Science and Technology: Information on Federal Programs and Interagency Efforts That Support Small Businesses Engaged in Manufacturing
Released: 2007-06-18T00:00:00

Letter

Background

Manufacturing generally involves the mechanical, physical, or chemical transformation of materials, substances, or components into new products, including the production of food, automobiles, and clothing, among many other things. The materials that manufacturers transform into new products include raw materials from agricultural, forestry, fishing, mining, or quarrying businesses as well as component items produced by other manufacturers. Manufacturing also includes the assembly of components into manufactured products. Businesses engaged in manufacturing often are referred to as plants, factories, or mills, and most use power-driven machines and materials-handling equipment. However, products that are made by hand, or in a worker’s home, and businesses that both make and sell products at the same location, such as bakeries, also qualify as manufacturers.

In its narrowest sense, manufacturing consists of “factory floor” activities that contribute directly to the production of goods, such as cutting, grinding, and assembly. More broadly, manufacturing can include a range of activities that both precede and follow factory floor activities. Some activities, such as product design, process improvements, and quality management, are more specific to the manufacturing enterprise. Other activities are common to many types of businesses, such as the effective use of information technology, strategic planning, and administrative operations.

Although no standard definition for small manufacturing businesses exists, two systems that are widely used to classify businesses by type and size can be used to define small businesses engaged in manufacturing (referred to in this report as “small manufacturers”). Specifically, the North American Industry Classification System (NAICS), which categorizes businesses according to the principal activity in which they engage, has three general classifications for businesses engaged in manufacturing. In addition, the Small Business Administration (SBA) has size standards that define small businesses on the basis of average annual revenue or number of employees (typically, 500 or fewer). For this report, we define small manufacturers as those businesses that have a NAICS manufacturing classification and meet SBA’s criteria for small businesses.

Small manufacturers are an important component of the manufacturing sector. These businesses numbered over 300,000 in 2004 and accounted for almost 45 percent of all U.S. manufacturing jobs. Many small manufacturers also export their goods directly or indirectly as suppliers or contractors for larger companies. In addition, small manufacturers are a significant source of innovation in the U.S. economy. On average, small manufacturers produce patents that are more frequently cited as important contributors to new patents than do large manufacturers.

Over the past 14 years, studies have reported that small manufacturers possess many strengths due to their size, such as the ability to respond quickly to market changes. On the other hand, small manufacturers, like small businesses in general, lack the staff, resources, and expertise of their larger competitors and consequently face numerous challenges, including (1) finding sources of operating capital and investment funds (financial assistance); (2) bringing new products to market or finding new uses for existing technology (technology development and deployment assistance); (3) becoming familiar with new technologies, production techniques, and business management practices (technology, business, and management assistance); (4) competing in overseas markets (export assistance); and (5) obtaining skilled employees (worker training assistance).

Federal programs offer a wide range of services to help businesses of all sizes and types address these challenges. For example, federal programs may offer financial services, such as grants, loans, loan guarantees, or insurance. These financial services may be for general business purposes, such as providing working capital or acquiring new equipment, or targeted to a specific need, such as covering the expenses necessary to export goods. Programs that offer nonfinancial services may include those that help businesses acquire the various types of specialized knowledge and skills they need to begin, operate, and expand their businesses; commercialize the results of their research projects; export their goods; or appropriately train their workforce. Federal programs also may provide financial and nonfinancial services using federal employees or through agreements with state governments, private entities, and nonprofit organizations that act on behalf of the federal government.

Some federal programs are targeted to the needs of businesses of a specific size, regardless of type, such as the assistance SBA offers to small businesses. In other cases, federal programs target services to any size business but of a specific type, such as the assistance that the Farm Service Agency offers to food processors regardless of their size. Assistance also may be targeted to businesses adversely affected by trade policies or local disasters. Federal attention to the needs of manufacturers increased following the economic recession that began in 2001 when manufacturing job losses were substantial and recovery in the manufacturing sector lagged behind other sectors.

The extent to which agencies track program funding, the number of businesses they assist, and the type of businesses they assist varies. Agencies tend to track the financial services they provide in the form of grants, loans, loan guarantees, letters of credit, or insurance, in terms of both the value and the number of financial services. In addition, agencies may track financial data according to the source of their funds. For example, agencies may track the funds by their annual appropriations, the obligations to which they dedicate the appropriated funds, or the amount of dollars they expended in financial assistance. Agencies less often track the funding for and participation in nonfinancial service programs. Such services may be offered in single- or multipurpose “service centers” that offer assistance on a range of issues, and may involve the specialized expertise of staff from multiple agencies. Service centers may track the number of individuals or firms they serve but not the specific type of service provided to each business. Moreover, agencies may not gather NAICS codes or other information on the type of businesses they serve.

Because of these differences, agencies may not track funding and participation data in a consistent manner.

Federal agencies also may form interagency groups to coordinate the operations of their programs and help ensure that resources are used efficiently. These interagency efforts may focus on a specific program; for example, multiple federal agencies share responsibility for administering the Small Business Innovation Research Program and have created an interagency group to help ensure that the program is being implemented consistently across all of the agencies. Similarly, agencies may form an interagency effort to address specific activities, such as ensuring that small businesses have access to federal procurement opportunities. In addition, multiple agencies may be tasked by the President to focus their efforts on a specific topic of relevance to the business community. These agencies may create interagency groups consisting of representatives from multiple federal agencies to better coordinate their individual programs and crosscutting activities. For example, Commerce created an interagency group to implement its 2003 Manufacturing Initiative, which called for a comprehensive review of issues affecting manufacturers’ competitiveness and a strategy to foster competition. Interagency groups that are set up to coordinate task-specific efforts may disband upon completion of the assigned task.

Few Federal Programs Target Small Businesses Engaged in Manufacturing, but Services Are Available through over 200 Federal Programs That Broadly Support the U.S. Business Sector

Of the 254 federal programs we identified that provide financial or nonfinancial services or both to support the U.S. business sector, 5 programs provide services specifically to small businesses engaged in manufacturing, while an additional 15 programs target manufacturers, regardless of their size. In addition, we identified 127 programs that offer financial or nonfinancial assistance or both to small businesses, regardless of type, and 107 other federal programs designed to support all types of businesses, regardless of their size or type. Appendixes II through XX provide detailed information on all 254 programs, by agency.

Five Federal Programs Target Small Manufacturers

We identified 5 federal programs that specifically provide services to support small manufacturers. Each of the 5 programs offers various types of nonfinancial business, management, and technical assistance that are specifically related to manufacturing operations, processes, and problems. Only 1 of the 5 programs offered financial assistance in addition to its nonfinancial services. The types of services provided by the 5 programs were generally aligned with the mission of the administering agency and included the following: The Outreach to Small and Very Small Plants program is administered by Agriculture’s Food Safety and Inspection Service (FSIS), which regulates manufacturers of meat, poultry, and egg products of all sizes, and helps small meat and poultry processors comply with food safety regulations. FSIS delivers information through partnerships with colleges, universities, and other Agriculture agencies. Its services to small manufacturers include informational materials about regulatory compliance; referrals to other sources of information; funding for university workshops; and training materials such as videos. FSIS also offers education sessions to small and very small plant owners and operators on how to improve their food safety and food defense systems, and provides guidance regarding federal inspection of their products to small and very small plant owners who want to start operations.

MilTech, administered in the Office of the Secretary, is a partnership between Defense’s TechLink Program and the Montana Manufacturing Extension Partnership Center. MilTech provides companies with engineering, manufacturing, and business development assistance to help accelerate the transition of new technology to the U.S. warfighter, lower the cost and cycle time of technology acquisition, and help Defense more fully benefit from its small business research and development investment.

The Defense Small Business Technology and Readiness Resources Program (DSTARR), is administered by the Navy. DSTARR provides assessments of participating small manufacturers’ operational processes at their places of business, and develops detailed continuous improvement plans to help participants implement industry best practices, gain knowledge, and improve operations. In addition, DSTARR offers online access to information and training, and access to technical experts who provide both on-site and remote technical assistance and training in manufacturing and business processes. The goal of DSTARR is to develop a national network of small manufacturers and specialized information technology companies to meet Defense’s needs. Prior to December 2006, DSTARR was known as the Manufacturing Technical Assistance Partnership Program, The Next Generation.

The Manufacturing Technical Assistance Production Program (MTAPP) is administered by the Air Force. MTAPP provides technical and managerial assistance to enhance the capabilities of small manufacturers and increase their ability to deliver high-quality products to the Air Force, as well as to Defense, and its major contractors. Each participant receives an in-depth assessment of its operations and a continuous improvement plan. In addition, MTAPP provides hands on assistance with quality assurance, improving the efficiency of manufacturing operations, sales and marketing, information technology, and business planning.

The Technology Insertion, Demonstration, and Evaluation (TIDE)

Program is also administered by the Air Force and is a federally funded research and development center that operates through Carnegie Mellon University with funding from Defense. TIDE encourages and assists small manufacturers––specifically, those that supply goods and services important to national defense––to adopt commercially available software and information technology. The program demonstrates to these firms the advantages of using advanced software and information technology in their operations and adapts existing commercial software and information technology for small manufacturers’ use. TIDE also offers workshops, conferences, and courses that provide some of the training small manufacturers need to successfully adopt new technology. Specifically, TIDE has addressed product data management, electronic data distribution, data security, flexible scheduling of manufacturing operations, and computer simulation of manufacturing processes.

Only the Defense agencies that administer 3 of the 5 programs that target small manufacturers tracked detailed information on annual funding and participation levels for their programs. As shown in table 1, these 3 programs provided $3.8 million and served 95 small manufacturers on average each year from fiscal years 2004 through 2006. For more information on these programs, see appendixes II and IV.

Small Manufacturers May Obtain Services from 15 Federal Programs That Target Manufacturers, Regardless of Size

Agencies within Agriculture, Commerce, Defense, Energy, Health and Human Services, Housing and Urban Development, and Labor administered 15 programs that provided services specifically to manufacturers, regardless of their size. As with federal programs designed to support small manufacturers, the programs that target the needs of manufacturers in general offer services aligned with the mission of the administering agency. We identified 9 programs that offer only nonfinancial assistance and 6 programs that offer both financial and nonfinancial assistance. These programs include the following: The Domestic Food Distribution Procurements and the International Food Aid Procurements, administered by Agriculture’s Farm Service Agency, provide financial services, in the form of direct purchases, to processors of foods used for domestic food assistance, export, and foreign aid programs. Specifically, dairy, vegetable oil, and other processed commodities are purchased for various domestic and international food aid programs from food manufacturers, regardless of their size.

The Hollings Manufacturing Extension Partnership (MEP) administered by Commerce’s National Institute of Standards and Technology, supports a nationwide network of not-for-profit centers in nearly 350 locations. The centers, funded by federal, state, local, and private resources, provide manufacturers with access to the expertise of knowledgeable manufacturing and business specialists all over the country. Each center works directly with area manufacturers to provide expertise and services tailored to their most critical needs, ranging from process improvements and worker training to business practices and applications of information technology. Solutions are offered through a combination of direct assistance from center staff and outside consultants. According to an agency official, 92 percent of the manufacturing businesses that the program serves are small manufacturing businesses.

The Trade Adjustment Assistance (TAA) for Firms Program, administered by Commerce’s Economic Development Administration, offers only nonfinancial services to manufacturers that have experienced declines in sales or employment due to competition from imports in the preceding 2 years. TAA for Firms is a cost-sharing program that provides funds to pay one-half the cost of consultants or industry-specific experts for projects that improve a manufacturer’s competitiveness.

The Textiles and Apparel Program, administered by Commerce’s International Trade Administration, offers nonfinancial export assistance to textile manufacturers, such as oversight of strategies and programs to improve the domestic and international competitiveness of the U.S. fiber, textile, and apparel industries as well as industries that manufacture a wide range of consumer products. Among other things, the program performs research and analysis, compiles industry data, and promotes U.S. trade events for a whole spectrum of textiles and apparel.

The Manufacturing Technology (ManTech), the Next Generation Manufacturing Technology Initiative, and the Best Manufacturing Practices Programs, administered by the Office of the Secretary of Defense and the Navy, provide nonfinancial technical and business assistance to help large and small manufacturers, including ones that supply parts and equipment to Defense. These 3 programs help firms modernize their operations, apply information technology, or network with other businesses. In addition, ManTech provides financial assistance to manufacturers.

The Industrial Technologies Program, administered by Energy, works with manufacturers to improve industrial energy efficiency and environmental performance. The program, which offers both financial and nonfinancial assistance, invests in high-risk, high-value research and development to reduce industrial energy use while stimulating productivity and growth.

The Manufacturers’ Assistance, Investigational New Drug Application, and Prescription Drug User Fee Act and Reductions for Small Business Programs, administered by Health and Human Services’ Food and Drug Administration, offer nonfinancial services, such as training, and information to industry and trade associations on the policies and procedures relevant to those products that are regulated by the agency, such as vaccines.

The Research Program for the Manufacturing Sector, administered by Health and Human Services’ National Institute for Occupational Safety and Health, offers nonfinancial services by partnering with manufacturers to develop practices and products for the workplace that can help prevent occupational diseases and injuries.

The Partnership for Advancing Technology in Housing Initiative, administered by Housing and Urban Development, is a public/private partnership that brings together key federal agencies with leaders of the home building, product manufacturing, insurance, and financial industries to develop and deploy innovative building technologies for the next generation of housing. The goal of this initiative is to identify techniques for building more affordable, durable, disaster-resistant, safe, and energy- efficient housing.

Dream It. Do It, a campaign launched by the Manufacturing Institute of the National Association of Manufacturers that is partially funded by Labor, provides nonfinancial assistance to develop tools and partnerships to help inform young people, their parents, and educators of career opportunities in advanced manufacturing. The initiative develops tools and partnerships among employers, training providers, and local Workforce Investment Boards in Kansas City and Washington State as well as in parts of Virginia, Ohio, Indiana, and the Dallas-Fort Worth metropolitan area.

Only 7 of the 15 programs that we identified that target manufacturers, regardless of their size, had funding or participation data or both for fiscal years 2004 through 2006. This information is provided in table 2. Because not all of these programs gather data on the size of the manufacturing businesses they serve, we could not determine the extent to which small manufacturers avail themselves of the services that each of these programs offer. For more information on these programs, see appendixes II, III, IV, VI, VII, IX and XI.

Small Manufacturers Can Also Access Services Offered by Many Programs That Target Small Businesses, Regardless of Type

We identified 127 federal programs administered by 18 agencies that target small businesses regardless of type. Five agencies account for over one- half of these small business programs: SBA has 35 programs, Veterans Affairs has 10, Defense has 9, and Health and Human Services and Transportation each have 8. Of the 127 programs, 7 offer only financial services, such as loans or loan guarantees; 73 offer only nonfinancial services, such as technical, business, and management assistance; 46 offer both financial and nonfinancial services; and 1 did not specify the type of services it offered. For example, of the 35 programs administered by SBA, 16 offer both financial and nonfinancial services, and 19 offer only nonfinancial services. In addition to administering these programs, SBA helps coordinate and manage two multiagency programs: the Small and Disadvantaged Business Utilization program and the Small Business Innovation Research program. Fourteen agencies included in our review have an Office of Small and Disadvantaged Business Utilization, these offices conduct outreach and provide consulting or other nonfinancial services to help small socially or economically disadvantaged businesses more effectively compete for federal contracting opportunities. Similarly, 11 agencies included in our review administer Small Business Innovation Research (SBIR) programs. SBIR provides funding for innovative research projects. In 2004 and 2005, the most recent data available, almost 20 percent of SBIR awards, valued at about $360 million, funded manufacturing-related research. For more information on all 127 programs, see appendixes II through XIX.

Of the 18 administering agencies, only 14 collected data on the types of businesses that their small business programs served or the funding devoted to provide services through these programs. Table 3 shows the number of small business programs administered by each of the 18 agencies and the funding and participation data for the 14 agencies that tracked these data.

Small Manufacturers May Also Benefit from Many Federal Programs That Target Businesses, Regardless of Size or Type

We identified an additional 107 programs administered by 15 agencies included in our review that offer financial or nonfinancial services or both to businesses, regardless of the size or type of business. Over 60 percent of these programs are administered by agencies within Agriculture, Commerce, Defense, and Health and Human Services. As with the manufacturing-related and small business programs previously described, the services these general business programs offer are aligned with the mission of the administering agency. Specifically, we found that 7 programs in 3 agencies offer only financial services to businesses, 66 programs in 13 agencies offer only nonfinancial services, and 32 programs provide both financial and nonfinancial services. Technical, business, or management assistance was the most commonly offered nonfinancial service, and worker training was the least commonly offered service. Information on the services offered by these 107 programs by each of the 15 administering agencies is shown in table 4. For more details on these 107 programs, see appendixes II through XX.

Six Interagency Efforts Support Manufacturing, and 14 Support All Businesses, Including Manufacturers

Of the 20 federal interagency efforts we identified that address the concerns of the business sector, 4 specifically focus on the challenges faced by small manufacturers, 2 focus on issues faced by manufacturers in general, and the remaining 14 focus on issues of concern to small businesses or businesses in general. Tables 5 and 6 provide detailed information on each of the interagency efforts that we identified on the basis of the primary focus of the effort.

Of the remaining 14 interagency efforts that we identified, 5 focus on the concerns of small businesses and 9 focus on the concerns of all businesses in general, both of which may address some issues that are also relevant to small businesses engaged in manufacturing. For example, these efforts focus on such issues as ensuring access to federal contracting opportunities, expanding services available to small businesses through networks of service centers, streamlining electronic access to federal business opportunities, and expanding export opportunities. For more details on these 14 interagency efforts, see appendix XXI.

Agency Comments

We sent a draft of this report to the Departments of Agriculture, Commerce, Defense, Education, Energy, Health and Human Services, Homeland Security, Housing and Urban Development, the Interior, Labor, Transportation, and Veterans Affairs, as well as the Environmental Protection Agency, Export-Import Bank, National Aeronautics and Space Administration, National Science Foundation, Small Business Administration, Appalachian Regional Commission, and National Technology Transfer Center. All of the agencies except for the Appalachian Regional Commission provided technical comments that we have incorporated as appropriate.

As agreed with your offices, unless you publicly announce its contents earlier, we plan no further distribution of this report for 30 days after the date of this letter. At that time, copies of this report will be sent to interested congressional committees; the Secretaries of Agriculture, Commerce, Defense, Education, Energy, Health and Human Services, Homeland Security, Housing and Urban Development, the Interior, Labor, Transportation, and Veterans Affairs; the Administrators of the Environmental Protection Agency, Export-Import Bank, National Aeronautics and Space Administration, and Small Business Administration; the Director of the National Science Foundation; the Chairman and President of the Export-Import Bank; the Executive Director of the Appalachian Regional Commission; and the Vice-President of the National Technology Transfer Center. We will also make copies available to others upon request. In addition, this report will be available at no charge on GAO’s Web site at http://www.gao.gov.

If you or your staffs have any questions about matters contained in this report, please contact me at (202) 512-3841 or mittala@gao.gov. Contact points for our Offices of Congressional Relations and Public Affairs may be found on the last page of this report. Key contributors to this report are listed in appendix XXIII.

Appendix I: Objectives, Scope, and Methodology

We identified (1) those programs that provide services to support manufacturing by U.S. small businesses and, for fiscal years 2004 through 2006, the services and funds these programs provided and their levels of participation and (2) current federal interagency efforts that support manufacturing by U.S. small businesses. In addition, we compiled a list of studies that focuses on federal programs that support small businesses engaged in manufacturing.

To identify agencies and programs that provide services to support manufacturing by small businesses, we obtained documentation and interviewed officials at 17 executive departments, independent agencies, and a government corporation, including the Departments of Agriculture, Commerce, Defense, Education, Energy, Health and Human Services, Homeland Security, Housing and Urban Development, the Interior, Labor, Transportation, and Veterans Affairs; the Environmental Protection Agency; Export-Import Bank; National Aeronautics and Space Administration; National Science Foundation; and Small Business Administration (SBA). Throughout this report we refer collectively to these executive departments, independent agencies, and the government corporation as “agencies”.

We selected these 17 agencies because each had participated in efforts by Commerce to foster, serve, and promote the nation’s economic development and technological advancement and in the efforts of SBA to promote small business development and entrepreneurship. We also searched the agencies’ Web sites and the Catalog of Federal Domestic Assistance and interviewed officials representing state governments and trade associations. Through these efforts, we also identified relevant federal efforts at the National Technology Transfer Center and the Appalachian Regional Commission, bringing the total to 19 federal entities that administer programs offering services to support businesses, including small manufacturers. We included assistance provided by federal entities and through contracts or other agreements with state governments as well as private and nonprofit entities that operate on the federal government’s behalf.

We focused our work on federal programs that support businesses by addressing challenges in the following five areas: obtaining capital; developing or deploying new technologies; applying improved technology, business, and management practices; exporting goods; and training workers. Because agencies may not track funding and participation in a consistent manner, the information they reported to us is an estimate of the minimum funding provided and businesses served. We excluded federal research programs that focus on advancing manufacturing-related knowledge and tools but that do not offer operational services or financing to manufacturers. Because no comprehensive list of federal programs that provide direct services to manufacturers or other businesses exists, we cannot guarantee that we identified all such programs. However, we attempted to verify the accuracy and completeness of the information we gathered with relevant agency officials. Officials reviewed and verified information on over 70 percent of the programs that we identified. The information we included that was not reviewed by agency officials was obtained from agency documents and information contained in agency Web sites. The program descriptions included in this report, including the appendix descriptions, were derived from agency materials and do not reflect independent GAO legal analysis of any relevant program statutes, regulation, or administrative guidance.

To identify interagency efforts to support manufacturing by small businesses, we searched the agencies’ Web sites; obtained documentation; and interviewed officials at federal agencies and organizations that represent state governments and trade associations. We included both ongoing interagency efforts that coordinate the activities of programs that operate in multiple agencies and task-specific interagency efforts that may disband upon completion of an assigned task. We attempted to verify information on these interagency efforts with relevant agency officials and reviewed available documentation on the mission, goals, and accomplishments of each effort. We consulted GAO technical experts and determined that the information and data were sufficiently reliable for this report. We conducted our work from May 2006 to April 2007 in accordance with generally accepted government auditing standards.

To identify studies focused on federal programs that support domestic manufacturing by small businesses, and other relevant studies, we identified the following criteria for including a study in this report: (1) only those studies about federal programs—specifically, those that target small businesses engaged in manufacturing; any small businesses, regardless of type; or any businesses engaged in manufacturing, regardless of size; (2) only programs administered by the following agencies and departments: the Departments of Agriculture, Commerce, Defense, Education, Energy, Health and Human Services, Homeland Security, Housing and Urban Development, Labor, and Transportation and the Appalachian Regional Commission, Environmental Protection Agency, Export-Import Bank, National Aeronautics and Space Administration, National Science Foundation, and SBA; (3) only those studies that were published after October 1, 2000; and (4) only those studies that included original research.

We searched the following databases in addition to GAO’s reports database: ProQuest, Nexis.com, EconLit, Tax & Accounting, WorldCat, DIALOG, Sociological Abstracted, Cited References, Expanded Academic, the Congressional Budget Office, the Congressional Research Service, the Defense Technical Information Center, the Inspectors General’s offices at each of the 16 agencies, the National Association of Public Administration, the National Academies Press, PolicyFile, and the RAND Corporation. We used such search terms as manufacture(s), manufacturing, manufacturer(s), industry, small business(es), federal, and each of the agency names. We found 66 studies that fit our criteria and completed a fatal flaw review for the 23 studies that were not completed by GAO to ensure that each was conducted with reasonable methodological soundness. Based on this review, we found that 4 of these 23 studies were outside of our scope or without a sound methodology. We combined the 19 studies that met our criteria with 43 studies completed by GAO and then organized these 62 studies by the agency that administers them and placed them in a bibliographic format.

Appendix II: Department of Agriculture – Programs that Offer Services to Small Manufacturers and Types of Services

Appendix II: Department of Agriculture – Programs that Offer Services to Small Manufacturers and Types of Services The Small Business Innovation Research (SBIR) program makes competitively awarded grants to qualified small businesses for the purpose of supporting high quality research proposals containing advanced concepts related to important scientific problems and opportunities in agriculture that could lead to significant public benefit if the research is successful. The objectives of the SBIR program are to stimulate technological innovations in the private sector, strengthen the role of small businesses in meeting federal research and development needs, increase private sector commercialization of innovations derived from Agriculture-supported research and development efforts, and foster and encourage participation by women-owned and socially and economically disadvantaged small business firms in technological innovations. Eight Agriculture agencies participate in SBIR including the Cooperative State Research, Education and Extension Service, Agricultural Research Service, and the Forest Service.

The Domestic Food Aid Procurements are purchases of dairy and processed commodities for domestic food assistance programs, administered by Agriculture’s Food and Nutrition Service, such as the National School Lunch Program, the Commodity Supplemental Food Program, the Emergency Food Assistance Program, and the Food Distribution Programs on Indian Reservations. The Domestic Procurement Division also purchases butter, cheese and nonfat dry milk at announced prices under the Milk Price Support Program administered by Commodity Operations.

International Food Aid Procurements are purchases of processed vegetable oil and other commodities that are produced and manufactured within the United States. Commodities are shipped for overseas donation through various humanitarian feeding programs administered by the United States Agency for International Development and Agriculture’s, Foreign Agricultural Service.

The Small and Very Small Plant Outreach program offers a central source for small and very small food processing plants to obtain information, technical assistance, and training to comply with food safety regulations and promote food safety. Since February 2006, an interagency council coordinates the outreach efforts across Agriculture agencies. Through the program Agriculture’s Food Safety and Inspection Service (FSIS) delivers information through partnerships with colleges, universities, and other Agriculture agencies. Its services to small manufacturers include informational materials about regulatory compliance, referrals to other sources of information, funding for university workshops, and training materials such as videos. FSIS also offers education sessions to small and very small plant owners and operators on how to improve their food safety and food defense systems, and provides guidance to small and very small plant owners who want to start operations regarding federal inspection of their product.

Agriculture’s Facility Guarantee Program is designed to expand sales of U.S. agricultural products to emerging markets where inadequate storage, processing or handling capacity limit trade potential. The program targets export sales of U.S. equipment or expertise to improve ports, loading/unloading capacity, refrigerated storage, warehouse and distribution systems, and other related facilities may qualify for facility guarantees, as long as these improvements are expected to increase opportunities for U.S. agricultural exports. The program provides payment guarantees to finance commercial exports of U.S. manufactured goods and services that will be used to improve agriculture-related facilities. Under the program, Agriculture’s Commodity Credit Corporation (CCC) guarantees payments due from approved foreign banks to exporters or financial institutions in the United States. Typically, a guarantee covers 95 percent of principal and a portion of interest. The financing must be obtained through normal commercial sources. Agriculture’s Foreign Agricultural Service administers this program on behalf of the CCC.

The Market Access Program (MAP) uses funds from Agriculture’s Commodity Credit Corporation (CCC) to help create, expand, and maintain foreign markets for U.S. agricultural products. MAP targets its partnerships to non-profit U.S. agricultural trade associations, U.S. agricultural cooperatives, non-profit state-regional trade groups, and small U.S. businesses. The MAP partner and CCC share the costs of approved overseas marketing and promotional activities such as consumer promotions, market research, trade shows, and trade servicing.

The Foreign Market Development program, also know as the “Cooperator Program,” uses funds from the Commodity Credit Corporation (CCC) to create, expand, and maintain long-term export markets for U.S. agricultural products. Through the Cooperator program, CCC enters into trade promotion partnerships with U.S. agricultural producers and processors, who are represented by nonprofit commodity or trade associations. Under this partnership, Agriculture and the Cooperators pool their technical and financial resources to conduct approved overseas market development activities. The Cooperator Program is administrated by Agriculture’s Foreign Agricultural Service.

The Emerging Markets Program is a market access program that provides funding for technical assistance activities intended to promote exports of U.S. agricultural commodities and products to emerging markets in all geographic regions, consistent with U.S. foreign policy. The program specifically targets U.S. agricultural or agribusiness organizations, universities, state departments of agriculture, Agriculture agencies, and for-profit entities. Many types of technical assistance activities that promote markets for U.S. agricultural products may be eligible for funding, including feasibility studies, market research, sectorial assessments, orientation visits, specialized training, and business workshops.

Export credit guarantee programs help provide commercial financing of U.S. agricultural exports. Agriculture’s Commodity Credit Corporation (CCC) administers these programs assist U.S. exporters of agricultural products with exports to countries where credit is necessary to maintain or increase U.S. sales, but where financing may not be available without CCC guarantees.

The Dairy Export Incentive Program helps exporters of U.S. dairy products meet prevailing world prices for targeted dairy products and destinations. Under the program, the U.S. Department of Agriculture pays cash to exporters as bonuses, allowing them to sell certain U.S. dairy products at prices lower than the exporter’s costs of acquiring them. The major objective of the program is to develop export markets for dairy products where U.S. products are not competitive because of the presence of subsidized products from other countries.

The Export Enhancement Program is designed to help U.S. farm products meet competition from subsidizing countries, especially the European Union. Under the program, Agriculture pays cash to exporters as bonuses, allowing them to sell U.S. agricultural products in targeted countries at prices below the exporter’s costs of acquiring them. The major objectives are to expand U.S. agricultural exports and to challenge unfair trade practices.

U.S. Exporter Assistance offers on-line access to Foreign Agricultural Service (FAS) resources, products, and services that can help companies explore the potential for international sales. Agriculture-FAS’s Exporter Assistance benefits primarily small and medium-sized companies.

The Supplier Credit Guarantee Program (SCGP) was designed to make it easier for exporters to sell U.S. food products overseas by insuring short-term, open account financing. SCGP was active until late 2005, but has not been active since. Under the security of the SCGP, U.S. exporters could become more competitive by extending longer credit terms or increasing the amount of credit available to foreign buyers without increasing financial risk. SCGP targeted U.S. exporters of agricultural products, with an emphasis on high-value products and market potential.

The small business programs administered by Agriculture’s Office of Small and Disadvantaged Business Utilization (OSDBU) are responsible for fostering the use of small and small disadvantaged businesses as federal contractors. OSDBU’s goal is to provide as much information, guidance and technical assistance as possible to assist the small business community in increasing its competitiveness through increased participation in Agriculture’s procurement and program activities.

The Customer Outreach Services administered by Agriculture’s Office of Small and Disadvantaged Business Utilization help foster participation by small businesses in Agriculture’ s procurement and program activities. Specifically, the program identifies and eliminates barriers that prevent or restrict access to Agriculture procurements, educates small businesses, and conducts monthly vendor outreach.

The Renewable Energy Systems and Energy Efficiency Improvements Program funds grants, direct loans, and loan guarantees to agricultural producers and rural small businesses that can demonstration financial need to purchase renewable energy systems and make energy efficiency improvements. To be eligible for grants, applicants must demonstrate financial need. Projects must be for the purchase of a renewable energy system or to make energy efficiency improvements. Eligible renewable energy projects include systems that generate energy from wind, solar, biomass, or geothermal sources or that produce hydrogen derived from biomass or water using a renewable energy source. Renewable energy projects can include the generation of electricity, heat, fuels, or hydrogen. Energy efficiency projects typically involve installing or upgrading equipment that results in a significant reduction in energy use from current operations.

The purpose of the Rural Business Opportunity Grant program is to promote sustainable economic development in rural communities with exceptional needs by making grants to pay the costs of providing economic planning for rural communities, technical assistance for rural businesses, or training for rural entrepreneurs or economic development officials. Eligible applicants include public bodies, nonprofit corporations, Indian tribes, or cooperatives with members who are primarily rural residents. Applicants must be able to show that the funding will result in economic development of a rural area. In addition, applicants must include a basis for determining the success or failure of the project and assessing its impact.

The Rural Business Enterprise Grants program awards grants to public bodies, private nonprofit corporations, and federally-recognized Indian tribes to finance and facilitate development of small and emerging private businesses located in rural areas. Eligible small and emerging businesses must have fewer than 50 new employees and less than $1 million in gross annual revenues. Funds may be used to finance or develop small and emerging businesses. Eligible uses include technical assistance such as marketing and feasibility studies, business plans, and training; purchases or leases of machinery and equipment; the creation of revolving loan funds small emerging businesses may use to purchase equipment or real estate; or provide working capital or funds to construct business incubators for small and emerging businesses.

The Business and Industry Guaranteed Loan program helps create jobs and stimulates rural economies by providing financial backing for rural businesses. This program provides guarantees up to 80 percent of loans made by commercial lenders. Loan proceeds may be used for working capital, machinery and equipment, buildings and real estate, and certain types of debt refinancing. The primary purpose is to create and maintain employment and improve the economic climate in rural communities. Authorized lenders include federal or state chartered banks, credit unions, insurance companies, savings and loan associations, Farm Credit Banks, the National Rural Utilities Finance Corporation, and other lenders approved by Business and Cooperative Programs. A borrower may be a cooperative organization, corporation, partnership, or other legal entity organized and operated on a profit or nonprofit basis; an Indian tribe on a federal or state reservation or other federally recognized tribal group; a public body; or an individual. Individual borrowers must be U.S. citizens or legal residents. Corporations or other nonpublic borrowers must be at least 51 percent owned by persons who are either U.S. citizens or legal residents. Business and Industry loans are normally available in rural areas.

Value Added Producer Grants may be used for planning activities and for working capital for marketing value-added agricultural products and for farm-based renewable energy. Eligible applicants are independent producers, farmer and rancher cooperatives, agricultural producer groups, and majority-controlled producer-based business ventures.

The purpose of the Intermediary Relending Program is designed to alleviate poverty and increase economic activity and employment in rural communities, especially disadvantaged and remote communities, through financing targeted primarily towards smaller and emerging businesses, in partnership with other public and private resources, and in accordance with state and regional strategy based on identified community needs. This purpose is achieved through loans made to intermediaries that establish programs for the purpose of providing loans to ultimate recipients for business facilities and community developments in a rural area. The program targets small businesses in rural areas.

The Rural Economic Development Loans and Grants program must be used exclusively to promote rural economic development and/or job creation projects, including but not limited to, project feasibility studies, start-up costs, business incubator projects, and other reasonable expenses for the purpose of fostering rural economic development.

Appendix III: Department of Commerce – Programs that Offer Services to Small Manufacturers and Types of Services

The Office of Exporter Services is responsible for counseling exporters of all sizes, conducting export control seminars and drafting and publishing changes to the Export Administration Regulations. It is also responsible for compliance actions related to the Special Comprehensive Licenses and the development of export management systems. In addition, the office processes license applications and commodity classifications.

A series of increasingly detailed seminars led by Bureau of Industry and Security’s professional counseling staff to provide an in-depth examination of the Export Administration Regulations and to inform exporters how to comply with U.S. export control requirements on commercial goods.

A web site to help make small and medium-sized businesses aware of the wide range of federal resources available to bolster their competitiveness in world markets. The Bureau of Industry and Security and partner agencies offer a variety of innovative programs to assist such firms. The web site provides a brief description and links to various programs, many of which are defense-related.

The Defense Advocacy Program helps companies succeed in today’s highly competitive global defense market. They assist U.S. companies of all sizes. Trade and industry analysts: 1) support U.S. defense companies’ products and services in international procurement competitions, 2) identify and disseminate information on export market opportunities, 3) provide market intelligence and business counseling, and 4) generate high-level, government-to-government advocacy on behalf of U.S. firms competing for international defense projects.

The purpose of the Defense Priorities and Allocations System Program is to (1) assure the timely availability of industrial resources to meet current national defense and emergency preparedness program requirements; and (2) provide an operating system to support rapid industrial response in a national emergency.

The Bureau of Industry and Security conducts industry analyses to assess the capability of the U.S. industrial base to support national defense. The Office of Technology Evaluation, an office within the Bureau, uses industry-specific surveys to provide essential employment, financial, production, research and development, and other data - information unavailable from any other source. The final reports provide findings and recommendations for government policy-makers and industry leaders. These studies are conducted in cooperation with experts from the private sector and other U.S. government agencies. The goal is to enable the private sector and government agencies to monitor trends, benchmark industry performance, and raise awareness of diminishing manufacturing capabilities. Customers for these reports include the Armed Services, Congress, and industry associations.

The Office of National Security and Technology Transfer Controls (NSTTC) and the Office of Nonproliferation and Treaty Compliance (NPTC) are responsible for issues related to export and reexport controls. They implement the Export Administration Regulations to control the spread of commodities, technologies, and software that have both civilian and defense uses. The offices are responsible for policy actions, export licenses, commodity classifications, license determinations, advisory opinions for affected commodities, and interagency commodity jurisdiction assessments. Part of their missions include interacting with businesses of all sizes to ensure compliance with U.S. export regulations, and supporting BIS outreach activities. Business and Industry Services (BIS) does not provide financial assistance to any business. Specifically, NSTTC implements multilateral dual-use export controls for national security reasons to comply with the Wassenaar Arrangement. NSTTC is also responsible for U.S. export control policy for high performance computers and encryption, and administers the export licensing responsibilities for foreign nationals under the “deemed export” technology rule It also administers the “short supply” provisions of the Export Administration Regulations. NPTC implements multilateral dual-use export controls for non-proliferation reasons to comply with the Australia Group, the Chemical Weapons Convention, the Missile Technology Control Regime, and the Nuclear Suppliers Group. In addition, NPTC is responsible for the Inter- American Firearms Convention, crime control, and United Nations embargo restrictions. Both offices implement export controls for anti-terrorism and regional stability reasons. In addition, NSTTC conducts outreach on export controls to various industry associations: in the areas of night vision, encryption and deemed exports.

The Trade Adjustment Assistance (TAA) for Firms program is a matching funds program designed for manufacturers battling import competition. A firm may be eligible if it experienced sales and employment declines at least partially due to imports over the last 2 years. One of the 11 regional non-profit groups that manage the program (known as Trade Adjustment Assistance Centers or (TAACs) makes an initial assessment of eligibility. TAA for Firms provides financial assistance to offset the cost of projects that strengthen operations and sharpen competitiveness for manufacturers in many industries. This customized business assistance is used for a variety of projects, including consultant services in the areas of marketing, information technology, manufacturing, engineering, and quality.

The Petition Counseling and Analysis Unit helps U.S. Businesses understand U.S. unfair trade laws dealing with dumping and unfair foreign government subsidies, and the process of filing a petition requesting the initiation of an investigation. It provides guidance to potential petitioners to assist them in determining what types of information will be required in order to pursue action against an industry suspected of unfair trade practices. The PCAU also assists potential petitioners in ensuring their petition is in compliance with statutory initiation standards and provides small businesses with publicly available tariff and trade data from the Departments of Commerce and Treasury, and the U.S. International Trade Commission.

The primary mission of the Subsidies Enforcement Office (SEO) is to assist the private sector by monitoring foreign subsidies and identifying subsidies that can be remedied under the Subsidies Agreement of the World Trade Organization of which the United States is a member. As part of its monitoring efforts, the SEO has created a Subsidies Library, which is available to the public via the internet. The goal is to create an easily accessible one-stop shop that provides user-friendly information on foreign government subsidy practices.

The Trade Remedy Compliance Staff provides assistance to U.S. businesses which feel that their trade problems may stem from unfair trade practices or the improper application of foreign unfair trade laws.

The Deputy Assistant Secretary (DAS) for Textiles and Apparel oversees programs and strategies to improve the domestic and international competitiveness of the U.S. fiber, textile, and apparel industries, as well as industries which manufacture a wide range of consumer products. The DAS also serves as Chairman of the Committee for the Implementation of Textile Agreements, which determines when market disrupting factors exist in the domestic fiber, textile, and apparel marketplace. The DAS also administers U.S. textile quota agreements, formulates trade policy, performs research and analysis, compiles industry data, and promotes U.S. trade events for a whole spectrum of textiles and apparel.

Through the Export Trade Certificate of Review Program, Commerce helps promote the development of Joint Ventures and the use of Export Trade Intermediaries. With this Certificate, businesses limit their domestic legal liability when Joint Exporting or when they have Joint Sales with a Trading Partner in foreign markets. Currently the more than 3,000 firms participate in the program account for an average of $12.3 billion in annual export sales.

In order to provide a streamlined means for U.S. organizations to comply with the European.Union’s (E.U.) data protection directive, Commerce and the European Union negotiated the U.S.-E.U. Safe Harbor Framework. The Safe Harbor Framework allows U.S. companies to avoid data flow interruptions from the European Union to the United States. To be assured of “safe harbor,” a business must annually self certify to Commerce that it adheres to certain safe harbor requirements of the E.U. directive. Commerce maintains a list of all organizations that file self certification letters and makes both the list and the self certification letters publicly available.

Market Development Cooperator Program (MDCP) awards entail financial and technical assistance from the International Trade Administration (ITA) to support projects that enhance the global competitiveness of U.S. manufacturing and services industries. An MDCP award establishes a partnership between ITA and non-profit industry groups such as trade associations or chambers of commerce. Such groups are particularly effective in reaching small- and medium-size enterprises. The non- profit groups compete for a limited number of MDCP award partnerships by proposing innovative projects that enhance the global competitive position of their industry with a special emphasis on small- and medium-sized enterprises. These industry groups pledge to pay a minimum of two-thirds of the project cost and to sustain the project after the MDCP award period ends.

The Market Access and Compliance’s Office of Intellectual Property Rights has undertaken numerous activities to assist particularly small and medium sized businesses in protecting intellectual property rights, both in the United States and abroad. These activities include hotlines to file complaints; limited legal counseling; country-specific information on protecting intellectual property rights; guidance in securing supply chains against fakes; protecting intellectual property right at trade fairs; training; and information to raise consumer awareness.

The U.S. Commercial Service promotes and protects U.S. commercial interests abroad and delivers customized solutions to ensure that U.S. businesses, especially small and medium sized enterprises, compete and win in the international marketplace through a global network of trade professionals.

Since its creation in 1993, the Advocacy Center has helped hundreds of U.S. companies—small, medium and large enterprises—in various industry sectors win government contracts across the globe. Advocacy assistance is wide and varied but often involves helping companies communicate with foreign governments or government-owned corporations. For example, on a case-by-case basis, following its due diligence process, the Advocacy Center and, if necessary, the Advocacy Network will make a national interest determination to identify whether the project qualifies for federal support. Typically, companies must demonstrate how supporting their bid will positively benefit the U.S. economy, primarily in the form of exports of goods and services. Other factors may also be taken into consideration.

Manufacturing in a Foreign Trade Zone (FTZ) may offer cost advantages to small and medium sized manufacturers. FTZ staff will provide information and assistance to companies considering whether to relocate to an FTZ, which are specific physical areas within the United States that, for customs purposes, are treated as if they are outside U.S. borders. When a company manufactures in an FTZ, the company is treated (for purposes of customs duties) as if it is located outside the United States. As a result, for export shipments of the finished product, U.S. import duties don’t have to be paid on imported components. If the finished product is ultimately shipped to the U.S. market, companies may have the option to pay the finished product duty rate rather than the component duty rate.

The Minority Business Development Agency’s new Minority Business Internet Portal (website) is an e-commerce solution designed for the Minority Business Enterprise (MBE) community. This Internet platform provides MBEs with access to customized tools and business information to help them grow and thrive in an ever-changing digital economy.

According to Commerce, the Minority Business Development Agency (MBDA) is the only federal agency created specifically to foster the establishment and growth of minority-owned businesses in America. The Agency’s mission is to actively promote the growth and competitiveness of large, medium and small minority business enterprises. MBDA funds a network of Minority Business Development Centers, Native American Business Development Centers, and Business Resource Centers located throughout the Nation. The Centers are staffed by business specialists who have the knowledge and practical experience needed to run successful and profitable businesses. Business referral services are provided free of charge. However, the network generally charges nominal fees for specific management and technical assistance services.

Although funding for new projects was discontinued in fiscal year 2005, the Advanced Technology Program (ATP) did receive funding to continue existing projects. ATP provides cost-shared multi-year funding to single companies and industry-led joint ventures to accelerate the development and broad dissemination of challenging, high- risk technologies with the potential for significant commercial payoffs and widespread benefits for the nation. This unique government-industry partnership aids companies in accelerating the development of emerging or enabling technologies that lead to revolutionary new products and industrial processes and services that can compete in rapidly changing world markets. ATP challenges the research and development community to take on higher technical risk projects with commensurately higher potential payoffs for the nation than they would otherwise pursue. ATP does not fund product development, manufacturing, marketing, or commercialization activities.

The calibration services of the National Institute of Standards and Technology (NIST) are designed to help the makers and users of precision instruments achieve the highest possible levels of measurement quality and productivity. NIST recovers the cost of providing calibration services by charging a fee for each calibration performed. Calibration services are offered to public and private organizations and individuals alike.

The Manufacturing Engineering Laboratory works to satisfy the measurements and standards needs of the U.S. manufacturers in mechanical and dimensional metrology and in advanced manufacturing technology by conducting research and development, providing services, and participating in standards activities.

The Hollings Manufacturing Extension Partnership (MEP) is a nationwide network of not-for-profit centers in nearly 350 locations, whose purpose is to provide manufacturers with the services they need to succeed. The centers, serving all 50 States and Puerto Rico, are linked together through Commerce’s National Institute of Standards and Technology. Centers are funded by federal, state, local and private resources to serve manufacturers that make it possible for even the smallest firms to tap into the expertise of knowledgeable manufacturing and business specialists all over the United States. These specialists are people who have had experience on manufacturing floors and in plant operations. Each center works directly with area manufacturers to provide expertise and services tailored to their most critical needs, which range from process improvements and worker training to business practices and applications of information technology. Solutions are offered through a combination of direct assistance from center staff and outside consultants. Centers often help small firms overcome barriers in locating and obtaining private-sector resources.

According to the National Institute of Standards and Technology (NIST), it has the mandate to help improve the security of commercial information technology products and strengthen the security of users’ systems and infrastructures. To this end, NIST, in co-sponsorship with the Small Business Administration and the Federal Bureau of Investigation, conducts workshops on information security threats and solutions. The workshops resulting from this partnership deliver information security training and are especially designed for small businesses and not-for-profit organizations. Attendees will have the opportunity to explore practical tools and techniques that can help them to assess, enhance, and maintain the security of their systems and information.

The Fisheries Finance Program provides long-term financing for the cost of construction or reconstruction of fishing vessels, shoreline facilities, and aquacultural facilities. Specifically, the program does not finance construction of new vessels, but refinances the previously paid cost of such construction. Additionally, the program provides long-term financing of individual fishing quotas in the Northwest Halibut and Sablefish fisheries. Vessel financing or refinancing that could contribute to overcapitalization by increasing harvesting capacity is prohibited by regulation.

The Institute for Telecommunication Sciences (ITS) participates in technology transfer and commercialization efforts by fostering cooperative telecommunications research with industry where benefits can directly facilitate U.S. competitiveness and market opportunities. ITS has participated for a number of years in Cooperative Research and Development Agreements (CRADAs) with private sector organizations to design, develop, test and evaluate advanced telecommunication concepts. Cooperative research with private industry has helped ITS accomplish its mission to support industry’s productivity and competitiveness by providing insight into industry needs. This has led to adjustments in the focus and direction of other Institute programs to improve their effectiveness and value. While most CRADAs are with small businesses that gain access to the Institute’s facilities through the agreement, these businesses may not meet the Small Business Administration’s definition of small. These entities gain access to the Table Mountain Field Site and Radio Quiet Zone facilities to conduct radio research experiments that does not involve the transfer of technology from the government to small businesses.

The Small Business Innovation Research Program (SBIR) is designed to ensure that small, high-technology firms have access to federal research and development funds to pursue advanced technologies and their commercial applications. SBIR is a competitive three-phase program that reserves a specific percentage of research and development funding at certain federal agencies for awards to small businesses. Currently eleven other federal agencies provide the grant funds and oversee the projects. The Small Business Administration monitors the SBIR program and provides guidance. Two Commerce agencies (the National Oceanic and Atmospheric Administration and National Institute of Standards and Technology) administer SBIR programs. SBIR funds the critical startup and development stages and it encourages the commercialization of the resulting technology, product, or service. In accordance with Executive Order No. 13,329, SBIR programs will give a priority, where feasible, to proposals that are directed toward innovations that will aid the nation’s manufacturing sector.

The Commerce’s Information Technology Solutions Next Generation (COMMITS NexGen) levels the “playing field” as a small business Government-Wide Acquisition Contract (GWAC) that is convenient for ordering information technology (IT) services from high quality small businesses. In today’s streamlined acquisition environment, many IT requirements that once were publicly announced are now met through task and delivery order contracts. COMMITS NexGen gives small businesses the opportunity to compete and grow.

The Office of Business Liaison serves as the primary point for contact between Commerce and the business community. Specifically, among other things, the Office helps guide individuals and businesses to the Commerce offices and policy experts best suited to respond to their needs; helps to develop a pro-active, responsive and effective outreach program and relationship with the business community; informs the Secretary, the Department and Administration officials of the critical issues facing the business community; and informs the business community of Commerce and Administration resources, policies and programs.

Commerce’s ‘Prime Contractor Directory’ is prepared to assist all small businesses, with their marketing efforts in obtaining suitable subcontracting opportunities and presenting their capabilities to Commerce prime contractors. The Prime Contractor Directory includes product, service, and construction related contractors that have contracts with Commerce which are valued at $500,000 or more. These companies have approved subcontracting plans and their progress toward achieving its subcontracting goals is monitored by the Office of Small and Disadvantaged Utilization.

The subcontracting program creates many opportunities for small, small disadvantaged, HUBZone, veteran-owned, service disabled veteran-owned small firms, and women-owned small businesses. Commerce requires contractors to establish aggressive goals for subcontracting with small businesses. The Office of Small and Disadvantaged Business Utilization monitors the progress of prime contractors in meeting the goals in their subcontracting plans.

Office of Small and Disadvantaged Business Utilization is an advocacy and advisory office responsible for promoting the use of small, small disadvantaged, Section 8(a), women-owned, veteran-owned, service-disabled veteran-owned, and HUBZone small businesses within Commerce’s acquisition process.

Appendix IV: Department of Defense - Programs that Offer Services to Small Manufacturers and Types of Services

The Technology Insertion, Demonstration, and Evaluation (TIDE) program was founded to encourage and assist small manufacturers in the adoption of commercially available software and information technology. The TIDE program is specifically focused on small manufacturers that supply goods and services important to the national defense; however, much of the work of the TIDE program is broadly applicable to all small businesses. The TIDE program consists of three primary elements: (1) technology demonstration projects; (2) workforce development course; and (3) technology development projects. This program is run through Carnegie Mellon University’s Software Engineering Institute.

The purpose of the Air Force Manufacturing Technical Assistance Production Program is to assist in increasing and enhancing the competitiveness of small manufacturing firms in support of the Air Force in Defense and their major prime contractors by providing technical and managerial assistance. The program focuses on: small business solutions to industrial policy issues; reducing critical shortages of spare parts; sustaining legacy weapons systems; maintaining surge production capability; reducing diminishing manufacturing sources and material shortages; increasing competition in commodity areas and providing a source of “Best in Class” suppliers for the government to increase competition, reduce manufacturing costs, reduce cycle times, and increase flexibility in the supply chain.

The Industrial Base Information Center (IBIC) provides timely information about the Defense Technology and Industrial Base to directly support the planning and execution activities of the Directorate and related government users. IBIC services are available to all federal government employees and contractors requiring information on valid federal government contracts. IBIC has access to an extensive range of commercial and government information sources. On-line services include DIALOG, Haystack, AFKS, and Jane’s. Databases available to IBIC include DD350 government contract data, Standard & Poor’s Research Insight, FEDLOG, Forecast International, and others. IBIC has used these and other sources to provide analyses suited to a variety of customers’ needs.

The Air Force Technology Transfer Program assures that Air Force Science and science and engineering activities promote the transfer and/or exchange of technology in a timely manner to the private and public sectors. Partnering with the Air Force can be readily accomplished through a variety of Technology Transfer agreements, such as collaborative research or licensing Air Force technologies.

The Armament Retooling and Manufacturing Support (ARMS) program—a cooperative arrangement between the Army and Agriculture—offers commercial/industrial businesses the opportunity to establish business centers at eligible Army production facilities. The ARMS “Asset Management” model offers mature infrastructure and services to businesses seeking manufacturing, office, warehouse, and other industrial park resources. The facility contractor (property manager) at the participating Army site negotiates terms and conditions with these clients reaching the “fair market value” for needed asset requirements. The ARMS program offers leasehold improvements to prospective clients to upgrade the property, meet code requirements, or adapt existing infrastructure to business client needs. As with state and local economic development agencies, the aim of the ARMS Loan Guarantee Program is to assist commercial clients/tenants in capitalizing their business opportunities. This loan program provides tenants with working capital, equipment acquisition, building modification, and other business resources to locate at eligible Army industrial facilities.

The Best Manufacturing Practices (BMP) program operates out of the Best Manufacturing Practices Center of Excellence (BMPCOE), a partnership of the Office of Naval Research’s BMP, Commerce, and the University of Maryland. The program helps businesses identify, research, and promote exceptional manufacturing practices, methods, and procedures to allow them to operate at a higher level of efficiency and effectiveness. BMP has three core competencies: (1) Best Practices Surveys - to identify, validate, and document best practices, and encourage government, industry, and academia to share information and implement the practices; (2) Systems Engineering - facilitated by the Program Manager’s WorkStation, a suite of electronic tools that provide risk management, engineering support, and failure analysis through integrated problem solving; and (3) Web Technologies - offered through the Collaborative Work Environment to provide users with an integrated digital environment to access and process a common set of documents in a geographically dispersed environment. The mission of the BMPCOE is to provide a national resource to foster the identification and sharing of best practices used in industry, government, and academia, and to coordinate efforts to strengthen the U.S. industrial base for global competition. The BMPCOE staff assist projects with systems engineering best practices throughout a product’s life cycle using process-based solutions to reduce risk and eliminate surprises.

The Defense Small Business Technology and Readiness Resources (DSTARR) program supports Defense needs by developing a national network of technically competent small businesses. DSTARR provides technical assistance and expertise to small businesses in support of their efforts to achieve process improvements, be competitive in the global marketplace, advance information technology capabilities, development leadership skills, and achieve manufacturing excellence. The program supports small manufacturing and specialized information technology companies so they can become viable suppliers, have the appropriate infrastructure and processes, and integrate into supply chains that support Defense. Prior to December 2006 this program was known as the Manufacturing Technical Assistance Production Program.

The purpose of the Next Generation Manufacturing Technology Initiative (NGMTI) is to accelerate the development and implementation of breakthrough manufacturing technologies in support of the transformation of the defense industrial base and the global economic competitiveness of U.S.-based manufacturing. With strong Congressional, federal/Defense, and industry support, NGMTI’s goal is not only to create strategic investment plans for innovative manufacturing technologies, but also to drive the implementation of those technologies through focused experiments and partnerships.

TechMatch web-based portal designed to provide industry and academia a Defense- sponsored solution to find research and development opportunities, licensable patents, and information on nearly 120 Defense labs located across the United States. Registered users will receive a daily e-mail taking them to their matching research and development opportunities from FedBizOpps, Grants.gov, SBIR/STTR solicitations; calendar events; and licensable patents relevant to their business.

Congress established the Technology Transition Initiative (TTI) in the Bob Stump National Defense Authorization Act for fiscal year 2003, Pub. L. No. 107-314, Section 242, 116 Stat. 2458, 2494-2495 (Dec. 2, 2002) to: (1) accelerate the introduction of new technologies into operational capabilities for the armed forces, and (2) successfully demonstrate new technologies in relevant environments. The Science and Technology and Acquisition executives of each military department and each Defense Agency and the commanders of the unified and specified combatant commands nominate projects to be funded. The TTI Program Manager identifies the projects that meet Defense technology goals and requirements in consultation with the Technology Transition Council. The transition costs can be shared by the TTI Program Manager and the appropriate acquisition executive. Service/Agency contribution can be up to 50 percent of the total project cost.

The Defense Manufacturing Technology (ManTech) Program focuses on the needs of weapon system programs for affordable, low-risk development, and production capabilities. It provides a link between technology invention and development, and industrial applications. It matures and validates emerging manufacturing technologies to support low-risk implementation in industry and Defense facilities (e.g., depots and shipyards). The program addresses production issues from system development through transition to production and sustainment. The primary customers of the Program are acquisition and logistics program managers who are responsible for transitioning acquisition programs from development into production and for the repair, maintenance, and overhaul of systems currently in use. It operates in the Army, Navy, Air Force, Defense Logistics Agency, and Defense Advanced Research Projects Agency.

The purpose of the Defense Industry Adjustment program is to help communities respond effectively to adverse Defense impacts, such as termination of a major defense contract. This usually means helping communities diversify defense- dependent economies by developing community strategies and initiatives to assist firms and their employees. Usually, the adjustment process revolves around identifying an organization to assume responsibility for carrying out the program, planning the adjustment, and implementing the strategy. Community responses may include any or all of the following: assistance for small and medium-sized businesses; business financing programs; procurement assistance centers; industry clusters; manufacturing extension partnerships; export assistance; workforce assistance programs; business incubators; and/or a comprehensive strategy with multiple initiatives.

The TechLink Center was established in 1996 at Montana State University in Bozeman, Montana. TechLink is funded by Defense to link companies with federal laboratories for technology licensing, research, technology transfer, and technology transition. TechLink’s expertise extends to many industry areas including advanced materials and nano technology, aerospace, agricultural technologies, biomedicine and biotechnology, electronics, environmental technologies, information technologies and software, photonics and sensors. By understanding the technology needs and strengths of both industry and federal labs, TechLink develops productive partnerships for the licensing, transfer, development, and commercialization of technology.

MilTech leverages TechLink’s technology transfer activities and helps companies primarily in the northwestern U.S. to transition innovative technology to Defense operational use. This program is a partnership between TechLink and the Montana Manufacturing Extension Partnership Center. MilTech provides engineering, manufacturing, and business development assistance to these companies to help accelerate the transition of new technology to the U.S. warfighter, lower the cost and cycle time of technology acquisition, and help Defense more fully benefit from its small business research and development funding. Although MilTech is primarily a regional program, it operates outside of the northwestern United States in two different circumstances: (1) to help TechLink licensees of Defense technologies to transition these technologies to the U.S. warfighter, and (2) when requested by Defense program managers to help other companies deliver critically needed technology to Defense.

The Defense Technical Information Center (DTIC) is an online source of information for the acquisition, storage, retrieval, and dissemination of information about Defense’s research and scientific and technical information. Its technical information services are available to anyone at no cost and can help applicants for research funds, such as Small Business Innovation Research program participants, to prepare proposals, develop products, market, and network. DTIC provides access to citations of unclassified documents, as well as the electronic full-text of many documents.

The objective of the Defense Value Engineering program is to identify improvements in defense systems that can reduce costs and increase performance. Defense seeks to promote contractor participation in the program by (1) providing informational/educational material and assistance to contractors and (2) providing program advocates who can advise and assist Defense prime contractors and their subcontractors in developing proposals to change Value Engineering contracts as well as expediting the processing of these change proposals. Contractors receive a number of benefits for their participation in Value Engineering, including a share of the savings that results from Value Engineering contract changes. Also, contractors may benefit from reduced costs, increased efficiencies, and reduced overhead, among other things.

The Procurement Gateway is an integrated online collection of automated systems providing oversight for the management of procurement data. The Procurement Gateway allows prospective government contractors to perform comprehensive and detailed searches against Request for Quotation and Award documents.

The goal of the Business Counseling Center (BCC) is to assist vendors in their search for business opportunities and to supply military customers with on-time quality goods. BCC has six state-of-the-art workstations that can provide easy access to view and quote on open solicitations via the Defense Supply Center Columbus Internet Bid Board System. BCC also offers contractors a free resource to access comprehensive research and logistics systems that include data on millions of parts purchased by the Department of Defense. BCC provides training sessions on the many facets of the acquisition process, in addition to a conference area for contractors and Defense Supply Center Columbus personnel to discuss acquisition issues.

The Aging Systems Sustainment and Enabling Technologies (ASSET) program is a National Reinvention Laboratory initiated in 1994 by Oklahoma State University to address Defense procurement problems. ASSET is a government-academic- business partnership. Technology development, insertion activities and virtual manufacturing capabilities developed by ASSET partners have resulted in grouped parts databases, parts-demand forecasting models, parts-on-demand manufacturing, new materials technologies for ceramic bearings, new processes to reduce corrosion of aging systems, and new training materials. The technologies and processes developed in the ASSET program increase the Defense supply base, reduce the time and cost associated with parts procurement, and enhance military readiness.

The Procurement Technical Assistance Program provides Procurement Technical Assistance Centers (PTACs) with Defense support so that they may provide specialized and professional assistance to individuals and businesses seeking to learn about contracting and subcontracting opportunities, actively seeking contracting and subcontracting opportunities, and/or performing under contracts and subcontracts with Defense, other federal agencies, or state and local governments. This specialized and professional assistance may consist of but is not limited to outreach and counseling type services to promote understanding of federal, state, and local government requirements applicable to contracting for services, manufacturing, or other markets, and assistance in pursuing and securing subcontracting opportunities. PTACs are to make a concerted effort to seek out and assist Small Businesses, Small Disadvantaged Businesses, Women-Owned Small Businesses, Historically Underutilized Business Zone Small Business Concerns, Service-disabled Veteran-owned Small Businesses, and Historically Black Colleges and Minority Institutions.

The Defense Small Business Innovation Research program is made up of 12 participating components: Army, Navy, Air Force, Missile Defense Agency, Defense Advanced Research Projects Agency, Chemical Biological Defense, Special Operations Command, Defense Threat Reduction Agency, National Geospatial- Intelligence Agency, and the Office of the Secretary of Defense. Beginning in fiscal year 2007, the Defense Logistics Agency and the Defense Micro-Electronics Activity became participating components. The program funds early-stage research and development at small technology companies and is designed to stimulate technological innovation, increase private sector commercialization of federal research and development, increase small business participation in federally funded research and development, and foster participation by minority and disadvantaged firms in technological innovation.

The Defense Small Business Technology Transfer (STTR) program is made up of 6 participating components: Army, Navy, Air Force, Missile Defense Agency, Defense Advanced Research Projects Agency, and Defense Research and Engineering. STTR competitively funds cooperative research and development projects involving a small business and a research institution, such as a university, federally-funded research and development center, or nonprofit research institution. The purpose of STTR is to create an effective vehicle for moving ideas from the nation’s research institutions to the market, where they can benefit both private sector and military customers.

The Mentor-Protégé program assists certain small businesses (Protégés) to successfully compete for prime contract and subcontract awards by partnering with large companies (Mentors) under individual, project-based agreements. Mentors and Protégés are solely responsible for finding their counterpart. Many mentors have made the program an integral part of their sourcing plans; while the protégés have used their involvement to develop much needed business and technical capabilities to diversify their customer base. This program is operated through the Air Force, Army, Navy, Defense Information Systems Agency, Defense Contracts Management Agency, Defense Intelligence Agency, Defense Logistics Agency, National Geospatial-Intelligence Agency, Special Operations Command, National Security Agency, Joint Robotics Program, and Missile Defense Agency.

The Defense Women-Owned Small Business (WOSB) program highlights the agency’s efforts to achieve the 5 percent goal for prime and subcontract awards to small business concerns owned and controlled by women. The program objectives are to facilitate, preserve, and strengthen full participation for WOSB concerns in the Defense acquisition programs for goods and services and, through programs and activities. It supports the growth of WOSB concerns through outreach, training, and technical assistance. All Defense subcontracting plans are required to have a separate goal for awards to WOSBs.

The Defense Regional Councils for Small Business Education and Advocacy are a nationwide network of small business specialists organized to promote the national small business programs of the United States. There are eight Regional Councils sponsored by the Defense Office of Small Business Programs governed by individual by-laws: Northeast, Mid-Atlantic, District of Columbia, Southeastern, North Central, South Central, Pacific Northwest, and Western. The Council’s primary objective is to promote the national small business programs to include small, historically underutilized business zone (HUBZone) small, small disadvantaged, women-owned small, and veteran-owned small business concerns; historically black colleges and universities; minority institutions; and tribal colleges. Additional objectives include promoting the exchange of ideas and experiences, and general information among small business specialists and the contracting community; and developing closer relationships and better communication among government entities and the small business community. Some Councils invite Small Business Liaison Officers representing prime contractors in an effort to promote small business subcontracting.

Defense conducts outreach to identify small business concerns that are owned and controlled by service-disabled veterans. The purpose of this outreach is to improve prime and subcontracting opportunities for service disabled veteran-owned small businesses throughout Defense including the military services and other Defense agencies.

The Indian Incentive Program is a congressionally authorized program that provides a rebate to the Prime Contractor of 5-percent of the total amount subcontracted to an Indian-Owned Economic Enterprise or Indian Organization. The program motivates Prime contractors to utilize Indian organization and Indian-owned economic enterprises. Defense prime contractors, regardless of size of contract are eligible for incentive payments. This is more of a monetary incentive for primes that will contract with Indian organizations, thus benefit those organizations by giving increased opportunities.

The purpose of the Historically Underutilized Business Zone Empowerment Contracting Program is to stimulate economic development and create jobs in urban and rural communities by providing federal contracting preferences to small businesses. The program provides federal contracting opportunities for qualified small businesses located in distressed areas.

The mission of the Office of Small Business Programs is to (1) advise the Secretary of Defense on all matters related to small business; (2) represent the Secretary of Defense on major matters addressed at the Office of the Secretary of Defense level; (3) develop Defense-wide small business policy and provide oversight to ensure compliance by all military departments and defense agencies; and (4) provide military departments, Defense agencies, and Procurement Technical Assistance Centers with training and tools to foster an environment that encourages small business participation in defense acquisition. The Office of Small Business Programs has the full range of authority over Defense small business programs.

Appendix V: Department of Education – Programs that Offer Services to Small Manufacturers and Types of Services

Appendix V: Department of Education – Programs that Offer Services to Small Manufacturers and Types of Services The Small Business Innovation Research (SBIR) program helps stimulate technological innovation, utilize small business to meet federal research and development needs, and increase private sector commercialization. SBIR is a highly competitive program that encourages small business to explore their technological potential and provides the incentive to profit from its commercialization. By including qualified small businesses in the nation’s research and development arena, high-tech innovation is stimulated and the United States gains entrepreneurial spirit as it meets its specific research and development needs. Offices within Education that have SBIR programs are as follows: the Institute of Education Sciences and the Office of Special Education and Rehabilitative Services/National Institute on Disability and Rehabilitation Research.

The Office of Small and Disadvantaged Business Utilization promotes and fosters opportunities for small and socioeconomically disadvantaged business concerns seeking to obtain prime contracts, subcontracts, and grants that support the programmatic and operational functions of the Department of Education.

Appendix VI: Department of Energy – Programs that Offer Services to Small Manufacturers and Types of Services

The Small Business Technology Transfer (STTR) program expands funding opportunities in the federal innovation research and development (R&D) arena through public/private sector partnerships to include joint venture opportunities for small business and nonprofit research institutions. STTR is a competitive three-phase program that reserves a specific percentage of federal R&D funding for award to small business and nonprofit research institution partners. Five federal departments and agencies (the Departments of Defense, Energy, and Health and Human Services, as well as the National Aeronautics and Space Administration and National Science Foundation) are required by STTR to reserve a portion of their R&D funds for awards to small business/nonprofit research institution partnerships.

The Small Business Innovation Research (SBIR) program is designed to stimulate technological innovation, utilize small business to meet federal research and development needs, and increase private sector commercialization. SBIR is a highly competitive program that encourages small business to explore their technological potential and provides the incentive to profit from its commercialization. By including qualified small businesses in the nation’s research and development arena, high-tech innovation is stimulated and the United States gains entrepreneurial spirit as it meets its specific research and development needs. Twelve Energy components participate in the agency’s SBIR program.

Inventions and Innovation (I&I) provides grants to independent inventors and small companies with sound ideas for energy efficiency technologies. I&I provides grantees not only with funding, but also with additional resources such as training, market assessments, technical assistance, access to promotional events and materials, and special contacts to aid in commercialization endeavors. In addition to the financial assistance grant, I&I provides awardees with business planning assistance and networking resources. For grantees who demonstrate a commitment to commercializing their technology, I&I also funds a market assessment and offers business strategy assistance. I&I recently launched a Web site that offers information tools and valuable network resources for the entrepreneur. Finally, awardees have the option of working with a private organization of past successful grantees that will mentor or otherwise aid new entrepreneurs graduating from I&I. Since I&I’s inception, over 34,000 proposals have been submitted, resulting in over 900 projects selected for financial and commercialization assistance. Awardees are monitored annually until their technologies are retired from the market or they abandon their efforts. Licensees are monitored as long as the technology remains on the market.

The Industrial Technologies Program (ITP) works with U.S. industry to improve industrial energy efficiency and environmental performance. The program invests in high-risk, high-value research and development to reduce industrial energy use while stimulating productivity and growth. Results of this investment are seen in the many ITP-funded technologies in the marketplace today.

Energy TechNet is a core collection of information and resources for anyone engaged in developing and commercializing advanced energy technologies. From idea development to market assessment, intellectual property protection to financing, the Web site addresses each stage of technology development and commercialization.

FreedomCAR and Vehicle Technologies Program professionals work with industry leaders to develop and deploy advanced transportation technologies that could achieve significant improvements in vehicle fuel efficiency and displace oil with competitive manner. Program activities include research, development, demonstration, testing, technology validation, technology transfer, and education.

The Office of Small and Disadvantaged Business Utilization is responsible for increasing the contracting opportunities awarded to small and disadvantaged businesses. Energy purchases billions of dollars worth of goods and services annually including remediation, research and development, management and scientific consulting, plate work manufacturing, engineering, and waste treatment and disposal.

The Small Business Act Section 8(a) (Section 8(a)) Pilot Program was established in fiscal year 1991 to: 1) target Section 8(a) businesses for Energy procurement opportunities at the subcontract level. The Section 8(a) Pilot Program offers financial assistance in the form of subcontracts.

The Mentor-Protégé program is designed to encourage Energy prime contractors to assist small disadvantaged firms certified by the Small Business Administration (SBA) under Section 8(a) of the Small Business Act, other small disadvantaged businesses, women-owned and service disabled veteran owned small businesses, Historically Black Colleges and Universities, and other minority institutions of higher learning, in business and technical areas. The program seeks to foster long-term business relationships between these small business entities and Energy prime contractors, and to increase the overall number of small businesses that receive Energy contract and subcontract awards.

Appendix VII: Department of Health and Human Services – Programs that Offer Services to Small Manufacturers and Types of Services

The National Institute for Occupational Safety and Health supports 16 university-based Education and Research Centers that offer short-term continuing education for occupational safety and health professionals and others with worker safety and health responsibilities.

The mission of the National Institute for Occupational Safety and Health (NIOSH) Research Program for the Manufacturing sector is to eliminate occupational diseases, injuries, and fatalities among workers in manufacturing industries through a focused program of research and prevention. NIOSH believes that their research only realizes its true value when put into practice. Every research project within the NIOSH program for the Manufacturing sector formulates a strategy to promote the transfer and translation of research findings into prevention practices and products that will be adopted in the workplace. NIOSH partners with labor, industry, government, and other stakeholders to accomplish the program goals. There is also a research to practice component to the program.

National Institute for Occupational Safety and Health (NIOSH) makes available brief documents, from1 to 4 pages that describe occupational hazards or NIOSH research activities.

Alerts briefly present new information about occupational illnesses, injuries, and deaths. Alerts urgently request assistance in preventing, solving, and controlling newly identified occupational hazards. Workers, employers, and safety and health professionals are asked to take immediate action to reduce risks and implement controls. National Institute for Occupational Safety and Health has published more than 40 Alerts on a variety of topics.

This Guide is a source of general industrial hygiene information for workers, employers, and occupational health professionals. It presents key information and data in abbreviated tabular form for 677 chemicals or substance groups that are found in many work environments.

Chemical Safety Cards summarize essential safety and health information about chemicals for their use at the “shop floor” level by workers and employers. They are simpler than material safety data sheets and designed specifically for workers’ reference.

Health Hazard Evaluations (HHEs) are investigations conducted by the National Institute for Occupational Safety and Health in response to concerns expressed by employees, employee representatives, or employers, to find out whether there is a health hazard to employees caused by hazardous exposures and conditions in the workplace. HHEs are provided at no cost and may be confidential.

The Center for Biologics Evaluation and Research (CBER) has established a manufacturers’ assistance program to provide assistance and training to industry, including large and small manufacturers and trade associations, and to respond to requests for information regarding CBER policies and procedures. Manufacturers’ assistance is available in numerous areas including: clinical investigator information, adverse event reporting procedures, electronic submissions guidance and requirements, and information on how to submit an investigational new drug application to administer an investigational product to humans. This assistance extends to facilitating effective development of all products regulated by CBER including products to diagnose, treat or prevent outbreaks from exposure to the pathogens that have been identified as bioterrorist agents. The Manufacturers Assistance and Technical Training Branch (MATTB) informs industry and trade associations of the status of CBER policies and initiatives through regular information dissemination and training. MATTB also serves as the CBER focal point for industry and trade associations to provide meeting support, and coordinates external meetings with other Food and Drug Administration Centers.

Current federal law requires that a drug be the subject of an approved marketing application before it is transported or distributed across state lines. Because a sponsor (usually the manufacturer or potential marketer) will probably want to ship the investigational drug to clinical investigators in many states, it must seek an exemption from that legal requirement. The Investigational New Drug Application is the means through which the sponsor technically obtains this exemption from the Food and Drug Administration. 21 U.S.C. § 379h authorizes the Food and Drug Administration to collect and use fees from companies that produce certain human drug and biological products. There are three types of user fees - application fees, establishment fees, and product fees. Since the passage of PDUFA, user fees have played an important role in expediting the drug approval process. The agency will waive the application fee for the first human drug application that a small business or its affiliate submits for review.

The Center for Devices and Radiological Health has a small manufacturers, international and consumer advice division which offers many forms of services to small manufacturers including technical and regulatory assistance. The division participates in many workshops which may be of educational value to the general medical device community.

Current federal law requires that a drug be the subject of an approved marketing application before it is transported or distributed across state lines. Because a sponsor (usually the manufacturer or potential marketer) will probably want to ship the investigational drug to clinical investigators in many states, it must seek an exemption from that legal requirement. The Investigational New Drug Application is the means through which the sponsor technically obtains this exemption from the Food and Drug Administration. 21 U.S.C. § 379h authorizes the Food and Drug Administration to collect and use fees from companies that produce certain human drug and biological products. There are three types of user fees - application fees, establishment fees, and product fees. Since the passage of PDUFA, user fees have played an important role in expediting the drug approval process. The agency will waive the application fee for the first human drug application that a small business or its affiliate submits for review.

Agency description of program purpose In the Center for Drug Evaluation and Research (CDER), the Office of Training and Communication (OTCOM) provides ongoing assistance to pharmaceutical businesses with fewer than 500 employees. The assistance includes a comprehensive website, a ListServ of 2,500 subscribers, a point of contact office for specific questions, and a free annual workshop on basic Food and Drug Administration/CDER organization and processes. The OTCOM ListServ conveys important emerging information to small regulated industry, including Federal Register notices, guidance, etc., on a bi-weekly basis.

Orphan Product Grants encourage clinical development of products for use in rare diseases or conditions, usually defined as affecting fewer than 200,000 people in the United States. The products studied can be drugs, biologics, medical devices, or medical foods. At this time, only clinical studies qualify for consideration. Each application should propose one discrete clinical study to facilitate Food and Drug Administration approval of the product for a rare disease or condition. The study may address an unapproved new product or an unapproved new use for a product already on the market. Small businesses are encouraged to apply.

The Innovative Molecular Analysis Technologies (IMAT) Program is aimed at the inception, development, integration, and application of novel and emerging technologies in the support of cancer research, treatment, diagnosis, and prevention. The IMAT Program is part of a broader technology development initiative within the National Cancer Institute (NCI) to harness specific technologies in the fight against cancer. This initiative underscores the desire of NCI to develop and integrate novel and emerging technologies in support of cancer research, diagnosis, and treatment. In the research continuum of discovery, development, and delivery, the IMAT Program accelerates development and delivery. This specific program will therefore serve as the discovery tool of a larger NCI technology initiative by soliciting and funding highly innovative, high-risk and cancer- relevant technology development projects associated with the molecular analysis of cancer.

To spur development of daring technologic improvements in cancer treatment and detection in the 21st century, the National Cancer Institute (NCI) created the Unconventional Innovations Program. This program seeks to stimulate development of radically new technologies in cancer care that can transform what is now impossible into the realm of the possible for detecting, diagnosing, and intervening in cancer at its earliest stages of development. The program began in 1999 and is targeted to invest $50 million over a ten year period.

The Technology Transfer Branch (TTB) provides a complete array of services to support the National Cancer Institute’s technology development activities. TTB negotiates the following collaborative agreements for laboratories: Cooperative Research and Development Agreements, Material Transfer Agreements, Confidential Disclosure Agreements, and Clinical Trials Agreements. In addition, TTB markets technologies to outside organizations in order to foster research collaboration, gives advice on intellectual property issues, and keeps laboratories posted on the latest developments in technology development and transfer.

The Office of Technology Transfer (OTT) retains title to inventions developed in National Institutes of Health’s (NIH) intramural laboratories and licensing of these inventions to private entities to ensure use, commercialization, and public availability. In a similar way, extramural recipients of NIH funds, such as universities, are allowed to seek patent protection for inventions arising from their NIH-funded basic research and license the rights to private entities to promote commercialization. Over the last 15 years, NIH has executed thousands of license agreements. These licenses transfer NIH and FDA inventions to the private sector for further research and development and potential commercialization that can lead to significant public health benefits.

The Office of Acquisition Management and Policy (OAMP) is committed to acquisition excellence by providing leadership, advice and oversight for all National Institute of Health (NIH) acquisition and financial advising services. Through strategic partnership with industry, the NIH strives to acquire the best OAMP acquisition value in products and services to support the agency’s mission activities. Strategies and efforts to promote business interests and opportunities at NIH include: strategic activities for contracting and financial program policies, procedures and practices; organizational guidance in advising on acquisition and financial program activities; oversight activities to review compliance with federal, HHS and NIH acquisition regulations; outreach activities for NIH personnel and the business community; and maintaining vendor resource information. e-PIC is an e-business system designed to smartly capture the global marketplace and profile information about organizations providing products and services. The system is designed to function on a Web platform and links users of the system conducting market research or seeking sources of supplies and services to this virtual market place. It is a consolidated database for storing and maintaining vendor contact information and contract services that each can offer. Vendors can easily add and update their contact information to provide a variety of search criteria for providing sources for an organization’s acquisitions, and to make such a system user friendly and available to the organization administrators.

The Small Business Innovation Research (SBIR) program was established to stimulate technological innovation, utilize small business to meet federal research and development needs, and increase private sector commercialization. SBIR is a highly competitive program that encourages small business to explore their technological potential and provides the incentive to profit from its commercialization. By including qualified small businesses in the nation’s research and development arena, high-tech innovation is stimulated and the United States gains entrepreneurial spirit as it meets its specific research and development needs.

The Small Business Technology Transfer (STTR) program was established to stimulate technological innovation, utilize small business to meet federal research and development needs, and increase private sector commercialization. STTR is a highly competitive program that encourages small business to explore their technological potential and provides the incentive to profit from its commercialization. By including qualified small businesses in the nation’s research and development arena, high-tech innovation is stimulated and the United States gains entrepreneurial spirit as it meets its specific research and development needs. STTR requires research partners at universities and other non-profit institutions to have a formal collaborative relationship with the small business concern.

The Office of Small & Disadvantaged Business Utilization has organized its responsibilities, programs, and activities under three lines of business: Advocacy, outreach and unification of the business process. The results achieved under all three lines of business support the accomplishment of Health and Human Services’ (HHS) strategic goal - to encourage and assist the participation of all small businesses in HHS’ contracts and grants. All of the activities carried out by the HHS Office of Small & Disadvantaged Business Utilization are done in support of its mission to give small businesses equal consideration in contracting opportunities and to increase the number of awards that are made to small businesses.

Health and Human Services’ Small Business Program Manual (SBPM) supplements the Federal Acquisition Regulation (FAR) and the Health and Human Services Acquisition Regulation (HHSAR). It is non-regulatory in nature and provides uniform procedures to support and encourage small business participation in the Department’s efforts to acquire goods and services. The SBPM is not a stand-alone document and must be read with the FAR and HHSAR.

Appendix VIII: Department of Homeland Security – Programs that Offer Services to Small Manufacturers and Types of Services

The Office of Small and Disadvantaged Business Utilization (OSDBU) ensures Homeland Security complies with federal laws, regulations, and policies to provide opportunities in its acquisitions to small business, including socially and economically disadvantaged small businesses. OSDBU is also responsible for Homeland Security’s subcontracting program. OSDBU has small business specialists at the Center for Domestic Preparedness, U.S. Citizenship and Immigration Services, Customs and Border Protection, Federal Law Enforcement Training Center, Immigration and Customs Enforcement, Transportation Security Administration, Federal Emergency Management Agency, U.S. Secret Service, and U.S. Coast Guard.

The Mentor-Protégé program is designed to motivate and encourage large prime contractors to provide developmental assistance to small businesses, including socially and economically disadvantaged small businesses. The program is also designed to (1) improve the performance of contracts and subcontracts, (2) foster the establishment of long-term business relationships between large prime contractors and small business subcontractors, and (3) strengthen subcontracting opportunities and accomplishments through incentives. For certain acquisitions, mentors may receive credit in the source selection/evaluation criteria process and a post-award incentive for the costs incurred by a mentor firm in providing assistance to a protégé firm. In addition to the benefits available to mentors, protégés may receive technical, managerial, financial, or any other mutually agreed upon benefit from mentors.

Small Business Vendor Outreach Sessions are a series of pre-arranged 15-minute appointments with Small Business Specialists from various components of the Homeland Security procurement offices. These sessions provide small businesses the opportunity to discuss their capabilities and learn of potential procurement opportunities.

The Office of the Coordinator for Gulf Coast Rebuilding was created to help devise a long- term plan for rebuilding the region devastated by hurricanes Katrina and Rita. One of its initiatives is to provide support for small business throughout the region through disaster loans and other relief. The overarching mission is to identify the priority of needs for long- term rebuilding; communicate those realities to decision makers in Washington; and advise the President and senior leadership on effective, integrated, and fiscally responsible federal strategies to support a full recovery.

The Small Business Innovation Research (SBIR) program’s principal objectives are to (1) stimulate technological innovation by small business; (2) increase small business participation in meeting federal research and development needs; (3) foster and encourage participation by socially and economically disadvantaged small business; (4) increase the commercialization of technology development through federal research and development; and (5) enhance outreach efforts to ensure that all qualified small businesses are aware of the SBIR program and the many benefits it provides.

Agency description of program purpose The Homeland Security Small Business Technology Transfer (STTR) program began in early 2006 to help build partnerships among small businesses, universities and research institutions for research and development efforts. The program encourages the transfer of intellectual concepts and ideas from research institutions through the entrepreneurship of small business concerns, as part of a larger goal to develop innovative solutions to challenging Homeland Security scientific and engineering problems. Due to a decline in its extramural research budget for fiscal year 2007, Homeland Security does not meet the statutory requirement to have an STTR program.

Appendix IX: Housing and Urban Development – Programs that Offer Services to Small Manufacturers and Types of Service

Appendix X: Department of the Interior - Programs that Offer Services to Small Manufacturers and Types of Services

The Loan Guarantee program was established to stimulate and increase Indian entrepreneurship and employment through establishment, acquisition or expansion of Indian-owned economic enterprises.

The Job Corps Civilian Conservation Centers provides individuals, in addition to other training and assistance, programs to gain work experience designed to conserve, develop, or manage public natural resources, or public recreational areas, or to develop community projects in the public interest. The Centers are located primarily in rural areas.

The Office of Small and Disadvantaged Business Utilization program strives to improve and increase Interior’s performance in utilizing small, small disadvantaged, HUBZone, women-owned, and veteran-owned businesses as contractors and subcontractors. Bureaus in Interior Bureaus in Interior collectively spend over $2 billion in contracts with the private sector, annually.

The Small Disadvantaged Business (SDB) Program is designed to treat small companies equitably and help them to pursue business in both the private and public sector contract arena. Once a business is certified as SDB, it is eligible for specific procurement benefits. The Small Business Act Section 8(a) Business Development Program allows the government to contract, on a noncompetitive basis, with socially and economically disadvantaged small businesses.

The HUBZone Empowerment Contracting program provides federal contracting opportunities for qualified small businesses located in distressed areas. The program encourages economic development in historically underutilized zones (HUBZones) and through the establishment of contract preferences for businesses in historically underutilized business zones.

The Woman-Owned Small Business program is designed to assist women-owned small businesses pursue business in both the public and private contract arena.

Office of Small and Disadvantaged Business Utilization

Appendix XI: Department of Labor – Programs that Offer Services to Small Manufacturers and Types of Services

Dream It. Do It is a campaign launched by the Manufacturing Institute of the National Association of Manufacturers, to help inform young people, their parents, and educators of career opportunities in advanced manufacturing. A grant from Labor supports the development of tools and partnerships between employers, training providers, and local Workforce Investment Boards in Kansas City, southwestern Virginia, northeastern Ohio, the Dallas-Fort Worth metro area, southeastern Indiana, and Washington State.

The High Growth Job Training initiative is a strategic effort to prepare workers to take advantage of new and increasing job opportunities in 14 high growth, high demand and economically vital sectors of the American economy. Grants are available to develop and implement numerous industry specific solutions.

The federal Workforce Investment Act of 1998, Pub. L. No. 105-220, 112 Stat. 936 (Aug. 7, 1998) offers a comprehensive range of workforce development activities through statewide and local organizations. These activities can benefit job seekers, laid off workers, youth, incumbent workers, new entrants to the workforce, veterans, persons with disabilities, and employers. The purpose of these activities is to improve the employment, job retention, earnings, and occupational skills of participants. This, in turn, improves the quality of the workforce, reduces welfare dependency, and improves the productivity and competitiveness of the nation. Businesses play an active role in ensuring that the system prepares people for current and future jobs.

Project GATE promotes individual entrepreneurship, seeks to energize local small business creation and help diverse urban and rural populations create, and support and expand small businesses. Labor teams with the Small Business Administration through a microloan program that is offered to small start-up companies. Labor provides microenterprise training and assistance in One-Stop Centers.

The Apprenticeship Program is a voluntary, industry-driven initiative sponsored by employer and labor groups. The federal government encourages and promotes the establishment of apprenticeship programs and to provide technical assistance to program sponsors.

Small and new businesses may find the Compliance Assistance Quick Start Web site useful as an introduction to compliance assistance available on Occupational Safety & Health Administration’s (OSHA) Web site. It offers a step-by-step guide to identify many of the major OSHA requirements and guidance.

The Occupational Safety & Health Administration’s On-site Consultation Program provides services to help employers, particularly small businesses, identify and correct hazards at their worksites, and establish, maintain, or enhance their safety and health management system.

The Occupational Safety & Health Administration’s Small Business Handbook helps small business employers meet the legal requirements imposed by the Occupational Safety and Health Act of 1970, Pub. L. No. 91-596, 84 Stat. 1590 (Dec. 29, 1970), and create and maintain effective safety and health management systems.

The Occupational Safety & Health Administration’s Training Institute and Training Education Centers provide basic and advanced courses in safety and health at locations throughout the country.

The Small Business Resource Center is a Web site designed to assist small business owners understand the rules and regulations that Labor administers.

The Office of Small and Disadvantaged Business Utilization seeks to increase opportunities for small businesses to participate in the agency’s contract and grant activities; conduct outreach to increase awareness and availability of qualified providers; develop and issue information on Labor’s procurement needs and procedures; train agency staff on program requirements and capabilities; and monitor, evaluate, and report results of the agency’s efforts.

Small Business Vendor Outreach Sessions offer small businesses the opportunity to market their capabilities directly to Office of Small Business Programs and agency program officials and learn about potential Labor procurement opportunities. Conversely, Labor procurement officials can learn more about the diverse small business resources available to meet their procurement needs.

The Small Business Procurement Power Web site is designed to assist small businesses interested in procurement opportunities with Labor.

Job Corps is a no-cost education and vocational training program that helps young people ages 16 through 24 get a better job, make more money, and take control of their lives. Students enroll to learn a trade, earn a high school diploma or General Education Development certificate, and get help finding a good job. Students are paid a monthly allowance that increases the longer they stay with the program. Job Corps provides career counseling and transition support to its students for up to 12 months after they graduate from the program.

Agency and program Target businesses

Appendix XII: Department of Transportation– Programs that Offer Services to Small Manufacturers and Types of Services

The Small Business Development Office develops and implements programs that help small businesses, including small businesses owned and controlled by socially and economically disadvantaged individuals, obtain procurement opportunities with the Federal Aviation Administration.

The Office of International Programs in cooperation with the Affiliate Programs Team coordinates and arranges for international training and professional development activities. These activities inform the U.S. transportation community of technological and innovative programs abroad, promote U.S. transportation expertise internationally, and increase technology sharing between the U.S. and the international community.

The Maritime Administration (MARAD) established the National Maritime Resource and Education Center (NMREC) in April 1994 to help improve the international competitiveness of the U.S. shipbuilders, ship repairers, ship owner/operators and marine suppliers. NMREC’s services include: 1) conferences and workshops; 2) energy technologies information; 3) MARAD guideline specifications for merchant ship construction; 4) marine industry standards library; 5) standards organizations and information; and 6) Title XI information.

Transportation’s Office of Small and Disadvantaged Business Utilization (OSDBU), works closely with the Small Business Administration (SBA) and its Procurement Center Representative (PCR) to coordinate policy direction and develop new initiatives on subcontracting issues. A substantial amount of Transportation subcontracting opportunities are awarded to small businesses. To maintain a strong subcontracting program, OSDBU, in conjunction with the SBA/PCR evaluate, review, and make recommendations on subcontracting plans. OSDBU also helps large prime contractors in identifying potential small businesses (including veteran- owned, service-disabled veteran-owned, HUBZone, disadvantaged, and women- owned businesses) to help attain subcontracting goals. Prime contractors report their achievements annually and semi-annually using an electronic subcontracting reporting system at Esrs.gov.

Target businesses

Small Business Transportation Resource Centers: 1) disseminate information to small and disadvantaged businesses on business opportunities in Transportation- direct and Transportation-funded activities; 2) carry out market research, and business analyses, to identify the training and technical assistance needs of small businesses to help them become better prepared to compete for and receive transportation-related contracts; 3) design and carry out training and technical assistance programs to encourage, promote, and help minority entrepreneurs and businesses in obtain contracts, subcontracts, and projects related to business opportunities in Transportation-direct and Transportation-funded activities; 4) develop support mechanisms to help minority entrepreneurs and businesses take advantage of those business opportunities; 5) assist minority entrepreneurs and businesses by identifying opportunities for obtaining investment capital and debt financing, including Transportation’s Short Term Lending Program; 6) participate in and cooperate with federal and other programs designed to provide financial management and other forms of support and assistance to minority entrepreneurs and businesses; and 7) conduct outreach and disseminate information to small and disadvantaged business across the nation at local, regional and national transportation and business related conferences, seminars and workshops.

The Disadvantaged Business Enterprise Program is designed to encourage, promote and assist minority and women entrepreneurs and businesses to obtain training and technical assistance services. State Departments of Highways and Transportation receive supportive services funds from Transportation to provide in- house supportive services or hire consultants to provide supportive services for disadvantages business enterprises. These supportive services help disadvantages business enterprises compete in winning contracts.

The Short Term Lending Program provides loan guarantees to enhance the lending opportunities for disadvantaged business enterprises and other small and disadvantaged businesses to increase the number of such businesses that engage in transportation-related contracts and to strengthen the competitive and productive capabilities of such businesses that currently do business with Transportation, and its grantees, recipients, contractors and subcontractors.

The Women’s Procurement Assistance Committee (WPAC), managed by Transportation’s Office of Small and Disadvantaged Business Utilization (OSDBU), consists of at least one representative from each Transportation Operating Administration. The purpose of the OSDBU WPAC is to promote, coordinate, and monitor the plans and programs towards achievement of the five percent procurement goals in its direct contracting activities. The Committee works to provide forums, workshops and best practices in order to contribute to the growth and economic development of women. In addition, the Committee seeks to enhance awareness of women-owned businesses and ensure full participation in the Transportation procurement process.

The Office of Small and Disadvantaged Business Utilization (OSDBU) ensures that small and disadvantaged business policies and goals are developed and implemented in a fair, efficient, and effective manner to serve small and disadvantaged businesses. To achieve this goal OSDBU provides services through the Procurement Assistance Division, the Short Term Lending Program, and Regional Small Business Transportation Resource Centers. In addition, OSDBU organizes, co-sponsors, and participates in local, regional, and national outreach events.

Target businesses

The National Information Clearinghouse (NIC) serves as a central point of contact for the dissemination of program and procurement information, procurement forecasts, forms, data, public laws, orders, and other similar information of interest to the small business community. NIC customer service representatives respond to inquiries and questions received through a dedicated toll-free number, by written correspondence, or by e-mail in the feedback section of the Office of Small and Disadvantaged Business Utilization Web site.

The Small Business Innovation Research Program (SBIR) is designed to stimulate technological innovation, utilize small business to meet federal research and development needs, and increase private sector commercialization. SBIR is a highly competitive program that encourages small business to explore their technological potential and provides the incentive to profit from its commercialization. By including qualified small businesses in the nation’s research and development arena, high- tech innovation is stimulated and the United States gains entrepreneurial spirit as it meets its specific research and development needs.

Any business, regardless of size or type

Appendix XIII: Department of Veterans Affairs – Programs that Offer Services to Small Manufacturers and Types of Services

The Office of Small and Disadvantaged Business Utilization at Veterans Affairs advocates to maximize participation of small, small disadvantaged, veteran- owned, women-owned, and empowerment zone businesses in contracts awarded by Veterans Affairs and in subcontracts which are awarded by Veterans Affairs’ prime contractors.

The Historically Underutilized Business Zones Program provides federal contracting assistance for qualified small businesses in historically underutilized business zones to: increase employment opportunities, stimulate capital investment in those areas, and help communities leverage and reinvest their wages and taxes within the community.

The Women-Owned Small Business Program directs acquisition officials to facilitate, preserve, and strengthen women’s business enterprises and to ensure full participation by women in the free enterprise system by awarding prime contracts and subcontracts to women-owned businesses and by providing counseling to such businesses. The Office of Small and Disadvantaged Business Utilization is responsible for negotiating annual goals with Veteran Affairs acquisition officials to increase federal prime contracts with women-owned small businesses.

The Small Business Program implements the requirements to aid, counsel, assist, and protect the interests of small businesses to ensure that they account for a fair proportion of Veterans Affairs’ total purchases, contracts, and subcontracts for property and services.

The Small Business Act Section 8(a) Business Development Program was created to help small disadvantaged businesses compete in the American economy through business development and access to the federal procurement market.

The Small Disadvantaged Business Program is responsible for the award of contracts to small business concerns owned and controlled by socially and economically disadvantaged individuals and encouraging greater economic opportunity for minority entrepreneurs.

The Veteran-Owned and Operated Small Business program identifies small businesses for inclusion Veterans Affairs’ existing acquisition programs; although it is not authorized to set aside contracts for veterans. Veterans Affairs is the only agency which sets a goal and tracks participation of veteran- owned small businesses. Beginning in 2007, it will place a greater emphasis on such businesses.

Under the authority granted in section 308 of the Veterans Benefits Act of 2003, Pub. L. 108-183, Stat. 2651, 2662 (Dec. 16, 2003) Veterans Affairs is authorized to set aside contracts and/or award sole source contracts for service-disabled veterans. Veterans Affairs’ goal for participation in procurement by service-disabled veterans is 3 percent. Beginning in 2007, it will place a greater emphasis on such businesses.

Target businesses

Veterans Affairs’ subcontracting program promotes the involvement of small businesses at the subcontract level. Recognizing that small firms often do not have the capability to perform as a prime contractor on certain large contracts, Veterans Affairs requires that any contractor receiving a contract for more than $10,000 to agree that small business concerns have the maximum practicable opportunity to participate in contracts that Veterans Affairs has awarded. Furthermore, all prime contracts for construction that exceed $1,000,000 and all other types of contracts that exceed $500,000 that are not awarded to small businesses and that offer subcontracting opportunities, must contain a subcontracting plan that includes percentage goals for participation by small businesses, small disadvantaged businesses, and women owned small businesses.

The Center for Veterans Enterprise is a Web site that assists veterans in starting and building businesses. The Web site serves as the federal government’s portal for veteran-owned businesses known as VETBIZ.gov.

Any small business, regardless of type

Appendix XIV: Environmental Protection Agency – Programs that Offer Services to Small Manufacturers and Types of Services

The purpose of the Mentor-Protégé Program is meant to stimulate and impact the number of small disadvantaged businesses and women-owned businesses engaged in Environmental Protection Agency contracts.

The Environmental Protection Agency, working with industry, academic institutions, environmental groups, and other agencies, sponsors Compliance Assistance Centers that address the requirements of specific sectors. Each Web-based Center provides businesses, local governments, and federal facilities with information and guidance on environmental requirements and ways to save money through pollution prevention techniques.

The National Environmental Performance Track is a voluntary partnership program that recognizes and rewards facilities that consistently exceed regulatory requirements, work closely with their communities, and excel in protecting the environment and public health. The Environmental Protection Agency provides exclusive regulatory and administrative benefits to Performance Track members, places them at low priority for routine inspections, and offers public recognition, networking opportunities, and other benefits.

The Sector Strategies Program seeks to improve performance and reduce burdens in 13 important business sectors by addressing their unique issues and challenges in a collaborative setting. Through informal dialogue, stakeholder teams design tailored strategies to improve environmental performance and reduce regulatory burden. Sector strategies may include targeted regulatory changes, sector-based environmental management system programs, and easier links to assistance services. Currently, the program services the following manufacturing sectors: Agribusiness; Cement Manufacturing; Iron and Steel; Metal Casting; Metal Finishing; Oil and Gas Exploration and Refining; Paint and Coatings; Ports; Shipbuilding and Ship Repair; and Specialty-Batch Chemicals.

The purpose of the Design for Environment (DfE) program is to work in partnership with a broad range of stakeholders to reduce risk to people and the environment by preventing pollution. DfE focuses on industries that combine the potential for chemical risk reduction with a strong motivation to make lasting, positive changes. DfE convenes partners, including industry representatives and environmental groups to develop goals and guide the work of the partnership. Partnerships evaluate the human health and environmental considerations, performance, and cost of traditional and alternative technologies, materials and processes. As incentives ford participation and change DfE offers unique technical tools, methodologies, and expertise.

Target businesses

Through the Federal Technology Transfer Act program, federal agencies conduct joint research with non-federal partners and protect intellectual property that may be developed. Program partners benefit from cooperative research and development agreements by tapping into EPA’s resources and knowledge base to conduct joint research and technology commercialization. The program is conducted in accordance with the Federal Technology Transfer Act of 1986 and preceding legislation.

The goal of the Environmental Technology Verification (ETV) program, a public-private partnership, is to provide credible performance data for commercial-ready environmental technologies to speed their implementation for the benefit of vendors, purchasers, permitters, and the public. The ETV program develops testing protocols and verifies the performance of innovative technologies with the potential to improve protection of human health and the environment.

The Superfund Innovative Technology Evaluation (SITE) program was established to address the need for an alternative or innovative hazardous waste treatment technology research and demonstration program. The SITE Demonstration Program encourages the development and implementation of innovative treatment technologies for hazardous waste site remediation and monitoring and measurement.

The Environmental Protection Agency (EPA) is one of 11 federal agencies that participate in the Small Business Innovation Research (SBIR) program established by the Small Business Innovation Development Act of 1982, Pub. L. No. 97-219, 96 Stat. 217 (July 22, 1982). The purpose of this Act was to strengthen the role of small businesses in federally funded research and development and help develop a stronger national base for technical innovation. EPA issues annual solicitations for Phase I and Phase II research proposals from science and technology-based firms. Through a phased approach to SBIR funding, EPA can determine whether the research idea, often on high-risk advanced concepts, is technically feasible, whether the firm can do high-quality research, and whether sufficient progress has been made to justify a larger Phase II effort. Phase II contracts are limited to small businesses that have successfully completed their Phase I contracts. The objective of Phase II is to commercialize the Phase I technology.

The purpose of the Office of Small and Disadvantaged Business Utilization (OSDBU) is to stimulate and improve the involvement of small businesses and socially and economically disadvantaged small businesses in the overall EPA procurement process. OSDBU monitors and evaluates EPA’s performance in achieving the Agency’s contracting and subcontracting goals, and recommends the assignment of the Small Business Representatives from the Small Business Administration (SBA), who carries out SBA’s procurement oversight duties pursuant to applicable laws and mandates.

Target businesses

The purpose of the Small Business Ombudsman is to serve as a conduit for small business to access Environmental Protection Agency and facilitates communications between the small business community and the agency. The office reviews and resolves disputes between small businesses and the Environmental Protection Agency and works with Environmental Protection Agency personnel to increase their understanding of small businesses in the development and enforcement of environmental regulations.

The Clean Air Act Amendments of 1990, Pub. L. No. 101-549, 104 Stat. 2399 (Nov. 15, 1990), required that all states develop a program to assist small businesses in meeting the requirements of the Act. Such assistance includes, but is not necessarily limited to, adequate mechanisms to assist small businesses with compliance assistance, pollution prevention and accidental release detection and prevention, permit assistance and obligations. Section 507 of the Clean Air Act discusses specifics of the Small Business Assistance Program (SBAP). The SBAP is non-regulatory in nature and all services are confidential and free of charge. The SBAP is divided in to three major components: the Compliance Advisory Panel, the Ombudsman, and the Assistance Program. Due to geography, demographics and the unique environmental issues in each state, the structure of each program may vary.

WasteWise is a free, voluntary partnership program through which organizations eliminate costly municipal solid waste and select industrial wastes, benefiting their bottom line and the environment. WasteWise is a flexible program that allows partners to design their own waste reduction programs tailored to their needs. Large and small businesses from any industry sector may participate. Institutions, such as hospitals and universities, non-profits, and other organizations, as well as state, local and tribal governments, may also participate.

Office of Small and Disadvantaged Business Utilization

Appendix XV: Export-Import Bank – Programs that Offer Services to Small Manufacturers and Types of Services

Appendix XVI: National Aeronautics and Space Administration – Programs that Offer Services to Small Manufacturers and Types of Services

The Goddard Space Flight Center and the Jet Propulsion Laboratory, both within the National Aeronautics and Space Administration, are the training centers for technical training courses in the fabrication, assembly and inspection of flight and ground support equipment.

Regional Technology Transfer Centers expedite technology transfer and spur economic development. The program divides the nation into six regions and relies on a network within each region to provide direct and timely services to companies and other institutions nationwide. The cooperative agreements covering these Centers expired at the end of 2006. Services will be offered through an outside contractor beginning in March 2007.

The Innovative Partnerships Program fosters technology partnerships, commercialization and innovation in support of the agency’s overall mission and national priorities.

The Innovative Partnerships Program includes the Office of Technology Transfer, which has a mission to (1) facilitate the transfer of technology developed by the National Aeronautics and Space Administration and for which the agency has title to the private sector for commercial application and other benefits to the nation; (2) facilitate partnerships with the private sector and other external entities to jointly develop technology with both defense and civilian uses and infuse such technology into the agency’s missions; and (3) protect the government’s rights in its inventions.

Tech Briefs provides on a monthly basis any technologies releasable for dissemination to the public resulting from research funded by the National Aeronautics and Space Administration (NASA). It is not restricted to commercially significant technologies. Tech Briefs are typically cutting edge reports on research and emerging technologies. Until fiscal year 2007 NASA funded the publication under a cooperative agreement.

The Enterprise Engine program created a venture capital fund to provide the National Aeronautics and Space Administration with earlier and broader exposure to emerging technologies and to leverage external venture capital to develop products likely to support the agency’s mission. Effective fiscal year 2007 the program was terminated.

The Small Business Innovation Research (SBIR) program funds research by small businesses to meet many of the agency’s research and development requirements. The SBIR program was established in 1982 to provide small businesses with increased federal research and development opportunities.

Modeled after the Small Business Innovation Research program, the Small Business Technology Transfer program is aimed specifically at technology transfer. The goal is to translate basic research into economic advantage by advancing productivity growth and international economic competitiveness.

The NASA Acquisition Internet Service (NAIS) is a Web site, from which industry has immediate access to current acquisition information over the Internet. Users may subscribe to receive email notifications on acquisitions of interest. NAIS is a feeder system for Federal E-Gov Systems like the Federal Business Opportunities. NAIS provides industry links to reference such information as regulations, provisions, handbooks and guidance. NAIS also provides industry with a center location to find each NASA field Center’s procurement home page.

The Mentor Protégé Program is designed to provide incentive to the agency’s major prime contractors to assist small disadvantaged business concerns, Historically Black Colleges and Universities), minority institutions, and women-owned small businesses in expanding their technical capabilities into high technology areas where such firms are currently under-represented.

The Office of Small Business Programs is responsible for integrating all categories of small businesses (small businesses, small disadvantaged businesses, woman-owned small businesses, veteran- and service-disabled veteran-owned small businesses, Historically Underutilized Business Zone (HUB Zone) small businesses, and minority- serving institutions) into the competitive base of contractors from which the National Aeronautics and Space Administration and its various centers regularly purchase goods and services.

TechFinder is a resource that enables commercial and private users to perform simple or advanced searches or request more detailed information for technology opportunities, licensing opportunities, past success stories, and featured technologies leads.

Appendix XVII: National Science Foundation – Programs that Offer Services to Small Manufacturers and Types of Services

Target businesses Agency description of program purpose

Appendix XVIII: Small Business Administration – Programs that Offer Services to Small Manufacturers and Types of Services

Appendix XVIII: Small Business Administration – Programs that Offer Services to Small Manufacturers and Types of Services The Pollution Control Loans program is designed to provide financing to eligible small businesses for the planning, design, or installation of a pollution control facility. This facility must prevent, reduce, abate or control any form of pollution, including recycling. The loans are Small Business Act Section 7(a) loans with a special purpose of pollution control.

The Qualified Employee Trusts Loan Program is designed to provide financial assistance to employee stock ownership plans. The employee trust must be part of a plan sponsored by the employer company and qualified under regulations set by either the Internal Revenue Service Code (as an Employee Stock Ownership Plan or ESOP) or the Department of Labor (the Employee Retirement Income Security Act or ERISA).

Section 7(a) Loan Guarantees help creditworthy small businesses, including manufacturers, meet financing needs when dealing with commercial bankers. These firms are often denied conventional financing because the loans they seek are too small for private banks to pursue or because they need loans for a longer period of time than a lender is willing to accept. This is the Small Business Administration’s most flexible business loan, and can be used for a variety of general business purposes including working capital machinery and equipment, furniture and fixtures, land and building, leasehold improvements, and debt refinancing (under special conditions).

The U.S. Community Adjustment and Investment Program was established to assist U.S. companies that are doing business in areas of the country that have been negatively affected by North American Free Trade Agreement (NAFTA) based on job losses and the unemployment rate. Funds administered by Treasury allow for the payment of fees on eligible loans. These fees include the Section 7(a) program guarantee fee (and subsidy) and the Section 504 Certified Development Company (CDC) Program guarantee, CDC and lender fees. This reduces borrower costs and increases the availability of these business assistance programs. Eligibility is limited to businesses that reside in one of the more than 230 counties in 29 states that are currently designated as negatively affected by NATA.

The Export Legal Assistance Network offers free initial consultations with international trade attorneys from the Federal Bar Association to small businesses interested in exporting. Attorneys help businesses navigate international legal issues, such as patents, copyrights, and trademarks; help clients understand basic contractual, tax and regulatory requirements; provide an indication of priorities among them; and give businesses basic information on programs at other institutions that may be able to help, such as international departments of near-by banks, freight forwarders, insurance companies with international experience, and other government programs.

The Export Working Capital Program is a line of credit for financing foreign accounts receivable and export inventory. It is a transaction-based program and can be revolving or non-revolving. The Small Business Administration provides a 90 percent guarantee to the lender. Recipients are usually businesses that have been operating for at least 12 months prior to the application. Proceeds can be used to finance materials and labor needed to manufacture or to purchase goods and services for sale in foreign markets. Funds cannot be used to purchase long term fixed assets. Loans are generally for 12 or fewer months, but can be reissued for additional 12-month periods.

Target businesses Agency description of program purpose

International Trade Loans help small businesses engaged in exporting, preparing to engage in exporting, or adversely affected by competition from imports. Small Business Administration guarantees as much as $1.25 million in combined working-capital and facilities and equipment loans. Proceeds can be used for fixed assets or working capital.

The Export Express provides loans to assist small businesses in developing or expanding export markets. Eligible use of proceeds include: 1) financing export-development activities such as participation in a foreign trade show or translation of product literature, 2) transaction-specific financing for overseas orders, 3) revolving lines of credit for export purposes, 4) acquiring, constructing, renovating, improving or expanding facilities or equipment used in the U.S. to produce goods or services for export.

U.S. Export Assistance Centers are multi-federal agency offices that provide marketing, product assistance and financial assistance to small- and medium-size U.S. businesses that would like to export. Twenty centers are nationwide.

Through the Surety Guarantee program, the Small Business Administration (SBA) can guarantee bonds for contracts up to $2 million, covering bid, performance and payment bonds for small and emerging contractors who cannot obtain surety bonds through regular commercial channels. SBA’s guarantee gives sureties an incentive to provide bonding for eligible contractors, and thereby strengthens a contractor’s ability to obtain bonding and greater access to contracting opportunities. A surety guarantee, an agreement between a surety and the SBA, provides that SBA will assume a predetermined percentage of loss in the event the contractor should breach the terms of the contract.

Small Business Investment Companies (SBIC) are privately owned and managed investment firms that provide venture capital and startup financing to new and already established small businesses to ensure they have access to long-term financing and venture capital they need to maintain and expand their operations. Small Business Administration (SBA) licenses and regulates the SBICs, and supports them with government backed funds that are invested in small enterprises. SBICs are profit-motivated; they use their own capital and with funds borrowed at favorable rates through the federal government to invest in small businesses in exchange for a share in the success of the small business if it grows and prospers.

CAPlines is a loan umbrella program that provides short-term and cyclical working-capital needs. There are five short-term working capital loan programs for small businesses under this program: Seasonal Line; Contract Line; Builders Line; Standard Asset-based Line, and; Small Asset-Based Line. This is a Section 7(a) program.

The Certified Development Company Guaranteed Loans (Section 504) loans are long-term financing tools for economic development within a community. The Section 504 program provides growing businesses with long-term, fixed-rate financing for major fixed assets, such as land and buildings. A Certified Development Company (CDC) is a nonprofit corporation set up to contribute to the economic development of its community. CDCs work with the Small Business Administration (SBA) and private-sector lenders to provide financing to small businesses. The maximum SBA debenture is $1,500,000 when meeting the job creation criteria or a community development goal. Generally, a business must create or retain one job for every $50,000 provided by the SBA except for “Small Manufacturers” which have a $100,000 job creation or retention goal (see below).The maximum SBA debenture is $2.0 million when meeting a public policy goal. Proceeds from 504 loans must be used for fixed asset projects such as: purchasing land and improvements, including existing buildings, grading, street improvements, utilities, parking lots and landscaping; construction of new facilities, or modernizing, renovating or converting existing facilities; or purchasing long-term machinery and equipment. The Section 504 Program cannot be used for working capital or inventory, consolidating or repaying debt, or refinancing.

Target businesses Agency description of program purpose

The Defense Loan and Technical Assistance Program (DELTA) program is designed to help eligible small business contractors shift from defense to civilian markets. Small businesses are eligible for financial and technical assistance if they are prime contractors, subcontractors, or suppliers detrimentally impacted by the closure, or substantial reduction, of a Defense installation or program, or if the community they are in has been detrimentally impacted by such actions. Financial assistance is provided through the Small Business Administration’s existing Section 7(a) and Section 504 programs. Technical assistance is provided through small business development centers, SCORE, and other federal agencies and other providers. It is a joint program with Defense. To be eligible for this program, small businesses must have derived at least 25 percent of its revenues from Defense or Defense- related Energy contracts or subcontracts in support of defense prime contracts in any one of five prior operating years.

The Prequalification Loan is a pilot program that helps low income borrowers, disabled business owners, new and emerging businesses, veterans, exporters, rural and specialized industries develop viable loan application packages and secure loans up to $250,000. The program is administered by the Small Business Administration’s (SBA) Office of Field Operations and SBA district offices. Intermediary organizations work with applicants to make sure their business plans are complete and that their applications are eligible and have credit merit. If the intermediary organization is satisfied that the application has a chance for approval, it will send it to SBA for processing. Small Business Development Centers serving as intermediaries do not charge fees for loan packaging, while for-profit organizations charge fees.

The Microloan Program provides very small loans to start-up, newly established, or growing small businesses. Under this program, the Small Business Administration makes funds available to nonprofit community based lenders (intermediaries) which, in turn, make loans to eligible borrowers in amounts up to a maximum of $35,000. The average loan size is about $13,000. Applications are submitted to the local lender and all credit decisions are made at the local level. Individuals and small businesses applying for microloans may be required to fulfill training and/or planning requirements before a loan application is considered, and lenders are required to provide business training and technical assistance.

The Disaster Loan Program offers low-interest, long-term financial loans to homeowners, renters, and businesses of all sizes that are trying to rebuild their homes and businesses in the aftermath of a disaster. Two types of loans––Physical Disaster and Economic Injury–– are available. Physical Disaster Loans are available to businesses of all sizes and nonprofit organizations for permanent rebuilding and replacement of uninsured or underinsured disaster- damaged privately-owned real and/or personal property. This is the only SBA assistance that is not limited to small businesses. Economic Injury Disaster Loans are available only to small businesses to provide necessary working capital until normal operations resume after a disaster.

SCORE uses the management experience and business acumen of retired and active corporate professionals and small business owners who volunteer their time and expertise to assist small businesses and prospective businesses. Counseling services are free and business workshops and seminars are at low cost. SCORE pioneered online counseling with the launch of its Cyber Chapter in 1996.

Target businesses Agency description of program purpose

Small Business Development Centers (SBDC) serve as central sources for disseminating information and guidance to small businesses, company owners, and entrepreneurs, many of whom cannot afford private consulting services. There is at least one SBDC in each state, each with a network of service locations, to ensure that they are easily accessible. At least 50 percent of clients are small businesses. The program is a cooperative effort of the private sector, the educational community and federal, state and local governments. Most SBDCs can help with marketing, financing, feasibility studies, technical problems, and financing issues. Special SBDC programs and economic development activities include international trade assistance, technology and manufacturing technical assistance, procurement assistance, venture capital formation and rural development. SBDCs focus on providing extended-term counseling to small businesses rather than short-term assistance.

There are currently 99 Women's Business Centers (WBC) in 44 states and 3 territories. The mission of the WBC program is to target the economically and socially disadvantaged population. WBCs promote the growth of women-owned businesses through training, counseling, mentoring and technical assistance programs. Each WBC provides assistance or training in finance, management, marketing and procurement. In addition, each WBC tailors its program to the needs of its constituency and many offer programs and counseling in two or more languages.

The Small Business Training Network provides online training to meet the informational needs of prospective and existing small businesses.

The Prime Contracts Program helps increase small businesses’ share of government contracts. Small Business Administration (SBA) procurement center representatives (PCR), located at SBA procurement area offices and federal buying centers across the country, help small businesses obtain federal contracts. There are two types of PCRs: traditional and breakout. Traditional PCRs work to increase the number of procurements set aside for small businesses. Breakout PCRs work to remove components or spare parts from sole source procurements to procurements through open competition, which generates savings for the federal government.

The Subcontracting Assistance Program promotes the prime contractors’ use of small businesses. Small Business Administration’s commercial marketing representatives review the subcontracting plans of prime contractors that have one or more contracts that exceed $500,000 to identify opportunities for small businesses to serve as subcontractors.

The Business or Procurement Matchmaking Initiative helps increase small businesses’ access to federal contracting opportunities. Federal, county and state agencies, as well as private sector contractors, are matched with small business sellers either in person or through facilitated phone conferences.

The Natural Resources Assistance Program is intended to ensure that small businesses obtain a fair share of government property sales and leases through small business set- asides. The Small Business Administration also provides counseling and other assistance to small businesses on government sales and leasing. The program covers five categories of federal resources: 1) timber and related forest products, 2) strategic materials from the national stockpile, 3) royalty oil, 4) leases involving rights to minerals, coal, oil, and gas, 5) surplus real and personal property.

Target businesses Agency description of program purpose

The Historically Underutilized Business Zone (HUBZone) Empowerment Contracting Program stimulates economic development and creates jobs in urban and rural communities by providing federal contracting preferences to small businesses. These preferences go to small businesses that obtain HUBZone certification by, among other things, employing staff and maintaining a principal office in a designated HUBZone.

The Small Business Act Section 8(a) Program focuses on business development and is designed to foster the growth and competitive viability of Section 8(a) firms through technical assistance delivered over a 9-year period. One of the benefits of the program is that Section 8(a) firms, through their own self-marketing efforts, can obtain sole source contracts of up to $5.5 million for manufacturing and $3.5 million for all other purposes that federal agencies make available for the Section 8(a) program. Qualified firms can also participate in restricted competitions for federal contracts.

The Mentor Protégé program enhances the capability of Section 8(a) participants to compete more successfully for federal contracts. The program encourages private sector relationships and expands the Small Business Administration’s efforts to identify and respond to the developmental needs of Section 8(a) clients. Mentors provide technical and management assistance, financial assistance in the form of equity investments and/or loans, subcontract support, and assistance in performing prime contracts through joint venture arrangements with Section 8(a) firms.

The Small Disadvantaged Businesses (SDB) Certification Program makes qualified small businesses eligible for special bidding benefits in federal procurement. Under new federal procurement regulations, the Small Business Administration certifies SDBs for participation in federal procurements to help overcome the effects of discrimination. Evaluation credits available to prime contractors increase subcontracting opportunities for SDBs. While the Section 8(a) Program offers a broad scope of assistance to socially and economically disadvantaged firms, SDB certification strictly pertains to benefits in federal procurement. Section 8(a) firms automatically qualify for SDB certification.

The Certificate of Competency Program allows a small business to appeal a contracting officer’s determination that it is unable to fulfill the requirements of a specific government contract on which it is the apparent low bidder. When the small business applies for a Certificate of Competency, the Small Business Administration industrial and financial specialists conduct a detailed review of the firm’s capabilities to perform on the contract.

The Small Business Innovation Research (SBIR) program is designed to ensure that small, high-technology firms have access to federal research and development (R&D) funds to pursue advanced technologies and their commercial applications. SBIR is a competitive three-phase program that reserves a specific percentage of R&D funding at certain federal agencies for awards to small businesses. Currently 11 other federal agencies provide the grant funds and oversee the projects. The Small Business Administration monitors the SBIR program and provides guidance. SBIR funds the critical startup and development stages and it encourages the commercialization of the resulting technology, product, or service.

The Small Business Technology Transfer Program (STTR) expands funding opportunities in the federal innovation research and development (R&D) arena through public/private sector partnerships to include the joint venture opportunities for small business and nonprofit research institutions. STTR is a competitive three-phase program that reserves a specific percentage of federal R&D funding for award to small business and nonprofit research institution partners. Five federal departments and agencies (the Departments of Defense, Energy, and Health and Human Services as well as the National Aeronautics and Space Administration and the National Science Foundation) are required by STTR to reserve a portion of their R&D funds for awards to small business/nonprofit research institution partnerships.

Target businesses Agency description of program purpose

Sub-Net is a Web site where prime contractors post subcontracting opportunities. These may or may not be reserved for small businesses, and they may include either solicitations or other notices. Small businesses can review this Web site to identify opportunities in their areas of expertise. While the Web site is designed primarily as a place for large businesses to post solicitations and notices, it is also used by federal agencies, state and local governments, non-profit organizations, colleges and universities, and even foreign governments for the same purpose.

Tech-Net is an electronic gateway of technology information and resources for and about small high tech businesses. It includes a search engine for researchers, scientists, state, federal and local government officials; a marketing tool for small firms; and links to potential investment opportunities for investors and other sources of capital. The system is also linked to technology sources of information, assistance, and training.

Section 7(j) of the Small Business Act authorized the Small Business Administration to enter into grants, cooperative agreements or contracts, with public or private organizations to deliver management or technical assistance to individuals and enterprises eligible for assistance under the Act. This assistance is delivered through the Section 7(j) Management and Technical Assistance Program to Section 8(a) certified firms, small disadvantaged businesses, businesses operating in areas of high unemployment or low-income or firms owned by low-income individuals. The Section7 (j) program grants, cooperative agreements or contracts are awarded to qualified service providers who have the capability to provide business development assistance to the eligible clients. The Section 7(j) program funding is not available to finance a business; purchase a business; or use as expansion capital for an existing business. Financial assistance under the program may be given for projects that respond to needs outlined in a Section 7(j) program solicitation announcement, or for an unsolicited proposal that could provide valuable business development assistance for Section 8(a) and other socially and economically disadvantaged small businesses. Technical and management assistance includes an executive education program for owners and senior officers.

The Service-Disabled Veteran Owned Small Business Concern (SDVOSBC) Program establishes the criteria to be used in federal contracting to determine service-disabled veteran status; business ownership and control requirements; guidelines for establishing sole source and set-aside procurement opportunities; and procurement protest and appeal procedures for service-disabled veteran owned small business.

Target businesses

Target businesses

Appendix XIX: Appalachian Regional Commission – Programs that Offer Services to Small Manufacturers and Types of Services

Appalachian Regional Commission’s Information Age Appalachia telecommunications and information technology program was created to promote the development of telecommunications in Appalachia, with a special focus on helping the Region’s distressed counties. The focus of Information Age Appalachia is not only on access to infrastructure, but also, and more importantly, on applications that use that access. Instead of simply promoting technology by itself, the program seeks to stimulate economic growth and improve the standard of living in the Region through technology- related avenues. Two key areas of the program are e-commerce and technology- sector job creation. The focus of the program is to ensure rural areas of Appalachia have access to broadband services. Training and education are included in activities. The program has provided broadband awareness training and general e-commerce training throughout the Appalachian Region. It has also worked with broadband service providers in helping rural communities obtain broadband access in unserved and underserved areas.

Small, homegrown businesses play an important role in creating self-sustaining local economies and improving the quality of life in Appalachia. The Entrepreneurship Initiative is a multi-year, $31 million effort that seeks to provide communities with tools to assist entrepreneurs in starting and expanding local businesses. Two key activities of the Initiative include giving entrepreneurs greater access to capital and educating and training entrepreneurs.

The Business Development Revolving Loan Fund is a pool of money used by an eligible grantee for the purpose of making loans to create and/or retain jobs. As loans are repaid by the borrowers, the money is returned to the revolving loan fund to make other loans that becomes an ongoing or “revolving” financial tool to retain and create private-sector jobs.

Expanding trade opportunities for Appalachian businesses is an important strategy for increasing job opportunities and per capita income in the Region. The Export Trade Advisory Council (ETAC) advises the Commission on trade policy issues, promotes advocacy in national and regional venues, and recommends specific programs for promoting rural export trade in Appalachia. The ETAC has initiated a number of projects designed to help small and medium-sized Appalachian businesses increase their export sales. Its activities include education and training, market entry for small and medium-sized firms, advocacy, and research.

Appalachian Regional Commission’s Area Development Program seeks to augment the Highway Program and bring more of Appalachia’s people into America’s economic mainstream. The Asset-Based Development Initiative seeks to help communities identify and leverage local assets to create jobs and build prosperity while preserving the character of their community. Development strategies include, among other things, capitalizing on traditional arts, culture, and heritage; adding value to farming through specialized agricultural development, including processing specialty food items, fish farming, and organic farming; and converting overlooked and underused facilities into industrial parks, business incubators, or educational facilities.

Appendix XX: Robert C. Byrd National Technology Transfer Center – Programs that Offer Services to Small Manufacturers and Types of Services

The Robert C. Byrd National Technology Transfer Center (NTTC), a 501 (c)(3) organization, was established in 1989 to link U.S. industry with federal laboratories and universities that have the technologies facilities and researchers that industry needs to maximize product development opportunities. The NTTC provides technology assessment services and serves its clients with an experienced professional staff that includes intellectual-property management experts, scientists and engineers, computer information specialists and programmers, market analysts, Web designers, security experts, outreach specialists and technology transfer negotiators. In addition, the NTTC houses a demonstration and training laboratory in which software and other technologies are tested and demonstrated.

Appendix XXI: Interagency Efforts that Address Concerns of Small Businesses and Businesses Regardless of Size and Type

Twenty-five participating agencies including the Departments of: Agriculture, Commerce, Defense (Air Force, Army, and Navy), Education, Energy, Health and Human Services, Homeland Security, Housing and Urban Development, Interior, Justice, Labor, State, Transportation, Treasury, and Veterans Affairs; as well as the Environmental Protection Agency, Executive Office of the President, Federal Deposit Insurance Corporation, General Services Administration, National Aeronautics and Space Administration, National Science Foundation, Nuclear Regulatory Commission, Office of Personnel Management, Smithsonian Institution, and Social Security Administration.

Twelve participating agencies including 5 agencies in the Department of Commerce (International Trade Administration’s Export Assistance Centers, Economic Development Agency, National Institute of Standards and Technology’s Manufacturing Extension Partnership, Minority Business Development Agency, and Office of Intellectual Property Rights), the Small Business Administration’s Small Business Development Centers as well as the Export-Import Bank, Environmental Protection Agency, and the Departments of Agriculture, Defense, Energy, and Labor.

Interagency Network of Enterprise Assistance Providers brings together federal agencies to explore the concept, feasibility, and framework to develop a coordinated network of assistance programs that meets the needs of small businesses and manufacturers. Group members meet monthly to learn about each other’s programs and discuss mutually beneficial opportunities for pilot collaborations. To date, the group has discussed such topics as successful export strategies for small manufacturers, the development of a Web site for the coordinated network and available small business innovation information.

Focus of interagency effort Participating agencies

Eleven participating agencies including the Departments of Agriculture, Commerce, Defense, Energy, Health and Human Services, Homeland Security, Interior, Transportation, Veterans Affairs, as well as the Environmental Protection Agency and National Aeronautics and Space Administration.

The Interagency Working Group on Technology Transfer is a longstanding interagency effort that includes senior policy officials from most of the federal science and technology agencies. The group’s activities are coordinated through the Office of Technology Policy in the Department of Commerce. The group meets monthly to discuss policy issues and related topics of significant interest to the federal laboratory technology transfer community. One of the continuing discussion interests over the last several years has been the extent to which existing federal technology transfer mechanisms and programs work effectively to facilitate interaction with the private sector in such areas as the transfer of intellectual property rights, cooperative research and development relationships, and new technology development activities.

Thirteen participating organizations including the Army, Navy, Air Force, and Defense Logistics Agency in the Department of Defense, National Aeronautical and Space Administration, Department of Energy, Department of Labor, National Institute of Standards and Technology in the Department of and Commerce, Federal Aviation Administration, General Services Administration, National Security Agency, U.S. Postal Service, as well as, the Canadian Department of Defense.

GIDEP is a cooperative activity between government and industry participants that seek to share technical information during research, design, development, production and operational phases of the life cycle of systems, facilities and equipment for the development, thereby reducing or eliminating expenditures of resources, lowering total ownership cost, and increasing reliability, readiness and safety.

Seven participating agencies including the National Institute of Standards and Technology in the Department of Commerce, Department of Energy, Defense Advanced Research Projects Agency in the Department of Defense, two agencies in the Department of Health and Human Services (Food and Drug Administration and National Institutes of Health), the National Aeronautics and Space Administration, and the National Science Foundation.

The Multi-Agency Tissue Engineering Science (MATES) Interagency Working Group helps keep federal agencies involved in tissue engineering informed of each other’s activities and helps the agencies better coordinate their efforts in this rapidly growing field. The MATES Interagency Working Group was organized under the auspices of the Subcommittee on Biotechnology of the National Science and Technology Council.

Focus of interagency effort Participating agencies

Twenty-eight federal agencies participate in the NNI including the Office of Science Technology Policy, Office of Management and Budget, Consumer Product Safety Commission, Environmental Protection Agency, Intelligence Technology Innovation Center, International Trade Commission, National Aeronautics and Space Administration, National Science Foundation, Nuclear Regulatory Commission, two agencies within the Department of Agriculture (Cooperative State Research Extension and Education Service and Forest Service), the Department of Defense, four agencies within the Department of Commerce (Bureau of Industry and Security, National Institute of Standards and Technology, Technology Administration, and U.S. Patent and Trademark Office), the Departments of Education and Energy, three agencies within the Department of Health and Human Services (Food and Drug Administration, National Institutes of Health, and National Institute for Occupational Safety and Health), one agency within Department of the Interior (U.S. Geological Survey), and the Departments of Homeland Security, Justice, Labor, State, Transportation, and Treasury.

The National Nanotechnology Initiative (NNI) is a federal research and development (R&D) program established to coordinate multi-agency efforts in nanoscale science, engineering, and technology. Thirteen participating agencies have an R&D budget for nanotechnology. Other Federal organizations contribute with studies, applications for the results from agencies that perform R&D, and other collaborations. The NNI is managed within the framework of the National Science and Technology Council, the Cabinet-level council that coordinates science, space, and technology policies across the federal government. In addition to funding research, federal support through the NNI provides crucial funds for the creation of university and government nanoscale R&D laboratories, and helps educate the workforce necessary for the future of nanotechnology. The NNI also plays a key role in fostering cross-disciplinary networks and partnerships, and disseminating information. Finally, it enables small businesses to pursue opportunities offered by nanotechnology, and encourages all levels of business to exploit those opportunities.

Six participating agencies within the Department of Commerce including the Technology Administration, the National Institute of Standards and Technology, the National Telecommunications and Information Administration, the International Trade Administration, the Economics and Statistics Administration and the U.S. Patent and Trademark Office.

Commerce has a leading role within the federal government to ensure that RFID is understood, that both industry and consumer concerns and views are heard, and that accurate information about the features and abilities of RFID are disseminated.

Focus of interagency effort Participating agencies

Twenty participating agencies including the Departments of Agriculture, Commerce, Defense, Energy, Homeland Security, Interior, Labor, Transportation, and Treasury, and the Council of Economic Advisors, Environmental Protection Agency, Export-Import Bank of the United States, National Economic Council, National Security Council, Office of Management and Budget, Overseas Private Investment Corporation, Small Business Administration, U.S. Agency for International Development, U.S. Trade and Development Agency, and United States Trade Representative.

The Trade Promotion Coordinating Committee (TPCC) is composed of all the federal government’s agencies involved in export promotion. The present TPCC was formed in 1993 by Executive Order No. 12870, 58 Fed. Reg. 51753 (Sept. 30, 1993), pursuant to the Export Enhancement Act of 1992, Pub. L. No. 102-429 § 201, 106 Stat. 2186 (Oct. 21, 1992); 15 U.S.C. § 4727. The Trade Promotion Coordinating Committee (TPCC) is composed of all the federal government’s agencies involved in export promotion. The Secretary of Commerce is the designated chairperson. The TPCC is mandated to streamline export programs, leverage resources across agencies, develop a national export strategy, and report annually to Congress. Recent initiatives include joint marketing such as Export.gov; joint training such as the TPCC Interagency Trade Officer Training Program; program integration such as through the Small Business Administration and Export- Import Bank Co-Guarantee Program; strategic partnerships to broaden business outreach, such as with states, associations, and corporate partners; and coordination in priority markets, such as in key emerging markets.

Appendix XXII: Studies of Programs that Support Small Businesses Engaged in Manufacturing

List of Studies

Studies on Programs at the Department of Commerce

Davila, Natalie A. “Evaluating Manufacturing Extension: A Multidimensional Approach.” Economic Development Quarterly. Vol. 18, no. 3 (2004): 286-302.

Ehlen, Mark A. “The Economic Impact of Manufacturing Extension Centers.” Economic Development Quarterly. Vol. 15, no. 1 (2001): 36-44.

Feldman, Maryann P., and Maryellen R. Kelley. “Leveraging Research and Development: Assessing the Impact of the U.S. Advanced Technology Program.” Small Business Economics. Vol. 20, no. 2 (2003): 153-165.

Commerce Information Technology Solutions Next Generation Governmentwide Acquisition Contract. GAO-06-791R. Washington, D.C.: June 14, 2006.

Trade Adjustment Assistance: Experiences of Six Trade-Impacted Communities. GAO-01-838. Washington, D.C.: August 24, 2001.

Trade Adjustment Assistance: Impact of Federal Assistance to Firms Is Unclear. GAO-01-12. Washington, D.C.: December 15, 2000.

Reeder et al. The National Institute of Standards and Technology’s Manufacturing Extension Partnership Program – Report 1: Re-examining the Core Premise of the MEP Program. Washington, D.C.: National Academy of Public Administration, 2003.

Shapira, Philip. “US Manufacturing Extension Partnerships: Technology Policy Reinvented?” Research Policy. Vol. 30 (2001): 977-992.

Voytek, Kenneth P., Karen L. Lellock, and Mark A. Schmit. “Developing Performance Metrics for Science and Technology Programs: The Case of the Manufacturing Extension Partnership Program.” Economic Development Quarterly. Vol. 18, no. 2 (2004): 174-185.

Studies on Programs at the Department of Defense

Ahmad, Mohamad, Radostin Krastev, and Arkadiusz Puciato. Military Business Success. MBA Professional Report. Monterey, CA: Naval Postgraduate School, 2004.

Contract Management: Benefits of the DoD Mentor-Protégé Program Are Not Conclusive. GAO-01-767. Washington, D.C.: July 19, 2001.

Defense Commissaries: Additional Small Business Opportunities Should Be Explored. GAO-03-160. Washington, D.C.: December 12, 2002.

Defense Manufacturing Technology Program: More Joint Projects and Tracking of Results Could Benefit Program. GAO-01-943. Washington, D.C.: September 28, 2001.

Green, Gregory Sean. Army Small Business Innovation Research: A Survey of Phase II Awardees. Thesis. Monterey, CA: Naval Postgraduate School, 2001.

Peete, Danny A., and Paul J. Componation. “Predicting USMC SBIR Phase I to II Transition Success by Evaluating Use of Systems Engineering Capabilities.” Engineering Management Journal. Vol. 15, no. 3 (2003): 21- 27.

Studies on Programs at the Department of Energy

Department of Energy: Achieving Small Business Prime Contracting Goals Involves Both Potential Benefits and Risks. GAO-04-738T. Washington, D.C.: May 18, 2004.

DOE Contracting: Improved Program Management Could Help Achieve Small Business Goal. GAO-06-501. Washington, D.C.: April 7, 2006.

Small Business Participation in the Alaska Natural Gas Pipeline Project. GAO-05-860R. Washington, D.C.: August 4, 2005.

Technology Transfer: Several Factors Have Led to a Decline in Partnerships at DOE’s Laboratories. GAO-02-465. Washington, D.C.: April 19, 2002.

Study on Programs at the Department of Health and Human Services

Toole, Andrew A., and Dirk Czarnitzki. Biomedical Academic Entrepreneurship Through the SBIR Program. Cambridge, MA: National Bureau of Economic Research, 2005.

Study on Programs at the Department of Transportation

Disadvantaged Business Enterprises: Critical Information Is Needed to Understand Program Impact. GAO-01-586. Washington, D.C.: June 1, 2001.

Studies on Programs at the Appalachian Regional Commission

Greenwood Consulting Group, Inc. A Survey of Business Incubators in Appalachia. A report prepared at the request of the Appalachian Regional Commission. July 2005.

Plishker, Laurie, Gary Silverstein, and Joy Frechtling. Evaluation of the Appalachian Regional Commission’s Vocational Education and Workforce Training Projects. A report prepared by Westat at the request of the Appalachian Regional Commission. January 2002.

Study on Programs at the Export-Import Bank

Export-Import Bank: Changes Would Improve the Reliability of Reporting on Small Business Financing. GAO-06-351. Washington, D.C.: March 3, 2006.

Studies on Programs at the National Aeronautics and Space Administration

Archibald, Robert B., and David H. Finifter. “Evaluating the NASA small business innovation research program: preliminary evidence of a trade-off between commercialization and basic research.” Research Policy. Vol. 32, no. 4 (2003): 605-619.

U.S. National Aeronautics and Space Administration. Commercial Technology Division. Office of Aerospace Technology. NASA SBIR Program: Commercial Metrics. Washington, D.C.: 2002.

Studies on Programs at the Small Business Administration

Major Management Challenges and Program Risks: Small Business Administration. GAO-03-116. Washington, D.C.: January 1, 2003.

SBA Disaster Loan Program: Accounting Anomalies Resolved but Additional Steps Would Improve Long-Term Reliability of Cost Estimates. GAO-05-409. Washington, D.C.: April 14, 2005.

Small Business: HUBZone Program Suffers From Reporting and Implementation Difficulties. GAO-02-57. Washington, D.C.: October 26, 2001.

Small Business: More Transparency Needed in Prime Contract Goal Program. GAO-01-551. Washington, D.C.: August 1, 2001.

Small Business: Status of Small Disadvantaged Business Certifications. GAO-01-273. Washington, D.C.: January 19, 2001.

Small Business Administration: Actions Needed to Provide More Timely Disaster Assistance. GAO-06-860. Washington, D.C.: July 28, 2006.

Small Business Administration: Disaster Loan Program. GAO-02-210R. Washington, D.C.: November 16, 2001.

Small Business Administration: Improvements Made, but Loan Programs Face Ongoing Management Challenges. GAO-06-605T. Washington, D.C.: April 6, 2006.

Small Business Administration: Management Practices Have Improved for the Women’s Business Center Program. GAO-01-791R. Washington, D.C.: June 13, 2001.

Small Business Administration: Model for 7(a) Program Subsidy Had Reasonable Equations, but Inadequate Documentation Hampered External Reviews. GAO-04-9. Washington, D.C.: March 31, 2004.

Small Business Administration: New Service for Lender Oversight Reflects Some Best Practices, but Strategy for Use Lags Behind. GAO-04- 610. Washington, D.C.: June 8, 2004.

Small Business Administration: Observations on the Disaster Loan Program. GAO-03-721T. Washington, D.C.: May 1, 2003.

Small Business Administration: Response to September 11 Victims and Performance Measures for Disaster Lending. GAO-03-385. Washington, D.C.: January 29, 2003.

Small Business Administration: Section 7(a) General Business Loans Credit Subsidy Estimates. GAO-01-1095R. Washington, D.C.: August 21, 2001.

Small Business Administration: SBA Followed Appropriate Policies and Procedures for September 11 Disaster Loan Applications. GAO-04-885. Washington, D.C.: August 31, 2004.

Small Business Administration: Small Business Government Contracting Programs; Subcontracting. GAO-05-268R. Washington, D.C.: January 24, 2005.

Small Business Administration: The Commercial Marketing Representative Role Needs to Be Strategically Planned and Assessed. GAO-03-54. Washington, D.C.: November 1, 2002.

Waivers of the Small Business Administration’s Nonmanufacturer Rule Have Limited Effect. GAO-03-311R. Washington, D.C.: December 19, 2002.

Ong, Paul M. “Set-aside contracting in SBA’s 8(a) program.” The Review of Black Political Economy. Vol. 28, no. 3 (2001): 59-71.

Studies on Programs at Multiple Agencies

Anonymous. “Analyzing SBIR.” Regulation Magazine. Vol. 23, no. 4 (2000): 14-15.

Audretsch, David B., Juergen Weigand, and Claudia Weigand. “The Impact of the SBIR on Creating Entrepreneurial Behavior.” Economic Development Quarterly. Vol. 16, no. 1 (2002): 32-38.

Contract Management: Impact of Strategy to Mitigate Effects of Contract Bundling on Small Business Is Uncertain. GAO-04-454. Washington, D.C.: May 27, 2004.

Export Promotion: Government Agencies Should Combine Small Business Export Training Programs. GAO-01-1023. Washington, D.C.: September 21, 2001.

Export Promotion: Trade Promotion Coordinating Committee’s Role Remains Limited. GAO-06-660T. Washington, D.C.: April 26, 2006.

Federal Procurement: Trends and Challenges in Contracting With Women-Owned Small Businesses. GAO-01-346. Washington, D.C.: February 16, 2001.

Federal Research: Observations on the Small Business Innovation Research Program. GAO-05-861T. Washington, D.C.: June 28, 2005.

Federal Research and Development: Contributions to and Results of the Small Business Technology Transfer Program. GAO-01-867T. Washington, D.C.: June 21, 2001.

Federal Research and Development: Contributions to and Results of the Small Business Technology Transfer Program. GAO-01-766R. Washington, D.C.: June 4, 2001.

Information on the Number of Small Business Set-Asides Issued and Successfully Challenged. GAO-03-242R. Washington, D.C.: November 1, 2002.

International Trade: Experts’ Advice for Small Businesses Seeking Foreign Patents. GAO-03-910. Washington, D.C.: June 26, 2003.

Small and Disadvantaged Businesses: Most Agency Advocates View Their Roles Similarly. GAO-04-451. Washington, D.C.: March 22, 2004.

Small Business Contracting: Concerns About the Administration’s Plan to Address Contract Bundling Issues. GAO-03-559T. Washington, D.C.: March 18, 2003.

Small Business Innovation Research: Agencies Need to Strengthen Efforts to Improve the Completeness, Consistency, and Accuracy of Awards Data. GAO-07-38. Washington, D.C.: October 19, 2006.

Small Business Subcontracting Report Validation Can Be Improved. GAO-02-166R. Washington, D.C.: December 13, 2001.

Pretorius, Jacob V.R., and Christopher L. Magee. “Observations on collaborative practices and relative success of small technology-innovating firms supported by the US SBIR initiative.” Entrepreneurship and Innovation Management. Vol. 5, nos. 1/2 (2005): 4-19. van der Vlist, Arno, Shelby Gerking, and Henk Folmer. “What Determines the Success of States in Attracting SBIR Awards?” Economic Development Quarterly. Vol. 18, no. 1 (2004): 81-90.

Appendix XXIII: GAO Contacts and Staff Acknowledgments

GAO Contact

Staff Acknowledgments

In addition to the contact named above, Cheryl Williams, (Assistant Director); Stephen Cleary; Bernice Dawson; Holly Gerhart; Cindy Gilbert; Nicole Harris; Matt Michaels; Rosario Montemayor; Alison O’Neill; and Jerome Sandau made key contributions to this report.