Technology Transfer Mechanisms
Alliances 3
Contracts 3
Cooperative Research Agreement (CRA) 3
Cooperative Research & Development Agreements (CRADA) 4
Commercial Operations & Support Savings Initiative (COSSI) 4
Commercial Test Agreement (CTA) 5
Dual Use Science & Technology (DUST) Program 5
Education Partnership Act (EPA) 5
Independent Research & Development (IR&D) 6
Grants 6
Manufacturing Technology Program
(ManTech) 6
Mentor-Protégé Program (MPP) 7
Other Transaction Agreements (OTA) 7
Partnership Intermediaries Agreement (PIA) 7
Patents 8
Patent Licensing 9
Personnel Exchanges Program 9
Small Business Innovation Research (SBIR) Program 9
Small Business Technology Transfer (STTR) Program 10
Technology Investment Agreement (TIA) 10
Unsolicited Proposals 11
Use of Facilities & Loaned Equipment 11
Education Interaction Mechanisms
Department of Defense Cooperative Education Programs 13
Education Partnership Act 13
Intergovernmental Personnel Act 13
Manufacturing Engineering Education Grant Program 14
Manufacturing Experts in the Classroom 14
Manufacturing Training Program in Japanese Language & Culture 15
National Research Council 15
Science, Mathematics, and Engineering Education 15
Science and Mathematics Education Improvement Program 16 16
Summer Faculty Fellowship Council 16
Technology Transfer MechanismsMechanisms / Description / Features/Characteristics
Alliances / Alliances is an informal T2 tool which allows the laboratory to enter into a Memorandum of Understanding (MOU) or Memorandum of Agreement (MOA) with a group of companies, laboratories, and/or educational institutions to pursue common technology interests. / Typically a MOU or MOA with authorization provided by another appropriate mechanism.
A non-binding document, which outlines the principles between partners.
Accomplishment of specific technology transfer efforts result through more specific transfer mechanisms.
Leveraging of resources and personnel will improve cost and performance.
Technical capabilities of partners and facilities are enhanced.
Contracts
(General)
Refer to 31 U.S.C. 6303 / The Government and a contractor enter into a contract (an acquisition instrument) in which the contractor is required to provide supplies and services to the Government. Types of contracts include cost, cost sharing, and fixed-price. / Government’s purpose is to acquire goods, services, or research for the primary benefit of the Government.
Can be used to fund R&D that may eventually be transferred to the private sector.
All contractors regardless of size may obtain title to inventions, but Government normally retains Government Purpose License Rights (GPLR) and “march-in” rights.
Allocation of patent rights determined by the type of contactor performing the work: large businesses may frequently obtain a waiver on inventions where waiver criteria are satisfied; and non-profit organizations/small businesses may obtain title to inventions under the Patent and Trademark Amendments Act of 1980 (Public Law 96-517).
Competition laws and requirements apply.
Governed by FAR and procurements statutes (CICA, Procurement Integrity, etc.).
Cooperative Agreement (CA)
Refer to 15 U.S.C. 3706 and 31 U.S.C. 6305 / An instrument reflecting a relationship between the United States Government and a State, a local government or other recipient to transfer a thing of value to the State, local government, or other recipient to carry out a public purpose of support or stimulation authorized by a law of the United States instead of acquiring (by purchase, lease, or barter) property or services for the direct benefit or use of the United States Government. / Total amount of any such cooperative agreement may not exceed 75 percent of the total cost of the program.
Any person or institution may apply to the Secretary for a cooperative agreement available under this section. The Secretary shall act upon each application within 90 days after the date on which all information is received.
(1) Any cooperative agreement entered under this section shall by subject to the limitations and provisions set forth in paragraph (2), and to such other terms, conditions, and requirements as the Secretary deems necessary or appropriate.
(2) Any person who receives or utilizes any proceeds of any cooperative agreement entered into under this section shall keep such records as the Secretary shall by regulation prescribes as being necessary and appropriate to facilitate effective audit and evaluation, including records which fully disclose the amount and disposition by such recipient of such proceeds, the total cost of the program in connection with which such proceeds were used, and the amount, if any, of such costs which was provided through other sources.
Technology Transfer Mechanisms
Mechanisms / Description / Features/Characteristics
Cooperative Research and Development Agreement (CRADA)
Refer to AFI Directive 61-3, AFI Instruction 61-302, and 10 U.S.C. 2371(a) / A CRADA is an agreement between one or more federal laboratories and one or more non-federal parties under which the Government, through its laboratories, provides personnel, services, facilities, equipment or other resources with or without reimbursement (but not funds to non-federal parties). The non-federal parties shall provide funds, personnel, services, facilities, equipment, or other resources towards the conduct of specific research or development efforts that are consistent with the missions of the laboratory. / Although the collaboration involves the expenditure of federal personnel, services, equipment, intellectual property or other resources, no funds may flow to the CRADA partner.
CRADA is not considered a procurement contract, grant, or cooperative agreement, as used in 31 U.S.C. 6303, 6304, and 6305.
CRADA is not considered an “assistance” or procurement tool.
The project manager and legal counsel review such agreement for its legal sufficiency.
Rights to inventions and other intellectual property are negotiated as part of the agreement.
Certain generated trade secret information (of the non-federal party or laboratory) that qualifies as protected information may be withheld from public dissemination for a period of time to 5 years from release under the FOIA, 5 U.S.C. 552 et. Seq.
Special consideration is given to small businesses and consortia involving small businesses.
Preference is given to businesses located in the United States, which agree that those products embodying inventions made under CRADAs will be substantially manufactured in the United States.
In the case of parties subject to the control of a foreign company or government, consideration to whether such a foreign government permits U.S. agencies, organizations, or other persons to enter into CRADAs and licensing agreements.
The U.S. Government shall retain a non-exclusive, nontransferable, irrevocable, and paid-up license to practice an invention, made by a Federal employee under a CRADA, or to have the invention practiced throughout the world by or on behalf of the Government, and other rights that the commander or director may deem appropriate or otherwise are required by law.
Patent licenses and assignments for Government-owned inventions made under CRADAs will be negotiated with the assistance of legal patent counsel.
Commercial Operations & Support Savings Initiative (COSSI)
Refer to PL 105-85 Section 203(g) (FY98 Authorization Act)
http://www.acq.osd.mil/es/dut/ / The goal of the COSSI program is to improve readiness and reduce operations and support (O&S) costs by inserting existing commercial items technology into military legacy systems. / COSSI emphasizes the rapid development of prototypes and fielding of production items based on current commercial technology.
COSSI is a two-stage process.
1. In Stage 1 funds are used to perform the non-recurring engineering (NRE), testing, and qualification that are typically needed to adapt a commercial item/technology for use in military system. Selected contractors develop, fabricate, and deliver a prototype “kit” to a military customer for installation into a fielded DOD system. Each prototype kit consists of a commercial item, or a combination of commercial items, that has been adapted,
Technology Transfer Mechanisms
Mechanisms / Description / Features/Characteristics
Commercial Operations & Support Savings Initiative (COSSI)
continued / qualification-tested, and readied for insertion. Stage I generally lasts two to three years.
2. If Stage I is successful, the military customer may proceed into production. Successful transition requires early budgeting for Stage II and contractual instrument to procure the kits in quantities necessary to achieve life cycle cost savings.
Commercial Test Agreement (CTA)
Refer to 10 U.S.C. 2539b(a)(3)
Authority for 10 U.S.C. 2539b(a)(1) & (2) not delegated down from Secretary level / Make available to any person or entity, at an appropriate fee, the services of any government laboratory, center, range, or other testing facility for the testing of materials, equipment, models, computer software, and other items. / Confidentiality of Test Results –
The results of tests performed with the services made available under subsection (a)(3) are confidential and may not be disclosed outside the Federal Government without the consent of the persons for whom the tests are performed.
Fees –
Fees for services made available under subsection (a)(3) shall be established in the regulations prescribed pursuant to subsection (a). Such fees may not exceed the amount necessary to recoup the direct and indirect costs involved, such as direct costs of utilities, contractor support, and salaries of personnel that are incurred by the United States to provide for the testing.
Use of Fees –
Fees received for services made available under subsection (a)(3) may be credited to the appropriations or other funds of the activity making such services available.
Dual Use Science & Technology (DUST) Program
Refer to PL 105-85 Section 203 and 10 U.S.C. 2511 / The DUST Program is to transfer technology that has both military utility and sufficient commercial potential to support a viable industrial base.
Objectives of the DUST Program are to:
Make dual use development or technologies with industries a normal way of doing business in the Services.
To partner with industry to jointly fund the development dual use technologies needed to maintain our technological superiority on the battlefield and for industry to remain competitive in the marketplace. / Industry teaming is encouraged to provide complimentary talents of technology, commercialization, and productivity.
DOD will benefit from the technological opportunities offered by the commercial sector.
The proposing consortia must supply 50% of the total cost.
Projects must be awarded using non-procurement agreements, i.e. Cooperative Agreements or other Transactions.
The extent to which the projects does not unnecessarily duplicate projects undertaken by other agencies.
Education Partnership Act (EPA)
Refer to 10 U.S.C. 2194 / A formal agreement between a “defense laboratory” and an educational institution to transfer and/or enhance technology applications and provide technology assistance for all levels of educations (pre-kindergarten and up).
Definition: “defense laboratory” means any laboratory, product center, test center, depot, training and educational organization, or operational command under the jurisdiction of the Department of Defense. / The EPA provides authority to:
- Loan equipment
- Declare as surplus and transfer (donate) equipment
- Make laboratory personnel available to teach or assist in developing courses and course materials
- Involve faculty and students in research
- Cooperate with institution so students can earn academic credits for laboratory research work
- Provide academic and career advice and assistance to students
Technology Transfer Mechanisms
Mechanisms / Description / Features/Characteristics
Independent Research & Development (IR&D)
Refer to DOD Directive 3204.1 & 10 U.S.C. 2372 & 2506 / IR&D is a DOD sponsored program that encourages contractors to pursue independent research and development projects that are of potential interest to DOD, thus encouraging maintenance of a strong national technology base. / Contractors are allowed to recover some costs incurred in doing independent research and development in a high technology environment.
Contractors able to diversify into non-defense markets.
Enhance industrial competitiveness of the United States.
Enable superior performance of future United States weapons systems and their components.
Reduce acquisition costs and life-cycle costs of military systems.
Strengthen the defense industrial base and the technology base of the United States.
Promote the development of technologies identified as critical under section 2506(b) 10 U.S.C.
Increase development and promotion of efficient and effective applications of dual-use technologies.
Provide efficient and effective technologies for achieving such environmental benefits as improved environmental data gathering, environmental cleanup and restoration, pollution reduction in manufacturing, environmental conservation and environmentally safe management of facilities.
Grants
Refer to 15 U.S.C. 3706 and
31 U.S.C. 6304 / An agreement between the government and a recipient, granting funding and/or property to the recipient to support or stimulate research. / DOD policy is to award research grants to educational institutions, non-profit organizations, and state/local governments only.
Research grants to educational institutions must be competed.
Used extensively to support research.
Normally recipient obtains title to inventions, but Government retains Government Purpose License Rights (GPLR).
No significant involvement between the government and the recipient during performance.
No cost sharing is required.
Manufacturing Technology (ManTech) Program
Refer to 10 U.S.C. 2521 / The Secretary of Defense shall establish a Manufacturing Technology (ManTech) Program to further the national security objectives of 2501(a) through the development and application of advanced manufacturing technologies and processes that will reduce the acquisition and supportability costs of defense weapon systems and reduce manufacturing and repair cycle times across the life cycles of such systems. The Secretary shall use the joint planning process of the directors of DOD in establishing the program. / Appreciate a responsive, world-class manufacturing capability to affordably meet the warfighters’ needs throughout the defense system life cycle.
Matures and validates emerging manufacturing technologies to support low-risk implementation in industry and DOD facilities, e.g., depots and shipyards.
It addresses production issues from system development through transition to production and sustainment.
In the weapon system design phase, ManTech’s focus is to assure design for 6-sigma (low variability) manufacture and to mature needed process capabilities to acceptable and quantified risk levels.
Technology Transfer Mechanisms
Mechanisms /
Description
/ Features/CharacteristicsManufacturing Technology (ManTech) Program