Performance Based Management

Self-Assessment Report

October 2003

Technology and Intellectual Property Management

Introduction/Background

Date of last assessment: October 2002

Department Overview

Laboratory Mission

The Stanford Linear Accelerator Center is the lead Department of Energy (DOE) laboratory for electron-based high energy physics. It is dedicated to research in elementary particle physics, accelerator physics and in allied fields that can make use of its synchrotron radiation facilities—including biology, chemistry, geology, materials science and environmental engineering. Operated on behalf of the DOE by Stanford University, SLAC is a national user facility serving universities, industry and other research institutions throughout the world. Its mission can be summarized as follows:

	Perform world-class research in high energy physics, particle astrophysics and cosmology, and in the use of synchrotron radiation
	Provide accelerators, detectors, instrumentation and support for national and international research programs in elementary particle physics and allied fields that use synchrotron radiation
	Advance the art of accelerators and related devices through development of sources of high energy particles and synchrotron radiation, plus new techniques for their scientific utilization
	Advance the critical technologies necessary to maintain its leadership and excellence in particle physics, accelerator physics, particle astrophysics and cosmology, and synchrotron radiation
	Transfer practical knowledge and innovative technology to the private sector
	Contribute to the education of the next generation of scientists and engineers, and to the scientific awareness of the public
	Achieve and maintain excellence in matters of environmental concern and provide for the safety and health of its staff and the general public.

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 that 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 accelerator simulation, rf power, medical therapy simulation, semiconductor manufacturing, protein modeling, and drug development), 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.

FY 03 saw 7 inventions evaluated by OTT. Four were disclosed to DOE and Stanford. A provisional application was filed with the U.S. Patent and Trademark Office for one, related to the use of a particular molecular as a possible antibacterial drug. SLAC Patent Award payouts for FY 03 invention activities were $500 to 5 inventors for actions on 4 inventions.

A recent spin-off company came to the end of its option agreement and has entered negotiations with Stanford for a long term license on the SLAC compact Compton x-ray source. Substantial royalties are expected to flow over the next decade from several fields of use, including structural biology and semiconductor manufacturing.

One license on the SLAC protein sequencing algorithm was terminated by the licensee due to internal company problems; other licensees are being sought. The patent for the algorithm is expected to be issued in October or November 2003..

SLAC OTT has drafted Open Source Software procedures and is revising other software procedures for SLAC generated software. These will be finalized and implemented in FY 04. OTT evaluated several software cases, but determined no further action was warranted due to a lack of market.

Discussions were also held with senior management of the Hong Kong Science Park and the local San Francisco consulate regarding R&D collaboration. In July OTT hosted the visit of Hong Kong’s Director of Intellectual Property. The purpose was to compare policy and management structure.

A few SLAC drawings and material process procedures were distributed freely to sister labs, both foreign and domestic.

Regarding staff training in intellectual property:

a. one staff became a registered patent agent;

b. another attended the annual DOE Patent Counsels’ Meeting; and

c. three attended the annual DOE Technology Partnerships Working Group meeting.

The publication of SLAC research results in journals has always been a primary method of transferring technical knowledge to industry and the public. Approximately 750 papers were published in FY 03 (due to work off of backlog), 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; partners funded by DOE's SBIR Program, the Civilian R&D Foundation, and other governmental agencies; and the partners’ private funds.

In FY 03, SLAC executed 5 new collaborative projects involving both hardware and software technologies. Four starts are with small businesses. Total value of the new projects is 1.6 M$, with 652 k$ booked as funds into SLAC. Three other CRADAs are under negotiations. The projects are valued at 2.2 M$, of which 153 k$ will be funds into SLAC. Several collaborative projects were ongoing, one of which has generated a patent application by the CRADA partner for an invention in variable dynamics control. The invention is being incorporated into the partner’s system control products. Several potential collaborative projects are currently under study by OTT. For example, attempts were made to establish a collaboration to develop a combinatorial chemical system (using a SLAC invention) for use in drug development, but funding was not found this year. This type of project will continue to be pursued.

A SLAC standard CRADA, crafted by OTT and based on the DOE Modular CRADA revised in FY 01, was approved by DOE this year.

OTT also analyzed various pieces of legislation and proposed regulations, as well as new laws, and implemented regulations that affect tech transfer.

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

There are no structural problems affecting SLAC’s tech transfer operations at this time (other than the routine need for additional staff to match the work load). Hence, no root cause analysis is required.