Annual Report on Technology Transfer:

Approach and Plans, Fiscal Year 2017 Activities and Achievements

U.S. Department of Commerce

Report prepared by:

National Institute of Standards and Technology

National Oceanic and Atmospheric Administration

National Telecommunications and Information Administration

Institute for Telecommunication Sciences

Pursuant to the

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

September 2018
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iii

FOREWORD

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

Commerce’s (DOC) federal laboratories for fiscal year (FY) 2017. At DOC, technology transfer 

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

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

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

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

activities of these agencies.

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

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

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

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

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

 

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

summarized in this report. The report focuses on current year activities and accomplishments

and provides statistical information from FY 2013 through FY 2017. 

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

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

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

CHAPTER 1: Department of Commerce Overview.................................................................. 1

Summary of Technology Transfer Activities FY 2013 – FY 2017........................................ 2

CHAPTER 2: National Institute of Standards and Technology ............................................ 11

Approach and Plans for Technology Transfer..................................................................... 11

NIST Work Products and Collaborative Activities............................................................. 12

Downstream Outcomes from NIST Technology Transfer Activities................................. 32

CHAPTER 3: National Oceanic and Atmospheric Administration....................................... 39

Approach and Plans for Technology Transfer..................................................................... 39

Work Product and Collaborative Activities......................................................................... 42

Downstream Outcomes from NOAA Technology Transfer Activities .............................. 49

CHAPTER 4: National Telecommunications and Information Administration: Institute for 

Telecommunication Sciences...................................................................................................... 59

Approach and Plans for Technology Transfer..................................................................... 59

ITS Work Products and Collaborative Activities................................................................ 59

Downstream Outcomes from ITS Technology Transfer Activities.................................... 63

SUMMARY ................................................................................................................................. 65

Appendix A.................................................................................................................................. 66

Appendix B.................................................................................................................................. 68
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CHAPTER 1

Department of Commerce Overview

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

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

DOC works in partnership with businesses, universities, state, tribal and local governments, and 

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

global economy. DOC pursues these objectives through policies and programs directed at 

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

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

resources. 

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

laboratory facilities of NIST, NOAA, and NTIA’s 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 American economy.

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

coordinating technology transfer activities across federal agencies. DOC coordinates the 

Interagency Workgroup for Technology Transfer (IAWGTT) through the facilitation by NIST of

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

from agency transfer programs.

1 NIST also serves as the host agency for the Federal Laboratory 

Consortium for Technology Transfer (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 Labto-Market subcommittee. 

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

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

NOAA: http://techpartnerships.noaa.gov/; and

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

 

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

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

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

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

Aeronautics and Space Administration.
2

Summary of Technology Transfer Activities FY 2013 – FY 2017

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

DOC laboratories, including information regarding invention disclosures, intellectual property 

(patents and licenses), collaborative research and development agreements (CRADAs), and other 

technology transfer mechanisms. Examples of successful downstream results, such as 

commercially significant technologies from technology transfer activities are also highlighted.

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

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

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

report annually to the Office of Management and Budget (OMB) on the agency’s technology 

transfer activities performed. OMB’s Circular A-11 also requires this information. The tables in 

the following sections present the required data.

2

 

2 Technology transfer data is typically adjusted over time to account for new information resulting from changes in 

reporting procedures, patent decisions, programmatic changes, etc. Throughout this report, data prior to FY 2017 

has been adjusted, where necessary, to reflect the most accurate estimates for each year reported. 
3

Invention Disclosures and Patenting

In FY 2017, DOC researchers disclosed 43 new inventions. Of these, 40 invention disclosures 

were from NIST researchers and three were from NOAA researchers. There were 46 patent 

applications filed (43 for NIST and 3 for NOAA) and 34 patents issued (31 for NIST and three

for NOAA).3

Table 1 – Invention Disclosure and Patenting

 

3 Note that the time required for a patent to be granted may take two years or more. Patents issued in FY 2017 were 

filed in prior years. 

FY 2013 FY 2014 FY 2015 FY 2016 FY 2017

Invention Disclosures

NIST 33 41 46 46 40

NOAA 8 6 15 18 3

ITS 0 0 0 0 0

Department Total 41 47 61 64 43

Patent Applications Filed

NIST 23 21 26 21 43

NOAA 3 4 6 4 3

ITS 0 0 0 0 0

Department Total 26 25 32 25 46

Patents Issued

NIST 20 19 19 15 31

NOAA 1 0 1 1 3

ITS 0 0 0 0 0

Department Total 21 19 20 16 34
4

In FY 2016 (the most recent year data is available), the top three technical areas covered by 

NIST patents were Electrical Machinery, Apparatus, Energy (18%), Measurement (13%), and 

Semiconductors (10%).

4

Figure 1 – Percent of USPTO Patents Granted to DOC, by Technology Area – FY 2016

5

Licensing

In FY 2017, DOC reported 68 active patent licenses, the largest number in the last five fiscal 

years. Of these, NIST had 61 active patent licenses and NOAA had seven active patent licenses.

Table 2 – Profile of Active Licenses

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

 

4 Technology areas are identified in Appendix A.

5

Patents are credited on a whole-count basis (i.e., each participating federal agency is credited one count). 

However, fractioning is used at the level of 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. Prepared by Science-Metrix using USPTO data indexed in PatentsView accessed in April 

2017. Used with permission.

FY 2013 FY 2014 FY 2015 FY 2016 FY 2017

Active Patent Licenses(a)

NIST 33 33 40 50 61

NOAA 5 5 6 7 7

ITS 0 0 0 0 0

Department Total 38 38 46 57 68
5

Of the 68 active patent licenses in FY 2017, 35 were income-bearing licenses, which is also the 

largest number in the last five fiscal years. Of these income-bearing licenses, 19 were exclusive 

licenses, 14 were non-exclusive, one was an assignment, and 1 was a custody transfer agreement.

Table 3 – Characteristics of Income-Bearing Licenses

FY 2013 FY 2014 FY 2015 FY 2016 FY 2017

Total Income-Bearing Licenses 

NIST 21 21 25 26 28

NOAA 5 5 4 5 7

ITS 0 0 0 0 0

Department Total 26 26 29 31 35

Patent Licenses 

NIST 21 21 25 26 28

NOAA 5 5 4 7 7

ITS 0 0 0 0 0

Department Total 26 26 29 33 35

License Types

Exclusive

NIST 13 14 15 16 15

NOAA 0 0 1 4 4

ITS 0 0 0 0 0

Department Total 13 14 16 20 19

Partially Exclusive

Department Total 0 0 0 0 0

Non-Exclusive

NIST 5 5 8 8 11

NOAA 5 5 3 3 3

ITS 0 0 0 0 0

Department Total 10 10 11 11 14
6

In FY 2017, DOC’s income-bearing licenses provided $140,871 in income. Of this amount, 

$75,061 came from NIST licenses and $65,810 came from NOAA licenses.

Table 4 – Income from Licensing

Collaborative Relationships for Research and Development (CRADAs)

In FY 2017, there were 2,932 CRADAs involving DOC researchers. There were 413 traditional

CRADAs6and 2,519 non-traditional CRADAs.

7 Of the 413 traditional CRADAs, NIST was 

involved in 370, NOAA was involved in 36, and ITS was involved in 52. These traditional 

CRADAs included 52 joint agreements that dealt with Public Safety 700 MHz Broadband 

Demonstrations and involved both NIST and ITS. 

Table 5 – Collaborative Relationships for Research and Development

 

(a) The total number of traditional CRADAs for the Department has been adjusted to avoid double counting where 

NIST and ITS are involved together in Joint CRADA Agreements. 

 

6 Traditional CRADAs involve collaborative research and development projects by a federal laboratory and nonfederal partners. 

7 Non-traditional CRADAs involve laboratory accreditations, material transfer agreements, and calibration services.

FY 2013 FY 2014 FY 2015 FY 2016 FY 2017

Total Licensing Income

NIST $102,532 $150,995 $124,823 $137,662 $75,061

NOAA $48,798 $69,151 $39,633 $11,000 $65,810

ITS $0 $0 $0 $0 $0

Department Total $151,330 $220,146 $164,456 $148,662 $140,871

FY 2013 FY 2014 FY 2015 FY 2016 FY 2017

CRADAs

Department Total 2,437 2,307 2,752 2,940 2,932

Traditional CRADAs

NIST 179 206 329 294 370

NOAA 15 19 28 33 36

ITS 91 87 136 62 59

Department Total(a) 206 233 365 335 413

Joint CRADA Agreements (NIST and ITS) 79 79 128 54 52

Non-Traditional CRADAs

NIST 2,231 2,074 2,387 2,605 2,519

NOAA 0 0 0 0 0

ITS 0 0 0 0 0

Department Total 2,231 2,074 2,387 2,605 2,519
7

Trends in DOC Technology Transfer Activities

One of the reasons for reporting technology transfer metrics is to monitor trends over time. 

Unfortunately, it is not always possible to identify and compare trends by simply looking at 

changes in values from one year to the next. Technology transfer activities are not spontaneous 

events. Inventions typically require years, if not decades of research before they are disclosed. 

A review of a patent application may take roughly three to five years before the patent is 

awarded. It may take several years to license a patent or form the collaborative commitments

behind a CRADA. 

To assess the trends in key technology transfer metrics, we first convert annual metric values into 

index values and then plot trend lines using these index values. Index values are calculated by 

dividing the value of a metric in a given year (year “t”), by its value in a base year (year “i”), and 

then multiplying by 100. 

Index Valuet =

Valuet

Base Valuei

x 100

The fixed base year chosen for this report is FY 2013. The index value for each metric in the 

base year is equal to 100. In the years that follow, index values change as the value of the metric 

in year “t” changes while the value in the base year “i” remains the same. 

To calculate the index value for patents issued in FY 2014, we divide the number of patents 

issued in FY 2014 by the number of patents issued in the base year (FY 2013) and then multiply 

by 100. Using data from the table on page 3 of this report, the index value for patents issued in 

FY 2014 is 90 (rounded).

Index ValueFY2013 =

19

21 x 100 = 90

Because the index value of 90 is less than 100, we can interpret this as a 10% decrease in the 

number of patents issued between FY 2013 and FY 2014. In FY 2015, the index value for 

patents issued is 95 which we can interpret as a 5% decrease between FY 2013 and FY 2015. 

We calculate index values for key metrics (e.g., invention disclosures, patents issued, invention 

licenses, and CRADAs) and plot the values in the chart below. To show the trend for a given 

metric, a straight line is plotted in the middle of the plotted values for that metric.8In the chart 

below, index values for patents issued are plotted in purple and the trend line for patents issued is 

plotted in the middle of the purple points. It is important to note that each trend line is drawn 

independent of other measures; they do not suggest causal relationships, nor do they forecast 

future trends. A trend line is a simple tool that illustrates the general tendency of a measure over 

a given period of time. 

Trend lines are plotted for invention disclosures (blue), patents issued (purple), invention 

licenses (green), and traditional CRADAs (red). From this chart, we can see that despite the 

decline in invention disclosures in FY 2017, the trend has been increasing over the FY 2013 to 

 

8 Trend lines in this report are plotted using Microsoft Excel.
8

FY 2017 period. There has been a more significant increase in the trends for invention licenses 

and traditional CRADAs and a decreasing trend for patents issued. 

Figure 2 – Trends in DOC’s Technology Transfer Activities (FY 2013 – FY 2017)

Scientific and Technical Publications

Technology transfer mechanisms include more than just counting CRADAs, patents, and 

licenses.

9 Scientific and technical publications also can lead to technology transfer. In FY 2017, 

NIST, NOAA, and ITS researchers published 3,121 scientific and technical papers in peerreviewed journals.

Table 6 – Scientific and Technical Publications

 

9 http://www.nist.gov/tpo/publications/upload/DOC-Tech-Transfer-Plan.pdf

60

80

100

120

140

160

180

200

220

FY 2013 FY 2014 FY 2015 FY 2016 FY 2017

FY 2013 FY 2014 FY 2015 FY 2016 FY 2017

Technical Publications

NIST 1,393 1,359 1,323 1,355 1,433

NOAA 1,781 1,759 1,860 1,697 1,678

ITS 24 18 22 4 10

Department Total 3,198 3,136 3,205 3,056 3,121
9

In 2016 (the most recent year for which data is available), the most numerous technology areas 

covered by DOC publications are Geosciences (40%), followed by Physics (17%) and Biological 

Sciences (15%), Chemistry (10%), and Engineering (9%).10

Figure 3 – Percent of Articles by Science and Engineering Fields 

Authored by DOC Staff in CY 2016

11

 

10 Science and engineering fields are identified in Appendix B.

11 Data are presented by calendar year as month of publication is not always available in the Web of Science. 

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 on the basis of the 

institutional address(es) listed in the article. Articles are credited on a whole-count basis (i.e., each participating 

federal agency receives one count). Source: Prepared by Science-Metrix using the Web of Science database 

(Thomson Reuters). Used with permission. 
10

Data are also available on the number of times U.S. patents cite U.S. science and engineering 

articles authored by DOC staff. U.S. patents issued in FY 2016 cite 785 publications authored 

by DOC researchers. As shown in Figure 4, the largest technology areas citing DOC 

publications include Chemistry (27%), followed by Biological Sciences (21%), Physics (21%), 

Engineering (16%), and Geosciences (7%).12

Figure 4 – Percent of Articles by Science and Engineering Fields

Authored by DOC Staff and Cited in U.S. Patents in FY 2016

13

The following chapters provide details on other agency-specific technology transfer activities 

such as technical support for development of industrial standards and reference materials, public 

dissemination activities (meetings and workshops), collaborations with guest researchers, etc. 

 

12 Science and engineering fields are identified in Appendix B.

13 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 on the basis of the institutional address(es) listed in the 

article. Citations are classified on a whole count basis (i.e., each participating federal agency on a cited article 

receives one count). Citation counts are based on an 11-year window with a 5-year lag (e.g., citations for 2012 are 

references in USPTO patents issued in FY2012 to articles published in 1997–2007. Prepared by Science-Metrix 

using the Web of Science (Thomson Reuters) accessed in July 2017 and PatentsView accessed in April 2017. Used 

with permission.
11

CHAPTER 2

National Institute of Standards and Technology

NIST has a broad mission: to promote U.S. innovation and industrial competitiveness by 

advancing measurement science, standards, and technology in ways that enhance economic 

security and improve our quality of life. 

Rapidly evolving sectors like nanotechnology, biotechnology, homeland security, information 

technology, and advanced manufacturing need sophisticated technical support systems in order 

to flourish and grow. Therefore, an important part of accomplishing NIST’s mission is to 

anticipate future measurement and standards needs of U.S. industry. NIST laboratories develop 

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

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

many other federal agencies. In carrying out its mission, NIST works directly with industry 

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

domestic and foreign associations, and other government agencies.

Approach and Plans for Technology Transfer

NIST designs its technology transfer activities to disseminate the results of fundamental 

research, measurements, and standards research to industry and other interested parties. In order 

to provide leading-edge scientific and technical work, NIST is required to have expertise in 

multiple disciplines, maintain high levels of collaboration with organizations and people with 

diverse capabilities, and have highly specialized facilities and tools. For more than a century, 

laboratories at NIST (and its direct predecessor agency, The National Bureau of Standards) have 

successfully collaborated with others to provide the measurement techniques and technical tools 

needed by America’s innovators.14 

NIST broadly defines technology transfer as:

“... the overall process by which NIST knowledge, facilities, or capabilities in 

measurement science, standards and technology promote U.S. innovation and 

industrial competitiveness in order to enhance economic security and improve quality 

of life.”

NIST’s definition of technology transfer reflects the many ways NIST reaches its external 

partners. The definition includes, inter alia: 1) the act of transferring knowledge from one 

individual to another by means of mentoring, training, documenting, or collaborating; and 2) 

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

other organization.

NIST has designed its technology transfer program to improve the transfer of its technology and 

work products directly and through collaborations. The following summarizes different 

 

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

http://www.nist.gov/tpo/index.cfm.
12

technology transfer mechanisms NIST uses to promote innovation and to disseminate broadly the 

technologies that result from its research. 

NIST Work Products and Collaborative Activities

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

The Patent Review Committee at NIST evaluates each reported invention’s potential to promote 

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

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

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

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

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

Chapter 1 presented summary information on patenting and licensing; additional details on 

licensing are included below.

NIST research has led to inventions in the following areas: bioscience and health, building and 

fire research, chemistry, math, physics, electronics and telecommunications, energy, 

environment and climate, information technology, manufacturing, materials science, 

nanotechnology, public safety and security, and transportation.

In FY 2017, there were 61 active NIST patent licenses of which 19 of these licenses were issued 

in FY 2017. Of these 61 active licenses, 19 licenses were issued to small companies (i.e., 

companies with less than 500 employees).
13

Table 7 – Profile of NIST’s Active Licenses

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

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

In FY 2017, the average time to negotiate a patent license was 4 months. The minimum time to 

negotiate a license was 2 months and the maximum time was 6 months.

FY 2013 FY 2014 FY 2015 FY 2016 FY 2017

Total Number of Active Licenses(a) 33 33 40 50 61

 New Licenses Executed 7 7 11 12 19

Total Invention Licenses Active 33 33 40 50 61

 New Invention Licenses Executed 7 7 11 12 19

Total Patent Licenses Active(b) 33 33 40 50 61

 New Patent Licenses Executed 7 7 11 12 19

Total Material Transfer Licenses Active (Inventions) 0 0 0 0 0

 New Material Transfer Licenses (Inventions) 0 0 0 0 0

Total Material Transfer Licenses Active 

(Non-Inventions) 0 0 0 0 0

New Material Transfer Licenses Executed 

(Non-Inventions) 0 0 0 0 0

 

Total “Other Invention Licenses” Active 0 0 0 0 0

 New “Other Invention Licenses” Executed 0 0 0 0 0

Total “Other IP Licenses” Active 0 0 0 0 0

 New “Other IP Licenses” Executed 0 0 0 0 0

Copyright Licenses (Fee-Bearing) Active 0 0 0 0 0

 New Copyright Licenses Executed 0 0 0 0 0

Active NIST Licenses Issued to Small Companies 7 7 4 14 19
14

Table 8 – Licensing Management

(a) License Negotiation Time is defined as the time between the date of license application and the date of license 

execution. The date of license application is the date the laboratory formally acknowledges the written request 

for a license from a prospective licensee and agrees to enter into negotiations.

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

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

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

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

Table 9 – Characteristics of Licenses Bearing Income

(a) Includes licenses to pending patent applications.

In FY 2017, NIST received $75,061 from all active licenses. The median amount received was 

$2,679. The minimum amount received was $320 and maximum was $40,000. 

FY 2013 FY 2014 FY 2015 FY 2016 FY 2017

License Negotiation Time (Patent Licenses) (a)(b) 

Average (months) 6.0 4.0 7.0 5.0 4.0

Minimum (months) 2.3 0.2 0.2 1.0 2.0

Maximum (months) 13.5 17.3 38.7 14.0 6.0

Licenses Terminated for Cause

Invention Licenses (Patent Licenses) 0 0 0 0 0

FY 2013 FY 2014 FY 2015 FY 2016 FY 2017

Total Income Bearing Licenses 21 21 25 26 28

 Exclusive 13 14 15 16 15

 Partially Exclusive 0 0 0 0 0

 Non-Exclusive 5 5 8 8 11

Total Other Income Bearing IP Licenses(a)

Assignment 1 1 1 1 1

Custody Transfer 2 1 1 1 1

Total Income Bearing Invention Licenses 21 21 25 26 28

 Exclusive 13 14 15 16 15

 Partially Exclusive 0 0 0 0 0

 Non-Exclusive 5 5 8 8 11

Total Other Income Bearing IP Licenses

Assignment 1 1 1 1 1

Custody Transfer 2 1 1 1 1

Total Royalty Bearing Licenses 21 21 25 26 28

Total Royalty Bearing Invention Licenses 21 21 25 26 28

Royalty Bearing Patent Licenses 21 21 25 26 28

Other Royalty Bearing IP Licenses 0 0 0 0 0
15

Table 10 – Income from Licenses

n.a. = not available. Data withheld to protect proprietary information.

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

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

patent costs and Standard Reference Data. “Active” means an agreement in force at any time during the fiscal 

year. 

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

(c) “Earned Royalty Income” (ERI) is a royalty based on use of a licensed invention (usually, a percentage of sales 

or of units sold). It is not a license issue fee or a minimum royalty.

Of the total licensing income received in FY 2017, 46% ($34,673) was distributed to the NIST 

inventor and the remaining 54% ($40,388) was retained by the NIST inventor’s Operating Unit. 

Table 11 – Disposition of Invention License Income

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

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

FY 2013 FY 2014 FY 2015 FY 2016 FY 2017

Total Income, All Active Licenses(a) $102,532 $150,995 $124,823 $137,662 $75,061 

 Invention Licenses (Patent Licenses)(b) $102,532 $150,995 $124,823 $137,662 $75,061 

 Other IP Licenses, Total Active $0 $0 $0 $0 $0 

Total Earned Royalty Income (ERI)(c) $102,532 $150,995 $124,823 $137,662 $75,061 

 Median ERI $10,000 $6,250 $1,600 $5,295 $2,679 

 Minimum ERI $640 $640 $640 $62 $320 

 Maximum ERI $58,642 $74,575 $62,833 $40,000 $40,000 

 ERI from Top 1% of Licenses n.a. n.a. n.a. n.a. n.a.

 ERI from Top 5% of Licenses n.a. n.a. n.a. n.a. n.a.

 ERI from Top 20% of Licenses n.a. n.a. n.a. n.a. n.a.

Invention Licenses (Patent Licenses) $102,532 $150,995 $124,823 $137,662 $75,061 

 Median ERI $10,000 $6,250 $1,600 $5,296 $2,679 

 Minimum ERI $640 $640 $640 $62 $320 

 Maximum ERI $58,642 $74,575 $62,833 $40,000 $40,000 

 ERI from Top 1% of Licenses n.a. n.a. n.a. n.a. n.a.

 ERI from Top 5% of Licenses n.a. n.a. n.a. n.a. n.a.

 ERI from Top 20% of Licenses n.a. n.a. n.a. n.a. n.a.

Other IP Licenses, Total Active $0 $0 $0 $0 $0 

FY 2013 FY 2014 FY 2015 FY 2016 FY 2017

Total Income Received(a) $102,532 $150,995 $124,823 $137,662 $75,061 

Invention Licenses (Patent Licenses)(b)

 Licensing Income to Inventor(s) $38,732 $54,602 $44,936 $45,148 $34,673 

38% 36% 36% 33% 46%

 Licensing Income to NIST $63,799 $96,393 $79,887 $92,514 $40,388 

62% 64% 64% 67% 54%
16

Cooperative Research and Development Agreements (CRADAs)

Collaborative research and development projects between federal laboratories, academia, and 

outside partners are an effective means of transferring technology. Beyond the improved knowhow and new technologies that result, these joint efforts often help collaborators to leverage each 

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

gain technical competencies and acquire new skills. CRADAs are agreements between a federal

laboratory and one or more partners to collaborate on defined research and development (R&D) 

projects. They are a major mechanism for establishing joint relationships with industry,

academia, and state and local governments to advance promising new technologies toward 

commercialization. These agreements are created under the statutory authority of the StevensonWydler Technology Innovation Act of 1980, as amended by the Federal Technology Transfer 

Act of 1986 (Pub. L. 99-502).

15

In FY 2017, NIST was involved in a total of 2,899 active CRADAs; 370 were traditional 

CRADAs16 and 2,519 were non-traditional CRADAs.17 There were 2,420 new NIST CRADAs. 

Of these, 113 were traditional and 2,307 were non-traditional. 

Table 12 – NIST Collaborative Relationships for Research and Development

Scientific and Technical Publications

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

its research to industry, academia, and other agencies.

In FY 2017, NIST staff authored 1,433 publications in peer-reviewed journals,18 including 406

papers (28%) published in 110 "top tier" journals where “top tier" includes any journal with a 

Thomson Reuters' Journal Impact Factor (IF) that falls within the top 10th percentile in its Web 

 

15 http://www.nist.gov/tpo/collaborations/crada.cfm

16 Traditional CRADAs involve collaborative research and development projects by a federal laboratory and nonfederal partners.

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

calibration services. 

18 http://nvl.nist.gov

FY 2013 FY 2014 FY 2015 FY 2016 FY 2017

NIST CRADAs

Total Active CRADAs 2,410 2,280 2,716 2,958 2,889

New CRADAs Executed 2,252 2,092 2,481 2,587 2,420

Total Active Traditional CRADAs 179 206 329 294 370

New Traditional CRADAs Executed 48 50 143 89 113

Total Active Non-Traditional CRADAs 2,231 2,075 2,389 2,664 2,519

New Non-Traditional CRADAs Executed 2,204 2,043 2,338 2,498 2,307
17

of Science Subject Category.19 NIST researchers collaborated and co-authored with researchers 

from around the world. NIST researchers co-authored papers with 5,464 unique non-NIST 

authors from 1,334 unique institutions in 67 countries.20

Table 13 – NIST Publications in Top-Tier Journals vs. Total NIST Publications

NIST also publicizes its planned, ongoing, and recently completed work in outlets followed by 

the organizations most likely to have an interest in NIST’s research and services, such as the 

trade and technical press. In addition to news releases, websites, and contacts with the media, 

NIST publishes Tech Beat, a biweekly, plain language newsletter of recent research results.21

In addition to the basic methods of transferring technology such as patents, licenses, and 

CRADAs, NIST researchers routinely transfer technological innovations through the following 

mechanisms. 

Participation in Documentary Standards Committees

Documentary standards are shared sets of rules that specify, for example, a test method or 

measurement methods, a product’s properties, or standard practices. Econometric studies have 

concluded that standards contribute significantly to economic growth, and as one study 

concluded “development of standards is integral to innovation; documentary standards contribute 

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

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

22

 

During FY 2017, 440 members of NIST staff were involved with more than 119 standards 

organizations. Such participation helps NIST respond to the needs of the private sector and 

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

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

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

Advancement Act of 1995 (Pub. L. 104-113).

23

 

19 For additional information see https://clarivate.com/essays/journal-selection-process/.

20 Unique co-authors and institutions were identified by performing a search for all NIST authored papers in the Web 

of Science (WoS) database. This includes publications in the peer-reviewed literature but excludes most conference 

proceedings papers and all NIST series publications.

21 https://www.nist.gov/news-events/news/

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

https://www.gov.uk/government/publications/economics-of-standardisation-update-to-report.

23 http://gsi.nist.gov/global/index.cfm/L1-1

FY 2013 FY 2014 FY 2015 FY 2016 FY 2017

Number of NIST Papers 1,393 1,359 1,323 1,355 1,433

Number of NIST Papers in Top-Tier Journals 436 444 384 329 406

Percentage of NIST Papers in Top-Tier 

Journals 31% 33% 29% 24% 28%

Number of Unique Non-NIST Co-Authors 3,920 4,086 4,585 5,116 5,464

Number of Unique Institutions 922 965 1,003 1,037 1,334

Number of Countries 53 62 63 46 67
18

Table 14 – Participation in Documentary Standards

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

Participation Database for employees to report their participation, including leadership positions, 

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

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

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

documentary standards. 

Standard Reference Data

NIST’s Standard Reference Data (SRD) Program provides critically evaluated numeric data to 

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

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

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

scientific and technical literature, or developed from measurements conducted at NIST 

laboratories, and are critically evaluated for accuracy and reliability. NIST currently maintains 

102 SRD databases that cover many areas of science, including analytical chemistry, atomic and 

molecular physics, biotechnology, and materials sciences.24

In FY 2017, NIST SRD Program distributed 2,229 e-commerce orders, 7,995 units sold via 

distributor, 154 active distributor agreements, 36 active site licenses, 40 active internet 

subscriptions, 328 units shipped to the user, and 3,119 products downloaded from the NIST 

website (1,225 free downloads, 1,894 paid downloads). 

 

24 http://www.nist.gov/srd/index.cfm

FY 2013 FY 2014 FY 2015 FY 2016 FY 2017

Number of Participating NIST Staff 400 464 469 445 440

Number of Standard Organizations with NIST 

Participants 100 121 165 120 119
19

Table 15 – Standard Reference Data Program

(a) The increase in sales between FY 2014 and FY 2015 for “Units sold via distributor” reflects sales related to the 

release of a new version of the NIST Standard Reference Database 1A, NIST/EPA/NIH Mass Spectral Library 

and sales from Standard Reference Database 23, Reference Fluid Thermodynamic and Transport Properties.

Standard Reference Materials

Standard Reference Materials (SRMs) are a definitive source for various measurements in the 

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

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

laboratories. The certified property values for SRMs often depend on the development of unique 

measurement capabilities within NIST.25 In FY 2017, NIST made available 1,182 SRMs and 

from these, sold 32,348 units. 

Table 16 – Standard Reference Materials

User Facilities – Research Participants

NIST operates two unique and valuable laboratory facilities – the Center for Nanoscale Science 

and Technology (CNST) and the NIST Center for Neutron Research (NCNR) – that support U.S. 

industry, academic institutions, and other NIST and government laboratories. These facilities 

allow NIST customers to tap directly into NIST measurement expertise to solve their problems

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

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

complemented by a multidisciplinary research staff creating next-generation tools for advancing 

 

25 http://www.nist.gov/srm/index.cfm

FY 2013 FY 2014 FY 2015 FY 2016 FY 2017

Standard Reference Data

Products available (databases) 120 111 111 102 97

E-Commerce Orders 2,658 3,111 2,596 2,689 2,229

Units Sold via Distributor(a) 5,495 5,142 9,807 10,573 7,995

Active Distributor Agreements 62 101 123 124 154

Active Site Licenses 30 58 57 59 36

Active Internet Subscriptions 50 42 38 49 40

Units Shipped via UPS 430 595 418 311 328

Products Downloaded from the NIST Website 2,055 3,435 5,751 6,208 3,119

Free Downloads 1,399 1,352 3,615 4,083 1,225

Paid Downloads 2,055 2,083 2,136 2,125 1,894

FY 2013 FY 2014 FY 2015 FY 2016 FY 2017

Standard Reference Materials

Units Available 1,299 1,281 1,240 1,194 1,182

Units Sold 32,267 32,636 33,490 31,938 32,348
20

nanotechnology. The NCNR is a national user facility that provides cold and thermal neutron 

measurement capabilities to researchers from academia, industry, and other government 

agencies.

26

NIST User Facility “Research Participants” are those who directly participate in an NCNR

experiment or CNST project. Research Participants include those who use the facility on-site or 

remotely, and their collaborators on the experiment or project. In FY 2017, there were 3,103

research participants at CNST and 2,769 at NCNR. 

Table 17 – NIST Research Participants27

Postdoctoral Researchers

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

also the people who perform the actual research and development. Postdoctoral researchers, or

“postdocs,” working at NIST also play an important role in transferring NIST technology.

28 For 

the purpose of this report, NIST uses the NSF’s description of a postdoctoral researcher29 as one 

who has a temporary position taken within five years after the completion of a doctoral degree to

gain scientific, technical, and professional skills. In FY 2017, there were 159 NIST postdocs. 

Of these, 87 were located on the NIST campus in Gaithersburg, Maryland; 47 were located in 

Boulder, Colorado; and the remainder were located at six other NIST locations. 

Table 18 – Postdoctoral Researchers

 

26 https://www.nist.gov/labs-major-programs/user-facilities

27 FY 2017 estimates are preliminary estimates.

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

29 http://www.nsf.gov/statistics/seind12

FY 2013 FY 2014 FY 2015 FY 2016 FY 2017

NIST Research Participants

CNST 1,885 2,147 2,434 2,856 3,103

NCNR 2,148 2,271 2,436 2,536 2,769

FY 2013 FY 2014 FY 2015 FY 2016 FY 2017

NIST Postdocs, Total (NCR) 140 172 174 167 159

Gaithersburg campus 88 115 113 104 87

Boulder campus 32 35 49 43 47

Joint Institute for Laboratory 

Astrophysics (a) 11 9 5 9 12

Joint Quantum Institute (b) 4 3 2 2 3

Hollings Marine Laboratory (c) 2 1 2 2 2

Institute for Bioscience and Biotechnology 

Research (d) 1 4 3 3 3

Brookhaven National Laboratory(e) 0 0 0 0 2

Joint Initiative for Metrology in Biology(f) 2 5 5 4 3
21

(a) Joint Institute for Laboratory Astrophysics (JILA) was founded in 1962 as a joint institute of CU-Boulder 

and NIST. JILA is located at the base of the Rocky Mountains on the CU-Boulder campus in the Duane 

Physics complex. http://jila.colorado.edu/

(b) The Joint Quantum Institute (JQI) was founded in September 2006 as a collaboration between the 

University of Maryland and NIST, with additional support from the Laboratory for Physical Sciences, a 

government facility in College Park. http://jqi.umd.edu/

(c) The Hollings Marine Laboratory (HML) is a world-class research facility in Charleston, South Carolina. 

HML’s mission is to provide science and biotechnology applications to sustain, protect, and restore coastal 

ecosystems, with emphasis on links between environmental condition and the health of marine organisms 

and humans. http://www.nist.gov/mml/hml/index.cfm

(d) The Institute for Bioscience and Biotechnology Research (IBBR) is a joint research enterprise created to 

enhance collaboration among the University of Maryland College Park, The University of Maryland 

Baltimore and NIST. https://www.ibbr.umd.edu//

(e) The Brookhaven National Laboratory’s National Synchrotron Light Source (NSLS) facility is located at 

and co-led by DOE and NIST’s Material Measurement Laboratory (MML). MML's Synchrotron Science 

Group develops and disseminates synchrotron measurement science and technology needed by U.S.

industry to measure nanoscale electronic, chemical, and spatial structure of advanced materials. 

https://www.nist.gov/mml/materials-measurement-science-division/synchrotron-science-group

(f) The Joint Initiative for Metrology in Biology (JIMB) is co-led by Stanford University and NIST and is 

designed to enable significant improvements in the accuracy and comparability of vital data used to make 

important research, regulatory, clinical, and manufacturing quality control decisions. 

http://jimb.stanford.edu/

The number of postdocs is a measure of technology transfer because once their tenure at NIST 

ends they take what they have learned and apply it to projects outside of NIST. NIST has begun 

tracking postdocs once they depart NIST. NIST surveyed 52 researchers who were postdocs 

with the NIST National Research Council (NRC) program in FY 2017. More than half of these 

postdocs (54%) continued research careers with NIST,

30 19% moved to the private sector, 13% 

moved to academia, 2% moved to other government agencies, and others became independent 

researchers. 

NIST is currently studying the economic impact of the NIST-NRC postdoctoral program. This 

study will survey former NIST postdocs to gather information on patents held and related 

business pursuits. The data will be analyzed to determine the efficacy of postdocs as a tech 

transfer mechanism and the feasibility of pursuing additional research into the program’s 

contributions.

 

30 Researchers who left their postdoc positions and stayed at NIST (54%) became career conditional / term 

employees (42%) or became non-career conditional or term employees, i.e. contractors or guest researchers (12%).
22

Figure 5 – Tracking Researchers after Initial Postdoc Tenure at NIST (FY 2017)

Guest Researchers

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

collaborative projects.31 NIST hosts many term appointment researchers and non-NIST 

employees working as guest researchers, collaborators, and student fellows. Like postdoctoral 

researchers, many guest researchers seek career opportunities in academia, the private sector, or 

federal agencies after their tenure at NIST. While some guest researchers’ work at NIST may 

result in inventions, all guest researchers leave NIST with technical and research skills that place 

them on the cutting edge of their disciplines. Each researcher takes these skills, knowledge, and 

a desire to employ them in innovative ways to new careers and employers. Among these skills is 

the knowledge of how to collaborate with federal laboratories and what federal resources are 

available to assist companies in creating and developing new and improved technologies. 

In FY 2017, there were 3,181 guest scientists and engineers working at NIST.

Table 19 – Guest Researchers

Accreditation Services

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

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

or calibrations.32 In FY 2017, NVLAP accredited 723 laboratories.

 

31 http://www.nist.gov/tpo/collaborations/guestresearchers.cfm

32 http://www.nist.gov/nvlap/

FY 2013 FY 2014 FY 2015 FY 2016 FY 2017

NIST Guest Researchers

Number of Guest Scientists and Engineers 2,963 2,981 3,125 3,273 3,181
23

Table 20 – Accreditation Services

Calibration Services

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

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

its calibration services to help manufacturers and users of precision instruments achieve the 

highest possible levels of measurement quality and productivity. NIST calibrations often serve 

as the basis for companies that provide commercial calibration services and calibration 

equipment.33 In FY 2017, there were 13,802 calibration tests performed by NIST.

Table 21 – Calibration Services

Education Outreach Programs and Partnerships

NIST has received recognition as a vital contributor to the efforts to improve science, 

technology, engineering, and mathematics (STEM) education in the United States. As part of its 

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

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

enrich basic research programs such as:

• the Summer Undergraduate Research Fellowship (SURF) program;

34

• the Summer High School Internship (SHIP) program;

35

• the Pathways Program;36

• the NIST Summer Institute for Middle School Science Teachers;

37 and

• the Professional Research Experience Program (PREP).

38

 

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

34 NIST’s Summer Undergraduate Research Fellowship (SURF) program provides internships for college students 

majoring in science, mathematics and engineering. http://www.nist.gov/surfgaithersburg/index.cfm

35 NIST’s Summer High School Internship (SHIP) program provides summer intern program for high school 

students who are interested in scientific research. http://www.nist.gov/ohrm/staffing/ship.cfm

36 The Pathways Programs offers high school, college and trade school students paid opportunities to work in a 

federal agency and explore different career paths while continuing their education. 

 http://www.nist.gov/ohrm/staffing/students.cfm

37 NIST’s Summer Institute for Middle School Science Teachers provides a two-week workshop for middle school 

science teachers featuring hands-on activities, lectures, tours, and visits with NIST scientists and engineers in their 

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

38 NIST’s Professional Research Experience Program (PREP) provides undergraduate and graduate students, as well 

as post-doctoral researchers, the opportunity to gain hands-on research experience working with NIST researchers. 

https://www.nist.gov/iaao/nist-professional-research-experience-program-prep

FY 2013 FY 2014 FY 2015 FY 2016 FY 2017

NVLAP Accreditations

Number of NVLAP Accreditations 743 774 726 735 723

FY 2013 FY 2014 FY 2015 FY 2016 FY 2017

Calibrations

Number of Calibration Tests Performed 14,974 15,401 13,906 12,971 13,802
24

In FY 2017, there were 212 students enrolled in the SURF program, 70 students enrolled in the 

SHIP program, 107 students enrolled in the Pathways program, 21 students enrolled in the NIST 

Summer Institute for Middle School Science Teachers, and 36 students enrolled in the PREP 

program.

Table 22 – STEM Education 

Conferences, Seminars, and Workshops

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

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

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

technology. 

In FY 2017, the NIST Conference Program arranged 108 conferences that attracted 10,588

researchers to NIST’s facilities in Gaithersburg, Maryland and Boulder, Colorado. NIST’s 

Office of Weights and Measures, which promotes uniformity in U.S. weights and measures laws, 

regulations, and standards, trained 1,832 weights and measures administrators, laboratory 

metrologists, and field enforcement officials during FY 2017.

Table 23 – Conferences, Seminars, and Workshops

NIST is expanding its collection of information on metrology training to include training for 

NIST facility users. Further, NIST staff answers e-mail, telephone, and mail inquiries from 

researchers requesting information and details about NIST technical developments and research 

results. 

FY 2013 FY 2014 FY 2015 FY 2016 FY 2017

SURF 205 203 206 213 212

SHIP 55 60 48 70 70

Pathways Program 98 78 97 85 107

Summer Institute for Middle School Teachers n.a. 22 22 20 21

PREP n.a. 134 164 204 36

FY 2013 FY 2014 FY 2015 FY 2016 FY 2017

NIST Conference Center

Conferences and Workshops 86 80 118 102 108

Attendance 8,579 9,208 11,490 10,370 10,588

Office of Weights and Measures - Metrology Training 

Seminar Attendance 446 355 457 342 466

Webinar Attendance 110 133 266 156 414

Workshop Attendance 55 30 27 0 36

Students 633 518 750 725 916

Total 1,244 1,036 1,500 1,223 1,832
25

Streamlining Technology Transfer Processes

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

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

size of these documents by approximately one third. 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. NIST 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. 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 396 days. The average CRADA approval time 

was 108 days.

Table 24 – Streamlining

(a) The time between the receipt date of an invention disclosure and the filing date of the first non-provisional 

patent application filed by NIST. 

(b) The time between the receipt of the memo related to the award of a CRADA and the time of approval for the 

memo.

Small Businesses, Start-ups and Young Entrepreneurial Companies

NIST recognizes the need to provide both funding and technological support for small 

businesses, start-ups, and young entrepreneurial companies. NIST and its joint institutes nurture 

young companies in high-growth technology areas by several means. 

In addition to financial support provided by the Small Business Innovation Research (SBIR) 

program and technical support through CRADAs, NIST recently implemented several new 

licensing options to aid innovators and lower developmental risk for potential partners who wish 

to obtain and use NIST technology. For example, the Science/Technology Advancement 

Research (STAR) license provides a no-cost, non-exclusive field-of-use research license to 

explore and advance NIST technologies for commercialization. 

In FY 2017, NIST patent licenses were held by 19 small businesses. There were 116 small 

businesses involved in traditional CRADAs and 903 small businesses were involved in nontraditional CRADAs. NIST’s non-traditional CRADAs involve 20 small businesses involved 

with material transfer agreements, 233 involved in calibration services and 650 receiving 

NVLAP accreditations. There were also 12 small businesses who received Phase I SBIR awards 

and 9 small businesses who received Phase II SBIR awards. 

FY 2013 FY 2014 FY 2015 FY 2016 FY 2017

Streamlining Efforts

Average Number of Days to Prepare a 

Patent Application(a) 401 456 410 442 396

Average CRADA Approval Time(b) 91 110 65 104 108
26

Small Business Innovation Research (SBIR)

NIST’s SBIR program funds science and technology based small businesses in the United States. 

The program offers qualified small businesses the opportunity to propose innovative ideas that 

meet specific NIST research and development needs and have the potential for 

commercialization.

39

 NIST has taken the following steps to improve its SBIR program:

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

needed to process and issue awards;

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

proposals while increasing the selection rate for worthwhile proposals. NIST 

Programmatic Investment Priority Areas in the NIST Three Year Programmatic Plan 

serve as topics to align SBIR priorities to NIST’s mission. The goal is to bring the Phase 

1 SBIR award rate up to the national average of 17%;

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

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

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

prioritization of proposals considered meritorious in the laboratory review through the 

use of criteria based on the overall NIST strategy and SBIR program goals; and

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

Small and Young Businesses Interacting with NIST

Another way of transferring NIST’s technologies is through the creation of companies by former 

NIST staff, NIST collaborators, licensees or others making use of NIST research. NIST 

routinely interacts with and provides special consideration for small businesses (companies with 

less than 500 employees) in order to help them become more competitive and productive. NIST 

also nurtures small and young companies by transferring its technology and support through its 

SBIR program. Over each of the last five fiscal years, NIST has continually increased the 

number of small business interactions in various technology transfer mechanisms.

Table 25 - Number of Small Businesses Interacting with NIST40

 

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

40 Total estimates are preliminary. NIST is currently working on efforts to improve the tracking of interactions with 

small and young companies.

FY 2013 FY 2014 FY 2015 FY 2016 FY 2017

Number of Small Businesses Licensing NIST 

Technologies 2 1 4 14 19

Number of Small Businesses involved in 

Traditional NIST CRADAs 31 37 68 58 116

Number of Small Businesses involved in NonTraditional NIST CRADAs 7 734 795 823 903

Number of Small Businesses involved in 

Phase I SBIR Awards 9 12 14 12 12

Number of Small Businesses involved in 

Phase II SBIR Awards 5 4 6 7 9

Total 85 825 955 972 1,156
27

NIST has also identified 44 start-up and young companies (existing for five years or less) that 

have either spun off technologies from NIST or received considerable support in their core area 

of technical development and were involved in research collaborations with NIST during FY 

2017.

Economic Assessment

NIST has had a long history of assessing the economic impact of standards and related 

technologies transferred from its research and standards programs. Between 2000 and 2011, 

NIST developed sixteen microeconomic studies that assessed technologies transferred to nine 

different industries. Each of these studies measured economic impact in terms of the net benefits 

society experienced or would experience as a result of NIST’s research and transfer activities. 

Measures of net benefits for these studies indicated that typically, for each dollar NIST spent, 

NIST created $9 in benefits. 

In addition to studies on NIST programs and standards, the Technology Partnerships Office also 

conducts and coordinates reports and studies on the economic impact of tech transfer across

multiple agencies, and coordinates both the Department of Commerce’s Technology Transfer 

Report and the Federal Technology Transfer Report on annual tech transfer metrics. In FY 2017, 

these studies included: 

Materials Genome Initiative (MGI)

A study to assess the economic impact of the MGI’s technology infrastructure. The study will

identify gaps in current infrastructure needed to support the MGI and estimate the economic 

value of eliminating these gaps. The development of advanced materials is essential to economic 

security and human well-being and has applications in a wide range of industries such as clean 

energy, national security, and human welfare, yet it can take 20 or more years to develop and 

commercialize new materials after their initial discovery. 

Advanced Encryption Standard (AES)

A study to assess the need for a robust and common encryption algorithm and the role NIST has 

played in addressing this need through the development and implementation of the Advanced 

Encryption Standard (AES), which is a Federal Information Processing Standard (FIPS), and the 

Secure Hashing Algorithms (2 FIPS). This report will include a review of the market barriers 

that gave rise to NIST’s investments in the development and diffusion of encryption technology, 

and an evaluation of the economic costs and benefits of NIST’s investments in AES

infrastructure. 

NIST Customer Demographics Study

A study to gain an understanding of the demography of NIST’s CRADA partners, licensees, and 

collaborations customers. Demographic data was retrieved through Dunn and Bradstreet on each 

institution that interacted with NIST in these three ways. TPO is looking at descriptive variables 

such as geographic location and classification, age, employment size, and NAICS codes to 

determine the demographic characteristics and the national distribution of institutions that have 

worked with NIST.
28

NIST Postdoc Impact Study

A study to assess the economic impact of the NIST-NRC postdoctoral program. This study will 

survey former NIST postdocs to gather information on patents held and related business pursuits. 

The data will be analyzed to determine the efficacy of postdocs as a tech transfer mechanism and 

the feasibility of pursuing additional research into the program’s contributions.

Small Business Innovation Research (SBIR) Survey

A study to assess Phase I and Phase II awards issued under NIST’s SBIR program. SBIR grants 

are intended to stimulate the development of innovative technologies to help federal agencies 

meet the specific research and development needs of the Nation in many areas. Between 2000 

and 2016, NIST provided a total of $53M for SBIR awards - $23M for 281 Phase I awards and 

$30M for 110 Phase II awards. The results of this study will provide NIST management with 

valuable insights into the operations and accomplishments of the SBIR program by detailing the 

extent to which the awards have met their mandated objectives, and ways in which the program 

could be improved.

NIST Footprint Study

A study to evaluate the economic contributions of NIST as a facility and an employer to the 

Nation and to the states of Maryland and Colorado. The study found that for each dollar of 

resources expended by NIST, an additional $1.49 was generated in economic impact. NIST’s 

total economic contribution to the Nation was $2.7B in FY16; NIST supported 12,220 jobs in the 

state of Maryland and 2,823 in the state of Colorado.

NIST Patent Citations Study

A study that explores the technological impact of NIST-owned and NIST-funded patents, 

scientific journal articles, and forms of “grey literature” such as standards documents, and 

conference papers. The study’s novel approach measured how frequently NIST technical 

outputs have been cited by subsequent patents and found that there was more than a ten-fold 

increase in citations from US patents to NIST technical outputs between 1995 and 2014. 

Citations from NIST document types (patents assigned to NIST; patents in which NIST has a 

government interest; peer reviewed papers resulting from NIST-funded research; and NIST grey 

literature) also increased significantly between 1995 and 2014. While the increase in citations 

provides an indication of the value of NIST’s research, additional research is needed to assess the 

manner and extent to which these citations have influenced technological development. 

Multi-Agency Reports and Studies

Global Positioning System (GPS) Study

A study to assess the economic impact of the Nation’s precision timing infrastructure, which is 

primarily facilitated through GPS. The study will evaluate technology transfer patterns and 

collaborations that have led to the development and deployment of GPS, the national benefits 

that have resulted from the role that NIST and other federal agencies played in the evolution of 

GPS, and the economic impact of a failure of the GPS system for up to 30 days.
29

Federal Technology Transfer Study

A study to identify and empirically measure impacts from federal technology transfer activities. 

This study focuses on the development of tools, methods, data, and data infrastructure derived 

from best practices used throughout the tech transfer community. A major goal of the project is 

to provide a systematic approach to the empirical analyses of technology transfer mechanisms 

that can be used by all federal agencies. This will also include efforts to identify barriers to 

effective technology transfer. The study will demonstrate the effectiveness of the proposed 

approach by providing multiple case studies of technology transfer impact achieved by several 

federal agencies. As outlined in the President’s Management Agenda41, one strategic area of 

focus for the Lab-to-Market Cross Agency Priority (CAP) goal42 is to “Improve understanding of 

global science and technology trends and benchmarks”. The results of this study will help 

demonstrate the value of federal research investments and will assist other agencies in 

conducting similar outcome-based analyses using the same methodology.

Federal ORTA/TTO Study

NIST is working with the Inter-Agency Working Group on Technology Transfer (IAWGTT) to 

complete a study on Offices of Research and Technical Applications/Technology Transfer 

Offices (ORTAs/TTOs). This study involves a survey to collect both quantitative and qualitative 

data from each technology transfer office within the IAWGTT. The reason for collecting the 

data is two-fold. First, the data are used to create a mutual understanding of the workings of 

Federal ORTAs/TTOs. Second, the data are used to analyze and discuss how specific 

organizational and operational activities of technology transfer offices impact technology 

transfer.

Efforts to Promote Entrepreneurship

Entrepreneur-in-Residence (EIR) Program

The NIST Entrepreneur-in-Residence (EIR) Program was initiated in 2013 to help the research 

staff and management understand and become connected to the Nation’s technologically-based 

entrepreneurship community. This program was developed and is jointly sponsored by NIST 

and Maryland’s Technology Development Corporation (TEDCO) through a Partnership 

Intermediary Agreement (PIA) between the two organizations. Under the PIA, TEDCO vets and 

recommends suitable candidates for one-year appointments. In FY 2017 there were three NISTTEDCO EIRs who serve on a voluntary basis without compensation. 

EIRs offer NIST employees seminars that cover business formation, funding, protection of 

intellectual property, and conflict-of-interest issues. EIRs also counsel NIST postdocs and other 

temporary employees on efforts to identify and explore career opportunities in small and start-up 

technology-oriented businesses. NIST provides additional one-on-one sessions to staff members 

interested in starting a company that will spin out a NIST technology. Over the past four years, 

more than 30 staff members have received one-on-one counseling and two are actively engaged 

in efforts to form a business venture to license a NIST technology for commercial purposes. The 

two individuals seeking to form a business venture also received guidance from the NIST Chief 

 

41 https://www.whitehouse.gov/wp-content/uploads/2018/03/Presidents-Management-Agenda.pdf

42 https://www.performance.gov/CAP/CAP_goal_14.html
30

Counsel and from the Department of Commerce Ethics Counsel before undertaking their 

initiative which is being pursued on their own time.

In FY 2018, EIRs will be involved in a coordinated training program that focuses on recognizing 

innovation and invention opportunities that spawn from mission-oriented research. This training 

will be presented through a series of seminars at various NIST organizational levels and will be 

available to the research and technical staff and to NIST’s post-doctoral community.

N-STEP Program

NIST launched the NIST Science and Technology Entrepreneurship Program (N-STEP)43 in 

November 2015 to provide opportunities for motivated researchers to build upon the experience 

they gained at NIST as they explore entrepreneurial careers that benefit the NIST mission. The 

Program is focused on commercialization of research that has been done at NIST by postdocs

who are interested in forming companies to independently pursue further translational research 

and development of technologies specifically related to NIST’s mission, so that the technologies 

can be commercialized as products or services to benefit the public.

In FY 2017, N-STEP received eight applications in the form of white paper submissions and 

funded six companies, including four new startup companies and two existing companies. NSTEP is funded by NIST and administered by Maryland TEDCO but is Nation-wide in scope 

and not limited to the State of Maryland.

Challenges

Challenge.gov is a listing of challenge and prize competitions, all of which are run by more than 

102 agencies across federal government. NIST participates in this challenge competition by 

offering cash prizes to the public for their help in solving perplexing mission-centric problems44

In FY 2017, NIST sponsored the following Challenges:

NIST Reference Data Challenge (NIST’s Director’s Office) 

• Purpose: Drive use of NIST reference data in apps, build awareness about NIST data. 

RAMP (NIST’s Electronics Laboratory)

• Purpose: Increase use of a standard NIST helped develop to describe and model 

manufacturing processes.

• Quasi-partners include the American Society of Mechanical Engineers, American Society 

for Testing and Materials, and the National Science Foundation.

Virtual Public Safety Test Environment Challenge (NIST’s Communications Technology 

Laboratory and Public Safety Communications Research Division)

• Purpose: Design a virtual reality test system that could be used to test new first responder 

technologies. 

PerfLoc (NIST’s Information Technology Laboratory and Public Safety Communications 

Research Division)

 

43 See http://tedco.md/program/n-step/

44 For more information see https://www.challenge.gov/about/ 
31

• Purpose: Develop indoor localization app that can help first responders navigate in 

different building environments. 

• NIST-hosted website includes a leaderboard and testing data generated by NIST. 

The Future of Public Safety Technology 100k Video Series (NIST’s Communications 

Technology Laboratory and Public Safety Communications Research Division)

• Purpose: Incentivize video and media experts to help PSCR champion open innovation 

in the context of public safety communications research. 

Awards

In FY 2017, NIST staff received the following awards:

• Craig Brown: Samuel Wesley Stratton Award, NIST

• Nick Butch: Presidential Early Career Award for Scientists and Engineers, White House

• Marcus Cicerone: Flemming Award, White House

• Mike Coble: Fellow, American Academy of Forensic Science

• Adam Fleisher: Ivan P. Kaminow Young Professional Prize, Optical Society of America

• Andrew Gayle and Robert Cook: Paper of the Year Award, Journal of Material Research

• Katherine Gettings: Fellow, American Academy of Forensic Science

• Jack Glover: F12 Award of Excellence and Emerging Professional, American Society of 

Testing and Materials International

• Justin Gorham: Emerging Professional, American Society of Testing and Materials 

International

• Michael Halter: ISAC Scholar, International Society for Advancement of Cytometry

• Andrew Herzing: K.F.J. Heinrich Award, Microanalysis Society of America

• Chemical Informatics Group: Supercomputing Award, DOE Advanced Manufacturing 

Office

• Bob Keller: Governor's Award for High Impact Research, CO-Labs

• Eric Kilpatrick: Outstanding Abstract Award, American Association for Clinical 

Chemistry

• Eric Lemmon: Achievement Award, American Gas Association

• Laurie Locascio: Earle B. Barnes Award for Leadership in Chemical Management, 

American Chemical Society

• John Marino: Best of BIOT Award, American Chemical Society Division of 

Biochemical Technology

• Mark McLinden and Andrei Kazakov: Rocky Mountain Eagle Award, Colorado Federal 

Executive Board

• Kalman Migler: Award, Washington Academy of Sciences

• Jan Obrzut: 1906 Award, National Committee of the International Electrochemical 

Commission

• Vladimir Oleshko, et al.: Best Paper Award, Microscopy Society of America

• William Osborn: named National Academy of Engineering Top Young Engineers in 

2017, U.S. Frontiers of Engineering Symposium by the National Academy of 

Engineering

• Elijah Petersen: SNO Emerging Investigator, Sustainable Nanotechnology Organization

• Anne Plant: Fellow, American Association for the Advancement of Science
32

• Jeanita Pritchett: Henry C. McBay Outstanding Teacher Award, National Organization 

for the Professional Advancement of Black Chemists and Chemical Engineers

• Dean Ripple: Award of Appreciation, American Society of Testing and Materials 

International

• Chris Stafford: Fellow, American Physical Society

• Matthew Staymates, Greg Gillen, Bill MacCrehan, Jessica Staymates: Global Innovation 

in Digital Technologies, Netexplo

• Terry Udovic: Bronze Medal, DOC

• Jim Warren: Kavli Distinguished Lectureship in Materials Science, Materials Research 

Society

• Winnie Wong-Ng: 2017 Distinguished Fellow, International Centre for Diffraction

• Justin Zook: Presidential Early Career Award for Scientists and Engineers, White House

Downstream Outcomes from NIST Technology Transfer Activities

Nanocollaboration Leads to Big Things

Roche Sequencing Solutions engineer Juraj Topolancik was looking for a way to decode DNA 

from cancer patients in a matter of minutes. Rajesh Krishnamurthy, a researcher with the startup 

company 3i Diagnostics, needed help in fabricating a key component of a device that rapidly 

identifies infection-causing bacteria. Ranbir Singh, an engineer with GeneSiC Semiconductor 

Inc., in Dulles, Virginia, sought to construct and analyze a semiconductor chip that transmits 

voltages large enough to power electric cars and spacecraft.

These researchers all credit the NanoFab, located at the Center for Nanoscale Science and 

Technology (CNST). The NanoFab provides cutting-edge nanotechnology capabilities for NIST 

scientists that is also accessible to outside users, with supplying the state-of-art tools, know-how 

and dependability to realize their goals.

Topolancik, the Roche Sequencing Solutions engineer, needed high precision etching and 

deposition tools to fabricate a device that may ultimately improve cancer treatment. His 

company’s plan to rapidly sequence DNA from cancer patients could quickly determine if 

potential anti-cancer drugs and those already in use are producing the genetic mutations 

necessary to fight cancer. “We want to know if the drug is working, and if not, to stop using it 

and change the treatment,” says Topolancik. 

In the standard method to sequence the double-stranded DNA molecule, a strand is peeled off 

and resynthesized, base by base, with each base—cytosine, adenine, guanine and thymine—

tagged with a different fluorescent label. “It’s a very accurate but slow method,” says 

Topolancik. Instead of peeling apart the molecule, Topolancik is devising a method to read 

DNA directly, a much faster process. Borrowing a technique from the magnetic recording 

industry, he sandwiches the DNA between two electrodes separated by a gap just nanometers in 

width.

According to quantum theory, if the gap is small enough, electrons will spontaneously “tunnel” 

from one electrode to the other. In Topolancik’s setup, the tunneling electrons must pass through 

the DNA in order to reach the other electrode. The strength of the tunneling current identifies 
33

the bases of the DNA trapped between the electrodes. It is an extremely rapid process, but for 

the technique to work reliably, the electrodes and the gap between them must be fabricated with 

extraordinarily high precision.

That is where the NanoFab comes in. To deposit layers of different metals just nanometers in 

thickness, Topolancik relies on the NanoFab’s ion beam deposition tool. And to etch a pattern in 

those ultrathin, super smooth layers without disturbing them—a final step in fabricating the 

electrodes—requires the NanoFab’s ion etching instrument.

“These are specialty tools that are not usually accessible in academic facilities, but here [at the 

NanoFab] you have full, 24/7 access to them,” says Topolancik. “People here care about you, 

they want you to succeed because that’s the mission of the NanoFab.” As a result, he notes, “I 

can get done here in two weeks what would take half a year any place else.”

When Krishnamurthy, whose company is based in Germantown, Maryland, needed an infrared 

filter for the bacteria-identifying chip, proximity was but one factor in reaching out to the 

NanoFab. “Even more important was the level of expertise you have here,” he says. “The 

attention to detail and the trust we have in the staff is so important—we didn’t have to worry if 

they would do a good job, which gives us tremendous peace of mind,” Krishnamurthy notes. 

The NanoFab also aided his project in another, unexpected way. Krishnamurthy had initially 

thought that the design for his company’s device would require a costly, highly customized 

silicon chip. But in reviewing design plans with engineers at the NanoFab, “they came up with a 

very creative way” to use a more standard, less expensive solution that would achieve the same 

goals, he notes.

“The impact in the short term is that we didn’t have to pay as much [to build and test] the device 

at the NanoFab, which matters quite a bit because we’re a start-up company,” says 

Krishnamurthy. “In the long run, this will be a huge factor in [enabling us to mass produce] the 

device, keeping our costs low because, thanks to the input from the NanoFab, the source material 

is not a custom material.”

Singh came to the NanoFab with a different mission. His company is developing a 

semiconductor device durable enough to transmit hundreds to thousands of volts without 

deteriorating which will be used to power electric cars and spacecraft. He relies on the 

NanoFab’s metal deposition tools and high-resolution lithography instruments to finish building 

and assess the properties of the device.

“Not only is there a wide diversity of tools, but within each task there are multiple technologies,” 

Singh adds. For instance, he notes, technologies offered at the NanoFab for depositing 

exquisitely thin and highly uniform layers of metal—which Singh found crucial for making 

reliable electrical contacts—include both evaporation and sputtering, he says.

The wide range of metals available for deposition at the NanoFab, uncommon at other nanotech 

facilities, was another draw. “We needed different metals compared to those commonly used on 

silicon wafers and the NanoFab provided those materials,” notes Singh. 

NIST Invents Fundamental Component for ‘Spintronic’ Computing
34

NIST has been granted a patent for technology that may hasten the advent of a long-awaited new 

generation of high-performance, low-energy computers.

Conventional microelectronic devices, for the most part, work by manipulating and storing 

electrical charges in semiconductor transistors and capacitors. One highly promising alternative 

approach, called “spintronics,” utilizes the quantum spin of the electron to hold information in 

addition to the charge. The two different spin orientations (typically designated “up” and 

“down”) are analogous to positive and negative electrical charges in conventional electronics. 

Because changing an electron’s spin requires very little energy and can happen very fast, 

spintronics offers the possibility of significant energy reduction.

“Our invention,” says co-inventor Curt Richter of NIST’s Engineering Physics Division, “is 

designed to provide one key component in spintronic systems. It’s a very simple, fundamental 

building block that can be used in a variety of different ways. It can serve as an on-off switch for 

spin currents, as an interconnect between different spintronic components, and as an interface 

between magnetic and electronic features to realize multifunctional devices.”

This property has been exploited to make microscopic “spin valves”—typically a channel with a 

magnetic layer at each end. The relative polarity of the two magnets turns the valve on or off: If 

both magnets have the same alignment, the spin-polarized current passes through the channel. If 

the magnets have opposite alignments, current cannot flow.

John Kramar, Acting Chief of NIST’s Engineering Physics Division, calls the work “a very 

exciting invention that provides a great solution for the switching-energy problem for spin 

valves. It removes a significant technological barrier for spintronics to become a strong 

contender for beyond-CMOS microelectronics.”

NIST Patents First DNA Method to Authenticate Mouse Cell Lines

Cell lines that have been contaminated or misidentified due to poor laboratory technique and 

human error lead to inaccurate research studies, retracted publications, and wasted resources. In 

fact, many scientific funding organizations, such as the National Institutes of Health, now require 

scientists to verify their cell lines for identity and quality before research grants are awarded. To 

help address this challenge, NIST is working with partners to design tools, establish datasets, and 

further develop and standardize NIST’s system to authenticate mouse cell lines. 

One of the first milestones in NIST’s effort is the recently granted U.S. patent (No. 9,556,482) 

for an authentication method using NIST-identified short tandem repeat (STR) markers (tiny 

repeating segments of DNA found between genes) for mouse cell lines. The method can be used 

to verify that a cell line is derived from a particular mouse in the same way forensic experts can 

confirm the identify of a person using DNA evidence. 

NIST partnered with the ATCC (formerly the American Type Culture Collection), a global 

leader in biological materials management and standards, to further develop the STR technology 

for authentication and establish the Mouse Cell Line Authentication Consortium. The 

Consortium will test and validate the patented authentication method.
35

NIST Concept for an Artifact to Test Laser Scanners Commercialized by Bal-Tec

To properly calibrate laser scanners used in particularly 

sensitive operations, organizations need to perform a 

labor intensive and time consuming test. Based on 

feedback, staff from NIST’s Engineering Physics 

Division developed a novel prototype that significantly 

reduces testing time. NIST work led to Bal-Tec Inc., a 

U.S. manufacturer of metrology equipment, developing a 

commercial version of the test.

NIST Upgrades Widely Used Database of Molecular 

'Fingerprints'

When scientists need to identify an unknown compound, 

they do what a police detective might do. They get 

fingerprints—in this case, the “molecular fingerprints” of 

the unknown compound—and run them through a 

database of fingerprints from known compounds to look 

for a match. 

One of the world’s largest and most widely used databases of molecular fingerprints is the NIST 

Mass Spectral Library, and that library just got larger still. On June 6, 2017, NIST added 

fingerprints from more than 25,000 compounds to the library, bringing the total number to more 

than 265,000. This library contains fingerprints of organic compounds, both natural and manmade.

“This library is used by scientists and engineers in virtually every industry,” said Stephen Stein, 

the NIST chemist who oversees the Mass Spectral Library. He rattled off just a few uses: 

diagnosing medical conditions, conducting forensic investigations, identifying environmental 

pollutants and developing new fuels. “And anything having to do with food,” he said, since the 

taste of a food is determined by the complex mixture of organic molecules within it. “The flavor 

and fragrance industries live and die by this stuff.”

Among the important compounds whose fingerprints are included in this upgrade are many 

dangerous drugs. These include dozens of synthetic cannabinoids—aka “synthetic marijuana”—

which can cause psychotic episodes, seizures, and death. Also included are more than 30 types 

of fentanyl, the synthetic opioid that is driving an epidemic of overdoses nationwide.

Having the fingerprints of these compounds in the Mass Spectral Library will help law 

enforcement and public health officials fight the spread of these new and dangerous substances.

NIST has released the latest version of the Mass Spectral Library, and the software needed to run 

it, to more than 60 distributors that bundle the data and software into mass spectrometry 

instruments. Owners of existing instruments can also download the latest version from 

distributors online.

NIST Offers Technical Training for the Judiciary

Bal-Tec commercial version 

of NIST artifact.
36

MML’s Applied Chemicals and Materials Division recently 

provided a short course on Vapor Sampling and 

Characterization for 13 members of the judiciary on June 8 

and 9, 2017, under the auspices of the National Courts and 

Science Institute (NCSI). 

NCSI is a nonprofit foundation that provides scientific training 

to the judiciary, enabling judges to better understand scientific 

evidence. Judges who complete training are designated 

Resource Judges, or upon completion of multiple 

training modules, Fellows of the Institute. These specially 

trained judges then mentor other judges throughout the 

judiciary on specific scientific topics. Two state 

supreme court justices, five state appellate judges and six trial 

judges participated in NIST’s training. 

 The judges heard lectures on vapor characterization, chemical analysis, mixture behavior, and 

measurement uncertainty. Five laboratory sessions featured experiments on all the techniques, in 

which the judges exchanged their black robes for white lab coats. The capstone lab was called 

the six-pack: six samples of fire debris (made by burning gasoline, diesel fuel, or no accelerant) 

were chosen by a dice throw, and the judges had to figure out what, if any, ignitable liquid was 

used in the fire. 

Finally, the judges participated in the mock voir dire, preliminary examination of potential 

expert witnesses. The judges came away better equipped to handle scientific evidence. One 

appellate jurist expressed that he wished he had taken the course before he presided over an 

arson appeal a few months ago. There are currently 60 more judges on the waiting list for two 

offerings of the course next May. 

The judges enjoyed temporarily 

trading their black robes for lab coats.
37

NIST-Developed Method Provides Critical Metrology Solution to Semiconductor Industry

A NIST-developed metrology method using X-rays to 

measure the shape of the nanoscale devices at the core of 

all the electronics that surround our daily life is helping the 

semiconductor industry to “see” what they are making as 

they develop next generation electronic devices. 

NIST has worked closely with semiconductor 

manufacturers and equipment manufacturers to develop 

metrology solutions for the industry’s challenges. The 

NIST-developed X-ray measurement, called critical 

dimension small angle X-ray scattering (CDSAXS), can 

determine the shape of nanostructures with sub-nm 

accuracy. 

NIST has had 5 CRADAs with companies including Intel 

and Lam Research to develop and transfer CDSAXS 

methods to the semiconductor industry. NIST also hosted a two-day short course where NIST 

staff trained almost 30 semiconductor industry scientists on the fundamentals and application of 

CDSAXS. The short course included hands on demonstrations of the measurement on NIST’s 

custom built instrument. 

Semiconductor equipment manufacturers are ramping up their instrument development and have 

applied for over 30 patents related to CDSAXS. Initial commercial systems are now available 

and will soon be characterizing wafers at manufacturing facilities.

New Public-Private Partnership to Develop Standards for Regenerative Medicine

NIST has partnered with the Standards 

Coordinating Body for Gene, Cell and Regenerative 

Medicines and Cell-based Drug Discovery (SCB) to 

develop industry-wide standard methods and 

protocols for characterizing and manufacturing 

these cutting-edge therapies, with an aim of 

accelerating their use as mainstream treatments for 

a variety of human diseases and injuries. 

The field of regenerative medicine manipulates 

genes, cells, and tissues to repair or replace diseased, damaged, or missing organs, skin, bone, 

and other cells and tissues. Regenerative medicine has the potential to alleviate the shortage of

donor organs and restore appearance and full function to patients who have experienced severe 

burns or physical trauma.

Because of the complexity of regenerative medicine treatments, they have been slow to transition 

from the laboratory to the clinic. The traditional measurements of efficacy, potency, purity, and 

quality that work with traditional pharmaceuticals are not always sufficient for regenerative 

medicine treatments. To address these issues, NIST and the SCB, a non-profit founded by the 
38

Alliance for Regenerative Medicine, signed a Memorandum of Understanding, formed a 

partnership to explore the regenerative medicine industry’s needs and develop standards and 

other products to increase confidence in measurements of gene- and cell-based therapies and 

manufacturing processes.
39

CHAPTER 3

National Oceanic and Atmospheric Administration

NOAA’s mission is to understand and predict changes in climate, weather, oceans, and coasts; to 

share that knowledge and information with others; and to conserve and manage coastal and 

marine ecosystems and resources. This mission will become ever more critical in the 21st

century as national issues related to climate change, limited freshwater supply, ecosystem 

management, and homeland security intensify. 

The NOAA technology and innovation enterprise consists of more than 50 laboratories, 

programs, and offices headquartered in Silver Spring, Maryland, and staffed across the United 

States, supporting NOAA’s four service-based Line Offices: the National Marine Fisheries 

Service, the National Ocean Service, the National Weather Service, and the National 

Environmental Satellite, Data, and Information Service, as well as thematic programs including 

Climate, Aquaculture, Arctic, Ocean Exploration and Research, Weather and Air Quality, and 

Ocean Acidification. While the service-based Line Offices each have an R&D component, the 

entire enterprise is also supported by a dedicated R&D Line Office: The Office of Oceanic and 

Atmospheric Research (OAR).

Research across NOAA’s laboratories is primarily aimed at improving the ability of the

operational components to accomplish their respective missions. Recent examples 

demonstrating the direction of NOAA’s research are severe storm (hurricane, tornado, derecho 

winds) and drought forecasting, physical forecasts for renewable energy siting, predicting fresh 

water resources, tsunami warnings, air quality measurement, solar emission forecasting, 

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

pollution, invasive species monitoring, coral reef health, ocean acidification, coastal/ocean 

disaster response and restoration, charting ocean bottom topography, a wide variety of climate 

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

oceans. Research results are routinely transitioned to NOAA’s operational components to 

improve prediction, management, and other mission activities.

Approach and Plans for Technology Transfer

The vast majority of NOAA’s transfer of technology outside of the organization happens through 

peer-reviewed scientific publications and the provision of data and software-based decisionsupport tools which are delivered directly to the public and stakeholders in service to the NOAA 

mission of protecting lives and property. The remainder of NOAA’s technology transfers are the 

result of partnerships, grants, and other formal technology transfer mechanisms such as patent 

license agreements. The following is an overview of NOAA’s technology transfer activity, both 

formal and informal, during Fiscal Year 2017. 

Data Products and Services

NOAA scientists provide details of their research and technology to the public in the form of 

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

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

protected species, air quality, coastal conditions, beach temperatures, nautical charts, and 
40

databases on climate, oceans, ice, atmosphere, geophysics and the sun. These data are provided, 

often in real-time, through the network of NOAA data centers and websites. 

Decision Support Tools

NOAA’s labs and programs develop a wide variety of dedicated software tools and websites 

which bring data to the public in a user-friendly format to enable effective decision-support. In 

many cases these websites are developed in conjunction with academia and private sector 

partners.

Engaging Citizens to Improve Weather Forecasts Worldwide

An exemplary application of citizen science, the 

Meteorological Phenomena Identification Near 

the Ground (mPING) project is a crowd-sourcing, 

mobile phone app that allows anyone to submit 

precipitation observations to the NOAA National 

Severe Storms Laboratory (NSSL). These 

observations are used to validate and improve 

radar-based precipitation type (e.g., rain, sleet, 

snow, freezing rain, etc.) methodologies 

developed by NSSL in support of NOAA 

National Weather Service (NWS) forecasters. A 

database has been developed for efficient and 

secure ingest and distribution of mPING 

observations via an open application program 

interface (API), which allows other app 

developers to access and distribute the data. Since January 2017, over 254,000 reports have been 

submitted to the database.

During this same time, the database has been queried 41 million times, of which two percent 

were from NWS entities (38,600,000 are from a commonly-used commercial app called 

RadarScope that uses the open API, while the rest are from other entities). Finally, mPING 

improved the skill of winter precipitation type forecasts for ice pellets and freezing rain (out to 

eighteen hours) by a factor of four to six over older techniques.

Cooperative Institutes

NOAA supports a network of 16 Cooperative Institutes at 43 universities and research 

institutions across 20 states, the District of Columbia, Puerto Rico, and the US Virgin Islands. 

Some Cooperative Institutes are located near NOAA laboratories or science centers, creating a 

strong, long-term collaboration between federal and university scientists. The work done 

through the Cooperative Institutes directly supports NOAA’s mission activities. NOAA’s 

Technology Partnerships Office (TPO) works closely with the technology transfer offices from 

the Cooperative Institutes to jointly manage intellectual property and seek out licensing partners.

Visiting Scientists - International Collaborations

In addition to NOAA’s Cooperative Institutes, a number of NOAA labs transfer technology by 

hosting both domestic and international visiting scientists. To ensure that the United States 

Reduced visibility due to blowing dust or sand: 

Visibility reduction caused by strong winds lofting sand 

and dust, most often from dry and barren soil. Photo: 

NOAA
41

benefits from and fully exploits scientific research and technology developed abroad, NOAA 

collaborates and shares information with organizations in countries throughout the world. 

Through these international relationships, NOAA receives technology that may eventually 

benefit U.S. industries and public users. For example, the understanding and forecasting of 

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

collaboration and information sharing. This sharing is accomplished through formal agreements 

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

Meteorological Organization (WMO), the Intergovernmental Oceanographic Commission (IOC), 

and the International Astronomical Union (IAU). 

NOAA participates in international scientific programs, such as in the Global Earth Observation 

System, and shares technology and scientific data. This effort involves nearly 50 countries, the 

European Commission, and 29 international organizations. NOAA also provides technical 

assistance and training to individuals from other countries and participates in an international 

visiting scientist program. Further, NOAA shares environmental data through its participation in 

the World Data Center program.

User Facilities 

While NOAA does not currently offer its facilities for public use, NOAA does regularly 

collaborate with the private sector and academia to test new technologies for its operational 

environment through its networks of testbeds and proving grounds. 

NOAA Testbeds

NOAA's testbeds and proving grounds facilitate the transition of promising research capabilities 

to operational implementation through development testing in testbeds, and pre-deployment 

testing and operational readiness and suitability evaluation in operational proving grounds. 

NOAA maintains 12 individual testbeds related to weather, climate, and severe weather 

activities. The annual federal funding opportunities for these testbeds attract technologies from 

academia, the private sector, and NOAA labs. Testbeds also provide essential funding for 

bridging the gap between R&D and implementation into operational use. 

NOAA’s joint technology transfer initiative (JTTI) seeks to prioritize the transition of promising 

weather research into operations, applications, and commercialization. Congress enacted $10 

million in support of this program in FY 2017. 

NOAA Sterling Virginia Field Support Center

The Sterling Field Support Center (SFSC) provides operational support to field personnel and the 

private sector through a combination of sensor testing, analysis and contact center support. The 

staff of the SFSC is comprised of a diverse mix of Meteorologists, Electrical Technicians, and 

Engineers. Collectively, SFSC personnel have many years of practical experience working with 

National Weather Service sensors and related equipment. The SFSC is responsible for the 

research, testing, and development of a variety of meteorological systems. These systems 

include the Automated Surface Observing System (ASOS), Radiosonde Replacement System 

(RRS), and Cooperative Observer Program (COOP).
42

NOAA Sea Grant

Sea Grant is a network of 33 university-based programs that support coastal and Great Lakes 

communities through research, extension and education to turn science into real world impacts. 

(http://seagrant.noaa.gov/) 

U.S. Integrated Ocean Observing System Program (IOOS®)

A national-regional partnership working to provide new tools and forecasts to improve safety, 

enhance the economy, and protect our environment. Integrated ocean information is available in 

near real time, as well as retrospectively. (https://ioos.noaa.gov/) 

Climate Program Office

The Climate Program Office manages the competitive research program in which NOAA funds 

high-priority climate science to advance understanding of Earth's climate system and its 

atmospheric, oceanic, land, and snow and ice components. This science contributes to 

knowledge about how climate variability and change affect our health, economy, and well-being. 

The Office supports research that is conducted regionally in the United States, nationally, and 

globally. (http://climate.noaa.gov/) 

Managing and Tracking NOAA’s Intellectual Property Portfolio

The NOAA TPO, housed under OAR, manages a central technology transfer program for all 

NOAA Labs, Centers, Programs, and external partners. To ensure the program is effectively 

serving its customers, management has developed a five-year strategic plan that will seek to 

track and improve performance across four key areas:

• Developing and Nurturing Lab/Center Innovation Ecosystems

• Increasing External Awareness and Recognition for NOAA’s Technology Transfer 

• Improving Staff Understanding and Utilization of Technology Transfer

• Streamlining Policy and Management for Technology Transfer across NOAA

The program will monitor and report on progress across each of these areas in future technology 

transfer reports. 

Work Product and Collaborative Activities

Inventions, Patents, and Licensing

In 2017, NOAA was awarded three new U.S. patents for innovations. NOAA researchers 

disclosed an additional three new inventions, which resulted in two provisional patent 

application filings. The TPO also converted a provisional application from 2016 to a nonprovisional patent application in 2017. 

NOAA now maintains an active patent portfolio of 18 technologies, ten of which are being 

marketed for licensees or are being actively commercialized. NOAA also signed a royalty-free 

research and development license during FY 2017, so its portfolio consists of eight active 

licenses, seven of which are income bearing. 
43

Table 26 – Invention Disclosures and Patents

Table 27 – Licenses

FY 2013 FY 2014 FY 2015 FY 2016 FY 2017

Invention Disclosures 

Inventions Disclosed 8 6 15 18 3

Patents 

U.S. Patent Applications Filed 3 4 6 4 3

U.S. Patents Received 1 0 1 1 3

Foreign Patent Applications Filed 0 1 0 0 0

Foreign Patents Received 0 0 0 1 0

FY 2013 FY 2014 FY 2015 FY 2016 FY 2017

Licenses 

Total Active Licenses 5 5 6 7 7

 Total New Licenses 0 0 2 3 0

Income Bearing Licenses

Total Active Income Bearing Licenses 5 5 4 5 7

 New Income Bearing Licenses 0 0 3 3 2

Total Active Invention Licenses 5 5 4 7 7

 New Invention Licenses 0 0 0 3 1

Exclusive Licenses 0 0 1 4 4

Partially Exclusive Licenses 0 0 0 0 0

Non-Exclusive License 5 5 3 3 3

Elapsed time for Granting Licenses

Average (months) 0 0 3 9 3

Minimum (months) 0 0 0 5 1

Maximum (months) 0 0 0 14 5
44

Table 28 – License Income

Cooperative Research and Development Agreements

NOAA’s Labs, Centers and Programs executed 15 new Cooperative Research and Development 

Agreements (CRADAs) in 2017. Eight of these agreements were with small businesses. 

Factoring in the new and expiring agreements, the total NOAA CRADA portfolio is now 37

active agreements. 

FY 2013 FY 2014 FY 2015 FY 2016 FY 2017

License Income

 Total License Income $48,798 $69,151 $39,633 $11,000 $65,810

 Total Invention License Income $48,798 $69,151 $39,633 $11,000 $65,810

Earned Royalty Income (ERI)

ERI top 1% $36,798 $50,000 $39,633 $7,000 $60,000

ERI top 5% $36,798 $50,000 $39,633 $7,000 $60,000

ERI top 20% $36,798 $50,000 $39,633 $7,000 $60,000

Minimum ERI $1,000 $1,000 $39,633 $1,000 $210

Maximum ERI $36,798 $50,000 $39,633 $7,000 $60,000

Median ERI $11,000 $13,830 $39,633 $5,000 $2,800

Disposition of Earned Royalty Income

Total amount of ERI received $48,798 $69,151 $39,633 $11,000 $5,600

$16,740 $22,845 $12,588 4000 $1,736

34% 33% 32% 36% 31%

$32,058 $46,306 $27,045 7000 $3,864

66% 67% 68% 64% 69%

Licenses terminated for cause 0 0 0 0 0

Percent of ERI distributed to inventors

Percent of ERI distributed to agency or lab
45

Table 29 – Cooperative Research and Development Agreements

Table 30 – Small Businesses, Startups, and Young Companies.

Note: Small business numbers were not tracked prior to FY16

Publications45

In FY 2017, peer-reviewed publications by NOAA scientists totaled 1,678. The following charts 

show the breakdown of publications by subject, NOAA Line Office, R&D Unit, as well as coauthorship by institution and country. 

 

45

 NOAA publications data for 2017 were derived on October 5, 2017, using queries through the Web of Science 

database. As a result of variations in titles and nomenclature, these data do not provide a comprehensive measure 

of all NOAA publications. This reporting includes only those publications by NOAA scientists that were captured 

by the search queries. Extramural publications funded by NOAA either directly or indirectly are likewise not

included. 

FY 2013 FY 2014 FY 2015 FY 2016 FY 2017

CRADAs 

Active CRADAs 15 19 28 33 37

Newly Executed CRADAs 7 8 14 9 15

Active CRADAs with small businesses 0 0 0 18 26

Small Businesses in Active CRADAs 0 0 0 18 26

Traditional CRADAs

Active Traditional CRADAs 15 19 28 33 36

Newly Executed Traditional CRADAs 7 8 14 9 14

Non-traditional CRADAs

Active Non-traditional CRADAs 0 0 0 0 0

Newly Executed Non-traditional CRADAs 0 0 0 0 0

FY 2013 FY 2014 FY 2015 FY 2016 FY 2017

Small businesses supported

Total Number of Small Businesses 

Supported 0 0 0 23 30

Total Number of Startup and Young 

Companies Supported 0 1 1 2 1
46

Table 31 – Publications per Subject

Figure 6 illustrates the number of publications per Line Office as a percentage of all NOAAauthored publications in FY2017. A single publication with authors from one or more-line office 

is counted as a publication for each line office.

Figure 6 – NOAA-Authored Publications per Line Office

Subject Authored 

Publications

Meteorology Atmospheric Sciences 551

Marine Freshwater Biology 221

Oceanography 216

Environmental Sciences 202

Ecology 160

Fisheries 157

Geosciences Multidisciplinary 153

Multidisciplinary Sciences 130

Remote Sensing 60

Zoology 59

39%

35%

10%

9%

7% 0.2%

OAR (39%)

NMFS (35%)

NWS (10%)

NESDIS (9%)

NOS (7%)

Other (0.2%)

OAR Oceanic and Atmospheric Research

NMFS National Marine Fisheries Service

NWS National Weather Service

NESDIS National Environmental Satellite Data and Information Service

NOS National Ocean Service
47

Figure 7 illustrates the number of publications per research unit as a percentage of all NOAAauthored publications in FY2017. A single publication with authors from one or more research 

unit is counted as a publication for each research unit.

Figure 7 – Publications per Research Unit

ESRL, 15%

NWFSC, 8%

SWFSC, 8%

AKFSC, 7%

STAR, 6%

NCEP, 6% GFDL, 6%

SEFSC, 5%

AOML, 4%

NSSL, 4%

NEFSC, 3%

PIFSC, 3%

Other NMFS, 3%

NCCOS, 3%

PMEL, 3%

NCEI, 2%

Other NESDIS, 2%

Other NOS, 2%

Other NWS, 2%

ARL, 2% GLERL, 2% Other OAR, 1% AKFSC Alaska Fisheries Science Center NMFS National Marine Fisheries Service

AOML Atlantic Oceanographic Meteorological Laboratory NOS National Ocean Service

ARL Air Resources Laboratory NSSL National Severe Storms Laboratory

ESRL Earth Systems Research Laboratory NWFSC Northwest Fisheries Science Center

GFDL Geophysical Fluid Dynamics Laboratory NWS National Weather Service

GLERL Great Lakes Ecosystems Research Laboratory PIFSC Pacific Islands Fisheries Science Center

NCCOS National Center for Coastal Ocean Sciences PMEL Pacific Marine Environmental Laboratory

NCEI National Centers for Environmental Information SEFSC Southeast Fisheries Science Center

NCEP National Centers for Environmental Prediction STAR Center for Satellite Applications and Research

NESDIS National Environmental, Satellite, Data and Information Service SWFSC Southwest Fisheries Science Center
48

Figure 8 illustrates the top 15 extramural collaborators as measured by the number of 

publications co-authored by authors from NOAA and each institution.46

 

46 Source: Web of Science as of October 23, 2017.

0 25 50 75 100 125 150 175 200 225

Goddard Space Center

Oregon Univ System

Univ Oklahoma System

Univ Oklahoma Norman

Univ Maryland College...

University of Miami

Princeton University

NCAR

Univ System Maryland

Univ Washington Seattle

Univ Washington

Univ California System

Univ Colorado Sys

Univ Colorado Boulder

NASA

Number of articles

Figure 8 - Co-Authored Publications per Institution (top 15)
49

Figure 9 illustrates the top 15 international collaborators as measured by the number of 

publications co-authored by authors from NOAA and each nation.47

Other Activities, Performance Measures Deemed Important by the Agency

Science on a Sphere®

Science On a Sphere® (SOS) is a room-sized, global display system (US Patent No. 6,937,210)

that uses computers and video projectors to display planetary data onto a six-foot diameter 

sphere, comparable to a giant animated globe. Researchers at NOAA developed SOS as an 

educational tool to help illustrate earth system science to people of all ages. Animated images of 

atmospheric storms and ocean temperature can be shown on the sphere, which is used to explain 

complex environmental processes in a way that is simultaneously intuitive and captivating.

Table 32 – SOS Installations

Downstream Outcomes from NOAA Technology Transfer Activities

 

47 Source: Web of Science as of October 23, 2017.

0 20 40 60 80 100 120 140 160 180

Finland

Austria

Sweden

Netherlands

Spain

Switzerland

Italy

Norway

Japan

France

Germany

China

Australia

Canada

United Kingdom

Number of articles

Figure 9 - Co-Authored Publications per Country (top 15)

FY 2013 FY 2014 FY 2015 FY 2016 FY 2017

Total Number in Operation 101 110 126 135 144

New Domestic 7 4 6 3 6

New International 6 5 10 6 3

Total New Installs 13 9 16 9 9
50

NOAA Big Data Project (BDP) Turns Two

NOAA’s BDP was established in 2015 under a set of Cooperative Research and Development 

Agreements (CRADAs) between NOAA and five major commercial cloud service providers: 

Amazon Web Services, Google, IBM, Microsoft and the Open Commons Consortium. The goal 

of the project is to investigate how providing large NOAA data sets through modern cloud 

computing platforms can increase their utilization and value to U.S. businesses.

NOAA’s Next Generation Weather Radar (NEXRAD) weather data were among the first to be 

delivered through these CRADAs. The National Centers for Environmental Information (NCEI) 

transferred the complete NEXRAD Level II historical archive to four of the five BDP 

collaborators. Amazon Web Services (AWS) was the first to make freely available the complete 

archived Level-II data through its AWS platform, with The Climate Corporation as a business 

partner and data consumer. AWS also collaborated with Unidata/University Corporation for 

Atmospheric Research (UCAR) to establish a real-time NEXRAD data feed, thereby providing 

on-demand dissemination of both archived and current data seamlessly through the same access 

mechanism. 

Through this cloud platform alone, the utilization of the NEXRAD data by volume has increased 

by 130% over the past usage patterns observed at NCEI, while the load on NCEI systems has 

decreased by 50%. Additional NOAA datasets including fisheries catch data, numerical weather 

prediction model output, advanced weather radar products, and geostationary satellite data are at 

various stages of discussion and development. 

NOAA and its collaborators are beginning to realize the potential of this collective effort among 

federal government, private industry, and academia, including stimulating new business 

opportunities and novel applications—all at no net cost to the U.S. taxpayer. 

New marine channels forecast in Tampa gives ships a better navigation guide

On August 1, 2017, NOAA's National Ocean Service (NOS) Center for Operational 

Oceanographic Products and Services (CO-OPS) launched the Tampa Bay Marine Channels 

Forecast, an integrated suite of oceanographic and meteorological forecast products focused 

along the navigation channels of Tampa Bay. The product, initially developed by the National 

Weather Service (NWS) Tampa Bay Weather Forecast Office (TBWFO) at the behest of local 

pilots, includes a critical visibility forecast for the region. As a result of this new product, ship 

pilots no longer have to check multiple sources for information as they navigate the marine 

channels. The map-interface tool integrates forecasted water levels and tidal currents from COOPS with 24-hour weather forecasts, including winds, wind gust, visibility, rain chance, and 

marine hazard alerts from the TBWFO. The Tampa Bay Marine Channels Forecast provides 

information that is critical for the economy and safety of coastal communities. Vessel operators 

rely on accurate forecasts and observations to prevent costly maritime accidents and improve 

freight efficiency in an increasingly busy seaport. Source: 

https://tidesandcurrents.noaa.gov/news/tampa-bay-marine-channels-forecast_article.html
51

Sister Sanctuary Agreement Protects Whales from New England to the Caribbean

A new “sister sanctuary” agreement signed this 

spring between NOAA and the government of 

The Netherlands adds to a network of marine 

protected areas stretching from New England to 

the Caribbean Sea, and now provides refuge for 

North Atlantic humpback whales at both ends of 

their 3,000-mile annual migration.

The agreement between NOAA’s Stellwagen 

Bank National Marine Sanctuary, off the coast 

of Massachusetts, and the Yarari Marine 

Mammal and Shark Sanctuary of the Caribbean Netherlands in the Dutch Lesser Antilles, 

provides for joint whale research, monitoring, education and conservation.

From April through December, humpback whales feed in Stellwagen Bank, and migrate to lower 

latitudes in the Caribbean Sea during the winter to mate and calve. Yarari sanctuary is a 

breeding and calving ground for the humpback whale population of around 1,000 whales, which 

are shared by both nations.

“Cooperation is central to our goals of and to the implementation of the regional Marine 

Mammal Action Plan for the Caribbean,” said Monica Borobia-Hill, UNEP program officer. 

“We welcome this agreement. It will open new opportunities for collaboration in activities of 

mutual interest on humpback whales and other marine mammals, as appropriate, as well as their 

respective habitats.” Source: http://www.noaa.gov/media-release/new-sister-sanctuaryagreement-protects-whales-from-new-england-to-caribbean

Ongoing CRADA: Saildrones Return from Successful Arctic Cruise

On September 29, after three months of 

collecting data in the U.S. Arctic, three sailing 

drones provided under CRADA by Saildrone, 

Inc., safely returned to Dutch Harbor, AK.

The saildrones collectively traveled over 7775 

nautical miles in under 90 days throughout the 

Bering and Chukchi Seas. Data from the tested 

technologies for fish and marine mammal 

acoustics are expected mid-October with 

preliminary analysis completed in the New 

Year.

In mid-July, scientists sent off the unmanned 

sailing vehicles from Dutch Harbor, Alaska, 

with two sailing north through the Bering Strait into the Arctic Ocean and another transiting the 

Bering Sea. Traversing Alaska’s inhospitable waters, the remotely-operated vehicles tracked 

melting ice, measured the ocean's levels of carbon dioxide, and monitored for the presence of 

fish, seals, and whales to better understand their behavior and population.

Sailing drones return dockside in Dutch Harbor, AK 

Photo: Saildrone, Inc.

Humpback Whale in Stellwagen Bank National 

Marine Sanctuary Photo: NOAA
52

One vehicle surveyed the Bering Sea for walleye pollock, Northern fur seals that prey on them 

and the elusive North Pacific right whale. This work builds on research conducted during 2016, 

including a study of fur seal feeding rates. Carey Kuhn, ecologist with NOAA Fisheries’ Alaska 

Fisheries Science Center, and her team also used, for the first time, video cameras on Northern 

fur seals to record feeding and verify the species and sizes of fish that fur seals are eating.

This was a collaborative mission led by NOAA including NOAA’s Office of Oceanic and 

Atmospheric Research and NOAA Fisheries with partners Saildrone, Inc., Simrad AS/Kongsberg 

Maritime, Greeneridge Sciences, Inc, and Wildlife Computers. Source: 

https://www.pmel.noaa.gov/itae/follow-saildrone-2017

Daniel Murphy from NOAA’s Earth System Research Laboratory Awarded Two U.S. 

Patents in 2017

This year, Dr. Murphy, who is a Program Lead for the Chemical Science Division (CSD) of the 

Earth System Research Laboratory, has twice accomplished what many of us only dream of 

doing in our lifetimes: he has been awarded a U.S. Patent for his innovative technology designs.

Dr. Murphy's first patent was awarded earlier this year for his Open Path Optical Cell design. 

The instrument uses lasers and mirrors to measure the absorption and scattering of light by 

aerosols in an air sample, which is central to CSD's mission to improve understanding of climate 

processes. 

Dr. Murphy's second invention is an S-Shaped Time of Flight (ToF) instrument. ToF 

instruments measure the time it takes for a laser pulse to travel a specific distance. When 

compared to the known speed of light, the result provides useful information about the particles 

in the sample being analyzed. Dr. Murphy's design took the previous straight-line design and 

added two bends to achieve an S-shape which made the device more compact and consequently 

more useful for applications where the traditional ToF design was too large and cumbersome. 

The NOAA TPO is already exploring a number of possible licensing partners for this new 

design.

Agencies Team Up to Accelerate Earth System Prediction

Protecting the Nation’s security and economic well-being will increasingly rely on improved 

skill in forecasting weather, weather-driven events like floods and droughts, and long-term shifts 

in weather, ocean and sea-ice patterns. A new partnership called the National Earth System 

Prediction Capability, or National ESPC, is underway to coordinate and accelerate America’s 

environmental prediction capability. The partnership, which is a collaboration between the 

NOAA, NASA, the Department of Energy, the National Science Foundation, the U.S. Navy, and 

U.S. Air Force, has the goals of coordinating a national predictive capability with common 

requirements and standards and developing a national research agenda. Source: 

http://research.noaa.gov/LabsPrograms/OARPrograms/OfficeofWeatherAirQuality/OWAQProgr

ams/ESPC.aspx

Improved Shoreline Mapping Data Transitioned to Coast Guard, Other Stakeholders

NOAA's Integrated Ocean and Coastal Mapping Initiative supports the U.S. Ocean Action Plan 
53

that calls for the coordination of ocean and coastal mapping activities. This approach includes 

the coordination of NOAA’s National Geodetic Survey (NGS) with multiple parties interested in 

using the topographic-bathymetric (topo-bathy) LIDAR data. Topo-bathy LIDAR is a method 

for determining water depth and allows ships to operate safely in areas with rugged shorelines, 

such as Alaska, the North Atlantic Coast, and the Caribbean. For example, NGS updated NOAA 

Nautical Charts for Key West and the Florida Keys Outer Reef directly supporting navigational 

safety and U.S. Coast Guard operations. Many of these areas are in dire need of a new survey; 

some areas in particular have not had surveys conducted since the 1900s to 1930s. NGS has 

completed processing and delivering 258 square nautical miles of topo-bathy LIDAR data for 

Key West and the Keys outer reef area for application to NOAA nautical chart products. NGS’s 

LIDAR sensor was capable of reaching depths up to 18 meters (60 feet) along the outer reef, and 

for the first time we were able to resolve some imprecisely-positioned charted dangers. NGS has 

the unique capability of being able to help survey nearshore areas where it is either inefficient or 

dangerous for NOAA hydrographic vessels to survey.

NOAA Helping Department of Transportation in Northeast Conserve Low Volume Roads

In many northern states, state departments of 

transportation (DOTs) adjust allowable weight 

limits of trucks transporting goods on rural, “low 

volume” roads depending on air temperature. 

DOT’s use “seasonal load restrictions” in order 

to reduce potential damage to the structural 

integrity of these roads due to “freeze-thaw” 

conditions. The NOAA Northeast Regional 

Climate Center, working with the Infrastructure 

Climate Network at the University of New 

Hampshire, created a Roadway FreezingThawing interface that allows road managers in 

the northeast to better assess when load 

restriction should be applied or suspended. Using the latest temperature data from the NOAA 

National Centers of Environmental Information and borrowing an approach developed by the 

Minnesota DOT, real-time, color contour maps of air-freezing and thawing indices for Maine, 

New Hampshire, and the Northeast are generated. These maps help state DOTs balance the 

needs of the industry with conservation of the roads, as well as the environmental impacts 

associated with seasonal load restrictions. Source: 

https://www.nesdis.noaa.gov/content/ncei%E2%80%99s-data-helps-dots-northeast-conservelow-volume-roads
54

NOAA Engineers and More Reliable, Cost Efficient Current Sensor for Mariners

Navigating into seaports is now safer and 

more efficient for mariners thanks to 

improved NOAA technology that ships 

rely on to give them information about 

currents. The Center for Operational 

Oceanographic Products and Services 

(CO-OPS) developed a more reliable, 

cost-saving version of a current sensor 

system that can now be placed at more 

remote locations along navigation 

channels. 

The updated Acoustic Doppler Current 

Profiler (ADCP) system provides realtime current speed and direction 

observations where many mariners need 

it most—at U.S. Coast Guard Aids-toNavigation (ATON) buoys along major shipping channels. Accurate information about ocean 

conditions helps ship operators protect their cargo and the environment as they navigate narrow 

channels with increasingly larger vessels. Source: 

https://oceanservice.noaa.gov/news/aug16/current-sensor.html

New Experimental Coral Reef Laboratory

In partnership with the University of Miami’s Rosenstiel School, NOAA’s Atlantic 

Oceanographic and Meteorological Laboratory recently completed work on a state-of-the-art 

Experimental Reef Laboratory. For the first time, scientists will be able to precisely regulate 

CO2 levels and temperature, providing insight on how corals, such as the threatened staghorn 

coral Acropora cervicornis, respond to two of the major threats to coral reefs: thermal stress and 

ocean acidification. Thermal stress from elevated sea surface temperatures cause corals to expel 

their symbiotic algae resulting in coral bleaching, while ocean acidification obstructs coral’s 

ability to build their skeletons. Using sixteen identical aquaria, researchers can now program 

CO2 conditions at coral reefs in the Florida Keys or simulate future CO2 levels and ocean 

temperatures. This ability to mimic real world conditions as well as predicted scenarios, 

provides NOAA with a versatile tool for observing how corals respond to an array of stress 

factors. By exploring coral resiliency mechanisms, researchers are hopeful they can discover the 

molecular underpinnings that will enable some corals to adapt and, ultimately, survive a marine 

environment in transition. Source: http://www.aoml.noaa.gov/keynotes/PDF-Files/JanFeb2017.pdf

NOAA Offers Tools and Expertise to Help U.S. Aquaculture Industry Expand

Offshore aquaculture is a promising new frontier for U.S seafood production. However, the 

growth of this industry has been constrained by the complexity of determining the best sites for 

farms while also minimizing any environmental impacts. In response to these concerns, 

NOAA’s National Centers for Coastal Ocean Science (NCCOS) and NOAA’s Office of Coastal 

Management partnered to develop a new offshore aquaculture planning tool, CanVis 

Max Ivanov and Scott Mowery with NOAA's Center for Operational 

Oceanographic Products and Services install an improved current 

sensor system on a navigation buoy in Chesapeake Bay. The system 

transmits real-time current speed and direction observations via 

satellite to help mariners more safely navigate busy shipping 

channels. (Photo: NOAA)
55

Aquaculture. This seascape visualization tool contains an image library of aquaculture gear, 

vessels, buoys, and other infrastructure that can be used to simulate the changes that result from 

aquaculture development. Coastal managers and developers in Hawaii, California, and 

Washington are currently using this tool to visualize and plan offshore aquaculture projects. 

Through this effort, NOAA is supporting economic growth while balancing environmental and 

societal impacts of a burgeoning U.S. industry. Source: 

https://coast.noaa.gov/digitalcoast/tools/canvis

Using Behavioral Science to Improve Severe Weather Warnings

The NOAA National Weather Service (NWS) watch and warning process has not fundamentally 

changed in more than 50 years. However, society, technology, and science have made great 

advances. The Forecasting a Continuum of Environmental Threats (FACETs) paradigm 

modernizes the high-impact weather forecasting and communication process by adapting to 

evolving technology. At the core of this paradigm shift is a change to the current deterministic 

approach for hazardous weather warnings to one based upon Probabilistic Hazard Information 

(PHI). This framework will enable decision-makers who require more advanced notice, such as 

hospitals, schools, and large venues, to set their own threat thresholds based on their specific 

needs. It will also enable new science advances, such as Warn-on-Forecast and Phased Array 

Radar, to be fully leveraged into better warnings and forecasts for society. 

Since hazardous weather forecasting is a physical science done by humans for humans, social 

and behavioral science is fully integrated into FACETs research and development. Collaborative 

research projects between OAR, NWS, and academic partners are beginning to move us toward 

the FACETs paradigm. In the spring of 2017, several experiments were conducted in the NOAA 

Hazardous Weather Testbed bringing together NWS forecasters, researchers, and partners such 

as emergency managers and broadcasters to evaluate early prototypes of forecast and warning 

technology based on the FACETs approach. 

Source: http://www.nssl.noaa.gov/projects/facets/) 

Fisheries and Biomedical Researchers Collaborate to Look for Cancer Cures in the Ocean

A little over ten years ago, a NOAA Alaska 

Fisheries Science Center scientist discovered 

a small green sponge, the Latrunculia austini. 

No one could have predicted the attention this 

unassuming sponge would receive in the 

years following its discovery. 

This golf-ball sized sponge contains unique 

chemical compounds that may hold the key 

for developing life-saving cancer treatments. 

Biomedical researchers at the Hollings 

Cancer Center in South Carolina and at the 

Henry Ford Cancer Institute in Detroit have 

demonstrated that several of this green sponges’ molecules selectively target and kill pancreatic 

tumor cells in lab tests. Although many challenges still need to be addressed, this discovery 

holds great potential for developing new medicines. Continued public-private partnerships along 

A golf ball-size sponge discovered in the deepest, darkest 

ocean areas off Alaska holds promise in developing new 

treatments for pancreatic cancer, according to biomedical 

researchers. (Photo: NOAA)
56

these lines will enable NOAA to learn more about the ocean while advancing valuable research 

that may have life-saving benefits.

Source: http://www.noaa.gov/news/noaa-discovery-of-green-deep-sea-sponge-shows-promisefor-cancer-research

NOAA Launches Mobile App for Popular Emergency Operations Software

Introduced in 1986, the Computer-Aided Management of Emergency Operations (CAMEO®) 

software suite is the most widely used chemical response software in the world. It includes 

several desktop programs, as well as the CAMEO Chemicals website that provides emergency 

responders and planners with information about thousands of hazardous chemicals. The 

CAMEO suite programs are routinely used nationwide for chemical incidents initiated by 

extreme weather (such as hurricanes, tornadoes, and wildfires) as well as human error. In 2017, 

NOAA launched a mobile app version of CAMEO Chemicals for iOS and Android. The app 

does not require an internet connection, uses responsive design to adjust to tablets and phones, 

and includes the full CAMEO Chemicals hazardous chemical database as well as a tool to 

predict whether an explosion, toxic fumes, or other safety hazard could occur if a group of 

chemicals were mixed during an incident. Source: https://cameochemicals.noaa.gov/

Autonomous Aircraft Support Search and Rescue Under CRADA

The NOAA Unmanned Aircraft Systems (UAS) 

Program Office, working together with 

representatives of AeroVironment Inc., conducted 

a search and rescue exercise, called Arctic Shield, 

in the waters north of Alaska in order to test the 

utility of integrating unmanned aircraft into a 

simulated response incident. 

Working from the deck of the U.S. Coast Guard 

Cutter HEALY, the research team launched a small 

unmanned aircraft, the AeroVironment Puma, to 

search for a simulated missing person stranded in 

icy waters. 

Following the launch, the Puma used both its electro-optical and infrared cameras to locate the 

simulated victim floating in a survival raft on the water approximately one nautical mile away 

from the ship. The Puma was able to relay the coordinates to the test control center on board the 

HEALY, which then directed a Coast Guard H-60 and Era Helicopter to the scene. Both 

helicopters deployed rescue swimmers to simulate recovery and then returned safely to shore. 

The exercise concluded with a successful net capture of the Puma UAS and a recovery of the 

survival raft by the HEALY. Much of this mission was conducted under the auspices of a 

Cooperative Research and Development Agreement (CRADA) between NOAA and 

AeroVironment. The results from this and other tests will be analyzed by both NOAA and 

AeroVironment to improve NOAA's operational capabilities and AeroVironment's products for 

real-life mission-based scenarios.

Launch of the PUMA AE UAS from U.S. Coast 

Guard Cutter HEALY. Photo: NOAA
57

Awards and Recognition

James Ott of the National Weather Service Wins Commerce Ron Brown Award

Mr. James Ott is the recipient of the 2017 

Department of Commerce Platinum Award, 

also known as the Ron Brown award. This 

award is the highest bestowed by the Secretary 

of Commerce each year. Mr. Ott is only the 

second recipient, and first NOAA employee, to 

receive the Ron Brown Award. Mr, Ott was

recognized for developing a wind compression 

algorithm that provides Federal Aviation 

Administration decision-makers the 

information needed for safe and efficient air 

traffic management at major airports in the 

United States.

Science on a Sphere® Team Receives 

Honorable Mention at 2017 CO-Labs 

Governor’s Award for High Impact 

Research

The NOAA Earth System Research Laboratory Global Systems (Division ESRL/GSD) and 

Cooperative Institute for Research in Environmental Sciences (CIRES) and Cooperative Institute 

for Research in the Atmosphere (CIRA) team was honored for Science on a Sphere® and SOS 

ExplorerTM visualization systems that are used worldwide to educate the public about science. 

The CO-Labs event gathers scientists, researchers, entrepreneurs, business leaders and 

government officials to celebrate the exceptional and groundbreaking work of scientists and 

engineers from Colorado’s federally funded research labs and institutions. 

NOAA Technology Transfer Awards

NOAA selected nine projects to receive the Agency’s Technology Transfer Award in 2017. 

These projects exemplified the highest standard for developing a new technology in cooperation 

with private sector partners in the service of NOAA’s mission. 

Scott Abbott, et al. (Oceanic and Atmospheric Research): For the design, implementation, and 

operation of a 21st-century observing network to address water resource and flood protection 

issues in the Western U.S.

Dave Eckberg (National Weather Service): For design and development of the Automated 

Surface Observing System Ice Free Wind Sensor New Style Bird Deterrent to eliminate ASOS 

wind data errors.

Quay Dortch, et al. (National Ocean Service): For leading development and successful 

transition to commercial application of an automated sensor that provides early warning of 

harmful algal blooms.

From left to right: Ellen Herbst, Chief Financial 

Officer/Assistant, James Ott, Meteorologist, 

NOAA’s National Weather Service, and 

Benjamin Friedman, Deputy Under Secretary for 

Operations, NOAA
58

Melinda Marquis, et al. (Oceanic and Atmospheric Research): For improving forecasts of 

turbine-height winds and solar irradiance from their High-Resolution Rapid Refresh (HRRR)

weather model to improve usage of renewable power by industry.

Richard Okulski, et al. (National Weather Service): For transfer of operational wave run-up 

forecast technology to domestic and international emergency response partners for the protection 

of life.

Glenn Rolph, et al. (Oceanic and Atmospheric Research): For exceptional work in 

transferring the Hybrid Single Particle Lagrangian Integrated Trajectory (HYSPLIT) dispersion 

model to first responders, emergency planners, academia, and other government agencies.

Ronald B. Johnson (National Marine Fisheries Service): For conducting scientific studies and 

gaining approval for use of taurine as an essential ingredient in fish feeds.

Steve Ruberg, et al. (Oceanic and Atmospheric Research): For delivering a buoy that provides 

water managers with the critical information necessary to more effectively process compromised 

drinking water.

Galen Scott, et al. (National Ocean Service): For transferring expertise and technical assistance 

needed to implement national protocols used to measure sea level rise impacts on estuaries. 
59

CHAPTER 4

National Telecommunications and Information Administration: Institute for 

Telecommunication Sciences 

The Institute for Telecommunication Sciences (ITS) is the research and engineering laboratory 

that provides technical engineering support to NTIA. ITS also serves as a principal federal 

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

governments, private corporations and associations, and international organizations through 

Interagency Agreements and CRADAs. Roughly three-quarters of ITS research programs are 

undertaken under such agreements. This includes assisting the FCC and federal defense, public 

safety, and other agencies that use federal and non-federal spectrum.

Approach and Plans for Technology Transfer

ITS efforts in technology transfer and commercialization foster cooperative telecommunications 

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

market opportunities. ITS uses three principal means for achieving technology transfer: 

• Cooperative research and development;

• Technical publications, sample data sets, and software tools available on the ITS Web 

site and GitHub; and

• Leadership and technical contributions in the development of telecommunications 

standards.

ITS Work Products and Collaborative Activities

Cooperative Research and Development

ITS is authorized under the Federal Technology Transfer Act of 1986 (FTTA) to enter into 

cooperative research agreements with private industry, universities, and other interested parties. 

ITS CRADAs protect proprietary information, grant patent rights, and provide for user licenses 

to private entities. They also provide the legal basis for shared use of government facilities and 

resources with the private sector. 

In FY 2017, as it has for decades, ITS participated in CRADAs with private-sector organizations 

to design, develop, test, and evaluate advanced telecommunication concepts. CRADAs provide 

ITS with insights into industry’s needs for productivity growth and competitiveness. This 

enables ITS to adjust the focus and direction of its programs for effectiveness and value. The 

private industry partner benefits by gaining access to the results of research in commercially 

important areas that it would not otherwise be able to undertake.

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

distribution service (LMDS), ultra-wideband (UWB), objective audio and video quality of 

experience (QoE) metrics, advanced antennas for wireless systems, and remote sensing and 

global position system (GPS) technologies have been achieved through CRADAs. These have 

aided U.S. efforts to rapidly introduce new socially constructive communications technologies. 
60

More recently, CRADAs in the areas of high resolution laser radar (LADAR), autonomous 

networks for unmanned aerial vehicles (UAVs), and broadband air-interface and core network 

capabilities for long term evolution (LTE) mobile communications have allowed ITS to 

contribute to the development of new products and services.

ITS is a partner in the Public Safety Communications Research (PSCR) program with the NIST 

Communications Technology Laboratory (CTL). PSCR is focused on improving first responder 

communications and interoperability through the development of communication standards and 

through research, development, testing, and evaluation (RDT&E) of mission critical 

communication systems. This joint program has been operating for about two decades on behalf 

of sponsors at the Department of Homeland Security and the Department of Justice. Since the 

First Responder Network Authority (FirstNet) began its work, PSCR’s research scope has 

expanded to supporting FirstNet’s work toward creation of a nationwide broadband wireless 

network dedicated to public safety agencies through RDT&E of equipment that may be used to 

both build the network and communicate over it.

The vast majority of CRADAs ITS has entered into in the past six years are the Public Safety 

700 MHz Broadband Demonstration Agreements. These agreements allow vendors, including 

equipment manufacturers and wireless carriers, who intend to supply 700 MHz LTE equipment 

and service to public safety organizations to operate various elements of an LTE network in the 

PSCR test bed and over-the-air (OTA) network (both hosted and managed by ITS) in order to 

test interoperability of public safety communications equipment under simulated field 

conditions, with the participation of public safety practitioners. At the close of FY 2017, 53

CRADAs were in place under this program. The CRADAs protect the intellectual property of 

vendors and manufacturers, encouraging participation in testing that simulates real multi-vendor 

environments in the field. This is the first government or independent facility in the U.S. 

capable of testing or demonstrating public-safety-specific LTE implementation requirements.

Table 33 – Collaborative Relationships for Research & Development

Technical Publications

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

other researchers, the commercial sector, and government agencies. Many ITS technical 

publications—both reports and monographs published by NTIA and peer-reviewed articles in 

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

Technical publications are released after going through an internal peer review process managed 

by the ITS Editorial Review Board (ERB). In FY 2017, 60% or manuscripts released through 

FY 2013 FY 2014 FY 2015 FY 2016 FY 2017

CRADAs

Active CRADAs 81 60 56 62 59

Newly Executed CRADAs 30 11 53 12 8

Active CRADAs with Small Businesses 

Involvement 17 12 12 17 17

Number of Small Businesses Involved in 

Active CRADAs 17 12 12 17 59
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the ERB process published in scientific journals or conference proceedings and 40% were 

published as NTIA reports. While official NTIA publications allow greater in-depth analysis of 

research results, journal articles and conference papers have equal, and sometimes greater, reach 

in transferring new tools and discoveries. 

Technical Publications Downloaded

ITS makes all of its publications available to the public through its website. To ensure a 

meaningful and realistic metric, ITS counts actual PDF downloads of publications rather than 

pageviews of the bibliographic summaries. In FY 2017, ITS technical publications were 

downloaded 6,214 times.

Consumer Digital Video Library Users Downloading Clips

In FY 2010, ITS began development of the Consumer Digital Video Library (CDVL), a website 

hosted and maintained by ITS that provides researchers access to high quality, uncompressed 

video clips royalty-free for use in video processing and video quality product development and 

testing. The technical committee for this collaborative project includes industry and academic 

representatives as well as ITS and Public Safety Communications Research staff. ITS launched 

the site with 1,000 clips and ITS and collaborators continues to add clips. Significant recent 

additions include a collection of public safety video clips filmed during training exercises, and 

4K sports content uploaded by Sky Broadcasting in the UK. Over 2,400 different video clips 

were downloaded from the library in FY 2017.

Licensing 

Since FY 2008, ITS no longer licenses software technology. Instead, software is made available 

via open-source download. Therefore, no licensing metrics are reported. 

Software and Data Downloads

ITS makes several software and data tools available via open-source download. In FY 2017, ITS 

increased its use of the GitHub open source code hosting platform. While GitHub allows more 

interaction with potential users of the software and may broaden the audience, it also makes it 

more difficult to understand the impact of the software without investing in additional tracking 

software. ITS is exploring the development and value of metrics for GitHub-posted code.

Propagation Prediction: ITS is, and has been for decades, a world leader in the development of 

models and methods for accurate prediction of radio propagation. Propagation prediction 

algorithms are freely shared through publication. ITS has developed and shared software to 

predict propagation for planned communications systems through input of specific parameters, as 

well as data sets that companies can use to test and validate prediction models. The majority of 

software and data downloads from the ITS website are for propagation prediction tools. In FY 

2017, ITS made public the first important software implementation of a propagation model to be 

released via the GitHub platform. The C++ implementation of the Extended Hata (eHata) Urban 

Propagation Model was used to inform regulation, and the repository was forked by the Wireless 

Innovation Forum (WInnForum), which redistributed it to industry members for use in 

developing the Spectrum Access Systems (SAS) that will enable spectrum sharing using the 

three-tier architecture proposed for the 3.5 GHz (CBRS Band).
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Audio Quality Testing: In FY 2017, ITS released an updated objective estimator of speech 

intelligibility that follows the paradigm of the Modified Rhyme Test (MRT). The Articulation 

Band Correlation MRT (ABC-MRT), released in 2013, consumes a tiny fraction of the resources 

required by MRT testing and provides excellent estimates of MRT intelligibility results (Pearson 

correlations of .95–.99) for narrowband speech transmissions. The new speech intelligibility 

estimation algorithm released in FY 2017, ABC-MRT16, not only updated the audition model, 

but also extended the estimator to wideband, superwideband, and fullband speech systems as 

well as narrowband. ABC-MRT and ABC-MRT16 tools and MRT databases are available for 

download through the ITS web site, as well as a variety of other sample clips for audio quality 

testing. 

Video Quality Measurement Software: ITS video quality measurement software tools use an 

objective video quality measurement (VQM) method, which has been made a national standard 

by the American National Standards Institute (ANSI), to estimate the quality of video 

impairments, providing users an inexpensive alternative to viewer panels for testing new 

transmission technologies. In FY 2017, 372 users downloaded the VQM software. The WebEnabled Subjective Test (WEST) software package facilitates gathering subjective testing data 

from multiple locations and multiple portable or computing devices. This software is also freely 

available for download from the ITS web site and from a public GitHub repository, from where 

it has been forked several times.

Table 34 – Other Performance Measures Deemed Important by the Agency

Development of Telecommunication Standards

ITS works with industry to apply research results to the development of telecommunication 

performance standards and guidelines. For several decades, ITS has provided leadership and 

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

developing telecommunication standards. ITS’s technical inputs are relied upon as technically 

advanced and sound, and as unbiased by commercial interests.

ITS works collaboratively with the International Telecommunication Union (ITU), the Alliance 

for Telecommunications Industry Solutions (ATIS), and various federal public safety groups to 

interpret and analyze standards and regulations. This method of ITS technology transfer directly 

addresses improvement of U.S. competitiveness in telecommunications. For example, a 

plurality of the technical recommendations of the ITU, a treaty organization, are based on 

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

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

FY 2013 FY 2014 FY 2015 FY 2016 FY 2017

Technical Publications Released 24 18 22 4 10

Technical Publications Downloaded 7,174 7,707 9,048 8,748 6,214

Consumer Digital Video Library Users 

Downloading 418 184 212 169 202

Video Quality Metric Software Users 

Downloading 591 685 507 496 372

Propagation Modeling Software Downloads n.a. 717 798 781 1,160

Other Software/Data Downloads n.a. 489 493 591 995
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incorporate research results obtained at ITS. ITS continues to chair numerous committees and 

working groups in the ITU, ATIS, and other telecommunication standards organizations, 

providing technical leadership that is trusted by the commercial-sector participants.

In FY 2017, ITS staff held 38 positions on 42 different bodies in eight standards bodies, 

including 13 Chair/Co-chair/Vice-chair positions. ITS staff filled key leadership positions in the 

ITU-R, including U.S. Chair of Study Group (SG) 3 (Radio Propagation), International Chair 

and U.S. Chair of SG3 Working Parties 3K and 3L (Point-to-area and ionospheric propagation), 

and U.S. Chair of Working Party 3J (Propagation fundamentals). ITS staff members also held 

the position of International Vice-chair of the ITU Intersector Rapporteur Group on Audiovisual 

Quality Assessment. ITS also continued its technical leadership and contributions to 

communications standards for public safety, particularly for first responders. 

Downstream Outcomes from ITS Technology Transfer Activities

Telecommunication Standards

ITU-R Study Group 3 held two international meetings in FY 2017. ITS provided technical 

leadership and guidance in the creation and approval of 12 consensus U.S. contributions to the 

first round of meetings and eight in the second round. These contributions targeted international 

standards for sharing spectrum measurement data and developing new and improved propagation 

models. Shared measurement data is critical to validating new and improved models, which in 

turn are critical to providing a technical foundation for potential U.S. rulemaking around 

spectrum sharing across diverse services and future spectrum auctions.

Intense participation by ITS staff in the 3GPP standards development process on behalf of 

FirstNet resulted in Proximity Services and Group Communications requirements being included 

in 3GPP Release 12 and Mission Critical Push to Talk requirements being included in 3GPP 

Release 13, which was frozen in mid FY 2016. In FY 2017, ITS participation in 3GPP continued 

to focus on two Department of Commerce priorities: advocating on behalf of FirstNet to help 

ensure that 3GPP LTE and next generation standards meet public safety’s communications 

requirements; and advancing U.S. commercial and economic interests by providing technical 

input to promote strong unbiased standards that support fair competition in next generation, i.e. 

5G cellular technologies.

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 2017, several companies used the Table Mountain site under a CRADA to safely 

test and demonstrate LADAR technologies under development in atmospheric conditions 

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 
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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 for small unmanned aircraft used for atmospheric 

science applications such as the study of tornadogenesis.

• ITS also uses the Table Mountain test facility to perform independent CTA-2009-B 

surveillance testing for manufacturers wishing to obtain verification that their equipment 

meets the requirements to be certified as a NOAA Weather Radio All Hazards receiver. 

Two companies entered into CRADAs with ITS for this testing in FY 2017.

Video Quality Research

Both CDVL and the VQM tools are used by industry and academia for research into new 

techniques for transmitting video. Lack of access to video footage appropriate for testing new 

video distribution technologies had been a significant impediment to video processing R&D until 

the launch of CDVL. The clips may be used to test codecs, to evaluate new display technologies, 

or for validation testing of new standards. For example, ITU-T Study Group 12 has used CDVL 

clips for research into the development of parametric models and tools for multimedia quality 

assessment and the MPEG committee opened a conversation with ITS about using the CDVL 

video clips for validation testing of new video coding standards. Currently, simulated public 

safety content currently comprises 40% of CDVL’s content. Real public safety content is nearly 

impossible to obtain due to litigation concerns, and first responders use consumer grade 

electronics. Access to this simulated content promotes development and standardization of 

commercial video technologies that meet public safety’s requirements.

Public Safety Broadband Demonstration Network

The PSCR Public Safety Broadband (PSBB) Demonstration Network facilitates accelerated 

development of testing for emerging LTE broadband equipment specific to public safety. The 

PSBB Demonstration Network was established in the ITS labs in FY 2010 by the Public Safety 

Communications Research program. This network provides a central and independent test bed

and laboratory to help public safety understand 3GPP Band 14 LTE. Through CRADAs that 

protect their intellectual property, manufacturers and carriers test the deployment of 700 MHz 

systems under development in this multi-vendor environment and execute public-safety specific 

test cases to provide proof of concepts and improve the quality of future systems. This 

cooperative program provides ITS with guidance to develop technical contributions toward LTE 

standards to support public safety and First Responder Network Authority (FirstNet) 

requirements. This work advances the development of new public safety communications 

equipment that will eventually operate on the nationwide public safety broadband network.
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SUMMARY

Technology transfer is an essential mission of the Department of Commerce, using our Nation’s 

innovation and investment in science and technology to strengthen our economy and 

competitiveness in world markets. This report details the results of collaborative technology 

activities originating from the Department’s federal laboratories. Federal research is a complex 

process that provides the opportunity for new ideas and innovations to achieve practical 

application for the benefit of U.S. citizens. The success stories in this report provide examples of 

how society benefits from technology transfer activities across the Department’s federal

laboratories. As knowledge advances and the needs of the economy change, the Department of 

Commerce, through its federal laboratories, will continue to play a role in keeping America in 

the forefront of innovation and supporting our economy by aiding in the transfer and 

commercialization of innovative technologies.
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Appendix A

Technology Area Classifications

Mapping of International Patent Classifications to Technology Area48

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.

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. 

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 Ingra-red radiation, visible light, or ultraviolet light.

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 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.

 

48 Derived from The World Intellectual Property Organization’s International Patent Classification (IPC) 

Correspondence Table (http://www.wipo.int/export/sites/www/ipstats/en/statistics/patents/xls/ipc_technology.xls) 

and IPC Searchable Classification Database, Version 2016.01 

(http://web2.wipo.int/classifications/ipc/ipcpub/#refresh=page).
67

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. 

Semiconductors – Includes semiconductor devices and electric solid-state devices not otherwise 

provided.

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.
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Appendix B

Fields and Subfields of S&E Publications Data49

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

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

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, science studies, 

gerontology and aging, social studies of medicine

 

49 SOURCES: The Patent BoardTM, and National Science Foundation, National Center for Science and Engineering 

Statistics, Integrated Science and Engineering Resources Data System (WebCASPAR) database system, 

http://webcaspar.nsf.gov. Science and Engineering Indicators 2012. Used with permission.
69