Technology Transfer: Number and Characteristics of Inventions Licensed by
Six Federal Agencies (Letter Report, 06/18/1999, GAO/RCED-99-173).
The federal government provided about $70 billion for research and
development in fiscal year 1998. Federal funds are used to support both
"intramural" programs that involve government employees working in
government facilities and "extramural" programs that are carried out by
nonfederal organizations through contracts and grants. This report
provides information on (1) government-owned inventions licensed by six
federal agencies during fiscal years 1996 through 1998; (2) whether the
licenses were exclusive on nonexclusive; (3) whether the licensees were
small businesses, individuals, large businesses, or nonprofit
organizations; and (4) whether the licensees were foreign or domestic.
The six agencies GAO reviewed are the National Institutes of Health, the
Army, the Navy, the Air Force, the Department of Energy, and NASA. The
six agencies reported that they granted a total of 866 licenses and
received $107.5 million in royalties during fiscal years 1996 through
1998. Most of the licenses were nonexclusive, most went to small
businesses or individuals, and most went to domestic entities.
--------------------------- Indexing Terms -----------------------------
REPORTNUM: RCED-99-173
TITLE: Technology Transfer: Number and Characteristics of
Inventions Licensed by Six Federal Agencies
DATE: 06/18/1999
SUBJECT: Federal grants
Statistical data
License agreements
Patents
Royalty payments
Technology transfer
Intellectual property
Research and development
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United States General Accounting Office GAO Report
to the Honorable Duncan L. Hunter, House of Representatives June
1999 TECHNOLOGY TRANSFER Number and Characteristics of
Inventions Licensed by Six Federal Agencies GAO/RCED-99-173 GAO
United States General Accounting Office Washington, D.C. 20548
Resources, Community, and Economic Development Division B-281432
June 18, 1999 The Honorable Duncan L. Hunter House of
Representatives Dear Mr. Hunter: The federal government, a major
sponsor of research and development, provided about $70 billion in
funding for this purpose in fiscal year 1998. Federal funds are
used to support both "intramural" programs that involve government
employees working in government facilities and "extramural"
programs that are carried out by nonfederal organizations through
contracts and grants.1 In some cases, federally sponsored research
leads to the creation of new products and processes that can be
patented and commercialized. Generally, when a federal employee
creates an invention within the scope of his or her employment,
the applicable agency retains title, may license the invention to
third parties, and may receive royalties under the license. When a
contractor or grantee creates the invention, however, the
contractor or grantee generally is allowed to take title to,
license, and receive royalties on the invention. You requested
that we provide statistical information on the licensing of
government-owned inventions created under federally funded
research projects. This report provides information on (1)
government-owned inventions licensed by six federal agencies
during fiscal years 1996 through 1998, including the royalties
received during that period, and the total number of active
licenses these agencies had as of October 1, 1998; (2) whether the
licenses were exclusive or nonexclusive; (3) whether the licensees
were small businesses, individuals, large businesses, or nonprofit
organizations; and (4) whether the licensees were foreign or
domestic. Generally, an "exclusive license" conveys the right to
make, use, or sell the invention to only one licensee, while a
"nonexclusive license" can convey all or a portion of these rights
to multiple licensees. A "small business" is a for-profit entity
with 500 or fewer employees; a "large business" is a for-profit
entity with more than 500 employees; and a "nonprofit" is any
other organization. A "domestic" licensee is one incorporated or
headquartered in the United States, while all other licensees are
considered "foreign." The six agencies are the National Institutes
of Health, within the Department of Health and Human Services;
1Some agencies, such as the Department of Energy, use contractors
to operate federally owned facilities. This report concerns only
government-owned inventions and thus does not include any
statistics for contractor-owned inventions created in federally
owned laboratories. Page 1
GAO/RCED-99-173 Federal Licensing Statistics B-281432 the
departments of the Army, the Navy, and the Air Force; the
Department of Energy; and the National Aeronautics and Space
Administration. Results in Brief The six agencies reported that
they granted a total of 866 licenses and received $107.5 million
in royalties during fiscal years 1996 through 1998. As shown in
figure 1, most of the licenses were nonexclusive, most went to
small businesses or individuals, and most went to domestic
entities. Page 2 GAO/RCED-99-173
Federal Licensing Statistics B-281432 Figure 1: Characteristics of
Licenses and Licensees Unknown 2%
1% Other 6% Nonprofit 25%
Exclusive Large business 33% 60%
Small/Individual business 73%
Nonexclusive 11% Foreign 89%
Domestic Source: GAO's presentation of data from the National
Institutes of Health (NIH); the departments of the Army, the Navy,
and the Air Force (USAF); the Department of Energy (DOE); and the
National Aeronautics and Space Administration (NASA). As of
October 1, 1998, the six agencies had a total of 1,391 active
licenses. The license types, licensee types, and licensee
locations occurred in Page 3
GAO/RCED-99-173 Federal Licensing Statistics B-281432 proportions
similar to those licenses granted during fiscal years 1996 through
1998. Background For multiple and diverse reasons, the
U.S. government encourages the licensing and commercialization of
inventions created under federally sponsored research. These
reasons include assisting small businesses, promoting
collaboration between commercial enterprises and nonprofit
organizations, and encouraging the use of new technology by U.S.
industry and labor. Under 35 U.S.C. 207, federal agencies are
authorized to apply for patents and to grant licenses for
federally owned patent applications and patents. There is no
comprehensive national database on the licensing of federally
funded inventions. Recording licenses to third parties is
permitted at the Patent and Trademark Office, within the
Department of Commerce, but is not required for either the public
or government patent holders. When licenses are submitted for
recording, they are included in an "assignment" database that
primarily provides a record of patent ownership. However,
according to Patent and Trademark Office officials, few licenses
are recorded at their office for inclusion in this database. The
Government Register, established by executive order in 1944, is a
subset of the assignment database and is the official record of
all rights and interests of the U.S. government in and under
patents. The Government Register is not used to record licenses to
third parties. Data concerning agency licensing is also published
by the Department of Commerce as part of its biennial reporting of
agencies' implementation of the Stevenson-Wydler Technology
Innovation Act and related legislation.2 Annual Licenses The
number of new licenses granted annually by the six federal
agencies Granted Have remained relatively constant for
the 3 fiscal years, with 279 in fiscal year 1996, 292 in fiscal
year 1997, and 295 in fiscal year 1998. As shown in figure
Remained Constant, 2, royalty revenues increased from $28.3
million in fiscal year 1996 to but Royalties Have $41.9 million
in fiscal year 1998, an increase of 48.1 percent (see app. I).
Increased 2Under the Stevenson-Wydler Technology Innovation Act of
1980, as amended, it is the policy of the federal government,
where appropriate, to transfer federally owned or originated
technology to state and local governments and to the private
sector (15 U.S.C. 3710(a)). As part of its responsibility under
this act, the Secretary of Commerce is required to submit biennial
reports to the President and the Congress on agencies' use of the
act's authorities (15 U.S.C. 3710(g)(2)). Page 4
GAO/RCED-99-173 Federal Licensing Statistics B-281432 Figure 2:
Royalties Received by Six Federal Agencies, Fiscal Years 1996
50 Dollars in Millions Through 1998 40 30 20 10 0 1996
1997 1998 Fiscal Year Source: GAO's presentation of data from
NIH, the Army, the Navy, the USAF, DOE, and NASA. As shown in
figure 3, NIH was by far the largest licensor among the six
agencies, accounting for 607, or 70.1 percent, of the total
licenses granted over the 3 fiscal years. NIH also had the
majority of active licenses, with 990, or 71.1 percent, of the
1,391 licenses active as of October 1, 1998. Page 5
GAO/RCED-99-173 Federal Licensing Statistics B-281432 Figure 3:
Licenses Granted by Six Federal Agencies, Fiscal Years 1996
1200 Number of licenses Through 1998 and Active as of October 1,
1998 1000 800 600 120 100 80 60 40 20 0 NIH Army
Navy USAF DOE NASA Agency Fiscal years
1996 through 1998 Active as of October 1, 1998 Source: GAO's
presentation of data from the agencies cited. As shown in table 1,
NIH also had the largest share of total royalty payments received
during fiscal years 1996 through 1998, accounting for $102.2
million, or 95.1 percent, of the $107.5 million received by the
six agencies. Page 6
GAO/RCED-99-173 Federal Licensing Statistics B-281432 Table 1:
Royalties Received by Six Federal Agencies, Fiscal Years 1996
Percentage of total Through 1998 Agency
Royalties received royalties NIH
$102,200,000 95.1 The Army
1,030,537 1.0 The Navy
1,765,006 1.6 The USAF
560,000 0.5 DOE
435,175 0.4 NASA
1,470,280 1.4 Total
$107,460,998 100 Source: GAO's
presentation of data from the agencies cited. Most Licenses Were
Most of the licenses reported by the six agencies were
nonexclusive. Nonexclusive Nonexclusive
licenses accounted for 634, or 73.2 percent, of the licenses
granted during fiscal years 1996 through 1998 and for 963, or 69.2
percent, of the licenses active as of October 1, 1998. As shown in
figures 4 and 5, the individual agencies varied widely by the type
of license granted. NIH reported that 514, or 84.7 percent, of its
licenses granted during the 3 fiscal years and 769, or 77.7
percent, of its active licenses were nonexclusive. NIH granted
more licenses than the other five agencies combined, and because
of the amounts for NIH, the percentage of nonexclusive licenses
for these five agencies was much smaller than for all six agencies
combined. While DOE also had a high proportion of nonexclusive
licenses, the other four agencies had far smaller proportions and,
in some cases, had more exclusive than nonexclusive licenses (see
apps. III and IV). Page 7
GAO/RCED-99-173 Federal Licensing Statistics B-281432 Figure 4:
Types of Licenses Granted by Six Federal Agencies, Fiscal Years
600 Number of licenses 1996 Through 1998 500 400 100 80 60 40
20 0 NIH Army Navy USAF DOE
NASA Agency Exclusive Nonexclusive Other Source: GAO's
presentation of data from the agencies cited. Page 8
GAO/RCED-99-173 Federal Licensing Statistics B-281432 Figure 5:
Types of Licenses Granted by Six Federal Agencies, Active as of
900 Number of licenses October 1, 1998 800 700 200 150 80 70 60
50 40 30 20 10 0 NIH Army Navy USAF
DOE NASA Agency Exclusive Nonexclusive Other Source:
GAO's presentation of data from the agencies cited. Most Licensees
Were Small businesses and individuals
represented the largest segment of Small Businesses and
licensees for government-owned inventions. Small businesses and
individuals accounted for 518, or 59.8 percent, of all licenses
granted Individuals during fiscal
years 1996 through 1998 and for 744, or 53.5 percent, of the
licenses active as of October 1, 1998. Large businesses accounted
for more than a third of licenses granted over the 3-year period
as well as for active licenses. Nonprofit organizations accounted
for only 54, or 6.2 percent, of the licenses granted during the 3
fiscal years and 40, or 2.9 percent, of the active licenses. Page
9 GAO/RCED-99-173 Federal
Licensing Statistics B-281432 As shown in figures 6 and 7, the
individual agencies were consistent in granting a majority of
their licenses to small businesses and individuals. The only
exception was the Army, which reported that small businesses and
individuals accounted for 9, or 19.1 percent, of the licenses it
granted in fiscal years 1996 through 1998 and for 20, or 21.5
percent, of active licenses (see apps. V and VI). Figure 6:
Licenses Granted by Six Federal Agencies, by Licensee Type and
Agency, Fiscal Years 1996 Through 1998 400 Number of licenses 350
300 250 200 100 80 60 40 20 0 NIH Army
Navy USAF DOE
NASA Agency Large Small/Individual Nonprofit Unknown Source: GAO's
presentation of data from the agencies cited. Page 10
GAO/RCED-99-173 Federal Licensing Statistics B-281432 Figure 7:
Licenses by Licensee Type and Agency, Active as of October 1, 1998
600 Number of licenses 500 400 100 80 60 40 20 0 NIH
Army Navy USAF DOE
NASA Agency Large Small/Individual Nonprofit Unknown Source: GAO's
presentation of data from the agencies cited. Most Licensees Were
The majority of licenses went to domestic entities. Of the
licenses granted Located in the United in
fiscal years 1996 through 1998, 767, or 88.6 percent, went to
domestic entities, as did 1,177 or 84.6 percent of the licenses
active as of October 1, States
1998. Figures 8 and 9 show that the individual agencies generally
were consistent in granting a majority of their licenses to
domestic entities, with Page 11
GAO/RCED-99-173 Federal Licensing Statistics B-281432 all six
agencies reporting at least 80 percent of their licenses as
domestic. Most of the licenses that went to foreign entities had
been granted by NIH (see apps. VII and VIII). Figure 8: Licenses
Granted by Licensee's Location and Agency, 600 Number of
licenses Fiscal Years 1996 Through 1998 500 120 100 80 60 40 20 0
NIH Army Navy USAF DOE
NASA Agency Domestic Foreign Source: GAO's presentation of data
from the agencies cited. Page 12
GAO/RCED-99-173 Federal Licensing Statistics B-281432 Figure 9:
Licenses by Licensee's Location and Agency, Active as of 900
Number of licenses October 1, 1998 800 700 200 150 100 50 0 NIH
Army Navy USAF DOE NASA Agency
Domestic Foreign Source: GAO's presentation of data from the
agencies cited. Agency Comments We provided
copies of a draft of this report to the National Aeronautics and
Our Evaluation and Space Administration, the
Department of Commerce, the Department of Energy, the Department
of Defense, and the National Institutes of Health for review and
comment. The National Aeronautics and Space Administration
responded that it had no comments. Each of the other Page 13
GAO/RCED-99-173 Federal Licensing Statistics B-281432 agencies
recommended various changes and clarifications to the report, and
we made changes as appropriate. The Department of Commerce
suggested that we acknowledge, in our introduction, that there are
government-owned facilities operated by contractors where the
inventions are not government-owned, and, consequently, statistics
on these inventions are not included in our report. We revised the
report in response. Commerce also suggested that we explain that
some of the agencies are parts of departments where there are also
other agencies conducting research and that our report does not
provide statistics on these other agencies. While we agree that
these other agencies conduct research, we did not make changes in
this regard because the report already explains that the
statistics included were limited to the six specific agencies
named and that the six agencies are among the largest in terms of
research funding and patents. In addition, Commerce suggested that
we add information to the background section of the report to
provide a better characterization of certain databases maintained
by the Patent and Trademark Office and to note that Commerce
provides a biennial report on agency licensing. We added these
clarifications. The Department of Defense, commenting for the
departments of the Army, the Navy, and the Air Force, suggested a
number of changes, such as adding footnotes to some of the data in
the appendixes and making some revisions to license categories. We
made each of these as appropriate to the statistics presented in
appendixes in XI through XVI. The Department of Energy requested
that we include a statement in the report to show that the
Department receives much of its royalty income from inventions
created in its laboratories by contractors, even though the
inventions themselves are not government-owned. We added this
information as a note to the statistics presented in appendixes
XVII and XVIII. The National Institutes of Health suggested that
we restate our definition of "nonexclusive" licenses to note that
these licenses can convey the same rights as "exclusive" licenses
but to multiple licensees. We changed the definition as suggested.
Scope and Because there is no comprehensive database on the
licensing of Methodology government inventions, we obtained our
statistics directly from selected Page 14
GAO/RCED-99-173 Federal Licensing Statistics B-281432 funding
agencies. We asked for information from six agencies-the National
Institutes of Health; the departments of the Army, the Navy, and
the Air Force; the Department of Energy; and the National
Aeronautics and Space Administration. We chose these six agencies
because they were among the largest agencies in terms of funding
for research and development during fiscal year 1998, accounting
for about $54 billion, or 77.4 percent, of the $69.8 billion in
funding for all federal agencies. Also, they were the six largest
agencies in terms of patents granted by the Patent and Trademark
Office to federal agencies during fiscal years 1988 through 1997
and, according to federal officials knowledgeable with technology
transfer, among the largest in invention-licensing activities.
From each agency selected, we requested information for licenses
granted during fiscal years 1996 through 1998 as well as for
licenses in effect as of October 1, 1998. We asked the agencies to
provide statistics regarding (1) license type, or whether the
licenses were exclusive or nonexclusive; (2) licensee type, or
whether the inventions were licensed to individuals/small
businesses, large businesses, or nonprofit organizations; and (3)
licensee location, or whether the licensees were foreign or
domestic. We asked the agencies to provide information for both
government-owned inventions and federally supported inventions
owned by federal contractors and grantees. However, the agencies
generally did not collect or maintain information on licenses
granted to third parties by contractors and grantees. Thus, the
licensing statistics in this report are limited to government-
owned inventions. We did not validate or verify the data provided
by the agencies. However, we contacted agency officials to discuss
their programs and to obtain answers to any questions we had
regarding the statistics they had provided. We conducted our work
from September 1998 through May 1999 in accordance with generally
accepted government auditing standards. We will send copies of
this report to the appropriate House and Senate committees;
interested Members of Congress; the agencies discussed in this
report; the Honorable Jacob J. Lew, Director, Office of Management
and Budget; and other interested parties. We will make copies
available to Page 15 GAO/RCED-99-
173 Federal Licensing Statistics B-281432 others upon request. If
you or your staff have any questions or need additional
information, please call me at (202) 512-3841. Major contributors
to this report are listed in appendix XXI. Sincerely yours, Susan
Kladiva Associate Director, Energy, Resources, and Science Issues
Page 16 GAO/RCED-99-173 Federal
Licensing Statistics Page 17 GAO/RCED-99-173 Federal
Licensing Statistics Contents Letter
1 Appendix I
26 Characteristics of the Licenses Granted and the Royalties
Received by Six Federal Agencies, Fiscal Years 1996 Through 1998
Appendix II
27 Characteristics of the Licenses Granted by Six Federal
Agencies, Active as of October 1, 1998 Appendix III
28 Licenses Granted by Six Federal Agencies by License Type,
Fiscal Years 1996 Through 1998 Appendix IV
29 Licenses Granted by Six Federal Agencies by License Type,
Active as of October 1, 1998 Page 18 GAO/RCED-99-173 Federal
Licensing Statistics Contents Appendix V
30 Licenses Granted by Six Federal Agencies by Licensee Type,
Fiscal Years 1996 Through 1998 Appendix VI
31 Licenses Granted by Six Federal Agencies by Licensee Type,
Active as of October 1, 1998 Appendix VII
32 Licenses Granted by Six Federal Agencies by Licensee's
Location, Fiscal Years 1996 Through 1998 Appendix VIII
33 Licenses Granted by Six Federal Agencies by Licensee's
Location, Active as of October 1, 1998 Page 19 GAO/RCED-99-
173 Federal Licensing Statistics Contents Appendix IX
34 Characteristics of the Licenses Granted and the Royalties
Received by the National Institutes of Health, Fiscal Years 1996
Through 1998 Appendix X
35 Characteristics of the Licenses Granted by the National
Institutes of Health, Active as of October 1, 1998 Appendix XI
36 Characteristics of the Licenses Granted and the Royalties
Received by the Department of the Army, Fiscal Years 1996 Through
1998 Page 20 GAO/RCED-99-173 Federal Licensing Statistics
Contents Appendix XII
37 Characteristics of the Licenses Granted by the Department of
the Army, Active as of October 1, 1998 Appendix XIII
38 Characteristics of the Licenses Granted and the Royalties
Received by the Department of the Navy, Fiscal Years 1996 Through
1998 Appendix XIV
39 Characteristics of the Licenses Granted by the Department of
the Navy, Active as of October 1, 1998 Page 21 GAO/RCED-99-
173 Federal Licensing Statistics Contents Appendix XV
40 Characteristics of the Licenses Granted and the Royalties
Received by the Department of the Air Force, Fiscal Years 1996
Through 1998 Appendix XVI
41 Characteristics of the Licenses Granted by the Department of
the Air Force, Active as of October 1, 1998 Appendix XVII
42 Characteristics of the Licenses Granted and the Royalties
Received by the Department of Energy, Fiscal Years 1996 Through
1998 Page 22 GAO/RCED-99-173 Federal Licensing Statistics
Contents Appendix XVIII
43 Characteristics of the Licenses Granted by the Department of
Energy, Active as of October 1, 1998 Appendix XIX
44 Characteristics of the Licenses Granted and the Royalties
Received by the National Aeronautics and Space Administration,
Fiscal Years 1996 Through 1998 Appendix XX
45 Characteristics of the Licenses Granted by the National
Aeronautics and Space Administration, Active of as October 1, 1998
Page 23 GAO/RCED-99-173 Federal Licensing Statistics Contents
Appendix XXI
46 Major Contacts and Staff Acknowledgements Table
Table 1: Royalties Received by Six Federal Agencies, Fiscal
7 Years 1996 Through 1998 Figures Figure 1:
Characteristics of Licenses and Licensees
3 Figure 2: Royalties Received by Six Federal Agencies, Fiscal
5 Years 1996 Through 1998 Figure 3: Licenses Granted by Six
Federal Agencies, Fiscal Years 6 1996 Through
1998 and Active as of October 1, 1998 Figure 4: Types of Licenses
Granted by Six Federal Agencies, 8 Fiscal
Years 1996 Through 1998 Figure 5: Types of Licenses Granted by Six
Federal Agencies, 9 Active as of October 1,
1998 Figure 6: Licenses Granted by Six Federal Agencies, by
Licensee 10 Type and Agency, Fiscal Years 1996
Through 1998 Figure 7: Licenses by Licensee Type and Agency,
Active as of 11 October 1, 1998 Figure 8:
Licenses Granted by Licensee's Location and Agency,
12 Fiscal Years 1996 Through 1998 Figure 9: Licenses by Licensee's
Location and Agency, Active as 13 of October 1,
1998 Abbreviations DOE Department of Energy GAO
General Accounting Office NASA National Aeronautics and
Space Administration NIH National Institutes of Health
USAF United States Air Force Page 24
GAO/RCED-99-173 Federal Licensing Statistics Page 25
GAO/RCED-99-173 Federal Licensing Statistics Appendix I
Characteristics of the Licenses Granted and the Royalties Received
by Six Federal Agencies, Fiscal Years 1996 Through 1998 Fiscal
year Description 1996 1997
1998 Total Total licenses granted
279 292 295
866 License type Exclusive 81
70 65 216 Nonexclusive
188 218 228
634 Othera 10 4
2 16 Licensee type Large business
100 92 96
288 Small business/ individual 153
185 180 518 Nonprofit
20 15 19 54
Unknown 6 0
0 6 Licensees' location Domestic
243 262 262
767 Foreign 36 30
33 99 Total royalties received
$28,323,050 $37,270,104 $41,867,844
$107,460,998 Note: The federal agencies are the National
Institutes of Health (NIH) within the Department of Health and
Human Services, the Department of the Army (Army), the Department
of the Navy (Navy), the Department of the Air Force (Air Force),
the Department of Energy (DOE); and the National Aeronautics and
Space Administration (NASA). aIncludes agency responses "co-
exclusive," "partially exclusive," "assignment," or "combination
exclusive and nonexclusive." Source: GAO's presentation of data
from NIH, the Army, the Navy, the Air Force, DOE, and NASA. Page
26 GAO/RCED-99-173
Federal Licensing Statistics Appendix II Characteristics of the
Licenses Granted by Six Federal Agencies, Active as of October 1,
1998 Description
Number Total active licenses
1,391 License typea Exclusive
368 Nonexclusive
963 Otherb
60 Licensee type Large business
555 Small business/individual
744 Nonprofit
40 Unknown
52 Licensees' location Domestic
1,177 Foreign
214 aThe Navy's license total of 83 includes only licenses from
which the Navy received royalties in fiscal years 1996, 1997,
and/or 1998, except for assignments. bIncludes agency responses
"co-exclusive," "partially exclusive," "assignment," or
"combination exclusive and nonexclusive." Source: GAO's
presentation of data from NIH, the Army, the Navy, the Air Force,
DOE, and NASA. Page 27
GAO/RCED-99-173 Federal Licensing Statistics Appendix III Licenses
Granted by Six Federal Agencies by License Type, Fiscal Years 1996
Through 1998 Funding agency Type NIH Army
Navy Air Force DOE NASA
Total Exclusive 87 28 17
9 3 72 216 Nonexclusive
514 19 24 10 28
39 634 Othera 6 0 4
6 0 0 16 Total
607 47 45 25 31
111 866 aIncludes agency responses "co-exclusive,"
"partially exclusive," "assignment," or "combination exclusive and
nonexclusive." Source: GAO's presentation of data from the
agencies cited. Page 28
GAO/RCED-99-173 Federal Licensing Statistics Appendix IV Licenses
Granted by Six Federal Agencies by License Type, Active as of
October 1, 1998 Funding agency Type NIH Army
Navya Air Force DOE NASA
Total Exclusive 200 44 29
13 11 71 368
Nonexclusive 769 32 46 17
62 37 963 Otherb 21
17 8 14 0
0 60 Total 990 93
83 44 73 108
1,391 aThe Navy's license total includes only licenses from which
the Navy received royalties in fiscal years 1996, 1997, and/or
1998, except for assignments. bIncludes agency responses "co-
exclusive," "partially exclusive," "assignment," or "combination
exclusive and nonexclusive." Source: GAO's presentation of data
from the agencies cited. Page 29
GAO/RCED-99-173 Federal Licensing Statistics Appendix V Licenses
Granted by Six Federal Agencies by Licensee Type, Fiscal Years
1996 Through 1998 Funding agency Type NIH
Armya Navy Air Force DOE
NASA Total Large business 223 30
12 2 8 13
288 Small business/individual 346 9 30
16 23 94 518
Nonprofit 38 8 3
1 0 4 54
Unknown 0 0 0
6 0 0 6
Total 607 47 45
25 31 111 866
aThe Army reported a licensee as a large business unless expressly
identified as a small business/individual or nonprofit
organization either in the license agreement or by the laboratory
that entered into the agreement. Source: GAO's presentation of
data from the agencies cited. Page 30
GAO/RCED-99-173 Federal Licensing Statistics Appendix VI Licenses
Granted by Six Federal Agencies by Licensee Type, Active as of
October 1, 1998 Funding agency Type NIH Armya
Navy Air Force DOE NASA
Total Large business 438 35 32
4 29 17 555
Small business/individual 521 20 45
28 43 87 744
Nonprofit 10 8 6
12 1 3 40
Unknown 21 30 0
0 0 1 52
Total 990 93 83
44 73 108 1,391 aThe
Army reported a licensee as a large business unless expressly
identified as a small business/individual or nonprofit
organization either in the license agreement or by the laboratory
that entered into the agreement. Source: GAO's presentation of
data from the agencies cited, Page 31
GAO/RCED-99-173 Federal Licensing Statistics Appendix VII Licenses
Granted by Six Federal Agencies by Licensee's Location, Fiscal
Years 1996 Through 1998 Funding agency Location NIH
Army Navy Air Force DOE
NASA Total Domestic 520 40
44 24 28 111
767 Foreign 87 7 1
1 3 0 99 Total
607 47 45 25 31
111 866 Source: GAO's presentation of data from the
agencies cited. Page 32
GAO/RCED-99-173 Federal Licensing Statistics Appendix VIII
Licenses Granted by Six Federal Agencies by Licensee's Location,
Active as of October 1, 1998 Funding agency Location NIH
Army Navy Air Force DOE
NASA Total Domestic 792 86
80 43 69 107
1,177 Foreign 198 7 3
1 4 1 214 Total
990 93 83 44 73
108 1,391 Source: GAO's presentation of data from the
agencies cited. Page 33
GAO/RCED-99-173 Federal Licensing Statistics Appendix IX
Characteristics of the Licenses Granted and the Royalties Received
by the National Institutes of Health, Fiscal Years 1996 Through
1998 Fiscal year Description 1996
1997 1998 Total Total licenses
granted 184 208
215 607 License type Exclusive
36 28 23 87
Nonexclusive 144 179
191 514 Othera 4
1 1 6 Licensee type Large
business 79 69
75 223 Small business/ individual
92 127 127 346
Nonprofit 13 12
13 38 Licensees' location Domestic
156 180 184 520
Foreign 28 28
31 87 Total royalties received
$26,995,000 $35,692,000 $39,513,000
$102,200,000 aIncludes agency responses "co-exclusive," "partially
exclusive," "assignment," or "combination exclusive and
nonexclusive." Source: GAO's presentation of data from NIH. Page
34 GAO/RCED-99-173
Federal Licensing Statistics Appendix X Characteristics of the
Licenses Granted by the National Institutes of Health, Active as
of October 1, 1998 Description
Number Total active licenses
990 License type Exclusive
200 Nonexclusive
769 Othera
21 Licensee type Large business
438 Small business/individual
521 Nonprofit
10 Other
21 Licensees' location Domestic
792 Foreign
198 aIncludes agency responses "co-exclusive," "partially
exclusive," "assignment," or "combination exclusive and
nonexclusive." Source: GAO's presentation of data from NIH. Page
35 GAO/RCED-99-173
Federal Licensing Statistics Appendix XI Characteristics of the
Licenses Granted and the Royalties Received by the Department of
the Army, Fiscal Years 1996 Through 1998 Fiscal year Description
1996 1997 1998 Total
Total licenses granted 18
17 12 47 License type
Exclusive 8 11
9 28 Nonexclusive 10
6 3 19 Licensee typea Large
business 11 11
8 30 Small business/ individual
2 4 3 9
Nonprofit 5 2
1 8 Licensees' location Domestic
15 15 10 40
Foreign 3 2
2 7 Total royalties received
$345,796 $255,496 $429,245
$1,030,537 aThe Army reported a licensee as a large business
unless expressly identified as a small business/individual or
nonprofit organization either in the license agreement or by the
laboratory that entered into the agreement. Source: GAO's
presentation of data from the Army. Page 36
GAO/RCED-99-173 Federal Licensing Statistics Appendix XII
Characteristics of the Licenses Granted by the Department of the
Army, Active as of October 1, 1998 Description
Number Total active licenses
93 License type Exclusive
44 Nonexclusive
32 Othera
17 Licensee typeb Large business
35 Small business/individual
20 Nonprofit
8 Unknown
30 Licensees' location Domestic
86 Foreign
7 aIncludes agency responses "co-exclusive," "partially
exclusive," "assignment," or "combination exclusive and
nonexclusive." bThe Army reported licensee type if so identified
in the license agreement or by the laboratory that entered into
the agreement; otherwise, the type was reported as "unknown."
Source: GAO's presentation of data from the Army. Page 37
GAO/RCED-99-173 Federal Licensing Statistics Appendix XIII
Characteristics of the Licenses Granted and the Royalties Received
by the Department of the Navy, Fiscal Years 1996 Through 1998
Description 1996 1997
1998 Total Total licenses granted
16 14 15 45
License type Exclusivea 6
6 5 17 Nonexclusive
10 5 9 24 Otherb
0 3 1 4
Licensee type Large business 3
4 5 12 Small business/ individual
12 10 8 30
Nonprofit 1 0
2 3 Licensees' location Domestic
15 14 15 44
Foreign 1 0
0 1 Total royalties received
$369,249 $477,970 $917,787
$1,765,006 aIncludes agency responses "co-exclusive," "partially
exclusive," and "assignment." bIncludes agency responses
"combination exclusive and nonexclusive." Source: GAO's
presentation of data from the Navy. Page 38
GAO/RCED-99-173 Federal Licensing Statistics Appendix XIV
Characteristics of the Licenses Granted by the Department of the
Navy, Active as of October 1, 1998 Description
Number Total active licensesa
83 License type Exclusiveb
29 Nonexclusive
46 Otherc
8 Licensee type Large business
32 Small business/individual
45 Nonprofit
6 Licensees' location Domestic
80 Foreign
3 aThe Navy's license total includes only licenses from which the
Navy received royalties in fiscal years 1996, 1997, and/or 1998,
except for assignments. bIncludes agency responses "co-exclusive"
and "partially exclusive." cIncludes agency responses
"assignment," and "combination exclusive and nonexclusive."
Source: GAO's presentation of data from the Navy. Page 39
GAO/RCED-99-173 Federal Licensing Statistics Appendix XV
Characteristics of the Licenses Granted and the Royalties Received
by the Department of the Air Force, Fiscal Years 1996 Through 1998
Fiscal year Description 1996
1997 1998 Total Total licenses granted
13 5 7 25 License
type Exclusive 4 3
2 9 Nonexclusive 3
2 5 10 Othera
6 0 0 6 Licensee
type Large business 0 1
1 2 Small business/ individual
7 4 5 16 Nonprofit
0 0 1 1 Unknown
6 0 0 6 Licensees'
location Domestic 12
5 7 24 Foreign
1 0 0 1 Total
royalties received $158,000
$190,000 $212,000 $560,000 aIncludes agency
responses "co-exclusive," "partially exclusive," "assignment," or
"combination exclusive and nonexclusive." Source: GAO's
presentation of data from the Air Force. Page 40
GAO/RCED-99-173 Federal Licensing Statistics Appendix XVI
Characteristics of the Licenses Granted by the Department of the
Air Force, Active as of October 1, 1998 Description
Number Total active licenses
44 License type Exclusive
13 Nonexclusive
17 Othera
14 Licensee type Large business
4 Small business/individual
28 Nonprofit
12 Licensees' location Domestic
43 Foreign
1 aIncludes agency responses "co-exclusive," "partially
exclusive," "assignment," or "combination exclusive and
nonexclusive." Source: GAO's presentation of data from the Air
Force. Page 41 GAO/RCED-
99-173 Federal Licensing Statistics Appendix XVII Characteristics
of the Licenses Granted and the Royalties Received by the
Department of Energy, Fiscal Years 1996 Through 1998 Fiscal year
Description 1996 1997
1998 Total Total licenses granted
12 10 9 31
License type Exclusive 1
0 2 3 Nonexclusive
11 10 7 28
Licensee type Large business 3
3 2 8 Small business/
individual 9 7
7 23 Nonprofit 0
0 0 0 Licensees' location
Domestic 9 10
9 28 Total royalties received
$111,460 $128,446 $195,269
$435,175 Note: A majority of the licensing activities resulting
from DOE-sponsored research is conducted by its contractor-
operated laboratories. These were not included in this study.
Source: GAO's presentation of data from DOE. Page 42
GAO/RCED-99-173 Federal Licensing Statistics Appendix XVIII
Characteristics of the Licenses Granted by the Department of
Energy, Active as of October 1, 1998 Description
Number Total active licenses
73 License type Exclusive
11 Nonexclusive
62 Licensee type Large business
29 Small business/individual
43 Nonprofit
1 Licensees' location Domestic
69 Foreign
4 Note: A majority of the licensing activities resulting from DOE-
sponsored research is conducted by its contractor-operated
laboratories. These were not included in this study. Source: GAO's
presentation of data from DOE. Page 43
GAO/RCED-99-173 Federal Licensing Statistics Appendix XIX
Characteristics of the Licenses Granted and the Royalties Received
by the National Aeronautics and Space Administration, Fiscal Years
1996 Through 1998 Fiscal year Description 1996
1997 1998 Total Total licenses granted
36 38 37 111 License
type Exclusive 26 22
24 72 Nonexclusive 10
16 13 39 Licensee type Large business
4 4 5 13 Small
business/ individual 31
33 30 94 Nonprofit
1 1 2 4
Licensees' location Domestic 36
38 37 111 Foreign
0 0 0 0 Total
royalties received $343,545
$526,192 $600,543 $1,470,280 Source: GAO's
presentation of data from NASA. Page 44
GAO/RCED-99-173 Federal Licensing Statistics Appendix XX
Characteristics of the Licenses Granted by the National
Aeronautics and Space Administration, Active of as October 1, 1998
Description
Number Total active licenses
108 License type Exclusive
71 Nonexclusive
37 Licensee type Large business
17 Small business/individual
87 Nonprofit
3 Unknown
1 Licensees' location Domestic
107 Foreign
1 Source: GAO's presentation of data from NASA. Page 45
GAO/RCED-99-173 Federal Licensing Statistics Appendix XXI Major
Contacts and Staff Acknowledgements GAO Contacts Susan
Kladiva (202) 512-3841 John P. Hunt, Jr. (404) 679-1822 Frankie
Fulton (404) 679-1805 Acknowledgements In addition to those
named above, Mark Abraham, Deborah Ortega, Paul Rhodes, and Mindi
Weisenbloom made key contributions to this report. (141249)
Page 46 GAO/RCED-99-173 Federal
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