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Date of last assessment: October 2001
Department Overview
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 synchrotron radiation, such as biology, chemistry, electrical engineering, geology, and material science. This research includes the development of new techniques in: 1) particle acceleration and detection and 2) 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 new knowledge and transfer its novel 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 technology R&D.
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 accelerator simulation) 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.
OTT evaluated more than a dozen inventions in FY 02 . Three were disclosed to DOE and Stanford. A provisional application was filed with the U.S. Patent and Trademark Office for a high-power rf magnetic switch and circulator. A decision on whether to proceed with a patent application will be made over the next 6 months. SLAC Patent Award payouts for FY 02 invention activities were $600 to 6 inventors for actions on 3 inventions.
One license option was signed for the SLAC compact Compton x-ray source. A startup company was formed around this license option by the SLAC inventor, who is now working half-time for the company and continues half-time at SLAC. The company has generated 5 M$ of NIH support for prototyping the source, which when fully developed can be used for molecular biology studies. Another license was granted for the SLAC protein sequencing algorithm. Several licenses for other software and inventions are presently being negotiated with other companies. Two licenses or options on other SLAC properties were terminated by licensees.
As usual, OTT consulted with numerous authors concerning the best way to distribute software. Usually, due to a lack of commercial market, the recommendation has been to make it freely available while not disclaiming the copyright. In a few cases licensing was studied more carefully, as was SLAC’s software licensing policy in general.
An MOU was negotiated allowing SLAC to modify an Air Force supported vendor code for SLAC purposes. With the vendor’s concurrence, OTT has decided that those SLAC mods will be placed in the public domain for other licensees to use.
In February and March, OTT hosted the visit of Professor Hiruyuki Date of the Department of Medical Technology, University of Sapporo, Japan. The purpose was to evaluate the use of SLAC’s radiation physics code, EGS, for use in microdosimetry on a cellular level.
Various SLAC drawings and material process procedures were distributed freely to sister labs, both foreign and domestic.
For the second year in a row, OTT organized a one-day seminar on technology management and entrepreneurship for 28 executive MBA students from the Chinese University of Hong Kong. OTT also conducted a SLAC tour for a visitor from the British Consulate Tech Transfer Group interested in learning about U.S. tech transfer issues and education.
One staff member audited a patent and trade secrets class at the Stanford Law School.
The publication of SLAC research resulting in journals has always been a primary method of transferring technical knowledge to industry and the public. Approximately 300 papers were published in FY 02, all were reviewed for technology that might be commercializable.
The above efforts support an “Outstanding” rating based on the agreed to performance gradient.
Performance Criterion 1.2: The structuring and administration of collaborative R&D projects with non-Federal partners for the development of innovative technology.
Performance Measure 1.2a: 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; partners funded by DOE's SBIR Program, the Civilian R&D Foundation, and other governmental agencies; and the partners’ private funds.
In FY 02, six existing collaborative projects were ongoing. Additionally, SLAC executed 2 new collaborative projects involving both hardware and software technologies. Both starts are with small businesses. Total value of the new projects is 935 k$, with 223 k$ booked as funds into SLAC. Additionally, SLAC participated in several other proposals, 3 of which received awards. (At times OTT has had to take a major role in the preparation of the SLAC portion of the proposal so that it will comply with the solicitation and be issued by the due date.) The total value of these projects, all with small businesses, is 1.7 M$, of which SLAC will receive 590 k$. CRADAs for 2 of these projects will be executed in FY 2003, along with expected others, as will a WFOA for the third project. As is always the case, several potential collaborative projects are currently under study by OTT.
OTT is participating in a SLAC discussion group which is evaluating SLAC technology for antiterrorism use.
A SLAC standard CRADA, based on the DOE Modular CRADA revised in FY 01, was crafted throughout the year and submitted to DOE SSO and OAK for reference. Also, a SLAC standard WFOA was written, varying only in minor ways from the DOE version.
All OTT technical staff attended a two-day workshop on export control regulations given by the Department of Commerce. Knowledge of this area is important for properly managing technology, although virtually all of SLAC technology falls outside the regulations.
OTT also analyzed various proposed regulations and pieces of legislation that could effect tech transfer. In particular, proposed counterintelligence procedures for CRADAs (not necessary at SLAC) and proposed other tech transfer transactional authority (which SLAC desires).
SLAC considers that the above efforts support a rating of “Outstanding” , when compared to the agreed to performance gradient.
Discussion of Overall Performance
It has been a very busy year for SLAC’s OTT, and the office operated well. A new administrative associate has been working the full year. Thus, OTT’s tracking databases are now largely up to date. The professional staff remains competent and enthusiastic about their work.
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 still 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
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 2003
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.
Goals for FY 2003
The major goals for FY 02 are to:
For Questions or comments, Please contact Ziba Mahdavi, Last Updated 10/30/02