Technology and Intellectual Property Management

Introduction/Background

Date of last assessment:  October 2000

Department Overview

Laboratory Mission

The Stanford Linear Accelerator Center (SLAC) is dedicated to experimental and theoretical research in elementary particle physics and in those fields that make use of its synchrotron radiation facilities, including biology, chemistry, geology, material science and electrical engineering. This includes the development of new techniques in particle acceleration and detection, and of synchrotron radiation sources and associated instrumentation. The Center is operated as a national user facility for the Department of Energy by Stanford University.

Organization Mission

As one of its goals, SLAC strives to disseminate knowledge and transfer its technology to other organizations, which can develop new and better goods and services for all.  SLAC supports this goal by:  1) identifying technologies developed within the laboratory which have potential uses outside of SLAC, then promoting their transfer to other laboratories, universities, and particularly industry; and 2) engaging partners in cooperative projects focused on the R&D of technology.

Self-Assessment Report Staff

Names, titles, affiliations of participants

Jim Simpson, Administrator, Technology Transfer, Business Services Division

Discussion of Individual Performance Objectives

Performance Objective: The mission of the Technology and Intellectual Property Management Program at SLAC is to manage the utilization, protection, and transfer of laboratory technology and intellectual property to benefit DOE, SLAC, the scientific community, and private industry. 

Performance Criterion 1: Technology and intellectual property are effectively managed for the benefit of DOE, SLAC, the scientific community, and the private sector. 

Performance Measure 1: Key technologies and inventions are identified, assessed, disclosed, and given intellectual property protection as necessary; technology that is transferred and intellectual property that is licensed provide value to DOE, SLAC, and the recipient. 

Findings:

SLAC manages its intellectual property by a process of disclosing, assessing, protecting, and licensing the property.  For technologies that have particular commercial potential, a market assessment is made, protection is arranged, and licensees are sought.  In this endeavor, SLAC can call upon the additional resources of Stanford University.  Income from licensed SLAC technology is administered under University policy and procedures on intellectual property, which provides 2/3 of net royalties to the Lab, and the other 1/3 to the inventing or authoring Lab personnel.  SLAC has targeted industrial sectors (such as medical therapy simulation, semiconductor manufacturing, rf power, protein modeling, and bio sample processing), in which large value to the licensees could potentially result from SLAC technology.  These sectors continue to be studied and worked.  All reports of technology developed at SLAC are reviewed for important inventions and software, and when warranted, intellectual property protection is sought.  Innovators who have not yet published are sought out and encouraged to consult with SLAC's Office of Technology Transfer (OTT) to determine the status of their potential intellectual property. There is also an inventions awards program, which is meant not only to recognize innovation, but also to stimulate it. 

In FY 01, SLAC saw 2 inventions disclosed.  Two provisional applications were filed with the U.S. Patent and Trademark Office (one on a sample transfer device, the other on a sheet beam klystron).  Decisions on whether to proceed with patent applications on these 2 will be made over the next 6 months.  SLAC Patent Award payouts for FY 01 invention activities were $200 to 2 inventors for actions on 2 inventions. 

One license option was signed for the SLAC microdropper, and one license is under negotiation for the SLAC protein sequencing algorithm.  Licenses to other software and inventions are being negotiated with 4 other companies at the present. 

OTT consulted with numerous authors concerning the best way to distribute software.  Usually, due to a lack of commercial market, the recommendation was to make it freely available while retaining the copyright.  In a few cases licensing was studied more carefully, as was SLAC’s software licensing policy in general. 

OTT organized a one-day seminar on technology management and entrepreneurship for 40 MBA students from the Chinese University of Hong Kong.  OTT also conducted a SLAC tour for a delegation from the Hong Kong Government interested in learning about tech transfer issues and education. 

One staff member audited copyright and open source software classes at the Stanford Law School in FY 01. 

The publication of SLAC research results in journals has always been a primary method of transferring technical knowledge to industry and the public.  Approximately 300 papers were published in FY 01, all reviewed for technology that might be commercializable. 

Performance Criterion 2: The structuring and administration of collaborative R&D projects with non-Federal partners for the development of innovative technology. 

Performance Measure 2: Collaborative R&D projects provide benefit to DOE, SLAC, the scientific community, and the private sector. 

Findings: 

A large part of OTT’s work is the structuring and administration of collaborative R&D projects.  The range of technologies across these projects is as broad as the laboratory’s charter.  SLAC's efforts on these projects are supported in part by DOE Programs at the Lab, the lab’s own Technology Transfer Support Program, and partners funded by DOE's SBIR Program, the Civilian R&D Foundation, and other governmental agencies. 

During FY 01 SLAC executed 6 new collaborative projects involving a variety of hardware and software technologies.  The new starts are all with small businesses.  Total value of the new projects is 3.1 M$, with 559 k$ booked as funds into SLAC, and SLAC contributing 134 k$ in-kind.  Additionally, SLAC participated in several other proposals, 3 of which received awards.  The total value of these projects, all with small business, is 1 M$, of which SLAC will receive 200 k$ and will contribute 60 k$ in-kind.  CRADAs for these 3 projects will be executed in FY 2002, along with others.  Several potential projects were studied --- a couple of which are candidates for future collaborations.  One involves a compact x-ray source and associated specialized detectors. 

OTT also solicited sponsorship from major Bay Area corporations and private foundations for the SLAC-managed ICALEPCS 2001 conference on controls.  Commitments of computers and 10 k$ were obtained, as well as a source of travel funds for attendees from certain developing countries. 

OTT represented SLAC on a DOE HQ working group that assessed the impact on tech transfer programs of proposed counter-intelligence procedures.  Special note was made by OTT of the open nature of basic research laboratories such as SLAC. 

OTT also analyzed various pieces of legislation that could effect tech transfer. 

Discussion of Overall Performance 

Although  the office suffered without administrative support during the whole year (due to the intense competition for personnel in Silicon Valley --- a situation that has recently changed significantly), SLAC OTT operated fairly well in FY 01.  A new administrative associate has now been hired.  The staff is competent and enthusiastic about  her work. 

OTT’s tracking databases suffered some degradation during the year due to missing admin support, but they are presently being brought up to date. 

The technology transfer program at SLAC remains broad and well balanced.  Operations are functioning well, with annual activity holding steady in most areas.  Several new properties are identified each year, and those having some commercial potential enter an exhaustive process of evaluation, protection, packaging, and licensing.  SLAC is now seeing approximately a half dozen new cooperative projects initiated each year.  Given this level of activity, a stable tech transfer program continues to be projected into the intermediate future. 

Problem Analysis

Root-Cause Analysis 

There are no fundamental insufficiencies in SLAC’s tech transfer operations at this time.  Hence, no root cause analysis of such is necessary.  There are various operational improvements desired. 

Barriers to Improvement 

OTT still has the desire to supplement staff with a partial FTE to better report on SLAC technology.  Similarly, additional supplemental partial staff could be devoted to reporting data to various inquirers.  More professional training for the associates in the areas of policy, law, regulation, marketing, and perhaps investment financing must be provided, although it is usually postponed due to OTT’s substantial case load. 

 Improvement Action Plan and Goals for 2002 

Recognized areas of improvement 

OTT still needs to more closely administer the working collaborations to track progress and identify early any generated intellectual property. 

OTT should conduct more in-reach and outreach activities. 

In the coming year the SLAC OTT will continue to focus on software to better manage and promote the office. 

Goals for FY 2002 

The major goals for FY 02 are to: 

1. Implement formal periodic meetings with SLAC Project Managers to better track progress and the development of intellectual property,

2. Conduct in-reach and outreach seminars, 

3. Craft a SLAC standard CRADA based on the DOE Modular CRADA revised in FY 01, 

4. Target large, rather than small, companies for tech transfer collaborations, and 

5. Provide professional training to the staff.

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For Questions or comments, Please contact Ziba Mahdavi, Last Updated 10/24/00