Paul Zielinski

Director, Technology Partnerships Office

Technology Partnerships Office

Technology Transfer
Goal of U.S. Technology Transfer: 

Availability and Use of Innovations

Government

• Research/Invent

• Regulate

• Public benefit

• Consumer

Private Industry

• Develop

• Manufacture

• Distribute

• Market

• Sell

• Requires private 

capital
Government Sponsored Transfer Technology

• Large investment in mission focused research, including basic 

research ~ $140 billion 

• Missions range from space flight at NASA, defense industries, 

energy production, health care and many others

• Useful as an economic engine for innovation and growth of new 

businesses

• We consider an expansive view of technology transfer

• Patenting/Licensing

• Technical publications 

• Collaborations – formal and informal

• Public Domain software
Timeline

1947 -

E.O. 10096 recognizes 

national labs as 

economic asset

1980 -

Stevenson-Wydler Act 

and Bayh Dole Act 

create technology 

transfer mission and 

set rules for federal IP

1982 -

Small Business 

Innovation 

Development 

Act creates SBIR 

1986 -

Federal Technology 

Transfer Act creates 

CRADAs and FLC

1987 -

E.O 12591 Expands 

Bayh-Dole, 

requirements for 

international CRADA 

and license

1995 -

Technology Transfer 

and Advancement Act 

enhanced IP in CRADAs

2000 -

Technology Transfer 

Commercialization Act 

Rules for exclusive 

licensing and creates 

reporting requirement

2007 -

America COMPETES 

Act eliminates 

Technology 

Administration within 

DOC and function 

assigned to NIST

2011 -

America Invents Act 

modified US patent 

process
• Intellectual Property

• Bayh-Dole Act - 35 USC 200 et seq., Stevenson-Wydler Act/Federal Technology Transfer Act/Technology Transfer 

Commercialization Act – 15 USC 3710 et seq.

• 37 CFR 404, 501; 15 CFR 17

• Executive Orders 10096 and 12591

• Collaborations

• Federal Technology Transfer Act – 15 USC 3710a

• NIST Organic Act – 15 USC 272(c)(7)

• OMB Circular A-25

• SBIR

• Small Business Innovation Development Act (P.L. 97-219)

• Small Business R&D Enhancement Act of 1992

• Series of reauthorizations

• Cross-agency Leadership

• DOO 30-2A

• NSTC L2M Subcommittee

• OMB Circular A-11

• 15 USC 3710 e through g

5

Statutory Drivers
• As part of the Department of Commerce, NIST has a unique role in promoting and reporting on the 

overall strength of federal efforts

• Policy coordination, promulgation of technology transfer regulation

• Interagency Workgroup for Technology Transfer (11 agencies) and Interagency Workgroup for 

Bayh-Dole

• Annual reports for the President, the Congress, and OMB on utilization of technology transfer by 

DOC and across all agencies

• Support Lab-to-Market NSTC Subcommittee/Appropriation

• NIST has a statutory role as the “Host Agency” for the Federal Laboratory Consortium for 

Technology Transfer

6

Policy Leadership
• Annual Report to President and Congress on Federal 

Laboratory Technology Transfer (FY 2014)

• Produced by NIST through the Interagency 

Workgroup for Technology Transfer

7

• Annual Report to OMB on DOC 

Technology Transfer

• Includes NIST, NOAA, ITS

Technology Transfer Reports
Return on Investment: Public vs. Private Sectors

Private Sector

• Basic Science vs. Applied 

Research 

• Invention vs. Innovation

• Market vs Non-Market 

Mechanisms 

• Return on Investment: Profit, 

Net Benefits

Public Sector

• Basic Science vs. Applied 

Research

• Intramural vs. Extramural 

Projects

• Invention vs. Innovation

• Market vs. Non-market 

Mechanisms

• Return on Investment: Mission 

Statement, Agency Objectives
Trend Assessment
 7,500

 8,000

 8,500

 9,000

 9,500

 10,000

2011 2012 2013 2014 2015

Active CRADAs

0

500

1,000

1,500

2,000

2,500

2011 2012 2013 2014 2015

Patents Issued

US Lab Patent and CRADA Trends
Invention: Spectrometer capable of carbon 14 

quantitative analysis

(biological v. geological origin of fuel source)

Large, but not as large as existing facilities elsewhere.

Invention disclosed to NIST; NIST files 

patent application

Company seeks NIST to reduce size, 

ruggedize instrument.

$2M proposed CRADA with research 

license; exclusive commercial license

11

Invention: Photonic Pressure Sensor. 

Can replace existing pressure calibration 

devices, and provide high-accuracy 

laboratory measurements

Invention disclosed to NIST; NIST 

obtains patent

Company seeks to reduce size and cost.

$150k proposed CRADA with research 

license; commercial license under 

negotiation

MML: Adam Fleisher; David Long; Joe Hodges

PML: Jay Hendricks, Greg Strouse, Jacob Ricker, Doug Olson, Greg Scace, et al.

Inventions: an Integral Part of NIST Research
Small Companies(a) StartupCompanies(b) Other(c) Total(d)

NIST Licenses 14 3 33 50

Traditional CRADAs 58 18 19 95

Non Traditional CRADAs

Calibrations 205 18 419 642

NVLAP 588 0 0 588

MTA 12 2 5 19

SBIR Phase I 12 -- -- 12

SBIR Phase II 7 -- -- 7

NIST Labs

CNST 2 2 4

PML 17 7 3 27

Facility Users

CNST 2,856

NCNR 2,536

Standard Reference Data 13,494

Standard Reference Materials 31,983

Total 915 50 479 52,313 12

(a) Small companies (less than 500 

employees) that have been in 

existence for more than 5 years. 

(b) Startup or Young companies 

that have been in existence for 

less than five years.

(c) Includes large companies, 

foreign companies, government 

enterprises, and academic 

institutions. 

(d) In progress.

Companies Working with NIST in FY 2016
Return on Investment: Measuring Performance

Microeconomic Approach – Performance at the Project Level

Costs vs Benefits

Performance Measures: Discounted Cash Flow, Net Present Value, Internal Rate of Return, 

Cost/Benefit Ratios

SRR BCR

Number of Studies Reporting 13 16

Min 27% 4

Max 1056% 249

Mean 254% 46

Std Dev 327% 69

Median 154% 9

Summary of NIST Impact Studies

SRR = Social Rate of Return

BCR = Benefit to Cost Ratio
Return on Investment: Measuring Performance

Macroeconomic Approach – Performance at the Agency Level

Models: Simulation Models, Input/Output Models, 

Performance Measures: Changes in Revenues, Output, Productivity, Employment, etc.

DoD 

Licenses 

Study

DoD 

CRADAs and 

Licenses 

Study

Navy 

CRADAs and 

Licenses 

Study

Year(s) covered 2000-2011 2000-2011 2009

Companies Surveyed 483 361 101

Output ($ million) $36,300 $2,935,000 $545

Value added ($ million) $17,400 $1,553,000 n.a

Employment 163,067 17,818 2,630

Labor Income ($ million) $10,600 $1,049,000 n.a

Tax revenue ($ million) $3,700 $331,000 $62
Problems in Measuring Performance

• Data Availability – especially proprietary data on economic and social 

benefits

• Timing of Impact – Impacts that happen outside of the government 

may take years to develop 

• Isolating the economic value of Federal contributions to collaborative 

research: CRADAs involving both extramural and intramural research.

• Costly Research

Return on Investment: Measuring Performance
16

• Technology transfer remains grounded in economic 

competitiveness

• NIST has a significant role in technology transfer through the 

Department of Commerce

• It is an evolving process

• Measuring success is difficult but important

Summary
17
Completed Economic Studies 

18

• FY16 DOC Tech Transfer Report (Sept 2017)

• FY14 Federal Tech Transfer Report (Oct 2016)

• Construction Grants Assessment (Aug 2016)

• Advanced Manufacturing Opportunities (Oct 2016)

• 1790 Patent Analysis (Oct 2016)

• FY17 NIST Footprint Study (Oct 2017)
Ongoing Economic Studies 

19

Grants/Contracts

• Materials Genome Study (3/18)

• Federal Tech Transfer Study (7/18)

• GPS Study (8/18)

• Advanced Encryption Standard Study (8/18) 

TPO Effort

• NIST Customer Demographics: CRADA, 

License, Calibrations (11/17)

• NIST High Impact Patents (1/18)

• NIST Post-Doc Study (2/18)

• Federal ORTA/TTO Study (4/18)

• SBIR Economic Analysis (12/18)