Glossary

A Consortium is a kind of Other Transaction Agreement (OTA) awarded to a group of organizations focused on specific technology areas.  Most contracting personnel award projects through the base OTA in one of two ways as project awards with their own unique award numbers or as projects awarded as modification to the base OTA.

A Cooperative Research and Development Agreement (CRADA) authorizes federal labs to enter into agreements with other federal agencies, state/local government, industry, non-profits, and universities for licensing agreements for lab developed inventions or intellectual property to commercialize products or processes originating in federal labs. Labs may seek an industry partner with resources to successfully market invention or commercialize Labs may seek an industry partner to stimulate a market for new technology Non-federal/industry partner may seek government lab to further develop unique resources Common Applications Research Development & Demonstration (RD&D) collaboration and technology advancement efforts

Federally Funded Research and Development Centers (FFRDCs) are independent, not-for-profit, private-sector organizations that are established and funded to meet special long-term engineering, research, development, or other analytic needs that cannot be met as effectively by government or other private-sector resources. FFDRCs are operated, managed, and/or administered by universities, or privately organized not-for-profit corporations, through long-term Government contracts. Each FFRDC is assigned to a primary sponsor who is responsible for implementing DoD’s policies and procedures for FFRDCs, monitoring the performance of the FFRDC, maintaining the tenets of the sponsoring agreement between the FFRDC host organization and the primary sponsor, conducting a comprehensive review every 5 years, and approving all work done by the FFRDC. A high priority is placed on acquiring FFRDC unique technical expertise where the Department cannot attract and retain personnel in sufficient depth and numbers. FFRDCs are intentionally located outside Government to permit management flexibility to attract and retain high-quality scientists, engineers, and analysts critical to the Department’s mission. There are 3 types of FFRDCs: Study and Analysis Centers: Conduct independent and objective analyses and provide advice in core mission areas in support of policy and strategy development, decision-making, alternative approaches, and new ideas on significant issues for the Department. There are currently 5 FFRDCs of this type. Systems Engineering and Integration Centers: Assist with the creation and choice of system concepts and architectures, the specification of technical system and subsystem requirements and interfaces, the development and acquisition of system hardware and software, the testing and verification of performance, the integration of new capabilities, and continuous improvement of system operations and logistics. There are currently 2 FFRDCs of this type. Research and Development Laboratories: Conduct R&D, focusing on the development and prototyping of new technologies to meet DoD needs; engage in research programs that emphasize the evolution and demonstration of advanced concepts and technology, and transfer new technologies to the private sector. There are currently 3 FFRDCs of this type. Congress closely monitors the use of DoD’s FFRDCs and sets an annual staffing ceiling that limits the overall growth of the FFRDCs. Historically, the total number of staff technical equivalents (STE) has been around 6,000. The current ceiling is 6,053 of which 1,148 is allocated to the studies and analysis FFRDCs. Traditionally, the annual request by DoD FFRDC sponsors far exceeds the available STE allowed. Summary of FFRDCs: Operate in the public interest with objectivity and independence befitting their special relationship with the government; Are free from organizational and personal conflicts of interest, and provide full disclosure of their affairs to the appropriate DoD sponsoring agency; Contribute to the body of knowledge and practice within their domains of expertise; There are currently 10 DoD-supported FFDRCs. The U.S. Code of Federal Regulation codifies the Federal Acquisition Regulation (FAR), which governs how FFRDCs are established, used, reviewed, and terminated. According to FAR Section 35.017(a)(2), the private-sector resources of FFRDCs “accomplish tasks that are integral to the mission and operation of the sponsoring agency.” FFRDCs bring together the expertise and outlook of government, industry, and academia to solve complex problems; thus, they are able to meet needs that cannot readily be met by governmental resources or traditional contractors.

Manufacturing Innovation Institutes (MII) are public-private partnerships led by OUSD(R&E) designed to overcome the challenges faced by American manufacturing innovators in a variety of technology areas. While each institute operates in its own unique ecosystem, the institutes offer common capabilities that: Provide access to state-of-the-art tools and equipment that are otherwise beyond the reach of most businesses Implement targeted education and workforce development training programs Encourage project investments in applied research & industrially-relevant manufacturing technologies This is achieved through three primary activities hosted by the institutes: Advancing research and development (R&D) to promote American innovation while modernizing our military capabilities Growing manufacturing ecosystems to enhance the Nation’s competitiveness Furthering education and workforce development to train Americans of all ages and backgrounds for jobs of the future

A Partnership Intermediary Agreement (PIA) is a contract, agreement, or memorandum of understanding with a non-profit partnership intermediary to engage academia and industry on behalf of the government to accelerate tech transfer and licensing. A Partnership Intermediary means an agency of a state or local government, or a nonprofit entity owned in whole or in part by, chartered by, funded in whole or in part by, or operated in whole or in part by or on behalf of a State or local Government, that assists, counsels, advises, evaluates, or otherwise cooperates with small business firms and institutions of higher education that need or can make demonstrably productive use of technology-related assistance from a federal laboratory. 15 U.S.C. §3715 provides the authority to use partnership intermediaries to federal labs defined as any laboratory, any federally funded research and development center, or any center established under 15 U.S.C. §3705 (Cooperative Research Centers) or 15 U.S.C. §3707 (NSF Cooperative Research Centers) that is owned, leased, or otherwise used by a Federal agency and funded by the Federal Government, whether operated by the Government or by a contractor.

A Science and Technology Reinvention Laboratory (STRL) is an organizational designation, historically, through a National Defense Authorization Act, or designated as such by the Under Secretary of Defense for Research and Engineering (USD(R&E)). Once designated, the STRL can avail themselves of certain legislated authorities directed towards STRLs such as personnel flexibilities, minor military construction flexibilities, ability to adopt mechanisms that give the STRL Directors discretionary funding flexibility, etc.

The Small Business Innovation Research (SBIR) and Small Business Technology Transfer (STTR) programs are highly competitive programs that encourage domestic small businesses to engage in Federal Research/Research and Development (R/R&D) with the potential for commercialization. Through a competitive awards-based program, SBIR and STTR enable small businesses to explore their technological potential and provide the incentive to profit from its commercialization. By including qualified small businesses in the nation's R&D arena, high-tech innovation is stimulated, and the United States gains entrepreneurial spirit as it meets its specific research and development needs. SBIR Requirements – for full information see SBIR.gov (https://www.sbir.gov/about) 1. Organized for profit, with a place of business located in the United States 2. More than 50% owned and controlled by one or more individuals who are citizens or permanent resident aliens of the United States, or by other small business concerns that are each more than 50% owned and controlled by one or more individuals who are citizens or permanent resident aliens of the United States; 3. No more than 500 employees, including affiliates

The Small Business Innovation Research (SBIR) and Small Business Technology Transfer (STTR) programs are highly competitive programs that encourage domestic small businesses to engage in Federal Research/Research and Development (R/R&D) with the potential for commercialization. Through a competitive awards-based program, SBIR and STTR enable small businesses to explore their technological potential and provide the incentive to profit from its commercialization. By including qualified small businesses in the nation's R&D arena, high-tech innovation is stimulated, and the United States gains entrepreneurial spirit as it meets its specific research and development needs. Central to the STTR program is the partnership between small businesses and nonprofit research institutions. The STTR program requires the small business to formally collaborate with a research institution in Phase I and Phase II. STTR's most important role is to bridge the gap between performance of basic science and commercialization of resulting innovations. STTR Requirements Located in the US Meet one of three definitions: 1. Nonprofit college or university 2. Domestic nonprofit research organization 3. Federally funded R&D center (FFRDC)

A software factory is a software assembly plant for development and integration that contains multiple pipelines, equipped with a set of tools, process workflows, scripts, and environments, to produce a set of software deployable artifacts with minimal human intervention. It automates the activities in the develop, build, test, release, and deliver phases and supports multi-tenancy. To realize the full benefit, these capabilities must effectively couple technology (e.g., tools and platforms) with process change (e.g., security authorization and testing).  These are internally developed software created within and for the Department.

A Technology Investment Agreement (TIA) is an instrument used to stimulate or support commercial firm involvement in pursuing best technologies for defense research. TIAs are appropriate when research objectives are unlikely to be achieved using other types of contract instruments. TIAs may be executed as a cooperative agreement or a type of assistance transaction other than a grant or cooperative agreement, such as a Research Other Transaction (OT) – 10 U.S.C. §4021. TIAs are executed as cooperative agreements in accordance with the DoD Grant and Agreement Regulations (DoDGARs) – 32 CFR Part 21 when the government does not intend to deviate from the Bayh-Dole Act (35 U.S.C. Chapter 18 and 37 CFR Part 401) which permits a university, small business, or non-profit institution to pursue ownership of an invention made using government provided funds. Research OTs are used to execute TIAs when the government seeks to retain intellectual property rights that deviate from the Bayh-Dole Act.

A scale consisting of nine levels, each one requiring the technology to be demonstrated in incrementally higher levels of fidelity in terms of its form, the level of integration with other parts of the system, and its operating environment than the previous, until the final level where the actual operation of the technology is in its final form and proven through successful mission operations.

University Affiliated Research Centers (UARCs) are all non-profit research organizations affiliated with a university and have a set of core competencies—areas of domain expertise or specialization - that are tailored to the long-term needs of the Department. DoD’s long-term strategic relationship with UARCs requires them to provide and maintain advanced and sophisticated engineering, research, and/or development capabilities essential to the Department’s mission and operations. UARCs operate as independent, trusted advisors and honest brokers, agreeing to limit their operations in order to be free from real or perceived conflicts of interest. Each UARC is sponsored by a primary sponsor who is responsible for implementing UARC policies and procedures, monitoring performance, approving all work executed by the UARC, and conducting a comprehensive review every five years. While any university can receive funds from the Department to perform work, that does not make them a UARC. Rather, all DoD UARCs are approved by USDR&E after a rigorous review and competitive selection process conducted by the proposed primary sponsor. Only USD(R&E) can establish, transfer, or terminate a UARC. Summary of UARCs: Provide access to applicable universities engaged in applied research with a strong basic research foundation; Ensure that essential engineering and technology capabilities of particular importance to the Department are maintained; Offer a unique arrangement of basic and applied research technical expertise within one organization; and, are only approved by USD(R&E) and established after a rigorous requirements review and competitive selection process.