Federal Laboratory Technology Transfer

Fiscal Year 2019

Summary Report to the President and the Congress

Prepared by:

National Institute of

Standards and Technology

U.S. Department of Commerce

August 2022
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FOREWORD

The Department of Commerce (DOC) is pleased to submit this Fiscal Year 2019 Technology 

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

continuing efforts of federal laboratories to ensure that the nation’s investment in innovative 

research is transferred from our laboratories to the American people.

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

(R&D) investments, have historically been at the forefront of scientific discovery, invention, and 

technological innovation. Technology transfer facilitates the practical application of federal 

research directly through the transfer of laboratory results and by providing non-federal entities 

the opportunities to partner with federal laboratories on innovative research of mutual interest. 

Over the years, new products, services, and the formation of new companies have occurred 

through technology transfer initiatives.

The cross-agency focus on the lab-to-market efforts has emphasized the important role that 

innovation plays in accelerating the development of new industries, products, and services that 

lead to economic growth and job creation. Agencies have engaged in efforts to accelerate 

technology transfer activities, to improve and expand the collection of technology transfer 

metrics, and to establish performance goals and evaluation methods to enhance the efficiency 

and impact of their technology transfer activities.

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.

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 2019................................................................................... 8

Department of Agriculture (USDA)......................................................................................... 18

Department of Commerce (DOC)............................................................................................ 29

Department of Defense (DoD) ................................................................................................. 39

Department of Energy (DOE) .................................................................................................. 49

Department of Health and Human Services (HHS) ................................................................. 59

Department of Homeland Security (DHS)............................................................................... 70

Department of the Interior (DOI)............................................................................................. 79

Department of Transportation (DOT) ...................................................................................... 90

Department of Veteran Affairs (VA) ....................................................................................... 99

Environmental Protection Agency (EPA).............................................................................. 108

National Aeronautics and Space Administration (NASA)..................................................... 118

Chapter 3 Conclusion.................................................................................................................. 128

Appendix A................................................................................................................................. 129

Appendix B................................................................................................................................. 134

Appendix C................................................................................................................................. 140
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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 can 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 technologies can be 

transferred.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 in many 

ways is 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 propose new ways to improve the overall customer 

experience. These improvements include efforts to streamline operations to open doors to more 

efficient technology transfer opportunities. Other improvements target the way customers 

interact with the federal system.

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 2019, the total federal budget for R&D was $142,424 million. Of this, 

$91,682 million (64%) 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, $50,742 million (36%), supported R&D activities that occurred inside federal 

laboratories. This includes $39,313 million to support intramural activities and $11,430 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 2019 ($ million)4

Total 

R&D Intramural(a) FFRDCs

Intramural 

and 

FFRDCs

Percent 

of Total 

R&D 

Budget

All Agencies $142,424 $39,313 $11,430 $50,742 36%

 DoD $58,780 $20,315 $831 $21,145 36%

 HHS $39,191 $7,753 $516 $8,270 21%

 DOE $14,376 $1,052 $7,411 $8,463 59%

 NASA $13,570 $4,145 $2,321 $6,466 48%

 USDA $2,637 $1,644 $0 $1,644 62%

 DOC $1,535 $1,102 $10 $1,112 72%

 VA $1,508 $1,437 $0 $1,437 95%

 DOT $1,013 $190 $0 $190 19%

 DOI $827 $695 $0 $695 84%

 DHS $647 $180 $20 $200 31%

 EPA $485 $249 $1 $251 52%

 Other Agencies $7,856 $552 $320 $871 11%

(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 2019-20, Federal Obligations for Research and Development, by 

Agency and Performer, FY 19, Table 7. https://ncses.nsf.gov/pubs/nsf21329
4

In FY 2019, DoD spent the largest amount of funding on intramural activities and FFRDCs with 

$21,145 million (36% of its R&D budget). The DOE was second with $8,463 million (59% of its 

R&D budget) and HHS was third with $8,270 million (21% 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 2015 through 

FY 2019.

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 2019 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 2019 if the agencies have updated those data after the 

agency report was submitted.
6

Federal Invention Disclosures and Patenting

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

product development resources necessary for early-stage research products to be brought to their 

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

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

technical know-how by federal agencies.

Between FY 2015 and FY 2019, invention disclosures reported by federal agencies increased by 

23% to 5,896. Patent applications filed increased by 4% to 2,569, and patents issued increased by 

19% to 2,600. DOE reported the largest number of invention disclosures with 1,891 in FY 2019, 

followed by NASA with 1,841 and DoD with 839. These three agencies accounted for 67% of all 

invention disclosures reported in this fiscal year.

In FY 2019, DoD reported the largest number of patent applications with 955, followed by DOE 

with 837 and VA with 274. These three agencies accounted for 81% of patent applications in FY 

2019. DOE reported the largest number of patents issued in FY 2019 with 919, followed by HHS 

with 708 and DOD with 653. These three agencies accounted for 88% of reported patents issued 

in FY 2019.

Federal Invention Disclosures and Patenting

FY 2015 FY 2016 FY 2017 FY 2018 FY 2019

New Invention Disclosures 4,787 4,994 5,662 5,627 5,896

Patent Applications Filed 2,477 2,513 2,596 2,786 2,569

Patents Issued 2,183 2,300 2,275 2,386 2,600
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 2019. The chart shows the 

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

patents.

7

In FY 2019, the largest number of federal patents issued involved Measurement (12%) 

followed by Electrical Machinery, Apparatus, Energy (8%), Computer Technology (6%), 

Biotechnology (6%), Other Special Machines (6%), Pharmaceuticals (6%), Telecommunications 

(5%), Semiconductors (4%), Optics (4%), Materials, Metallurgy (3%), Chemical Engineering 

(3%), Transport (3%), Surface Technology, Coating (3%), Medical Technology (3%), Basic 

Materials Chemistry (3%), and Other (24%).8

USPTO Patents Assigned to Selected U.S. Federal Agencies by Technology Area: FY 2019

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 June 2019. Used with 

permission.

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

Federal Licenses9

Licensing of federally developed technologies 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 create benefits to the economy and contribute to 

competitiveness and domestic economic growth. The ability to grant licenses to the nonfederal 

sector helps protect, utilize, or further develop federally conceived innovations, which would not 

be further developed into commercial products or services otherwise. The terms and conditions 

under which federal intellectual property 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, projected market impact, and other factors.

Between FY 2015 and FY 2019, total active licenses for agencies for which all data were 

available decreased by 13%, from 9,548 in FY 2015 to 8,289 in FY 2019.

10 New licenses for 

agencies for which all data were available increased by 12% from 1,126 in FY 2015 to 1,257 in 

FY 2019.

11 Total active invention licenses for agencies for which all data were available

decreased by 3%, from 3,909 in FY 2015 to 3,805 in FY 2019.12 New invention licenses for 

agencies for which all data were available increased by 1%, from 566 in FY 2015 to 572 in FY 

2019.

13 Invention licenses refers to inventions that are patented or could be patented. Incomebearing licenses decreased by 17%, from 6,337 in FY 2015 to 5,235 in FY 2019. Exclusive 

income-bearing licenses for agencies for which all data were available increased by 58%, from 

562 in FY 2015 to 890 in FY 2019.

14

In FY 2019, DOE reported the largest number of total active licenses with 4,640 licenses. The 

HHS was second with 1,933 licenses and DoD was third with 575 licenses. These three agencies 

accounted for 86% of all licenses reported in FY 2019. 

In FY 2019, HHS reported the largest number of invention licenses with 1,472, followed by 

DOE 822 and NASA with 529. Together these three agencies accounted for 72% of invention 

licenses in FY 2019. 

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

licenses, new licenses, total active 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 total active invention licenses, new invention licenses, and income bearing exclusive licenses 

were not available for DOI.

10 Total active licenses for all agencies, including those for which some data were unavailable, decreased by 15%, 

from 9,748 in FY 2015 to 8,289 in FY 2019.

11 New licenses for all agencies, including those for which some data were unavailable, increased by 11%, from 

1,129 in FY 2015 to 1,257 in FY 2019.

12 Total active invention licenses for all agencies, including those for which some data were unavailable, decreased 

by 7% from 4,109 in FY 2015 to 3,805 in FY 2019.

13 New invention licenses for all agencies, including those for which some data were unavailable, increased by 1% 

from 569 in FY 2015 to 572 in FY 2019.

14 Income bearing exclusive licenses for all agencies, including those for which some data were unavailable, 

increased by 90%, from 562 in FY 2015 to 1,069 in FY 2019.
9

In FY 2019, DOE reported the largest number of income-bearing licenses, 2,749. The HHS was 

second with 1,001 followed by USDA with 522. Together these three agencies accounted for 

82% of income-bearing licenses in FY 2019.

In FY 2019, USDA reported the largest number of income-bearing exclusive licenses with 334, 

followed by VA with 245, and DoD with 179. Together these three agencies accounted for 71% 

of income-bearing exclusive licenses in FY 2019.

Federal Licenses15

Federal Income from Licenses16

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 2015

and FY 2019, income from all licensing decreased by 55% to $92 million. Income from 

15 This figure shows values for all agencies, including those for which some data were unavailable.

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

all active licenses and income from invention licenses for FY 2017 and FY 2018.

FY 2015 FY 2016 FY 2017 FY 2018 FY 2019

Licenses, Total Active 9,748 8,950 7,750 8,226 8,289

New Licenses 1,129 1,099 1,248 1,325 1,257

Invention Licenses, Total Active 4,109 4,086 3,982 3,232 3,805

New Invention Licenses 569 570 598 530 572

Income Bearing Licenses, Total Active 6,337 5,793 5,179 5,642 5,235

Income Bearing Exclusive Licenses 562 976 895 1,036 1,069
10

invention licenses decreased by 55% to $87 million and total earned royalty income decreased by 

31% to $103 million. 

The HHS accounted for the most licensing income with $79 million, followed by DoD with $6

million, and USDA with $4 million. Together these three agencies accounted for 95% of 

reported licensing income.

The HHS accounted for the most invention license income with $76 million, followed by USDA

with $3 million, and DoD with $3 million. Together these three agencies accounted for 95% of

Invention License Income.

The HHS accounted for the most Earned Royalty Income with $79 million, followed by DOE

with $10 million, and DoD with $7 million. Together these three agencies accounted for 88% of 

Earned Royalty Income.

Federal Income from Licenses ($000s)17

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

FY 2015 FY 2016 FY 2017 FY 2018 FY 2019

Total Income, All Active Licenses $203,508 $172,956 $180,653 $139,495 $114,130

Invention Licenses $193,347 $166,851 $174,590 $132,596 $105,301

Total Earned Royalty Income, (ERI) $150,741 $139,709 $163,350 $134,991 $103,460
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 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 cooperative 

research and development agreement (CRADA). The CRADA is 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 nonfederal 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 have other specific authorities that also facilitate cooperative 

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

Between FY 2015 and FY 2019, active CRADAs increased by 23% to 13,027. New CRADA 

agreements decreased by 16% to 4,273. Other collaborative R&D relationships decreased by 5% 

to 10,194.

In FY 2019, DoD reported the largest number of CRADAs with 6,090, followed by DOC with 

2,564 and VA with 1,688. The DOC reported the largest number of other collaborative R&D 

relationships with 3,431, with DoD reporting 2,322, and NASA reporting 1,967 (Space Acts 

Agreements).

18 Data for some agencies were not available for this report. DHS was unable to provide values for other 

collaborative R&D relationships for FY 2018 and FY 2019.
12

Federal Collaborative R&D Relationships19

Science and Engineering (S&E) Articles

Although intellectual property 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 2019, 

Elsevier reported that federal researchers authored or coauthored 70,108 articles using a wholecount basis (where each agency gets full credit for each article even if the article has co-authors 

from different agencies).20

19 This figure shows values for all agencies, including those for which some data were unavailable.

20 Data prepared by Science-Metrix. Article counts are from the set of journals covered by the Science Citation 

Index (SCI) and Social Sciences Citation Index (SSCI) classified under Caspar fields using the CHI classification. 

Articles are classified by the year they entered the database, rather than the year of publication, and are assigned to a 

federal agency based on the institutional addresses listed in the article. Because the CHI classification classifies 

journals accounting for only about 60% of all publications indexed in the Web of Science, the classification was 

expanded to fully cover the database using a two-step approach. The first step was to classify all journals under the 

same fields as those determined for the preparation of the NSF SEI 2019 indicators. The remaining journals were 

then assigned to a unique field using citations to and from journals to determine their most relevant field. Used with 

permission.

FY 2015 FY 2016 FY 2017 FY 2018 FY 2019

CRADAs, Total Active 10,091 11,119 10,935 12,862 13,027

New CRADAs 4,944 5,027 4,962 5,235 4,273

Traditional CRADAs, Total Active 6,202 6,818 6,685 7,068 7,947

Other Collaborative R&D Relationships 10,748 12,172 12,939 11,587 10,194
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 (26%), Biological and Biomedical

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

Sciences (7%).21

S&E Articles Authored by Selected U.S. Federal Agencies, by S&E Fields: CY 2019

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 2019, more than 

20,344 articles authored or coauthored by federal researchers were cited in U.S. patents.22 Of 

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

accessed in September 2020. Used with permission.

22 Data prepared by Science Metrix. Cited articles are from the set of journals covered by the Science Citation Index 

(SCI) and Social Sciences Citation Index (SSCI) classified under Caspar fields using the CHI classification. Cited 

articles are classified by the year of publication and are assigned to a federal agency based on the institutional 

addresses listed in the article. Because the CHI classification classifies journals accounting for only about 60% of all 

publications indexed in the Web of Science, the classification was expanded to fully cover the database using a twostep approach. The first step was to classify all journals under the same fields as those determined for the 
14

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

(35%), Health Sciences (23%), Engineering (12%), Physics (12%), and Chemistry (8%).23

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

Patents, by S&E Field: FY 2019

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-CorpsTM)24

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. 

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. 

DoD

The I-Corps DoD program is a partnership with the National Science Foundation to provide 

DoD-funded researchers with training from experienced entrepreneurs in how to commercialize 

their innovations. The DoD’s Basic Research Office (BRO) is also looking to establish bridges 

that will allow teams who have completed the training to more seamlessly mature innovations 

preparation of the NSF SEI 2018 indicators. The remaining journals were then assigned to a unique field using 

citations to and from journals to determine their most relevant field. Used with permission.

23 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 September 2020.

24 See http://sbir.cancer.gov/resource/icorps/
15

into products that may enter DoD programs of record.

NIH

The I-Corps at the National Institutes of Health (NIH) program is focused on educating 

researchers and technologists on how to translate technologies from the lab to the marketplace. 

The program provides three-member project teams with access to instruction and mentoring in 

order to accelerate the translation of technologies currently being developed with NIH and CDC 

Small Business Innovation Research (SBIR) and Small Business Technology Transfer (STTR)

funding. It is anticipated that outcomes for the I-Corps teams participating in this program will 

include significantly refined commercialization plans and well-informed pivots in their overall 

commercialization strategies. Under this program, NIH and CDC foster the development of 

early-stage biomedical technologies, focus on teaching researchers how to gain a clearer 

understanding of the value of their inventions in the marketplace, and ultimately how to advance 

their technologies from the research lab into the commercial world. The program complements 

activities within the scope of the parent SBIR and STTR grant programs to help accelerate the 

commercialization of new products and services derived from NIH- and CDC-funded technical 

feasibility studies.

DOE

At DOE, the Energy I-CorpsTM program, formerly known as Lab-Corps, pairs teams of 

researchers with industry mentors for an intensive two-month training where the researchers 

define technology value propositions, conduct customer discovery interviews, and develop viable 

market pathways for their technologies. Energy I-Corps is managed by DOE’s 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

Los Alamos National Laboratory

National Renewable Energy Laboratory 

Oak Ridge National Laboratory

Pacific Northwest National Laboratory 

Sandia National Laboratories

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

partner with NSF to send their awardees through the NSF I-CorpsTM programs. Other agencies 

develop their own programs that adapt the curriculum for their research communities: NSA’s ICorpsTM for the Intelligence Community, I-CorpsTM at ARPA-E, and the USDA I-CorpsTM 

Agricultural Research Service pilot program.

Entrepreneur in Residence Programs

Several agencies have established Entrepreneur in Residence (EIR) programs that mentor 

technical researchers on the fundamentals of commercializing new technologies. While these 

programs vary across agencies, their common goal is to provide sound entrepreneurial advice 

from experienced business experts to accelerate technology transfer. Topics that are common to

these programs include methods of establishing market values, managing intellectual property 

rights, performing due diligence, fund raising, and requirements for starting a new business.
16

The DOE's EIR initiative was started in 2007 by the Office of Energy Efficiency & Renewable 

Energy to address long-standing concerns that national laboratory inventions were not being 

sufficiently transferred to the marketplace. By placing venture capital-sponsored entrepreneurs at 

key national laboratories, DOE aims to accelerate laboratory technology transfer, further 

enabling start-up entrepreneurs to work directly with the laboratories and bridge the gap between 

leading scientific and business talent. Technology assessments and proposing business structures 

to commercialize promising technologies can be conducted on site. Entrepreneurs are permitted 

to work directly with laboratory staff for a hands-on look at various inventions and potentially 

viable technologies. 

The NIH Office of Technology Transfer began its first EIR program in 2012. The EIRs are 

charged with three key activities: 1) review NIH technologies to assess commercial relevance; 2) 

work with the private sector to facilitate commercialization of the NIH technologies into 

marketable products; and 3) educate scientists on life science product development and 

commercialization. 

The USDA’s Agricultural Research Service (ARS) has six Technology Transfer Coordinators 

(TTCs) stationed in different geographical areas around the country. Each TTC acts as a type of 

EIR. The TTCs are engaged in numerous activities including planning, administrating, 

coordinating, and evaluating technology transfer activities of their assigned geographic region’s 

research programs to affect the optimum transfer of research for development and 

commercialization. They work closely with ARS researchers to select the most beneficial and 

expeditious mechanism(s) for technology transfer on a case-by-case basis. They participate in the 

planning of research programs and preparing material that illustrates ARS research results and 

accomplishments. 

The NIST has also initiated an EIR program in cooperation with the Maryland Technology 

Development Corporation. Through this initiative experienced EIRs and NIST researchers come 

together to identify commercial opportunities for technologies emerging from NIST’s 

laboratories. The NIST EIRs are not full-time paid positions; rather, they are guest researchers 

who undertake a variety of tasks to identify the commercial value of NIST technologies and 

mentor and educate NIST researchers on career opportunities in technological entrepreneurship. 
17

Chapter 2

Agency Performance in FY 2019

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 

intellectual property licensing) for the most recently closed fiscal year (FY 2019) and 

several prior years (FY 2015-2019);

• 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.
18

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 of “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 (e.g., germplasm, plants, and other materials), 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 intellectual 

property 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 2019 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)
19

USDA Invention Disclosures and Patenting

Between FY 2015 and FY 2019, invention disclosures received increased by 9%, from 222 to

243. Patent applications filed decreased 22%, from 125 in FY 2015 to 97 in FY 2019. Patents 

issued decreased by 24% from 94 in 2015 to 71 in FY 2019.

USDA Invention Disclosures and Patenting
20

Patents issued to USDA in FY 2019 covered many technology areas including Biotechnology 

(39%), Basic Materials Chemistry (17%), Pharmaceuticals (11%), Food Chemistry (9%) and 

Organic Fine Chemistry (7%).

25

USPTO Patents Assigned to USDA by Technology Area: FY 2019

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

with permission.
21

USDA Licenses

Between FY 2015 and FY 2019, total active licenses increased by 21% to 512 licenses in FY 

2019. Total active invention licenses decreased by 8% to 392 licenses. Total active income 

bearing licenses increased 19%, from 439 in FY 2015 to 354 in FY 2019, while income-bearing 

exclusive licenses increased by 14% to 334.

USDA Licenses

FY 2015 FY 2016 FY 2017 FY 2018 FY 2019

Licenses, Total Active 424 441 438 473 512

New Licenses 3 5 3 3 3 8 4 1 5 1

Invention Licenses, Total Active 424 441 438 387 392

New Invention Licenses 3 3 3 3 3 8 2 8 1 7

Income Bearing Licenses, Total Active 439 439 437 481 522

Income Bearing Exclusive Licenses 292 307 302 330 334
22

USDA Income from Licensing

Between FY 2015 and FY 2019, total income from all active licenses decreased by 30% to $3.6

million in FY 2019. The income from invention licenses decreased by 32% to $3.3 million. Total 

earned royalty income decreased by 10% from $3.5 million in FY 2015 to $3.2 million in FY 

2019.

USDA Income from Licensing ($000s)

FY 2015 FY 2016 FY 2017 FY 2018 FY 2019

Total Income, All Active Licenses $5,067 $4,784 $5,703 $3,835 $3,562

Invention Licenses $4,842 $4,456 $5,378 $3,495 $3,275

Total Earned Royalty Income, (ERI) $3,510 $3,633 $3,504 $2,721 $3,172
23

USDA Collaborative R&D Relationships

Between FY 2015 and FY 2019, total active CRADAs decreased by 14% to 260 agreements 

while new CRADAs increased by 19% to 84. Traditional CRADAs decreased by 14% to 260. 

Other collaborative R&D relationships decreased by 60% to 1,888 in FY 2019.

26

USDA Collaborative R&D Relationships

26 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 2015 FY 2016 FY 2017 FY 2018 FY 2019

CRADAs, Total Active 301 238 330 218 260

New CRADAs 8 0 7 9 9 1 6 1 9 5

Traditional CRADAs, Total Active 301 238 330 182 260

Other Collaborative R&D Relationships 4,730 5,628 6,125 3,215 1,888
24

USDA Efforts to Streamline Technology Transfer Operations

• The Economic Research Service continued to enhance and update its website. Upgrades 

made this fiscal year provided improved performance (website is faster, more resilient), 

security, and efficiency in publishing. New features included economic analysis, 

including highlights and implications, of the Agriculture Improvement Act of 2018 (Farm 

Bill); simpler, more intuitive navigation; enhanced functionality for mobile users; and 

improved data dissemination, with new, more interactive user interfaces and new data 

APIs (Application Programming Interfaces) to enhance information delivery to 

customers. ERS’s concerted efforts also improved on-time posting 3.5 percentage points 

to 95% and website Section 508 Accessibility by 45 percentage points.

• The National Institute of Food and Agriculture (NIFA) administers the USDA Small 

Business Innovation Research (SBIR) program. In FY 2019, NIFA promoted SBIR funding 

opportunities to USDA intramural research Cooperative Research and Development 

Agreement (CRADA) partners through a partnership between NIFA’s SBIR program and the 

Agricultural Research Service (ARS) Office of Technology Transfer (OTT).

• The RD continues to enhance its web presence to make information and programs more 

accessible to the public, as well as to concentrate outreach efforts to ensure that 

businesses and communities in greatest need have access to the necessary resources to be 

competitive.

USDA Downstream Success Stories

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 640 different pesticide residues. In FY 2019,

PDP tested over 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 enhance its 

surveillance of imported foods. 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 was also submitted to the Codex Alimentarius Committee to assist in 

benchmarking international Maximum Residue Levels (MRLs) as real-life data (in place of 

theoretical data), contributing to more accurate MRL estimates.

Animal and Plant Health Inspection Service (APHIS): Automated Aerial Bait Delivery to 

Control Brown Treesnakes.

Previous work has shown that invasive brown treesnake populations on Guam can be reduced by 

aerially delivering baits treated with 80 mg of acetaminophen to snake-infested areas. However, 

preparing the baits manually and applying them over large landscapes is labor and time 

intensive. Thus, Wildlife Service (WS), National Wildlife Research Center (NWRC), and the 

U.S. Department of the Interior collaborated with Applied Design Corporation (Boulder, CO) to 

engineer an automated bait manufacturing and delivery system. 
25

The core technology is an aerially delivered biodegradable “bait cartridge” designed to tangle in 

the tree canopy, making the acetaminophen bait available to treesnakes and out of reach of 

terrestrial non-target species. When mounted on a rotary-or fixed-wing aircraft, the automated 

dispensing module can broadcast bait cartridges at a maximum rate of four per second. NWRC 

researchers and WS Operations experts conducted the first evaluation of this system on Guam in 

July 2016 and demonstrated that this system can significantly reduce brown treesnake abundance 

after a single treatment. The WS Guam State Office now uses this system operationally to reduce 

the snake population within 55-hectares of forest surrounded by a snake-proof barrier on Guam. 

The goal of this work is to evaluate the possibility of using the system to eradicate snakes within 

the enclosure and provide a snake-free habitat for conservation restoration purposes. From 

October 2018 to June 2019, WS Operations and NWRC conducted multiple bait applications at 

this site, resulting in a greater than 80- percent decrease in snake activity. Further applications 

will continue to drive brown treesnake numbers within the enclosure toward zero. For the first 

time, land managers have a tool that can drastically reduce snake numbers throughout large 

areas, improving biosecurity and encouraging hopes for the eventual recovery of Guam’s native 

species.

APHIS: Biological Control of Asian Citrus Psyllid, the Vector of Citrus Greening Disease

The Asian citrus psyllid (ACP) has invaded citrus-growing areas in the United States and is a 

vector of a bacterium that causes citrus greening disease or Huanglongbing (HLB). A key 

component to a management program is aggressive control of ACP vector. Tamarixia radiata is a 

species-specific ectoparasitoid of the ACP that was imported from Pakistan after satisfying 

APHIS PPQ permitting requirements for field release in Texas. The PPQ Mission Laboratory 

developed the technology to mass produce and release T. radiata using a field insectary cage 

approach for the biological control of ACP in south Texas. Since the project began in 2011, 

nearly 11 million beneficial insects have been produced by the Mission Lab for field release in 

Texas, Louisiana, and Mexico border areas. Assessments of areawide management efforts in 

south Texas indicate an overall reduction in ACP populations of 90percent since initiation of the 

program in 2011. The biocontrol rearing technology was also transferred to partners in 

California, which have now developed the capacity to release over 3 million parasitoids per year.

Agricultural Research Service (ARS): New freezing technology retains fresh-like fruit 

quality when thawed

Freezing is a well-established technology used to prolong seasonal fruit and vegetable shelf-life. 

However, current freezing technologies (both slow and fast) rupture cells, resulting in juice loss 

when thawed, which leads to suboptimal flavor, juice content, and texture qualities. Together 

with colleagues at the University of California–Berkeley, ARS scientists in Albany, California, 

investigated a technology first developed to preserve human organs for transplanting called 

isochoric (constant volume) freezing to extend the shelf life of food products and maintain their 

physical and nutritional properties. The researchers evaluated isochoric freezing to preserve the 

quality of sweet cherries and found the technology resulted in thawed fruit that were 

indistinguishable from fresh cherries in terms of juice loss, texture, structure, ascorbic acid 

content, and antioxidant activity. The isochoric method also uses 70 percent less energy 

compared with conventional freezing methods. These findings promise to transform the $54 
26

billion U.S. frozen foods market by enabling frozen products that are thawed to have extended 

shelf-life and fresh-like taste, texture, juiciness, and nutrition. 

Forest Service (FS): Wood Waste Put to Work

Biochar, or wood waste, is a porous carbon substance that results from burning wood in the 

absence of oxygen. It is typically created when burning chunks of wood are covered by ash, soil 

or a lid, which insulates the coals and starves them of oxygen. This fire remnant provides a 

valuable addition to soil for agriculture and gardening purposes as well as contributing to overall 

forest health. Despite its usefulness, biochar is difficult to produce in large quantities for 

agricultural, forestry, or commercial use. With healthy forests in mind, the Rocky Mountain 

Research Station (RMRS) and Air Burners, Inc. teamed up to optimize biochar production for 

the marketplace. RMRS has partnered with the Air Burners, Inc. through a cooperative 

agreement to help find a solution to this problem. The company’s commercial fireboxes, used for 

processing wood and vegetative waste, are being modified to produce high-quality biochar.

Food Safety and Inspection Service (FSIS): Use of Information Technology Systems to Share 

Information

FSIS continued the phased expansion of Public Health Information System (PHIS) Export 

Module, which allows industry to file electronic export applications and receive electronic 

certification. On May 20, 2019, FSIS added an additional 21 countries to the export component, 

as part of phase 2 of the rollout. In addition, FSIS made several updates to the import module of 

PHIS, which enables inspection program personnel (IPP) to conduct import reinspection more 

efficiently and effectively.

FSIS continued efforts to develop and maintain automated data exchange capabilities with 

Customs and Border Protection (CBP). To date, over 182 customs brokers are participating in the 

FSIS data exchange, and 72 percent of all import applications received by FSIS are now filed 

electronically. FSIS continues outbound message capabilities in Automated Commercial 

Environment (ACE), which provides messages back to importers on the status of shipments 

being re-inspected by FSIS. FSIS also developed and implemented the capability for customs 

brokers to submit corrections to previously submitted electronic applications when needed.

National Agricultural Statistics Service (NASS): Geospatial Products

NASS completed its 48-State Cropland Data Layer (CDL) in 2010 for the 2018 crop year, 

making 11 years of national CDL’s available. This layer provides information on the crops 

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

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

sustainability concerns; environmental research; and the remote sensing and GIS value-added 

industry. NASS continued to provide its 48-State VegScape, which is a geospatial data service 

offering automated updates of vegetative condition at daily, weekly, and biweekly intervals. The 

48-State Crop Frequency Layers were released in 2019 for the 2018 crop season. The Crop 

Frequency Layers identify crop specific planting frequency and are based on land cover 

information derived from the 2008 through 2017 CDL. Currently, these are produced for corn, 

soybeans, wheat, and cotton.
27

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

flooded areas and identify potential crop losses caused by Hurricanes Barry and Dorian, as well 

as flooding in the Midwest during the spring of 2019. 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 were 

posted on the NASS website for public dissemination.

27 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): Specialized Lure and Pheromone 

Application Technology (SPLAT)

ISCA Technologies is a California-based company that has received a number of SBIR awards to 

develop integrated pest management (IPM) solutions that are based on the use of semiochemicals 

or natural pheromones where the effect is specific to the targeted pest. They have developed a 

product called Specialized Lure and Pheromone Application Technology (SPLAT), which is a 

flowable wax-like emulsion that can be applied by hand from a paint gun or mechanically by 

sprayer (including from planes). The company has great organic chemistry expertise and they 

have synthesized a number of different semiochemicals and pheromones. One of their products is 

designed to disrupt mating in the gypsy moth. The Forest Service uses this product exclusively in 

their program to combat the spread of the gypsy moth, and it has been sprayed on hundreds of 

thousands of acres. Other products area targeted to the control of the mountain pine beetle, which 

has destroyed millions of acres of pine trees in the west, and the Asian Citrus Psyllid, which is 

the key vector for citrus greening. The company has grown from just a few people to over 20 

full-time employees and annual revenues have increased to over 7 million.

Natural Resources Conservation Service (NRCS): Conservation Assessment Ranking Tool 

(CART)

The newly developed Conservation Assessment Ranking Tool (CART) modernizes and 

streamlines NRCS’s conservation planning and program delivery, reduces workload on field 

staff, and improves the customer experience by creating an efficient application process. The tool 

combines and analyzes geospatially-referenced data and site-specific information provided by 

the landowner within a decision support system (DSS) framework. CART will assist NRCS 

conservation planners to identify the most likely resource concerns associated with the landscape 

and farm operation and the suite of potentially applicable conservation practices. The tool will 

provide the landowner with a robust context within which they can identify the most appropriate 

mix of conservation activities that will meet their objectives while addressing the relevant natural 

resource concerns. This informed conversation will lead to wider acceptance of conservation 

planning recommendations and increased adoption of conservation management practices on the 

ground. Soils and related data and information are key components of CART. In FY 2019, a 

team of soil scientists and other technical professionals developed a suite of web services that 

provide real-time soils data to CART v1.0. In addition, they developed a suite of soil-based 

27 https://www.nass.usda.gov/Research_and_Science/Disaster-Analysis/index.php
28

interpretations that will help planners and land owner/operators to identify the likelihood that 

resource concerns are present in a selected management area. NRCS staff will use this 

information to inform field visits, on-farm assessments, and farmer discussions. These focused 

efforts will lead to more efficient and effective identification of priority resource concerns that 

can be addressed in collaboration with NRCS. Soil scientists and other technical specialists 

throughout the Nation continue to collaborate on additions and improvements that will be 

included in future versions of CART.
29

Department of Commerce (DOC)

Technology transfer plays an important role in DOC’s mission to promote job creation, 

economic growth, sustainable development, and improved standards of living for all Americans. 

The 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. The DOC pursues these objectives through policies and programs directed at 

strengthening the nation’s economic infrastructure, facilitating the development of cutting-edge 

science and technology, providing critical scientific information and data, and managing national 

resources.

DOC conducts R&D in areas of science and technology at the laboratory facilities of the 

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

Administration (NOAA), and the National Telecommunications and Information 

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

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

coordinating technology transfer activities across federal agencies. The DOC coordinates the 

Interagency Working Group for Technology Transfer (IAWGTT) through NIST facilitation in

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

from agency transfer programs.28 The NIST also serves as the host agency for the Federal 

Laboratory Consortium (FLC), which provides a forum for federal labs to develop strategies and 

opportunities for linking technologies and expertise with the marketplace, as well as serving as 

the Executive Secretariat for the National Science and Technology Council’s Lab-to-Market 

subcommittee. 

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

NIST | NOAA | ITS

28 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.
30

DOC Invention Disclosures and Patenting

Between FY 2015 and FY 2019, new inventions disclosed decreased by 2% to 60 disclosures in 

FY 2019. Patent applications filed increased by 103% to 65, and patents issued increased by 65% 

to 33.

DOC Invention Disclosures and Patenting

FY 2015 FY 2016 FY 2017 FY 2018 FY 2019

New Invention Disclosures 61 64 43 77 60

Patent Applications Filed 32 25 46 56 65

Patents Issued 20 16 34 28 33
31

Patents issued to DOC in FY 2019 covered many technology areas including Measurement 

(37%), Optics (9%), Telecommunications (8%), Electrical Machinery, Apparatus, Energy (8%), 

and Computer Technology (8%).

29

USPTO Patents Assigned to DOC by Technology Area: FY 2019

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

with permission.
32

DOC Licenses

Total active licenses increased by 61% from 46 in FY 2015 to 74 in FY 2019. New licenses 

increased by 15% to 15. All licenses were invention licenses. Total active income bearing 

licenses increased by 14% to 33, while income bearing exclusive licenses increased by 25% to 

20.

DOC Licenses

FY 2015 FY 2016 FY 2017 FY 2018 FY 2019

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

New Licenses 1 3 1 5 1 9 1 1 1 5

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

New Invention Licenses 1 3 1 5 1 9 1 1 1 5

Income Bearing Licenses, Total Active 2 9 3 1 3 5 3 7 3 3

Income Bearing Exclusive Licenses 1 6 2 0 1 9 2 2 2 0
33

DOC Income from Licensing

DOC reported that all income from licensing comes from invention licenses. During the fiveyear period, from FY 2015 to FY 2019, there was a 17% decrease in total income from all active 

licenses, from $164 thousand in FY 2015 to $136 thousand in FY 2019.

DOC Income from Licensing ($000s)

FY 2015 FY 2016 FY 2017 FY 2018 FY 2019

Total Income, All Active Licenses $164 $149 $141 $147 $136

Invention Licenses $164 $149 $141 $147 $136

Total Earned Royalty Income, (ERI) $164 $149 $141 $147 $136
34

DOC Collaborative R&D Relationships

Between FY 2015 and FY 2019, total active CRADAs decreased by 7% to 2,564 agreements,

while new CRADAs decreased by 26% to 1,893. Traditional CRADAs increased 35%, from 365

in FY 2015 to 493 in FY 2019. Other collaborative R&D relationships increased by 10%, from 

3,125 in FY 2015 to 3,431 in FY 2019.

DOC Collaborative R&D Relationships

FY 2015 FY 2016 FY 2017 FY 2018 FY 2019

CRADAs, Total Active 2,752 2,940 2,932 3,363 2,564

New CRADAs 2,548 2,608 2,443 2,770 1,893

Traditional CRADAs, Total Active 365 335 413 534 493

Other Collaborative R&D Relationships 3,125 3,273 3,181 3,497 3,431
35

Efforts to Streamline Technology Transfer Operations

The NIST has undertaken several efforts to streamline and simplify the technology transfer process. 

It revised its standard CRADA to expedite review of these documents and reduce the overall size of 

these documents by approximately one third. The NIST also implemented several new licensing 

programs to encourage small businesses to participate. These programs lay out terms in advance to 

ease concerns of small businesses about overall costs. It is conducting detailed analysis of the flow of 

documents to understand where significant delays occur within the system. In many cases, these 

delays are with the partner and NIST does not have direct control. However, by continued efforts to 

identify and understand issues experienced by partners, NIST expects to identify new ways to 

simplify and streamline technology transfer practices. In FY 2019, the average number of days 

between the receipt date of an invention disclosure and the filing date of the first non-provisional 

patent application was 408 days. In FY 2019, the average CRADA approval time was 129 days.

DOC Downstream Success Stories

NIST: FLOC Takes Flight: First Portable Prototype of Photonic Pressure Sensor

In collaboration with industry, researchers from NIST have made the first portable prototype of 

the Fixed Length Optical Cavity (FLOC), a device that uses light to measure pressure with 

higher accuracy and precision than most commercial pressure sensors. This newest version is a 

milestone on the journey toward the creation of a device that could revolutionize the way 

pressure is measured with potential uses by many industries, particularly semiconductor chip and 

aircraft manufacturing.

In 2017, NIST and MKS Instruments, Inc. of Andover, Massachusetts, signed a CRADA to take 

a laboratory scale version of the FLOC and create a smaller, more robust prototype that more 

closely resembles a commercial product. Thanks to the CRADA work, the joint NIST and MKS 

team has now successfully demonstrated a prototype version small enough to fit into two 

suitcases, NIST physicist Jay Hendricks said.

“MKS Instruments brings over 50 years of pressure measurement, optical and laser experience to

this project, and we are honored to have been selected by NIST to work with them on this

important and prestigious development,” said Phil Sullivan, CTO of MKS’s Pressure and

Vacuum Measurement Solutions business. “We anticipate that this work will lead to a new

wide-range, compact pressure measurement standard.” Robust, portable FLOC sensors could 

potentially reduce the cost of producing semiconductor chips such as those used in smartphones, 

as well as decreasing the cost of air travel. This is because both the chip manufacturing and 

aerospace industries rely on pressure measurements. 

The FLOC measures pressure by measuring subtle differences in the frequency of light passing 

through two physical channels called optical cavities: a reference channel in vacuum and a test 

channel filled with a gas whose pressure is being measured. 

In their partnership, NIST and MKS staff assembled the two-channel cavity at the heart of the 

prototype, while MKS managed the engineering of a miniaturized version of the system. “We 

built the national standard version of the FLOC, which is designed to operate in a highprecision 

laboratory,” Hendricks said. “But we turned to industry under a CRADA to speed up the 
36

engineering and miniaturization work that needs to go into making something rugged, stable, 

transportable, low-power and able to work in a variety of different environments.

NIST: Researchers Explore Using SIM Cards for Secure Public Safety Data Transmission

In April 2019, NIST's Public Safety Communications Research (PSCR) division - in partnership 

with the First Responder Network Authority (FirstNet), IBM, and Nok Nok Labs - launched a 

prize challenge program targeted at exploring whether the SIM cards common in many

commercial mobile phones could be used as storage containers for public safety application 

credentials.

Recognizing Public Safety's need for convenient, standards-based, twofactor authentication,

PSCR engaged qualified contestants in a three phase Prize Challenge over the course of six 

months. Challenge teams completed the following phases:

• Phase 1 – Concept Paper: Successful contestants documented a clear understanding of the

contest objectives and proposed an approach to securely store and then use first responder

authentication credentials on a SIM card.

• Phase 2 – File Stored on SIM Card: Successful contestants demonstrated, via video

webinar and screen share, their process of provision, storage of the file on the SIM card,

and navigation through the SIM card file structure to the file’s location.

• Phase 3 – Verified Authentication: Successful contestants demonstrated their mobile

application's ability to access credentials stored on the SIM card and authenticate to

FIDO2 services, which were provided in this prize competition by our challenge partners

at Nok Nok Labs and IBM.

Participating teams were awarded prizes at each phase of the challenge with up to $100,000 in

total available prizes. The judging panel announced challenge winners October 23, 2019, after

performing the final evaluation of contestants' mobile applications, source code, hardware

devices with SIM cards, and instructions. The judging panel and subject matter experts included

individuals from APCO International, First Responder Network Authority, Motorola Solutions,

Qualcomm, Texas Department of Public Safety and NIST PSCR.

NOAA: Saildrone – Uncrewed Surface Vehicle (USV)

Scientists and researchers have traditionally relied upon large research vessels for oceanographic

data collection and monitoring activities. The data these vessels provide improve the scientific

understanding of physical, chemical and biological aspects of the ocean. It also contributes to 

scientific disciplines whose work intersects with ocean processes, such as meteorology and 

climatology. The data have an array of practical applications, such as improving weather 

forecasts and aiding in species management. However, these vessels can be costly and have other

drawbacks as well. For example, they require time for scheduling and planning voyages and can 

cause research restrictions due to their size and maneuverability. Despite these drawbacks, the 

information these vehicles provide is imperative and unavailable from conventional platforms

(e.g., inside major hurricanes), so the search for a better method ensued.

The California-based company, Saildrone, Inc., sought collaboration with NOAA’s Pacific 

Marine Environmental Laboratory (PMEL) to maximize the scientific applications of the windpowered, unmanned surface vessel (USV) they developed.
37

The data collected by saildrones generates a variety of ecosystem service benefits. For example, 

the data can be used to enhance NOAA fisheries’ capabilities, allowing better management of 

fisheries for species health, preservation, or public consumption. The data improve geospatial 

coverage of carbon intake by the ocean, which can be used to inform processes like ocean 

acidification and its impacts on plants and animals. Also, saildrones can augment the ability to 

detect oil spills; helping spur spill response to minimize negative impacts to ocean organisms and 

ecosystems.

The development of the saildrone has generated significant economic impacts for the company 

and the State of California that filter out to the country. Internally, the CRADA helped Saildrone, 

Inc. increase private investment due to the perceived scientific rigor associated with NOAA’s 

involvement in product development, helping achieve over $90 million in direct, private 

investment into the technology. The influx of product interest and sales helped Saildrone, Inc.

expand its workforce from 8 to over 100 employees since June 2014. The manufacturing of 

saildrones, which occurs entirely in the US, has also created jobs stretching from advanced 

manufacturing to advanced engineering, and the economic impact trickles outward to supply 

chains across the nation.

Saildrone, Inc. credits the CRADA knowledge-sharing process with accelerating company

research and development. The collaboration with NOAA has also added a layer of product 

legitimacy for investors, given the agency’s reputation for conducting rigorous science.

NTIA ITS: Table Mountain Research

The Table Mountain Field Site and Radio Quiet Zone supports fundamental research in the 

nature, interaction, and evaluation of telecommunication devices, systems, and services. Each 

year, private companies, universities and other organizations conduct research at Table Mountain 

under CRADAs. 

• In FY 2019, additional capabilities were added to the Table Mountain test facilities in

support of NOAA’s Radio Frequency Interference Monitoring System (RFIMS) program.

ITS helped NOAA develop the technical specifications for a Request for Proposals to

develop, produce, install, and maintain a radio frequency interference monitoring system

to mitigate the risk of potential interference by commercial wireless carriers that are

slated to begin sharing the spectrum with NOAA satellite operations in 2020. Work

began on the installation of a 6.5 m Geostationary Operational Environmental Satellite

(GOES) receiver dish to support Meteorological Satellite Testbed activities. A 2.4 m

Earth Station satellite dish capable of capturing Polar Operational Environmental Satellite

(POES) satellite imagery was previously installed to test the degree of interference that

could be tolerated, with a robust command and control system to command, verify, and

log interference transmitted to RFIMS candidate solutions under test. A Spectrum Survey 

System (SSS) has been used over the past two years to prototype near-real time

monitoring, data collecting, and reporting methods that might be used by RFIMS. This

system can also be used to analyze potential sharing concerns in other frequency bands.

• In FY 2019, several companies used the Table Mountain site under a CRADA to safely

test and demonstrate LADAR technologies under development in atmospheric conditions
38

and at distances relevant to potential applications, to fully test the functionality of new

antenna designs during product development, and to safely and accurately test an

Adaptive Tactical Laser System (ATLAS) compensated beacon adaptive optics (CBAO)

system under development. Applications for these technologies include detection and

tracking of wind shear and wake vortices, remote wind measurements for the offshore

wind energy industry, mission-critical communications, electronic warfare, direction

finding/geolocation, and sensing of hazardous liquids and gases.

• For the past eleven years, the University of Colorado’s Research and Engineering Center

for Unmanned Vehicles safely and accurately tested collective and autonomous sensing

and communication technologies to facilitate 4D sight through a ground-to-space sensing

column with unmanned aircraft systems (UAS) operating in the atmosphere integrated

with ground-based and space-based observation systems. These capabilities are intended 

to be applied for myriad of purposes ranging from improved climate and weather 

forecasting to better-informed government policymaking.
39

Department of Defense (DoD)

The Defense Laboratory Office (DLO) provides overall policy guidance for and oversight of 

department-wide technology transfer efforts. The DLO ensures, to the maximum extent 

practicable, that DoD developed technologies demonstrating commercial viability are integrated 

into the private sector; that technologies developed outside of the DoD that demonstrate national 

security utility are transferred into the DoD acquisition process; and that those technologies 

demonstrating both commercial and national security applications are made available to the DoD 

as well as industry and academia.

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

execution of its mission. The DoD funds and develops mission-focused technology, and 

technology transfer statutory authorities enable it to promote and facilitate the commercialization 

of that technology for both military and civilian purposes. Concurrently, DoD is a technology 

buyer as it strives to purchase new technology embodied in products and systems to meet the 

challenges faced by our warfighters. In many instances, technology transfer and technology 

transition are becoming a seamless path to fielding new technologies critical to responding to the 

new and dynamic threats of asymmetric warfare, the global war on terrorism, and the everexpanding role of civil assistance and disaster recovery worldwide. In the 1980’s, when much of 

the technology transfer legislation was enacted, the federal government, including DoD, was the 

principle-funding source for R&D. Consequently, technology transfer was viewed as a “spin out” 

to the marketplace, a stimulus to the domestic economy, and a return on investment for taxpayer 

funded R&D. Today, the majority of U.S. R&D is industry funded. This shift in funding has led 

to a greater emphasis on technology transfer as a collaborative effort between DoD labs and their 

partners in industry, academia, and state and local government.

Each of the Military Services, 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
40

DoD Invention Disclosures and Patenting

Between FY 2015 and FY 2019, new inventions disclosed increased by 13%, from 743 

disclosures in FY 2015 to 839 disclosures in FY 2019. Patent applications filed increased by 9%, 

from 875 in FY 2015 to 955 in FY 2019. Patents issued increased by 5%, from 620 patents in FY 

2015 to 653 patents in FY 2019.

DoD Invention Disclosures and Patenting

FY 2015 FY 2016 FY 2017 FY 2018 FY 2019

New Invention Disclosures 743 782 978 839 839

Patent Applications Filed 875 858 869 1,060 955

Patents Issued 620 624 630 600 653
41

Patents issued to DoD in FY 2019 covered many technology areas including the top categories of

Measurement (13%), Other Special Machines (11%), Computer Technology (9%), 

Telecommunications (8%), and Electrical Machinery, Apparatus, Energy (6%).30

USPTO Patents Assigned to DoD by Technology Area: FY 2019

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

permission.
42

DoD Licenses31

Total active licenses increased by 3%, from 560 licenses in FY 2015 to 575 licenses in FY 2019, 

while new licenses decreased by 16%, from 69 in FY 2015 to 58 in FY 2019. From FY 2015 to 

FY 2019, total active invention licenses increased by 9% to 470 and new invention licenses 

decreased by 16% to 58. From FY 2015 to FY 2019, total active income bearing licenses 

increased by 39% to 179. 

DoD Licenses

31 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 2015 FY 2016 FY 2017 FY 2018 FY 2019

Licenses, Total Active 560 515 552 480 575

New Licenses 6 9 3 5 162 168 5 8

Invention Licenses, Total Active 431 286 514 n.a. 470

New Invention Licenses 6 9 5 7 2 4 n.a. 5 8

Income Bearing Licenses, Total Active 203 185 396 306 283

Income Bearing Exclusive Licenses n.a. 209 196 151 179
43

DoD Income from Licensing32

From FY 2015 to FY 2019, total earned royalty income decreased by 39% to $5.6 million. 

Income from Invention Licenses decreased by 64%, from $8.2 million in FY 2015 to $3.0 

million in FY 2019. Total Earned Royalty Income decreased by 4%, from $7.6 million in FY 

2015 to $7.3 million in FY 2019.

DoD Income from Licensing ($000s)

32 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 2015 FY 2016 FY 2017 FY 2018 FY 2019

Total Income, All Active Licenses $9,169 n.a. n.a. n.a. $5,601

Invention Licenses $8,203 $554 n.a. n.a. $2,977

Total Earned Royalty Income, (ERI) $7,621 $5,823 $7,415 $6,802 $7,279
44

DoD Collaborative R&D Relationships

Between FY 2015 and FY 2019, total active CRADAs increased by 156%, from 2,377 in FY 

2015 to 6,090 in FY 2019, while new CRADAs increased by 19%, from 786 in FY 2015 to 939

in FY 2019. Traditional CRADAs increased by 77%, from 2,130 in FY 2015 to 3,768 in FY 

2019. Other collaborative relationships increased by 840%, from 247 in FY 2015 to 2,322 in FY 

2019.

DoD Collaborative R&D Relationships

FY 2015 FY 2016 FY 2017 FY 2018 FY 2019

CRADAs, Total Active 2,377 2,603 2,995 4,976 6,090

New CRADAs 786 774 813 949 936

Traditional CRADAs, Total Active 2,130 2,273 2,424 3,010 3,768

Other Collaborative R&D Relationships 247 330 571 1,966 2,322
45

DoD Downstream Success Stories

Air Force: FEMORPH Section 801 Software License: First in Department of Defense

Each part in a modern warplane’s engine is a complex, costly, and mission-critical component. 

By developing modeling and simulation software to assess irregularities in turbine blades, the 

U.S. Air Force Research Laboratory Aerospace Systems Directorate (AFRL/RQ) created a new 

approach and software package to determine which mission-critical parts are within fault 

tolerances, thereby providing opportunities for substantial cost savings and improved readiness 

within the Air Force—and beyond.

Developed by AFRL/RQ engineer Dr. Jeff Brown, FEMORPH brings advanced modeling and 

simulation (M&S) computational models to bear on one of the most mission-critical parts of a 

warplane—the turbine blades powering its engines. By comparing precise turbine blade 

measurements against historical data to answer mission-critical questions involving their 

airworthiness, remaining life and risk of failure, FEMORPH provides repair facilities with better 

information, increasing the number of repairable parts, extending their usable life, reducing 

costs, and ultimately resulting in more airworthy planes for the warfighter.

Dr. Brown also recognized the software’s potential to help the original equipment manufacturers 

(OEMs) who create the parts identify manufacturing and repair deviations, resulting in reduced 

defects and manufacturing costs. Initial conversations with engineers at turbine blade 

manufacturer Pratt & Whitney improved FEMORPH’s capabilities and ultimately resulted in the 

first technology transfer using a new software licensing approach within the Department of 

Defense, as established in Section 801 of the 2014 National Defense Authorization Act.

Licensing support and feedback from OEM manufacturers are allowing Dr. Brown and 

AFRL/RQ to further refine the software and develop new modules for different processes, 

including different repair approaches such as blending, which will yield further benefits for 

warfighters over time. Beyond aerospace, the computational models embodied by FEMORPH 

also have a significant potential role in quality control in virtually any advanced manufacturing 

industry involved in the creation and maintenance of mission-critical parts, which could 

ultimately help sustain the nation’s overall economic competitiveness as a manufacturer of 

complex, high-value equipment in a variety of sectors.

Army: Solid Decontamination (Decon) Blend

The Army-patented Solid Decontamination (Decon) Blend offers superior capability to 

neutralize biological and chemical threats such as nerve gas, opioids, and anthrax pathogens. A 

collaborative research team created by the U.S. Army Combat Capabilities Development 

Command Chemical Biological Center (CCDC CBC) developed and tested the dry 

decontamination blend as part of the Army laboratory’s ongoing search for easily deployed 

advanced countermeasures against harmful chemical and biological agents. It is effective against 

a broad spectrum of microorganisms and chemicals that have the potential to harm military and 

civilian populations.

The CCDC CBC team was largely responsible for transferring the Decon technology to a new 

startup company, MQM Solutions, Inc., of Cleveland, Ohio, which was created specifically to 
46

commercialize the Army technology. A Patent Licensing Agreement (PLA) and Cooperative 

Research and Development Agreement (CRADA), both signed in early 2019, quickly led to 

further research and development and field testing to yield the Army-patented decontaminant 

now on the commercial market.

The speed with which the Decon tech transfer succeeded was exceptional by any measure. The 

two partners signed the CRADA January 30, 2019, the patent licensing agreement February 25, 

and, in June MQM Solutions sold its first Decon-based commercial product. The impressive 

timeline of Decon’s transition to commercial on-the-shelf product not only personified the 

CBC’s technology transfer (T2) culture of agile responsiveness, it also reflected the laser-focus 

determination of the MQM cofounders and their resolute belief in the technology’s value to 

commercial users. Both partners in this transfer quickly seized the opportunities presented, 

refusing to allow a promising but neglected technology to languish unused.

The unique Decon chemical formulation—now available in packets as a dry powder easily 

reconstituted with any water source—reduces weight and volume by 90 percent compared to 

most conventional liquid decontamination products like hypochlorite solutions (bleach) or 

hydrogen peroxide-based products. The Decon technology also addresses other problems with 

available decontaminant liquids, namely, the use, storage, and transport of such liquids create 

logistical and HAZMAT challenges. Many are typically corrosive to multiple materials, can 

prove less efficacious, exhibit unsatisfactory materials compatibility (e.g., plastics, paints), 

require measuring multi-part additions to activate, mandate special packaging, or are unstable 

without controlled transportation and storage systems.

The need for an effective, more advanced, and efficient decontaminant was great. The Army 

CCDC CBC and its industry partner, MQM Solutions, answered the call in record time.

Army: Safeguarding Warfighter Access to Next-Generation Munitions through 

Wastewater Technology

A multi-agency team that included personnel from the U.S. Army Engineer Research and 

Development Center (ERDC); the U.S. Army Armament Research, Development and 

Engineering Center (ARDEC); the Program Executive Office – Ammunition (PEO AMMO); the 

U.S. Army Joint Munitions Command (JMC); and students and faculty from the U.S. Military 

Academy’s (USMA) Systems Engineering Department collaborated to streamline and modernize 

the treatment technologies of new insensitive munitions (IMs) formulations at load-and-pack 

(LAP) industrial base operations and to transfer their technologies to the U.S. Army and the 

private sector.

Initially, the team started working together to solve simple process control and plant operation 

issues associated with the caustic, pH 3, IM production water, i.e., the IM water was degrading 

the transfer plumbing and becoming a potential operations issue. The team successfully 

developed and transitioned an innovative application of a process to replace high-cost sorptive 

treatment of wastewater. To overcome the obstacle of the IM material’s high water solubility, the 

team developed two new steps to be incorporated into the treatment process. They strategically 

designed these two steps together to cost-effectively remove most of the contaminants from the 

IM wastewater, leaving the last step only for removing trace amounts of the contaminants.
47

The team worked on this effort, with an initial assessment of the new munitions constituents and 

the implications of these new materials for LAP operations and installations such as Iowa Army 

Ammunition Plant (IAAAP), Crane, and McAlester Army Ammunition Plant (MCAAP). The 

impacted sites included both government-owned and government-operated (GOGO) and 

government-owned and contractor-operated (GOCO) industrial base facilities. Research and 

development progressed from benchtop experiments, to laboratory pilot treatment systems, to 

field-deployed treatment systems, and required operational modifications to accommodate the 

new explosive fills.

Best management practices (BMPs) were established for the handling of IM production water 

and process wastewater in a safe and environmentally sustainable manner. These BMPs include a 

cost-effective and environmentally safe process water treatment system that has been 

incorporated into full-scale operations at LAP ammunition plants. The team’s innovative 

treatment technology significantly reduced treatment costs from $6.00 per gallon to $0.55 per 

gallon.

Through their intensive, multidimensional approach to technology transfer, the team transitioned 

their effective research and development technology to ammunition plants performing load and 

pack on an industrial scale, guaranteeing the economic viability of these plants—thereby 

ensuring that our nation’s warfighters receive the most effective and the safest equipment to 

accomplish their critical missions.

Navy: LED Air Warning System (LAWS)

First Responder public safety divers (PSDs) often conduct dive missions in environments 

characterized by zero visibility. These poor visibility conditions make it virtually impossible to 

read air pressure gauges, even with auxiliary illumination, resulting in divers being unable to 

effectively monitor their remaining air supply during missions. Because the situation is so 

perilous, loss of life for PSDs in these conditions is not uncommon. The majority of PSD 

communities use a device with a single light emitting diode (LED) indicator light that alerts only 

when air supply is critically low, essentially amounting to a “warning of last resort.”

The LED Air Warning System (LAWS) has changed that, providing a clear visual display of a 

diver’s air pressure (even in zero visibility conditions) over the duration of a dive. The LAWS 

technology is effective, affordable, integrates with existing equipment, and meets a critical need 

in the PSD community. LAWS also has a direct commercial application for recreational diving, 

scientific diving (e.g., for research and scientific study), and commercial industries such as oil 

exploration, offshore construction, underwater inspection and maintenance, and underwater 

photography and videography.

A team at the Naval Surface Warfare Center, Panama City Division (NSWC Panama City) 

brought their unique experience, expertise, creativity, and innovation to address the challenge 

and create a successful technology transfer. Dennis Gallagher, NSWC Panama City Office of 

Research and Technology Applications (ORTA) representative, played the leading role, bringing 

together critical players and driving the transfer from concept to commercialization. Gallagher 

led the implementation of a string of different and complementary partnerships among federal 
48

government, industry, and academia partners, including a Cooperative Research and 

Development Agreement, two Education Partnership Agreements, and a commercial licensing 

agreement.

Gallagher pulled together a team of five scientists and engineers from different disciplines at key 

points in the transfer process. Together, these individuals used their collective expertise to satisfy 

design and functionality requirements, reduce complexity, and reduce costs in the final product 

design, driving the technology’s development and ultimate transfer.

LAWS will provide increased safety and new capability for PSDs. The commercial potential for

the technology is significant, with a potential sales projection of 8,000-15,000 units in the U.S. 

alone. The international diver market also holds great commercial potential, and commercial 

partner Interspiro already operates in nine countries on four continents. LAWS hit the “grand 

slam” of technology transfer. A federally developed technology was transitioned to a new 

product with direct application to the military user, first responders, and the private sector.
49

Department of Energy (DOE)

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 the 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 that the 

national laboratories do:

• 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 sites of 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 some 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), 
50

• 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 Office of Technology Transitions (OTT) mission 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.
51

DOE Invention Disclosures and Patenting

Between FY 2015 and FY 2019, new inventions disclosed increased by 15%, from 1,645 in FY 

2015 to 1,891 disclosures in FY 2019. Patent applications filed declined by 12%, from 949 in FY 

2015 to 837 in FY 2019, while patents issued increased by 22%, from 755 in FY 2015 to 919

patents in FY 2019.

DOE Invention Disclosures and Patenting

FY 2015 FY 2016 FY 2017 FY 2018 FY 2019

New Invention Disclosures 1,645 1,760 1,794 1,748 1,891

Patent Applications Filed 949 999 937 868 837

Patents Issued 755 856 817 854 919
52

Patents issued to DOE in FY 2019 covered many technology areas including Electrical 

Machinery, Apparatus, Energy (13%), Measurement (12%), Chemical Engineering (6%), 

Materials, Metallurgy (6%), and Computer Technology (6%).

33

USPTO Patents Assigned to DOE by Technology Area: FY 2019

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

permission.
53

DOE Licenses

Between FY 2015 and FY 2019, total active licenses decreased by 26%, from 6,310 in FY 2015 

to 4,640 in FY 2019. New licenses increased by 6%, from 648 in FY 2015 to 686 in FY 2019. 

Invention licenses decreased by 38%, from 1,336 in FY 2015 to 822 in FY 2019. New invention 

licenses decreased by 37%, from 155 in FY 2015 to 98 in FY 2019. Income bearing licenses 

decreased by 40%, from 4,577 in FY 2015 to 2,749 in FY 2019 and income bearing exclusive 

licenses increased by 15%, from 98 in FY 2015 to 113 in FY 2019.

DOE Licenses

FY 2015 FY 2016 FY 2017 FY 2018 FY 2019

Licenses, Total Active 6,310 5,410 4,045 4,742 4,640

New Licenses 648 621 567 662 686

Invention Licenses, Total Active 1,336 943 916 844 822

New Invention Licenses 155 145 128 100 9 8

Income Bearing Licenses, Total Active 4,577 3,963 3,057 3,323 2,749

Income Bearing Exclusive Licenses 9 8 231 190 181 113
54

DOE Income from Licensing

Between FY 2015 and FY 2019, DOE reported that total income from all active licenses

decreased by 34%, from $33.1 million in FY 2015 to $22.0 million in FY 2019. Income from 

invention licenses decreased by 37%, from $29.0 million in FY 2015 to $18.2 million in FY 

2019. Total earned royalty income decreased 51%, from $21.2 million in FY 2015 to $10.5

million in FY 2019.

DOE Income from Licenses ($000s)

FY 2015 FY 2016 FY 2017 FY 2018 FY 2019

Total Income, All Active Licenses $33,137 $31,149 $36,567 $21,085 $21,974

Invention Licenses $28,966 $27,364 $33,436 $17,237 $18,220

Total Earned Royalty Income, (ERI) $21,245 $16,273 $13,216 $10,239 $10,466
55

DOE Collaborative R&D Relationships

Between FY 2015 and FY 2019, total active CRADAs increased by 43%, from 747 in FY 2015 

to 1,072 in FY 2019. New CRADAs increased by 54%, from 186 in FY 2015 to 287 in FY 2019.

Traditional CRADAs increased by 43%, from 747 in FY 2015 to 1,072 in FY 2019.

DOE Collaborative R&D Relationships

FY 2015 FY 2016 FY 2017 FY 2018 FY 2019

CRADAs, Total Active 747 784 936 1,030 1,072

New CRADAs 186 264 330 312 287

Traditional CRADAs, Total Active 747 784 936 1,030 1,072

Other Collaborative R&D Relationships 0 0 0 0 0
56

DOE Downstream Success Stories

Brookhaven National Laboratory (BNL): Auto-Induction Media

Using an auto-inducing media to increase production of expression strains to produce large 

amounts of life saving proteins. The T7 protein expression system developed by Dr. Studier from 

BNL has shaped the field of recombinant DNA technology. The T7 RNA polymerase is so active 

that a small basal level of T7 polymerase can lead to substantial expression of target protein even 

in the absence of added inducer. If the target protein is sufficiently toxic to the host cell, then the 

auto induction of the target protein due to the small basal level of T7 polymerase will pose a 

substantial challenge in the establishment of the target plasmid in the expression host. Dr. Studier 

addressed this challenge by formulating growth media recipes and protocols that allow for 

reliable growth of T7 expression strains to saturation with little or no induction.

Using the T7 protein expression system, researchers in academia and industry have used E.coli to 

express several human proteins, including Insulin to treat diabetes. The yields of target protein 

using the autoinduction media is typically several-fold higher than that obtained by conventional 

IPTG induction. EMD Millipore is currently manufacturing and selling the auto induction media 

to academic institutions, biotech and pharmaceutical companies. The media is being used by 

biotech companies and pharma to express life-saving proteins including enzymes and 

therapeutics.

The growth media and protocols developed for use with the T7 expression system, are applicable 

to other existing expression systems inducible by IPTG or arabinose and potentially to any 

expression system with an inducer whose action is blocked by glucose. The simplicity of the 

protocol in using the auto-inducing media allows for efficient screening of many clones in 

parallel for expression and solubility, as cultures have only to be inoculated and grown to 

saturation.

Idaho National Laboratory (INL): Unique Software Offers Tool for Securing Transmission 

Grid at Maximum Efficiency

Using algorithms that incorporate weather monitors utility system data and computational fluid 

dynamics to provide real time ampacity ratings of power lines.

Coordinating with a CFD program from WindSim, the INL team developed General Line 

Ampacity State Solver (GLASS), which offers the ability to blend data from weather monitors 

and electric utility system data with CFD-enhanced weather analysis algorithms.

In recognition of its potential to strengthen and secure the power grid, GLASS was named a 

finalist for the 2017 R&D 100 Awards. INL has also received a Technology Commercialization 

Fund award from the U.S. Department of Energy Office of Technology Transfer. In 2018 and 

2019, INL plans to refine the GLASS software with another industry partner, testing endurance 

and possibilities for commercialization.

In its seven-year evolution, GLASS has undergone three formal peer reviews and two merit 

reviews. More than 70 people from around the world, representing the utility industry, academia, 
57

and local, state and federal government, came to Idaho Falls Nov. 7–8 for an INL-hosted 

Dynamic Line Rating workshop.

Since 2010, INL has collaborated with Idaho Power Company on dynamic line rating concepts, 

and recently finished a full instrumentation of two test beds with weather stations and line rating 

software in Idaho. With GLASS, Idaho Power has been gathering weather data and the ability to 

calculate steady state, transient, and what INL calls “true dynamic liner rating” ampacities. The 

next step is ramping up the software to calculate forecasted line ampacities and temperatures. 

INL also has completed a cooperative research and development agreement with AltaLink 

LLC—Alberta, Canada's largest regulated electric transmission company—on a field study of 

four transmission line segments in support of a wind project’s expansion request.

Kansas City National Security Campus (KCNSC): Next Generation Radar

One of first projects identified as a new priority by KCNSC is developing next generation radar. 

As general university collaborations proved successful, the concept evolved into a more strategic 

process for maturing technology and university partnerships with the Radar 2021 Consortium. 

As part of their partnership with the University of Kansas (KU), The KCNSC Radar Consortium 

recently investigated the snow and ice sheet thicknesses in the Arctic, Greenland, and the 

Antarctic by testing a KU/KCNSC radar flying over the North Pole. The National Aeronautics 

and Space Administration (NASA) P-3 plane measured and charted the snow sheet thickness 

over 89.993o North at an altitude of 1,500 feet.

This flight was a high-priority mission over sea ice and a repeat of a flight line surveyed yearly 

since 2013. NASA was able to benefit from the greatly increased resolution (less than 2cm) of 

the KU/KCNSC Radar, while the KCNSC was able to benefit from flight testing and learning 

more about the application of some of the newly-developed Radar Consortium technology such 

as miniaturization and increased power. The first iteration included a miniaturized RF section 

(~5x smaller), increased power (~10x increase), and stretched processing capability for longrange measurements (>12x airplane altitude increase while maintaining high resolution of 

<2cm).

Another university partner designed and fabricated a miniaturized agricultural radar that operates 

in the 22 – 26GHz range using a laminate substrate material as part of the Technology 

Demonstration Panel (TDP) philosophy that was created within this consortium. A second 

university team designed and fabricated miniaturized additively manufactured (AM) electrical 

shields to achieve isolation between signal lines on this radar.

Argonne National Laboratory (ANL): Argonne helps Aramco Research Center-Detroit 

Slash Engine and Fuel Design Time and Cost

In 2017, Argonne scientists and engineers pinpointed engine designs for a given fuel using the 

Mira supercomputer at the heart of the Argonne Leadership Computing Facility, a Department of 

Energy Office of Science User Facility.

The Argonne approach “reduced design time from months to weeks,” said Sibendu Som, group 

leader and principal computational scientist at Argonne. This significant reduction in design time 

translated to significant cost savings.
58

With Mira’s supercomputing prowess, Argonne’s Virtual Engine Research Institute and Fuels 

Initiative (VERIFI) team simulated more than 2,000 engine design combinations. The 

simulations were conducted with design scenarios from the Aramco Research Center-Detroit, 

one of three U.S.-based research centers operated by Saudi Aramco’s North American 

subsidiary, Aramco Services Company. The work was conducted as part of a Strategic 

Partnership Project (SPP).
59

Department of Health and Human Services (HHS)

Research at 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 does the following:

• Protects U.S. intellectual property 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.
60

• 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
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HHS Invention Disclosures and Patenting

Between FY 2015 and FY 2019, new invention disclosures decreased by 17%, from 321 in FY 

2015 to 268 disclosures in FY 2019. Patent applications filed decreased by 7%, from 222 in FY 

2015 to 207 in FY 2019, while patents issued increased by 41%, from 501 in FY 2015 to 708

patents in FY 2019.

HHS Invention Disclosures and Patenting

FY 2015 FY 2016 FY 2017 FY 2018 FY 2019

New Invention Disclosures 321 320 354 322 268

Patent Applications Filed 222 269 289 253 207

Patents Issued 501 579 554 624 708
62

Patents issued to HHS in FY 2019 covered many technology areas including Pharmaceuticals 

(41%), Biotechnology (28%), Organic Fine Chemistry (8%), Analysis of Biological Materials 

(7%), and Measurement (4%).

34

USPTO Patents Assigned to HHS by Technology Area: FY 2019

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

permission.
63

HHS Licenses

Between FY 2015 and FY 2019, total active licenses increased by 9%, from 1,767 in FY 2015 to 

1,933 licenses in FY 2019. New licenses increased by 24%, from 279 in FY 2015 to 346 in FY 

2019. Total active invention licenses increased by 9%, from 1,354 in FY 2015 to 1,472 licenses

in FY 2019. New invention licenses increased by 25%, from 232 in FY 2015 to 291 in FY 2019. 

Total active income bearing licenses increased by 19%, from 843 in FY 2015 to 1,001 in FY 

2019. Income bearing exclusive licenses increased by 33%, from 119 in FY 2015 to 158 licenses

in FY 2019.

HHS Licenses

FY 2015 FY 2016 FY 2017 FY 2018 FY 2019

Licenses, Total Active 1,767 1,750 1,806 1,867 1,933

New Licenses 279 278 334 335 346

Invention Licenses, Total Active 1,354 1,721 1,354 1,411 1,472

New Invention Licenses 232 221 282 292 291

Income Bearing Licenses, Total Active 843 837 907 978 1,001

Income Bearing Exclusive Licenses 119 145 130 143 158
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HHS Income from Licensing

Between FY 2015 and FY 2019, total income from all active licenses decreased by 48%, from 

$151.7 million in FY 2015 to $78.5 million in FY 2019. The income from invention licenses 

decreased by 48%, from $147.5 million in FY 2015 to $76.5 million in FY 2019. Total earned 

royalty income decreased by 31%, from $114.1 million in FY 2015 to $79.0 million in FY 2019.

HHS Income from Licensing ($000s)

FY 2015 FY 2016 FY 2017 FY 2018 FY 2019

Total Income, All Active Licenses $151,727 $132,833 $134,567 $110,709 $78,540

Invention Licenses $147,512 $130,701 $132,536 $108,276 $76,468

Total Earned Royalty Income, (ERI) $114,102 $110,193 $135,963 $111,628 $79,000
65

HHS Collaborative R&D Relationships

Between FY 2015 and FY 2019, total active CRADAs increased by 44%, from 400 in FY 2015

to 575 in FY 2019. New CRADA agreements decreased by 17%, from 112 in FY 2015 to 93 in 

FY 2019. Traditional CRADAs increased by 136%, from 202 in FY 2015 to 476 in FY 2019. 

Other collaborative R&D relationships decreased by 34%, from 150 in FY 2015 to 99 in FY 

2019.

HHS Collaborative R&D Relationships

FY 2015 FY 2016 FY 2017 FY 2018 FY 2019

CRADAs, Total Active 400 590 588 577 575

New CRADAs 112 134 112 8 7 9 3

Traditional CRADAs, Total Active 202 391 462 465 476

Other Collaborative R&D Relationships 150 147 126 112 9 9
66

HHS Downstream Success Stories

National Cancer Institute (NCI): Breakthrough Therapy Designation for Pomalidomide for 

the Treatment of HIV-Positive Kaposi Sarcoma

In May 2019, the FDA granted Breakthrough Therapy designation to POMALYST® 

(pomalidomide) for the treatment of patients with human immunodeficiency virus (HIV)-positive 

Kaposi sarcoma who have previously received systemic chemotherapy, as well as patients with 

HIV-negative Kaposi sarcoma.

NCI entered into a CRADA with Celgene in 2011 to study Celgene’s proprietary compound 

pomalidomide as a potential therapeutic for Kaposi sarcoma. The Breakthrough Therapy 

designation was granted by the FDA on the basis of the results of a clinical study performed 

under the CRADA by a team led by Dr. Robert Yarchoan, of the HIV and AIDS Malignancy 

Branch within NCI’s Center for Cancer Research. Pomalidomide is a therapeutic drug that can 

treat cancer through several mechanisms. Pomalidomide can help treat cancer by blocking 

certain factors that promote tumor growth or by stimulating the immune system to attack tumor 

cells. It also prevents the growth of new blood vessels that help cancer grow. In clinical trials, 

researchers wanted to see if pomalidomide could treat Kaposi sarcoma, a rare and potentially 

fatal skin cancer. Because Kaposi sarcoma may be associated with HIV infection, researchers 

wanted to determine if pomalidomide was a safe and effective treatment for Kaposi sarcoma in 

people with or without HIV. TTC’s Wendy Patterson, J.D. manages the ongoing CRADA with 

Celgene.

NCI: Tumor-Infiltrating Lymphocyte (TIL) Therapy Advances from Lab to Patients 

In May 2019, the FDA granted breakthrough therapy designation for advanced cervical cancer to

Iovance Biotherapeutics, an NCI CRADA partner, for their promising tumor-infiltrating 

lymphocyte therapy (LN-145) technology. This milestone is an important step in advancing 

tumor-infiltrating lymphocytes (TIL) research conceived by NCI’s Dr. Steven Rosenberg and 

moving this breakthrough type of cancer treatment from the lab to clinical trials and ultimately, 

to patients with recurrent, metastatic, or persistent cervical cancer who have progressed on or 

after chemotherapy. This type of cancer is very aggressive and the prognosis for patients after 

metastases is very bleak. Following the FDA breakthrough therapy designation announcement, 

Iovance announced that it will open a new manufacturing facility to support manufacturing of 

TIL technologies. The new 136,000 square foot production facility is anticipated to “ultimately 

create employment opportunities for several hundred individuals in Philadelphia once at full 

capacity. Iovance expects to invest approximately $75 million over three years for equipment 

and construction of the manufacturing suites.”

In 2011, NCI formed a CRADA partnership with Lion Technologies, a startup company strongly

committed to moving this new class of treatment through FDA approval and commercialization. 

The technology from the Rosenberg lab of the NCI Center for Cancer Research (CCR) Surgery 

Branch, uses T cells that are naturally found in a patient’s tumor, called TILs. TILs that best 

recognize the patient’s tumor cells in laboratory tests are identified and selected, isolated and 

grown to large numbers in the laboratory. The tumor recognizing cells are then activated by 

treatment with immune system signaling proteins called cytokines and infused into the patient’s 

bloodstream. This treatment is a “live therapy” consisting of a single infusion of TIL. The 
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complex collaboration with Iovance is managed by NCI TTC Technology Transfer Managers, 

Drs. Aida Cremesti and Andrew Burke.

National Institute of Allergy and Infectious Disease (NIAID): CRADA – Use of Kymab 

Mouse Model for Vaccine Development

Scientific researchers often use mouse models as an early means to assess vaccine candidates

ahead of human clinical trials. However, promising results in mice do not necessarily indicate 

that the vaccine candidate will be effective in humans due to differences in the immune systems 

of mice and that of humans.

For this reason, NIAID researchers have long sought access to a mouse model with an immune 

system that is humanized (commonly termed “humanized mice”). Accessing such humanized 

mice has not been possible because many of these models are tightly controlled by commercial 

entities that require the retention of ownership rights to any new inventions realized through use 

of their humanized mice. Such ownership is not consistent with laws, regulations and policies 

applicable to NIH.

Kymab Limited (Kymab) has developed a humanized mouse model by inserting the entire 

human immunoglobulin variable-gene repertoire into the mouse genome to engineer KymouseTM 

mice. In 2016, the Bill & Melinda Gates Foundation (“BMGF”) funded Kymab to develop 

vaccines and therapeutic antibodies to pathogens of infectious diseases. 

As a UK-based company, Kymab had no experience working with the U.S. government or with 

the statutes and regulations that govern NIAID’s activities. To overcome this obstacle, TTIPO 

negotiated three CRADAs in 2018 that enabled the use of KymouseTM model to evaluate and 

develop new vaccine candidates against influenza, HIV and Respiratory Syncytial Virus (RSV), 

with agreement terms consistent with Federal laws and regulations as well as NIH policies.

National Institute of Mental Health (NIMH): ASQ Suicide-Screening Questions Toolkit

The National Institute of Mental Health (NIMH) is the lead federal agency for research on 

mental disorders and its mission is to transform the understanding and treatment of mental 

illnesses through basic and clinical research, paving the way for prevention, recovery, and cure.

Suicide is a global public health problem and the second leading cause of death for young people 

ages 10-24 worldwide. Suicide is also a major public health concern in the United States. 

According to the Centers for Disease Control and Prevention (CDC), more than 5,900 youths 

killed themselves in 2015. Even more common than death by suicide are suicide attempts and 

suicidal thoughts. NIMH is working on two fronts to address this public health issue: early 

detection and rapid-acting treatments.

The Indian Health Service (IHS) in partnership with NIMH are collaborating to promote and 

implement universal suicide screening in IHS emergency departments, using NIMH’s Ask 

Suicide Question (ASQ) toolkit and will be working to develop further training and specific 

educational materials for IHS/Tribal/Urban providers in the near future.
68

The Indian Health Service, an agency within the Department of Health and Human Services, is

responsible for providing federal health services to American Indians and Alaska Natives. Its

mission is to raise their health status to the highest possible level. The IHS provides a 

comprehensive health service delivery system for American Indians and Alaska Natives.

The ASQ toolkit is a free resource for medical settings (emergency department, inpatient 

medical/surgical units, outpatient clinics/primary care) that can help nurses or physicians 

successfully identify youth at risk for suicide. The ASQ is a set of four screening questions that 

takes 20 seconds to administer. In an NIMH study, a “yes” response to one or more of the four 

questions identified 97% of youth (aged 10 to 21 years) at risk for suicide. By enabling early 

identification and assessment of young patients at high risk for suicide, the ASQ toolkit can play 

a key role in suicide prevention.

Centers for Disease Control and Prevention (CDC): Protecting Healthcare Workers by 

Detecting Contamination from Hazardous Antineoplastic Drugs

Antineoplastic drugs, also known as anticancer drugs or chemotherapy, are used in the treatment 

of many types of cancer. While these drugs are lifesaving to patients, they must be handled with 

care by healthcare workers. Exposure from contaminated surfaces and drug vials can cause skin 

problems, birth defects, reproductive issues, and increased risk of various cancers. NIAID 

TTIPO has helped to improve the handling of these drugs by leveraging patenting and licensing 

expertise to advance the development and commercialization of new rapid detection kits. 35

Currently, an estimated 8 million U.S. healthcare workers are potentially exposed to 

antineoplastic drugs. Traditional sampling methods to test for surface contamination produce 

results in several weeks, involve significant expense, and require analysis in a laboratory.

Centers for Disease Control and Prevention (CDC) researchers at the National Institute for

Occupational Safety and Health (NIOSH) developed technology to rapidly detect three

commonly used antineoplastic drugs. (The technology is applicable to many types of 

antineoplastic drugs.) CDC initially developed the lateral flow immunoassay that allows 

sampling of surfaces to assess drug contamination.

CDC NIOSH’s Research to Practice (r2p) Office, CDC’s Technology Transfer Office (TTO), 

and the CDC Team at NIAID Technology Transfer and Intellectual Property Office (TTIPO) 

leveraged multiple mechanisms, resources, and activities to successfully transfer this technology, 

including patent protection, a conference presentation, marketing at additional conferences and 

via websites, multiple agreements and two licenses.

CDC NIOSH’s partners at Becton, Dickinson, and Company (BD) licensed, further developed, 

and incorporated the technology into a portable device. The resulting tool, the BDTM HD Check 

system, can analyze samples for doxorubicin and methotrexate (two common chemotherapy 

drugs) and provide reliable results in less than 10 minutes. It empowers healthcare workers to 

test surfaces when and where needed — and quickly determine the level of contamination in 

areas where hazardous antineoplastic drugs are present.

35 2019 Federal Laboratory Consortium (FLC) National Award: Excellence in Technology Transfer and 2019 FLC 

Southeast Regional Award: Excellence in Technology Transfer Project of the Year
69

In April 2018, BD launched the HD Check system in the U.S. to strong interest from the 

pharmacy and nursing communities. BD expects to make the product commercially available in 

Europe, Japan, Canada, and Australia. NIOSH and BD are continuing research to incorporate 

additional hazardous drugs in the rapid detection kits.

BD launched the BDTM HD Check system, the first and only rapid hazardous drug detection 

system, in the U.S. in April 2018. The commercial product reflects a successful transfer of a 

CDC NIOSH technology.
70

Department of Homeland Security (DHS)

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 (OGC-TPLD) to protect, manage and license DHS intellectual property. 

T2C also has delegated responsibility for establishing research collaborations and partnerships 

through Cooperative Research and Development Agreements (CRADAs) and providing 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:

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

Partnership Intermediaries 

Partnership Intermediary Agreements (PIAs) are a special technology transfer tool authorized 

under 15 U.S.C. §3715. PIAs allow agencies to leverage the expertise and resources of a 

partnership intermediary (PI) to achieve the agency’s technology transfer and commercialization 

goals and objectives. DHS had not effectively used this tool in the past. 

In FY 2019, T2C established the first fully funded PIA with MilTech, which was established by 

Montana State University in CY 2004. MilTech is an authorized PI supporting the technology 

transfer and commercialization functions for U.S. government agencies. MilTech aids DHS by 

promoting the transfer and commercialization of DHS-funded technologies quickly, reliably, and 

cost effectively. To do this, MilTech relies upon their nationwide network of research partners 

and subject matter experts to conduct market analyses, licensee and manufacturer scouting, 

technology evaluations and assessments, prototyping, and manufacture expertise projects to 

provide DHS project managers with information that is key to moving DHS-funded solutions to 

the marketplace.

MilTech provided an orientation briefing to DHS S&T personnel to internally promote the PIA's 

capabilities and identify potential project opportunities. DHS program managers discussed 

potential PIA projects with MilTech staff and collaborated to develop specific project statements 

of work for seven new PIA projects ranging from scouting for suppliers, licensee scouting, 

technology evaluation, commercialization planning, and prototyping.

Commercialization Accelerator Program (CAP)

In FY 2019, DHS expanded its tech-to-market program, the TTP previously focused on 

cybersecurity, and rebranded it as the Commercialization Accelerator Program (CAP). Under 

CAP, the program’s mandate was expanded to include critical infrastructure security, data 

analytics, screening and detection, and first responder technologies. 

CAP bridges the gap between federally funded research and the marketplace, addressing the 

“Valley of Death” problem, and selects technologies from various federal laboratories, including 

Department of Energy’s (DOE) national laboratories, Department of Defense’s (DoD) affiliated 

laboratories, FFRDCs, and University Affiliated Research Centers (UARCs). This enables CAP 
71

to leverage prior R&D funding that these technologies have received from various federal 

agencies and ensure that the products of this R&D are commercialized and reach the users who 

need them, rather than “sit on the shelf.”

CAP technologies go through a structured technology transfer process designed to increase their 

technology maturities and market readiness. In addition to providing funding specifically 

intended to support technology maturation and market readiness activities, CAP offers 

commercialization and entrepreneurship training and resources to researchers; access to a large 

network of investors, private sector companies, and government operators; and opportunities to 

collaborate with these potential partners and users to pilot the technologies. The program also 

includes technical assessments and evaluation of the technologies and market validation and 

targeting. Through outreach efforts, the CAP program will introduce these technologies to 

investors, developers, and integrators who can license the technologies and turn them into 

commercially viable products.

T2C works across the revitalized S&T matrixed organizational structure and uses its tools and 

mechanisms to promote the delivery of technology solutions supported through DHS S&T

funding. This model allows S&T to leverage its science, engineering, and business engagement

capabilities more rapidly to innovate and field solutions.
72

DHS Invention Disclosures and Patenting

In FY 2019, DHS reported 14 new inventions disclosures. From FY 2015 to FY 2019, DHS 

reported a 217% increase in patent applications filed with 12 in FY 2015 38 in FY 2019. Patents 

issued increased by 60%, with 5 in FY 2015 and 8 in FY 2019.

DHS Invention Disclosures and Patenting

FY 2015 FY 2016 FY 2017 FY 2018 FY 2019

New Invention Disclosures 12 15 20 22 14

Patent Applications Filed 12 15 0 17 38

Patents Issued 5 3 2 8 8
73

Patents issued to DHS in FY 2019 covered multiple technology areas including Measurement 

(25%), Control (14%), Biotechnology (17%), Pharmaceuticals (17%), Audio-visual Technology 

(12%), and Analysis of Biological Materials (5%).36

USPTO Patents Assigned to DHS by Technology Area: FY 2019

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

permission.
74

DHS Licenses

In FY 2019, DHS managed 5 active license agreements. Out of the 5 active agreements, two was 

income bearing.

DHS Licenses

FY 2015 FY 2016 FY 2017 FY 2018 FY 2019

Licenses, Total Active 4 5 5 5 5

New Licenses 3 1 0 0 0

Invention Licenses, Total Active 4 5 5 5 5

New Invention Licenses 3 1 0 0 0

Income Bearing Licenses, Total Active 4 1 1 1 1

Income Bearing Exclusive Licenses 0 0 0 0 0
75

DHS Income from Licensing

From FY 2015 to FY 2019, DHS reported a 660% increase in Total Earned Royalty Income from 

$5 thousand in FY 2015 to $38 thousand in FY 2019.

DHS Income from Licensing ($000s)

FY 2015 FY 2016 FY 2017 FY 2018 FY 2019

Total Income, All Active Licenses $ 5 $12 $20 $36 $38

Invention Licenses $ 0 $12 $20 $36 $38

Total Earned Royalty Income, (ERI) $ 5 $12 $20 $36 $38
76

DHS Collaborative R&D Relationships37

Total active CRADAs decreased by 8%, from 230 in FY 2015 to 212 in FY 2019. New 

CRADAs decreased by 39%, from 98 in FY 2015 to 60 in FY 2019. Traditional CRADAs 

increased by 6%, from 200 in FY 2015 to 212 in FY 2019.

DHS Collaborative R&D Relationships

37 DHS was unable to report values for other collaborative R&D relationships for FY 2018 and FY 2019.

FY 2015 FY 2016 FY 2017 FY 2018 FY 2019

CRADAs, Total Active 230 343 412 164 212

New CRADAs 9 8 114 107 104 6 0

Traditional CRADAs, Total Active 200 272 326 164 212

Other Collaborative R&D Relationships 3 0 7 1 7 1 n.a. n.a.
77

DHS Downstream Success Stories

S&T-Funded SABER Helps Communities Get Back to Business During and After Disasters

In recent years, severe storm surges, flooding, mass power outages, and other natural or manmade emergencies and disasters have affected businesses in myriad ways. When these disasters 

strike, the Homeland Security Enterprise relies on real-time data to effectively help businesses― 

and in turn, private citizens―recover and get back on their feet. This data is provided by a tool 

called the Single Automated Business Exchange for Reporting, better known as SABER. 

Originally created by the private sector, SABER is now a free open-source reporting software, 

publicly available thanks to funding from DHS S&T. 

SABER is an ArcGIS application developed by DHS. During the 2019 

hurricane season, in the aftermath of Hurricane Barry in Louisiana, the Federal Emergency 

Management Agency (FEMA) used business status information data from SABER to prioritize 

their responses and recovery efforts and determine which organizations needed federal aid. 

SABER is a crucial tool for helping organizations maintain or resume their operations both 

during and after a disaster. Users upload their business status information via the web or mobile 

application with the knowledge that federal aid organizations such as FEMA are monitoring 

SABER and have the resources to immediately respond to and provide aid for any type of crises 

that they may be experiencing.

Because all this information is so vital, DHS S&T felt that it should be expanded to include more 

status and needs data from private businesses. SABER is continuing to grow and improve by 

Source: U.S. DHS.
78

refining its critical information sharing services and expanding its reach into both the private and 

public sectors of business and government.

SABER currently has 130,000 organizations in more than 30 states across the U.S. that utilize its 

services to report their business status during emergencies. By the end of 2020, both DHS and 

SABER hope to have 300,000 organizations across the U.S. utilizing SABER to share their 

business status and provide effective and targeted aid to each other during emergencies and 

disasters.
79

Department of the Interior (DOI)

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

and technical information and knowledge between the DOI, other federal agencies and nonfederal 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 2019 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. 

The Department’s bureaus have varying levels of involvement with scientific and technical 

research, innovation and technology transfer. In FY 2019, as in previous years, the majority of 

technology transfer activities reported by the Department under the Federal Technology Transfer 

Act of 1986 (FTTA) were undertaken by the U.S. Geological Survey (USGS), which is the 

largest R&D organization in the Department in terms of both budget and personnel. Typically, 

USGS accounts for more than 60% of the Department’s R&D budget.

The 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 the DOI’s technology 

transfer activities use traditional technology transfer mechanisms, such as publications of peerreviewed papers and reports, webpage postings, fact sheets, and presentations at meetings and 

conferences. In 2019, DOI personnel authored or co-authored more than 9,800 reports, books, 

fact sheets, and other publications, including more than 3,200 articles in scientific journals and 

4,800 abstracts and data releases.

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, 7 DOI bureaus are active participants in the network of 17 Cooperative Ecosystem 

Studies Units (CESUs), a collaboration among 15 federal agencies and more than 400 nonfederal partners (including universities, Tribes and Tribal organizations, state agencies, 

museums, aquariums, arboretums, and conservation organizations). Each CESU is hosted by a 

university.

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 the 
80

Bureau of Reclamation’s Water Prize Competition Center (WPCC). From FYs 2017–2018, DOI 

bureaus completed, had underway, or launched 15 prize competitions, which included 14 from 

the WPCC, and 1 jointly offered by the National Invasive Species Council, DOI’s Office of 

Hawaiian Affairs, and other DOI bureaus. The Bureau of Reclamation alone plans to launch 17 

more competitions over the next few years. 

Bureaus that are active in research and development or have research capabilities that 

complement U.S. commercial interests may also utilize technology transfer agreements 

authorized by the FTTA to join forces with non-federal partners. Such agreements allow the 

DOI’s bureaus and private-sector industries to pool their expertise and resources to jointly create 

and advance technologies that could help fulfill agency missions, while helping U.S. industries 

innovate and commercialize technologies. This can strengthen the national 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 2019 Accomplishments

During FY 2019, the DOI’s scientific, technical, and engineering personnel continued to engage 

in a broad range of cooperative activities to develop and disseminate innovative technologies, 

including—

• Publishing more than 9,800 reports, books, fact sheets, and other publications, including 

more than 3,200 articles in scientific journals and 4,800 abstracts and data releases.

• Collaborating on 470 CRADAs, of which 352 were initiated in FY 2019. In addition, the 

department engaged in at least 269 other collaborative R&D relationships.

• Engaging in 425 nontraditional CRADAs, such as material use and facility use 

agreements, under the FTTA.

• Disclosing eight new inventions, three new patent applications were filed, and one new 

patent was awarded. 

• Managing eighteen active patent licenses for inventions and other intellectual property, 

earning about $42,000 collectively.
81

DOI Invention Disclosures and Patenting

From FY 2015 to FY 2019, new inventions disclosed increased by 14%, from 7 in FY 2015 to 8

in FY 2019. Patent applications filed decreased by 63%, from 8 in FY 2015 to 3 in FY 2019. 

Patents issued decreased by 67%, from 3 in FY 2015 to 1 in FY 2019.

DOI Invention Disclosures and Patenting

FY 2015 FY 2016 FY 2017 FY 2018 FY 2019

New Invention Disclosures 7 8 12 9 8

Patent Applications Filed 8 4 5 7 3

Patents Issued 3 1 3 6 1
82

The patents issued to DOI in FY 2019 covered multiple technology areas including the 

following: Measurement (67%), Biotechnology (11%), Materials, Metallurgy (11%), and Microstructural and Nanon-technology (11%).38

USPTO Patents Assigned to DOI by Technology Area: FY 2019

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

permission.
83

DOI Licenses39

From FY 2015 to FY 2019, total active licenses decreased by 10%, from 20 in FY 2015 to 18

licenses in FY 2019. New invention licenses decreased by 33%, from 3 in FY 2015 to 2 in FY 

2019. DOI reported 2 total active invention licenses and 2 new invention licenses in FY 2019. 

Total active income bearing licenses decreased by 11%, from 18 in FY 2015 to 16 in FY 2019.

DOI Licenses

39 DHS was unable to provide information on Invention Licenses, Total Active; New Invention Licenses; and 

Income Bearing Exclusive Licenses for FY 2018.

FY 2015 FY 2016 FY 2017 FY 2018 FY 2019

Licenses, Total Active 2 0 2 2 1 5 1 7 1 8

New Licenses 3 0 0 2 2

Invention Licenses, Total Active 1 8 2 0 1 3 n.a. 1 6

New Invention Licenses 3 0 0 n.a. 2

Income Bearing Licenses, Total Active 1 8 1 7 1 3 1 3 1 6

Income Bearing Exclusive Licenses 7 8 7 n.a. 7
84

DOI Income from Licensing

Between FY 2015 and FY 2019, total income from all active licenses decreased by 60%, from 

$106 thousand in FY 2015 to $42 thousand in FY 2019. The income from invention licenses 

increased by the same amount, as all income received came from invention licenses. Total earned 

royalty income also decreased by 60%, from $106 in FY 2015 to $42 thousand in FY 2019.

DOI Income from Licensing ($000s)

FY 2015 FY 2016 FY 2017 FY 2018 FY 2019

Total Income, All Active Licenses $106 $83 $50 $51 $42

Invention Licenses $106 $83 $50 $51 $42

Total Earned Royalty Income, (ERI) $106 $83 $50 $51 $42
85

DOI Collaborative R&D Relationships

From FY 2015 to FY 2019, total active CRADAs decreased by 43%, from 826 in FY 2015 to 

470 agreements in FY 2019. The number of new CRADAs decreased by 40%, from 586 in FY 

2015 to 352 in FY 2019. Traditional CRADAs increased by 13%, from 38 in FY 2015 to 43

agreements in FY 2019. Other collaborative R&D relationships decreased by 15%, from 318 in 

FY 2015 to 269 in FY 2019.

DOI Collaborative R&D Relationships

FY 2015 FY 2016 FY 2017 FY 2018 FY 2019

CRADAs, Total Active 826 873 841 740 470

New CRADAs 586 511 477 422 352

Traditional CRADAs, Total Active 3 8 3 7 5 8 5 3 4 3

Other Collaborative R&D Relationships 318 319 247 249 269
86

DOI Downstream Success Stories

United States Geological Survey: Sea Lamprey Control Program

Sea lamprey, a parasitic fish species that is nonnative to the Great Lakes, preys on a wide variety 

of large Great Lakes fish, such as lake trout, brown trout, lake sturgeon, lake whitefish, Chinook 

and coho salmon, and steelhead (rainbow) trout.40 The USGS Upper Midwest Environmental 

Sciences Center (UMESC) in La Crosse, Wisconsin, established a CRADA with the Coating 

Place, Inc. (CPI) in Verona, Wisconsin, and the Great Lakes Fisheries Commission (GLFC). 

UMESC has a long-standing established program to provide technical assistance, lampricide 

formulation development, and regulatory support to the GLFC Sea Lamprey Control Program. 

The GLFC provides financial and directional support for the UMESC program as part of its 

responsibility to administer the binational Sea Lamprey Control Program. CPI is an established 

producer of multiple lampricide formulation used in the Sea Lamprey Control Program and has 

expertise in formulation and coating development. 

Under the CRADA, UMESC staff are working with CPI to develop a water-based formulation of 

liquid Bayluscide as a replacement to the current Bayluscide 20% Emulsifiable Concentrate 

lampricide. Numerous issues have been noted by the control agents when applying the current 

formulation, including clogging of spreader tubing, erosion of pump seals, and problematic 

cleaning of application equipment. These problems prompted research for a replacement 

formulation. Preliminary analysis of the water-based formulation of Bayluscide (Bayluscide LF), 

developed by CPI, showed promise in eliminating application and cleanup issues. UMESC 

worked with the U.S. Environmental Protection Agency and Michigan’s Department of 

Environment, Great Lakes, and Energy to obtain an Experimental Use Permit (EUP) waiver for 

an experimental field application. An experimental field application of the water-based 

formulation was conducted on the Indian River on September 24, 2019. Approximately 55 L of 

the experimental Bayluscide formulation was successfully applied; however, settling of the 

Bayluscide formulation in the containers was observed. UMESC met with CPI to discuss 

formulation modifications that could resolve product settling issues, and a path forward for the 

formulation was initiated in 2020.

In a similar effort, UMESC staff are working with CPI to develop an improved surfactant-based 

trifluoromethyl nitrophenol (TFM) lampricide bar formulation as a replacement to the current bar 

formulation to treat small feeder streams. Lampricide bars are placed in feeder streams to prevent 

sea lamprey from seeking refuge in untreated waters as the main treatment block passes. The 

current bar formulation dissolves too quickly and can require reapplication to prevent sea 

lamprey larvae escape. UMESC prepared and provided TFM Crystalized Extract for CPI to use 

in experimental bar formulations, and during FY 2019, UMESC conducted 27 dissolution trials 

with nine (9) experimental TFM bar prototypes. Experimental TFM bar formulations show 

promise for improved performance characteristics. Additional formulation development work in

2020 included evaluating increased active ingredient concentrations and carrier surfactant 

modifications and/or substitutions.

40 While Sea Lamprey are not native to the great lakes, only two of the preyed upon species listed are native—Lake 

Sturgeon and Lake Trout. The non-native fish in this list were intentionally introduced to prey on another non-native 

species, Alewife. They also provide recreational fishing opportunities and are generally considered beneficial by the 

Great Lakes fisheries management community.
87

USGS: Characteristics of Dust and Risk Factors Associated with the Development of

Rapidly Progressive Pneumoconiosis and Progressive Massive Fibrosis

Since the mid‐1990s, research studies and surveillance reports have documented a significant 

increase in coal workers’ pneumoconiosis (CWP)—including the most severe forms of 

progressive massive fibrosis (PMF) and rapidly progressive pneumoconiosis (RPP)—in U.S. 

coal miners, with many cases occurring in younger miners. The Appalachian coalfields appear to 

be particularly affected. There are several possible explanations for these observations, including 

excessive exposure to respirable dust and increased exposure to particulate dust constituents 

(e.g., freshly fractured silica and silicates or smaller particles) that may be the result of changing 

mining practices. To date, however, the causal links between specific exposure characteristics 

and the increase in cases of RPP and PMF have not been elucidated; therefore, current 

protections for active mine workers may not be adequate. As part of its mission, USGS studies 

how geologic materials influence human health. Under this CRADA, USGS will collaborate with 

the University of Illinois at Chicago (UIC) to explore the link between the inhalation of 

respirable airborne geologic particulate matter released during coal mining processes and the 

documented significant increase in coal workers’ pneumoconiosis (CWP) and progressive 

massive fibrosis (PMF). The UIC seeks USGS expertise in providing field emission scanning 

electron microscopy analyses of particulate matter in situ of lung tissue samples and from 

bleach-digested lung tissue. It also requires USGS knowledge and expertise to develop a method 

for bulk chemical analysis of the bleach digestion solution to determine possible bleach-soluble 

phases within the lung tissue.

This CRADA benefits both USGS and collaborators by providing funding that will support the 

USGS scientists for scientifically and societally important research, enhance transdisciplinary 

research collaborations with the public health community, and lead to the development of new 

methods for the study of mineral matter in tissue that can then, in turn, be applied to future 

projects.

In addition, the anticipated outcomes of the collaboration could benefit the American people by 

providing guidance to mitigate risk factors to coal miners exposed to particulate matter.

To date, USGS has digested and acquired automated particle size and classification analysis from 

30 samples. Data are currently being reviewed for consistency and accuracy. The work 

conducted by USGS and collaborators was summarized and presented at the American Thoracic 

Society Meetings.

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. 
88

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 2018, NCTC hosted 60 

online science, technology, and educational webinars; 70 e-courses; and 33 podcasts related to 

managing the nation’s fish, wildlife, and plant resources. These are an important component of 

FWS’s traditional technology transfer activities.

FWS: Aquatic Invasive Species

The FWS Aquatic Invasive Species program works to prevent the transfer and introduction of 

exotic, introduced, non-native, and other potentially harmful species and to develop early 

detection and rapid response capabilities. For example, the program worked with numerous 

partners to develop methods for detecting miniscule amounts of free-floating DNA 

(environmental DNA or eDNA) in water samples to confirm the presence (or absence) of species 

at levels undetectable by traditional sampling methods. This innovative technology is now being 

applied widely in monitoring programs and, as it continues to be further developed and refined, 

will significantly benefit both FWS programs and partners by allowing earlier detections of 

invasive species. 

The FAC program is also applying rapid screening tools it has developed to help determine a 

species’ risk for invasion. Knowledge of both low- and high-risk species will help industry, 

states, and consumers make more responsible choices about which species to acquire and use. In 

addition, these tools will help state agencies make decisions on potentially invasive species and 

work with industry to manage risky species in their jurisdictions. For example, Michigan’s 

Public Act 537, established new protections to minimize the risk of invasive species that require, 

among other things, the use of FWS’s risk assessment protocol.

Office of Surface Mining Reclamation and Enforcement (OSMRE): OSMRE Unmanned 

Aircraft Systems (UAS) Program

In FY 2019, OSMRE continued using the UAS to enhance assessment of active and abandoned 

mine sites, especially on large land areas with diverse and complicated topography and over 

areas where dangerous conditions exist, allowing surveillance of an area without endangering 

people on the ground. OSMRE has new multispectral sensors that can be mounted on the aircraft 

to collect data that cannot be obtained through visual inspection. The data can be used, among 

other applications, to evaluate vegetation health before release of bond posted to ensure 

reclamation. As the UAS Program progresses, many States are seeking OSMRE assistance in 

using this technology for data collection and processing on sites that require quick action and 

accurate digital terrain modeling.

OSMRE drone pilots provided technical assistance to our customers to help them develop, 

maintain, and grow their UAS programs. OSMRE’s technical assistance includes technical 

transfer roadshows, office visits, presentations at various conferences, and field visits, with 

hands-on demonstration flights over reclaimed and abandoned coal mine sites to showcase UAS 

applications OSMRE also conducts frequent phone calls (including bimonthly UAS tech chats), 

emails, and UAS workshops and shares various technical and policy documents with its 

customers.
89

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 

of the sondes so that instrument/sensor drift—rather than water quality conditions—drives 

recalibration frequency requirements.

In FY 2019, 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): Patch Antennas – New Technology to Map Corona 

and Detect Other Partial Electrical Discharges in High Voltage Environments

Reclamation’s Technical Service Center, Hydropower Diagnostics and Supervisory Control and 

Data Acquisition (SCADA) Group developed a detection device that uses patch antennas to 

measure partial electrical discharge within small spaces. Potential use cases would include 

mapping partial discharge activity throughout a hydropower generator from within the air gap 

without removing the rotor. Reclamation has filed a provisional patent for this technology and is 

currently seeking research partners to develop a potential commercial device. 

Current methods to measure partial discharge in a rotating machine’s stator winding involve 

removing the rotor, exciting the stator to operating voltages, and physically probing the stator 

winding with an iron core antenna, as illustrated in the following photograph. This typically 

involves using many personnel hours to remove the rotor, which increases the potential for 

maintenance-induced failures due to the mechanical complexity of rotor removal, exposes 

personnel to high-voltage safety risks, and results in lost revenue.

Despite the high risks inherent to current testing methods, the data obtained from the test 

procedure are extremely valuable. With this new device, a schematic of which is shown below, 

the downsides of the patch antenna could be significantly mitigated. This new device may allow 

diagnostic tests to be performed routinely, and data could be used to anticipate and forestall 

future machine failures and reduce unplanned machine failures and associated outages. Such 

savings in operational and maintenance costs would directly benefit Reclamation by continuing 

to advance toward a more economically competitive posture within power generation.
90

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: 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. 

This report summarizes the implementation of technology transfer authorities established by the 

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

U.S. DOT continues to increase coordination and collaboration efforts among its OAs and 

Federal laboratories, as evidenced through the collection and submission of this T2 Annual 

Summary Report to U.S. DOT’s budget examiner in the Office of Management and Budget. This 

report is also provided to the Department of Commerce’s (DOC’s) National Institute of 

Standards and Technology in support of the Commerce Secretary’s Annual Summary Report to 

the President, the Congress, and to the U.S. Trade Representative on the status of technology 

transfer by Federal laboratories.

The 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. The 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): William J. Hughes Technical Center (WJHTC),

Atlantic City, NJ, and Civil Aerospace Medical Institute, Oklahoma City, OK;

• 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; and

• Federal Railroad Administration (FRA): Transportation Technology Center, Pueblo, CO.

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
91

DOT Invention Disclosures and Patenting

In FY 2019, DOT reported 2 invention disclosures and 2 patent applications. No new patents 

were awarded.

DOT Invention Disclosures and Patenting

FY 2015 FY 2016 FY 2017 FY 2018 FY 2019

New Invention Disclosures 0 0 3 12 2

Patent Applications Filed 5 0 7 0 2

Patents Issued 1 1 0 0 0
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DOT Licenses

Between FY 2015 and FY 2019, active licenses increased by 150%, from 2 in FY 2015 to 5 in 

FY 2019. DOT reported one invention license in FY 2019. Income bearing licenses increased by 

200%, from 2 in FY 2015 to 6 in FY 2019.

DOT Licenses

FY 2015 FY 2016 FY 2017 FY 2018 FY 2019

Licenses, Total Active 2 2 5 5 5

New Licenses 0 2 1 1 0

Invention Licenses, Total Active 0 2 0 0 1

New Invention Licenses 0 0 0 0 0

Income Bearing Licenses, Total Active 2 2 2 5 6

Income Bearing Exclusive Licenses 0 0 0 0 0
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The patents issued to DOT in FY 2019 covered multiple technology areas including: IT Methods 

for Management (50%), Control (25%), and Medical Technology (25%).41

USPTO Patents Assigned to DOT by Technology Area: FY 2019

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

permission.
94

DOT Income from Licensing

Between FY 2015 and FY 2019, total income from all active licenses decreased by 32%. In FY 

2019, DOT reported zero income from invention licenses. Total Earned Royalty Income was 

reported to be $8 thousand, a 32% decrease from FY 2015.

DOT Income from Licensing ($000s)

FY 2015 FY 2016 FY 2017 FY 2018 FY 2019

Total Income, All Active Licenses $12 $15 $20 $13 $ 8

Invention Licenses $ 0 $ 0 $ 0 $ 0 $ 0

Total Earned Royalty Income, (ERI) $12 $15 $20 $13 $ 8
95

DOT Collaborative R&D Relationships

Between FY 2015 and FY 2019, total active CRADAs decreased by 8%, from 48 in FY 2015 to 

44 agreements in FY 2019. New CRADAs agreements increased by 11%, from 9 in FY 2015 to 

10 in FY 2019. Traditional CRADAs decreased by 10%, from 48 in FY 2015 to 43 in FY 2019. 

Other collaborative R&D relationships increased by 257%, from 35 in FY 2015 to 125 in FY 

2019.

DOT Collaborative R&D Relationships

FY 2015 FY 2016 FY 2017 FY 2018 FY 2019

CRADAs, Total Active 4 8 6 8 6 5 6 3 4 4

New CRADAs 9 2 2 6 7 1 0

Traditional CRADAs, Total Active 4 8 6 2 6 6 6 3 4 3

Other Collaborative R&D Relationships 3 5 152 355 121 125
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DOT Efforts to Streamline Technology Transfer Operations

The importance of 

technology transfer

(T2) within U.S. 

DOT is reflected in 

its strategic plan for 

FY 2018 to FY 

2022, which was 

released in February 

2018. Citing 

innovation as one of 

the four main 

strategic goals in the 

plan, 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 T2 is identified as one of the strategies 

to be used to accomplish that objective. The relationship of T2 to the department’s R&D process 

and to stakeholder engagement is shown in the figure.

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): Unmanned Aircraft Systems Enhance 

Safety and Efficiency of Highway Agencies

An unmanned aircraft system (UAS) equipped with cameras can be an effective tool that reduces 

safety risks to inspectors working in hard-to-reach areas and lessens the burden on motorists by 

eliminating lane closures. It provides a high level of detail that can only be replicated using 

under-bridge inspection vehicles, while saving an average of 40 percent compared to traditional 

methods. A UAS is also useful in emergency response operations after roadway disturbances 

such as rockslides, avalanches, and floods and damage assessments following earthquakes, fires, 

and bridge hits. This relatively low-cost method enables agencies to obtain high-quality data 

quickly, leading to better-informed decisions.

UAS will benefit nearly all aspects of highway transportation by collecting high-quality data 

safely and efficiently at reduced costs. FHWA’s EDC-5 team is promoting UAS technology, 

coupled with high-definition cameras and sensors, to improve data gathering for structural and 

construction inspections and to assist with emergency response.

The EDC-5 team is focused on five UAS applications for structural inspections: bridges, highmast lighting, confined spaces, retaining walls, and tunnels. Structural inspection enhanced by 

Source: U.S. DOT.
97

UAS improves safety for the inspection team and the traveling public by reducing the need for 

temporary work zones. UAS can aid construction inspection tasks such as surveying, project 

scoping, and monitoring traffic in work zones. UAS allows for an overhead view of a project’s 

progress and the development of three-dimensional (3D) models to document construction 

processes and assist in earthwork quantity measurement.

As of 2021, 46 States have set goals to demonstrate, assess, or standardize the use of UAS in 

transportation applications. Minnesota DOT implemented UAS to support its bridge inspection 

program, particularly for bridges with difficult-to-access elements. Utah DOT (UDOT) uses 

UAS technology for rapid, high-quality data gathering. On its State Route 20 construction 

project, UDOT was the first agency to use a 3D-engineered model as the contract document. 

Combining UAS with 3D modeling and “e-Construction” tools (for inspection documentation) 

resulted in overall project savings of about $83,000, increased workforce productivity by 45 

percent, and enabled UDOT to complete the project 25 days ahead of schedule.

Federal Aviation Administration (FAA): William J. Hughes Technical Center’s 

Airframe Structural Beam Test (ABST)

Established in 2018 in collaboration with Boeing, the Airframe Beam Structural Test (ABST) 

fixture is one of the FAA’s core capabilities for structural testing of aircraft wings and 

components under realistic flight conditions. Engineers use the data from ABST testing to 

address safety concerns and structural integrity issues.

The ABST is a national resource for research and development activities used by researchers to 

evaluate the design, certification, and continued airworthiness of airframe structures in current 

and future generation aircraft. The ABST fixture effectively leverages resources through 

partnerships with other government agencies, industry, and academia. It provides critical data to 

engineers in order to calibrate, verify, and validate methodologies used for fatigue and damage 

testing of aircraft structural components.

Federal Transit Administration (FTA): Mobility on Demand is a Vision for the Future

Mobility on Demand (MOD) envisions a transportation system that is multimodal, integrated, 

automated, accessible, and connected. Emerging solutions such as bike and car sharing and ondemand bus services are providing travelers with flexible and personalized transportation 

options. MOD uses on-demand information, real-time data, and predictive analysis to provide 

travelers with choices that best serve their transportation needs and circumstances.

In April 2019, the Intelligent Transportation Society of America, a key FTA research partner on 

mobility innovation, officially launched its Mobility on Demand Alliance to help determine what 

the future of mobility should look like, with participation from both the public and private 

sectors.

FTA’s MOD Sandbox Demonstration Program provides a venue through which integrated 

concepts and solutions–supported through local partnerships–are demonstrated in real-world 

settings. Two of MOD Sandbox grantees—TriMet and the Vermont Agency of Transportation—

launched OpenTripPlanner apps that incorporate fixed and flexible-route/MOD modes. These 

options draw on international best practices and create shared mobility marketplaces within their 

apps in which bike/scooter-sharing and ride-sourcing are operated by the same company.
98

While the shared mobility market has grown and local governments are taking a proactive 

regulatory role, expedited knowledge and information sharing are imperative as cities and transit 

agencies work to understand the evolving mobility marketplace. For example, the annual Shared 

Mobility Summit in March 2019 convened its largest gathering to date, with over 700 attendees 

representing shared mobility private operators; transit agencies; and Federal, State, and local 

governments. The MOD Learning Center website has had nearly 1,000 visitors since its launch 

in March 2019 at the Shared Mobility Summit. The high number of visitors to the MOD 

Learning Center website helps underscore the need for timely and accurate information on 

shared mobility so that jurisdictions and agencies can effectively plan for a shared mobility 

future.

Federal Railroad Administration (FRA): Railroaders’ Guide to Healthy Sleep Website 

Project

The railroad industry involves safety-critical work and around-the-clock operations, placing 

demands on employees to perform during times that interrupt normal sleep-wake cycles. 

Railroaders who work unpredictable schedules have difficulty getting enough sleep, and when 

compared to the general population, are at increased risk for fatigue and sleep-related disorders. 

For train and engine employees in particular, the sedentary nature of their work is an additional 

known risk factor for sleep apnea.

The Federal Railroad Administration (FRA) launched the Railroaders’ Guide to Healthy Sleep 

website in 2012 as a non-regulatory, educational resource for safety-critical rail employees. The 

website was created by the U.S. DOT Volpe Center in collaboration with experts in sleep science 

and health from the Harvard Medical School Division of Sleep Medicine—with railroad 

employees and their support networks in mind. The project team fully redesigned the website in 

2015 in partnership with the railroad industry and used best practices from educational 

technology and web design.

The website features articles, videos, illustrations, and interactive options aimed at increasing 

awareness of the importance of sleep for personal health and safe performance on the job. 

Tailored, proven behavioral strategies are provided to help individuals improve sleep habits, 

increase alertness while awake, and achieve a healthy work/life balance. Additional resources are 

available to help railroaders assess sleep habits and health and to download alertness scales, a 

sleep-wake diary, and a zip-code feature to locate nearby accredited sleep disorder specialists.

The project team employed real-time demonstrations, in-person promotion, and digital 

communications to targeted (self-selected) subscribers, and collected website use statistics. The 

main focus of the website is to promote good sleep habits for railroad employees, which can 

improve safety and health both on and off the job.
99

Department of Veteran Affairs (VA)

The 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), whose mission 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, whose mission is to provide benefits and services to 

the veterans and their families in a responsive, timely and compassionate manner in 

recognition of their service to the nation; and

• National Cemetery Administration, whose mission 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. 
100

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 and interact 

with a number of world-renowned research centers nationwide. 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.
101

VA Invention Disclosures and Patenting

Between FY 2015 and FY 2019, new inventions disclosed increased by 231%, from 219 in FY 

2015 to 724 disclosures in FY 2019. Patent applications filed increased by 136%, from 116 in 

FY 2015 to 274 in FY 2019. Patents issued increased by 52%, from 54 in FY 2015 to 82 patents

in FY 2019.

VA Invention Disclosures and Patenting

FY 2015 FY 2016 FY 2017 FY 2018 FY 2019

New Invention Disclosures 219 241 589 496 724

Patent Applications Filed 116 104 163 255 274

Patents Issued 54 54 50 72 82
102

Patents issued to VA in FY 2019 covered many technology areas including Medical Technology 

(30%), Pharmaceuticals (28%), Biotechnology (13%), Organic Fine Chemistry (7%), and 

Computer Technology (5%).42

USPTO Patents Assigned to VA by Technology Area: FY 2019

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

permission.
103

VA Licenses43

Between FY 2015 and FY 2019, income bearing licenses increased by 1656%, from 16 in FY 

2015 to 281 in FY 2019. Exclusive income bearing licenses increased by 2127%, from 11 in FY 

2015 to 245 in FY 2019.

VA Licenses

43 VA was unable to report total active licenses, new licenses, total active invention licenses, and new invention 

licenses for FY 2018 and FY 2019.

FY 2015 FY 2016 FY 2017 FY 2018 FY 2019

Licenses, Total Active 200 261 262 n.a. n.a.

New Licenses 3 1 1 n.a. n.a.

Invention Licenses, Total Active 200 260 261 n.a. n.a.

New Invention Licenses 3 1 0 n.a. n.a.

Income Bearing Licenses, Total Active 1 6 4 2 4 2 210 281

Income Bearing Exclusive Licenses 1 1 3 5 3 6 205 245
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VA Income from Licensing

Between FY 2015 and FY 2019, VA reported that total income from all active licenses increased 

by 136%, from $494 thousand in FY 2015 to $1.2 million in FY 2019. Income from invention 

licenses and earned royalty income were the same as income from all active licenses.

VA Income from Licensing ($000s)

FY 2015 FY 2016 FY 2017 FY 2018 FY 2019

Total Income, All Active Licenses $494 $316 $491 $690 $1,166

Invention Licenses $494 $316 $491 $690 $1,166

Total Earned Royalty Income, (ERI) $494 $316 $491 $690 $1,166
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VA Collaborative R&D Relationships

Between FY 2015 and FY 2019, total active CRADAs decreased by 27%, from 2,305 in FY 

2015 to 1,686 agreements in FY 2019. New CRADAs increased by 5%, from 509 in FY 2015 to 

536 new agreements in FY 2019. Traditional CRADAs decreased by 28%, from 2,113 in FY 

2015 to 1,526 in FY 2019. No other collaborative R&D relationships were reported.

VA Collaborative R&D Relationships

FY 2015 FY 2016 FY 2017 FY 2018 FY 2019

CRADAs, Total Active 2,305 2,613 1,785 1,688 1,686

New CRADAs 509 502 575 512 536

Traditional CRADAs, Total Active 2,113 2,359 1,619 1,518 1,526

Other Collaborative R&D Relationships 0 0 0 0 0
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VA Efforts to Streamline Technology Transfer Operations

The TTP conducted an assessment to determine improvements to existing infrastructure. As a

result, TTP entered into a partnership with the DOC’s National Technical Information Service 

(NTIS) to make technology improvements for efficiency in operations. Through this 

collaboration, the need was identified to develop an online invention disclosure portal that could 

intake different types of invention disclosures. In the past, TTP decided to accept the academic 

affiliate invention disclosure in lieu of the VA form to increase the disclosure rate. Each 

academic affiliate has their own unique disclosure form, thus requiring a custom intake portal 

that can read the forms. The new intake portal will further streamline operations, eliminate

errors, and enable the use of artificial intelligence (AI) for ownership analysis, as well as a

commercialization potential analysis. Progress continues in the development of this tool and it is

being alpha and beta tested at select VA sites.

The assessment also identified a need for improvements to the existing IP database utilized by 

TTP. This database serves as a knowledge management system that is aligned with TTP’s 

workflow to manage VA’s IP portfolio. TTP entered into a partnership to have its database 

housed in the commercial cloud as a Software as a Service (SaaS) to enable further collaboration 

between VA and non-VA partners. This tool will be FedRAMP certified and expected to become 

operational by the end of FY 2020.

As noted, the TTP operation is centralized in Washington, D.C. TTP is piloting a decentralized 

initiative to promote compliance, services to the field, and to increase commercial interest by 

placing local tech transfer specialists at select field locations. Two sites were selected as pilot 

locations in FY 2019: Ann Arbor, MI and Atlanta, GA. In addition to performing technology 

transfer activities, the new field representatives will also support the local research office 

operations.

VA Downstream Success Stories

Update

In 2002, TransMedics, Inc. became one of the first firms to exclusively license a VA technology. 

Today, TransMedics is a publicly-traded medical device company headquartered in Andover, 

Massachusetts, that was founded to address the growing need for healthier organs for 

transplantation. The company is dedicated to transforming the standard of care for organ 

transplantation by increasing organ utilization, improving patient outcomes, and reducing 

transplant costs. In May 2019, the company completed an initial public stock offering that 

resulted in $91.4 million common stock net proceeds. TransMedics developed from VA 

associated patents the Organ Care System (OCSTM) as a revolutionary technology for 

preserving organs used in the treatment of end-stage heart, lung, and liver failure. The first-inclass technology platform has the potential to improve outcomes for transplant patients and to 

dramatically increase the number of transplantable organs worldwide.

Novel Therapeutics

Kerafast and the VA entered into a non-exclusive license for a portfolio of peptides and 

antibodies useful for research and therapeutic development related to urinary tract infection and 
107

cancers of the bladder. The peptides and antibodies were developed by Dr. Susan Keavy over a 

lengthy research career at the VA in collaboration with the University of Maryland.
108

Environmental Protection Agency (EPA)

The EPA’s FTTA program was established to promote collaboration between private sector and 

federal researchers. The EPA offers exceptional opportunities to develop and commercialize new 

technologies. Through the authority given to EPA by the FTTA, EPA facilitates the transfer of 

new technologies to the marketplace while protecting the intellectual property rights of all 

parties.

Partners in the FTTA program have the benefit of collaborating with world-class EPA scientists 

involved in leading-edge research. Collaboration enhances the quality of research projects and 

helps move environmental technologies to the marketplace, resulting in better protection of 

human health and the environment.

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 2015 and FY 2019, new inventions decreased by 14%, from 7 disclosures in FY 

2015 to 6 in FY 2019. Patent applications filed increased by 50%, from 4 in FY 2015 to 6 in FY 

2019. Patents issued decreased by 57%, from 7 in FY 2015 to 3 in FY 2019.

EPA Invention Disclosures and Patenting

FY 2015 FY 2016 FY 2017 FY 2018 FY 2019

New Invention Disclosures 7 6 13 7 6

Patent Applications Filed 4 1 4 6 6

Patents Issued 7 3 3 4 3
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Patents issued to EPA in FY 2019 covered many technology areas including Chemical 

Engineering (17%), Civil Engineering (17%), Computer Technology (17%), Digital 

Communication (17%), and Materials, Metallurgy (17%).

44

USPTO Patents Assigned to EPA by Technology Area: FY 2019

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

permission.
111

EPA Licenses

Between FY 2015 and FY 2019, total active licenses decreased by 35% from 37 licenses in FY 

2015 to 24 licenses in FY 2019. EPA reported no new licenses in FY 2019. All active licenses 

were invention licenses. Income-bearing licenses decreased by 45%, from 31 in FY 2015 to 17 in 

FY 2019. Exclusive income-bearing licenses decreased by 29%, from 7 in FY 2015 to 5 in FY 

2019.

EPA Licenses

FY 2015 FY 2016 FY 2017 FY 2018 FY 2019

Licenses, Total Active 3 7 3 5 3 8 3 1 2 4

New Licenses 0 8 5 1 3

Invention Licenses, Total Active 3 7 3 5 3 8 3 1 2 4

New Invention Licenses 0 8 5 1 3

Income Bearing Licenses, Total Active 3 1 3 1 3 1 2 4 1 7

Income Bearing Exclusive Licenses 7 7 7 6 5
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EPA Income from Licensing

Between FY 2015 and FY 2019, EPA reported that total income from all active licenses 

increased by 94% from $232 thousand to $449 thousand in FY 2019. All income from licenses 

came from invention licenses. Total earned royalty income increased 94% from $232 thousand in 

FY 2015 to $449 thousand in FY 2019.

EPA Income from Licensing ($000s)

FY 2015 FY 2016 FY 2017 FY 2018 FY 2019

Total Income, All Active Licenses $232 $466 $412 $628 $449

Invention Licenses $232 $466 $412 $628 $449

Total Earned Royalty Income, (ERI) $232 $466 $412 $628 $449
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EPA Collaborative R&D Relationships

Between FY 2015 and FY 2019, total active CRADAs decreased by 44%, to from 97 agreements 

in FY 2015 to 54 in FY 2019.

45 New CRADAs decreased by 52%, from 23 in FY 2015 to 11

new agreements in FY 2019. Traditional CRADAs increased by 8%, from 50 in FY 2015 to 54 

in FY 2019. In FY 2019, 93 other collaborative R&D were reported.

EPA Collaborative R&D Relationships

45 Starting in FY 2020, EPA changed their method of calculating the values for total active CRADAs and reported 

revised values for FY 2016 through FY 2019. Data for the FY 2015 value of total active CRADAs combines 

traditional CRADAs and other collaborative agreements. These values are reported separately for FY 2016 through 

FY 2019.

FY 2015 FY 2016 FY 2017 FY 2018 FY 2019

CRADAs, Total Active 9 7 5 5 5 1 4 9 5 4

New CRADAs 2 3 1 4 8 1 1 1 1

Traditional CRADAs, Total Active 5 0 5 5 5 1 4 9 5 4

Other Collaborative R&D Relationships 0 4 8 8 9 9 1 9 3
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EPA Downstream Success Stories

EPA’s Microbial Source Tracking Technologies Helping Municipalities Identify Failing 

Infrastructure

According to the Environmental Protection Agency's (EPA’s) National Water Quality Inventory 

Report to Congress, fecal bacteria are one of the leading causes of U.S. surface water 

impairment. 

EPA scientists recently sought an innovative approach to monitor fecal pollution through the 

study of fecal bacterial communities at a molecular level. The result was the development of 

novel genetic-based technologies that can measure human and cattle fecal pollution levels in 

surface water samples. These patented Microbial Source Tracking (MST) methods are 

technologies aimed at identifying and, in some instances, quantifying fecal animal sources of 

contamination in environmental waters. 

Due to nationwide fecal pollution concerns there is a growing demand by academic, state, and 

municipal government laboratories to implement EPA MST technologies. To accommodate 

interest from nonprofit entities, EPA developed non-commercial licenses for government 

agencies and universities. 

One of the government licensees on this technology is the Hampton Roads Sanitation District 

(HRSD). HRSD protects water in 18 cities and counties in southeastern Virginia. In its first two 

years using EPA’s technology, HRSD has found great success in applying the technology to 

monitor open water bodies and stormwater discharge. 

HRSD has begun an effort to reduce bacteria contamination in local waterways by proactively 

identifying and repairing ailing and failing sewer infrastructure sources of human fecal 

contamination. HSRD has been using a variety of microbial source tracking tools to accomplish 

this mission, including utilization of EPA’s patented technology.

HRSD is focusing efforts on identifying ailing and failing sewer infrastructure throughout its 

system. Its approach has been to target potential conduits of human fecal contamination using 

human-associated markers. Any stormwater outfalls that are found to be positive for a common 

human MST marker are investigated further by systematically sampling the upstream stormwater 

conveyance system at key access locations. Each time a branch point is encountered in the 

network, samples are collected upstream in each reach. In this way, the human-associated marker 

signal is traced through the stormwater infrastructure. When the extent of the signal has been 

demarcated in the stormwater conveyance system, adjacent sections of the sewer infrastructure 

are assessed for potential failure mechanisms. The initial effort uses one readily-available 

human-associated marker (HF183); however, repairs to the sewer conveyance system are 

confirmed with the more specific markers developed by EPA. 

One case study in HRSD’s jurisdiction involves Wayne Creek. HRSD personnel completed a 

downstream to upstream stormwater pipe network investigation, sampling every tributary 

stormwater outfall intersecting the stormwater network of interest. After delineating the problem 

area, the City of Norfolk identified a leaking sewer pipe in the Wayne Creek sub-watershed. 
115

Sampling conducted one month after the repair confirmed that there was no remaining human 

fecal contamination at the sampling sites. 

Through its use of EPA’s licensed MST technology, in concert with its use of related MST 

technologies, HRSD is able to provide a healthier water system for its constituents.

EPA Collaborates with California on Tire Crumb Rubber Exposure Research

In 2016 a multi-agency research effort under the Federal Research Action Plan on Recycled Tire 

Crumb Used on Playing Fields and Playgrounds was launched by EPA, the Centers for Disease 

Control and Prevention/Agency for Toxic Substances and Disease Registry (CDC/ATSDR), and 

the Consumer Product Safety Commission (CPSC) to address concerns raised by the public 

about soccer players and the safety of recycled tire crumb used in playing fields and 

playgrounds. The research activities represent a collaborative federal effort to increase 

knowledge and available information about synthetic turf fields by developing exposure 

information (what is in the material and how people come in contact with the material). 

Researchers at California Environmental Protection Agency (CalEPA) Office of Environmental 

Health Hazard Assessment (CalEPA OEHHA) are also conducting research aimed at reducing 

data gaps for tire crumb rubber constituents and human exposures. Federal researchers collected 

tire crumb rubber samples from nine tire recycling plants and 40 synthetic turf fields across the 

U.S. and OEHHA collected samples from California. Under a Materials Cooperative Research 

and Development Agreement (MCRADA), the EPA regularly consults OEHHA scientists to 

coordinate efforts. The federal and state researchers are identifying and implementing methods 

and approaches that will, where feasible, produce comparable data. This could effectively 

expand the overall U.S. research sample size and will provide additional insight into potential 

exposure variability. There are also important differences between the federal and OEHHA 

studies that will provide complementary data for improved exposure assessment.

EPA Collaborates on a Study to Determine Social Demands on Aquatic Resources

In June 2018, EPA executed a Cooperative Research and Development Agreement (CRADA) 

with Southern Methodist University, and Clayton Cox to evaluate various social values 

pertaining to surface water of the United States. This CRADA was initiated to support 

development of a cell phone application that could be used by citizen scientists to provide 

information on social values associated with surface water. 

In the United States, information from water quality testing, tracking, and modeling is used to 

report comprehensive information on the condition of water bodies throughout the country. 

However, information regarding social demands associated with these aquatic resources (i.e., 

ecological and social beneficial uses) is not systematically reported or collected. Data on 

fisheries and recreation, as they relate to water quality, have been studied as ecosystem services. 

However, comprehensive national-scale data characterized by public usage and benefit (e.g., 

aesthetics, spiritual, wellness, or cultural) are absent.

The Clean Water Act (33 U.S.C. §§1251-1387) is a benchmark for instream value protection in 

the U.S., which requires water bodies to be classified for the type of beneficial water uses they 

are to support (e.g., fisheries, drinking water, recreation). Some beneficial uses have been studied 
116

using the framework of ecosystem services, while other uses remain less explored. A more 

complete understanding of the diversity of social demands of aquatic ecosystems could better 

inform resource managers on the diversity and scale of social demands provided by aquatic 

ecosystems. This information, in turn, supports the exploration of a broader array of management 

options and a better understanding of how various user groups may be differentially impacted. 

Ideally, this process should result in the discovery of more socially acceptable management 

options that reduce conflict, increase public support for management decisions, and ultimately, 

increase protection of aquatic ecosystems.

This collaborative research effort identified environmental and social factors that have been 

shown to influence social demands on aquatic resources. The partners identified ancillary 

information that should be collected as part of these efforts given its potential to identify drivers 

of response data variability (e.g., age, education, income, juxtaposition to resource). They 

identified six main categories of factors: extent and influence of place-based knowledge; 

proximity to, and frequency of visitation of the resource(s) being considered; basic demographics 

such as age, gender, education, income; home community type; aesthetic appeal of the resource; 

and primary reason for engagement with the resource. The outcomes of this project highlight that 

the collection of data on the social demands of aquatic ecosystems would be valuable factors if 

integrated into existing national data collection efforts and assimilated into policy in much the 

same way as other aquatic ecosystem and biological data. 

For more information regarding this CRADA, please refer to Factors influencing social demands 

of aquatic ecosystems published in Ecology and Society.

Development of Anti-Biofouling Water Tubes to Prevent the Spread of Pathogens 

Water filters attach to plumbing fixtures and have been in use for many years. These filters are 

inserted into the waterline prior to the plumbing fixture and are generally designed to remove 

particulates from the water. Some water filters are designed to remove chlorine or other 

oxidizing agents. Carbon filters have been designed for residential applications and may be used 

to remove chlorine from the water, thereby improving water taste and odor. However, carbon 

filters have a relatively short life and by removing the chlorine or oxidizing agents, the treated 

water can become more susceptible to bacterial contamination. Further, carbon filters are unable 

to remove different forms of bacteria and/or pathogens from the water. Additionally, present 

point-of-use filtration systems are unable to inactivate opportunistic premise plumbing pathogens 

(OPPPs) such as Legionella. Legionella bacteria can multiply in all kinds of water systems. The 

bacterium Legionella pneumophila is responsible for most cases of legionnaires' disease.

Biofilms are the result of an aggregation of microbial cells embedded in extracellular polymeric 

substances and are widely present in engineered water systems including plumbing systems. 

OPPPs, such as Legionella pneumophila, Pseudomonas aeruginosa, and non-tuberculous 

mycobacteria, can infiltrate biofilms in plumbing systems, allowing them to thrive in harsh 

artificial environments. OPPPs are the originating source for two-thirds of all such waterborne 

outbreaks in the United States. However, their prevention in the plumbing system presents 

complex challenges due to their persistence in biofilm, resistance to disinfection, and the 

complex microbial ecology in pipe wall surface area.
117

The EPA is partnering under a Cooperative Research and Development Agreement (CRADA) 

with W.L. Gore & Associates to develop a device that prevents biofilm formation and further 

inactivates waterborne microorganisms in water plumbing systems and medical and dental 

equipment devices using multiple wavelength UV-LEDs. Such an apparatus has the potential for 

wide application, with relevant uses within hospitals, senior care facilities, and other commercial 

applications.

EPA researchers have been working to inactivate OPPPs in plumbing for several years. In 2018 

EPA filed a non-provisional patent on filter assembly for disinfecting pathogens using multiple 

wavelength ultraviolet light emitting diodes. The application relates generally to the technical 

field of water filters, and more specifically, to the technical field of a filter assembly for a water 

fixture for disinfecting pathogens from the water in the water fixture using UV LEDs.
118

National Aeronautics and Space Administration (NASA)

NASA is changing the way it transfers technologies with the entrepreneurs, startups, and 

companies by instilling a “customer-first” mindset across the entire agency. This means ensuring 

all steps of transferring technologies to the public—from discovery to delivery—are easy to 

follow and quick to complete. 

Since being written into law by Congress following the 1958 Space Act that established NASA, 

the technology transfer (T2) program’s main objective is to bring NASA technology down to 

Earth. T2 does this by collecting and patenting new technologies made for space exploration 

missions and encouraging industry to license these innovations. This is done to create a new 

commercial product or enhance an existing product line, stimulating the economy and improving 

lives across the world. 

Now, a new industry is emerging. With the arrival of commercial space companies, NASA 

technologies previously thought to have limited applications could see new life. Commercial 

space companies won’t have to envision and develop a terrestrial application for the

technology—they are ready-made for this unique and challenging environment. 

With this new industry player, NASA is developing the “customer-first” approach even further. 

To better understand what commercial space companies need from NASA, a commercial space 

study was launched in early 2019. Now completed, NASA is using the study’s findings to 

improve technology transferring tools, policies, and procedures to better serve not only 

commercial space, but industry players across the nation.

Program Achievements in 2019

Completion of the Commercial Space Study 

The NASA’s technology transfer program provides technologies developed for space exploration 

to the public, maximizing the benefit to the nation. Previously, these technologies were to be 

developed further by companies for terrestrial applications. With the emergence of the 

commercial space industry, transferring technologies that benefit space applications is now an 

option. To help meet NASA’s mission to grow the commercial space industry, a study was 

performed to better understand what commercial space companies needed and how to engage 

them. 

RTI and Acuity Edge’s study began with a review of existing NASA policies and procedures 

related to IP followed by a series of interviews with internal (NASA) and external (commercial 

space company) stakeholders. The stakeholders provided insight, improvement ideas, and 

recommendations on engaging commercial space industries and any current issues that could 

hinder collaboration. They found the following:

1. Low awareness of NASA IP: commercial space companies have generally low awareness 

of, and interest in, NASA-owned patents and licensing opportunities. 

2. TTP patenting and licensing decisions could be tailored to commercial space: commercial 

space companies do not know about NASA T2 practices; or if they do, there are often 

questions related to NASA’s intentions, policies, and practices. 
119

3. There is an opportunity to create innovative and streamlined processes, including flexible 

agreements to drive space-related commercialization: NASA researchers and commercial 

space companies want to have streamlined and flexible agreements to enable commercial 

space-related development activities. 

4. IP rights associated with commercial space need clarification: IP ownership of, and rights 

related to, inventions and patents developed by NASA, or in partnership with NASA, are 

a major concern for commercial space companies. 

To help address and correct the findings, RTI and Acuity Edge recommend: 

1. Improve awareness, both internally and externally, about processes and opportunities 

related to NASA T2 and commercial space. Communicate about relevant technologies 

and how the TTP can license NASA IP, developed/owned by NASA, to benefit 

commercial space. 

2. Expand options for T2 without a patent. Recognize that the investment to patent may not 

make sense with the timelines associated with commercial space, and as such, NASA 

should consider options to share technology without a patent (e.g., new agreements like 

NASA Kennedy Space Center’s (KSC’s) Technology Transfer Agreement (TTA), 

publications, sharing through industry consortiums). Consider metrics that reflect the 

value that the TTP brings through non-patent transfer. 

3. Improve guidance/management of IP and relationships specific to commercial space. 

Build better connections to the commercial space industry to understand interests, 

directions, needs, and timelines, as well as parallel connections to NASA missions. In 

effect, clarify contact points and roles specific to T2 as it relates to commercial space 

companies and NASA missions. 

4. Tweak the current TTP flow to intentionally consider commercial space. Recognize that, 

legally, commercial space must be treated like any other industry. The TTP can clarify 

the process flow for considering commercial space, making strategic decisions for 

commercial space, and the handling of IP. This includes when the TTP chooses to patent 

(or not) and whether to negotiate exclusivity and consideration of deal terms (e.g., 

royalties, milestones, triggers/timing, services, sharing hardware). Recommended default 

positions include: 

• For New Technology Reports (NTRs) with only commercial space value/applications, 

share without a patent. 

• For NTRs with value/application in both commercial space and other applications, patent 

and share a non-exclusive field-of-use license for commercial space applications. 

In response to these findings (specifically item 3), NASA has created the position of “Licensing 

Concierge.” The concierge will serve as the single point of guidance for all potential licensees. 

The concierge is knowledgeable about the patent portfolio and the automated systems used by 

licensees to apply for technologies and software programs. The concierge will also track and 

monitor the licensees progress to ensure the license is executed at the field center within a 

reasonable timeframe. 

In response to the other recommendations, NASA initiatives begun in FY 2021 and FY 2022 are 

ongoing.
120

Significant Program Metrics 

Despite several months of program disturbance due to the government furlough, significant 

metrics stayed healthy, and in many areas, continued a positive, upward trend.

New Technology Reports.

New Technology Reports saw a 4 percent increase from the previous year. Agency leaders 

ramped up monthly in-reach events at each NASA field center, educating approximately 2,900 

inventors in 2019. The field centers provided training on reporting new technologies using the 

electronic New Technology Reporting system (e-NTR) and provided inventor notebooks and 

posters, a popular and cost-effective incentive.

U.S. Patent Applications Filed.

NASA has implemented a more strategic approach to patenting technologies. Using a centralized 

contract to provide the program with detailed screenings and assessments, NASA only patents 

and maintains technologies the agency believes have commercial potential. Because of this more 

consistent and thorough strategy, patent application numbers saw a decline in applications filed. 

This approach keeps taxpayer dollars from being wasted on maintenance fees on technologies 

that are unlikely to produce a license.

Patent Licenses.

While not exceeding the licensing numbers from the previous year because of the furlough, 

2019’s numbers are still considered successful. Prior to NASA’s concentrated efforts to increase 

licensing, the agency averaged 22 licenses executed per year (as of fiscal years 2010–2012). As 

of fiscal years 2016-2019, the agency has averaged 107 licenses per year. Significant 

improvements to the program to increase licensing include the implementation of streamlined 

systems, such as the Automated Technology Licensing Application System (ATLAS), which 

guides potential licensees through the process of filling out and submitting an application.

Software Usage Agreements.

Software Usage Agreements (SUAs) continued a historically positive trend. From 2016–2019, 

NASA saw an average of 3,339 SUAs, a 200% increase from an average of 1,111 SUAs during 

2010–2012. A new Software Catalog containing previously unreleased and updated software 

program codes available for download was launched on software.nasa.gov. Users are able to 

search, request, and acquire NASA software from this website.
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NASA Invention Disclosures and Patenting

Between FY 2015 and FY 2019, new inventions disclosed increased by 19% from 1,550 in FY 

2015 to 1,841 disclosures in FY 2019. Patent applications filed decreased by 34%, from 129 in 

FY 2015 to 85 in FY 2019. Patents issued decreased by 1%, from 123 in FY 2015 to 122 patents 

in FY 2019.

NASA Invention Disclosures and Patenting

1,550

1,554

1,690

1,775

1,841

129129

165

144

85

123

103

114

123

122

0

200

400

600

800

1,000

1,200

1,400

1,600

1,800

2,000

FY 2015 FY 2016 FY 2017 FY 2018 FY 2019

New Invention Disclosures Patent Applications Filed Patents Issued

FY 2015 FY 2016 FY 2017 FY 2018 FY 2019

New Invention Disclosures 1,550 1,554 1,690 1,775 1,841

Patent Applications Filed 129 129 165 144 85

Patents Issued 123 103 114 123 122
122

Patents issued to NASA in FY 2019 covered many technology areas including Measurement 

(16%), Transport (13%), Telecommunications (6%), Electrical Machinery, Apparatus, Energy

(6%), and Computer Technology (6%).46

USPTO Patents Assigned to NASA by Technology Area: FY 2019

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

permission.
123

NASA Licenses

Between FY 2015 and FY 2019, total active licenses increased by 34%, from 375 in FY 2015 to 

503 licenses in FY 2019. New licenses increased by 30%, from 74 in FY 2015 to 96 in FY 2019. 

Total active invention licenses increased by 65%, from 321 in FY 2015 to 529 in FY 2019. New 

invention licenses increased by 28%, from 69 in FY 2015 to 88 in FY 2019. Total active income 

bearing licenses increased by 69% to 326, while income-bearing exclusive licenses decreased by 

33%, from 12 to 8.

NASA Licenses

FY 2015 FY 2016 FY 2017 FY 2018 FY 2019

Licenses, Total Active 375 452 506 540 503

New Licenses 7 4 107 119 105 9 6

Invention Licenses, Total Active 321 387 440 488 529

New Invention Licenses 6 9 9 7 109 9 9 8 8

Income Bearing Licenses, Total Active 193 245 258 274 326

Income Bearing Exclusive Licenses 1 2 1 4 8 4 8
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NASA Income from Licensing

Between FY 2015 and FY 2019, NASA reported that the total income from all active licenses 

decreased by 23%, from $3.4 million in FY 2015 to $2.6 million in FY 2019. The income from 

invention licenses decreased by 11%, from $2.8 million in FY 2015 to $2.5 million in FY 2019. 

Total earned royalty income decreased by 48%, from $3.3 million to $1.7 million in FY 2019. 

NASA Income from Licensing ($000s)

FY 2015 FY 2016 FY 2017 FY 2018 FY 2019

Total Income, All Active Licenses $3,395 $3,149 $2,682 $2,301 $2,613

Invention Licenses $2,828 $2,750 $2,126 $2,036 $2,530

Total Earned Royalty Income, (ERI) $3,250 $2,746 $2,118 $2,041 $1,704
125

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 2015 and FY 2019, Space Act Agreements decreased 7% from 2,113 agreements in 

FY 2015 to 1,967 in FY 2019.

NASA Collaborative R&D Relationships

FY 2015 FY 2016 FY 2017 FY 2018 FY 2019

CRADAs, Total Active 8 1 2 0 0 0

New CRADAs 7 5 0 0 0

Traditional CRADAs, Total Active 8 1 2 0 0 0

Other Collaborative R&D Relationships 2,113 2,204 2,174 2,182 1,967
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NASA Downstream Success Stories

In 2019, Spinoff told the stories of 49 companies across 19 U.S. states that are selling products 

derived from NASA technology. Fresh content is published regularly on Spinoff’s website, 

which receives 2–3 million unique visitors per month, and is also routinely featured on NASA’s 

homepage. Spinoff also maintains a robust social media presence.

Free print copies of the publication are distributed to the White House, each member of 

Congress, the United Nations, other government agencies and laboratories, universities, as well 

as members of the public who request the book. The entire publication is available in multiple 

formats online at https://spinoff.nasa.gov.

Examples of successful technology transfer stories featured in Spinoff 2019 include:

Unique Polymer Finds Widespread Use in Heart Devices 

A material that a Langley Research Center scientist stumbled on in the early 1990s has helped to 

keep hundreds of thousands of patients’ hearts beating properly all over the world. Since 2009, 

medical technology giant Medtronic, based in Minneapolis, has been using the substance now 

known as LaRC-SI to get a relatively new type of pacemaker implanted into more patients more 

easily. As a result, many patients who might otherwise have continued to suffer symptoms of 

congestive heart failure were able to be treated.

Battery Innovations Power All-Electric Aircraft 

One major challenge to developing all-electric aircraft— safely delivering enough power to the 

motors—got a boost from industry, California-based Electric Power Systems. The company used 

funding from Armstrong Flight Research Center to develop a new technique to safely package 

thousands of off-the-shelf lithium-ion cells into one lightweight, powerful battery. The company 

is now supplying similar batteries to power an all-electric training airplane and has contracts with 

companies interested in designing electric vehicles for travel between small airports and within 

urban areas.

Wrapped Tanks Cut Weight on Everything from Buses to Paintball Guns 

What do infant incubators, a Mars lander, and paintball guns have in common? All employ an 

invention developed at Glenn Research Center to cut weight from the Space Shuttles. Composite 

overwrapped pressure vessels, made of a liner tightly wrapped in high-strength filament, weigh 

half as much as all-metal pressure tanks by safely storing gases and liquids at higher pressures 

than was previously possible. Today, Worthington Industries, with production facilities in 

Pomona, California, sells them for, among many applications, fuel tanks for buses and breathing 

systems for firefighters.

NASA Brings Accuracy to World’s Global Positioning Systems 

GPS is an Air Force program, but NASA algorithms are largely to thank for the system being 

useful for secure, precision applications like airplane guidance, self-driving farm equipment, and 

directing first responders. Raw GPS data can be off by 30 feet or more, so the Jet Propulsion 

Laboratory developed software to correct for these errors, enabling real-time precision GPS. An 

early adopter, Long Island-based Comtech Telecommunications Corporation, remains a major 
127

provider of location-based services, including for cell phone companies, helping 911 operators 

pinpoint the location of a caller.

Bowflex System Spurs Revolution in Home Fitness 

The Bowflex Revolution home gym was a phenomenon of the 2000s and to this day sells well—

but it might not exist without NASA. Inventor Paul Francis took his idea for a weightless weighttrainer, using elastic resistance, to Johnson Space Center, which was looking for ways to help 

astronauts retain muscle mass and bone density in microgravity. The end product launched to the 

space station in 2000, and Francis began approaching fitness companies. Nautilus Group, now 

based in Vancouver, Washington, licensed the technology and released the Bowflex Revolution 

in 2005.

Software Helps Design Artery Stents, Lawn Mowers, Airplanes 

Lockheed Martin developed the Structural Analysis of General Shells (STAGS) code under 

contract to Langley Research Center in the 1980s. It was a finite element analysis (FEA) 

program, meaning it broke down models of structures into tiny elements to model a structure’s 

behavior as a whole. In 2005, French company Dassault Systèmes acquired Abaqus Inc. of 

Johnston, Rhode Island, which had developed the Abaqus FEA program. The company regularly 

consulted with users, including Langley’s STAGS developers, and many of STAGS’ capabilities 

were added to the program.
128

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 2015 and FY 2019, there has been a 23% increase in invention disclosures, a 4% 

increase in patent applications, and a 19% increase in patents issued. In FY 2019, the largest 

number of federal patents issued involved the technical areas of Measurement (12%) followed by 

Electrical Machinery, Apparatus, Energy (8%), Computer Technology (6%), Biotechnology 

(6%), Other Special Machines (6%), Pharmaceuticals (6%), and Telecommunications (5%).

Between FY 2015 and FY 2019, for agencies for which data were available, total active licenses 

decreased by 13%, new licenses increased by 12%, invention licenses decreased by 3%, and new 

invention licenses increased by 1%. Income-bearing licenses decreased by 17%, and exclusive 

income-bearing licenses increased by 58%. 

Between FY 2015 and FY 2019, income from all licensing decreased by 44%, income from 

invention licenses decreased by 46%, and total earned royalty income decreased by 31%.

Between FY 2015 and FY 2019, CRADAs increased by 22%, and new CRADAs decreased by 

16%. Traditional CRADAs increased by 21% and other collaborative R&D relationships 

decreased by 5%. 

In CY 2019, federal researchers published 70,0108 papers. More than half of these papers were 

in the fields of Health Sciences (26%), Biological and Biomedical Sciences (19%), Engineering 

(14%), and Physics (12%). In FY 2019, 20,334 papers cited in U.S. patents were authored or 

coauthored by federal researchers. Of these papers, 90% involved research in the fields of 

Biological and Biomedical Sciences (35%), Health Sciences (23%), Engineering (12%), Physics

(12%), and Chemistry (8%).

In summary, this report shows that agencies have made steady progress in their efforts to 

improve the transfer of technologies from federal laboratories. Agencies are now 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.
129

Appendix A

Federal Invention Disclosure and Patenting

Agency Metric FY 2015 FY 2016 FY 2017 FY 2018 FY 2019

USDA New Inventions Disclosed 222 244 166 320 243

Patent Applications Filed 125 109 111 120 97

Patents Issued 94 60 68 67 71

DOC New Inventions Disclosed 61 64 43 77 60

Patent Applications Filed 32 25 46 56 65

Patents Issued 20 16 34 28 33

DoD New Inventions Disclosed 743 782 978 839 839

Patent Applications Filed 875 858 869 1,060 955

Patents Issued 620 624 630 600 653

DOE New Inventions Disclosed 1,645 1,760 1,794 1,748 1,891

Patent Applications Filed 949 999 937 868 837

Patents Issued 755 856 817 854 919

HHS New Inventions Disclosed 321 320 354 322 268

Patent Applications Filed 222 269 289 253 207

Patents Issued 501 579 554 624 708

DHS New Inventions Disclosed 12 15 20 22 14

Patent Applications Filed 12 15 0 17 38

Patents Issued 5 3 2 8 8

DOI New Inventions Disclosed 7 8 12 9 8

Patent Applications Filed 8 4 5 7 3

Patents Issued 3 1 3 6 1

DOT New Inventions Disclosed 0 0 3 12 2

Patent Applications Filed 5 0 7 0 2

Patents Issued 1 1 0 0 0

VA New Inventions Disclosed 219 241 589 496 724

Patent Applications Filed 116 104 163 255 274

Patents Issued 54 54 50 72 82

EPA New Inventions Disclosed 7 6 13 7 6

Patent Applications Filed 4 1 4 6 6

Patents Issued 7 3 3 4 3

NASA New Inventions Disclosed 1,550 1,554 1,690 1,775 1,841

Patent Applications Filed 129 129 165 144 85

Patents Issued 123 103 114 123 122

Total Metric FY 2015 FY 2016 FY 2017 FY 2018 FY 2019

New Inventions Disclosed 4,787 4,994 5,662 5,627 5,896

Patent Applications Filed 2,477 2,513 2,596 2,786 2,569

Patents Issued 2,183 2,300 2,275 2,386 2,600
130

Federal Licenses

Agency Metric FY 2015 FY 2016 FY 2017 FY 2018 FY 2019

USDA Licenses, Total Active 427 441 448 472 512

New Licenses 37 31 40 40 51

Invention Licenses, Total Active 362 370 373 386 392

New Invention Licenses 22 25 31 27 17

Income Bearing Licenses, Total Active 421 439 437 471 522

Income Bearing Exclusive Licenses 292 307 302 324 334

DOC Licenses, Total Active 46 57 68 67 74

New Licenses 13 15 19 11 15

Invention Licenses, Total Active 46 57 68 67 74

New Invention Licenses 13 15 19 11 15

Income Bearing Licenses, Total Active 29 31 35 37 33

Income Bearing Exclusive Licenses 16 20 19 22 20

DoD Licenses, Total Active 560 515 552 480 575

New Licenses 69 35 162 168 58

Invention Licenses, Total Active 431 286 514 n.a. 470

New Invention Licenses 69 57 24 n.a. 58

Income Bearing Licenses, Total Active 203 185 396 306 283

Income Bearing Exclusive Licenses n.a. 209 196 151 179

DOE Licenses, Total Active 6,310 5,410 4,045 4,742 4,640

New Licenses 648 621 567 662 686

Invention Licenses, Total Active 1,336 943 916 844 822

New Invention Licenses 155 145 128 100 98

Income Bearing Licenses, Total Active 4,577 3,963 3,057 3,323 2,749

Income Bearing Exclusive Licenses 98 231 190 181 113

HHS Licenses, Total Active 1,767 1,750 1,806 1,867 1,933

New Licenses 279 278 334 335 346

Invention Licenses, Total Active 1,354 1,721 1,354 1,411 1,472

New Invention Licenses 232 221 282 292 291

Income Bearing Licenses, Total Active 843 837 907 978 1,001

Income Bearing Exclusive Licenses 119 145 130 143 158

DHS Licenses, Total Active 4 5 5 5 5

New Licenses 3 1 0 0 0

Invention Licenses, Total Active 4 5 5 5 5

New Invention Licenses 3 1 0 0 0

Income Bearing Licenses, Total Active 4 1 1 1 1

Income Bearing Exclusive Licenses 0 0 0 0 0
131

Federal Licenses (continued)

Agency Metric FY 2015 FY 2016 FY 2017 FY 2018 FY 2019

DOI Licenses, Total Active 20 22 15 17 18

New Licenses 3 0 0 2 2

Invention Licenses, Total Active 18 20 13 n.a. 16

New Invention Licenses 3 0 0 n.a. 2

Income Bearing Licenses, Total Active 18 17 13 13 16

Income Bearing Exclusive Licenses 7 8 7 n.a. 7

DOT Licenses, Total Active 2 2 5 5 5

New Licenses 0 2 1 1 0

Invention Licenses, Total Active 0 2 0 0 1

New Invention Licenses 0 0 0 0 0

Income Bearing Licenses, Total Active 2 2 2 5 6

Income Bearing Exclusive Licenses 0 0 0 0 0

VA Licenses, Total Active 200 261 262 n.a. n.a.

New Licenses 3 1 1 n.a. n.a.

Invention Licenses, Total Active 200 260 261 n.a. n.a.

New Invention Licenses 3 1 0 n.a. n.a.

Income Bearing Licenses, Total Active 16 42 42 210 281

Income Bearing Exclusive Licenses 11 35 36 205 245

EPA Licenses, Total Active 37 35 38 31 24

New Licenses 0 8 5 1 3

Invention Licenses, Total Active 37 35 38 31 24

New Invention Licenses 0 8 5 1 3

Income Bearing Licenses, Total Active 31 31 31 24 17

Income Bearing Exclusive Licenses 7 7 7 6 5

NASA Licenses, Total Active 375 452 506 540 503

New Licenses 74 107 119 105 96

Invention Licenses, Total Active 321 387 440 488 529

New Invention Licenses 69 97 109 99 88

Income Bearing Licenses, Total Active 193 245 258 274 326

Income Bearing Exclusive Licenses 12 14 8 4 8

Total Metric FY 2015 FY 2016 FY 2017 FY 2018 FY 2019

Licenses, Total Active 9,748 8,950 7,750 8,226 8,289

New Licenses 1,129 1,099 1,248 1,325 1,257

Invention Licenses, Total Active 4,109 4,086 3,982 3,232 3,805

New Invention Licenses 569 570 598 530 572

Income Bearing Licenses, Total Active 6,337 5,793 5,179 5,642 5,235

Income Bearing Exclusive Licenses 562 976 895 1,036 1,069
132

Federal Income from Licensing ($000s)

Agency Metric FY 2015 FY 2016 FY 2017 FY 2018 FY 2019

USDA Total Income, All Active Licenses $5,067 $4,784 $5,703 $3,835 $3,562

Invention Licenses $4,842 $4,456 $5,378 $3,495 $3,275

Total Earned Royalty Income, (ERI) $3,510 $3,633 $3,504 $2,716 $3,172

DOC Total Income, All Active Licenses $164 $149 $141 $147 $136

Invention Licenses $164 $149 $141 $147 $136

Total Earned Royalty Income, (ERI) $164 $149 $141 $147 $136

DoD Total Income, All Active Licenses $9,169 n.a. n.a. n.a. $5,601

Invention Licenses $8,203 $554 n.a. n.a. $2,977

Total Earned Royalty Income, (ERI) $7,621 $5,823 $7,415 $6,802 $7,279

DOE Total Income, All Active Licenses $33,137 $31,149 $36,567 $21,085 $21,974

Invention Licenses $28,966 $27,364 $33,436 $17,237 $18,220

Total Earned Royalty Income, (ERI) $21,245 $16,273 $13,216 $10,239 $10,466

HHS Total Income, All Active Licenses $151,727 $132,833 $134,567 $110,709 $78,540

Invention Licenses $147,512 $130,701 $132,536 $108,276 $76,468

Total Earned Royalty Income, (ERI) $114,102 $110,193 $135,963 $111,628 $79,000

DHS Total Income, All Active Licenses $5 $12 $20 $36 $38

Invention Licenses $0 $12 $20 $36 $38

Total Earned Royalty Income, (ERI) $5 $12 $20 $36 $38

DOI Total Income, All Active Licenses $106 $83 $50 $51 $42

Invention Licenses $106 $83 $50 $51 $42

Total Earned Royalty Income, (ERI) $106 $83 $50 $51 $42

DOT Total Income, All Active Licenses $12 $15 $20 $13 $8

Invention Licenses $0 $0 $0 $0 $0

Total Earned Royalty Income, (ERI) $12 $15 $20 $13 $8

VA Total Income, All Active Licenses $494 $316 $491 $690 $1,166

Invention Licenses $494 $316 $491 $690 $1,166

Total Earned Royalty Income, (ERI) $494 $316 $491 $690 $1,166

EPA Total Income, All Active Licenses $232 $466 $412 $628 $449

Invention Licenses $232 $466 $412 $628 $449

Total Earned Royalty Income, (ERI) $232 $466 $412 $628 $449

NASA Total Income, All Active Licenses $3,395 $3,149 $2,682 $2,301 $2,613

Invention Licenses $2,828 $2,750 $2,126 $2,036 $2,530

Total Earned Royalty Income, (ERI) $3,250 $2,746 $2,118 $2,041 $1,704

Total Metric FY 2015 FY 2016 FY 2017 FY 2018 FY 2019

Total Income, All Active Licenses $203,508 $172,956 $180,653 $139,495 $114,130

Invention Licenses $193,347 $166,851 $174,590 $132,596 $105,301

Total Earned Royalty Income, (ERI) $150,741 $139,709 $163,350 $134,991 $103,460
133

Federal Collaborative R&D Relationships

Agency Metric FY 2015 FY 2016 FY 2017 FY 2018 FY 2019

USDA CRADAs, Total Active 301 238 330 212 260

New CRADAs 80 79 91 61 95

Traditional CRADAs, Total Active 301 238 330 182 260

Other Collaborative R&D Relationships 4,730 5,628 6,125 3,369 1,888

DOC CRADAs, Total Active 2,752 2,940 2,932 3,363 2,564

New CRADAs 2,548 2,608 2,443 2,770 1,893

Traditional CRADAs, Total Active 365 335 413 534 493

Other Collaborative R&D Relationships 3,125 3,273 3,181 3,497 3,431

DoD CRADAs, Total Active 2,377 2,603 2,995 4,976 6,090

New CRADAs 786 774 813 949 936

Traditional CRADAs, Total Active 2,130 2,273 2,424 3,010 3,768

Other Collaborative R&D Relationships 247 330 571 1,966 2,322

DOE CRADAs, Total Active 747 784 936 1,030 1,072

New CRADAs 186 264 330 312 287

Traditional CRADAs, Total Active 747 784 936 1,030 1,072

Other Collaborative R&D Relationships 0 0 0 0 0

HHS CRADAs, Total Active 400 590 588 577 575

New CRADAs 112 134 112 87 93

Traditional CRADAs, Total Active 202 391 462 465 476

Other Collaborative R&D Relationships 150 147 126 112 99

DHS CRADAs, Total Active 230 343 412 164 212

New CRADAs 98 114 107 104 60

Traditional CRADAs, Total Active 200 272 326 164 212

Other Collaborative R&D Relationships 30 71 71 n.a. n.a.

DOI CRADAs, Total Active 826 873 841 740 470

New CRADAs 586 511 477 422 352

Traditional CRADAs, Total Active 38 37 58 53 43

Other Collaborative R&D Relationships 318 319 247 249 269

DOT CRADAs, Total Active 48 68 65 63 44

New CRADAs 9 22 6 7 10

Traditional CRADAs, Total Active 48 62 66 63 43

Other Collaborative R&D Relationships 35 152 355 121 125

VA CRADAs, Total Active 2,305 2,613 1,785 1,688 1,686

New CRADAs 509 502 575 512 536

Traditional CRADAs, Total Active 2,113 2,359 1,619 1,518 1,526

Other Collaborative R&D Relationships 0 0 0 0 0

EPA CRADAs, Total Active 97 55 51 49 54

New CRADAs 23 14 8 11 11

Traditional CRADAs, Total Active 50 55 51 49 54

Other Collaborative R&D Relationships 0 48 89 91 93

NASA CRADAs, Total Active 8 12 0 0 0

New CRADAs 7 5 0 0 0

Traditional CRADAs, Total Active 8 12 0 0 0

Other Collaborative R&D Relationships 2,113 2,204 2,174 2,182 1,967

Total Metric FY 2015 FY 2016 FY 2017 FY 2018 FY 2019

CRADAs, Total Active 10,091 11,119 10,935 12,862 13,027

New CRADAs 4,944 5,027 4,962 5,235 4,273

Traditional CRADAs, Total Active 6,202 6,818 6,685 7,068 7,947

Other Collaborative R&D Relationships 10,748 12,172 12,939 11,587 10,194
134

Appendix B

Technology Area Classification

Mapping of International Patent Classifications to Technology Area47

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. 

47 Derived from The World Intellectual Property Organization’s International Patent Classification (IPC) 

Correspondence Table and IPC Searchable Classification Database, Version 2016.01.
135

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.
136

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 
137

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.
138

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 Data48

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

48 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.
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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