administration.
32

The FLC operates as a quasi-governmental body, founded in statute (15 U.S. Code § 3710), that 

shares technology transfer best practices, develops promotional materials, facilitates 

partnerships, and organizes networking events. The mission of the FLC is “To increase the 

impact of Federal laboratories’ technology transfer for the benefit of the U.S. economy, society, 

and national security.”

30 Through the various resources, education and training, tools, and 

services the FLC creates and provides its members, Federal labs are better able to create 

partnerships, navigate the commercialization process, and achieve market success.

As the agency tasked with promulgating the Bayh-Dole regulations, DOC through NIST also 

coordinates the IAWGBD.31 The IAWGBD reviews and discusses issues related to Bayh-Dole, 

including potential amendments to the Bayh-Dole regulations, and the alignment and 

coordination of Bayh-Dole policies across agencies. Recently, the IAWGBD has been reviewing 

the implementation of changes to the iEdison reporting system to ensure the system adheres to 

regulatory requirements as well as agency needs. iEdison is an interagency system used by over 

30 agencies and bureaus to facilitate the reporting of inventions and patents that were conceived 

or first actually reduced to practice using extramural Federal research funding. NIST redesigned

and modernized the iEdison system prior to the transfer of the management and maintenance of 

the system from NIH to NIST in 2022. NIST’s improvements to iEdison are expected to bring 

increased reporting compliance and improved tracking of the utilization of these federally funded 

inventions including information on where resulting products are being manufactured. 

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

NIST | NOAA | ITS

30 https://federallabs.org/about/who-we-are/mission-vision

31 The IAWGBD was formed to facilitate a response to 35 U.SC. 206 and included representatives from across the 

federal government including individuals from 14 federal agencies, the Executive Office of the President, and the 

White House Office of Science and Technology Policy. 
33

DOC Invention Disclosures and Patenting

Between FY 2016 and FY 2020, new inventions disclosed increased by 9%, from 64 in FY 2016

to 70 in FY 2020. Patent applications filed increased by 44%, from 25 in FY 2016 to 36 in FY 

2020. Patents issued increased by 56%, from 16 in FY 2016 to 25 in FY 2020.

DOC Invention Disclosures and Patenting

FY 2016 FY 2017 FY 2018 FY 2019 FY 2020

New Invention Disclosures 64 43 77 60 70

Patent Applications Filed 25 46 56 65 36

Patents Issued 16 34 28 33 25
34

Patents issued to DOC in FY 2020 covered many technology areas including Measurement 

(25%); Computer Technology (10%); Electrical Machinery, Apparatus, Energy (10%); Optics 

(9%); and Semiconductors (6%).

32

USPTO Patents Assigned to DOC by Technology Area: FY 2020

32 Source: Prepared by Science-Metrix using USPTO data indexed in PatentsView accessed in January 2022. Used 

with permission.
35

DOC Licenses

Total active licenses decreased by 9%, from 57 in FY 2016 to 52 in FY 2020. New licenses did 

not increase or decrease, with 15 in FY 2016 and 15 in FY 2020. All licenses were invention 

licenses. Total active income bearing licenses increased by 10% to 34, while income bearing 

exclusive licenses decreased by 5% to 19.

DOC Licenses

FY 2016 FY 2017 FY 2018 FY 2019 FY 2020

Licenses, Total Active 5 7 6 8 6 7 7 4 5 2

New Licenses 1 5 1 9 1 1 1 5 1 5

Invention Licenses, Total Active 5 7 6 8 6 7 7 4 5 2

New Invention Licenses 1 5 1 9 1 1 1 5 1 5

Income Bearing Licenses, Total Active 3 1 3 5 3 7 3 3 3 4

Income Bearing Exclusive Licenses 2 0 1 9 2 2 2 0 1 9
36

DOC Income from Licensing

DOC reported that all income from licensing comes from invention licenses. During the fiveyear period from FY 2016 to FY 2020, there was a 28% increase in total income from all active 

licenses, from $149 thousand in FY 2016 to $191 thousand in FY 2020. There was a 25% 

increase in earned royalty income, from $149 thousand in FY 2016 to $186 thousand in FY 

2020.

DOC Income from Licensing ($000s)

FY 2016 FY 2017 FY 2018 FY 2019 FY 2020

Total Income, All Active Licenses $149 $141 $147 $136 $191

Invention Licenses $149 $141 $147 $136 $191

Total Earned Royalty Income, (ERI) $149 $141 $147 $136 $186
37

DOC Collaborative R&D Relationships

Between FY 2016 and FY 2020, total active CRADAs decreased by 31% to 2,014 agreements,

while new CRADAs decreased by 37% to 1,647. Traditional CRADAs increased 37%, from 335

in FY 2016 to 458 in FY 2020. Other collaborative R&D relationships decreased by 10%, from 

3,275 in FY 2016 to 2,952 in FY 2020.

DOC Collaborative R&D Relationships

FY 2016 FY 2017 FY 2018 FY 2019 FY 2020

CRADAs, Total Active 2,940 2,932 3,363 2,564 2,014

New CRADAs 2,608 2,443 2,770 1,893 1,647

Traditional CRADAs, Total Active 335 413 534 493 458

Other Collaborative R&D Relationships 3,273 3,181 3,497 3,431 2,952
38

DOC Downstream Success Stories

NIST: SRM in Space

NIST’s thermal insulation standard reference 

materials (SRMs) are used to evaluate commonly 

used insulation materials such as cellular plastics, 

fiberglass, or mineral wool for buildings. But 

NIST’s thermal insulation SRM played a role in 

helping the European Space Agency and Japanese 

Aerospace Exploration Agency test their 

BepiColombo probe that is headed to Mercury. To 

keep cool around all the radiation in space, the 

craft needs to collect heat with solar panels, 

transfer it through the panel’s supporting 

structures, and push it back out into the stellar 

beyond.

The NIST SRM allowed the agencies to determine 

if their probe’s materials were up to the task of 

cooling the craft. The researchers used NIST’s SRMs to make sure their own test methods were 

accurate. This helped the agencies’ scientists ensure that the supporting structures were doing 

what they were designed to do.

NIST: NIST and OSTP Launch Effort to Improve Search Engines for COVID-19 Research

In the first months of the COIVD-19 pandemic, researchers, clinicians, and policy makers 

involved with the response to COVID-19 needed reliable information on the virus and its impact. 

NIST and the White House Office of Science and Technology Policy (OSTP) launched a joint 

effort to support the development of search engines for research to help in the fight against 

COVID-19.33 This project was launched on April 15, 2020, in response to the March 16, 2020 

White House call to action for a new machine readable COVID-19 Dataset.34 The result of this 

effort was the TREC-COVID Challenge, a collaboration among the Allen Institute for Artificial 

Intelligence (AI2), the National Institute of Standards and Technology (NIST), the National 

Library of Medicine (NLM), Oregon Health & Science University (OHSU), and the University 

of Texas Health Science Center at Houston (UTHealth).

TREC-COVID was based on the Text Retrieval Conference (TREC) model. In the TREC model, 

NIST provides a test set of documents and questions. Research organizations that choose to 

participate run their own retrieval systems on the data and return to NIST a list of the retrieved 

top-ranked documents. NIST pools the individual results, judges the retrieved documents for 

correctness, and evaluates the results. The TREC cycle ends with a workshop that is a forum for 

participants to share their experiences.

33 https://www.nist.gov/news-events/news/2020/04/nist-and-ostp-launch-effort-improve-search-engines-covid-19-

research

34 https://trumpwhitehouse.archives.gov/briefings-statements/call-action-tech-community-new-machine-readablecovid-19-dataset/

How it works: Researchers check the SRM and our 

printout of its properties against their own guarded 

hotplate (like the NIST one shown here).

Source: NIST.
39

TREC-COVID built a set of Information Retrieval (IR) test collections based on the COVID-19 

document sets. The document set used in the TREC-COVID Challenge was the COIVD-19 Open 

Research Dataset (CORD-19). TREC-COVID consisted of a series of five rounds, with each 

round using a later version of the document set and a larger set of COVID-related topics. 

Participants in a round created ranked lists of documents for each topic ("runs") and submitted 

their runs to NIST. The fifth, and final round of data releases was on July 16, 2020, four months 

after the original call to action. 

The final document and topic sets, together with the cumulative relevance judgments, comprise a 

COVID test collection called TREC-COVID Complete. The incremental nature of the collection 

as viewed through the successive rounds supports research on search systems for dynamic 

environments. The results of the TREC-COVID Challenge helped researchers find answers for

critical questions about COVID-19 and created infrastructure to improve tomorrow's search 

systems.

NOAA: Mayday.ai Applies Artificial Intelligence to NOAA Satellite Imagery to Detect 

Natural Disasters, Starting with Wildfires

NOAA’s Big Data Program, which was launched in 2016, provided the general public with the 

ability to access and analyze near real-time data feeds from NOAA satellites and other NOAA 

data sources via the major U.S. Cloud Service Platforms. This access eliminated the need for a 

satellite dish and a supercomputer to analyze and develop products and services from these data. 

This low-cost access to near real-time data, together with the powerful computing resources and 

advanced AI technology available on the Cloud Service Providers’ platforms, has opened the 

door for small startups and innovators, such as California-based startup Mayday.ai.

Mayday.ai was founded in May 2018 with the mission to help save lives, reduce costs and 

impacts of disasters, and protect the environment. Using multiple resources, including satellites, 

traffic cameras, and social media, Mayday.ai has developed a cloud-based platform which can 

provide centralized early warning and dispatch for first responders and emergency managers 

combating high-impact events, such as wildfires.

The 2020 fire season was unprecedented in California, Oregon, and beyond, which put 

Mayday.ai’s concept quickly to the test and provided multiple opportunities to evaluate and fine 

tune this early-warning technology. Mayday.ai has been training its analysis engine using 

Machine Learning to see through partial clouds, which has enabled Mayday.ai to detect a high 

proportion of wildfire events up to 15 minutes after starting and well in advance of 911 calls 

reporting the incidents.

NTIA ITS: Innovative Commercial Services

NTIA’s ITS research, technology transfer, and testing was critical to the successful commercial 

deployments of the new Citizens Broadband Radio Service (CBRS) and $4.6 billion auction of 

licenses within CBRS in FY2020. Under CRADAs with industry partners, ITS conducted 

certification testing on environmental sensing capability sensors (ESC) and spectrum access 

systems (SAS). These test reports paved the way for the FCC, after consultation with the DoD 

and NTIA’s Office of Spectrum Management (OSM), to authorize initial commercial operations 

at 3.5 GHz on September 16, 2019. Subsequent real-world deployments proved the ITS testing 
40

regime successful, enabling the FCC to authorize full commercial service in 2020, and to 

conduct a $4.6 billion auction of priority access licenses within the CBRS band.

When the FCC, in consultation with NTIA, created the innovative three-tiered access and 

authorization framework to accommodate shared Federal and non-Federal use of the 3.5 GHz 

band, no roadmap existed for creating and authorizing the new sharing system between high 

power Federal radars and commercial mobile services. Broadly and openly disseminated ITS 

research and publications on electromagnetic compatibility between LTE and radars, LTE 

hotspot emission measurements, on-shore detections of off-shore radars, and effects of highpower radars on low noise amplifiers informed the development of technical requirements and 

commercial solutions.

Initial estimates indicated that geographically very large exclusion zones would be needed to 

protect Federal maritime radars from harmful interference from commercial wireless networks, 

precluding access to new services for nearly 60% of the U.S. population. ITS, working with 

NTIA’s OSM, conducted analyses to decrease the initial exclusion zones by 77%. ITS worked 

closely with WInnForum to analyze the methodology they proposed to further facilitate dynamic 

protection and sharing, opening up more population-dense coastal geographic areas where 

commercial services could co-exist with Federal radars and making a commercial service in the 

band economically viable.

ITS worked with the industry-led standards organization on applying those analyses in the 

development of technical standards for a technology-neutral commercial broadband service, 

including providing critical propagation software through publication of the C++ implementation 

of the eHata propagation model. At the request of the FCC, ITS developed a certification testing 

system for ESCs critical for protection of Federal radar systems, and conformance tests for the 

SAS that leveraged the WInnForum SAS certification system. ITS published a technical 

memorandum detailing procedures and processes for ESC testing and published a SAS test 

software-based study guide via GitHub. 
41

Department of Defense (DoD)

The U.S. Department of Defense (DoD) is the largest employer of scientists and engineers in the 

United States, with over 50,000 of these professionals working in over 60 defense laboratories, 

warfare centers, and engineering centers. As these technology hubs pursue next-generation 

capabilities to give the U.S. military a decisive technical edge, they tackle an immense diversity 

of research, development, and engineering projects. Activities range from research in basic 

biology, chemistry, engineering, and materials, to development of preventative and therapeutic 

medications for humans and animals, to projects aimed directly at meeting DoD’s near- and 

long-term challenges, such as the development and testing of advanced weapons systems.

While all of the defense laboratory activities can be distilled to one essential mission—“support 

the Warfighter”—the work of DoD scientists and engineers finds many uses that extend beyond 

strictly military applications. Numerous technologies that have become indispensable for daily 

life, such as the internet, smartphones, and the Global Positioning System (GPS), were initially 

developed in DoD laboratories and made their way into the public sphere through technology 

transfer (T2) processes and activities. Offices facilitating T2 exist throughout DoD and the 

Military Departments, providing support to DoD scientists and engineers. The T2 professionals 

in these offices use the full spectrum of authorities available to them to move innovation out of 

Government labs and bring innovation in from academia, industry, and the private sector.

Policy for and oversight of T2 is managed through the Laboratories and Personnel Office 

(L&PO) within the Office of the Under Secretary of Defense for Research and Engineering 

(OUSD(R&E)). This office is responsible for the collection and reporting of the metrics found in 

this chapter. Additionally, this office convenes and chairs the Laboratory Quality Enhancement 

Program panel on Tech Transfer (LQEP-T2) established by Congress in the National Defense 

Authorization Act for Fiscal Year 2017 (Public Law 114-328). The panel is comprised of 

representatives from all of the Components actively engaged in T2.35 This forum gives the 

participants the opportunity to convey best practices, discuss challenges, and provide support to 

one another, while allowing L&PO to develop policy, as well as solicit comments on proposed 

policy changes originating from interagency working groups. The cooperative partnership 

between L&PO and the LQEP-T2 panel members help to shape the future of technology transfer 

and transition for the Department.

Each of the Military Services, DoD Agencies, and Office of the Secretary of Defense (OSD) 

maintain technology transfer websites to inform the public and make available general 

information.

DoD Research & Engineering Enterprise

U.S. Army Research Laboratory

Office of Naval Research

35 DoD components are defined as: The Office of the Secretary of Defense (OSD); the military departments; the 

Joint Chiefs of Staff (JCS or Joint Staff); the combatant commands; the Office of the Inspector General, Department 

of Defense (DoDIG); the Defense agencies; and DoD field activities. https://samm.dsca.mil/glossary/dodcomponents
42

DoD Invention Disclosures and Patenting

Between FY 2016 and FY 2020, new inventions disclosed increased by 3%, from 782

disclosures in FY 2016 to 804 disclosures in FY 2020. Patent applications filed increased by 3%, 

from 858 in FY 2016 to 881 in FY 2020. Patents issued increased by 3%, from 624 patents in FY 

2016 to 655 patents in FY 2020.

DoD Invention Disclosures and Patenting

FY 2016 FY 2017 FY 2018 FY 2019 FY 2020

New Invention Disclosures 782 978 839 839 804

Patent Applications Filed 858 869 1,060 955 881

Patents Issued 624 630 600 653 655
43

Patents issued to DoD in FY 2020 covered many technology areas including the top categories of

Measurement (12%); Other Special Machines (10%); Computer Technology (10%); Electrical 

Machinery, Apparatus, Energy (6%); and Optics (6%).

36

USPTO Patents Assigned to DoD by Technology Area: FY 2020

36 Source: Prepared by Science-Metrix using USPTO data indexed in PatentsView in January 2022. Used with 

permission.
44

DoD Licenses37

Total active licenses increased by 22%, from 515 licenses in FY 2016 to 627 licenses in FY 

2020, while new licenses increased by 100%, from 35 in FY 2016 to 70 in FY 2020. From FY 

2016 to FY 2020, total active invention licenses increased by 103% to 581 and new invention 

licenses increased by 23% to 70. From FY 2016 to FY 2020, total active income bearing licenses 

increased by 82% to 336. 

DoD Licenses

37 DoD was unable to report data for Income Bearing Exclusive Licenses for FY 2015, Invention Licenses, Total 

Active for FY 2018, and for New Invention Licenses for FY 2018.

FY 2016 FY 2017 FY 2018 FY 2019 FY 2020

Licenses, Total Active 515 552 480 575 627

New Licenses 3 5 162 168 5 8 7 0

Invention Licenses, Total Active 286 514 n.a. 470 581

New Invention Licenses 5 7 2 4 n.a. 5 8 7 0

Income Bearing Licenses, Total Active 185 396 306 283 336

Income Bearing Exclusive Licenses 209 196 151 179 144
45

DoD Income from Licensing38

In FY 2020, total income from all active licenses was $9.1 million. Income from invention 

licenses was $6.1 million in FY 2020. Total earned royalty income increased by 49%, from $5.8

million in FY 2016 to $8.6 million in FY 2020.

DoD Income from Licensing ($000s)

38 DoD was unable to report data for Total Income, All Active Licenses for FY 2016 through FY 2018 or Invention 

License Income for FY 2017 and FY 2018.

FY 2016 FY 2017 FY 2018 FY 2019 FY 2020

Total Income, All Active Licenses n.a. n.a. n.a. $5,601 $9,137

Invention Licenses $554 n.a. n.a. $2,977 $6,126

Total Earned Royalty Income, (ERI) $5,823 $7,415 $6,802 $7,279 $8,670
46

DoD Collaborative R&D Relationships

Between FY 2016 and FY 2020, total active CRADAs increased by 167%, from 2,603 in FY 

2016 to 6,962 in FY 2020, while new CRADAs increased by 35%, from 774 in FY 2016 to 1,048

in FY 2020. Traditional CRADAs increased by 85%, from 2,273 in FY 2016 to 4,207 in FY 

2020. Other collaborative relationships increased by 735%, from 330 in FY 2016 to 2,755 in FY 

2020.

DoD Collaborative R&D Relationships

FY 2016 FY 2017 FY 2018 FY 2019 FY 2020

CRADAs, Total Active 2,603 2,995 4,976 6,090 6,962

New CRADAs 774 813 949 936 1,048

Traditional CRADAs, Total Active 2,273 2,424 3,010 3,768 4,207

Other Collaborative R&D Relationships 330 571 1,966 2,322 2,755
47

DoD Downstream Success Stories

Air Force: Multi-Modal Communication

A sensory psychologist and technology transfer specialist in the Air Force Research Laboratory’s 

711th Human Performance Wing were selected for a 2020 Excellence in Technology Transfer 

Award by the Federal Laboratory Consortium (FLC) for Technology Transfer for Multi-Modal 

Communication (MMC). Drs. Brian Simpson and James Kearns were selected for the successful 

technology transfer of MMC, which is a system invented to manage complex communication 

environments.

“This award is very meaningful to our team,” said Simpson, a sensory psychologist with 711 

HPW and one of the inventors of MMC. “We’ve always believed in this technology as it clearly 

has the potential to not only enhance effectiveness for Air Force operations, but also for the 

civilian world. It can truly support life-saving capabilities across multiple military and civilian 

domains.”

The transferred technology, which is Air Force-patented, enables operators to accurately monitor 

multiple channels of high-traffic communication and respond to distributed personnel across 

multiple locations, such as military ground operations or flight missions.

“In typical command and control environments, an operator may need to monitor multiple 

channels of information from sources such as radios, intercoms, and telephones, among others,” 

explained Simpson. “This information is typically analog and therefore does not afford reliable 

or timely forensic capabilities for the operator. If the communications are actually being 

recorded, they are typically available for after-action review only and not accessible in real-time 

for use during the mission.” In other words, once a message is spoken, it is lost. If the operator 

realizes she/he missed a call, that operator must discover not only what was said, but often who 

said it, as well. We thought there might be a more effective way for the C2 operator to work with 

today’s technologies in order to enhance user performance and decision making.

GlobalFlyte, Inc., a startup in Dayton, Ohio, was the recipient of the transferred MMC 

technology. According to the company’s website, its mission is “to continually improve 

emergency response operations by providing unparalleled communications, imaging and data 

technologies on an integrated platform for the purpose of saving lives, protecting property and 

managing catastrophic incidents to minimize loss.”

“The company’s committed belief in MMC and its potential value to military and civilian users 

underlies the excellence and innovation of this technology transfer,” said Dr. James Kearns, 711 

HPW program manager in AFRL’s Office of Research and Technology Applications. Kearns 

developed the Patent License Agreement and supportive CRADA for this effort. 

GlobalFlyte’s founders were inspired to find preventive solutions to the deadly radio-traffic 

confusion during the 9/11 response that tragically impacted New York City fire departments. The 

company employees leading the integration of MMC into their new product line include former 

firefighters, law enforcement, and military members—all first responders aware of the need for a 

communication system that helps clear the verbal/audio chaos subverting emergency responses 
48

or military operations. Now commercially available, GlobalFlyte’s solution is a TRL9-secure, 

cloud-based Software as a Service integrated situational awareness platform.

“In crisis situations, minutes or even seconds can make a difference,” explained Simpson. 

“Through its transfer to private industry, 711 HPW’s MMC technology is now able to save lives, 

reduce property loss, and prevent miscalculated operations that could prove tragic.”

Uniformed Services University of Health Science: Public Health Impact: Countermeasures 

for Highly Pathogenic Emerging Henipaviruses

Research at the Uniformed Services University of the Health Sciences (USU), analyzing two 

potentially fatal viruses that can be transmitted from livestock to humans, has resulted in a 

vaccine to prevent infection in horses and a treatment for humans who have been exposed. 

Hendra and Nipah viruses are new disease-causing agents that emerged in the 1990s, causing 

serious outbreaks in humans and livestock in Australia, Malaysia, Singapore, Bangladesh and 

India. The fatality rate for infected humans is 40–100%. 

More than 700,000 doses of the USU-originated equine vaccine have been administered to nearly 

170,000 horses since 2015, and no vaccinated horse has been infected with Hendra virus. Since 

2010, 14 people have received USU-developed, high-dose antibody therapy on an emergency use 

basis because of high-risk exposure to Hendra or Nipah, and all have remained well. A human 

vaccine is also in development.

In 2012, the HeV-sG vaccine was licensed to Zoetis, an animal health products company in 

Florham Park, NJ, through the USU–HJF (Henry M. Jackson Foundation for the Advancement 

of Military Medicine) Joint Office of Technology Transfer (USU-HJF JOTT). This partnership 

led to the approval of the Equivac®HeV equine vaccine in Australia in 2015. This vaccine, the 

only antiviral approach for Hendra virus infection, a One-Health measure that breaks the cycle of 

virus transmission from horses to humans. 

The m102.4 antibody, also developed at USU, is the only known treatment for humans exposed 

to or infected with Nipah or Hendra virus. An antibody is a protein that binds to a specific target; 

m102.4 specifically targets and neutralizes Hendra and Nipah viruses. 

Technology transfer from USU, first with the government of Queensland, Australia, and then 

India, provides access to m102.4 antibody for people exposed to the Nipah or Hendra viruses. 

This T2 story started in 2010, when a mother and daughter were exposed to Hendra virus in 

Australia, and USU provided the antibody under a compassionate use agreement. Subsequent 

agreements with the Queensland government allowed them to conduct a clinical study and to 

produce the antibody for future use in Australia or in other locations. When a Nipah outbreak 

occurred in Kerala, India, in May 2018, the USU-HJF JOTT coordinated a transfer of the 

antibody from the Queensland stockpile to the Indian Council for Medical Research (ICMR) for 

compassionate-use purposes.

Another USU license was issued in 2018 to Baltimore, MD-based Profectus Biosciences Inc., for 

the development of a Nipah/Hendra human vaccine. The Coalition for Epidemic Preparedness 

Innovations (CEPI) has awarded up to $25 million to Profectus for clinical development and 
49

evaluation; the U.S. National Institute of Allergy and Infectious Diseases and global health 

organization PATH have also provided support.

Army: Maryland Defense Technology Commercialization Center (DefTec Center)

An Army-led pilot network of Federal laboratories, government entities, and private-sector 

partners has diversified income streams in Maryland and established a model for promoting and 

supporting technology transfer at state and local levels.

The Maryland Department of Commerce Office of Military and Federal Affairs and the U.S.

Army Combat Capabilities Development Command (CCDC) jointly created the Maryland 

Defense Technology Commercialization Center (DefTech Center) to support transferring 

technology out of Federal labs and helping local companies commercialize viable products. The 

Harford County Office of Community & Economic Development provides in-kind facility and 

utilities support for the DefTech Headquarters housed within the Harford Business Innovation 

Center and co-located with other aligned small-business resources.

Within the network, CCDC’s role is to develop technologies for potential commercialization and 

engage prospective DefTech clients. Within CCDC, the Army Research Laboratory (ARL); the 

Command, Control, Computers, Communications, Cyber, Intelligence, Surveillance and 

Reconnaissance (C5ISR, formerly CERDEC) Center; and the Chemical Biological Center (CBC, 

formerly ECBC) all play key roles in the DefTech partnership.

Funding from the DoD Office of Economic Adjustment helped launch a 12-month pilot program. 

A competitive bidding process led to the selection of Axcel Innovation LLC of Charlottesville, 

Virginia, as the third-party contracted vendor to deliver the program. The Army Alliance 

(supporting Aberdeen Proving Ground) joined with partners Early Charm Ventures of Baltimore 

and Altus Engineering of Darlington, Maryland, and the Maryland Technology Development 

Corp. (TEDCO).

In a year and a half, DefTech created a state-specific database of defense-related patents, and to 

date has matched more than 150 patents to the needs of its client businesses. In addition, the 

DefTech team provides training, support, and mentoring to more than 40 client companies. 

DefTech has signed five patent licenses or CRADAs with the DoD labs, and five more 

companies have patent license agreements (PLAs) or CRADAs in the works.

Because of the pilot program’s success, additional Federal funding of $750,000 was awarded 

through the Federal Economic Development Administration under its i6 Challenge grant 

program in December 2018 to continue geographical expansion. Additional network partners 

will increase accessibility for businesses and further enhance commercialization outcomes.

DefTech has created new opportunities for dialogue among government, industry, and innovators 

by reducing the barriers to meaningful interactions. By simplifying access to senior subject 

matter experts, the network demonstrates to entrepreneurs that Federal IP can be a viable part of 

creating and growing a business. DefTech and CCDC’s partnership includes conducting 

workshops and teaching lab scientists and engineers how to pitch their ideas and inventions to 

commercial businesses and investors.
50

Plans are underway to provide seed funding for companies commercializing lab IP, a customized 

pitch program to connect lab scientists and local entrepreneurs, and new entrepreneurship 

resources at local community colleges.

Navy: Northwest Tech Bridge Rapid Prototypes Protective Gear for First Responders

To equip those on the front lines of coronavirus response, the Naval Undersea Warfare Center 

(NUWC) Division Keyport—in partnership with the U.S. Navy’s Tech Bridges program—

manufactured over 500 face shields and personal protection equipment for first responders at two 

hospitals and naval commands in the state of Washington.

Johannes Schonberg, director of the Northwest Tech Bridge at NUWC Division Keyport, teamed 

with engineers in the rapid-prototyping shop at NUWC Division Keyport’s Maintenance, 

Engineering and Industrial Operations Department, where they refurbished the protective 

equipment using traditional manufacturing methods as well as 3D printing.

The project was so successful that ONR is sponsoring a similar collaboration among the 

Northwest Tech Bridge, NUWC Division Keyport and the University of Alaska Fairbanks (a 

Tech Bridge academic partner). NUWC Division Keyport and the Northwest Tech Bridge are 

sharing best practices and successful manufacturing models with the university—providing it 

with a playbook to work with local industry to produce protective equipment for first responders 

at Fairbanks Memorial Hospital.

Air Force: New Invention Projects to Make Splash in Commercial Market

The concept of getting high-tech results for a significant discount has always been attractive to 

the military. For physicist and innovator Joshua Lentz, currently working with the Airforce 

Research Laboratory (AFRL), it all comes down to something as simple as a child’s toy.

“I view the idea generation process as Legos,” Lentz said. “I’ll take a product or technology and 

consider it like a single Lego shape. I spend time trying to come up with ways to build products 

out of that one type of Lego.”

Brick by brick, that process has led to his invention and patent for a Low-Cost Wide Field of 

View (FOV) Projector. Lentz, who began his career earning BAs in Math and Physics from East

Stroudsburg University in Pennsylvania, before moving on to add a Masters and PhD in Optics

from the University of Central Florida – and currently has 16 inventions to his name – placed the 

first Lego while studying Digital Micromirror Display (DMD).

DMD works very similar to a Digital Light Projector; creating a picture element being projected 

to a screen. Lentz noted that the most expensive DMDs operate at incredibly high speeds, but

could still produce the desired results if slowed down. 

“[My] invention takes advantage of that extra time by steering the output to an adjacent spot [a 

tiled image location] and changing the image,” Lentz explained. “For a sensor like the eye, there 

is no recognition— if done fast enough—that [if] the DMD projected an image, pointed to
51

another spot and projected a different image, so the result looks like a continuous picture of 

twice the size.”

FOV uses a spatial light modulator (SLM) and a fast steering mirror (FSM) cooperatively

managed by a projection sequence controller. The computer-implemented process determines 

projection regions within the FOV, creates subimages of an input target image for each of the

regions, and operates the SLM and FSM to time-division multiplex sequential projections of 

each of the sub-images and to direct each projection to a respective region in the FOV within an 

observer frame rate.

Though FOV exists merely on paper at this stage, Lentz sees enormous potential commercially 

in terms of marketing and advertising. “Projection onto buildings, walls, structural posts, etc.

is expanding. In some cases, this bypasses the need to obtain permits since permanent signs are 

not installed,” Lentz said. “If an advertisement of five times the size can be accomplished (at a 

fraction of) the cost, the return on investment will get attention.”

Lentz says FOV could be beneficial in the field of additive manufacturing, commonly referred to 

as 3D printing. The Air Force Rapid Sustainability Office is using this technology to create 

engine parts for fighter aircraft. 3D printing involves depositing layers of a specified material to 

create an object from a computer graphic. Utilizing FOV in this process has the potential to 

create larger scale components rather than just individual parts requiring massive post-print 

assembly.

This application is a bit less direct and would require some adaptations. “Using the same DMD 

and covering far more print area has advantages,” Lentz added. As the Legos click together, 

Lentz says he now has the necessary hardware to start developing and demonstrating this 

invention soon.

“Hopefully, I can get some demonstrations accomplished in the next year and publish them. 

Alternatively, finding a commercial or industrial -- or even academic -- partner to license the 

technology would increase exposure,” he said.
52

Department of Energy (DOE)

The Department of Energy (DOE) is one of the largest supporters of technology transfer within 

the Federal government. DOE plays a key role in moving new technologies developed in 

research labs across the country into the commercial marketplace, fueling the innovation engine 

that powers the U.S. economy. Bridging the gap between research and development (R&D) and 

commercial deployment is crucial to DOE’s mission to enhance U.S. security and economic 

growth through transformative science and market solutions. By creating globally competitive 

industries in the United States, the DOE enables significant cost-savings for industries and 

consumers and creates jobs for Americans.

DOE's National Laboratories address the critical scientific challenges of our time – from 

combating climate change to discovering the origins of our universe – and possess unique 

instruments and facilities, many of which are not found anywhere else in the world. They address 

large-scale, complex R&D challenges with a multidisciplinary approach that places an emphasis 

on translating basic science to innovation. The following are among the many things undertaken 

by the National Laboratories:

• Conduct research of the highest caliber in physical, chemical, biological, computational,

and information sciences that advances our understanding of the world around us;

• Advance U.S. energy independence and leadership in energy technologies to ensure the 

ready availability of clean, reliable, and affordable energy;

• Enhance global, national, and homeland security by ensuring the safety and reliability of 

the U.S. nuclear deterrent, helping to prevent the proliferation of weapons of mass 

destruction, and securing the Nation’s borders; and,

• Design, build, and operate distinctive scientific instrumentation and facilities, and make 

these resources available to the research community.

DOE oversees the construction and operation at its National Laboratories and some of the 

nation’s most advanced R&D facilities. These state-of-the-art facilities are shared with the 

science community worldwide and offer technologies and instrumentation that are not available 

anywhere else. 

DOE Offices, Laboratories, and facilities that are actively engaged in technology transfer include

the following:

Office of Science: 

• Ames Laboratory (Ames) 

• Argonne National Laboratory (ANL)

• Brookhaven National Laboratory (BNL)

• Fermi National Accelerator Laboratory (FERMI)

• Lawrence Berkeley National Laboratory (LBNL)

• Oak Ridge National Laboratory (ORNL)

• Pacific Northwest National Laboratory (PNNL)

• Princeton Plasma Physics Laboratory (PPPL)
53

• SLAC National Accelerator Laboratory (SLAC)

• Thomas Jefferson National Accelerator Facility (JLAB)

National Nuclear Security Administration: 

• Lawrence Livermore National Laboratory (LLNL) 

• Los Alamos National Laboratory (LANL)

• Sandia National Laboratories (SNL)

• Savannah River Site

• Kansas City National Security Campus (formerly the Kansas City Plant)

• Y-12 National Security Complex, Pantex Plant

• Nevada National Security Site (formerly the Nevada Test Site)

Office of Energy Efficiency and Renewable Energy: 

• National Renewable Energy Laboratory (NREL)

Office of Nuclear Energy: 

• Idaho National Laboratory (INL)

Office of Fossil Energy: 

• National Energy Technology Laboratory (NETL)

Office of Environmental Management: 

• Savannah River National Laboratory (SRNL)

Science and engineering are not linear. DOE’s system of National Laboratories, user facilities, 

research centers, and shared research facilities, makes the pursuit of discovery—and the many 

solutions that result—both a collaborative enterprise and a shared national resource. 

Collaboration with industry, academia, and other Federal and state agencies is essential to 

develop, demonstrate, deploy, and commercialize the output from DOE’s broad R&D 

investments. 

The mission of the Office of Technology Transitions (OTT) is to expand the commercial impact 

of the DOE’s R&D portfolio to advance the economic, energy, and national security interests of 

the Nation. The OTT develops DOE’s policy and vision for expanding the commercial impact of 

its research investments and streamlines information and access to DOE’s National Laboratories 

and sites to foster partnerships that will bring innovations from the labs into the marketplace. The 

OTT works alongside NNSA’s Office of Strategic Partnership Programs for technology transfer 

activities with NNSA laboratories, plants, and sites.

More information about DOE’s technology transfer activities is available online with the Office 

of Technology Transitions and NNSA’s website.
54

DOE Invention Disclosures and Patenting

Between FY 2016 and FY 2020, new inventions disclosed increased by 15%, from 1,760 in FY 

2016 to 2,021 disclosures in FY 2020. Patent applications filed decreased by 4%, from 999 in FY 

2016 to 956 in FY 2020, while patents issued increased by 9%, from 856 in FY 2016 to 929

patents in FY 2020.

DOE Invention Disclosures and Patenting

FY 2016 FY 2017 FY 2018 FY 2019 FY 2020

New Invention Disclosures 1,760 1,794 1,748 1,891 2,021

Patent Applications Filed 999 937 868 837 956

Patents Issued 856 817 854 919 929
55

Patents issued to DOE in FY 2020 covered many technology areas including Electrical 

Machinery, Apparatus, Energy (13%); Measurement (10%); Computer Technology (7%);

Chemical Engineering (6%); and Materials, Metallurgy (6%).

39

USPTO Patents Assigned to DOE by Technology Area: FY 2020

39 Source: Prepared by Science-Metrix using USPTO data indexed in PatentsView in January 2022. Used with 

permission.
56

DOE Licenses

Between FY 2016 and FY 2020, DOE reported a 10% decrease in total active licenses, from 

5,410 in FY 2016 to 4,862 in FY 2020. New active licenses increased by 13%, from 621 in FY 

2016 to 700 in FY 2020. Total active invention licenses decreased by 13%, from 943 in FY 2016 

to 816 in FY 2020. New invention licenses decreased by 28%, from 145 in FY 2016 to 105 in 

FY 2020. Income bearing licenses decreased by 30%, from 3,963 in FY 2016 to 2,772 in FY 

2020 and income bearing exclusive licenses decreased by 39%, from 231 in FY 2016 to 141 in 

FY 2020.

DOE Licenses

FY 2016 FY 2017 FY 2018 FY 2019 FY 2020

Licenses, Total Active 5,410 4,045 4,742 4,640 4,862

New Licenses 621 567 662 686 700

Invention Licenses, Total Active 943 916 844 822 816

New Invention Licenses 145 128 100 9 8 105

Income Bearing Licenses, Total Active 3,963 3,057 3,323 2,749 2,772

Income Bearing Exclusive Licenses 231 190 181 113 141
57

DOE Income from Licensing

Between FY 2016 and FY 2020, DOE reported that total income from all active licenses 

decreased by 20%, from $31.1 million in FY 2016 to $24.8 million in FY 2020. Income from 

invention licensees decreased by 23%, from $27.4 million in FY 2016 to $21.1 million in FY 

2020. Total earned royalty income decreased 3%, from $16.3 million in FY 2016 to $15.8

million in FY 2020.

DOE Income from Licenses ($000s)

FY 2016 FY 2017 FY 2018 FY 2019 FY 2020

Total Income, All Active Licenses $31,149 $36,567 $21,085 $21,974 $24,842

Invention Licenses $27,364 $33,436 $17,237 $18,220 $21,095

Total Earned Royalty Income, (ERI) $16,273 $13,216 $10,239 $10,466 $15,756
58

DOE Collaborative R&D Relationships

Between FY 2016 and FY 2020, total active CRADAs increased by 44%, from 784 in FY 2016

to 1,132 in FY 2020. New CRADAs increased by 16%, from 264 in FY 2016 to 307 in FY 2020.

Total active traditional CRADAs increased by 44%, from 783 in FY 2016 to 1,132 in FY 2020.

DOE Collaborative R&D Relationships

FY 2016 FY 2017 FY 2018 FY 2019 FY 2020

CRADAs, Total Active 784 936 1,030 1,072 1,132

New CRADAs 264 330 312 287 307

Traditional CRADAs, Total Active 784 936 1,030 1,072 1,132

Other Collaborative R&D Relationships 0 0 0 0 0
59

DOE Downstream Success Stories

Lawrence Livermore National Laboratory (LLNL): Novel Ventilator Design for COVID19 Use

While hospitals across the U.S. faced a possible shortage of mechanical ventilators due to 

COVID-19, a self-assembled skunk works team at Lawrence Livermore National Laboratory 

(LLNL) worked tirelessly to prototype a simple ventilator design for quick and easy assembly 

from available parts.

Dubbed the “Novel Emergency Response Ventilator” (NERVe), the design is derived from 

proven concepts and contains parts that are not being used by commercial ventilator 

manufacturers, to avoid disrupting already thin supply chains. It is designed to meet the 

functional requirements of COVID-19 patients requiring mechanical ventilation, including a 

simple user interface, air flow circuits for inhalation and exhalation, and alarms to notify 

physicians if air pressures get too low. It can operate in a continuous ventilation mode —

common for late-stage COVID-19 patients — but can adapt to patients who spontaneously 

breathe on their own.

Determined to contribute to the fight against COVID-19, the LLNL team set about developing a 

prototype ventilator system that could potentially serve as a stopgap solution until ventilator 

manufacturers could catch up to the anticipated demand. The design would have to be adequately 

functional and suitable for medical use, but simple enough that it could be mass produced from 

off-the-shelf parts to make the greatest impact on the global health crisis.

They first looked at CPAP machines — breathing aids commonly used to treat sleep apnea — as 

a potential viable option for sourcing components. When that proved unfeasible, the team started 

from scratch, studying ventilator design and manufacturing as well as talking to medical 

professionals. The team includes 20 scientists and engineers from the Lab’s Computing, 

Engineering and Physical and Life Sciences directorates.

Building something fast that can get through FDA approval, is easy to operate, and doesn’t 

interfere with the supply chain is a key to helping people with COVID-19.

Currently there are several companies interested in working with LLNL to help mass produce 

and commercialize the prototype ventilator. 

For additional information see: NERVe info.

Sandia National Laboratory (SNL): Sandia Researchers Work with New Mexico Small 

Businesses to Test New Respirator Materials

A media comprised of a sandwich of materials tested by Sandia is being manufactured into N95-

like respirators that could be used in local medical facilities. The project originated from the 

urgent need for personal protective equipment when the COVID-19 outbreak began.

“I can almost assure you that no one else in the country is making respirators the way we’re 

making them,” said Dave Mayberry, technical lead for Marpac, Sierra Peaks, and Sew-EZ, the 
60

companies that worked with Sandia on materials testing. “We didn’t want to research the same 

materials already used in the typical N95 supply chain due to availability issues, so we looked 

into other materials we could get ahold of that seemed most likely to meet the filtration 

requirements.”

Marpac, Sierra Peaks, and Sew-EZ were matched with Sandia scientists through the New 

Mexico Small Business Assistance (NMSBA) program that pairs Sandia and Los Alamos 

National Laboratories with companies seeking help to solve technical problems. Sandia worked 

on a project with each company.

“It’s been very satisfying to see NMSBA, a state program, help New Mexico businesses address 

COVID-19 issues,” said Jackie Kerby Moore, manager of technology and economic 

development at Sandia. “It was also rewarding to see the Sandia team jump on the opportunity to 

help these three businesses with their respirators.” 

Marpac specializes in manufacturing medical tube securement devices and works closely with 

engineering and manufacturing companies Sierra Peaks and Sew-EZ.

Mayberry reached out to Sandia after receiving an inquiry from a local hospital to see if the 

company could help address the potential shortage of N95 respirators. Certified N95 respirators 

are worn like masks and protect users from 95% of airborne particles and liquid contamination.

Sandia has the equipment and expertise to help, and within a few days after Marpac reached out, 

a team of scientists began working on the challenging task of modifying systems to make sure 

samples were tested properly.

Sandia principal investigator Michael Omana said the team modified aerosol and filtration 

systems typically used for nuclear nonproliferation work. They had to reduce the systems’ 

airflow significantly to mimic the rate that humans breathe. They also modified existing test 

boxes to quickly mount and seal the samples inside prior to running them through the testbed.

“We were tapped about the first project with Marpac on a Thursday and drafted the scope of 

work and contract by Friday,” Michael said. “By Monday or Tuesday, we had finished all system 

modifications. Initial testing of the first set of materials was completed by the end of the week, 

and data was provided to Marpac.”

Initial test materials underperformed, with the best sample coming within 10% of the desired 

filtration levels. Within a couple of weeks, the researchers started seeing promising results from 

new material compositions. Creativity in combining materials resulted in samples with protection 

levels comparable to N95 respirators.

Marpac manufactured 500 N95-like respirators using the materials Sandia tested, and Mayberry 

said they passed fit tests at a local hospital. They are also looking into additional medical 

facilities that could use the product.
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“Working quickly was critical for the projects,” Sandia distinguished technologist Dora 

Wiemann said, “and the team put in long hours — including on weekends.”

The projects with each company built upon each other. For the first project with Marpac, 

researchers tested sheets of composite materials provided by the company in the large, modified 

filtration system.

For the second project with Sierra Peaks, additional test-box modifications enabled the scientists 

to mount and seal samples cut in respirator geometries, and to complete comparison studies 

against certified N95 respirators.

The third project with Sew-EZ, which is ongoing, involves further sample testing using the 

filtration system and an additional commercial-off-the-shelf system, which is typically used by 

industry to certify products like N95 respirators.

“Sandia is not a certification lab, but the joint use of the systems enabled us to provide data that 

may be compared against products which have been certified through traditional avenues,” 

Michael said. “This data will help the company if it chooses to seek certification of its product 

through the proper organizations.”

Michael and a couple of other researchers test the materials in the lab, then forward data to be 

processed into quantitative results. The timeline on all projects has been tight, but the researchers 

said promising tests have been rewarding, especially because the result has the potential to help 

people during a time of crisis.

“I’m glad to be in the position I am so that I can help with this really big issue with 

characterizing materials that can be used for N95 replacements,” Dora said. “By the end of the 

initial modifications and testing, we were a very close-knit team, solving an important problem. 

It was exhausting and exhilarating.”

National Energy Technology Laboratory (NETL): NETL-led Collaboration Develops New 

Rare Earth Element Extraction Sorbent

In an NETL-supported collaboration with Wayne State University (WSU), WSU researchers 

used a newly developed sorbent and a process previously developed for nuclear applications to 

produce an economically viable concentration of rare earth elements (REEs) from domestic coal 

fly ash.40

The new sorbent media developed by WSU researchers, in collaboration with the University of 

California, Los Angeles (UCLA) and Los Alamos National Laboratory (LANL), successfully 

concentrated the REEs in a coal fly ash sample taken from a coal-fired power plant near Detroit, 

resulting in a rare earth oxide (REO) powder of more than 13 percent weight, which 

demonstrates potential for economic viability.

40 Coal fly ash is byproduct of coal combustion that coal-fired boilers release along with other flue gasses.
62

Using custom-built reactors at LANL, researchers used hydrothermal leaching to extract the REE 

content from the fly ash. A new sorbent developed at WSU was used in a solid-liquid recovery 

process, which eliminated the use of potentially hazardous organic solvents. The process 

combined multiple techniques previously developed to process spent nuclear fuel and other 

nuclear materials.

This development came as part of an NETL-funded cooperative agreement intended to develop a 

domestic supply chain for REEs, which are vital to the manufacturing of personal electronics, 

energy infrastructure, and defense technologies, among many other high-tech applications. 

The project successfully identified a commercially viable fly ash supply. With Wayne State’s 

hydrothermal process, more than 76% of the REEs in the coal fly ash can be extracted, which 

represents a 20 percent increase over conventional acid-based methods.

The newly developed sorbent media that was used to concentrate REEs also demonstrated a 

selectivity for mid and heavy REEs and the potential for use in separating individual rare earth 

elements. With ease and efficient recovery of these elements, consideration for inclusion and use 

on a larger industrial-scale separations facility may be an opportunity in the future. 

An invention disclosure for the sorbent media has been filed with WSU and a patent application 

will be submitted soon. 

NETL is a U.S. Department of Energy National Laboratory that produces technological solutions 

for America’s energy challenges. From developing creative innovations and efficient energy 

systems that make coal more competitive, to advancing technologies that enhance oil and natural 

gas extraction and transmission processes, NETL research is providing breakthroughs and 

discoveries that support domestic energy initiatives, stimulate a growing economy, and improve 

the health, safety, and security of all Americans. Highly skilled men and women at NETL’s sites 

in Albany, Oregon; Anchorage, Alaska; Houston, Texas; Morgantown, West Virginia; and 

Pittsburgh, Pennsylvania, conduct a broad range of research activities that support DOE’s 

mission to advance the national, economic, and energy security of the United States.

Argonne National Laboratory (ANL): Shaping Nanoparticles for Improved Quantum 

Information Technology

Particles that are mere nanometers in size are at the forefront of scientific research today. They 

come in many different shapes: rods, spheres, cubes, vesicles, S-shaped worms, and even donutlike rings. What makes them worthy of scientific study is that, being so tiny, they exhibit 

quantum mechanical properties not possible with larger objects.

Researchers at the Center for Nanoscale Materials (CNM), a DOE Office of Science User 

Facility located at DOE’s Argonne National Laboratory, have contributed to a recently published 

Nature Communications paper that reports the cause behind a key quantum property of donutlike nanoparticles called “semiconductor quantum rings.” This property may find application in 

quantum information storage, communication, and computing in future technologies.
63

In this project, the CNM researchers collaborated with colleagues from the University of 

Chicago, Ludwig Maximilian University of Munich, University of Ottawa, and National 

Research Council in Canada.

The team assembled circular rings made out of cadmium selenide, a semiconductor that lends 

itself to growing donut-shaped nanoparticles. These quantum rings are two-dimensional 

structures — crystalline materials composed of a few layers of atoms. The advantage of 

semiconductors is that when researchers excite them with a laser, they emit photons. 

“If you illuminate a two-dimensional photon emitter with a laser, you expect them to emit light 

along two axes,” said Xuedan Ma, assistant scientist at CNM. “But what you expect is not 

necessarily what you get. To our surprise, these two-dimensional rings can emit light along one 

axis.” 

The team observed this effect when breaking the perfect rotational symmetry of the donut shape, 

causing them to be slightly elongated. “By this symmetry breaking,” says Ma, “we can change 

the direction of light emission. We can thus control how photons come out of the donut and 

achieve coherent directional control.”

Because the photons in the light emits from these rings along a single direction, rather than 

spreading out in all directions, researchers can tune this emission to effectively collect single 

photons. With this control, researchers can integrate topology information into the photons, 

which can then be used as messengers for carrying quantum information. It may even be possible 

to exploit these encoded photons for quantum networking and computation.

“If we can gain even greater control over the fabrication process, we could make nanoparticles 

with different shapes such as a clover with multiple holes or a rectangle with a hole in the 

center,” noted Matthew Otten, a Maria Goeppert Mayer Fellow at Argonne’s CNM. “Then, we 

might be able to encode more types of quantum information or more information into the 

nanoparticles.”

“I should add that geometry is not the only factor in causing this quantum effect. The atomistic 

structure of the material also counts, as is often the case in nanoscale materials,” said Ma. 

A paper based on the study, “Uniaxial transition dipole moments in semiconductor quantum 

rings caused by broken rotational symmetry,” appeared in Nature Communications. In addition 

to Ma and Otten, authors include Nicolai F. Hartmann, Igor Fedin, Dmitri Talapin, Moritz 

Cygorek, Pawel Hawrylak, Marek Korkusinski, Stephen Gray, and Achim Hartschuh. 

This work was supported by the DOE Office of Science.
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Department of Health and Human Services (HHS)

Research at the Department of Health and Human Services (HHS) is conducted by the Centers 

for Disease Control and Prevention (CDC), the Food and Drug Administration (FDA), and the 

National Institutes of Health (NIH). 

The mission of technology transfer at HHS is to facilitate partnerships with a wide array of 

stakeholders and effectively manage the inventions conceived by scientists working at the NIH, 

FDA, and CDC. In doing so, HHS technology transfer supports the larger HHS mission—to 

enhance the health and well-being of all Americans, by providing for effective health and human 

services and by fostering sound, sustained advances in the sciences underlying medicine, public 

health, and social services—and the missions of: 

• CDC—to protect America from health, safety, and security threats, whether diseases start 

at home or abroad, are chronic or acute, curable or preventable, human error or deliberate 

attack, CDC fights disease and supports communities and citizens to do the same to 

increase the health security of our nation;

• FDA—to protect the public health by ensuring the safety, efficacy, and security of human 

and veterinary drugs, biological products, and medical devices; by ensuring the safety of 

our nation's food supply, cosmetics, and products that emit radiation; by regulating the 

manufacturing, marketing, and distribution of tobacco products; by speeding medical 

product innovations; and by enhancing the Nation's counterterrorism capability; and,

• NIH—to seek fundamental knowledge about the nature and behavior of living systems 

and the application of that knowledge to enhance health, lengthen life, and reduce illness 

and disability.

Working on behalf of NIH, FDA, and CDC, technology transfer offices across HHS apply 

responsive, and sometimes creative, approaches to meet the needs of all parties involved, 

operating with a goal of moving scientific research and discovery forward for the benefit of 

public health. Technology Transfer at HHS:

• Protects U.S. IP and the discoveries conceived by NIH, FDA, and CDC intramural 

researchers. This includes working with researchers to determine if an invention warrants 

patent protection, overseeing the filing of Employee Invention Reports (EIRs), and 

coordinating the patenting, filing, and prosecution process.

• Serves as a bridge through marketing and communications, connecting the inventive 

discoveries made by scientists in the NIH, FDA, and CDC research programs to 

commercial partners with the capability of developing these technologies into products 

and services to benefit public health. Without technology transfer, the full potential of 

these inventions would not be realized, and the public would not receive the full benefit 

of these biomedical discoveries.

• Facilitates partnerships with outside parties to allow for collaboration. 

• Negotiates licenses and collaborative agreements such as CRADAs to ensure the timely 

development of Federal technologies, which contribute to society by driving economic 

growth and productivity. These collaborations leverage the strengths of each institution to 

advance basic and clinical research objectives.
65

• Monitors the development of these technologies to ensure commercialization milestones 

are reached, products are brought to the market, and royalty fees are paid.

• Facilitates the transfer of thousands of research materials and data into and out of HHS.

The NIH’s annual technology transfer report is available online.

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

websites:

CDC | NIH | FDA
66

HHS Invention Disclosures and Patenting

Between FY 2016 and FY 2020, new invention disclosures decreased by 3%, from 320 in FY 

2016 to 309 disclosures in FY 2020. Patent applications filed decreased by 16%, from 269 in FY 

2016 to 225 in FY 2020, while patents issued increased by 27%, from 579 in FY 2016 to 738

patents in FY 2020.

HHS Invention Disclosures and Patenting

FY 2016 FY 2017 FY 2018 FY 2019 FY 2020

New Invention Disclosures 320 354 322 268 309

Patent Applications Filed 269 289 253 207 225

Patents Issued 579 554 624 708 738
67

Patents issued to HHS in FY 2020 covered many technology areas including Pharmaceuticals 

(37%), Biotechnology (31%), Analysis of Biological Materials (9%), Medical Technology (7%), 

and Organic Fine Chemistry (7%).

41

USPTO Patents Assigned to HHS by Technology Area: FY 2020

41 Source: Prepared by Science-Metrix using USPTO data indexed in PatentsView in January 2022. Used with 

permission.
68

HHS Licenses

Between FY 2016 and FY 2020, total active licenses increased by 16%, from 1,750 in FY 2016

to 2,028 licenses in FY 2020. New licenses increased by 31%, from 278 in FY 2016 to 365 in 

FY 2020. Total active invention licenses decreased by 10%, from 1,721 in FY 2016 to 1,546

licenses in FY 2020. New invention licenses increased by 41%, from 221 in FY 2016 to 312 in 

FY 2020. Total active income bearing licenses increased by 27%, from 837 in FY 2016 to 1,059

in FY 2020. Income bearing exclusive licenses decreased by 1%, from 145 in FY 2016 to 143

licenses in FY 2020.

HHS Licenses

FY 2016 FY 2017 FY 2018 FY 2019 FY 2020

Licenses, Total Active 1,750 1,806 1,867 1,933 2,028

New Licenses 278 334 335 346 365

Invention Licenses, Total Active 1,721 1,354 1,411 1,472 1,546

New Invention Licenses 221 282 292 291 312

Income Bearing Licenses, Total Active 837 907 978 1,001 1,059

Income Bearing Exclusive Licenses 145 130 143 158 143
69

HHS Income from Licensing

Between FY 2016 and FY 2020, total income from all active licenses decreased by 59%, from 

$132.8 million in FY 2016 to $54.3 million in FY 2020. The income from invention licenses 

decreased by 60%, from $130.7 million in FY 2016 to $52.1 million in FY 2020. Total earned 

royalty income decreased by 42%, from $110.2 million in FY 2016 to $64.1 million in FY 2020.

HHS Income from Licensing ($000s)

FY 2016 FY 2017 FY 2018 FY 2019 FY 2020

Total Income, All Active Licenses $132,833 $134,567 $110,709 $78,540 $54,383

Invention Licenses $130,701 $132,536 $108,276 $76,468 $52,076

Total Earned Royalty Income, (ERI) $110,193 $135,963 $111,628 $79,000 $64,098
70

HHS Collaborative R&D Relationships

Between FY 2016 and FY 2020, total active CRADAs increased by 13%, from 590 in FY 2016

to 665 in FY 2020. New CRADA agreements decreased by 10%, from 134 in FY 2016 to 120 in 

FY 2020. Traditional CRADAs increased by 26%, from 391 in FY 2016 to 493 in FY 2020. 

Other collaborative R&D relationships increased by 17%, from 147 in FY 2016 to 172 in FY 

2020.

HHS Collaborative R&D Relationships

FY 2016 FY 2017 FY 2018 FY 2019 FY 2020

CRADAs, Total Active 590 588 577 575 665

New CRADAs 134 112 8 7 9 3 120

Traditional CRADAs, Total Active 391 462 465 476 493

Other Collaborative R&D Relationships 147 126 112 9 9 172
71

HHS Downstream Success Stories

NIH: Accelerating COVID-19 Therapeutic Interventions and Vaccines (ACTIV) Program 

(ACTIV-1)

NIH’s Accelerating COVID-19 Therapeutic Interventions and Vaccines (ACTIV) program is an 

ongoing public-private partnership to speed development of the most promising treatments and 

vaccine candidates. The first master protocol—a structure that allows coordinated and efficient 

evaluation of multiple investigational agents as they become available, but within the same 

clinical trial structure, across multiple study sites—was ACTIV-1. ACTIV-1 was an adaptive 

Phase 3 clinical trial to evaluate the safety and efficacy of three immune modulator drugs in 

hospitalized adults with COVID-19.

Three agents were selected based on several factors including their relevance to COVID-19, 

strong evidence for use against inflammatory reaction, and availability for large-scale clinical

studies. The initial agents were infliximab (REMICADE), developed by Janssen Research & 

Development, LLC, one of the Janssen Pharmaceutical Companies of Johnson & Johnson 

(Janssen); abatacept (ORENCIA), developed by Bristol Myers Squibb (BMS); and Cenicriviroc 

(CVC), an investigational late-stage agent developed by AbbVie—Janssen, BMS, and AbbVie 

will be collectively referred to as Pharma partners. COVID-19 would be a new use for these 

drugs (i.e., this is a drug repurposing effort). Gilead supplied the Remdesivir. 

The National Center for Advancing Translational Sciences (NCATS) coordinated and oversaw

the trial with funding support from the Biomedical Advanced Research and Development 

Authority (BARDA) of the U.S. Department of Health and Human Services Office of the 

Assistant Secretary for Preparedness and Response, in support of the Trump administration’s 

Operation Warp Speed (OWS) goals. 

NCATS OSA launched into negotiations with the Pharma partners quickly. The NIAID 

Technology Transfer and Intellectual Property Office collaborated and shared their ACTIV 

clinical templates, which provided helpful background as NCATS customized their own trialrelated agreements. NCATS OSA and BARDA negotiated and executed a Memorandum of 

Understanding (MOU) to define the roles and responsibilities between the two parties. OSA 

quickly negotiated and executed the Confidential Disclosure Agreements (CDAs) with each 

Pharma Partner. The CDAs covered the scope of project and acknowledge that the information 

might be shared with others who were part of the ACTIV-1 program. CDAs were put in place 

with each pharma partner to begin Investigational New Drug (IND) discussions. NCATS OSA 

also drafted and negotiated three Clinical Trial Agreements (CTAs) and a Clinical Supply 

Agreement (CSA), all in parallel and with input from the entire ACTIV-1 scientific team.

More information on ACTIV, including all ACTIV master protocols, are available online.

NCATS and NCI: Advancing Innovations through Mentorship (AIM)

Advancing Innovations through Mentorship (AIM) is a new short-course program that has been

crafted to advance translational discovery and development arising from the NIH Intramural

Research Program (IRP) and to empower NIH investigators in evaluating their technologies in

the context of the commercial and healthcare landscape. AIM is based on the NIH Innovation 
72

Corps (I-Corps) program that has been further developed and fine-tuned for the NIH intramural 

program. Since 2018, leaders across the NCI Small Business in Research (SBIR) Development 

Center, the NCI Technology Transfer Center, and NCATS Office of Strategic Alliances (OSA) 

have been discussing expansion of the already successful NCI-led SBIR I-Corps program for the 

NIH IRP. In its current form, I-Corps at NIH is an entrepreneurial training program designed to 

help small business innovators - Phase I SBIR/STTR awardees - assess their technologies,

recognize commercial opportunities, and build a scalable business model. This program has

enormously increased the commercial awareness of SBIR/STTR awardees and has helped them

to identify funding sources and finesse their commercialization plans.

The value of an I-Corps-like program for intramural scientists was soon recognized and led to 

the development of the pilot AIM program. Through this pilot program intramural investigators 

at NCI and NCATS would be able to translate their ideas from the bench to the bedside using the 

customer discovery process. In April 2020, the leadership at NCI and NCATS approved the pilot 

cohort of the AIM program. AIM’s goal is to increase the likelihood that discoveries arising from 

NIH intramural research program are translated into products that can benefit patients and 

positively impact world health. Through structured mentorship, the AIM program can help 

advance NIH-conceived inventions to the marketplace by leading the course participants to 

perform customer discovery and incorporate methodologies for agile development into their 

research. In May 2020, NCI and NCATS sponsored a total of seven teams for the initial pilot.

From August to September 2020, the first pilot cohort of teams completed the course. Through

AIM, NCATS and NCI intramural scientists who applied and participated in the course worked 

in teams with their respective Technology Transfer Managers and an I-Corp entrepreneurial 

expert to advance their focus beyond the laboratory and to focus on the economic and societal 

benefits of public-funded basic-research projects. The results of the pilot program have more 

than exceeded initial expectations. The course’s exit questionnaire captured some striking data -

see highlights of these statistics below. Many of the teams conducted close to 40 interviews, and 

these resulted in uncovering multiple new development paths. One team initiated two new 

collaborations, and another hired an outside instrument development group to make 

improvements to their prototype, to address customer preferences, as told to them during the 

interviews:

• 95% of respondents said they would rate the course as good or very good

• 85% of respondents said the course met or exceeded their expectations

• 95% of respondents said all aspects of the course were valuable (Pre-course assignments 

got the lowest response)

• 75% of respondents said the course would change their approach to doing research.

• ~95% or respondents said the course would, even a little, impact their development 

pathway

NIAID, CDC, and HHS: Cooperation to Rapidly Share SARS-CoV-2 Virus Specimens and 

Materials

SARS-CoV-2, the virus responsible for coronavirus disease (COVID-19), has wreaked havoc

around the globe and caused substantial illness and death. As of January 28, 2021, more than 101
73

million COVID-19 cases were reported across 192 countries and territories, resulting in more 

than 2.1 million deaths, including more than 430,000 deaths in the United States.

As a novel virus, at first, little was known about the biology of, and medical countermeasures for 

SARS-CoV-2. Rapid sharing of SARS-CoV-2 materials, especially SARS-CoV-2 virus strains, 

was and remains an essential requirement for improving understanding of the virus and the 

development of effective diagnostics, vaccines, and therapeutics. Academic centers, U.S. 

government agencies, private companies, and the public health community requested specimens 

from NIAID to support SARS-CoV-2 research and development of medical countermeasures. 

Private companies were particularly eager to access SARS-CoV-2 materials with ease in

coordinating shipments and without protracted legal negotiations or other constraints.

Technology transfer offices at NIAID, CDC, and the staff in the HHS Office of the Assistant 

Secretary for Preparedness and Response first tested a new approach to sharing materials during 

the Zika virus epidemic in 2016. Since that time, Federal cross-agency partners including 

NIAID, CDC, and HHS Office of Global Affairs developed a more efficient and collaborative 

approach for sharing critical virus materials. The CDC reached out to its extensive global 

network of partner laboratories and sentinel surveillance sites to access SARS-CoV-2 specimens

in early February 2020. Similarly, NIAID was able to access specimens from around the world 

by communicating through the Institute’s grantee and contractor network.

As of late 2020, the repository supported by NIAID received deposits of SARS-CoV-2 materials 

from 22 organizations, including CDC, NIAID, and three other U.S. Federal agencies, and has 

fulfilled 8,441 requests for SARS-CoV-2 materials, all under emergency use simple letter 

agreements (EUSLA). Unlike traditional material transfer agreements, the EUSLA does not have

a restriction on commercial use and does not prohibit subsequent transfer of the materials by a 

recipient. The team executed 4,108 agreements that allowed shipments of SARS-CoV-2 

materials to 319 universities, hospitals, and research institutes; 509 biotech and pharmaceutical 

companies; 39 Federal agencies and state public health departments; as well as 5 foreign 

governments. Materials have been distributed geographically to 49 U.S. states, Puerto Rico, and 

43 countries.

The World Health Organization (WHO) in its Research and Development (R&D) Blueprint 

highlights the critical importance of transferring biological samples from one place to another 

during an outbreak. Progress in scientific methods, medical research, and the development and 

distribution of effective medical and behavioral measures are often tied to the availability of 

these biological samples and the willingness of governments and other partners to share samples. 

Movement of samples must be as simple, efficient, and transparent as possible. Efforts by WHO 

and its international partners to fully implement timely global specimen sharing of Zika virus, 

SARS-CoV-2, and other new and emerging infectious diseases continue to face significant 

challenges.

NCI: NCI Guides Fast-moving Collaboration with Immunotherapy Startup

In December 2019, Dr. James Yang, NCI CCR Surgery Branch, met with the vice president of

research for Elicio Therapeutics, a start-up company formed to develop a technology licensed

from MIT. Elicio is planning to use a novel approach to immunotherapy by harnessing its 
74

“Amphiphile Platform” to target a wide range of immunogens to the lymphatic system, the 

“brain center” of the immune response. Their Amphiphile platform is engineered to target 

immune-modulatory therapeutics and vaccines directly to the lymph nodes. By delivering these 

immunogens directly to immune cells in the lymph nodes, Amphiphiles can control immune 

signaling to stimulate and orchestrate the development of the immune response against cancer. 

The company’s goal: develop vaccines to “super-charge” CAR-Ts at the lymph nodes and 

improve immune responses to cancer. One of the company’s lead compounds, ELI-002, is an 

“AMP KRAS-vaccine” containing seven Amphiphile mKRAS peptides and a proprietary 

Amphiphile adjuvant.

A week after the initial meeting at a scientific conference, NCI initiated a Confidential 

Disclosure Agreement (CDA) that was executed by January 2020. Preliminary discussions 

between Dr. Yang and Elicio led to NCI and Elicio entering into a Collaboration Agreement 

(CA) for non-human materials in April 2020.42 The research goal was to discover and evaluate 

mutant murine KRAS specific T cell Receptors (TCRs) for their potential to be used in 

engineered TCR-T cells for therapy of patients with KRAS-mutated tumors. This study would 

help monitor patient responses in the planned clinical study of ELI-002 and would set the stage 

for future clinical trials combining ELI-002 with KRAS-targeting T cells.

The results of the initial CA were positive. In July, NCI and Elicio executed a second CA for 

human materials. In this CA, NCI and Elicio set out to collaborate on the development of a new 

biomarker assay. In addition, Elicio and NCI are developing an amphiphile vaccine to boost 

mEGFR specific T cell responses. In the meantime, Elicio completed preclinical validation,

IND-enabling GLP toxicology studies, and a pre-IND meeting with the U.S. FDA for its lead 

candidate, ELI-002. As part of a plan to conduct multi-site Phase 1/2 trials, Elicio hired a

Contract Research Organization, Icon. Icon reached out to NCI with a request to execute a CDA 

to allow them to share the clinical trial protocol with Dr. Yang in order to discuss next steps and 

a clinical trial agreement with NCI. Instead of a new CDA, TTC amended the existing CDA 

(with Elicio) to specifically add the clinical protocol. This enabled Icon to share the protocol 

with Dr. Yang who indicated interest in participating in Elicio’s multi-site clinical trial as one of 

the trial sites. TTC’s Dr. Aida Cremesti, TTM, supported these efforts.

42 A CDA is a “formal collaborative agreement with industry, academia, and non-profits to facilitate co-development 

through the exchange and development of research materials, knowledge, and technologies.” A CA is a specific type 

of CDA that “permits a two-way exchange of materials and information, and assumes exchange of results and/or 

conclusions will occur between NIH and companies, universities, state/local governments, Federal labs, and nonprofits.” More information on NIH CDAs can be found online.
75

Department of Homeland Security (DHS)

The Department of Homeland Security (DHS) protects the nation and its critical infrastructure 

from security threats and responds to natural and man-made disasters. DHS secures land, air, and 

sea borders; protects cyberspace; and secures critical infrastructure as diverse as energy 

infrastructure and dams, financial services, and agriculture. DHS provides direction to the 

broader homeland security community, including state, local, regional, tribal, and territorial 

government organizations; first responders; and private organizations involved in critical 

infrastructure sectors. DHS also collaborates with international partners, working to protect 

similar and, sometimes, common critical infrastructure.

The breadth of homeland security responsibilities and operations requires DHS staff and other 

members of the homeland security community to use diverse and often specialized technologies 

and methods. The DHS Science and Technology Directorate (S&T) applies scientific, 

engineering, and analytic innovations to advance mission-critical technologies and methods. End 

users of these technologies are often members of the broader homeland security community (e.g., 

local firefighters and police will use Next Generation 911 systems). DHS works with user 

communities to understand their needs and limitations, seeks out promising candidate 

technologies, invests in technology development, collaborates with community members to 

evaluate candidate technologies, and shares the results through a variety of mechanisms.

DHS uses various technology transfer mechanisms to address the breadth of needs within the 

homeland security community. Traditional patenting and licensing activities enable businesses to 

commercialize DHS technologies and make products available in the market. CRADAs support 

specialized laboratory testing and evaluation, operational tests, and/or field assessments by 

members of the user community. The results help innovators refine their technologies and expose 

the user community to new solutions to ongoing challenges. Because the technology needs of 

many homeland security organizations and activities are very specialized and not well supported 

by the general commercial marketplace, DHS funds early-stage prototyping by new companies 

through the Small Business Innovation Research (SBIR) program and the Commercialization 

Accelerator Program.

As the designated DHS Office of Research and Technology Applications (ORTA; 15 USC 

§3710(b)), the Technology Transfer and Commercialization Program (T2C) manages technology 

transfer and commercialization activities for the Department, including DHS components and the 

DHS laboratory network. T2C works directly with the DHS Office of General Counsel 

Technology Programs Law Division to protect, manage, and license DHS IP. T2C has also 

delegated responsibility for establishing research collaborations and partnerships through 

CRADAs and provides additional resources or support to develop and move technologies from 

lab to market.

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

https://www.dhs.gov/science-and-technology/technology-transfer-program
76

DHS Invention Disclosures and Patenting

Between FY 2016 and FY 2020, inventions disclosures increased by 120%, from 15 in FY 2016 

to 33 in FY 2020. From FY 2015 to FY 2019, DHS reported a 180% increase in patent 

applications filed with 15 in FY 2016 and 42 in FY 2020. Patents issued increased by 300%, 

with 3 in FY 2016 and 12 in FY 2020.

DHS Invention Disclosures and Patenting

FY 2016 FY 2017 FY 2018 FY 2019 FY 2020

New Invention Disclosures 15 20 22 14 33

Patent Applications Filed 15 0 17 38 42

Patents Issued 3 2 8 8 12
77

Patents issued to DHS in FY 2020 covered multiple technology areas including Digital 

Communication (17%), Control (15%), Measurement (12%), Computer Technology (11%), and 

Biotechnology (10%).43

USPTO Patents Assigned to DHS by Technology Area: FY 2020

43 Source: Prepared by Science-Metrix using USPTO data indexed in PatentsView in January 2022. Used with 

permission.
78

DHS Licenses

In FY 2020, DHS managed 5 active license agreements. Out of the 5 active agreements, one was 

income bearing.

DHS Licenses

FY 2016 FY 2017 FY 2018 FY 2019 FY 2020

Licenses, Total Active 5 5 5 5 5

New Licenses 1 0 0 0 0

Invention Licenses, Total Active 5 5 5 5 5

New Invention Licenses 1 0 0 0 0

Income Bearing Licenses, Total Active 1 1 1 1 1

Income Bearing Exclusive Licenses 0 0 0 0 0
79

DHS Income from Licensing

From FY 2016 to FY 2020, DHS reported a 267% increase in total income, from $12 thousand in 

FY 2016 to $44 thousand in FY 2020. All income was reported as invention licensing income. 

Total earned royalty income increased by 267%, from $12 thousand in FY 2016 to $44 thousand 

in FY 2020.

DHS Income from Licensing ($000s)

FY 2016 FY 2017 FY 2018 FY 2019 FY 2020

Total Income, All Active Licenses $12 $20 $36 $38 $44

Invention Licenses $12 $20 $36 $38 $44

Total Earned Royalty Income, (ERI) $12 $20 $36 $38 $44
80

DHS Collaborative R&D Relationships44

Total active CRADAs decreased by 69%, from 343 in FY 2016 to 106 in FY 2020. New 

CRADAs decreased by 56%, from 114 in FY 2016 to 50 in FY 2020. Total active traditional 

CRADAs decreased by 61%, from 272 in FY 2016 to 106 in FY 2020.

DHS Collaborative R&D Relationships

44 DHS was unable to report values for other collaborative R&D agreements for FY 2018, FY 2019, and FY 2020.

FY 2016 FY 2017 FY 2018 FY 2019 FY 2020

CRADAs, Total Active 343 412 164 212 106

New CRADAs 114 107 104 6 0 5 0

Traditional CRADAs, Total Active 272 326 164 212 106

Other Collaborative R&D Relationships 7 1 7 1 n.a. n.a. n.a.
81

DHS Downstream Success Stories

Responding to the Coronavirus (COVID-19) Pandemic

In 2020, DHS moved quickly to address the COVID-19 pandemic on multiple fronts, using the 

capabilities of its established laboratories, technologies that enable biological threat 

characterization, and research scientists. The following COVID-19 projects made important 

impacts.

Web-Accessible Calculators to Estimate Airborne and Surface Decay of SARS-CoV-2

To realistically assess risk and develop effective policy, health and safety professionals need 

access to scientific research findings. In early 2020, as the SARS-CoV-2 virus spread worldwide, 

few, if any, research results were available, so health and safety professionals lacked the 

knowledge to provide scientific guidance to the public. Health officials could not answer the 

most basic questions: Is it safe to touch a postal package? Could I become infected if another 

commuter on my bus is sick with COVID-19?

Scientists at DHS’s National Biodefense Analysis and Countermeasures Center (NBACC)

regularly conduct experiments to better understand biological vulnerabilities and hazards, and 

NBACC was quickly pulled in to support DHS’s agency-wide COVID-19 response efforts. 

Scanning electron micrograph of the surface of a SARS-CoV-2 infected Vero cell (green), surrounded by less infected Vero 

cells (tan). SARS-CoV-2 can be seen budding from the surface and bound to the surface (blue). Magnification: 16,750X. 

Source: U.S. DHS
82

NBACC researchers performed experiments with SARS-CoV-2 in their biosafety facility to 

determine how long the virus remained stable in either aerosols (airborne) or on surfaces, given 

various environmental conditions such as temperature and relative humidity. Their research 

findings provided the necessary scientific models to address these basic questions.

However, health and safety professionals needed a tool to help use the research models. DHS 

S&T’s Probabilistic Analysis for National Threats Hazards and Risks (PANTHR) program 

develops tools to assist risk-informed decision making. PANTHR scientists and engineers 

developed easy-to-use, web-based calculators that allow health and safety professionals and 

members of the general public worldwide to input environmental conditions to determine how 

long the virus would remain viable. These calculators enabled the development of scientifically 

based public policy (e.g., requirements for face mask-wearing on public transit) and public safety 

guidance (e.g., it’s safe to touch packages, but wash your hands after you open them). The figure

shows the airborne stability calculator.

More information about the Coronavirus Stability Calculator is available at 

https://www.dhs.gov/science-and-technology/sars-airborne-calculator

Evaluation of a SARS-CoV-2 Direct Antigen Rapid Test (DART)

The need for a fast, accurate, inexpensive test to determine if an individual has been infected 

with SARS-CoV-2 was evident in early 2020 and will remain essential due to the ease with 

which the virus spreads and the potential disease severity. Fast test results enable clinical triage 

and allow doctors to make immediate decisions about treatment and patient isolation. 

Unfortunately, the majority of tests available in 2020 were polymerase chain reaction (PCR) 

tests, which accurately detect active SARS-CoV-2 infection in the individual but are labor 

intensive and time consuming.

S&T identified E25Bio, a small biotech company with a promising fast and inexpensive testing 

method based on a lateral flow immunoassay, the E25Bio Direct Antigen Rapid Test (DART). In

their straightforward approach, the individual or a health professional 1) takes a sample using a 

nasal swab, 2) places the swab into a tube with test fluid, 3) squeezes a few drops of the fluid 

Coronavirus airborne stability calculator. Source: U.S. DHS
83

onto a DART test cartridge, 4) waits 15 minutes, and 5) interprets colored markers that appear on 

the cartridge (similar to a home pregnancy test). E25Bio needed to generate data to confirm that 

the device was effective and accurate enough in detecting SARS-CoV-2 for making medical 

decisions.

DHS entered into a CRADA with E25Bio to enable NBACC scientists to perform the necessary 

experiments with the E25Bio DART and collect data to demonstrate its effectiveness. E25Bio 

used the data generated by NBACC to support its applications to the U.S. Food and Drug 

Administration for home use and to the European Union for a Conformité Européenne (CE) 

mark. The CE mark was granted, enabling E25Bio to establish a global distribution agreement 

with PerkinElmer. The test is now sold as the PerkinElmer COVID-19 Antigen Test and is 

available in any region that accepts the CE mark for medical devices.

Automating NIAP Requirements Testing for Mobile Apps

Determining if application software meets the security requirements of an organization is 

essential and challenging. The National Security Agency-funded National Information Assurance 

Partnership (NIAP) oversees a program that evaluates the security characteristics of commercial 

products and certifies them for use in U.S. national security systems. The NIAP independent 

testing and evaluation process is internationally recognized for its thorough security assessment, 

and many government and commercial organizations adopt NIAP standards and use the results 

of its product evaluations for their most critical software procurement decisions.

Unfortunately, the NIAP evaluation process can be time consuming and costly. Timeliness and 

cost effectiveness are especially important for mobile apps (software applications that run on

E25Bio Direct Antigen Rapid Test (DART) result cartridge. Source: U.S. DHS
84

mobile devices), as this software is updated frequently. Vetting just one mobile app through the 

NIAP process can consume as many as 60 hours of work by cybersecurity and technology 

experts, costing a Federal agency from $40,000 to $80,000. The timeframe for completing the 

NIAP process can be three to six months.

S&T partnered with NIAP on a pilot study to determine if a technology solution can be used to 

improve the timeliness and cost effectiveness of mobile app evaluations, without compromising 

the integrity of the evaluation. The pilot study used Kryptowire’s software assurance tool, funded 

by S&T, to automate mobile app testing (i.e., mobile app vetting) as shown. During the study, 

Kryptowire engineers used their tool to test the iOS and Android versions of a mobile app that 

was recently certified to be compliant with NIAP’s application software assurance standard as 

determined by NIAP’s standard assessment process.

The pilot showed that up to 90% of the NIAP testing for a mobile app can be automated and 

completed in just two hours. This significantly improves the efficiency of the evaluation process, 

shortens assessment timelines, and reduces costs, all of which are essential for frequently 

updated mobile apps. These results are good news for government and commercial organizations 

that want an effective, efficient tool to reduce security risks from commercially available apps.

The pilot project was also valuable for Kryptowire. Feedback from NIAP evaluation experts led 

Kryptowire engineers to augment the tool’s testing capabilities, adjust result reporting to better 

align with the evidentiary needs of the certification process, and make the product easier to use. 

Publication of the study results helped Kryptowire distinguish its app-vetting product from those 

of its competitors. New customers have adopted the Kryptowire product, including some U.S. 

civilian government agencies, commercial companies, and international government agencies. 

NIAP Automation Pilot Process. Source: U.S. DHS
85

Some international government agencies, previously unaware of the NIAP app security 

standards, are now considering adopting those standards for their own environments.

The study report, “Automating NIAP Requirements Testing for Mobile Apps,” June 29, 2020, 

authored by S&T and the NSA is available at: 

https://www.dhs.gov/sites/default/files/publications/niap_report_508c_062620.pdf

Low-Cost Flood Inundation Sensors

Flooding is the nation’s leading natural disaster, resulting in catastrophic loss of life, property 

damage, and economic impact. Over the past 30 years, flooding is estimated to have cost more 

than $8.2 billion in damages and averaged more than 105 fatalities per year. Some of this 

devastation could be prevented by using flood inundation sensors. Unfortunately, the high cost 

(close to $20,000 for a single unit, plus more than $10,000 in annual maintenance) of many 

permanent flood sensors available today significantly limits their use.

Intellisense Systems, an S&T SBIR awardee, designed and developed a rugged, but inexpensive 

(under $4000 per unit) flood inundation sensor that can be incorporated into a scalable, wireless 

network to rapidly measure rising water and report flood conditions back to operations centers, 

first responders, and citizens.

The Intellisense Systems’ AWARE flood sensor, while commercially available, is now part of 

several multi-party CRADAs with state and local governments to obtain additional data to 

improve the design and operation of the flood sensor. The ultimate goal of the CRADAs is to 

improve the technology and offer it to the public at a lower cost. The lower cost of the sensors 

will enable affected communities to distribute them more widely, establishing a more 

comprehensive flood monitoring platform.

More information about the low-cost flood inundation sensors can be found at: 

https://www.dhs.gov/sites/default/files/publications/floodsensor_factsheet.pdf

Developing a Hoist Rescue Glove

Helicopter search and rescue operations aid people who 

are in distress or imminent danger, often in emergency 

situations such as floods, wildland fires, or challenging 

wilderness conditions. To lift people aboard a helicopter, 

rescue personnel must often manually guide a steel hoist 

cable. Other hoist missions, such as cave, white water, or 

dive rescues, tend to involve rope-based trail lines, rather 

than steel cables.

S&T’s First Responder Research Group identified a high 

priority need for durable hoist rescue gloves that support 

good dexterity. Abrasion from hoist cables can damage or 

destroy the gloves after only one or two rescues, and 

abraded glove material can become dangerously 

Evaluator performing a hoist test. 

Source: U.S. DHS
86

entangled in the rescue cable. Hand dexterity is essential for successful rescue operations, as the 

safety of both victims and rescue personnel depend on it.

Under a CRADA, S&T worked with Higher Dimension Materials, Inc. (HDM) and the North 

Carolina State University Textile Protection and Comfort Center (TPACC) to conduct research 

and development of advanced, abrasion-resistant glove materials and alternative glove designs. 

HDM and TPACC worked with commercial glove manufacturers to design and produce three 

glove prototypes using high-performance materials.

S&T’s National Urban Security Technology Laboratory (NUSTL) conducted an operational field 

assessment at the U.S. Coast Guard’s (USCG) Aviation Technical Training Center to evaluate 

the suitability of the gloves for use by emergency responders. Rescue personnel from the North 

Carolina National Guard, the San Diego (California) Fire and Rescue, and USCG evaluated the 

prototype gloves in tests with cables and ropes in calm air and mechanically generated wind and 

rain.

Testers performed intricate manual tasks, such as 

attaching and detaching carabiners, adjusting 

buckles, and operating helicopter controls and 

keyboards. They tried various combinations of 

wet and dry hands with wet and dry gloves. 

Evaluators began with new gloves, and durability 

characteristics were checked after each activity, 

culminating in a test of guiding a weighted hoist 

cable continuously for one minute.

Feedback from the evaluators on the location and 

thickness of padding, color of wear evidenced by 

fabric layers (which might be difficult to 

distinguish after paint from hoist-cable markings 

transfers to the gloves), seam placement, and 

other features enabled HDM to combine the preferred characteristics from the different 

prototypes and design a single glove to best meet operator needs.

HDM identified a manufacturer for the new hoist rescue gloves and the initial production run of 

500 rescue hoist gloves were provided primarily to search and rescue helicopter units in the 

United States. American Security Today awarded S&T’s NUSTL a 2020 Platinum ASTORS 

award for Excellence in Public Safety for their work in the development of the hoist rescue 

gloves.

More information about the hoist rescue gloves is available at:

https://www.dhs.gov/science-and-technology/news/2020/03/31/snapshot-enhancing-hoist-rescuegloves-aerial-rescue and https://www.dhs.gov/science-and-technology/news/2021/05/24/newsrelease-enhanced-rescue-hoist-glove-available-responders

Evaluator performing a dexterity test. Source: U.S. DHS
87

Training High School Students to Stop Severe Bleeding

Severe bleeding from 

traumatic injuries during 

disasters or accidents can 

lead to death in as little as 

five minutes. If properly 

trained, bystanders can 

save lives if they act 

quickly to stop the 

bleeding until medical 

help arrives. When high 

school students across the 

nation are provided with 

first aid training focused 

on these lifesaving skills, 

they will be better 

prepared to respond to 

traumatic injuries and 

potentially save the lives 

of their friends, family, or the public.

S&T, in collaboration with the Federal Emergency Management Agency, funded the Uniformed 

Services University’s National Center for Disaster Medicine and Public Health (NCDMPH) to 

develop age-appropriate trauma training for high school students. The First Aid for Severe 

Trauma (FAST) training was developed by NCDMPH and the American Red Cross in 

partnership with teachers and medical experts.

The FAST curriculum was designed to 

teach students how to respond 

effectively to a bleeding emergency, 

regardless of the cause of the injury.

The course covers a variety of injury 

scenarios and teaches students how to 

assess the safety of the scene, determine 

whether bleeding is life-threatening or 

not, communicate effectively with 

emergency medical personnel and 

others at the scene, apply direct 

pressure, and place a tourniquet 

correctly.

More than 250 high school teachers have participated in certification training to become 

provisional FAST instructors, and virtual focus groups have examined challenges and potential 

solutions for FAST implementation at state and local levels and in school districts and 

classrooms. A study published in May 2020 in the journal Academic Pediatrics found that high 

FAST teaches to high school students proper use of tourniquet techniques with readily 

available items Source: U.S. DHS

FAST training research project with HOSA – Future Health 

Professionals. Source: U.S. DHS
88

school students can learn effective hemorrhage control via the mixed-mode training methods 

(i.e., web-based training, followed by in-person skills practice) developed by the program.45

FAST has been transferred to the American Red Cross as a formal addition to their training 

opportunities and will not depend on future federal money. The American Red Cross is currently 

accepting pre-orders for the FAST education program. The in-classroom and blended learning 

(online plus in-classroom) classes are expected to be available in August 2021.

The FAST course will be offered to high school students at no charge, and the digital materials 

(e.g., online training videos, instructor manuals, reference cards, and student manuals) will be 

available to schools for free. For schools that do not already have supplies (e.g., limb models and 

tourniquets) for classroom training, the American Red Cross is developing classroom training 

kits for purchase.

More information about the FAST training can be found at https://www.redcross.org/take-aclass/first-aid/first-aid-training/first-aid-classes/fast-training.

45 Craig Goolsby, Luis E. Rojas, Raphaelle H. Rodzik, Marianne Gausche-Hill, Matthew D. Neal, Matthew J. Levy, 

High-School Students Can Stop the Bleed: A Randomized, Controlled Educational Trial, Academic Pediatrics, 

Volume 21, Issue 2, 2021, Pages 321-328. https://doi.org/10.1016/j.acap.2020.05.012
89

Department of the Interior (DOI)

Technology transfer for the Department of the Interior (DOI) includes a range of activities 

designed to disseminate scientific and technical information and knowledge between the DOI, 

other Federal agencies and non-Federal entities. It includes, but is not limited to, publications, 

exchange of scientific and technical information, protecting and licensing intellectual property 

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

expertise and specialized scientific material and resources which the DOI manages. In general, 

technology transfer activities within the DOI are consistent with its mission to protect and 

manage the Nation’s natural resources and cultural heritage; provide scientific and other 

information about those resources; and honor trust responsibilities or special commitments to 

American Indians, Alaska Natives, and affiliated Island Communities. 

This section describes the actions that the DOI took in FY 2020 to advance technology transfer. 

These range from developing new technologies that would help identify various substances in 

water to improved methods to measure water quality in high biofouling environments. These 

activities demonstrate the innovation, expertise, and dedication of the department’s employees, 

including its many scientists and engineers, to help reduce risks to public health, safety, and the 

environment from natural and man-made hazards. 

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

innovation and technology transfer. In FY 2020, as in previous years, the majority of technology

transfer activities reported by DOI under the Federal Technology Transfer Act of 1986 (FTTA)

were undertaken by the U.S. Geological Survey (USGS), which is DOI’s largest R&D 

organization, both in terms of budget and personnel. Typically, USGS accounts for about twothirds of DOI’s R&D budget.

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

to the resources it manages and ensure that this information is accessible to resource managers, 

private industry, and the general public. The vast majority of DOI’s technology transfer activities 

use traditional technology transfer mechanisms, such as publications of peer-reviewed papers 

and reports, webpage postings, fact sheets, and presentations at meetings and conferences. In 

2020, Bureau of Reclamation (Reclamation or BOR), Bureau of Ocean Energy Management 

(BOEM), Fish and Wildlife Service (FWS) and National Park Service (NPS) personnel authored 

or co-authored at least 720 reports, books, fact sheets and other publications disseminating 

mission-relevant scientific and other technical information to the public and peers in and out of 

government—other bureaus do not collect this information in a readily accessible manner.

Bureaus also use other conventional approaches to share scientific and technical resources and 

expertise with universities and other entities to address resource management issues. For 

example, seven DOI bureaus are active participants in the network of 17 Cooperative Ecosystem 

Studies Units (CESUs), a collaboration among 16 Federal agencies and more than 470 nonFederal partners (including universities, Tribes and Tribal organizations, State agencies, 

museums, aquariums, arboretums, and conservation organizations). The CESU Network extends 

across biogeographic regions in all 50 states, the District of Columbia, and U.S. insular areas. 

Each CESU is hosted by a university.
90

In addition, some bureaus and/or offices have offered prizes to help develop new or improve 

existing technologies. The bulk of the prize competition activities at DOI are undertaken by 

Reclamation’s Prize Competitions Program. From FY 2019-2020, DOI bureaus completed, had

underway, or launched 14 prize competitions, which included competitions led by Reclamation, 

BOEM, and FWS; an additional competition was led by the National Invasive Species Council 

and included contributions from NPS, FWS, and USGS.

Bureaus that are active in R&D or have research capabilities that complement U.S. commercial 

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

with non-Federal partners. Such agreements allow DOI’s bureaus and the non-governmental 

sector (including private entities) to pool their expertise and resources to jointly create and 

advance technologies that support agency missions while helping U.S. industries innovate and 

commercialize technologies that strengthen the economy and create jobs. This report focuses 

primarily on, but is not limited to, aspects of technology transfer related to the FTTA.

DOI's annual technology transfer report is available online.

More information about DOI technology transfer activities is available online.

FY 2020 Accomplishments

During FY 2020, DOI’s scientific, technical, and engineering personnel continued to engage in a 

broad range of cooperative activities to develop and disseminate innovative technologies, 

including:

• Collaborating on 489 CRADAs, of which 237 were initiated in FY 2020. In addition, 

DOI engaged in at least 457 other collaborative R&D relationships.

• Engaging in 353 nontraditional CRADAs, such as material use and facility use 

agreements, under the FTTA.

• Four (4) new inventions were disclosed; four (4) new patent applications were filed; three 

(3) new patents were awarded.

• Managing seventy-one (71) active patent licenses for inventions and other IP, earning 

about $123,000 collectively. The large increase in licensing activity from 18 to 71 from 

FY 2019 to FY 2020 is mainly due to the demand from various authorities for pilot 

agreements and licenses to use and operate USGS’s ShakeAlert systems.

• Reclamation, BOEM, FWS, and NPS personnel authored or co-authored at least 720 

reports, books, fact sheets, and other publications disseminating mission-relevant 

scientific and other technical information to the public and peers in and out of 

government.
91

DOI Invention Disclosures and Patenting

From FY 2016 to FY 2020, new inventions disclosed decreased by 50%, from 8 in FY 2016 to 4

in FY 2020. Patent applications filed did not change, with 4 in FY 2016 to 4 in FY 2020. Patents 

issued increased by 200%, from 1 in FY 2016 to 3 in FY 2020.

DOI Invention Disclosures and Patenting

FY 2016 FY 2017 FY 2018 FY 2019 FY 2020

New Invention Disclosures 8 12 9 8 4

Patent Applications Filed 4 5 7 3 4

Patents Issued 1 3 6 1 3
92

The patents issued to DOI in FY 2020 covered multiple technology areas including 

Biotechnology (23%), Measurement (18%), Civil Engineering (13%), Basic Materials Chemistry 

(10%), and Handling (7%).46

USPTO Patents Assigned to DOI by Technology Area: FY 2020

46 Source: Prepared by Science-Metrix using USPTO data indexed in PatentsView in January 2022. Used with 

permission.
93

DOI Licenses47

From FY 2016 to FY 2020, total active licenses increased by 223%, from 22 in FY 2016 to 71

licenses in FY 2020. DOI reported 17 new invention licenses in FY 2020. Total active invention 

licenses increased by 255%, from 20 in FY 2016 to 71 in FY 2020. DOI reported 1 new 

invention license in FY 2020. Total active income bearing licenses decreased by 47%, from 17 in 

FY 2016 to 9 in FY 2020. Income bearing exclusive licenses decreased by 38%, from 8 in FY 

2016 to 5 in FY 2020.

DOI Licenses

47 DHS was unable to provide information on Invention Licenses, Total Active; New Invention Licenses; and 

Income Bearing Exclusive Licenses for FY 2018.

FY 2016 FY 2017 FY 2018 FY 2019 FY 2020

Licenses, Total Active 2 2 1 5 1 7 1 8 7 1

New Licenses 0 0 2 2 1 7

Invention Licenses, Total Active 2 0 1 3 n.a. 1 6 7 1

New Invention Licenses 0 0 n.a. 2 1

Income Bearing Licenses, Total Active 1 7 1 3 1 3 1 6 9

Income Bearing Exclusive Licenses 8 7 n.a. 7 5
94

DOI Income from Licensing

Between FY 2016 and FY 2020, total income from all active licenses increased by 48%, from 

$83 thousand in FY 2016 to $123 thousand in FY 2020. The income from invention licenses 

increased by the same amount, as all income received came from invention licenses. Total earned 

royalty income also increased by 48%, from $83 in FY 2016 to $123 thousand in FY 2020.

DOI Income from Licensing ($000s)

FY 2016 FY 2017 FY 2018 FY 2019 FY 2020

Total Income, All Active Licenses $83 $50 $51 $42 $123

Invention Licenses $83 $50 $51 $42 $123

Total Earned Royalty Income, (ERI) $83 $50 $51 $42 $123
95

DOI Collaborative R&D Relationships

From FY 2016 to FY 2020, total active CRADAs decreased by 44%, from 873 in FY 2016 to 

489 agreements in FY 2020. The number of new CRADAs decreased by 54%, from 511 in FY 

2016 to 237 in FY 2020. Traditional CRADAs decreased by 14%, from 37 in FY 2016 to 32

agreements in FY 2020. Other collaborative R&D relationships increased by 11%, from 319 in 

FY 2016 to 353 in FY 2020.

DOI Collaborative R&D Relationships

FY 2016 FY 2017 FY 2018 FY 2019 FY 2020

CRADAs, Total Active 873 841 740 470 489

New CRADAs 511 477 422 352 237

Traditional CRADAs, Total Active 3 7 5 8 5 3 4 3 3 2

Other Collaborative R&D Relationships 319 247 249 269 353
96

DOI Downstream Success Stories

United States Geological Survey: GazelleTM COVID-19 Screening Test

On April 17, 2020, the U.S. Geological Survey entered into a cooperative research and 

development agreement with Hemex Health and PAI Life Sciences to develop a rapid COVID19 screening test. The test will use an assay based on antibodies produced from COVID-19-

vaccinated juvenile sea lamprey to detect the virus in human saliva samples. This test could be 

an invaluable resource for healthcare professionals in the fight against the ongoing global 

pandemic.

The new screening tool differs from other diagnostic coronavirus tests in that it detects the shed 

protein of COVID-19 rather than the virus’s nucleic acids. Because the lamprey antibodies, or 

“lampribodies,” used in the development of the tool are stable at a wide range of temperatures, 

the actual test would not require continuous refrigeration. Removing this step would make the 

test invaluable in low-resourced areas around the world.

As of January 2021, USGS scientists have successfully produced a lampribody positive control 

to an irrelevant protein as part of the screening process. To date, the laboratory has processed 

thousands of lampribody samples from vaccinated lamprey. The lead scientist has created 

genetic libraries encompassing the lampribody response post-vaccination with SARS-CoV-2 

proteins and continues to screen these libraries for virus-specific lampribodies to use in the test. 

This work continues to provide strong partnership between biotech companies and government 

scientists.

United States Fish and Wildlife Service (FWS): National Conservation Training Center

The FWS Conservation Library at the National Conservation Training Center (NCTC) in 

Shepherdstown, West Virginia, provides a searchable collection of selected documents, images, 

historical artifacts, audio clips, publications, and video, most of which are in the public domain. 

FWS also makes internal publications, reports, and other information available to the public 

through the FWS website. Collections of current and legacy publications (including biological 

and technical publications) are available online from the NCTC library catalog and websites. 

NCTC also maintains links to biological and technical publications, as well as additional 

publications regarding birds, wetlands, fish hatcheries, and National Wildlife Refuges. 

NCTC also hosts publicly accessible webinars dealing with a variety of scientific and technical 

issues that affect the nation’s fish and wildlife resources. During FY 2020, NCTC hosted 111 

online science, technology, and educational webinars and 84 e-courses related to managing the 

Nation’s fish, wildlife, and plant resources. These are important components of FWS’s 

traditional technology transfer activities.

Office of Surface Mining Reclamation and Enforcement (OSMRE): GeoMine Web 

Application

The OSMRE Technical Innovation and Professional Services (TIPS) continues to develop and 

enhance the GeoMine Web Application, an interactive web-based mapping application for coal 

mining and reclamation activities within the United States. The TIPS program also trains State, 

Tribal, and Federal personnel to ensure that all agencies with responsibilities under the Surface 
97

Mining Control and Reclamation Act of 1977 (SMCRA or the Act) are using the same advanced 

software and hardware tools to conduct the business required by the Act.

GeoMine is designed to provide authoritative data for surface coal mining and reclamation 

operations across the country, merging data from numerous sources to create standardized, 

seamless layers that cross State and Tribal boundaries. OSMRE updated the GeoMine Web 

Application in 2020 to add two new layers and improve functionality, especially for mobile 

device optimization. The first new layer displays the DOI Unified Regional Boundaries which 

were finalized on August 22, 2018, and reflect DOI's recent reorganization from 49 regions 

across 8 bureaus to 12 Interior Regions, based on watersheds, but generally drawn along state 

lines to simplify coordination with external partners. The second new layer is the 2020 

abandoned mine lands (AML) reclamation layer which displays the locations of abandoned 

mines. All layers for GeoMine are publicly available on the GEOMine website and consist of 

data from State, Tribal and Federal Partners. Satellite imagery is updated through a live feed. 

The GeoMine data, which are updated as they are made available to OSMRE, are also linked to 

the national GeoPlatform.gov, making data easily searchable and integrated with data published 

by other agencies. This transparency allows the public to better understand the impacts of coal 

mining and reclamation activities.

National Park Service (NPS): Device to Facilitate Water Quality Measurement in High 

Biofouling Environments

Gulf Coast Inventory and Monitoring Network, one of 32 NPS Inventory and Monitoring 

Networks, has a CRADA with In-Situ, Inc., to develop and test an NPS employee’s invention 

and evaluate its potential for commercial manufacture and sale. The device enables currently 

available datasondes—which are used to measure water quality—to greatly increase the length of 

unmanned or continuous monitoring deployments in biofouling environments. It may also 

increase accuracy under turbulent flow conditions. The device modifies the calibration chamber 

An example of GeoMine mining-related feature classes. Source: U.S. DOI, OSMRE.
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of the sondes so that instrument/sensor drift—rather than water quality conditions—drives 

recalibration frequency requirements.

In FY 2020, the COVID-19 pandemic impacted In-Situ’s operations, delaying existing projects 

and reducing the overall market demand for water monitoring instruments. The Gulf Coast 

Inventory and Monitoring Network continued operating two of the modified instruments at Padre 

Island National Seashore (PAIS). Before the deployment of the invention at PAIS, instruments 

needed to be cleaned and maintained every 2 weeks to maintain data quality. These same 

instruments can now be deployed for more than 45 days without maintenance, resulting in 

significant savings to the Network. The goal is to make the invention available on the open 

market so others can benefit from using the device.

Bureau of Reclamation (Reclamation): Developing Monitoring Technologies to Measure 

Online Cavitation Impacts and Residual Stress of Installed Materials in Hydropower 

Turbines

In 2017, Reclamation and General Electric (GE) entered a three-year CRADA to conduct 

research at Grand Coulee Powerplant. The first objective of this research was to develop 

technologies for online measurement and analysis of damaging cavitation occurring within a 

Reclamation generator turbine. The second objective was to measure residual stress in machine 

materials to determine remaining useful life of welded hydropower components. In both areas, 

great progress was made that will improve powerplant operation and extend component life, 

thereby reducing future costs to consumers. 

To assess damaging cavitation, several tests and inspections were performed, focusing on 

generator turbine runners. Model test data depicting different cavitation types, regions, and

operational zones were examined and analyzed. A cavitation monitoring system was designed 

and installed on a test unit and an initial cavitation damage algorithm based on model and test 

data was developed and integrated into the detection system. Future work will focus on 

comparing results of data acquired from the monitoring system to actual cavitation damage 

measured during maintenance inspections of the generator turbine runner. Such results will be 

used to improve the algorithm and predict the amount of damage incurred over a given time and 

operation regime. 

During this cavitation research, the team focused additional attention on one cavitation case 

associated with the violent collapse of cavitating “rope vortices” within the turbine unit. These 

are helical vortices composed of spinning fluid particles which are created when turbines operate 

in conditions away from their design point. This creates violent pressure fluctuations caused by a 

helical vortex within the turbine, which can damage the turbine. When these vortices collapse, 

loud and violent shocks are produced that stress the turbine unit and plant structure. Operators 

constrain the range of turbine operation to avoid operating zones where these vortices occur. In

response, the research team developed and evaluated schemes to inject air at various turbine 

locations to reduce their occurrence. It was determined that a small amount of injected air at 

specific locations could effectively mitigate these cavitating rope vortex risks and provide the 

benefit of expanding the turbine’s range of suitable operation, thereby helping increase the 

amount of electricity generated at minimal cost. Based on these results, an automated air 

injection system was developed and installed on the test unit. 
99

Lastly, methods for measuring residual stress of installed hydropower welded components were 

investigated. Residual stress provides a sense about a material’s remaining service life. Different 

non-destructive test (NDT) measurement techniques included Magnetic Barkhausen Noise 

(MBN), X-ray diffraction, and hole-drilling techniques were performed on a runner in the GE 

shop as well as on a Francis turbine runner, pump-turbine runner, and rotor spider at Grand 

Coulee. 

X-ray diffraction is a direct measurement technique that is relatively accurate but more costly 

and complex to implement whereas MBN is a new, indirect residual stress measurement 

technique but needs calibration against X-ray diffraction measurements to allow the conversion 

of magnetic parameter readings into stress readings. MBN measurements would need to be taken 

on a regular basis and compared to the prior one. The MBN technique was found to offer 

reasonable accuracy and favorable ease of implementation relative to the X-ray diffraction 

technique and could be well-suited for monitoring installed hydropower welded components. 

These CRADA successes have led Reclamation and GE to enter a successor CRADA to continue 

research into cavitation detection and monitoring.

Bureau of Safety and Environmental Enforcement (BSEE): Joint Industry Projects (JIPs) 

to Advance Remote Visual Inspection and Oil Spill Cleanup

Significant technological advances, commercialization, and increased use of Autonomous 

Unmanned Vehicles (AUVs) over the past 20 years are yielding greater opportunities for DOI to 

augment the manned safety inspection and cleanup programs undertaken by or on behalf of 

BSEE. Given the successes by the U.S. DOI’s Office of Aviation Services which has an 

extensive Unmanned Aircraft Systems (UAS) Program utilizing aerial drones to fly missions for 

DOI agencies to combat wildfires and provide insight for the nation’s natural resources, wildlife 

and cultural heritage, BSEE is researching opportunities to utilize similar technologies for use 

offshore. AUVs (robotic vehicles that travel without or with only minimal real-time input from 

an operator) are self-propelled vehicles that can be manually operated and/or pre-programmed to 

navigate 3-dimensional missions for an extended period. AUVs are deployed from a surface 

vessel (or from shore) to operate independently in performing surface and underwater missions 

from a few hours to several months in duration over distances of 1000 miles and depths to 

15,000 ft. Following are two example JIPs that BSEE is involved in.

Remote Inspection of Oil and Gas Infrastructure. 

BSEE is exploring the use of AUVs to inspect oil and gas infrastructure (including pipelines) 

along the seafloor as well as fixed and floating facilities located hundreds of miles offshore and 

in water depths of 8000+ feet (e.g., offshore oil platforms and ancillary facilities). AUVs have 

the ability to operate 24/7, 365 days a year, including bad weather days (fog, rain, high winds) 

that often hamper and/or prevent manual inspections, without endangering BSEE staff. AUV 

technology can be applied to maintain future wind turbines and associated infrastructure installed 

on the Outer Continental Shelf (OCS) as part of BSEE’s wind-energy program. They can 

augment BSEE’s existing inspection program by enabling inspection of submerged, damaged, 

poorly maintained or other problematic attributes (e.g., platforms without functioning helidecks 

that would otherwise require inspectors to enter by a boat and swing rope). They can also free up 

personnel to focus on higher consequence facilities.
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Remote Oil Spill Collection Systems.

BSEE has also entered into a JIP to develop a new Remotely Operated Unmanned Surface 

Vehicle (ROUSV) for airborne deployment for oil spill herding agents (i.e., spill collecting 

agents) and igniters that will burn off the collected oil. The Oil Spill Recovery Institute (OSRI) is 

administering the JIP and Tactical Electronics (Tulsa, OK) has been subcontracted to develop an 

operational prototype of the technology. In addition to BSEE, JIP partners include ExxonMobil, 

Shell, Oil Spill Response Limited (OSRL), and the North Caspian Operating Company.

The ROUSV will allow more time on station with the potential to carry larger loads of herders 

and igniters to conduct a minimum of five in situ burn operations simultaneously. The ROUSV 

will be capable of being deployed from the shore, a boat, a fixed-wing airplane, or helicopter. 

This JIP builds upon previous efforts to develop an aerial herder ignition system and will include 

flight trials and testing of the full system.

Bureau of Ocean Energy Management (BOEM): Wind Tunnel Experiments for Oil and 

Gas Platforms and Drilling Rig Downwash

BOEM is responsible for regulating certain air emissions from oil and gas activities (exploration, 

development, and production) on the OCS in the Western and Central Gulf of Mexico to prevent 

these activities from significantly impacting any State’s air quality. Dispersion models are 

critical to understanding how pollutants released from oil production platforms and different 

types of drilling rigs can be carried through the air to nearby onshore areas and possibly impact 

air quality and human health. This study will employ laboratory wind tunnel testing to better 

parameterize BOEM’s dispersion models and help fill this important information need in 

BOEM’s air quality management approach.

Bureau of Land Management (BLM): BLM’s National Conservation Lands

BLM’s National Conservation Lands collectively comprise a natural scientific “laboratory," 

attracting scientists from around the world to investigate topics ranging from geology, 

paleontology, archaeology and history to biology, botany and ecosystem studies. Much of the 

research on the National Conservation Lands is conducted through partnerships with scientists 

and scientific organizations including universities, government agencies, American Indian tribes, 

Alaska Native organizations, special-focus groups and non-governmental organizations. 

Scientific projects inform the decision-making process of BLM managers and public outreach is 

emphasized.

In FY 2020, nationwide efforts included improvements to systems for tracking research efforts 

and updating standardized resource condition monitoring systems and datasets in areas such as 

Wild & Scenic Rivers and National Scenic and Historic Trails. These improvements build upon 

BLM systems identified in previous DOI Technology Transfer Reports. Two volumes of 

guidance (methods and field guide) were released in 2020 to help assess projects on the tens-ofthousands of miles of trails. The methodology is interdisciplinary to help inform management 

decisions by measuring the health of the overall landscape while ensuring the protection, 

conservation, and opportunities for enjoyment of the cultural, historic, scenic and natural 

resources along these Trails. 
101

Research and development efforts on National Conservation Lands frequently have broad 

landscape-level application. Highlights from FY 2020 include research informing post-fire 

restoration of sagebrush/sage grouse habitat; pollinator habitat studies providing cross-cutting 

insight into the relation between flora, fauna, and land use; night-sky research informing the 

impacts of land use change on dark-skies; paleontological and archaeological resource 

inventories that increase our knowledge of the Nation’s shared heritage; wetland condition 

assessments; and rare species assessments.
102

Department of Transportation (DOT)

The U.S. Department of Transportation (DOT) is the Federal steward of the nation’s 

transportation system. DOT consists of multiple modal Operating Administrations (OAs) 

that carry out mission-related research, development, and technology (RD&T) programs in 

support of the DOT strategic goals, the primary goal being safety. DOT’s technology transfer 

program, which is housed in the Office of the Assistant Secretary for Research and Technology 

(OST-R), is responsible for coordinating, documenting, and supporting technology transfer 

activities across the department. 

DOT defines technology transfer as the process of transferring and disseminating transportation

related scientific information to stakeholders who may apply it for public or private use. DOT’s 

current approach to technology transfer is diverse and unique to each mode of transportation. 

Each modal OA conducts mission-specific deployment activities tailored to its mode and type of 

research. Agency specific technology transfer activities may be found online.

Technology transfer activities are executed by DOT agencies and their laboratories:

• Federal Aviation Administration (FAA):

o Civil Aerospace Medical Institute, Oklahoma City, OK

o The William J. Hughes Technical Center (WJHTC), Atlantic City, NJ

• Federal Highway Administration (FHWA): Turner-Fairbank Highway Research Center 

(TFHRC), McLean, VA

• Office of the Assistant Secretary for Research and Technology (OST-R): John A. Volpe 

National Transportation Systems Center (Volpe Center), Cambridge, MA

• National Highway Traffic Safety Administration (NHTSA): Vehicle Research and Test 

Center (VRTC), East Liberty, OH 

• Federal Railroad Administration (FRA): Transportation Technology Center, Pueblo, CO

DOT also cooperates with the United States Office of Management and Budget to implement 

Cross-Agency Priority (CAP) goals to tackle critical government-wide challenges that cut across 

agencies. One of these CAP Goals is to “Improve Transfer of Federally Funded Technologies 

from Lab to Market.” Within DOT, OST-R leads cross-modal efforts to collaborate with the 

White House’s Office of Science and Technology Policy, in support of the Lab-to-Market (L2M) 

CAP Goal. As part of this effort, OST-R has created a T2 Evaluation Working Group composed 

of representatives from the Department’s OAs. The Working Group is assessing the 

effectiveness of past T2 efforts and developing recommendations for future T2 efforts.

DOT’s annual technology transfer report is available online. More information about DOT’s 

technology transfer activities is available on the following websites.

FAA | FHWA | OST-R | FRA
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DOT Invention Disclosures and Patenting

In FY 2020, DOT reported 3 invention disclosures, 2 patent applications, and 1 new patent was

issued.

DOT Invention Disclosures and Patenting

FY 2016 FY 2017 FY 2018 FY 2019 FY 2020

New Invention Disclosures 0 3 12 2 3

Patent Applications Filed 0 7 2 2 2

Patents Issued 1 0 0 0 1
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DOT Licenses

In FY 2020, DOT reported 5 active licenses and 1 invention license. Income bearing licenses

increased by 100%, from 2 in FY 2016 to 4 in FY 2020. DOT reported one income bearing 

exclusive license in FY 2020.

DOT Licenses

FY 2016 FY 2017 FY 2018 FY 2019 FY 2020

Licenses, Total Active 2 5 5 5 5

New Licenses 2 1 1 0 0

Invention Licenses, Total Active 2 0 0 1 1

New Invention Licenses 0 0 0 0 0

Income Bearing Licenses, Total Active 2 2 5 6 4

Income Bearing Exclusive Licenses 0 0 0 0 1
105

The patents issued to DOT in FY 2020 covered the technology area of Measurement (100%).

48

USPTO Patents Assigned to DOT by Technology Area: FY 2020

48 Source: Prepared by Science-Metrix using USPTO data indexed in PatentsView in January 2022. Used with 

permission.
106

DOT Income from Licensing

Between FY 2016 and FY 2020, total income from all active licenses increased by 27%. All 

income was reported as income from invention licenses. Total earned royalty income increased 

by 27% from $19 thousand in FY 2016 to $19 in FY 2020.

DOT Income from Licensing ($000s)

FY 2016 FY 2017 FY 2018 FY 2019 FY 2020

Total Income, All Active Licenses $15 $20 $13 $ 8 $19

Invention Licenses $ 0 $ 0 $ 0 $ 0 $19

Total Earned Royalty Income, (ERI) $15 $20 $13 $ 8 $19
107

DOT Collaborative R&D Relationships

Between FY 2016 and FY 2020, total active CRADAs decreased by 28%, from 68 in FY 2016 to 

49 agreements in FY 2020. New CRADAs agreements decreased by 68%, from 22 in FY 2016 to 

7 in FY 2020. Traditional CRADAs decreased by 26%, from 62 in FY 2016 to 46 in FY 2020.

DOT reported no other collaborative R&D relationships in FY 2020.

DOT Collaborative R&D Relationships

FY 2016 FY 2017 FY 2018 FY 2019 FY 2020

CRADAs, Total Active 6 8 6 5 6 3 4 4 4 9

New CRADAs 2 2 6 7 1 0 7

Traditional CRADAs, Total Active 6 2 6 6 6 3 4 3 4 6

Other Collaborative R&D Relationships 152 355 121 125 0
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DOT Efforts to Streamline Technology Transfer Operations

The importance of technology transfer within DOT is reflected in its Strategic Plan for FY 2018 

to FY 2022, which was released in February 2018. 49 Technology transfer aims to facilitate 

adoption and commercialization of market-ready transportation technologies.

During FY 2020, within DOT, OST-R led cross-modal efforts to collaborate with the White 

House’s Office of Science and Technology Policy, in support of the Lab-to-Market (L2M) CAP 

Goal.

Citing Innovation as 

one of the four main 

strategic goals in the 

Strategic Plan for 

FY 2018 to FY 

2022, U.S. DOT 

strives to lead in the 

development and 

deployment of 

innovative practices 

and technologies 

that improve the 

safety and 

performance of the 

Nation’s 

transportation 

system. Under that strategic goal, Deployment of Innovation is a key 

objective, and the Strategic Plan identifies T2 as one of the strategies to be 

used to accomplish that objective. The figure shows the relationship of T2 to the Department’s 

research and development (R&D) process and to stakeholder engagement. The T2 activities of 

OST-R and the different OAs within the Department are described in more detail below.

Additional information on DOT efforts to streamline technology transfer operations can be found

online in the DOT Technology Transfer Annual Reports.

DOT Downstream Success Stories

Federal Highway Administration (FHWA): Collaborative Hydraulics: Advancing to the 

Next Generation of Engineering

The Collaborative Hydraulics: Advancing to the Next Generation of Engineering (CHANGE) 

Initiative, part of the Federal Highway Administration’s Everyday Counts Initiative, has 

encouraged transportation agencies to adopt two-dimensional (2D) hydraulic modeling, which 

provide a more accurate representation of real-world hydraulic conditions and better illustrate 

hydraulic concepts, compared to one-dimensional (1D) modeling. These advantages are outlined 

49 The importance of technology transfer to meeting DOT goals is further emphasized in the FY 2022-26 U.S. DOT 

Strategic Plan, at https://www.transportation.gov/dot-strategic-plan.

Source: U.S. DOT.
109

in FHWA’s reference document Two-Dimensional Hydraulic Modeling for Highways in the 

River Environment. The number of States at the demonstration, assessment, or institutionalized 

stage of CHANGE deployment has nearly tripled from 17 at the beginning of 2017 to 46 today. 

Arizona and Washington State are frequent users of 2D hydraulic modeling and are recipients of 

State Transportation Innovation Council (STIC) Incentive Program funds to support projects that 

implement 2D hydraulic modeling. Compared to 1D hydraulic modeling, 2D hydraulic modeling 

better helps agencies understand site conditions, resulting in more reliable, resilient, and safer 

structures.

FHWA’s CHANGE team is collaborating with the National Highway Institute to offer the 

training course 2D Hydraulic Modeling of Rivers at Highway Encroachments. Additionally, the 

2D Hydraulic Modeling Users’ Forum drew 1,500 participants to its webinars and technical 

assistance offerings.

Federal Aviation Administration (FAA): Stationary Doppler Target Suppressor Patent

The FAA was awarded United States Patent Number 10,514,454 for the Stationary Doppler 

Target Suppressor (SDTS) Software Tool on December 24, 2019, for a critical improvement to 

the detection of airborne targets over and around wind farms and turbines.

Deployment of large-scale wind farms 

using utility grade wind turbines 

severely impacts the current radar 

systems used by the FAA for air traffic 

control, the Department of Homeland 

Security (DHS) for air domain 

awareness, and the Department of 

Defense (DoD) for air defense. The 

FAA’s patented SDTS software tool 

provides a critical improvement to 

mitigate the impacts of wind farms on 

radar and improve the detection of 

airborne targets over and around wind 

farms. The SDTS software tool 

includes a novel algorithm for dynamically adjusting radar detection 

threshold in a manner that strikes a balance between providing improved 

sensitivity in identifying a real target in a wind farm area while still eliminating clutter that 

would trigger false alarms. The SDTS software tool functions so well that it was deemed by 

North American Aerospace Defense Command (NORAD)/Northern Command as a mitigation 

approach for the deployment of new wind farms. The figure shows a radar screen capture, 

showing the designated area where the FAA's patented SDTS detector will be applied, including 

a wind farm installation in Tyler, Minnesota. The upper right box in this image is a magnified 

section, showing the individual wind turbines within the wind farm.

By roughly doubling the performance of radar systems in wind farm areas and halving the 

incidences of false target detections of the turbines, this FAA invention results in a significantly 

improved air picture to all FAA, DHS, and DoD operators, leading to greater mission success.

Source: U.S. DOT.
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Federal Transit Administration (FTA): Mobility on Demand (MOD) Sandbox 

Demonstration

FTA published the final report on its Mobility on Demand (MOD) Sandbox Demonstration: 

DART First and Last Mile Solution (Report 0164) with the Dallas Area Rapid Transit (DART). 

DART collaborated with a microtransit provider to give more transit trip choices for riders in a 

low-density area that was difficult to serve. DART achieved most of the established goals for the 

project, to increase ridership and replace less-productive fixed-route systems. As a result, in 

areas in which the service was implemented, ridership increased with less cost, more coverage, 

and less travel time. An overview of the MOD Sandbox Demonstration can be found online at 

https://www.transit.dot.gov/research-innovation/mobility-demand-mod-sandbox-program. 

Federal Railroad Administration (FRA): Automated Track Change Detection Technology

Roughly 140,000 miles of railroad track cover the U.S. Hundreds of FRA and railroad inspectors 

regularly inspect every mile of track to ensure the tracks are in safe working order. Most of these 

inspections are completed manually, relying on human vision to detect any irregularities in the 

complex track structure that may impact the safety of rail operations. This is a time-consuming 

and labor-intensive process, required by Federal regulations.

FRA has recently sponsored research and development of a new technology to improve the 

quality and efficiency of visual track inspection required by 49 CFR § 213.233 – Track 

Inspections. The objective of this new technology, Automated Track Change Detection (ATCD), 

is to identify changes in the track structure that may affect the safe operation of rail traffic and 

automatically report these changes to decision makers for action. The technology uses invisible, 

laser line projectors and synchronized cameras to capture millions of high-resolution, three 

dimensional (3-D) images of the track. The images are compared to previous images of the same 

track to identify changes. The process employs cutting-edge deep neural networks and artificial 

intelligence techniques to isolate changes in tie spikes, rail anchors, rail fasteners, ties, rail joints, 

ballasts, and other critical aspects of the track system. 

FRA is excited to report that its early research and development efforts on the ATCD system 

have been promising. This new technology is a candidate for field trials. One Class I railroad 

recently ordered two ATCD systems from FRA’s contractor, Railmetrics. The FRA R&D Team 

looks forward to working with this railroad and others, to continue to evaluate the ATCD 

technology and its proper role in the overall track inspection process.

Intelligent Transportation Systems Joint Program Office (ITS JPO): 2020 Consumer 

Electronics Show

The Intelligent Transportation Systems Joint Program Office (ITS JPO) organized the DOT 

presence at the 2020 Consumer Electronics Show (CES), an annual trade show organized by the 

Consumer Technology Association. Held in multiple venues across the Las Vegas area, CES 

offers presentations of new products and technologies in the consumer electronics industry. The 

ITS JPO established an internal, multimodal CES task force that included staff from the FAA, 

OST-R, NHTSA, FHWA, the Pipeline and Hazardous Materials Safety Administration 

(PHMSA), and the TFHRC.
111

DOT's participation included the following:

• The Secretary of Transportation delivered a keynote address on the current state of 

innovation at DOT and joined the former chief technology officer of the United States, in 

releasing Ensuring American Leadership in Automated Vehicle Technologies: Automated 

Vehicles 4.0 (AV 4.0). The government-wide report outlines how 38 Federal agencies are 

working to deploy automated vehicle technology.

• The ITS JPO organized a 90-minute super session titled What’s Next for Vehicle 

Automation? The session was moderated by Finch Fulton, Deputy Assistant Secretary for 

Transportation Policy, and included several panelists including Sterling Anderson, CoFounder and Chief Product Officer, Aurora; Steve Boyd, Chief Executive Officer, 

Peloton Technology; Debbie Hersman, Chief Safety Officer, Waymo; and Ralph 

Lauxmann, Senior Vice President Systems and Technology, Continental Automotive.

• DOT hosted a 30-foot-by-30-foot exhibit in the Smart Cities Pavilion. There were 

dedicated areas for both CARMASM and the ITS Data program. Literature racks 

included overviews of DOT programs, the Inclusive Design Challenge, the Data for 

Automated Vehicles Initiative, CARMA, and AV 4.0. Videos of connected vehicle 

technology and key messaging were displayed on two monitors.

• Eight UTCs provided demonstrations of technology areas such as cybersecurity, traffic 

prediction, driver assistance solutions simulations, and robot deployment systems.

• DOT also participated in supplemental meetings with related companies and other 

government organizations (primarily organized by NHTSA), which yielded positive 

results.
112

Department of Veteran Affairs (VA)

The Department of Veteran Affairs (VA) is the cabinet level agency whose mission statement 

strives to fulfill President Lincoln’s promise: “To care for him who shall have borne the battle 

and for his widow, and his orphan.”

The VA works to meet that promise through the service and honor of America’s veterans and by 

holding all employees to the core values of integrity, commitment, advocacy, respect, and 

excellence. The VA has three administrative elements whose goals are to provide encompassing 

and integrated care for our nation’s veterans and their families:

• Veterans Health Administration (VHA), the mission of which is to honor America’s 

veterans by providing excellent health care that improves their health and well-being, is 

the largest administration and the largest integrated health care system in the United 

States, providing care at 1,250 sites of care that include 172 medical centers and 1,069 

outpatient sites of care. These sites serve over 9 million veterans each year.

• Veterans Benefits Administration, the mission of which is to provide benefits and 

services to veterans and their families in a responsive, timely and compassionate manner 

in recognition of their service to the nation.

• National Cemetery Administration, the mission of which is to honor veterans and their 

eligible family members with final resting places in national shrines and with lasting 

tributes that commemorate their service and sacrifice to the nation.

For over 90 years, the VA research program has improved veterans’ lives through scientific 

discovery, health care innovation, and service delivery. The Office of Research and 

Development (ORD) is the division within the VHA which aspires to discover knowledge, 

develop VA researchers and health care leaders, and create innovations that advance health care 

for veterans of the nation. The research program within the VA has an illustrious past in which 

its researchers have won three Nobel prizes in medicine, seven Lasker Awards, one Malcolm 

Baldrige Quality Award, and have created the largest genomic medicine sample collection 

program in the world (the Million Veteran Program). 

ORD is headquartered in Washington, D.C., but includes an estimated 2,500 VA investigators 

and 10,000 research staff located at over 100 VA Medical Centers nationwide. Over 60% of VA 

Medical Centers have an embedded, on-site research program which mirrors the diversity of the 

VA hospitals in size, scope, and complexity. These research programs receive guidance and 

competitive intramural funding from VA ORD but manage their research offices and programs 

independently. The VA research program differs from other Federal research programs in that it 

is completely funded with intramural dollars. The VA investigators can apply for other Federal

and private funds, but non-VA employees or appointees cannot receive VA research funding. 

The VA hospitals and research programs work with the Office of Academic Affiliations to 

partner with academic institutions and universities to broaden available resources for both patient 

care and research. By partnering with others who have common research interests, ORD is able 

to leverage resources, deepen innovations, and expand the impact of Federal research 

investments. 
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ORD provides oversight of four research services and three supportive programs, each headed by 

a director, supervised by the Chief Research and Development Officer (CRADO), who in turn 

reports to the Deputy Under Secretary for Health for Policy and Services. Together, these offices 

form a cohesive whole directed to explore all phases of veterans' healthcare needs focused on the 

five-cross cutting clinical priorities: 1) Gulf War Illness, 2) Opioids, 3) Post Traumatic Stress 

Disorder, 4) Suicide Prevention, and 5) Traumatic Brain Injury. The four research services are as 

follows:

The Biomedical Laboratory Research & Development Service (BLR&D) conducts research that 

explores basic biological or physiological principles in humans or animals but does not involve 

intact human beings. For example, it includes research on animal models and investigations of 

tissues, blood, or other biologic specimens from humans. The Genomic Medicine Program and 

the Million Veteran Program are housed within BLR&D.

The Clinical Science Research and Development Service (CSR&D) conducts research that is 

focused on intact human beings as the unit of examination. Examples include interventional and 

effectiveness studies, clinical, epidemiological, and technological studies.

The Health Services Research and Development Service (HSR&D) pursues research at the 

interface of health care systems, patients, and health care outcomes. HSR&D underscores all 

aspects of VA healthcare; specifically, quality, access, patient outcomes and healthcare costs. 

The Rehabilitation Research & Development Service (RR&D) is dedicated to the well-being of 

America's veterans through a full spectrum of research from approved rehabilitation research 

projects, evaluation and commercialization to final clinical application. 

The three supportive programs housed within ORD include VA Technology Transfer, the VA 

Non-Profit offices, and the Program for Research Integrity Development and Education (PRIDE) 

which provides oversight and programmatic certification for human research compliance. Each 

of these supportive programs provide overall support to all ORD services and programs, while 

also supporting field researchers, and in the case of Technology Transfer, the entire VA.

The ORD’s mission is focused on improving the future of healthcare for veterans. Technology 

Transfer provides a pathway within VA to move research or employee innovations and 

inventions from concept to benefitting the veteran, fulfilling Technology Transfer’s mission 

motto of “Bringing Research Advancements for Veterans to Everyone” (BRAVE).

More information about VA technology transfer activities is available online.
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VA Invention Disclosures and Patenting

Between FY 2016 and FY 2020, new inventions disclosed increased by 159%, from 241 in FY 

2016 to 625 disclosures in FY 2020. Patent applications filed increased by 138%, from 104 in 

FY 2016 to 248 in FY 2020. Patents issued increased by 9%, from 54 in FY 2016 to 59 patents in 

FY 2020.

VA Invention Disclosures and Patenting

FY 2016 FY 2017 FY 2018 FY 2019 FY 2020

New Invention Disclosures 241 589 496 724 625

Patent Applications Filed 104 163 255 274 248

Patents Issued 54 50 72 82 59
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Patents issued to VA in FY 2020 covered many technology areas including Pharmaceuticals 

(30%), Medical Technology (27%), Biotechnology (16%), Analysis of Biological Materials

(5%), and Measurement (5%).50

USPTO Patents Assigned to VA by Technology Area: FY 2020

50 Source: Prepared by Science-Metrix using USPTO data indexed in PatentsView in January 2022. Used with 

permission.
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VA Licenses51

Between FY 2016 and FY 2020, income bearing licenses increased by 521%, from 42 in FY 

2016 to 261 in FY 2020. Exclusive income bearing licenses increased by 503%, from 36 in FY 

2016 to 211 in FY 2020.

VA Licenses

51 VA was unable to report total active licenses, new licenses, total active invention licenses, and new invention 

licenses for FY 2018, FY 2019, and FY 2020.

FY 2016 FY 2017 FY 2018 FY 2019 FY 2020

Licenses, Total Active 261 262 n.a. n.a. n.a.

New Licenses 1 1 n.a. n.a. n.a.

Invention Licenses, Total Active 260 261 n.a. n.a. n.a.

New Invention Licenses 1 0 n.a. n.a. n.a.

Income Bearing Licenses, Total Active 4 2 4 2 210 281 261

Income Bearing Exclusive Licenses 3 5 3 6 205 245 211
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VA Income from Licensing

Between FY 2016 and FY 2020, VA reported that total income from all active licenses increased 

by 361%, from $316 thousand in FY 2016 to $1.5 million in FY 2020. Income from invention 

licenses and earned royalty income were the same as income from all active licenses.

VA Income from Licensing ($000s)

FY 2016 FY 2017 FY 2018 FY 2019 FY 2020

Total Income, All Active Licenses $316 $491 $690 $1,166 $1,458

Invention Licenses $316 $491 $690 $1,166 $1,458

Total Earned Royalty Income, (ERI) $316 $491 $690 $1,166 $1,458
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VA Collaborative R&D Relationships

Between FY 2016 and FY 2020, total active CRADAs decreased by 39%, from 2,613 in FY 

2016 to 1,587 agreements in FY 2020. New CRADAs decreased by 14%, from 502 in FY 2016

to 432 new agreements in FY 2020. Traditional CRADAs decreased by 41%, from 2,359 in FY 

2016 to 1,403 in FY 2020. No other collaborative R&D relationships were reported.

VA Collaborative R&D Relationships

FY 2016 FY 2017 FY 2018 FY 2019 FY 2020

CRADAs, Total Active 2,613 1,785 1,688 1,686 1,587

New CRADAs 502 575 512 536 432

Traditional CRADAs, Total Active 2,359 1,619 1,518 1,526 1,403

Other Collaborative R&D Relationships 0 0 0 0 0
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VA Efforts to Streamline Technology Transfer Operations

The VA Technology Transfer Program (TTP) operation is centralized in Washington, D.C. TTP 

is piloting a staff increase initiative in an effort to promote compliance, services to the field, and 

to increase commercial interest by placing local tech transfer specialists at select field locations. 

Two field sites were selected as pilot locations in FY 2020: Tampa, FL, and Atlanta, GA. In 

addition to performing technology transfer activities, the new local field Technology Transfer 

Specialists will also support the local research office operations and work with the corresponding 

academic affiliate under the direction of the Regional TTS. 

TTP partnered with the VA’s Office of Business Oversight (OBO) to conduct financial reviews 

of its academic affiliates and licensees. These audits were a pilot program in FY 2019 utilized to 

obtain reasonable assurance that terms within agreements between VA and its partners were 

being met. During FY 2020, TTP and OBO conducted two audits, one academic affiliate and one 

licensee as auditing was curtailed due to COVID-19 as the audits were on-site operations. The 

audits consisted of record reviews of invention disclosure reporting, patent applications, patent 

expenses, and license revenue. The success of the audits in FY 2019 validated the need for a 

more robust compliance system. TTP has now incorporated this practice into its business 

operations and will increase the number of reviews in FY 2021. Additionally, in FY 2020, OBO 

conducted a mission needs assessment of TTP and provided a detailed plan for improving office 

operations to help meet mission needs.

VA Downstream Success Stories

Disinfection Tracking System 

Portable medical equipment has been implicated in outbreaks of Healthcare Associated 

Infections and the importance of their systematic disinfection has been recognized and included 

in infection control guidelines. To help track disinfection, the Department of Veterans Affairsoriginated Disinfection Tracking System (DTS), licensed to Xenex Disinfection Services, which 

can be mounted to any piece of portable equipment (mobile workstations, wheelchairs, vital sign 

machines, IV pumps/poles, etc.), serves to record and display disinfection events. The DTS was 

available on the market as of 2022.

VA Tech Transfer Program in the National COVID Response

The VA Technology Transfer Program received and reviewed at least 22 new invention 

disclosures having the potential of impacting the care and treatment of Veterans impacted by 

COVID-19. These inventions also comprised innovations directed to creating a safer 

environment for front-line responders. The list included inventions entitled “Targeting the major 

protease of SARS-CoV-2 through drug repurposing,” “Systems and Components for MultiPerson Mechanical Ventilation Treatment,” and “Mobile Isolation Enclosure (MIE).” TTP has 

fast tracked the analysis and review of Covid-19 invention disclosures. In a number of instances 

involving devices, safety, and patient care implements, prototypes have been made using TTP’s 

Technology Transfer Assistance Projects (TTAP) and are now being tested at local VA Medical 

Centers. Some of the prototypes were created solely using VA resources and others in 

collaboration with affiliate universities and private sector companies. One invention jointly 

created with the University of Michigan has received Emergency Use Authorization from the 

FDA and has been licensed for production. This novel device allows two patients with differing 
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oxygen flow needs to safely use the same ventilator. The partner company, MakeMedical, LLC, 

has agreed to sell the device at cost to interested medical institutions during the pandemic.

VA TTP Assisting Veterans with Patentable Ideas

As part of VA’s commitment to helping Veteran’s, TTP has worked with its external patent 

counsel to provide legal advice, in certain circumstances, to Veteran’s with potentially patentable 

subject matter and a feasible plan for commercializing an invention. This year, the VA TTP 

together with Ballard Spahr, LLP took on prosecuting one Veteran’s patent application that had 

hit headwinds at the United States Patent and Trademark Office. Through TTP’s efforts and 

donated, Pro Bono time of Ballard, the Veteran’s patent application issued this year. 

Translational Research Mentoring and Educational Center (TaRMEC)

This year, TTP partnered with ORD’s Biomedical Laboratory Research and Development 

(BLRD) Service on a new program intended to establish a VA-based core mentoring and 

education facility supporting VA investigators in developing discoveries, so that the discoveries 

can be tested in clinical studies, receive regulatory approval and be used by Veterans. The 

Translational Research Mentoring and Educational Center (TaRMEC) will serve VA researchers 

by providing highly critical research resources addressing translational programmatic needs. The 

intent of TaRMEC is to provide centralized resources to enhance investigators knowledge and 

resources for propelling research from discovery into products that will impact the clinical care 

of Veterans. TaRMEC will benefit the VA research community through educating VAMC staff 

and researchers on how to move biomedical laboratory research results towards regulatory 

approval and use in Veterans health care.
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Environmental Protection Agency (EPA)

Implementation of the Federal Technology Transfer Act of 1986 (FTTA) and Executive Order 

12591 is managed within the Environmental Protection Agency (EPA) by the Office of Research 

and Development’s Office of Resource Management. The goals of the program are to support 

EPA’s research mission through the use of technology transfer mechanisms, by leveraging 

expertise and sharing of research materials with external partners, and commercializing EPA’s 

groundbreaking inventions. 

EPA’s leading-edge research informs Agency decisions and supports the emerging needs of EPA 

stakeholders, including the Agency’s state, tribal, and community partners. EPA’s current 

strategic plan has three over-arching goals: (1) Deliver a cleaner, safer, and healthier 

environment for all Americans and future generations by carrying out the Agency’s core 

mission; (2) Provide certainty to states, localities, tribal nations, and the regulated community in 

carrying out shared responsibilities and communicating results to all Americans; and (3) Increase 

certainty, compliance, and effectiveness by applying the rule of law to achieve more efficient and 

effective agency operations, service delivery, and regulatory relief. To conduct science of the 

highest quality and relevance, EPA promotes collaborative partnerships, including use of 

CRADAs. 

Science is the foundation for EPA's credible decision-making to safeguard human health and 

ecosystems from pollutants. The Office of Research and Development (ORD) provides the data, 

tools, and information that form the sound scientific foundation the Agency relies on to fulfill its 

mission to protect the environment and safeguard public health. Within ORD, EPA research is 

divided into six major areas of environmental concern: Air and energy, chemical safety for 

sustainability, safe and sustainable water resources, sustainable and healthy communities, health 

and environmental risk assessment, and homeland security. 

For FY 2020, EPA’s technology transfer program focused on facilitating collaborative research 

with external partners, supporting researchers’ exchange of data and research materials, and 

licensing EPA’s patented technologies. Priority attention was given to FTTA agreements 

involving research in the areas of COVID-19, and Per- and poly-fluoroalkyl substances (PFAS). 

These are particularly relevant and high priority items due to the pandemic, in the case of 

COVID-19, and due to the very persistent nature of these chemicals in the environment and the 

human body, in the case of PFAS.

EPA staff are required to submit Employee Reports of Invention (EROIs) to the FTTA team 

when new inventions are developed. These are evaluated by EPA’s Office of General Counsel to 

determine the strength and viability of a potential patent. For most, patent applications are 

submitted to the U.S. Patent and Trademark Office to secure U.S. patent protection. In FY 2020, 

new patent applications included technologies in the areas of air quality sensors, biosensors for 

analyzing pollutants in water, and remediation of chlorinated pollutants in various environmental 

media.

In FY 2021, EPA’s FTTA team is focused on working with external partners to gain market 

information about its new technologies, and to actively market its existing patented technologies 
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to companies for commercialization. These inventions originated from EPA’s mission to protect 

human health and the environment, and they are valuable tools that can be utilized by 

researchers, industry, and individuals outside the agency if commercialized.

The EPA’s annual technology transfer report is available online.

More information about EPA technology transfer activities is available online.
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EPA Invention Disclosures and Patenting

Between FY 2016 and FY 2020, new inventions decreased by 83%, from 6 disclosures in FY 

2016 to 1 in FY 2020. Patent applications filed increased by 400%, from 1 in FY 2016 to 5 in FY 

2020. Patents issued decreased by 67%, from 3 in FY 2016 to 1 in FY 2020.

EPA Invention Disclosures and Patenting

FY 2016 FY 2017 FY 2018 FY 2019 FY 2020

New Invention Disclosures 6 13 7 6 1

Patent Applications Filed 1 4 6 6 5

Patents Issued 3 3 4 3 1
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Patents issued to EPA in FY 2020 covered the technology areas Civil Engineering (25%), 

Electrical Machinery, Apparatus, Energy (25%); Measurement (25%); and Mechanical Elements 

(25%).

52

USPTO Patents Assigned to EPA by Technology Area: FY 2020

52 Source: Prepared by Science-Metrix using USPTO data indexed in PatentsView in January 2022. Used with 

permission.
125

EPA Licenses

Between FY 2016 and FY 2020, total active licenses decreased by 34% from 35 licenses in FY 

2016 to 23 licenses in FY 2020. New licenses decreased by 75%, from 8 in FY 2016 to 2 in FY 

2020. All active licenses were invention licenses. Income-bearing licenses decreased by 55%, 

from 31 in FY 2016 to 14 in FY 2020. Exclusive income-bearing licenses decreased by 29%, 

from 7 in FY 2016 to 5 in FY 2020.

EPA Licenses

FY 2016 FY 2017 FY 2018 FY 2019 FY 2020

Licenses, Total Active 3 5 3 8 3 1 2 4 2 3

New Licenses 8 5 1 3 2

Invention Licenses, Total Active 3 5 3 8 3 1 2 4 2 3

New Invention Licenses 8 5 1 3 2

Income Bearing Licenses, Total Active 3 1 3 1 2 4 1 7 1 4

Income Bearing Exclusive Licenses 7 7 6 5 5
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EPA Income from Licensing

Between FY 2016 and FY 2020, EPA reported that total income from all active licenses 

decreased by 93% from $466 thousand to $33 thousand in FY 2020. All income from licenses 

came from invention licenses. Total earned royalty income decreased 93% from $466 thousand 

in FY 2016 to $33 thousand in FY 2020.

EPA Income from Licensing ($000s)

FY 2016 FY 2017 FY 2018 FY 2019 FY 2020

Total Income, All Active Licenses $466 $412 $628 $449 $33

Invention Licenses $466 $412 $628 $449 $33

Total Earned Royalty Income, (ERI) $466 $412 $628 $449 $33
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EPA Collaborative R&D Relationships

Between FY 2016 and FY 2020, total active CRADAs decreased by 16%, to from 55 agreements 

in FY 2016 to 46 in FY 2020. New CRADAs decreased by 64%, from 14 in FY 2016 to 5 new 

agreements in FY 2020. Traditional CRADAs decreased by 16%, from 55 in FY 2016 to 46 in 

FY 2020. Other collaborative agreements increased by 131%, from 48 in FY 2016 to 111 in FY 

2020.

EPA Collaborative R&D Relationships

FY 2016 FY 2017 FY 2018 FY 2019 FY 2020

CRADAs, Total Active 5 5 5 1 4 9 5 4 4 6

New CRADAs 1 4 8 1 1 1 1 5

Traditional CRADAs, Total Active 5 5 5 1 4 9 5 4 4 6

Other Collaborative R&D Relationships 4 8 8 9 9 1 9 3 111
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EPA Downstream Success Stories

Characterizing Emissions and Activity from Heavy-Duty Vehicles and Nonroad Equipment

Mobile vehicle sources contribute significantly to ambient concentrations of air contaminants, 

including particulate matter. EPA’s National Vehicle and Fuel Emissions Laboratory undertook a 

collaboration with the Texas A&M Transportation Institute (TTI) to determine the distribution of 

emissions for mobile sources (including nonroad and heavy-duty vehicles). In particular, nearly 

5,000 pieces of nonroad equipment and over 60 heavy duty trucks and buses were studied indepth for emissions data and activity data.

Under the CRADA, both parties provided technical expertise in mobile source test programs and 

the EPA contributed equipment and specialized expertise in statistical sampling and vehicle 

emissions measurement methodologies.

EPA also worked with TTI to evaluate newer equipment to remotely measure vehicle emissions 

on the road. As vehicles continue to get cleaner, measurement equipment needs to be able to 

measure accurately at very low levels of emissions. New analysis of the data collected from the 

CRADA has led to improvements in the signal to noise ratio of the measurements from remote 

sensing devices. 

EPA is planning to continue this CRADA with TTI to gather activity and emissions data from 

heavy-duty and nonroad equipment and expand it to include light-duty vehicles. EPA has 

benefited from the CRADA through the ability to update and refine future versions of EPA’s 

Motor Vehicle Emissions Simulator (MOVES). These updates will ensure that MOVES 

continues to be a state of the science model to estimate vehicle emissions and the most accurate 

tool for estimating emissions from the transportation sector. MOVES is used for a variety of 

applications, including assessment of the projected benefits of future emission standards and in 

state implementation plans as well as the transportation conformity analyses outside of 

California. In addition, the nonroad equipment testing results will be used to update EPA’s 

nonroad models to improve the activity and emissions defaults. 

TTI benefited from the CRADA via equipment loans and testing expertise. The EPA loaned 

several portable activity monitors for TTI to use in the heavy-duty activity gathering programs. 

The devices plug into vehicles and gather a lot of information about the engine and vehicle on a 

second by second basis. The EPA also shared/developed techniques to improve the quality of the 

data that was gathered and worked with TTI to design mobile source test programs.

Development and Application of Low-Cost Sensors to Support Improved Air Quality 

Measurement and Characterization

Air sensor technologies are smaller, lower cost, portable devices that can be used to measure air 

quality conditions. While the use of air sensors continues to rise, there is still a need to 

understand how the devices perform and the accuracy of the data over time. EPA’s Office of 

Research and Development (ORD) is collaborating with Aeroqual, Ltd to investigate new 

applications, methodologies, and technologies for the lower cost measurement of outdoor air 

pollutants. In particular, air sensor technologies have been deployed and evaluated in six field 
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studies ranging from near-source, ambient air quality, and wildfire applications across the United 

States. 

The CRADA combines EPA’s technical expertise in air measurements and sensor evaluations 

with Aeroqual’s expertise in the development of air sensor technologies. EPA has contributed to 

oversight of the field studies including site selection, site setup, instrument deployment to the 

field, ongoing maintenance activities, data retrieval and analysis and other logistics to maintain 

site operation. While Aeroqual has provided the sensor technologies, replacement parts, technical 

support, real-time access to data, and data retrieval and analysis support.

EPA has benefited from this CRADA by having access to a variety of sensor technologies that 

measure key air pollutants of interest such as ozone (O3), fine particulate matter (PM2.5), and 

nitrogen dioxide (NO2). Further, Aeroqual has developed several prototype technologies that 

measure volatile organic compounds (VOCs) and air toxics. These pollutants are of high interest 

for applications including fenceline monitoring and individual/community monitoring, where 

performance and accuracy is not well understood. By evaluating these technologies, both EPA 

and Aeroqual can better understand how the technologies perform and how they can be used for 

different applications. 

Likewise, Aeroqual has benefited from this CRADA by having an opportunity to evaluate their 

technologies in a variety of locations with varying pollution levels and climates (from very hot to 

very cold). Additionally, both Aeroqual and EPA ORD are benefiting from information gained 

from field deployments with longer time frames (a year or more). 

The collaboration will continue under this CRADA and upcoming activities will include 

additional field deployments of Aeroqual’s sensor technologies and data analysis. Results of the 

sensor evaluations will continue to be shared via scientific presentations and future publications. 

EPA Automobile Industry Government Emission Research (AIGER) Collaboration

Automobile Industry Government Emission Research (AIGER) is a CRADA between the 

Environmental Protection Agency, California Air Resources Board (CARB) and the United 

States Council on Automotive Research (USCAR) whose members include Fiat Chrysler 

Automobiles (FCA), Ford Motor Company, and General Motors Company (GM). AIGER 

CRADA goals are to ensure that the equipment, facilities, and procedures needed for the precise, 

accurate and efficient measurements of low-level automotive exhaust emissions will be readily 

available. The partners have been working together to develop improved measurement 

technologies, evaluating ancillary equipment used in automotive emission testing, and evaluating 

existing and proposed emission measurement procedures. 

AIGER also works with other research entities such as academia, instrument manufacturers, 

independent researchers and others within the automobile emissions testing industry. AIGER 

has maintained a close relationship with the National Institutes of Standards & Technology 

(NIST) who develop and maintain many of the standard reference materials (SRMs) used by the 

AIGER member laboratories.

2020 AIGER Research Efforts and Accomplishments include:
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• Continued development of particulate matter (PM) measurement technologies, processes 

and procedures, with focus on investigating the variability and sources of interlaboratory 

offsets. Tunnel contamination and the effect on measured PM was investigated by FCA 

and GM. 

• Continued evaluation of hydrogen/nitrogen (H2/N2) flame ionization detector (FID) fuel 

for use with FID hydrocarbon analyzers. Many laboratories will be switching to this fuel 

due to the increased costs of the hydrogen/helium (H2/He) FID fuel. Instrument 

manufacturers have developed retrofit kits for their analyzers in anticipation of the 

switchover. FCA evaluated a Horiba conversion kit for their MEXA-One analyzers 

which showed some non-linearities. Horiba has since developed a new retrofit kit for 

their MEXA-One analyzers which will be evaluated by EPA in 2021. 

• AIGER met with NIST in September 2020 to review the status of previous SRMs and 

new requested calibration gases (e.g., N2O, low NOx and low ethanol standards). Supply 

and quality issues were also addressed.

• All AIGER projects continued to investigate 40 CFR Parts 1065 & 1066 regulations with 

respect to test procedures and test site configurations. MY2022 vehicles require the use of 

1066 methods, quality checks and procedures. 

• Continued evaluation of low-level emission measurements with emphasis on NOx and 

continuous HC measurement. GM evaluated nitrogen oxide (Nox) analyzer accuracy at 

very low concentrations on Horiba MEXA-One CLD analyzers.

• AIGER published the Portable Emissions Measurement System (PEMS) Correlation 

Report. The correlation study was performed in 2019 and included AIGER laboratories 

along with the Environment & Climate Change Canada emission laboratory

• AIGER formed a new work group to focus on road speed cooling fans which track 

dynamometer speed. The use of these fans is now optional in Tier 3 Part 1066 for 

emission testing. Preliminary data shows that the fan specifications such as flow rate, 

discharge area, and distance from vehicle may impact representative cooling and test 

results.
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National Aeronautics and Space Administration (NASA)

As the novel coronavirus started rapidly spreading across the United States, stay-at-home orders 

threatened workflow across the National Aeronautics and Space Administration (NASA). 

NASA’s Technology Transfer Program saw this new way of life as an opportunity to adapt and 

improve — while inventors got to work creating new technology to help COVID-19 patients 

around the world. At NASA’s Jet Propulsion Laboratory, the two efforts combined for the 

VITAL Ventilator, which, with over 30 agreements, is already the most-licensed NASA 

technology of all time. 

Paper processes were, now more than ever, forced into automation through the NASA 

Technology Transfer System (NTTS). Crucial work from each center, such as the software 

release process and contract closeout, were consolidated at NASA’s Stennis Space Center where 

a dedicated team focused on accuracy, security, and faster completion times. Technology 

screenings and assessments were added to a single contract, providing consistent, timely results. 

The patent decision-making process was standardized across the agency so that all new 

technology reports got the same consideration against the same criteria. Training was developed 

for licensing executives across the agency, which prevented work-stoppage in the event of 

retirements. The marketing team executed dozens of technology category campaigns that 

included social media, NASA.gov articles, email blasts, videos, and webinars. 

These changes, along with VITAL’s success, led to a record-breaking licensing year for 

Technology Transfer with 172 new technology license agreements executed. Software release 

also saw its second-best year in the program’s history with 4,566 new software usage agreements 

completed. This can be directly attributed to consolidation of the software release process at 

Stennis. 

On the heels of such success, Technology Transfer is already looking to beat records in FY 2021 

by conducting ecosystem analyses across the United States to identify regions rich in 

commercialization resources. 

A new program, Technology Transfer Expansion (T2X), is currently working to identify partner 

entities and activities for commercialization in more than 18 cities across the United States.

Information about NASA technology transfer activities is available online.

Program Achievements in FY 2020

Record-Breaking Year for License Agreements

As mentioned above, FY 2020 ended with 172 new license agreements executed, blowing away 

all previous licensing efforts in the program’s history. This achievement can be directly 

attributed to:

Training New Licensing Executives.

New licensing executives across the agency are benefiting from a standardized method of 

training developed in collaboration with Acuity Edge (NASA’s main technology screenings and 
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assessments contractor) and NASA’s Marshall Space Flight Center Technology Transfer Office. 

Previously, each center was responsible for training new licensing executives, which led to 

inconsistent processes, “holes” in know-how, and unreliable techniques. 

Targeted Marketing Efforts.

The marketing team has adopted an agency-level approach, marketing technologies by their 

category instead of by center. Each month, a new category (such as electronics, sensors, 

aeronautics, environmental, etc.) is selected. Marketing content is created and disseminated 

across multiple platforms such as Twitter, LinkedIn, YouTube, Facebook, and targeted email 

blasts. Webinars are also held on a monthly basis, allowing participants to get an up-close look at 

the technologies, as well as an introduction to the inventors. 

Centralized Technology Screenings and Assessments. 

In a cost-saving effort, Acuity Edge has taken over all technology screenings and assessments 

across the agency. Previously, several subcontractors were doing this, leading to inconsistent 

results. Acuity Edge conducts inventor interviews on new technology reports to determine 

whether patenting the technology is recommended. If so, centers can then have the technology 

assessed. Acuity Edge works with companies that could potentially be interested in the 

technology once patented. If the technology has a positive screening and assessment, it is 

recommended for patenting. 

Standardized Patent Decision-Making Process

A big step in Technology Transfer’s continuous efforts to improve consistency and efficiency 

was implementing the standardized patent decision-making process. Only inventions that have 

commercial potential proven by evidence provided by third-party subject matter experts from

Acuity Edge and RTI are to be patented. 

This process helps ensure consistent results while preventing work stoppage from decreasing 

patent budgets. 

Entrepreneurship Training for NASA Inventors

NASA researchers continually invent new technologies critical to NASA’s mission and program 

needs, and many of those inventions have other applications that can greatly benefit the public. 

However, expertise in engineering doesn’t always translate to entrepreneurship. T2X offers this 

training through the NASA Entrepreneurship Training Academy. 

Training NASA’s workforce to think like entrepreneurs helps them better see the commercial 

potential in their areas of expertise and find ways to turn their unique technical knowledge into 

innovative products and processes that benefit the agency and society.

The four-week experiential training program is designed to help NASA scientists, engineers, 

project managers, and business development and technology transfer specialists learn about 

entrepreneurship in a practical environment.
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The first session was held in October 2020. NASA partnered with the Newport News Tech 

Center Research Park to conduct the training. Eleven participants representing six NASA field 

centers gained valuable knowledge and experience from three highly qualified mentors.

At the end of the course, each participant gave a virtual presentation. Some pitched their ideas to 

the audience, while others discussed their experiences and explained what they learned through 

their interviews with the business community. Many also shared their plans for the next steps in 

their entrepreneurial and commercialization journeys now that they were armed with the 

knowledge and skills they gained from the course.

Significant Program Metrics 

Despite several weeks of program disturbance due to workflow shifts from the pandemic, 

program metrics stayed healthy.

New Technology Reports.

New Technology Reports saw a 2 percent increase from the previous year. Agency leaders 

shifted to virtual in-reach events at each NASA field center, educating approximately 4,000 

inventors in 2020. The field centers provided training on reporting new technologies using the 

electronic New Technology Reporting system (e-NTR).

U.S. Patent Applications Filed.

With a more strategic approach to patenting in place, the number of patents filed in FY 2020 (87) 

was similar to the previous year (85). This approach keeps taxpayer dollars from being wasted on 

maintenance fees on technologies that are unlikely to produce a license.

Patent Licenses.

Licensing saw a 79 percent increase from the previous year, making it the most successful year 

for licensing in the program’s history with 172 licenses executed. Significant improvements to 

the program to increase licensing include training for new licensing executives, improvements to 

NTTS (the data-entry system that feeds all of NASA Technology Transfer’s work), and 

consistent marketing efforts which included social media, videos, and technology webinars.

Software Usage Agreements.

Software Usage Agreements (SUAs) continued a historically positive trend. With 4,566 SUAs 

executed, FY 2020 saw a 68 percent increase from 2019. A dedicated team at Stennis processed 

and released all of the SUAs for the agency, with an average release time of three days. 

Previously, it could take over three weeks to release one software program.
134

NASA Invention Disclosures and Patenting

Between FY 2016 and FY 2020, new inventions disclosed increased by 21% from 1,554 in FY 

2016 to 1,882 disclosures in FY 2020. Patent applications filed decreased by 33%, from 129 in 

FY 2016 to 87 in FY 2020. Patents issued increased by 38%, from 103 in FY 2016 to 142 patents 

in FY 2020.

NASA Invention Disclosures and Patenting

FY 2016 FY 2017 FY 2018 FY 2019 FY 2020

New Invention Disclosures 1,554 1,690 1,775 1,841 1,882

Patent Applications Filed 129 165 144 85 87

Patents Issued 103 114 123 122 142
135

Patents issued to NASA in FY 2020 covered many technology areas including Measurement 

(18%), Transport (11%), Materials, Metallurgy (6%), Telecommunications (6%), and Surface 

Technology, Coating (5%).53

USPTO Patents Assigned to NASA by Technology Area: FY 2020

53 Source: Prepared by Science-Metrix using USPTO data indexed in PatentsView in January 2022. Used with 

permission.
136

NASA Licenses

Between FY 2016 and FY 2020, total active licenses increased by 35%, from 452 in FY 2016 to 

610 licenses in FY 2020. New licenses increased by 61%, from 107 in FY 2016 to 172 in FY 

2020. Total active invention licenses increased by 50%, from 387 in FY 2016 to 582 in FY 

2020. New invention licenses increased by 67%, from 97 in FY 2016 to 162 in FY 2020. Total 

active income bearing licenses increased by 68% to 412, while income-bearing exclusive 

licenses decreased by 57%, from 14 to 6.

NASA Licenses

FY 2016 FY 2017 FY 2018 FY 2019 FY 2020

Licenses, Total Active 452 506 540 503 610

New Licenses 107 119 105 9 6 172

Invention Licenses, Total Active 387 440 488 529 582

New Invention Licenses 9 7 109 9 9 8 8 162

Income Bearing Licenses, Total Active 245 258 274 326 412

Income Bearing Exclusive Licenses 1 4 8 4 8 6
137

NASA Income from Licensing

Between FY 2016 and FY 2020, NASA reported that the total income from all active licenses 

decreased by 45%, from $3.1 million in FY 2016 to $1.7 million in FY 2020. The income from 

invention licenses decreased by 39%, from $2.8 million in FY 2016 to $1.7 million in FY 2020. 

Total earned royalty income decreased by 48%, from $2.7 million in FY 2016 to $1.4 million in 

FY 2020. 

NASA Income from Licensing ($000s)

FY 2016 FY 2017 FY 2018 FY 2019 FY 2020

Total Income, All Active Licenses $3,149 $2,682 $2,301 $2,613 $1,741

Invention Licenses $2,750 $2,126 $2,036 $2,530 $1,682

Total Earned Royalty Income, (ERI) $2,746 $2,118 $2,041 $1,704 $1,441
138

NASA Collaborative R&D Relationships

The National Aeronautics and Space Act (Space Act), 51 U.S.C. §§ 20101-20164, provides 

NASA with the unique authority to enter into a wide range of “other transactions,” frequently in 

the form of Space Act Agreements. The NASA uses Space Act Agreements to engage in 

collaborative research projects with various partners to advance NASA’s mission and program 

objectives, including international cooperative space activities. Space Act Agreements differ

from traditional CRADAs, and therefore in this report, Space Act Agreements are included under 

the category “Other Collaborative R&D Relationships.” 

Between FY 2016 and FY 2020, Space Act Agreements decreased 9% from 2,204 agreements in 

FY 2016 to 2,004 in FY 2020.

NASA Collaborative R&D Relationships

FY 2016 FY 2017 FY 2018 FY 2019 FY 2020

CRADAs, Total Active 1 2 0 0 0 0

New CRADAs 5 0 0 0 0

Traditional CRADAs, Total Active 1 2 0 0 0 0

Other Collaborative R&D Relationships 2,204 2,174 2,182 1,967 2,004
139

NASA Downstream Success Stories

As in past years, in 2020, Spinoff told the stories of dozens of companies across the United States 

that are selling products derived from NASA technology.54

However, this year, Spinoff pivoted from the traditional book-centric, annual publication 

schedule to a year-round, web-first model, with a host of other changes designed to increase 

reach and make the content more accessible to readers. 

This included a full website redesign, as well as the creation of a new story type focused by 

themes. This new publication schedule also allowed features to coincide with relevant mission 

milestones or external events, like a story on food safety that was published before Thanksgiving 

and one on a new airlock posted right before it launched to the space station. 

The team also published a book with a fresh, new design in keeping with the above changes. It 

was shorter, more accessible, and more visually appealing. 

The changes have paid off measurably, with an order of magnitude more visitors to the Spinoff 

website monthly (up from an average of around 8,000 monthly sessions to more than 40,000) 

and a similar sustained increase in social media metrics, with monthly impressions in the 

hundreds of thousands (topping a million three times in 2020), up from the typically 30-60K 

impressions in 2019.

Examples of successful technology transfer stories featured this year by Spinoff include:

Inside NASA’s Pandemic Response Campaigns

As the pandemic started to grip the world in early 2020, NASA engineers, Technology Transfer 

offices, and commercial partners redirected their attention from space missions to the crisis at 

hand. In additional to VITAL, developed at JPL, inventors at Johnson Space Center created a 

manually powered ventilator ideal for developing countries, a team led by Armstrong Flight 

Research Center developed a positive-pressure oxygen helmet with an access panel, and Glenn 

Research Center partnered with industry to improve innovative sterilization tools.

The Rewards of Perseverance 

Before the latest Mars rover even touches down, several of the technologies developed for Mars 

exploration and flying for the first time have already been commercialized, including an 

extremely sensitive spectrometer, improved circuit board manufacturing, and a specialized drill 

bit for geologists.

Food Safety Program for Space Has Taken Over on Earth 

Faced with strict safety and reliability requirements for Apollo astronaut food, NASA and 

partners created a hazard-prevention system that has become the basis for food-safety programs 

all over the world. Here in the U.S., the system, called HAACP, forms the basis for the FDA and 

USDA's food safety requirements. Systems based on NASA’s original scheme are required to 

54 Spinoff is a NASA publication that profiles technologies that have benefited from NASA investment and 

expertise. More information about Spinoff can be found online.
140

reduce the risk of contamination in any food produced here, whether Butterball turkeys, Ocean 

Spray cranberries, or Pillsbury pie crusts.

Cleaning Up a Toxic Legacy 

Jackie Quinn, an engineer at Kennedy Space Center, created a new technology that absorbs 

polychlorinated biphenyls, more commonly referred to as PCBs, from sediment and 

groundwater. EcoSPEARS licensed it and now sells a system that is both cheaper and more 

effective than traditional cleanups.
141

Chapter 3

Conclusion

Technology transfer is an active and essential mission of Federal R&D laboratories. By 

leveraging the nation’s innovative nature and investing in science and technology, the U.S. 

economy and competitiveness can be strengthened in world markets. In recent years, agencies 

have engaged in efforts to increase the rate and efficacy of technology transfer activities, thereby 

improving the economic and societal impact from Federal R&D investments. 

This report provides a summary of the technology transfer activities of all 11 Federal agencies 

that are actively involved in R&D. This summary is derived from each agency’s annual 

technology transfer reports that are located online.

Statistical data provided in this report indicate that for all agencies covered by this report, 

between FY 2016 and FY 2020, there has been a 19% increase in invention disclosures, a 2% 

increase in patent applications, and a 14% increase in patents issued. In FY 2020, the largest 

number of Federal patents issued involved the technical areas of Measurement (11%) followed 

by Biotechnology (7%); Electrical Machinery, Apparatus, Energy (7%); Computer Technology 

(6%); Pharmaceuticals (6%); and Other Special Machines (6%).

Between FY 2016 and FY 2020, for agencies for which data were available, total active licenses

increased by 2%, new licenses increased by 31%, invention licenses increased by 7%, new 

invention licenses increased by 22%, income-bearing licenses decreased by 5%, and exclusive 

income-bearing licenses decreased by 4%. 

Between FY 2016 and FY 2020, for agencies for which data were available, income from all 

licensing decreased by 45%, income from invention licenses decreased by 49%, and total earned 

royalty income decreased by 32%.

Between FY 2016 and FY 2020, for agencies for which data were available, CRADAs increased 

by 19%, and new CRADAs decreased by 22%, traditional CRADAs increased by 19%, and other 

collaborative R&D relationships decreased by 15%. 

In CY 2020, Federal researchers published 73,196 papers. More than half of these papers were in 

the fields of Health Sciences (27%), Biological and Biomedical Sciences (19%), Engineering 

(14%), and Physics (12%). In FY 2020, 20,309 papers cited in U.S. patents were authored or 

coauthored by Federal researchers. Of these papers, more than 90% involved research in the 

fields of Biological and Biomedical Sciences (38%), Health Sciences (22%), Engineering (12%), 

Physics (11%), and Chemistry (8%).

In summary, this report shows that agencies have made progress in several areas in their efforts 

to improve the transfer of technologies from Federal laboratories. Agencies are engaged in 

efforts to assess the impact of these efforts to show how Federal technology transfer promotes 

economic growth, the creation of new products, and increased employment opportunities.
142

Appendix A

Federal Invention Disclosure and Patenting

Agency Metric FY 2016 FY 2017 FY 2018 FY 2019 FY 2020

USDA New Inventions Disclosed 244 166 320 243 213

Patent Applications Filed 109 111 120 97 91

Patents Issued 60 68 67 71 58

DOC New Inventions Disclosed 64 43 77 60 70

Patent Applications Filed 25 46 56 65 36

Patents Issued 16 34 28 33 25

DoD New Inventions Disclosed 782 978 839 839 804

Patent Applications Filed 858 869 1,060 955 881

Patents Issued 624 630 600 653 655

DOE New Inventions Disclosed 1,760 1,794 1,748 1,891 2,021

Patent Applications Filed 999 937 868 837 956

Patents Issued 856 817 854 919 929

HHS New Inventions Disclosed 320 354 322 268 309

Patent Applications Filed 269 289 253 207 225

Patents Issued 579 554 624 708 738

DHS New Inventions Disclosed 15 20 22 14 33

Patent Applications Filed 15 0 17 38 42

Patents Issued 3 2 8 8 12

DOI New Inventions Disclosed 8 12 9 8 4

Patent Applications Filed 4 5 7 3 4

Patents Issued 1 3 6 1 3

DOT New Inventions Disclosed 0 3 12 2 3

Patent Applications Filed 0 7 0 2 2

Patents Issued 1 0 0 0 1

VA New Inventions Disclosed 241 589 496 724 625

Patent Applications Filed 104 163 255 274 248

Patents Issued 54 50 72 82 59

EPA New Inventions Disclosed 6 13 7 6 1

Patent Applications Filed 1 4 6 6 5

Patents Issued 3 3 4 3 1

NASA New Inventions Disclosed 1,554 1,690 1,775 1,841 1,882

Patent Applications Filed 129 165 144 85 87

Patents Issued 103 114 123 122 142

Total Metric FY 2016 FY 2017 FY 2018 FY 2019 FY 2020

New Inventions Disclosed 4,994 5,662 5,627 5,896 5,965

Patent Applications Filed 2,513 2,596 2,786 2,569 2,577

Patents Issued 2,300 2,275 2,386 2,600 2,623
143

Federal Licenses

Agency Metric FY 2016 FY 2017 FY 2018 FY 2019 FY 2020

USDA Licenses, Total Active 441 448 472 512 582

New Licenses 31 40 40 51 93

Invention Licenses, Total Active 370 373 386 392 410

New Invention Licenses 25 31 27 17 30

Income Bearing Licenses, Total Active 439 437 471 522 594

Income Bearing Exclusive Licenses 307 302 324 334 342

DOC Licenses, Total Active 57 68 67 74 52

New Licenses 15 19 11 15 15

Invention Licenses, Total Active 57 68 67 74 52

New Invention Licenses 15 19 11 15 15

Income Bearing Licenses, Total Active 31 35 37 33 34

Income Bearing Exclusive Licenses 20 19 22 20 19

DoD Licenses, Total Active 515 552 480 575 627

New Licenses 35 162 168 58 70

Invention Licenses, Total Active 286 514 n.a. 470 581

New Invention Licenses 57 24 n.a. 58 70

Income Bearing Licenses, Total Active 185 396 306 283 336

Income Bearing Exclusive Licenses 209 196 151 179 144

DOE Licenses, Total Active 5,410 4,045 4,742 4,640 4,862

New Licenses 621 567 662 686 700

Invention Licenses, Total Active 943 916 844 822 816

New Invention Licenses 145 128 100 98 105

Income Bearing Licenses, Total Active 3,963 3,057 3,323 2,749 2,772

Income Bearing Exclusive Licenses 231 190 181 113 141

HHS Licenses, Total Active 1,750 1,806 1,867 1,933 2,028

New Licenses 278 334 335 346 365

Invention Licenses, Total Active 1,721 1,354 1,411 1,472 1,546

New Invention Licenses 221 282 292 291 312

Income Bearing Licenses, Total Active 837 907 978 1,001 1,059

Income Bearing Exclusive Licenses 145 130 143 158 143

DHS Licenses, Total Active 5 5 5 5 5

New Licenses 1 0 0 0 0

Invention Licenses, Total Active 5 5 5 5 5

New Invention Licenses 1 0 0 0 0

Income Bearing Licenses, Total Active 1 1 1 1 1

Income Bearing Exclusive Licenses 0 0 0 0 0
144

Federal Licenses (continued)

Agency Metric FY 2016 FY 2017 FY 2018 FY 2019 FY 2020

DOI Licenses, Total Active 22 15 17 18 71

New Licenses 0 0 2 2 17

Invention Licenses, Total Active 20 13 n.a. 16 71

New Invention Licenses 0 0 n.a. 2 1

Income Bearing Licenses, Total Active 17 13 13 16 9

Income Bearing Exclusive Licenses 8 7 n.a. 7 5

DOT Licenses, Total Active 2 5 5 5 5

New Licenses 2 1 1 0 0

Invention Licenses, Total Active 2 0 0 1 1

New Invention Licenses 0 0 0 0 0

Income Bearing Licenses, Total Active 2 2 5 6 4

Income Bearing Exclusive Licenses 0 0 0 0 1

VA Licenses, Total Active 261 262 n.a. n.a. n.a.

New Licenses 1 1 n.a. n.a. n.a.

Invention Licenses, Total Active 260 261 n.a. n.a. n.a.

New Invention Licenses 1 0 n.a. n.a. n.a.

Income Bearing Licenses, Total Active 42 42 210 281 261

Income Bearing Exclusive Licenses 35 36 205 245 211

EPA Licenses, Total Active 35 38 31 24 23

New Licenses 8 5 1 3 2

Invention Licenses, Total Active 35 38 31 24 23

New Invention Licenses 8 5 1 3 2

Income Bearing Licenses, Total Active 31 31 24 17 14

Income Bearing Exclusive Licenses 7 7 6 5 5

NASA Licenses, Total Active 452 506 540 503 610

New Licenses 107 119 105 96 172

Invention Licenses, Total Active 387 440 488 529 582

New Invention Licenses 97 109 99 88 162

Income Bearing Licenses, Total Active 245 258 274 326 412

Income Bearing Exclusive Licenses 14 8 4 8 6

Total Metric FY 2016 FY 2017 FY 2018 FY 2019 FY 2020

Licenses, Total Active 8,950 7,750 8,226 8,289 8,865

New Licenses 1,099 1,248 1,325 1,257 1,434

Invention Licenses, Total Active 4,086 3,982 3,232 3,805 4,087

New Invention Licenses 570 598 530 572 697

Income Bearing Licenses, Total Active 5,793 5,179 5,642 5,235 5,496

Income Bearing Exclusive Licenses 976 895 1,036 1,069 1,017
145

Federal Income from Licensing ($000s)

Agency Metric FY 2016 FY 2017 FY 2018 FY 2019 FY 2020

USDA Total Income, All Active Licenses $4,784 $5,703 $3,835 $3,562 $3,244

Invention Licenses $4,456 $5,378 $3,495 $3,275 $2,969

Total Earned Royalty Income, (ERI) $3,633 $3,504 $2,716 $3,172 $2,679

DOC Total Income, All Active Licenses $149 $141 $147 $136 $191

Invention Licenses $149 $141 $147 $136 $191

Total Earned Royalty Income, (ERI) $149 $141 $147 $136 $186

DoD Total Income, All Active Licenses n.a. n.a. n.a. $5,601 $9,137

Invention Licenses $554 n.a. n.a. $2,977 $6,126

Total Earned Royalty Income, (ERI) $5,823 $7,415 $6,802 $7,279 $8,670

DOE Total Income, All Active Licenses $31,149 $36,567 $21,085 $21,974 $24,842

Invention Licenses $27,364 $33,436 $17,237 $18,220 $21,095

Total Earned Royalty Income, (ERI) $16,273 $13,216 $10,239 $10,466 $15,756

HHS Total Income, All Active Licenses $132,833 $134,567 $110,709 $78,540 $54,383

Invention Licenses $130,701 $132,536 $108,276 $76,468 $52,076

Total Earned Royalty Income, (ERI) $110,193 $135,963 $111,628 $79,000 $64,098

DHS Total Income, All Active Licenses $12 $20 $36 $38 $44

Invention Licenses $12 $20 $36 $38 $44

Total Earned Royalty Income, (ERI) $12 $20 $36 $38 $44

DOI Total Income, All Active Licenses $83 $50 $51 $42 $123

Invention Licenses $83 $50 $51 $42 $123

Total Earned Royalty Income, (ERI) $83 $50 $51 $42 $123

DOT Total Income, All Active Licenses $15 $20 $13 $8 $19

Invention Licenses $0 $0 $0 $0 $19

Total Earned Royalty Income, (ERI) $15 $20 $13 $8 $19

VA Total Income, All Active Licenses $316 $491 $690 $1,166 $1,458

Invention Licenses $316 $491 $690 $1,166 $1,458

Total Earned Royalty Income, (ERI) $316 $491 $690 $1,166 $1,458

EPA Total Income, All Active Licenses $466 $412 $628 $449 $33

Invention Licenses $466 $412 $628 $449 $33

Total Earned Royalty Income, (ERI) $466 $412 $628 $449 $33

NASA Total Income, All Active Licenses $3,149 $2,682 $2,301 $2,613 $1,741

Invention Licenses $2,750 $2,126 $2,036 $2,530 $1,682

Total Earned Royalty Income, (ERI) $2,746 $2,118 $2,041 $1,704 $1,441

Total Metric FY 2016 FY 2017 FY 2018 FY 2019 FY 2020

Total Income, All Active Licenses $172,956 $180,653 $139,495 $114,130 $95,215

Invention Licenses $166,851 $174,590 $132,596 $105,301 $85,816

Total Earned Royalty Income, (ERI) $139,709 $163,350 $134,991 $103,460 $94,507
146

Federal Collaborative R&D Relationships

Agency Metric FY 2016 FY 2017 FY 2018 FY 2019 FY 2020

USDA CRADAs, Total Active 238 330 212 260 221

New CRADAs 79 91 61 95 84

Traditional CRADAs, Total Active 238 330 182 260 221

Other Collaborative R&D Relationships 5,628 6,125 3,369 1,888 1,987

DOC CRADAs, Total Active 2,940 2,932 3,363 2,564 2,014

New CRADAs 2,608 2,443 2,770 1,893 1,647

Traditional CRADAs, Total Active 335 413 534 493 458

Other Collaborative R&D Relationships 3,273 3,181 3,497 3,431 2,952

DoD CRADAs, Total Active 2,603 2,995 4,976 6,090 6,962

New CRADAs 774 813 949 936 1,048

Traditional CRADAs, Total Active 2,273 2,424 3,010 3,768 4,207

Other Collaborative R&D Relationships 330 571 1,966 2,322 2,755

DOE CRADAs, Total Active 784 936 1,030 1,072 1,132

New CRADAs 264 330 312 287 307

Traditional CRADAs, Total Active 784 936 1,030 1,072 1,132

Other Collaborative R&D Relationships 0 0 0 0 0

HHS CRADAs, Total Active 590 588 577 575 665

New CRADAs 134 112 87 93 120

Traditional CRADAs, Total Active 391 462 465 476 493

Other Collaborative R&D Relationships 147 126 112 99 172

DHS CRADAs, Total Active 343 412 164 212 106

New CRADAs 114 107 104 60 50

Traditional CRADAs, Total Active 272 326 164 212 106

Other Collaborative R&D Relationships 71 71 n.a. n.a. n.a.

DOI CRADAs, Total Active 873 841 740 470 489

New CRADAs 511 477 422 352 237

Traditional CRADAs, Total Active 37 58 53 43 32

Other Collaborative R&D Relationships 319 247 249 269 353

DOT CRADAs, Total Active 68 65 63 44 49

New CRADAs 22 6 7 10 7

Traditional CRADAs, Total Active 62 66 63 43 46

Other Collaborative R&D Relationships 152 355 121 125 0

VA CRADAs, Total Active 2,613 1,785 1,688 1,686 1,587

New CRADAs 502 575 512 536 432

Traditional CRADAs, Total Active 2,359 1,619 1,518 1,526 1,403

Other Collaborative R&D Relationships 0 0 0 0 0

EPA CRADAs, Total Active 55 51 49 54 46

New CRADAs 14 8 11 11 5

Traditional CRADAs, Total Active 55 51 49 54 46

Other Collaborative R&D Relationships 48 89 91 93 111

NASA CRADAs, Total Active 12 0 0 0 0

New CRADAs 5 0 0 0 0

Traditional CRADAs, Total Active 12 0 0 0 0

Other Collaborative R&D Relationships 2,204 2,174 2,182 1,967 2,004

Total Metric FY 2016 FY 2017 FY 2018 FY 2019 FY 2020

CRADAs, Total Active 11,119 10,935 12,862 13,027 13,271

New CRADAs 5,027 4,962 5,235 4,273 3,937

Traditional CRADAs, Total Active 6,818 6,685 7,068 7,947 8,144

Other Collaborative R&D Relationships 12,172 12,939 11,587 10,194 10,334
147

Appendix B

Technology Area Classification

Mapping of International Patent Classifications to Technology Area55

Analysis of Biological Materials – Includes the investigation or analysis of specific methods not

covered by other groups. Materials analyzed include food, water, metals, explosives, oils, paints, 

paper, textiles, concrete, resins, wood, and biological materials.

Audio-Visual Technology – Includes but is not limited to advertising, signs, labels or nameplates, seals, arrangements or circuits for control of indicating devices using static means to 

present variable information, scanning details of television systems, color television systems, still 

video cameras, loudspeakers, microphones, stereophonic systems, and printed circuits.

Basic Communication Processes – Includes but is not limited to generation of oscillations, 

modulation, amplifiers, control of amplification, impedance networks, tuning resonant circuits, 

pulse technique, and general coding, decoding, or code conversion.

Basic Materials Chemistry – Includes but is not limited to preservation of bodies of humans or 

animals or plants, nitrogenous fertilizers, explosive or thermic compositions, detonating or 

priming devices, means for generating smoke or mist, manufacture of matches, organic dyes, 

coating compositions, natural resins, preparation of glue, adhesives, drying or working-up or 

peat, cracking hydrocarbon oils, production of acetylene by wet methods, lubrication 

compositions, and detergent compositions. 

Biotechnology – Includes but is not limited to compounds of unknown constitution, peptides, 

apparatus for enzymology or microbiology, micro-organisms or enzymes, fermentation or 

enzyme-using processes to synthesize a desired chemical compound or composition or to 

separate optical isomers from a racemic mixture, and measuring or testing processes involving 

enzymes or micro-organisms.

Chemical Engineering – Includes but is not limited to boiling, evaporating, sublimation, cold 

traps, crystallization, solvent extraction, displacing liquids, degasification of liquids, filters 

comprising of loose filtering material, cartridge filters of the throw-away type, processes of 

filtration, regeneration of the filtering material or filter elements outside the filter for liquid or 

gaseous fluids, separation of different isotopes of the same chemical element, chemical or 

physical laboratory apparatus for general use, spreading solid materials using liquids or using 

pneumatic tables or jigs, centrifuges, flotation, spraying apparatus, treating textile materials by 

liquids, bleaching, drying solid materials or objects by removing liquid therefrom, and plasma 

technique. 

55 Derived from The World Intellectual Property Organization’s International Patent Classification (IPC) 

Correspondence Table and IPC Searchable Classification Database, Version 2016.01.
148

Civil Engineering – Includes but is not limited to construction of roads, sports ground, platforms 

and refuge islands, landing stages for helicopters, machines for making railways, bridges, 

devices providing protection against weather, street cleaning, ship-lifting devices, foundations, 

excavations, embankments, dredging, water installation, sewers, water-closets or urinals with 

flushing devices, general building constructions, building materials, skylights, gutters, stairs, 

floors, locks, handcuffs, swimming pools, hinges for doors, windows, or wings, safes or strongrooms for valuables, bank protection devices, ladders, earth or rock drilling, mining or quarrying, 

large underground chambers, and safety devices. 

Computer Technology – Includes but is not limited to digital computers in which all the 

computation is affected mechanically, digital fluid-pressure computing devices, optical 

computing devices, electric digital data processing, analog computers, recognition of data, 

counting mechanisms, image data processing or generation, speech analysis or synthesis, speech 

recognition, and static stores. 

Control – Includes but is not limited to systems for controlling or regulating non-electric 

variables, ticket-issuing apparatus, time or attendance registers, handling or coins or of paper 

currency or similar valuable papers, con-freed or like apparatus, signaling or calling systems, 

traffic control systems, educational or demonstration appliances, ciphering or deciphering 

apparatus for cryptographic or other purposes involving the need for secrecy, and railway or like 

time or fare tables.

Digital Communication – Includes but is not limited to transmission of digital information, 

selective content distribution, and wireless communication networks.

Electrical Machinery, Apparatus, Energy – Includes but is not limited to incandescent 

mantles, lighting devices or systems, nonportable lighting devices or systems, cables, conductors, 

insulators, magnets, inductances, transformers, capacitors, electric switches, electric discharge 

tubes or discharge lamps, electric incandescent lamps, spark gaps, emergency protective circuit 

arrangements, dynamo-electric machines, electric heating, static electricity, and generation of 

electric power by conversion of infra-red radiation, visible light, or ultraviolet light.

Engines, Pumps, Turbines – Includes but is not limited to steam engines, rotary-piston or 

oscillating-piston machines or engines, steam engine plants, cyclically operating valves for 

machines or engines, lubricating of machines or engines in general, cooling of machines or 

engines in general, internal-combustion piston engines, gas-turbine plants, jet-propulsion plants, 

starting of combustion engines, machines or engines for liquids, wind motors, positive- and nonpositive displacement pumps, generating combustion products of high pressure or high velocity, 

fusion reactors, nuclear reactors, nuclear power plant, conversion of chemical elements, 

obtaining energy from radioactive sources, and nuclear explosives. 

Environmental Technology – Includes but is not limited to fire-fighting, separating dispersed 

particles from gases, combinations of devices for separating particles from gases or vapors, 

disposal of solid waste, reclamation of contaminated soil, gathering or removal of domestic or 

like refuse, water treatment, cremation furnaces, and measurement of nuclear or x-radiation.
149

Food Chemistry – Includes but is not limited to new plants or processes for obtaining them, 

treatment of flour or dough for baking, preserving by canning, dairy products, edible oils or pats, 

coffee, tea, cocoa, coca products, protein compositions for foodstuffs, feeding-stuffs specially 

adapted for animals, brewing of beer, recovery of by-products of fermented solutions, wine, 

preparation of vinegar, production of sugar juices, extraction of sucrose from molasses, and 

drying sugar.

Furniture, Games – Includes but is not limited to tables, desks, office furniture, chairs, child 

furniture, special furniture, household or table equipment, furnishings for windows or doors, 

kitchen equipment, sanitary equipment, toilet accessories, domestic washing or cleaning, 

apparatus for physical training, design or layout of courts, bowling games, card games, indoor 

games, merry-go-rounds, swings, toys, devices for theaters and circuses, racing and riding sports 

equipment and accessories.

Handling – Includes but is not limited to labeling or tagging machines, containers for storage or 

transport of articles of materials, transport or storage devices, handling thick or filamentary 

material, elevators, escalators, moving walkways, cranes, capstans, winches, tackles, pulley 

blocks, hoists, applying closure members to bottles, and filling or emptying of bottles, jars, cans, 

casks, barrels, or similar containers. 

IT Methods for Management – Includes but is not limited to data processing systems or 

methods, specially adapted for administrative, commercial, financial, managerial, supervisory, or 

forecasting purposes.

Machine Tools – Includes but is not limited to chemical means for extinguishing fires, rolling of 

metal, working or processing of metal wire, making forged or pressed metal products, making 

metal chains, making gears or toothed racks, thread cutting, soldering, welding, abrasive or 

related blasting with particulate material, tools for grinding, hand-held nailing or stapling tools, 

handles for hand implements, workshop equipment, saws for wood or similar material, working 

veneer or plywood, dovetailed work, removing bark or vestiges of branches, and accessory 

machines or apparatus for working wood or similar materials.

Macromolecular Chemistry, Polymers – Includes but is not limited to polysaccharides, 

treatment or chemical modification of rubbers, derivatives of natural macromolecular 

compounds, use of inorganic or non-macromolecular organic substances as compounding 

ingredients, and compositions of macromolecular compounds.

Materials, Metallurgy – Includes but is not limited to foundry molding, casting of metals, 

working metallic powder, non-metallic elements, ammonia compounds, cyanogen compounds, 

compounds of alkali metals, chemical composition of glasses, manufacture of iron or steel, 

processing of pig-iron, production or refining of metals, alloys, and changing the physical 

structure of non-ferrous metals or non-ferrous alloys.

Measurement – Includes but is not limited to measuring linear dimensions, measuring distances, 

surveying, navigation, gyroscopic instruments, measuring volume, weighing, measurement of 

mechanical vibrations, measurement of intensity or velocity, measuring temperature or quantity 
150

of heat, measuring force, testing static or dynamic balance of machines or structures, sampling, 

investigating strength properties of solid materials by application of mechanical stress, 

investigating density or specific gravity of materials; investigating flow properties of materials, 

investigating or analyzing materials by use of optical or thermal means, and investigating or 

analyzing materials by the use of nuclear magnetic resonance, electron paramagnetic resonance 

or other spin effects.

Mechanical Elements – Includes but is not limited to fluid-pressure actuators, fluid dynamics, 

devices for fastening or securing constructional elements or machine parts, shafts, couplings for 

transmitting rotation, springs, means for damping vibration, belts, cables, ropes, chains, fittings, 

gearing, pistons, cylinders, pressure vessels, valves, devices for venting or aerating, pipes, 

frames, casing, lubricating, safety devices in general, steam traps, gas-holders of variable 

capacity, vessels for containing or storing compressed gases, pipe-line systems, and control 

devices or systems insofar as characterized by mechanical features.

Medical Technology – Includes but is not limited to diagnosis, surgery, identification, dentistry, 

veterinary instruments, filters implantable into blood vessels, physical therapy apparatus, 

containers specially adapted for medical or pharmaceutical purposes, methods or apparatus for 

sterilizing materials, devices for introducing media into or onto the body, electrotherapy, 

radiation therapy, ultrasound therapy, and x-ray technique.

Micro-Structural and Nano-Technology –Includes but is not limited to micro-structural 

devices or systems, processes or apparatus specially adapted for the manufacture or treatment of 

micro-structural devices or systems, specific uses or applications of nano-structures, and nanostructures formed by manipulation of individual atoms, molecules, or limited collections of 

atoms or molecules as discrete units. 

Optics – Includes but is not limited to optical elements, spectacles, apparatus or arrangements 

for taking photographs, photosensitive materials for photographic purposes, apparatus for 

processing exposed photographic materials, photomechanical production of textured or patterned 

surfaces, electrography, devices used to stimulate emission, and holographic processes or 

apparatus.

Organic Fine Chemistry – Includes but is not limited to cosmetics or similar toilet preparations, 

general methods of organic chemistry, acyclic or carbocyclic compounds, heterocyclic 

compounds, steroids, derivatives or sugars, nucleosides, nucleic acids, and combinatorial 

chemistry.

Other Consumer Goods – Includes but is not limited to machines for making cigars, smoke 

filters, match boxes, shirts, corsets, outerwear, suspenders, artificial flowers, wigs, masks, 

feathers, hats and head coverings, characteristic features of footwear, buttons, pins, buckles, 

jewelry, coins, walking sticks, umbrellas, purses, luggage, hairdressing or shaving equipment, 

apparatus or methods for life-saving, bookbinding, filing appliances, implements for writing or 

drawing, apparatus or tools for artistic work, saddles, stirrups, upholstering methods, ropes or 

cables in general, musical instruments with associated blowing apparatus, and methods or 

devices for protecting against, or for damping, noise or other acoustic waves in general.
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Other Special Machines – Includes but is not limited to soil working in agriculture or forestry, 

planting, sowing, fertilizing, harvesting, mowing, threshing, cultivation of vegetables, 

manufacture of dairy products, animal husbandry, shoeing of animals, machines or equipment 

for making, slaughtering, processing meat, machines or apparatus for treating harvested fruit, 

preparing grain for milling, shaping clay or other ceramic compositions, working stone or stonelike materials, shaping or joining of plastics, additive manufacturing, manufacturing or shaping 

of glass, sugar extraction, weapons for projecting missiles without the use of explosive or 

combustible propellant charge, small arms, apparatus for launching projectiles or missiles from 

barrels, weapon sights, targets, explosive charges, blasting, and ammunition fuses.

Pharmaceuticals – Includes but is not limited to preparations for dentistry, medicinal 

preparations characterized by special physical form, medicinal preparations containing organic 

and inorganic active ingredients, medicinal preparations containing peptides, preparations for 

testing in vivo, electrically conductive preparations for use in therapy or testing in vivo, 

radioactive non-metals and metals, specific therapeutic activity of chemical compounds or 

medicinal preparations, and containing or obtained from roots, bulbs, leaves, bark, seeds, grains, 

flowers, stems, branches, or twigs.

Semiconductors – Includes semiconductor devices and electric solid-state devices not otherwise 

provided.

Surface Technology, Coating – Includes but is not limited to apparatus and processes for 

applying liquids or other fluent materials to surfaces, layered products, coating metallic material, 

enameling of metals, nonmechanical removal of metallic material from surfaces, cleaning or degreasing of metallic material by chemical methods other than electrolysis, and single-crystal 

growth.

Telecommunications – Includes but is not limited to transmission systems for measured values, 

waveguides, resonators, aerials, transmission, broadcast communication, multiplex 

communication, secret communication, jamming of communication, telephonic communication, 

and scanning, transmitting, or reproducing documents.

Textile and Paper Machines – Includes but is not limited to appliances or methods for making 

clothes, manufacture of brushes, making articles of paper or cardboard, processes for the 

manufacture or reproduction of printing surfaces, typewriters, stamps, printing plates or foils, 

mechanical treatment of processing of leather in general, preliminary treatment of fibers, 

spinning or twisting, crimping or curling fibers, shedding mechanisms, auxiliary weaving 

apparatus, knitting, braiding or manufacturing of lace, sewing, embroidering, mechanical or 

pressure cleaning of carpets, decorating textiles, and paper-making machines.

Thermal Processes and Apparatus – Includes but is not limited to methods of steam 

generation, superheating of steam, methods or apparatus for combustion using fluid or solid fuel, 

burners, grates, feeding fuel to combustion apparatus, regulating or controlling combustion, 

ignition, domestic stoves or ranges, air-conditioning, fluid heaters, ice production, steam or 
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vapor condensers, other heat exchange apparatus, and cleaning of internal or external surfaces of 

heat-exchange or heat-transfer conduits.

Transport – Includes but is not limited to vehicle wheels, vehicle tires, vehicle suspension 

arrangements, windows, windscreens, arrangement or mounting of propulsion units or of 

transmissions in vehicles, propulsion of electrically-propelled vehicles, power supply lines or 

devices along rails for electrically-propelled vehicles, vehicles adapted for load transportation, 

arrangement of signaling or lighting devices, vehicle brake control systems, air-cushion vehicles, 

locomotives, body details or kinds of railway vehicles, rail vehicle suspensions, shifting or 

shunting of rail vehicles, guiding railway traffic, hand-propelled vehicles, vehicles drawn by 

animals, trailers, cycle stands, cycle saddles or seats, brakes specially adapted for cycles, rider 

propulsion of wheeled vehicles or sledges, ships or other waterborne vessels, offensive or 

defensive arrangements on vessels, marine propulsion or steering, auxiliaries on vessels, lighterthan-air aircraft, airplanes, helicopters, equipment for fitting in or to aircraft, flying suites, 

parachutes, and cosmonautics.
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Appendix C

Fields and Subfields of S&E Publications Data56

Agricultural Sciences – dairy animal sciences, agricultural and food sciences

Astronomy – astronomy

Biological Sciences – general biomedical research, miscellaneous biomedical research, 

biophysics, botany, anatomy and morphology, cell biology, cytology, and histology, ecology, 

entomology, immunology, microbiology, nutrition and dietetics, parasitology, genetics and 

heredity, pathology, pharmacology, physiology, general zoology, miscellaneous zoology, general 

biology, miscellaneous biology, biochemistry and molecular biology, virology

Chemistry – analytical chemistry, organic chemistry, physical chemistry, polymers, general 

chemistry, applied chemistry, inorganic and nuclear chemistry

Computer Sciences – computer sciences

Engineering – aerospace engineering, chemical engineering, civil engineering, electrical 

engineering, mechanical engineering, metals and metallurgy, materials engineering, industrial 

engineering, operations research and management, biomedical engineering, nuclear technology, 

general engineering, miscellaneous engineering and technology

Geosciences – meteorology and atmospheric sciences, geology, earth and planetary sciences, 

oceanography and limnology, marine biology and hydrobiology, environmental sciences

Mathematics – applied mathematics, probability and statistics, general mathematics, 

miscellaneous mathematics

Medical Sciences – endocrinology, neurology and neurosurgery, dentistry, environmental and 

occupational health, public health, surgery, general and internal medicine, ophthalmology, 

pharmacy, veterinary medicine, miscellaneous clinical medicine, anesthesiology, cardiovascular 

system, cancer, gastroenterology, hematology, obstetrics and gynecology, otorhinolaryngology, 

pediatrics, psychiatry, radiology and nuclear medicine, dermatology and venereal disease, 

orthopedics, arthritis and rheumatism, respiratory system, urology, nephrology, allergy, fertility, 

geriatrics, embryology, tropical medicine, addictive diseases, microscopy

Other Life Sciences – speech/language pathology and audiology, nursing, rehabilitation, health 

policy and services

56 Sources: SRI International; Science-Metrix; National Science Foundation, National Center for Science and 

Engineering Statistics, Integrated Science and Engineering Resources Data System (WebCASPAR) database 

system. Science and Engineering Indicators 2016, Appendix Table 5-24. Used with permission.
154

Psychology – clinical psychology, behavioral and comparative psychology, developmental and 

child psychology, experimental psychology, human factors, social psychology, general 

psychology, miscellaneous psychology, psychoanalysis

Physics – acoustics, chemical physics, nuclear and particle physics, optics, solid state physics, 

applied physics, fluids and plasmas, general physics, miscellaneous physics

Social Sciences – economics, international relations, political science and public administration, 

demography, sociology, anthropology and archaeology, area studies, criminology, geography 

and regional sciences, planning and urban studies, general social sciences, miscellaneous social 

sciences, science studies, gerontology and aging, social studies of medicine