Science and Technology: Information on Federal Programs and
Interagency Efforts That Support Small Businesses Engaged in
Manufacturing (18-MAY-07, GAO-07-714).
Small businesses engaged in manufacturing, typically those with
500 or fewer employees, comprise about 90 percent of all U.S.
manufacturers and employ 6 million workers. Recent studies have
shown that small manufacturing businesses face a number of
challenges in their efforts to remain competitive, including the
inability to obtain operating and investment capital, a lack of
familiarity with new business practices, and difficulty in
finding independent advice and skilled employees. To help these
businesses overcome such challenges, many federal agencies
provide financial and nonfinancial technical services through
targeted or general programs or create interagency work groups to
better coordinate their efforts and more effectively support
these businesses. In this context, GAO identified (1) federal
programs that provide services to support small businesses
engaged in manufacturing and (2) federal interagency efforts that
focus on issues of concern to small manufacturing businesses. To
identify these programs and efforts, GAO obtained documentation
from 19 federal agencies. In commenting on a draft of this
report, 18 of the 19 agencies made technical comments that we
have incorporated as appropriate. GAO is not making
recommendations in this report.
-------------------------Indexing Terms-------------------------
REPORTNUM: GAO-07-714
ACCNO: A69768
TITLE: Science and Technology: Information on Federal Programs
and Interagency Efforts That Support Small Businesses Engaged in
Manufacturing
DATE: 05/18/2007
SUBJECT: Federal aid programs
Interagency relations
Manufacturing industry
Program evaluation
Small business
Small business assistance
Strategic planning
Technical assistance
Business planning
Government/business relations
Program coordination
Small Business Innovation Research
Program
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GAO-07-714
* [1]Results in Brief
* [2]Background
* [3]Few Federal Programs Target Small Businesses Engaged in Manu
* [4]Five Federal Programs Target Small Manufacturers
* [5]Small Manufacturers May Obtain Services from 15 Federal Prog
* [6]Small Manufacturers Can Also Access Services Offered by Many
* [7]Small Manufacturers May Also Benefit from Many Federal Progr
* [8]Six Interagency Efforts Support Manufacturing, and 14 Suppor
* [9]Agency Comments
* [10]Appendix I: Objectives, Scope, and Methodology
* [11]Appendix II: Department of Agriculture - Programs that Offer
* [12]Appendix III: Department of Commerce - Programs that Offer S
* [13]Appendix IV: Department of Defense - Programs that Offer Ser
* [14]Appendix V: Department of Education - Programs that Offer Se
* [15]Appendix VI: Department of Energy - Programs that Offer Serv
* [16]Appendix VII: Department of Health and Human Services - Prog
* [17]Appendix VIII: Department of Homeland Security - Programs th
* [18]Appendix IX: Housing and Urban Development - Programs that O
* [19]Appendix X: Department of the Interior - Programs that Offer
* [20]Appendix XI: Department of Labor - Programs that Offer Servi
* [21]Appendix XII: Department of Transportation- Programs that Of
* [22]Appendix XIII: Department of Veterans Affairs - Programs tha
* [23]Appendix XIV: Environmental Protection Agency - Programs tha
* [24]Appendix XV: Export-Import Bank - Programs that Offer Servic
* [25]Appendix XVI: National Aeronautics and Space Administration
* [26]Appendix XVII: National Science Foundation - Programs that O
* [27]Appendix XVIII: Small Business Administration - Programs tha
* [28]Appendix XIX: Appalachian Regional Commission - Programs tha
* [29]Appendix XX: Robert C. Byrd National Technology Transfer Cen
* [30]Appendix XXI: Interagency Efforts that Address Concerns of S
* [31]Appendix XXII: Studies of Programs that Support Small Busine
* [32]List of Studies
* [33]Studies on Programs at the Department of Commerce
* [34]Studies on Programs at the Department of Defense
* [35]Studies on Programs at the Department of Energy
* [36]Study on Programs at the Department of Health and Human
Serv
* [37]Study on Programs at the Department of Transportation
* [38]Studies on Programs at the Appalachian Regional
Commission
* [39]Study on Programs at the Export-Import Bank
* [40]Studies on Programs at the National Aeronautics and
Space Ad
* [41]Studies on Programs at the Small Business Administration
* [42]Studies on Programs at Multiple Agencies
* [43]Appendix XXIII: GAO Contacts and Staff Acknowledgments
* [44]GAO Contact
* [45]Staff Acknowledgments
* [46]Order by Mail or Phone
Report to Congressional Requesters
United States Government Accountability Office
GAO
May 2007
SCIENCE AND TECHNOLOGY
Information on Federal Programs and Interagency Efforts That Support Small
Businesses Engaged in Manufacturing
GAO-07-714
Contents
Letter 1
Results in Brief 3
Background 5
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 8
Six Interagency Efforts Support Manufacturing, and 14 Support All
Businesses, Including Manufacturers 19
Agency Comments 22
Appendix I Objectives, Scope, and Methodology 24
Appendix II Department of Agriculture - Programs that Offer Services to
Small Manufacturers and Types of Services 27
Appendix III Department of Commerce - Programs that Offer Services to
Small Manufacturers and Types of Services 33
Appendix IV Department of Defense - Programs that Offer Services to Small
Manufacturers and Types of Services 44
Appendix V Department of Education - Programs that Offer Services to Small
Manufacturers and Types of Services 54
Appendix VI Department of Energy - Programs that Offer Services to Small
Manufacturers and Types of Services 55
Appendix VII Department of Health and Human Services - Programs that Offer
Services to Small Manufacturers and Types of Services 58
Appendix VIII Department of Homeland Security - Programs that Offer
Services to Small Manufacturers and Types of Services 65
Appendix IX Housing and Urban Development - Programs that Offer Services
to Small Manufacturers and Types of Service 67
Appendix X Department of the Interior - Programs that Offer Services to
Small Manufacturers and Types of Services 70
Appendix XI Department of Labor - Programs that Offer Services to Small
Manufacturers and Types of Services 72
Appendix XII Department of Transportation- Programs that Offer Services to
Small Manufacturers and Types of Services 76
Appendix XIII Department of Veterans Affairs - Programs that Offer
Services to Small Manufacturers and Types of Services 80
Appendix XIV Environmental Protection Agency - Programs that Offer
Services to Small Manufacturers and Types of Services 83
Appendix XV Export-Import Bank - Programs that Offer Services to Small
Manufacturers and Types of Services 87
Appendix XVI National Aeronautics and Space Administration - Programs that
Offer Services to Small Manufacturers and Types of Services 88
Appendix XVII National Science Foundation - Programs that Offer Services
to Small Manufacturers and Types of Services 91
Appendix XVIII Small Business Administration - Programs that Offer
Services to Small Manufacturers and Types of Services 93
Appendix XIX Appalachian Regional Commission - Programs that Offer
Services to Small Manufacturers and Types of Services 101
Appendix XX Robert C. Byrd National Technology Transfer Center - Programs
that Offer Services to Small Manufacturers and Types of Services 103
Appendix XXI Interagency Efforts that Address Concerns of Small Businesses
and Businesses Regardless of Size and Type 104
Appendix XXII Studies of Programs that Support Small Businesses Engaged in
Manufacturing 110
List of Studies 110
Appendix XXIII GAO Contacts and Staff Acknowledgments 116
Tables
Table 1: Funding and Participation for 3 Programs That Serve Small
Businesses Engaged in Manufacturing, Fiscal Years 2004-2006 11
Table 2: Funding or Participation or Both for 7 Federal Programs That
Provided Services to Manufacturers, Regardless of Size, Fiscal Years
2004-2006 14
Table 3: Funding and Participation by Small Businesses in Federal Programs
That Serve Small Businesses, Regardless of Type, Fiscal Years 2004-2006 17
Table 4: Services Provided by 107 Federal Programs to Businesses,
Regardless of Size and Type 19
Table 5: Four Interagency Efforts Address Concerns of Small Businesses
Engaged in Manufacturing 20
Table 6: Two Interagency Efforts Address the Concerns of Manufacturers,
Regardless of Size 21
Table 7: Department of Agriculture Programs That Offer Services to Small
Businesses Engaged in Manufacturers by Agency, Target Businesses, and
Agency Description of Purpose 27
Table 8: Services Provided by Department of Agriculture Programs by
Agency, Target Businesses, and Type of Services 31
Table 9: Department of Commerce Programs That Offer Services to Small
Businesses Engaged in Manufacturers by Agency, Target Businesses, and
Agency Description of Purpose 33
Table 10: Services Provided by Department of Commerce Programs by Agency,
Target Businesses, and Type of Services 40
Table 11: Department of Defense Programs That Offer Services to Small
Businesses Engaged in Manufacturing by Agency, Target Businesses, and
Agency Description of Purpose 44
Table 12: Services Provided by Department of Defense Programs by Agency,
Target Businesses, and Type of Services 51
Table 13: Department of Education Programs That Offer Services to Small
Businesses Engaged in Manufacturing by Agency, Target Businesses, and
Agency Description of Purpose 54
Table14: Services Provided by Department of Education Programs by Agency,
Target Businesses, and Type of Services 54
Table 15: Department of Energy Programs That Offer Services to Small
Businesses Engaged in Manufacturing by Agency, Target Businesses, and
Agency Description of Purpose 55
Table 16: Services Provided by Department of Energy Programs by Agency,
Target Businesses, and Type of Services 57
Table 17: Department of Health and Human Services Programs That Offer
Services to Small Businesses Engaged in Manufacturing by Agency, Target
Businesses, and Agency Description of Purpose 58
Table 18: Services Provided by Department of Health and Human Services
Programs by Agency, Target Businesses, and Type of Services 62
Table 19: Department of Homeland Security Programs That Offer Services to
Small Businesses Engaged in Manufacturing by Agency, Target Businesses,
and Agency Description of Purpose 65
Table 20: Services Provided by Department of Homeland Security Programs by
Agency, Target Businesses, and Type of Services 66
Table 21: Department of Housing and Urban Development Programs That Offer
Services to Small Businesses Engaged in Manufacturing by Agency, Target
Businesses and Agency Description of Purpose 67
Table 22: Services Provided by Department of Housing and Urban Development
Programs by Agency, Target Businesses, and Type of Services 69
Table 23: Department of the Interior Programs That Offer Services to Small
Businesses Engaged in Manufacturing by Agency, Target Businesses, and
Agency Description of Purpose 70
Table 24: Services Provided by Department of the Interior Programs by
Agency, Target Businesses, and Type of Services 71
Table 25: Department of Labor Programs That Offer Services to Small
Businesses Engaged in Manufacturing by Agency, Target Businesses, and
Agency Description of Purpose 72
Table 26: Services Provided by Department of Labor Programs by Agency,
Target Businesses, and Type of Services 74
Table 27: Department of Transportation Programs That Offer Services to
Small Businesses Engaged in Manufacturing by Agency, Target Businesses,
and Agency Description of Purpose 76
Table 28: Services Provided by Department of Transportation Programs by
Agency, Target Businesses, and Type of Services 78
Table 29: Department of Veterans Affairs Programs That Offer Services to
Small Businesses Engaged in Manufacturing by Agency, Target Businesses,
and Agency Description of Purpose 80
Table 30: Services Provided by Department of Veterans Affairs Programs by
Agency, Target Businesses, and Type of Services 81
Table 31: Environmental Protection Agency Programs That Offer Services to
Small Businesses Engaged in Manufacturing by Agency, Target Businesses,
and Agency Description of Purpose 83
Table 32: Services Provided by Environmental Protection Agency Programs by
Agency, Target Businesses, and Type of Services 85
Table 33: Export-Import Bank Programs That Offer Services to Small
Businesses Engaged in Manufacturing by Agency, Target Businesses, and
Agency Description of Purpose 87
Table 34: Services Provided by Export-Import Bank Programs by Agency,
Target Businesses, and Type of Services 87
Table 35: National Aeronautics and Space Administration Programs That
Offer Services to Small Businesses Engaged in Manufacturing by Agency,
Target Businesses, and Agency Description of Purpose 88
Table 36: Services Provided by National Aeronautics and Space
Administration Programs by Agency, Target Businesses, and Type of Services
89
Table 37: National Science Foundation Programs That Offer Services to
Small Businesses Engaged in Manufacturing by Agency, Target Businesses,
and Agency Description of Purpose 91
Table 38: Services Provided by National Science Foundation Programs by
Agency, Target Businesses, and Type of Services 92
Table 39: Small Business Administration Programs That Offer Services to
Small Businesses Engaged in Manufacturing by Agency, Target Businesses,
and Purpose 93
Table 40: Services Provided by Small Business Administration Programs by
Agency, Target Businesses, and Type of Services 98
Table 41: Appalachian Regional Commission Programs That Offer Services to
Small Businesses Engaged in Manufacturing by Agency, Target Businesses,
and Agency Description of Purpose 101
Table 42: Services Provided by Appalachian Regional Commission Programs by
Agency, Target Businesses, and Type of Services 102
Table 43: Robert C. Byrd National Technology Transfer Center Programs That
Offer Services to Small Businesses Engaged in Manufacturing by Agency,
Target Businesses, and Agency Description of Purpose 103
Table 44: Services Provided by the Robert C. Byrd National Technology
Transfer Center Programs by Agency, Target Businesses, and Type of
Services 103
Table 45: Five Interagency Efforts Address the Concerns of Small
Businesses, Regardless of Type 104
Table 46: Nine Interagency Efforts Address the Concerns of All Businesses,
Regardless of Size or Type 106
Abbreviations
DSTARR Defense Small Business Technology and Readiness Resources Program
EPA Environmental Protection Agency
FSIS Food Safety and Inspection Service
ITA International Trade Administration
MEP Manufacturing Extension Partnership
MTAPP Manufacturing Technical Assistance Production Program
NAICS North American Industry Classification System
NIST National Institute of Standards and Technology
R&D Research and development
SBA Small Business Administration
SBIR Small Business Innovation Research Program
TAA Trade Adjustment Assistance
TIDE Technology Insertion, Demonstration, and Evaluation
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United States Government Accountability Office
Washington, DC 20548
May 18, 2007
The Honorable Steve Chabot
Ranking Member
Committee on Small Business
House of Representatives
The Honorable Donald A. Manzullo
House of Representatives
The ability of U.S. manufacturers to successfully compete in the global
economy is essential to the nation's continued economic growth and
standard of living. Small businesses engaged in manufacturing (referred to
as "small manufacturers" in this report), typically those with 500 or
fewer employees, comprise over 90 percent of all U.S. manufacturers and
employ 6 million workers.1 Recent studies have shown that these small
manufacturers were particularly hard hit during the recession that began
in 2001 and the subsequent slow economic recovery, and that these
manufacturers continue to face serious challenges to their efforts to
remain competitive. These challenges include difficulties in obtaining
operating capital and investment funds to modernize their operations;
their relative lack of familiarity with changing technology, production
techniques, and business management practices; difficulties in finding
high-quality, independent advice and assistance; and difficulties in
obtaining skilled employees. While the federal government has devoted
considerable resources to programs that can help small businesses,
including manufacturers, to more effectively address these types of
challenges and compete in today's global market, industry analysts believe
that many small manufacturers may be unaware of this assistance.
Federal programs that support manufacturing and other businesses offer
services designed to help businesses improve their operations in a range
of areas. For example, programs may offer financial services in the form
of loans or loan guarantees to help businesses obtain funds for daily or
export operations or to acquire needed buildings or equipment. Federal
programs also may offer nonfinancial services, such as consulting or
assessments, to help businesses improve their efficiency, adopt modern
technologies, export their products, or train their workers.
1Department of Commerce, U.S. Census Bureau, Statistics of U.S. Businesses
- 2004.
In addition to programs that help individual businesses, federal support
for small businesses engaged in manufacturing may take the form of
interagency efforts that bring together officials from several federal
agencies to focus on specific challenges that businesses face. For
example, interagency efforts may focus on ensuring consistency in how a
program is implemented by more than one agency or in how a program might
better meet the needs of the businesses it serves. In other cases,
interagency efforts may address a specific task, such as coordinating
research programs across several agencies. These types of interagency
efforts may disband once their task is complete.
In this context 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 focused on federal programs that support small
businesses engaged in manufacturing. See appendix XXII.
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; Environmental Protection Agency;
Export-Import Bank; National Aeronautics and Space Administration;
National Science Foundation; and Small Business Administration. Throughout
this report we refer collectively to these executive departments,
independent agencies, and the government corporation as "agencies". 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 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 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,
regulations, or administrative guidance.
To identify interagency efforts to support small businesses, we searched
the agencies' Web sites; obtained documentation; and interviewed officials
at federal agencies and at organizations that represent state government
officials 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 the
information we gathered 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. See appendix I for more details on the objectives, scope, and
methodology. We conducted our work from May 2006 to April 2007 in
accordance with generally accepted government auditing standards.
Results in Brief
Of the 254 federal programs we identified that provide services that small
businesses engaged in manufacturing can avail themselves of, only 5
programs specifically target this class of businesses and 15 programs
target all manufacturers regardless of their size. Over $35 million was
provided from fiscal years 2004 to 2006, by 7 of the 20 programs that had
funding data on the services they provided to small businesses engaged in
manufacturing. The number of small manufacturing firms that received
services from these 7 programs ranged from about 8,000 in 2004 to over
9,000 in 2006. Regarding the types of services provided, we found that all
5 programs that specifically serve small businesses engaged in
manufacturing provide nonfinancial technical assistance to help
participants solve specific manufacturing problems or improve the
efficiency of their manufacturing operations and quality control
processes, and 1 program offers financial services. The 15 programs that
provide services to manufacturers, regardless of their size, offer similar
kinds of nonfinancial services, and 6 programs also offer financial
services. Small businesses engaged in manufacturing also can obtain
support from 127 other federal programs that assist small businesses
regardless of the type of business. About 60 percent of these 127 programs
provide only nonfinancial services, such as general business, management,
and export assistance; about 5 percent offer only financial services, such
as loans, grants, and access to contracting opportunities or export
assistance; and the remainder offer both financial and nonfinancial
services. Together, these 127 programs devoted an average of $90 billion
each year from 2004 to 2006 to provide services to about 1.6 million small
businesses, including manufacturers. Small businesses engaged in
manufacturing also may obtain general business, export, and financial
services from an additional 107 federal programs designed to support all
businesses, regardless of their size or type. However, it is unclear how
many small manufacturing firms received services from these general
assistance programs because not all of the participating agencies track
this information.
We identified 20 federal interagency efforts that were created to support
the U.S. business sector, 4 of these efforts focused on the challenges
faced by small businesses engaged in manufacturing, and 2 efforts focused
on the challenges faced by manufacturers, regardless of their size. For
example, in 3 of the 4 interagency efforts that focus on addressing the
challenges faced by small businesses engaged in manufacturing federal
agencies collaborate to expand and coordinate the services they offer to
these kinds of firms through nationwide networks of service centers.
Through the 4th interagency effort, federal agencies help small businesses
engaged in manufacturing use energy more efficiently and reduce the amount
of left over materials (waste) that result from their manufacturing
processes. Of the 2 interagency efforts that assist manufacturers,
regardless of their size, the 1st focuses on developing strategies to
improve the competitiveness of manufacturers and the 2nd focuses on
resolving issues associated with manufacturing-related research and
development policies, programs, and budgets. The remaining 14 interagency
efforts that we identified focus on the concerns of small businesses or of
all businesses in general and may address some issues that also are
relevant to small businesses engaged in manufacturing. In commenting on a
draft of this report, 18 of the 19 agencies provided technical comments
that we have incorporated, as appropriate.
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).2 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).3
2Specific size standards are published by SBA for each NAICS industry
classification at 13 C.F.R. S 121.201. For manufacturing classifications
(sectors 31-33), these standards range from 500 to 1,500 employees.
3The Manufacturing Institute, The Future Success of Small and Medium
Manufacturers: Challenges and Policy Issues, 2006; U.S. Department of
Commerce, Manufacturing in America: A Comprehensive Strategy to Address
the Challenges to U.S. Manufacturers, January 2004; National Academy of
Public Administration, The National Institute of Standards and
Technology's Manufacturing Extension Partnership, Report I, September
2003; Northeast-Midwest Institute, Advancing U.S. Manufacturing:
Challenges Facing Small Manufacturers, 2004; Manufacturing Studies Board,
Commission on Engineering and Technical Systems, National Research
Council, Learning to Change: Opportunities to Improve the Performance of
Smaller Manufacturers, National Academy Press, 1993; and Northeast-Midwest
Institute, Advancing Manufacturing Competitiveness: A Practitioners' Guide
to Federal Assistance, 1995.
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:
o 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.
o 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.
o 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.
o 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.
o 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.
Table 1: Funding and Participation for 3 Programs That Serve Small
Businesses Engaged in Manufacturing, Fiscal Years 2004-2006
Dollars in
millions
Funding and participation, by fiscal year
2004 2005 2006
Department,
agency, and
program Funding Participation Funding Participation Funding Participation
Department of $2.1 69 services $2.2 862 services Not Not available
Defense, available
Navy, Defense
Small
Business
Technology
and Readiness
Resources
Programab
Department of Not 54 firms 1.5 79 firms 1.2 92 firms
Defense, Air available
Force,
Manufacturing
Technical
Assistance
Production
Programc
Department of 1.5 10 firms 0.5 21 firms 2.3 30 firms
Defense,
Office of the
Secretary,
MilTechd
Total $3.6 64 firms 69 $4.2 100 firms 862 $3.5 122 firms
services services
Source: GAO data.
Notes: Because a single business may receive more than one type of
financial or nonfinancial assistance, such as more than one loan or
assessment, participation data may overstate the number of unique
businesses that were helped.
All funding and participation data in the table above were reviewed and
verified by agency officials.
aThese figures reflect funding and participation prior to December 2006
when the program name was changed and the scope of services expanded to
include specialized information technology companies.
bThese figures are appropriations.
cThese figures are obligations.
dThese figures are technology transfer funding for small manufacturers.
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:
o 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.
o 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.
o 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.
o 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.
o 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.
o 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.
o 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.
o 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.
o 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.
o 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.
Table 2: Funding or Participation or Both for 7 Federal Programs That
Provided Services to Manufacturers, Regardless of Size, Fiscal Years
2004-2006
Dollars in
millions
Funding and Participation, by fiscal year
2004 2005 2006
Department,
agency, and
program Funding Participation Funding Participation Funding Participation
Data for Small Businesses Engaged in Manufacturing
Commerce, International Trade Administration
Textiles and Not 60 firms Not 72 firms Not 103 firms
Apparel available available available
Commerce, National Institute of Standards and Technology
Hollings Not 7,910 firms Not 8,247 firms Not 9,154 firms
Manufacturing available available available
Extension
Partnership
Defense, Office of the Secretary
Next $1.9 3 firms Not Not available $2.6 9 firms
Generation available
Manufacturing
Technology
Initiativea
Housing and Urban Development
Partnership 7.5 Not available 7.5 Not available 5.0 Not available
for Advancing
Technology in
Housing
Initiativeb
Subtotal for $ 9.4 7,973 firms $7.5 8,319 firms $7.6 9,266 firms
small
businesses
engaged in
manufacturing
Data for Manufacturers, Regardless of Size
Commerce, Economic Development Administration
Trade $11.9 177 firms $12.0 133 firms $14.3 137 firms
Adjustment
Assistance
for Firmsa
Commerce, National Institute of Standards and Technology
Hollings 38.6 736 firms 107.5 748 firms 104.6 803 firms
Manufacturing
Extension
Partnershipb
Defense, Office of the Secretary
Manufacturing 255.6 Not available 175.7 Not available 185.6 Not available
Technology
(ManTech)c
Defense, Navy
Best 2.0 10,800 2.0 4,187 2.0 5,673
Manufacturing services services services
Practicesd
Subtotal for $308.1 913 firms $297.3 881 firms $306.5 940 firms
manufacturers
regardless of
size
Total $317.5 8,886 firms $304.8 9,200 firms $314.1 10,206 firms
10,800 4,187 5,673
services services services
Source: GAO data.
Notes: Because a single business may receive more than one type of
financial or nonfinancial service, such as more than one grant or
consultation, participation data may overstate the number of unique
businesses that were helped. In addition, not all agencies reported data
for each year.
All funding and participation data in the table above were reviewed and
verified by agency officials.
Funding data may not add because of rounding.
aThese figures are obligations.
bThese figures are appropriations.
cThese figures represent the funding provided by participating Defense
components, not the Office of the Secretary.
dThese figures are outlays.
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 Utilization4 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.5 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.
4The Small Business Act, as amended (Pub. L. No. 85-536, 72 Stat. 384
(July 18, 1958), amended by Pub. L. No. 95-507, 92 Stat. 1757 (Oct. 24,
1978)), established an Office of Small and Disadvantaged Business
Utilization for each federal agency with procurement authority. See 15
U.S.C. S 644(k).
5Executive Order No. 13,329, 69 Fed. Reg. 9181 (Feb. 24, 2004) encourages
innovation in manufacturing by directing SBIR programs to give high
priority to manufacturing-related research and development projects,
whenever feasible.
Table 3: Funding and Participation by Small Businesses in Federal Programs
That Serve Small Businesses, Regardless of Type, Fiscal Years 2004-2006
Dollars in
millions
Funding and participation, by fiscal year
2004 2005 2006
Number
Department or of
agency programs Funding Participation Funding Participation Funding Participation
Appalachian
Regional
Commissiona 4 $1.7 85 $0.5 106 $0.7 367
Agricultureb 6 128.6 10,564 126.8 11,296 106.7 10,442
Commercec 7 164.2 91 205.2 1,150 212.0 614
Defensed 9 96,580.5 3,849 118,843.4 4,014 1,316.6 3,755
Educatione 2 8.9 53 8.4 36 8.7 58
Energyf 6 119.0 421 118.8 412 120.4 429
Health and
Human Servicesg 8 633.8 33,502 645.8 32,783 648.1 36,968
Homeland
Securitye 6 19.6 131 23.0 90 30.6 N/A
Housing and
Urban
Development 1 N/A N/A N/A N/A N/A N/A
Interior 6 N/A N/A N/A N/A N/A N/A
Labor 7 N/A N/A N/A N/A N/A N/A
Transportationh 8 13.8 27 11.3 17 4.6 6
Veterans
Affairs 10 N/A N/A N/A N/A N/A N/A
Environmental
Protection
Agencye 5 6.7 57 6.6 52 5.0 56
Export-Import
Banki 1 2,257.3 2,572 2,660.3 2,617 3,184.7 2,253
National
Aeronautics and
Space
Administratione 4 131.5 533 136.8 497 126.9 497
National
Science
Foundatione 2 100.4 558 89.9 320 98.4 406
Small Business
Administrationj 35 20,459.7 1,468,211 19,496.8 1,756,842 175.3 1,431,011
Totall 127 $120,625.8 1,520,654 $142,373.6 1,810,232 $6,038.7 1,486,862
Source: GAO data.
Note: Because a single business may receive more than one type of
financial or nonfinancial service, such as more than one grant or
consultation, participation data may overstate the number of unique
businesses that were helped.
Agency officials reviewed and verified information on 92 of the 127
programs in the table above.
Funding or participation data were available for 53 of the 127 programs in
the table above. Agency officials reviewed and verified these data for 42
of these 53 programs.
N/A = Not available
aThese figures are primarily obligations. Figures for 1 program were
reported in outlays. Participation figures represent firms and
individuals.
bFunding figures are primarily in obligations, although figures for 1
program were reported in appropriations. Participation figures represent a
combination of awards, loans, firms and small emerging firms.
cFunding figures are primarily obligations, although figures for 2
programs were reported as outlays. Participation figures represent awards
and firms.
dThese figures were largely reported without specifying the type of funds,
although figures for 1 program were reported as obligations. Participation
data were reported in awards but were not reported for fiscal year 2006.
eThese figures are in obligations. Participation figures represent awards.
fThese figures are primarily in obligations, although figures for 1
program were reported in appropriations. Participation figures represent
awards.
gThese figures are in appropriations. Participation figures are largely
awards although figures for 2 programs were reported in firms.
hThese figures are in obligations. Participation figures represent loans.
iThese figures are in authorizations. Participation figures represent
transactions.
jThese figures are largely obligations, although figures for 1 program
were reported in guarantee authority, figures for 4 programs were reported
in appropriations, and figures for another program did not specify the
type of funding. Participation figures are largely reported as firms,
although figures for 1 program were reported as surety bonds, figures for
2 programs were reported as individuals, figures for 1 program were
reported as certifications, and figures for 2 programs were reported as
loans.
lData for fiscal year 2006 are incomplete.
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.
Table 4: Services Provided by 107 Federal Programs to Businesses,
Regardless of Size and Type
Type of service
Technology Technical,
Number development business,
Department or of or or Worker
agency programs Financial deployment management Export training
Agriculture 13 11 0 2 8 1
Commerce 27 3 3 18 13 1
Defense 14 6 5 9 1 1
Energy 2 0 2 1 0 0
Health and 14 4 5 9 0 1
Human Services
Housing and 6 5 1 5 1 2
Urban
Development
Interior 1 0 0 0 0 1
Labor 6 2 3 5 0 6
Transportation 3 0 2 1 1 0
Appalachian 1 1 0 1 0 1
Regional
Commission
Environmental 8 2 3 8 2 1
Protection
Agency
National 8 4 6 4 1 1
Aeronautics and
Space
Administration
National 2 0 1 0 0 1
Science
Foundation
National 1 0 1 1 0 0
Technology
Transfer Center
Small Business 1 1 0 0 0 1
Administration
Total 107 39 32 64 27 18
Source: GAO data.
Note: Totals for individual types of services may not sum to the total
number of programs because individual programs may offer more than one
type of service.
Agency officials reviewed and verified information on 73 of the 107
programs in the table above.
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.
Table 5: Four Interagency Efforts Address Concerns of Small Businesses
Engaged in Manufacturing
Focus of interagency Participating Description of interagency
effort agencies effort
Help small The Environmental Since 2001, EPA and NIST's
manufacturers Protection Agency Hollings Manufacturing Extension
operate more (EPA), the National Partnership (MEP) have
efficiently Institute of collaborated with state
Standards and pollution agencies and various
Technology (NIST) industries in the Green
within the Suppliers Network. The network
Department of provides assessments of work
Commerce, and processes on the premises of
private sector participating small
firms. manufacturers, and also provides
information to help these firms
improve their operations and
minimize the amount of waste
material generated by their
operations. The network also
works with large manufacturers
in the automotive, aerospace,
and other industries to engage
their small and medium-sized
suppliers in the program.
Expand scope of The National Beginning in early 2006, the
services offered to Institute of Hollings Manufacturing Extension
small manufacturers Standards and Partnership (MEP), administered
through Hollings Technology (NIST) by Commerce's National Institute
Manufacturing and the of Standards and Technology and
Extension International Trade International Trade
Partnership and Administration (ITA) Administration (ITA), began
International Trade both within the collaborating to connect small
Administration Department of manufacturers with trade
service centers Commerce promotion specialists in ITA.
This partnership allows MEP
staff and manufacturing clients
to benefit from the expertise of
staff at ITA export assistance
centers in specific industry
sectors, such as machinery and
microelectronics. The
collaboration helps improve the
competitiveness of the small
manufacturers that MEP serves.
Expand scope of The Department of In 2006, the National Institute
services offered to Commerce's National of Standards and Technology's
small manufacturers Institute of Hollings Manufacturing Extension
through Hollings Standards and Partnership signed a memorandum
Manufacturing Technology (NIST), of understanding with the
Extension the Department of Association of Procurement
Partnership and Defense, and Technical Assistance Centers.
Procurement interested public or Under this agreement, the
Technical Assistance private sector agencies take advantage of
service centers entities. opportunities for complementary
training on Defense Radio
Frequency Identification
requirements and in-depth,
industry-related technical
assistance. In addition, the
service networks provide
training and counseling to
business and industries
concerning how to do business
with the federal government, and
document and share complementary
assistance best practices to
facilitate dissemination of new
manufacturing funding
initiatives, opportunities, and
implementation services
available to manufacturers.
Expand scope of Department of In 2004, the Under Secretary of
services offered to Commerce's National Commerce for Technology and
small manufacturers Institute of Deputy Under-Secretary for
through Hollings Standards and Defense for Advanced Systems and
Manufacturing Technology (NIST) Concepts signed a memorandum of
Extension and the Department understanding to help small
Partnership service of Defense. manufacturers tap into Defense
centers technologies. The two agencies
facilitate the transfer of
Defense-developed technology to
the private sector while
simultaneously enhancing and
improving the productivity of
the manufacturing base that
provides parts and equipment to
Defense. Under the agreement,
Defense makes the expertise of
its technology transfer
partnership intermediaries
available to collaborate with
the Manufacturing Extension
Partnership (MEP) and its
centers in collaboration with
the Defense network of
Procurement Technical Assistance
Centers to educate small
manufacturers about requirements
Defense has established for its
suppliers, such as the use of
radio frequency identification
for parts and equipment. The
collaboration is modeled on the
success of two Defense programs
(TechLink and MilTech) in
helping small manufacturers
respond to Defense needs.
Source: GAO data.
Table 6: Two Interagency Efforts Address the Concerns of Manufacturers,
Regardless of Size
Focus of interagency Description of
effort Participating agencies interagency effort
Promote the Seventeen participating In 2006, Commerce
competitiveness of U.S. federal agencies: the convened the Interagency
manufacturers Departments of Working Group on
Agriculture, Commerce, Manufacturing
Defense, Education, Competitiveness to
Energy, Health and develop new ways to
Human Services, implement its 2003
Homeland Security, Manufacturing Initiative,
Justice, Labor, State, which is designed to help
Transportation, and the improve the
Treasury; and the competitiveness of all
Environmental manufacturers. The
Protection Agency, interagency group
Export-Import Bank, established three project
Small Business teams to focus on key
Administration, Office manufacturing issues:
of Management and improvements to the
Budget, and U.S. Trade analysis of the economic
Representative. impact of federal
regulations, workforce
development, and
strengthening the
transfer of federally
developed technologies to
the private sector.
Coordinate federal Fifteen participating The Interagency Working
manufacturing-related federal agencies: the Group on Manufacturing
research and development Departments of Research and Development
(R&D) efforts Agriculture, Commerce, (R&D) was established as
Defense, Education, part of the National
Energy, Health and Science and Technology
Human Services, Council in 2004 to help
Homeland Security, develop consensus and
Labor, and resolve issues associated
Transportation; and the with manufacturing R&D
Environmental policies, programs, and
Protection Agency, budgets. The group
National Aeronautics identifies and integrates
and Space requirements, conducts
Administration, joint program planning,
National Science and develops joint
Foundation, Office of strategies for the
Management and Budget, manufacturing R&D
Office of Science and programs conducted by the
Technology Policy, and federal government.
Small Business
Administration.
Source: GAO data.
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 [email protected] .
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.
Anu K. Mittal
Director, Natural Resources and Environment
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
Table 7: Department of Agriculture Programs That Offer Services to Small
Businesses Engaged in Manufacturers by Agency, Target Businesses, and
Agency Description of Purpose
Agency, office, Agency description of program
and program Target businesses purpose
Cooperative State Research, Education and Extension Service
Small Business Small businesses, The Small Business Innovation
Innovation regardless of type Research (SBIR) program makes
Research Program 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.
Farm Service Agency
Domestic Food Aid Any business The Domestic Food Aid Procurements
Procurements engaged in are purchases of dairy and processed
manufacturing, commodities for domestic food
regardless of size 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 Any business International Food Aid Procurements
Aid Procurements engaged in are purchases of processed vegetable
manufacturing, oil and other commodities that are
regardless of size 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.
Food Safety and Inspection Service
Small and Very Small businesses The Small and Very Small Plant
Small Plant engaged in Outreach program offers a central
Outreach manufacturing 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.
Foreign Agricultural Service
Facility Any business, Agriculture's Facility Guarantee
Guarantee Program regardless of size Program is designed to expand sales
or type 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.
Market Access Any business, The Market Access Program (MAP) uses
Program regardless of size funds from Agriculture's Commodity
or type 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.
Foreign Market Any business, The Foreign Market Development
Development regardless of size program, also know as the
Program or type "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.
Emerging Markets Any business, The Emerging Markets Program is a
Program regardless of size market access program that provides
or type 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 Any business, Export credit guarantee programs
Guarantee Program regardless of size help provide commercial financing of
or type 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.
Dairy Export Any business, The Dairy Export Incentive Program
Incentive Program regardless of size helps exporters of U.S. dairy
or type 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.
Export Any business, The Export Enhancement Program is
Enhancement regardless of size designed to help U.S. farm products
Program or type 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 Any business, U.S. Exporter Assistance offers
Assistance regardless of size on-line access to Foreign
or type 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.
Supplier Credit Any business, The Supplier Credit Guarantee
Guarantee Program regardless of size Program (SCGP) was designed to make
or type 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.
Office of Small and Disadvantaged Business Utilization
Small Business Any small business, The small business programs
Programs regardless of type 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.
Customer Outreach Any small business, The Customer Outreach Services
Services regardless of type 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.
Rural Development - Business and Cooperative Programs
Renewable Energy Any small business, The Renewable Energy Systems and
Systems and regardless of type Energy Efficiency Improvements
Energy Efficiency Program funds grants, direct loans,
Improvements and loan guarantees to agricultural
Program - Section producers and rural small businesses
9006 program 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.
Rural Business Any business, The purpose of the Rural Business
Opportunity regardless of size Opportunity Grant program is to
Grants or type 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.
Rural Business Any small business, The Rural Business Enterprise Grants
Enterprise Grants regardless of type 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.
Business and Any business, The Business and Industry Guaranteed
Industry regardless of size Loan program helps create jobs and
Guaranteed Loan or type 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 Any business, Value Added Producer Grants may be
Producer Grants regardless of size used for planning activities and for
or type 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.
Intermediary Any small business, The purpose of the Intermediary
Relending Program regardless of type 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.
Rural Economic Any business, The Rural Economic Development Loans
Development Loans regardless of size and Grants program must be used
and Grants or type 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.
Source: GAO data.
Table 8: Services Provided by Department of Agriculture Programs by
Agency, Target Businesses, and Type of Services
Type of service
Technology Technical,
development business,
Agency and Target and/or or Worker
program businesses Financial deployment management Export training
Cooperative State Research, Education and Extension Service
Small Any small
Business business,
Innovation regardless of
Research type X X X
Farm Service
Agency
Domestic Food Any business
Aid engaged in
Procurements manufacturing,
regardless of
size X X X X
International Any business
Food Aid engaged in
Procurements manufacturing,
regardless of
size X X X
Food Safety and Inspection Service
Small and Small
Very Small businesses
Plant engaged in
Outreach manufacturing X X
Foreign Agricultural Service
Facility Any business,
Guarantee regardless of
Program size or type X X
Market Access Any business,
Program regardless of
size or type X X
Foreign Any business,
Market regardless of
Development size or type
Program X X
Emerging Any business,
Markets regardless of
Program size or type X X
Export Credit Any business,
Guarantee regardless of
Program size or type X X
Dairy Export Any business,
Incentive regardless of
Program size or type X
Export Any business,
Enhancement regardless of
Program size or type X
U.S. Exporter Any business,
Assistance regardless of
size or type X
Supplier Any business,
Credit regardless of
Guarantee size or type
Program X X
Office of Small and Disadvantaged Business Utilization
Small Any small
Business business,
Programs regardless of
type X
Customer Any small
Outreach business,
Services regardless of
type X
Rural Development, Business and Cooperative Programs
Renewable Any small
Energy business,
Systems and regardless of
Energy type
Efficiency
Improvements
Program -
Section 9006
program X
Rural Any business,
Business regardless of
Opportunity size or type
Grants X X X
Rural Any small
Business business,
Enterprise regardless of
Grants type X X X
Business and Any business,
Industry regardless of
Guaranteed size or type
Loan X
Value Added Any business,
Producer regardless of
Grants size or type X
Intermediary Any small
Relending business,
Program regardless of
type X
Rural Any business,
Economic regardless of
Development size or type
Loans and
Grants X X
Renewable Any small
Energy business,
Systems and regardless of
Energy type
Efficiency
Improvements
Program -
Section 9006
program X
Source: GAO data.
X
X
X
Any small business, regardless of type
X
Appendix III: Department of Commerce - Programs that Offer Services to
Small Manufacturers and Types of Services
Table 9: Department of Commerce Programs That Offer Services to Small
Businesses Engaged in Manufacturers by Agency, Target Businesses, and
Agency Description of Purpose
Agency, office, and Agency description of program
program Target businesses purpose
Bureau of Industry and Security
Office of Exporter Any business, The Office of Exporter Services
Services Table 29: regardless of size is responsible for counseling
Department of or type Agency, exporters of all sizes,
Veterans Affairs office, and program conducting export control
Programs That Offer Agency, office, and seminars and drafting and
Services to Small program publishing changes to the Export
Businesses Engaged Administration Regulations. It
in Manufacturing by is also responsible for
Agency, Target compliance actions related to
Businesses, and the Special Comprehensive
Agency Description Licenses and the development of
of Purpose export management systems. In
addition, the office processes
license applications and
commodity classifications.
Target businesses Target
businesses
Export Control Any business, A series of increasingly
Seminar Program regardless of size detailed seminars led by Bureau
or type Office of of Industry and Security's
Small and professional counseling staff to
Disadvantaged provide an in-depth examination
Business Utilization of the Export Administration
Regulations and to inform
exporters how to comply with
U.S. export control requirements
on commercial goods.
Business and Any business, A web site to help make small
Technology regardless of size and medium-sized businesses
Enhancement or type The Office aware of the wide range of
Opportunities and of Small and federal resources available to
Partner Links Any Disadvantaged bolster their competitiveness in
small business, Business Utilization world markets. The Bureau of
regardless of type at Veterans Affairs Industry and Security and
advocates to partner agencies offer a variety
maximize of innovative programs to assist
participation of such firms. The web site
small, small provides a brief description and
disadvantaged, links to various programs, many
veteran-owned, of which are defense-related.
women-owned, and
empowerment zone
businesses in
contracts awarded by
Veterans Affairs and
in subcontracts
which are awarded by
Veterans Affairs'
prime contractors.
Defense Trade Any business, The Defense Advocacy Program
Advocacy Program Any regardless of size helps companies succeed in
small business, or type The today's highly competitive
regardless of type Historically global defense market. They
Underutilized assist U.S. companies of all
Business Zones sizes. Trade and industry
Program provides analysts: 1) support U.S.
federal contracting defense companies' products and
assistance for services in international
qualified small procurement competitions, 2)
businesses in identify and disseminate
historically information on export market
underutilized opportunities, 3) provide market
business zones to: intelligence and business
increase employment counseling, and 4) generate
opportunities, high-level,
stimulate capital government-to-government
investment in those advocacy on behalf of U.S. firms
areas, and help competing for international
communities leverage defense projects.
and reinvest their
wages and taxes
within the
community.
Defense Priorities Any business, The purpose of the Defense
and Allocations regardless of size Priorities and Allocations
System Program Any or type The System Program is to (1) assure
small business, Women-Owned Small the timely availability of
regardless of type Business Program industrial resources to meet
directs acquisition current national defense and
officials to emergency preparedness program
facilitate, requirements; and (2) provide an
preserve, and operating system to support
strengthen women's rapid industrial response in a
business enterprises national emergency.
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.
Defense Industrial Any business, The Bureau of Industry and
Capability and regardless of size Security conducts industry
Technology or type The Small analyses to assess the
Assessments Any Business Program capability of the U.S.
small business, implements the industrial base to support
regardless of type requirements to aid, national defense. The Office of
counsel, assist, and Technology Evaluation, an office
protect the within the Bureau, uses
interests of small industry-specific surveys to
businesses to ensure provide essential employment,
that they account financial, production, research
for a fair and development, and other data
proportion of - information unavailable from
Veterans Affairs' any other source. The final
total purchases, reports provide findings and
contracts, and recommendations for government
subcontracts for policy-makers and industry
property and leaders. These studies are
services. 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.
Office of National Any business, The Office of National Security
Security and regardless of size and Technology Transfer Controls
Technology Transfer or type The Small (NSTTC) and the Office of
Controls and Office Business Act Section Nonproliferation and Treaty
of Nonproliferation 8(a) Business Compliance (NPTC) are
and Treaty Development Program responsible for issues related
Compliance Any small was created to help to export and reexport controls.
business, regardless small disadvantaged They implement the Export
of type businesses compete Administration Regulations to
in the American control the spread of
economy through commodities, technologies, and
business development software that have both civilian
and access to the and defense uses. The offices
federal procurement are responsible for policy
market. 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.
Economic Development Administration Any small business, regardless of type
Trade Adjustment Any business engaged The Trade Adjustment Assistance
Assistance for Firms in manufacturing, (TAA) for Firms program is a
regardless of size matching funds program designed
Veteran-Owned and for manufacturers battling
Operated Small import competition. A firm may
Business Program 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. Any
small business, regardless of
type
International Trade Administration
Petition Counseling Any business, The Petition Counseling and
and Analysis Unit regardless of size Analysis Unit helps U.S.
Any small business, or type Under the Businesses understand U.S.
regardless of type authority granted in unfair trade laws dealing with
section 308 of the dumping and unfair foreign
Veterans Benefits government subsidies, and the
Act of 2003, Pub. L. process of filing a petition
108-183, Stat. 2651, requesting the initiation of an
2662 (Dec. 16, 2003) investigation. It provides
Veterans Affairs is guidance to potential
authorized to set petitioners to assist them in
aside contracts determining what types of
and/or award sole information will be required in
source contracts for order to pursue action against
service-disabled an industry suspected of unfair
veterans. Veterans trade practices. The PCAU also
Affairs' goal for assists potential petitioners in
participation in ensuring their petition is in
procurement by compliance with statutory
service-disabled initiation standards and
veterans is 3 provides small businesses with
percent. Beginning publicly available tariff and
in 2007, it will trade data from the Departments
place a greater of Commerce and Treasury, and
emphasis on such the U.S. International Trade
businesses. Commission.
Subsidies Any business, The primary mission of the
Enforcement Any regardless of size Subsidies Enforcement Office
small business, or type Veterans (SEO) is to assist the private
regardless of type Affairs' sector by monitoring foreign
subcontracting subsidies and identifying
program promotes the subsidies that can be remedied
involvement of small under the Subsidies Agreement of
businesses at the the World Trade Organization of
subcontract level. which the United States is a
Recognizing that member. As part of its
small firms often do monitoring efforts, the SEO has
not have the created a Subsidies Library,
capability to which is available to the public
perform as a prime via the internet. The goal is to
contractor on create an easily accessible
certain large one-stop shop that provides
contracts, Veterans user-friendly information on
Affairs requires foreign government subsidy
that any contractor practices.
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.
Trade Remedy Any business, The Trade Remedy Compliance
Compliance Any small regardless of size Staff provides assistance to
business, regardless or type The Center U.S. businesses which feel that
of type for Veterans their trade problems may stem
Enterprise is a Web from unfair trade practices or
site that assists the improper application of
veterans in starting foreign unfair trade laws.
and building
businesses. The Web
site serves as the
federal government's
portal for
veteran-owned
businesses known as
VETBIZ.gov.
Textiles and Apparel Any business engaged The Deputy Assistant Secretary
in manufacturing, (DAS) for Textiles and Apparel
regardless of size oversees programs and strategies
Table 30: Services to improve the domestic and
Provided by international competitiveness of
Department of the U.S. fiber, textile, and
Veterans Affairs apparel industries, as well as
Programs by Agency, industries which manufacture a
Target Businesses, wide range of consumer products.
and Type of Services 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.
Export Certificate Any business, Through the Export Trade
of Review Program regardless of size Certificate of Review Program,
or type Type of Commerce helps promote the
service Type of development of Joint Ventures
service 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.
Safe Harbor Any business, In order to provide a
Certification Target regardless of size streamlined means for U.S.
businesses Target or type organizations to comply with the
businesses 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. Financial
Financial
Export Yellow Pages Any business, The Export Yellow Pages on-line
Technical, business, regardless of size or print directory helps
or management or type Export businesses locate export or
Technical, business, Export trading partners, export trading
or management companies, export management
companies and export
intermediaries. More than 27,000
firms currently advertise in the
Yellow Pages Worker training
Worker training
Market Development Any small business, Market Development Cooperator
Cooperator Program regardless of type Program (MDCP) awards entail
Office of Small and financial and technical
Disadvantaged assistance from the
Business Utilization 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. Office of Small and
Disadvantaged Business
Utilization
Strategy Targeting Any business, The Market Access and
Organized Piracy regardless of size Compliance's Office of
or type 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.
Commercial Services Any business, The U.S. Commercial Service
regardless of size promotes and protects U.S.
or type X 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.
The Advocacy Center Any business, Since its creation in 1993, the
Any small business, regardless of size Advocacy Center has helped
regardless of type or type 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.
Foreign Trade Zones Any business, Manufacturing in a Foreign Trade
Board X regardless of size Zone (FTZ) may offer cost
or type 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.
Minority Business Development Agency Women-Owned Small Business Program
Minority Business Any business, The Minority Business
Internet Portal regardless of size Development Agency's new
or type 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.
Minority Business Any business, According to Commerce, the
Development Centers, regardless of size Minority Business Development
Native American or type Agency (MBDA) is the only
Business Development federal agency created
Centers, Business specifically to foster the
Resource Centers 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.
Minority Business Any business, The Minority Business
Opportunity Centers regardless of size Opportunity Centers (MBOC) are
Any small business, or type designed to coordinate federal,
regardless of type state and local business
resources to benefit minority
business development. They
identify business and economic
opportunities in the community
and leverage those opportunities
to meet the needs of minority
business enterprises. The MBOC's
help broker contract
opportunities and financial
transactions for minority owned
businesses
National Institute of Standards and Technology X
Advanced Technology Any business, Although funding for new
Program regardless of size projects was discontinued in
or type 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.
Section 8(a) Business
Development Program
Calibration services Any business, The calibration services of the
regardless of size National Institute of Standards
or type 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.
Manufacturing Any business, The Manufacturing Engineering
Engineering regardless of size Laboratory works to satisfy the
Laboratory or type 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.
Hollings Any business engaged The Hollings Manufacturing
Manufacturing in manufacturing, Extension Partnership (MEP) is a
Extension regardless of size nationwide network of
Partnership Any not-for-profit centers in nearly
small business, 350 locations, whose purpose is
regardless of type 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.
X
Veteran-Owned and Operated Small Business Program
National Institute of Standards and Technology - Information Technology
Laboratory
Small Business Any small business, According to the National
Computer Security regardless of type X Institute of Standards and
Workshops 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.
National Oceanic and Atmospheric Administration
Fisheries Finance Any business, The Fisheries Finance Program
Program Any small regardless of size provides long-term financing for
business, regardless or type the cost of construction or
of type 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.
National Telecommunications and Information Administration X
Technology Transfer Any business, The Institute for
regardless of size Telecommunication Sciences (ITS)
or type 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.
Subcontracting Program
Office of the
Secretary
Small Business Any small business, The Small Business Innovation
Innovation Research regardless of type Research Program (SBIR) is
Program 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.
Commerce's Any small business, The Commerce's Information
Information regardless of type Technology Solutions Next
Technology Solutions Generation (COMMITS NexGen)
Next Generation Any levels the "playing field" as a
small business, small business Government-Wide
regardless of type 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.
Office of Business Any business, The Office of Business Liaison
Liaison X regardless of size serves as the primary point for
or type X 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.
Prime Contractor Any small business, Commerce's `Prime Contractor
Directory Source: regardless of type Directory' is prepared to assist
GAO data. 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.
Subcontracting Any small business, The subcontracting program
Program Table 31: regardless of type creates many opportunities for
Environmental Agency, office, and small, small disadvantaged,
Protection Agency program Agency, HUBZone, veteran-owned, service
Programs That Offer office, and program disabled veteran-owned small
Services to Small Agency, office, and firms, and women-owned small
Businesses Engaged program businesses. Commerce requires
in Manufacturing by contractors to establish
Agency, Target aggressive goals for
Businesses, and subcontracting with small
Agency Description businesses. The Office of Small
of Purpose and Disadvantaged Business
Utilization monitors the
progress of prime contractors in
meeting the goals in their
subcontracting plans. Target
businesses Target businesses
Target businesses
Office of Small and Any small business, Office of Small and
Disadvantaged regardless of type Disadvantaged Business
Business Utilization Office of Utilization is an advocacy and
Acquisition advisory office responsible for
Management 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.
Technology Administration Any small business, regardless of type
National Technical Any business, The mission of the National
Information Service regardless of size Technical Information Service
or type Office of (NTIS) is to promote progress by
Enforcement and serving as the federal
Compliance Assurance government's central means of
making technical information
perpetually and widely
available. In performing its
mission, NTIS contributes
directly and substantially to
the larger mission of Commerce
which, according to Commerce's
Strategic Plan for Fiscal Years
2004-2009, is to create the
conditions for economic growth
and opportunity by promoting
innovation, entrepreneurship,
competitiveness, and
stewardship. Through NTIS, the
nation's research and scientific
community receives the fruits of
research that can be used to
create new or improved products
and services that enhance the
nation's competitiveness.
Source: GAO data. Any business, regardless of size or type
Table 10: Services Provided by Department of Commerce Programs by Agency,
Target Businesses, and Type of Services 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.
Type of service
Technology
development Technical,
Agency and Target and/or business, or
program businesses Financial deployment management Export Worker training
Bureau of Industry and Security Any business, regardless of size or type
Office of Any business, Through the
Exporter Services regardless of Federal Technology
size or type 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
X Federal X Any Technology
Office of Technology business, Transfer Act of
Research and Transfer Act regardless of 1986 and preceding
Development program size or type legislation.
Business and Any business, The goal of the The Superfund
Technology regardless of Environmental Innovative
Enhancement size or type Any Technology Technology
Opportunities and business, Verification Evaluation
Partner Links regardless of (ETV) program, a (SITE) program
Environmental size or type public-private was
Technology partnership, is established to
Verification to provide address the
program credible need for an
performance data alternative or
for innovative
commercial-ready hazardous
environmental waste
technologies to treatment
speed their technology
implementation research and
for the benefit demonstration
of vendors, program. The
purchasers, SITE
permitters, and Demonstration
the public. The Program
ETV program encourages the
develops testing development
protocols and and
verifies the implementation
performance of of innovative
innovative treatment
technologies technologies
with the for hazardous
potential to Superfund waste site
improve Innovative X Any remediation
protection of Technology business, and monitoring
human health and Evaluation regardless of and
the environment. program size or type measurement.
Export Control Any business,
Seminar Program regardless of
Any small size or type The
business, Environmental
regardless of Protection
type 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 The purpose of the
technology-based Office of Small
firms. Through a and Disadvantaged
phased approach Business
to SBIR funding, Utilization
EPA can (OSDBU) is to
determine stimulate and
whether the improve the
research idea, involvement of
often on small businesses
high-risk and socially and
advanced economically
concepts, is disadvantaged
technically small businesses
feasible, in the overall EPA
whether the firm procurement
can do process. OSDBU
high-quality monitors and
research, and evaluates EPA's
whether performance in
sufficient achieving the
progress has Agency's
been made to contracting and
justify a larger subcontracting
Phase II effort. goals, and
Phase II recommends the
contracts are assignment of the
limited to small Small Business
businesses that Representatives
have from the Small
successfully Business
completed their Administration
Phase I (SBA), who carries
contracts. The out SBA's
objective of Office of X Office of procurement
Phase II is to Small and Small and X Any small oversight duties
commercialize Disadvantaged Disadvantaged business, pursuant to
the Phase I Business Business regardless of applicable laws
technology. Utilization Utilization type and mandates.
Defense Trade Any business, The purpose of X The Clean
Advocacy Program regardless of the Small Air Act
Small Business size or type Any Business Amendments of
Ombudsman small business, Ombudsman is to 1990, Pub. L.
regardless of serve as a No. 101-549,
type conduit for 104 Stat. 2399
small business (Nov. 15,
to access 1990),
Environmental required that
Protection all states
Agency and develop a
facilitates program to
communications assist small
between the businesses in
small business meeting the
community and requirements
the agency. The of the Act.
office reviews Such
and resolves assistance
disputes between includes, but
small businesses is not
and the necessarily
Environmental limited to,
Protection adequate
Agency and works mechanisms to
with assist small
Environmental businesses
Protection with
Agency personnel compliance
to increase assistance,
their pollution
understanding of prevention and
small businesses accidental
in the release
development and detection and
enforcement of prevention,
environmental permit
regulations. 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
Small Business Any small state, the
Environmental business, structure of
Assistance regardless of each program
Programs type may vary.
Defense Any business, X WasteWise is
Priorities and regardless of a free,
Allocations size or type voluntary
System Program 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
Any business, governments,
Waste Wise regardless of may also
program size or type participate. Source: GAO data.
Defense Any business,
Industrial regardless of
Capability and size or type
Technology
Assessments Table
32: Services
Provided by
Environmental
Protection Agency
Programs by
Agency, Target
Businesses, and Type of Agency and
Type of Services service X program Target businesses
Office of Any business, Technical,
National Security regardless of business, or
and Technology size or type management
Transfer Controls Technology
and Office of development
Nonproliferation and/or
and Treaty deployment X Office of
Compliance Worker Acquisition
Financial Export training X Management
Economic Development Administration Any small business, regardless of type
Trade Adjustment Any business X
Assistance for engaged in Office of
Firms manufacturing, Policy,
regardless of Economics, and
size X Innovation X
International Trade Administration Any business, regardless of size or type
Petition Any business, X Sector Any business,
Counseling and regardless of Strategies regardless of size
Analysis Unit size or type X Program or type
Subsidies Any business, X Office of
Enforcement regardless of Pollution
size or type Prevention and
X Toxics
Trade Remedy Any business,
Compliance Any regardless of
business, size or type
regardless of
size or type X X
Textiles and Any business Any business,
Apparel engaged in regardless of
manufacturing, size or type
regardless of
size Federal
Technology
Transfer Act
program X X X X
Export Any business, Any business,
Certificate of regardless of regardless of
Review Program size or type size or type
Environmental
Technology
Verification
program X X X X
Safe Harbor Any business, Any business,
Certification regardless of regardless of
size or type size or type
Superfund
Innovative
Technology
Evaluation
program X X X X
Export Yellow Any business, Any small
Pages regardless of business,
size or type regardless of
Small Business type
Innovation
Research Program X X X X
Market Any small
Development business,
Cooperator regardless of
Program type Office of X Office of
Small and Small and X Any small
Disadvantaged Disadvantaged business,
Business Business regardless of
Utilization Utilization type X X X
Trade Compliance Any business, Any small
Center regardless of business,
size or type Small Business regardless of
Ombudsman type X
Commercial Any business, Small Business Any small
Services regardless of Environmental business,
size or type Assistance regardless of
Programs type X X
The Advocacy Any business,
Center regardless of Office of
size or type Solid Waste X X
Foreign Trade Any business, Any business,
Zones Board regardless of Waste Wise regardless of
size or type program size or type X
Minority Business Development Agency
Minority Business Any business, Appendix XV:
Internet Portal regardless of Export-Import
size or type Bank -
Source: GAO Programs that X Table 33:
data. Offer Services Export-Import
to Small Bank Programs
Manufacturers That Offer
and Types of Services to
Services Small
Appendix XV: Businesses
Export-Import Engaged in
Bank - Manufacturing
Programs that by Agency,
Offer Services Target
to Small Businesses,
Manufacturers and Agency Agency,
and Types of Description of office, and
Services Purpose program Target businesses
Minority Business Any business, The Export-Import
Development regardless of Bank of the United
Centers, Native size or type States (Ex-Im
American Business Export Finance Bank) is the
Development official export
Centers, Business credit agency of
Resource Centers the United States.
Ex-Im Bank's
mission is to
assist in
financing the
export of U.S.
goods and services
to international
markets. Ex-Im
Bank estimates
that about 85
percent of its
transactions
support small
businesses. Small
businesses can
access all Ex-Im
Bank products,
including
specialized small
business financing
tools such as
X Any small working capital
X Small business, guarantees and
Business regardless of export credit
Initiative type insurance.
Minority Business Any business, Table 34:
Opportunity regardless of Services
Centers Source: size or type Provided by
GAO data. Export-Import
Bank Programs by
Agency, Target
Businesses, and Type of
Type of Services X service
Target businesses
National Institute of Standards and Technology Financial
Advanced Any business, Worker training
Technology regardless of
Program size or type
Technical, Export Any small
business, or X Export Small Business business,
management X Finance Initiative regardless of type
Calibration Any business,
services X regardless of Source: GAO
size or type X X data.
Manufacturing Any business, Agency, office,
Engineering regardless of and program
Laboratory size or type Agency, office,
Appendix XVI: Table 35: and program
National National
Aeronautics and Aeronautics and
Space Space
Administration - Administration
Programs that Programs That
Offer Services to Offer Services
Small to Small
Manufacturers and Businesses
Types of Services Engaged in
Appendix XVI: Manufacturing by
National Agency, Target
Aeronautics and Businesses, and
Space Agency X Agency
Administration - Description of description of
Programs that Purpose program
Offer Services to X Target purpose Agency
Small businesses description of
Manufacturers and Target program Goddard Space
Types of Services businesses purpose X Flight Center
Hollings Any business X Regional
Manufacturing engaged in Technology
Extension manufacturing, Transfer Centers
Partnership Any regardless of expedite
business, size The Goddard technology
regardless of Space Flight transfer and spur
size or type Center and the economic
Jet Propulsion development. The
Laboratory, both program divides
within the the nation into
National six regions and
Aeronautics and relies on a
Space network within
Administration, each region to
are the training provide direct and
centers for timely services to
technical companies and
training courses other institutions
in the nationwide. The
fabrication, cooperative
assembly and agreements
inspection of covering these
flight and Centers expired at
ground support the end of 2006.
equipment. Services will be
X Regional X Any offered through an
Innovative Technology business, outside contractor
Partnerships Transfer regardless of beginning in March
Program Office X Centers size or type 2007.
National Institute of Standards and Technology - Information Technology Laboratory Innovative Partnerships Program
Small Business Any small Office of X The
Computer Security business, Technology Innovative
Workshops The regardless of Transfer Partnerships
Innovative type Program
Partnerships includes the
Program fosters Office of
technology Technology
partnerships, Transfer,
commercialization which has a
and innovation in mission to (1)
support of the facilitate the
agency's overall transfer of
mission and technology
national developed by
priorities. 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
Any business, government's Any business,
regardless of rights in its regardless of size
size or type inventions. X Tech Briefs or type
National Oceanic and Atmospheric Administration
Fisheries Finance Any business,
Program Any regardless of
business, size or type The
regardless of Enterprise
size or type Engine program The Small
created a Business
venture capital Innovation
fund to provide Research
the National (SBIR) program
Aeronautics and funds research
Space by small
Administration businesses to
with earlier and meet many of
broader exposure the agency's
to emerging research and
technologies and development
to leverage requirements.
external venture The SBIR
capital to program was
develop products established in
likely to 1982 to
support the provide small
agency's businesses
mission. X Small with increased
Effective fiscal Business Any small federal
year 2007 the Innovation business, research and Small Business
program was Research regardless of development Technology
terminated. Program type opportunities. Transfer Program
National Telecommunications and Information Administration 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.
Technology Any business,
Transfer regardless of Office of
size or type X Procurement
Office of the Secretary
Small Business Any small
Innovation business,
Research Program regardless of
Any business, type The NASA
regardless of Acquisition
size or type 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 The Mentor Protege
acquisitions of Program is
interest. NAIS designed to
is a feeder provide incentive
system for to the agency's
Federal E-Gov major prime
Systems like the contractors to
Federal Business assist small
Opportunities. disadvantaged
NAIS provides business concerns,
industry links Historically Black
to reference Colleges and
such information Universities),
as regulations, minority
provisions, institutions, and
handbooks and women-owned small
guidance. NAIS businesses in
also provides expanding their
industry with a technical
center location capabilities into
to find each high technology
NASA field Any small areas where such
Center's X Office of business, firms are
procurement home Small Business Mentor Protege regardless of currently
page. Programs X Program type under-represented.
Commerce's Any small The Office of
Information business, Small Business
Technology regardless of Programs is
Solutions Next type Any small responsible for
Generation Small business, integrating all
Business Programs regardless of categories of
type 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 Any business,
purchase goods Office of the regardless of size
and services. Administrator X TechFinder or type
Office of Any business, Table 36:
Business Liaison regardless of Services
size or type Provided by
Source: GAO National
data. Aeronautics
and Space
Administration
Programs by
Agency, Target
Businesses,
and Type of Type of service
Services X X Type of service
Prime Contractor Any small Technology
Directory Agency business, development
and program regardless of and/or X Technical,
Agency and type Target deployment business, or
program businesses Technology management
Target development Technical,
businesses Financial and/or business, or Worker training
Financial deployment management Export Export Worker training
Subcontracting Any small Manufacturing
Program Goddard business, Technology Any business,
Space Flight regardless of Transfer Centers regardless of
Center type size or type X X X
Office of Small Any small Innovative Regional X Any
and Disadvantaged business, Partnerships Technology business,
Business regardless of Program Office Transfer regardless of
Utilization X type X Centers size or type X
Technology Administration X
National Any business, Innovative
Technical regardless of Partnerships Any business,
Information size or type Program regardless of
Service size or type X X X X X
Source: GAO data.
Appendix IV: Department of Defense - Programs that Offer Services to Small
Manufacturers and Types of Services
Table 11: Department of Defense Programs That Offer Services to Small
Businesses Engaged in Manufacturing by Agency, Target Businesses, and
Agency Description of Purpose
Agency, office, and Target Agency description of program
program businesses purpose
Department of the Air Force
Technology Insertion, Small businesses The Technology Insertion,
Demonstration, and engaged in Demonstration, and Evaluation
Evaluation Program Tech manufacturing (TIDE) program was founded to
Briefs Any business, encourage and assist small
regardless of manufacturers in the adoption of
size or type 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.
Department of the Air Force - Air Force Outreach Program Office X
Manufacturing Technical Small businesses The purpose of the Air Force
Assistance Production engaged in Manufacturing Technical
Program manufacturing 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.
Department of the Air Force - Manufacturing Technology Division Any
business, regardless of size or type
Industrial Base Any business, The Industrial Base Information
Information Center regardless of Center (IBIC) provides timely
size or type X 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.
Department of the Air Force - Technology Transfer Branch
Technology Transfer Any business, The Air Force Technology Transfer
Program Small Business regardless of Program assures that Air Force
Innovation Research size or type Any Science and science and
Program small business, engineering activities promote
regardless of the transfer and/or exchange of
type 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.
X
X
Department of the Army - Joint Munitions Command Any small business,
regardless of type
Armament Retooling and Any business, The Armament Retooling and
Manufacturing Support regardless of Manufacturing Support (ARMS)
Program X size or type X 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. X
Department of the Navy - Best Manufacturing Practices Center of Excellence
X
Best Manufacturing Any business The Best Manufacturing Practices
Practices Program engaged in (BMP) program operates out of the
Office of Procurement manufacturing, Best Manufacturing Practices
regardless of Center of Excellence (BMPCOE), a
size 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. NASA
Acquisition Internet Service
Department of the Navy - Space and Naval Warfare Systems Center Charleston
Defense Small Business Small businesses The Defense Small Business
Technology and engaged in Technology and Readiness
Readiness Resources manufacturing X 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.
Office of Small Business Programs
Office of the Secretary of Defense Mentor Protege Program
Next Generation Any business The purpose of the Next
Manufacturing engaged in Generation Manufacturing
Technology Initiative manufacturing, Technology Initiative (NGMTI) is
regardless of to accelerate the development and
size 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 Any business, TechMatch web-based portal
regardless of designed to provide industry and
size or type 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.
Technology Transition Any business, Congress established the
Initiative Any small regardless of Technology Transition Initiative
business, regardless of size or type (TTI) in the Bob Stump National
type 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.
Manufacturing Any business The Defense Manufacturing
Technology Program X engaged in Technology (ManTech) Program
manufacturing, focuses on the needs of weapon
regardless of system programs for affordable,
size 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.
Defense Industry Any business, The purpose of the Defense
Adjustment Office of regardless of Industry Adjustment program is to
the Administrator size or type 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.
TechFinder
TechLink Any business, The TechLink Center was
regardless of established in 1996 at Montana
size or type 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.
X
MilTech Small businesses MilTech leverages TechLink's
engaged in technology transfer activities
manufacturing 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.
Defense Technical Any business, The Defense Technical Information
Information Center regardless of Center (DTIC) is an online source
size or type 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. Appendix XVII:
National Science Foundation -
Programs that Offer Services to
Small Manufacturers and Types of
Services Appendix XVII: National
Science Foundation - Programs
that Offer Services to Small
Manufacturers and Types of
Services
Value Engineering Any business, The objective of the Defense
Agency, office, and regardless of Value Engineering program is to
program Agency, office, size or type identify improvements in defense
and program Target systems that can reduce costs and
businesses increase performance. Defense
Target seeks to promote contractor
businesses 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. Agency description of
program purpose Agency
description of program purpose
Office of the Secretary of Defense - Defense Logistics Agency Division of
Engineering Education and Centers
Procurement Gateway Any business, The Procurement Gateway is an
Engineering Research regardless of integrated online collection of
Centers size or type Any automated systems providing
business, oversight for the management of
regardless of procurement data. The Procurement
size or type Gateway allows prospective
government contractors to perform
comprehensive and detailed
searches against Request for
Quotation and Award documents.
Engineering Research Centers
(ERC) focus on the definition,
fundamental understanding,
development, and validation of
the technologies needed to
realize a well-defined class of
engineered systems with the
potential to spawn whole new
industries or radically transform
the product lines, processing
technologies, or service delivery
methodologies of current
industries. ERC faculty, students
and industry partners integrate
discovery and learning in an
interdisciplinary environment
that reflects the complexities
and realities of real-world
technology. ERC innovations in
research and education are
expected to impact curricula at
all levels from pre-college to
life-long learning and to be
disseminated to and beyond
academic and industry partners.
This partnership speeds the
transfer of knowledge and
technology to industry.
Business Counseling Any business, The goal of the Business
Center Division of regardless of Counseling Center (BCC) is to
Industrial Innovation size or type assist vendors in their search
and Partnerships 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. Small
Business Technology Transfer
Program
Aging Systems Any business, The Aging Systems Sustainment and
Sustainment and regardless of Enabling Technologies (ASSET)
Enabling Technologies size or type program is a National Reinvention
The primary objective Laboratory initiated in 1994 by
of the National Science Oklahoma State University to
Foundation's Small address Defense procurement
Business Innovation problems. ASSET is a
Research/Small Business government-academic-business
Technology Transfer partnership. Technology
Program (STTR) development, insertion activities
increases the and virtual manufacturing
incentives and capabilities developed by ASSET
opportunities for small partners have resulted in grouped
firms to undertake parts databases, parts-demand
cutting-edge, high forecasting models,
risk, high quality parts-on-demand manufacturing,
scientific engineering, new materials technologies for
or science and ceramic bearings, new processes
engineering education to reduce corrosion of aging
research with the systems, and new training
potential for a high materials. The technologies and
economic payoff. The processes developed in the ASSET
STTR program further program increase the Defense
expands the supply base, reduce the time and
public/private cost associated with parts
partnership to include procurement, and enhance military
joint venture readiness. Small Business
opportunities for small Innovation Research Program
businesses and
non-profit research
institutions.
Procurement Technical Any small The Procurement Technical
Assistance Program The business, Assistance Program provides
Small Business regardless of Procurement Technical Assistance
Innovation Research type Centers (PTACs) with Defense
(SBIR) Program was support so that they may provide
established to specialized and professional
stimulate technological assistance to individuals and
innovation, utilize businesses seeking to learn about
small business to meet contracting and subcontracting
federal research and opportunities, actively seeking
development needs, and contracting and subcontracting
increase private sector opportunities, and/or performing
commercialization. SBIR under contracts and subcontracts
is a highly competitive with Defense, other federal
program that encourages agencies, or state and local
small business to governments. This specialized and
explore their professional assistance may
technological potential consist of but is not limited to
and provides the outreach and counseling type
incentive to profit services to promote understanding
from its of federal, state, and local
commercialization. By government requirements
including qualified applicable to contracting for
small businesses in the services, manufacturing, or other
nation's research and markets, and assistance in
development arena, pursuing and securing
high-tech innovation is subcontracting opportunities.
stimulated and the PTACs are to make a concerted
United States gains effort to seek out and assist
entrepreneurial spirit Small Businesses, Small
as it meets its Disadvantaged Businesses,
specific research and Women-Owned Small Businesses,
development needs. In Historically Underutilized
response to Executive Business Zone Small Business
Order 13,329 Concerns, Service-disabled
encouraging innovation Veteran-owned Small Businesses,
in Manufacturing, the and Historically Black Colleges
SBIR program has and Minority Institutions.
incorporated
manufacturing as a key
part of its Advanced
Materials, Chemical
Technology and
Manufacturing
Innovation topic.
Office of the Secretary of Defense - Office of Small Business Programs
Small Business Any small The Defense Small Business
Innovation Research business, Innovation Research program is
Program regardless of made up of 12 participating
type 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.
Small Business Any small The Defense Small Business
Technology Transfer business, Technology Transfer (STTR)
Program regardless of program is made up of 6
type 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.
Mentor-Protege Program Any small The Mentor-Protege program
Division of Industrial business, assists certain small businesses
Innovation and regardless of (Proteges) to successfully
Partnerships type compete for prime contract and
subcontract awards by partnering
with large companies (Mentors)
under individual, project-based
agreements. Mentors and Proteges
are solely responsible for
finding their counterpart. Many
mentors have made the program an
integral part of their sourcing
plans; while the proteges 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.
Industry-University Cooperative
Research Centers Program
Women-Owned Small Any small The Defense Women-Owned Small
Business Program The business, Business (WOSB) program
Industry/University regardless of highlights the agency's efforts
Cooperative Research type to achieve the 5 percent goal for
Centers (I/URC) Program prime and subcontract awards to
develops long-term small business concerns owned and
partnerships among controlled by women. The program
industry, academic objectives are to facilitate,
institutions, and preserve, and strengthen full
government for participation for WOSB concerns
technology development, in the Defense acquisition
but not deployment. The programs for goods and services
centers are catalyzed and, through programs and
by a small investment activities. It supports the
from National Science growth of WOSB concerns through
Foundation (NSF) and outreach, training, and technical
are primarily supported assistance. All Defense
by industry center subcontracting plans are required
members, with NSF to have a separate goal for
taking a supporting awards to WOSBs. Source: GAO
role in their data.
development and
evolution. Each center
is established to
conduct research that
is of interest to both
the industry and the
center. The
partnerships feature
high-quality,
industrially relevant
fundamental research,
strong industrial
support of and
collaboration in
research, and direct
transfer of university
developed ideas,
research results, and
technology to U.S.
industry to improve its
competitive posture in
world markets. All the
companies will be
eligible to become a
member of the Centers
starting in the fall of
2007. NSF can partially
subsidize membership
for Small Business
Innovation Research
awardee firms.
Regional Councils for Any small The Defense Regional Councils for
Small Business business, Small Business Education and
Education and Advocacy regardless of Advocacy are a nationwide network
Table 38: Services type of small business specialists
Provided by National organized to promote the national
Science Foundation small business programs of the
Programs by Agency, United States. There are eight
Target Businesses, and Regional Councils sponsored by
Type of Services 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.
Service Disabled Any small Defense conducts outreach to
Veteran-Owned Small business, identify small business concerns
Business Program Type regardless of that are owned and controlled by
of service type 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.
Agency and program
Indian Incentive Any business, The Indian Incentive Program is a
Program regardless of congressionally authorized
size or type program that provides a rebate to
Financial 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.
Technology development and/or
deployment
HUBZone Empowerment Any small The purpose of the Historically
Contracting Program business, Underutilized Business Zone
Export regardless of Empowerment Contracting Program
type Worker is to stimulate economic
training 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.
Office of Small Any small The mission of the Office of
Business Programs business, Small Business Programs is to (1)
regardless of advise the Secretary of Defense
type Engineering on all matters related to small
Research Centers 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. Any
business, regardless of size or
type
Office of the Secretary of Defense - Office of Technology Transition
Defense Production Act Any business, Title III of the Defense
Title III Program regardless of Production Act of 1950, ch. 932,
size or type 64 Stat. 798 (Sept. 8, 1950),
authorizes the federal government
to provide appropriate incentives
to develop, maintain, modernize,
and expand the productive
capacities of domestic sources
for critical components, critical
technology items, and industrial
resources essential for the
execution of the national
security strategy of the United
States. The purposes of a Title
III project is to create a
commercially viable domestic
industrial capability for
affordable, high quality, high
performance products that are
essential to national defense.
Additionally, sources
incentivized under Title III are
intended to be competitive in the
global market and remain a
reliable supplier for Defense and
its industry partners. X
Source: GAO data. Division of Industrial Innovation and Partnerships
Table 12: Services Provided by Department of Defense Programs by Agency,
Target Businesses, and Type of Services Small Business Technology Transfer
Program
Type of service
Technology Technical,
Agency and Target development and/or business, or
program businesses Financial deployment management Export Worker training
Department of the Air Force
Technology Small
Insertion, businesses
Demonstration, engaged in
and Evaluation manufacturing Industry-University
Program Industrial Cooperative Any business,
Innovation and Research Centers regardless of size
Partnerships Program or type X X
Department of the Air Force - Air Force Outreach Program Office
Manufacturing Small X Appendix XVIII:
Technical businesses Small Business
Assistance engaged in Administration -
Production manufacturing Programs that X Table 39:
Program Source: GAO Offer Services to Small Business Agency, office,
data. Small Administration and program
Manufacturers and Programs That Agency, office,
Types of Services Offer Services and program
Appendix XVIII: to Small Agency, office,
Small Business Businesses and program
Administration - Engaged in Agency, office, X Target businesses
Programs that Manufacturing and program Target businesses
Offer Services to by Agency, Agency, office, Target businesses
Small Target and program Target businesses
Manufacturers and Businesses, and Agency, office, Target businesses
Types of Services Purpose and program Target businesses
Department of the Air Force - Manufacturing Technology Division
Industrial Base Any business, Any small The Pollution
Information regardless of business, Control Loans The Qualified
Center size or type regardless of program is designed Employee Trusts Loan
Pollution type to provide Program is designed
Control Loan financing to to provide financial
Program eligible small assistance to
businesses for the employee stock
planning, design, ownership plans. The
or installation of employee trust must
a pollution control be part of a plan
facility. This sponsored by the
facility must employer company and
prevent, reduce, qualified under
abate or control regulations set by
any form of either the Internal
pollution, Revenue Service Code
including (as an Employee
recycling. The Stock Ownership Plan
loans are Small or ESOP) or the
Business Act Department of Labor
Section 7(a) loans Any small (the Employee
with a special X Qualified business, Retirement Income
purpose of Employee Trusts regardless of Security Act or
pollution control. Loan Program type ERISA).
Department of the Air Force - Technology Transfer Branch Section 7(a) Loan Guarantees
Technology Any business, U.S. Community X The U.S.
Transfer Program regardless of Adjustment and Community
Section 7(a) Loan size or type Investment Adjustment and
Guarantees help Program Investment Program
creditworthy was established to
small businesses, assist U.S.
including companies that are
manufacturers, doing business in
meet financing areas of the
needs when country that have
dealing with been negatively
commercial affected by North
bankers. These American Free
firms are often Trade Agreement
denied (NAFTA) based on
conventional job losses and the
financing because unemployment rate.
the loans they Funds administered
seek are too by Treasury allow
small for private for the payment of
banks to pursue fees on eligible
or because they loans. These fees
need loans for a include the
longer period of Section 7(a)
time than a program guarantee
lender is willing fee (and subsidy)
to accept. This and the Section
is the Small 504 Certified
Business Development
Administration's Company (CDC)
most flexible Program guarantee,
business loan, CDC and lender
and can be used fees. This reduces
for a variety of borrower costs and
general business increases the
purposes availability of
including working these business
capital machinery assistance
and equipment, programs.
furniture and Eligibility is
fixtures, land limited to
and building, businesses that
leasehold reside in one of
improvements, and the more than 230
debt refinancing counties in 29
(under special states that are
conditions). currently
designated as Export Legal
Any small business, negatively Assistance Any small business,
regardless of type affected by NATA. X Network regardless of type
Department of the Army - Joint Munitions Command Any small business, regardless of type
Armament Any business, Any small SBA Export Any small The Export Express
Retooling and regardless of business, Express business, provides loans to
Manufacturing size or type regardless of regardless of assist small
Support Program International type type businesses in
Trade Loan developing or
expanding export
markets. Eligible
use of proceeds
include: 1)
financing
X International export-development
Trade Loans help activities such as
small businesses participation in a
engaged in foreign trade show
exporting, or translation of
preparing to engage product literature,
in exporting, or 2)
adversely affected transaction-specific
by competition from financing for
imports. Small overseas orders, 3)
Business revolving lines of
Administration credit for export
guarantees as much purposes, 4)
as $1.25 million in acquiring,
combined constructing,
working-capital and renovating,
facilities and improving or
equipment loans. expanding facilities
Proceeds can be or equipment used in
used for fixed the U.S. to produce
assets or working goods or services
capital. for export.
Department of the Navy - Best Manufacturing Practices Center of Excellence U.S. Export Assistance Centers
Best Any business Surety Guarantee Through the Surety
Manufacturing engaged in Program Guarantee program,
Practices Program manufacturing, the Small Business
U.S. Export regardless of Administration
Assistance size (SBA) can
Centers are guarantee bonds
multi-federal for contracts up
agency offices to $2 million,
that provide covering bid,
marketing, performance and
product payment bonds for
assistance and small and emerging
financial contractors who
assistance to cannot obtain
small- and surety bonds
medium-size U.S. through regular
businesses that commercial
would like to channels. SBA's
export. Twenty guarantee gives
centers are sureties an
nationwide. 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 Small Business
Any small business, breach the terms Investment Any small business,
regardless of type of the contract. X Companies regardless of type
Department of the Navy - Space and Naval Warfare Systems Center Charleston
Defense Small Small X The Certified
Business businesses Development
Technology and engaged in Company
Readiness manufacturing Guaranteed
Resources Any CAPlines is a Loans (Section
small business, loan umbrella 504) loans are
regardless of program that long-term
type provides financing tools
short-term and for economic
cyclical development
working-capital within a
needs. There community. The
are five Section 504
short-term program
working capital provides
loan programs growing
for small businesses with
businesses long-term,
under this fixed-rate
program: financing for
Seasonal Line; major fixed
Contract Line; assets, such as
Builders Line; land and
Standard buildings. A
Asset-based Certified
Line, and; Development
Small Company (CDC)
Asset-Based is a nonprofit
Line. This is a corporation set
Section 7(a) up to
program. 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,
Certified consolidating
Development Company Any small or repaying X Defense Loan and
Guaranteed Loans business, debt, or Technical Assistance
(Section 504) regardless of type refinancing. Program
Office of the Secretary of Defense 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.
Next Generation Any business The
Manufacturing engaged in Prequalification
Technology manufacturing, Loan is a pilot
Initiative Loan regardless of program that
Prequalification size Any small helps low income
business, borrowers,
regardless of disabled
type business owners,
new and emerging The Microloan
businesses, Program provides
veterans, very small loans
exporters, rural to start-up,
and specialized newly
industries established, or
develop viable growing small
loan application businesses.
packages and Under this
secure loans up program, the
to $250,000. The Small Business
program is Administration
administered by makes funds
the Small available to
Business nonprofit
Administration's community based
(SBA) Office of lenders
Field Operations (intermediaries)
and SBA district which, in turn,
offices. make loans to
Intermediary eligible
organizations borrowers in
work with amounts up to a
applicants to maximum of
make sure their $35,000. The
business plans average loan
are complete and size is about
that their $13,000.
applications are Applications are
eligible and submitted to the
have credit local lender and
merit. If the all credit
intermediary decisions are
organization is made at the
satisfied that local level.
the application Individuals and
has a chance for small businesses
approval, it applying for
will send it to microloans may
SBA for be required to
processing. fulfill training
Small Business and/or planning
Development requirements
Centers serving before a loan
as application is
intermediaries considered, and
do not charge lenders are
fees for loan required to
packaging, while X Any small provide business
for-profit business, training and
organizations X Microloan regardless of technical
charge fees. X Program type assistance.
TechMatch Any business, Any business, The Disaster Loan
regardless of regardless of Program offers
size or type size or type low-interest,
Disaster long-term financial
Assistance 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 Office of
operations resume Entrepreneurial
after a disaster. X Development SCORE
Technology Any business, Small Business X Small Business
Transition regardless of Development Development
Initiative SCORE size or type Centers Centers (SBDC)
uses the serve as central
management sources for
experience and disseminating
business acumen information and
of retired and guidance to small
active corporate businesses,
professionals and company owners,
small business and entrepreneurs,
owners who many of whom
volunteer their cannot afford
time and private consulting
expertise to services. There is
assist small at least one SBDC
businesses and in each state,
prospective each with a
businesses. network of service
Counseling locations, to
services are free ensure that they
and business are easily
workshops and accessible. At
seminars are at least 50 percent
low cost. SCORE of clients are
pioneered online small businesses.
counseling with The program is a
the launch of its cooperative effort
Cyber Chapter in of the private
1996. 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
Any small business, short-term Women's Business Any small business,
regardless of type assistance. Centers regardless of type
Manufacturing Any business Any small X The Small
Technology engaged in business, Business Training
Program manufacturing, regardless of Network provides
regardless of type online training to
size Small meet the X Office of
Business informational needs Government
Training of prospective and Contracting and
Network existing small Business X Prime Contracts
businesses. X Development X Program
Defense Industry Any business, Subcontracting
Adjustment The regardless of Assistance
Prime Contracts size or type Program
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 The Subcontracting
are two types of Assistance Program
PCRs: traditional promotes the prime
and breakout. contractors' use
Traditional PCRs of small
work to increase businesses. Small
the number of Business
procurements set Administration's
aside for small commercial
businesses. marketing
Breakout PCRs representatives
work to remove review the
components or subcontracting
spare parts from plans of prime
sole source contractors that
procurements to have one or more
procurements contracts that
through open exceed $500,000 to
competition, identify
which generates opportunities for X Business or
savings for the X Any small small businesses Procurement X Any small
federal business, to serve as Matchmaking business, regardless
government. regardless of type subcontractors. X Initiative of type
TechLink Any business, Any small X The Natural
regardless of business, Resources
size or type regardless of Assistance Program
Natural type is intended to
Resources ensure that small
Assistance businesses obtain a
Program fair share of
government property
sales and leases
through small
business The Historically
set-asides. The Underutilized
Small Business Business Zone
Administration also (HUBZone)
provides counseling Empowerment
and other Contracting Program
assistance to small stimulates economic
businesses on development and
government sales creates jobs in
and leasing. The urban and rural
program covers five communities by
categories of providing federal
federal resources: contracting
1) timber and preferences to small
related forest businesses. These
products, 2) preferences go to
strategic materials small businesses
from the national that obtain HUBZone
stockpile, 3) certification by,
royalty oil, 4) among other things,
leases involving employing staff and
rights to minerals, Any small maintaining a
coal, oil, and gas, X Historically business, principal office in
5) surplus real and Underutilized regardless of a designated
personal property. X Business Zones type HUBZone.
MilTech Section Small The Small
8(a) Business businesses Business Act The Mentor
Development engaged in Section 8(a) Protege program
Program manufacturing Program focuses enhances the
Any small on business capability of
business, development and Section 8(a)
regardless of is designed to participants to
type foster the compete more
growth and successfully for
competitive federal
viability of contracts. The
Section 8(a) program
firms through encourages
technical private sector
assistance relationships
delivered over a and expands the
9-year period. Small Business
One of the Administration's
benefits of the efforts to
program is that identify and
Section 8(a) respond to the
firms, through developmental
their own needs of Section
self-marketing 8(a) clients.
efforts, can Mentors provide
obtain sole technical and
source contracts management
of up to $5.5 assistance,
million for financial
manufacturing assistance in
and $3.5 million the form of
for all other equity
purposes that investments
federal agencies and/or loans,
make available subcontract
for the Section support, and
8(a) program. assistance in
Qualified firms performing prime
can also contracts
participate in through joint
restricted X Any small venture
competitions for business, arrangements
federal X Mentor-Protege regardless of with Section
contracts. X Program type 8(a) firms. X
Defense Technical Any business,
Information regardless of
Center Any small size or type
business, The Small
regardless of Disadvantaged
type 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 X The
participation Certificate of
in federal Competency
procurements to Program allows
help overcome a small
the effects of business to
discrimination. appeal a
Evaluation contracting
credits officer's
available to determination
prime that it is
contractors unable to
increase fulfill the
subcontracting requirements of
opportunities a specific
for SDBs. While government
the Section contract on
8(a) Program which it is the
offers a broad apparent low
scope of bidder. When
assistance to the small
socially and business
economically applies for a
disadvantaged Certificate of
firms, SDB Competency, the
certification Small Business
strictly Administration
pertains to industrial and
benefits in financial
federal specialists
procurement. conduct a
Section 8(a) detailed review
firms of the firm's
automatically Any small capabilities to
qualify for SDB Certificate of business, perform on the Small Business
certification. Competency Program regardless of type contract. Innovation Research
Value Engineering Any business, Small Business The Small Business
The Small regardless of Technology Technology
Business size or type Transfer Program Transfer Program
Innovation (STTR) expands
Research (SBIR) funding
program is opportunities in
designed to the federal
ensure that innovation
small, research and
high-technology development (R&D)
firms have access arena through
to federal public/private
research and sector
development (R&D) partnerships to
funds to pursue include the joint
advanced venture
technologies and opportunities for
their commercial small business and
applications. nonprofit research
SBIR is a institutions. STTR
competitive is a competitive
three-phase three-phase
program that program that
reserves a reserves a
specific specific
percentage of R&D percentage of
funding at federal R&D
certain federal funding for award
agencies for to small business
awards to small and nonprofit
businesses. research
Currently 11 institution
other federal partners. Five
agencies provide federal
the grant funds departments and
and oversee the agencies (the
projects. The Departments of
Small Business Defense, Energy,
Administration and Health and
monitors the SBIR Human Services as
program and well as the
provides National
guidance. SBIR Aeronautics and
funds the Space
critical startup Administration and
and development the National
stages and it Science
encourages the Foundation) are
commercialization required by STTR
of the resulting to reserve a
technology, portion of their
product, or R&D funds for
service. awards to small
business/nonprofit
X Any small research
business, institution Any small business,
regardless of type partnerships. Sub-Net regardless of type
Office of the Secretary of Defense - Defense Logistics Agency
Procurement Any business, X Section 7(j)
Gateway Any small regardless of of the Small
business, size or type Business Act
regardless of Tech-Net is an authorized the
type electronic Small Business
gateway of Administration
technology to enter into
information and grants,
resources for cooperative
and about small agreements or
high tech contracts, with
businesses. It public or
includes a private
search engine organizations
for to deliver
researchers, management or
scientists, technical
state, federal assistance to
and local individuals and
government enterprises
officials; a eligible for
marketing tool assistance
for small under the Act.
firms; and This assistance
links to is delivered
potential through the
investment Section 7(j)
opportunities Management and
for investors Technical
and other Assistance
sources of Program to
capital. The Section 8(a)
system is also certified
linked to firms, small
technology disadvantaged
sources of businesses,
information, businesses
assistance, and operating in
training. 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
Any small owners and
Section 7(j) business, senior Office of Veterans
program regardless of type officers. Business Development
Business Any business, The
Counseling Center regardless of Service-Disabled
Service-Disabled size or type Veteran Owned
Veteran Owned Any small Small Business
Small Business business, Concern
Concern Program regardless of (SDVOSBC)
type 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 Table 40:
opportunities; Services
and procurement Provided by
protest and Small Business
appeal Administration
procedures for Programs by
service-disabled Agency, Target
veteran owned Businesses, and
small business. Source: GAO data. X Type of Services
Aging Systems Any business, Technology
Sustainment and regardless of development and/or
Enabling size or type deployment
Technologies Type of service Technology
Type of service Agency and program Target businesses Financial development and/or
Agency and program Target businesses X Financial deployment
Procurement Any small
Technical business,
Assistance regardless of
Program Export type Worker
Export training Worker Office of Capital
training Access X X
Office of the Secretary of Defense - Office of Small Business Programs
Small Business Any small Any small
Innovation business, business,
Research Program regardless of regardless of
type Pollution type
Control Loan
Program X X X X
Small Business Any small Any small
Technology business, business,
Transfer Program regardless of regardless of
type Qualified type
Employee Trusts
Loan Program X X X X
Mentor-Protege Any small Any small
Program business, business,
regardless of regardless of
type Section type
7(a) Loan
Guarantees X X X X X
Women-Owned Small Any small Any small
Business Program business, business,
regardless of regardless of
type U.S. type
Community
Adjustment and
Investment
Program X X X X
Regional Councils Any small Any small
for Small business, business,
Business regardless of regardless of
Education and type Export type
Advocacy Legal
Assistance
Network X X
Service Disabled Any small Any small
Veteran-Owned business, business,
Small Business regardless of regardless of
Program type Export type
Working Capital
Loan Program X X X X
Indian Incentive Any business, Any small
Program regardless of business,
size or type regardless of
International type
Trade Loan X X X
HUBZone Any small Any small
Empowerment business, business,
Contracting regardless of regardless of
Program type SBA Export type
Express X X X X
Office of Small Any small Any small
Business Programs business, business,
regardless of regardless of
type U.S. type
Export
Assistance
Centers X X X
Office of the Secretary of Defense - Office of Technology Transition
Defense Any business, X
Production Act regardless of
Title III Program size or type
Any small
business,
regardless of
type X X X X
Source: GAO data. Any small business, regardless of type
Enterprise Engine
X
Small Business Technology Transfer Program
Any business, regardless of size or type
Any small business, regardless of type
Office of Small and Disadvantaged Business Utilization
X
Any business, regardless of size or type
Source: GAO data.
Table 37: National Science Foundation Programs That Offer Services to
Small Businesses Engaged in Manufacturing by Agency, Target Businesses,
and Agency Description of Purpose
Any small business, regardless of type
Any small business, regardless of type
Any business, regardless of size or type
Target businesses
Technical, business, or management
Division of Engineering Education and Centers
X
Agency description of program purpose Agency description of program
purpose Agency description of program purpose Agency description of
program purpose Agency description of program purpose Agency description
of program purpose
Office of Capital Access
Any small business, regardless of type
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.
Export Working Capital Loan Program
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.
Any small business, regardless of type
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 Loan Program
Any small business, regardless of type
Office of Disaster Assistance
Any small business, regardless of type
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.
Any small business, regardless of type
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.
Small Disadvantaged Business Certification Program
Any small business, regardless of type
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
Technical, business, or management Technical, business, or management
X
Surety Guarantee Program
Small Business Investment Companies
Appendix V: Department of Education - Programs that Offer Services to
Small Manufacturers and Types of Services
Table 13: Department of Education Programs That Offer Services to Small
Businesses Engaged in Manufacturing by Agency, Target Businesses, and
Agency Description of Purpose
Agency, office, and Agency description of program
program Target businesses purpose
Institute of Education Sciences CAPlines Loan Program
Small Business Any small The Small Business Innovation
Innovation Research business, Research (SBIR) program helps
Program regardless of type stimulate technological innovation,
X 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.
Office of the Deputy Secretary
Office of Small and Any small The Office of Small and
Disadvantaged business, Disadvantaged Business Utilization
Business regardless of type promotes and fosters opportunities
Utilization Certified for small and socioeconomically
Development disadvantaged business concerns
Company Guaranteed seeking to obtain prime contracts,
Loans (Section subcontracts, and grants that
504) support the programmatic and
operational functions of the
Department of Education. Any small
business, regardless of type
Source: GAO data. X
Table14: Services Provided by Department of Education Programs by Agency,
Target Businesses, and Type of Services X
Type of service
Technology Technical,
development business,
Agency and Target and/or or Worker
program businesses Financial deployment management Export training
Institute of Education Sciences
Small Any small
Business business,
Innovation regardless
Research of type
Program X X X
Office of the
Deputy
Secretary
Office of Any small
Small and business,
Disadvantaged regardless
Business of type
Utilization X X X
Source: GAO data. SCORE
Any small business, regardless of type
X
Any small business, regardless of type
Any small business, regardless of type
X
Any business, regardless of size or type
Any small business, regardless of type
Appendix VI: Department of Energy - Programs that Offer Services to Small
Manufacturers and Types of Services
Table 15: Department of Energy Programs That Offer Services to Small
Businesses Engaged in Manufacturing by Agency, Target Businesses, and
Agency Description of Purpose
Agency, office, Agency description of program
and program Target businesses purpose
Office of Advanced Scientific Computing Research
Small Business Any small business, The Small Business Technology
Technology regardless of type Transfer (STTR) program
Transfer 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.
Any small The Small Business
business, Innovation Research
regardless of type (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.
Office of Energy Efficiency and Renewable Energy
Inventions and Any small business, Inventions and Innovation
Innovation regardless of type (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.
Industrial Any business engaged in The Industrial Technologies
Technologies manufacturing, regardless Program (ITP) works with U.S.
Program of size 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 Any business, regardless Energy TechNet is a core
of size or type 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 Any business, regardless FreedomCAR and Vehicle
Vehicle of size or type Technologies Program
Technologies professionals work with
Program 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.
Office of Small and Disadvantaged Business Utilization
Office of Small Any small business, The Office of Small and
and Disadvantaged regardless of type Disadvantaged Business
Business Utilization is responsible
Utilization 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.
Section 8(a) Pilot Any small business, The Small Business Act
Program regardless of type 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.
Mentor-Protege Any small business, The Mentor-Protege program is
Program regardless of type 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.
Source: GAO data.
Table 16: Services Provided by Department of Energy Programs by Agency,
Target Businesses, and Type of Services
Type of service
Technology Technical,
development business,
Agency and Target and/or or Worker
program businesses Financial deployment management Export training
Office of Advanced Scientific Computing Research
Small Business Any small
Technology business,
Transfer regardless of
Program type X
Small Business Any small
Innovation business,
Research regardless of
Program type X X X
Office of Energy Efficiency and Renewable Energy
Inventions and Any small
Innovation business,
regardless of
type X X X X
Industrial Any business
Technologies engaged in
Program manufacturing,
regardless of
size X X X X
Energy TechNet Any business,
regardless of
size or type X X
FreedomCAR and Any business,
Vehicle regardless of
Technologies size or type
Program X
Office of Small and Disadvantaged Business Utilization
Office of Any small
Small and business,
Disadvantaged regardless of
Business type
Utilization X X
Section 8(a) Any small
Pilot Program business,
regardless of
type X
Mentor-Protege Any small
Program business,
regardless of
type X
Source: GAO data.
Appendix VII: Department of Health and Human Services - Programs that
Offer Services to Small Manufacturers and Types of Services
Table 17: Department of Health and Human Services Programs That Offer
Services to Small Businesses Engaged in Manufacturing by Agency, Target
Businesses, and Agency Description of Purpose
Agency, office, and Agency description of program
program Target businesses purpose
Centers for Disease Control and Prevention - National Institute for
Occupational Safety and Health
Occupational Health Any business, The National Institute for
Training regardless of size Occupational Safety and Health
or type 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.
Research Program for Any business The mission of the National
the Manufacturing engaged in Institute for Occupational Safety
Sector manufacturing, and Health (NIOSH) Research
regardless of size 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.
Summary Fact Sheets Any business, National Institute for
regardless of size Occupational Safety and Health
or type (NIOSH) makes available brief
documents, from1 to 4 pages that
describe occupational hazards or
NIOSH research activities.
Alerts Any business, Alerts briefly present new
regardless of size information about occupational
or type 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.
NIOSH Pocket Guide Any business, This Guide is a source of general
to Chemical Hazards regardless of size industrial hygiene information
or type 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 Any business, Chemical Safety Cards summarize
Cards regardless of size essential safety and health
or type 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 Any business, Health Hazard Evaluations (HHEs)
Evaluations regardless of size are investigations conducted by
or type 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.
Food and Drug Administration - Center for Biologics Evaluation and
Research
Manufacturers' Any business The Center for Biologics
Assistance engaged in Evaluation and Research (CBER)
manufacturing, has established a manufacturers'
regardless of size 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.
Investigational New Any business Current federal law requires that
Drug Application engaged in a drug be the subject of an
manufacturing 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.
Prescription Drug Any business 21 U.S.C. S 379h authorizes the
User Fee Act and engaged in Food and Drug Administration to
Reductions for Small manufacturing collect and use fees from
Business 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.
Food and Drug Administration - Center for Devices and Radiological Health
Division of Small Any business, The Center for Devices and
Manufacturers, regardless of size Radiological Health has a small
International and or type manufacturers, international and
Consumer Assistance 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.
Food and Drug Administration - Center for Drug Evaluation and Research
Investigational New Any business, Current federal law requires that
Drug Application regardless of size a drug be the subject of an
or type 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.
Prescription Drug Any small business, 21 U.S.C. S 379h authorizes the
User Fee Act and regardless of type Food and Drug Administration to
Reductions for Small collect and use fees from
Business 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.
Small Business Any small business, In the Center for Drug Evaluation
Assistance regardless of type 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.
Food and Drug Administration - Office of Orphan Product Development
Orphan Product Any business, Orphan Product Grants encourage
Grants regardless of size clinical development of products
or type 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.
National Institutes of Health - National Cancer Institute
Innovative Molecular Any small business, The Innovative Molecular Analysis
Analysis regardless of type Technologies (IMAT) Program is
Technologies Program 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.
Unconventional Any business, To spur development of daring
Innovations Program regardless of size technologic improvements in
or type 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.
Technology Transfer Any business, The Technology Transfer Branch
Branch regardless of size (TTB) provides a complete array
or type 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.
National Institutes of Health - Office of Technology Transfer
Office of Technology Any business, The Office of Technology Transfer
Transfer regardless of size (OTT) retains title to inventions
or type 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.
National Institutes of Health - Office of the Director
Office of Any business, The Office of Acquisition
Acquisition regardless of size Management and Policy (OAMP) is
Management and or type committed to acquisition
Policy 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-Portals in Any business, e-PIC is an e-business system
Commerce regardless of size designed to smartly capture the
or type 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.
Small Business Any small business, The Small Business Innovation
Innovation Research regardless of type Research (SBIR) program was
Program 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.
Small Business Any small business, The Small Business Technology
Technology Transfer regardless of type Transfer (STTR) program was
Program 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.
Office of the Secretary - Office of Small and Disadvantaged Business
Utilization
Office of Small and Any small business, The Office of Small &
Disadvantaged regardless of type Disadvantaged Business
Business Utilization 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.
Small Business Any small business, Health and Human Services' Small
Program Manual regardless of type 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.
Vendor Outreach Any small business, The Office of Small and
Sessions regardless of type Disadvantaged Business
Utilization hosts monthly Vendor
Outreach Session to educate
vendors on the preferential
procurement programs and to
provide information on how to
effectively market their products
and services to Health and Human
Services. These sessions are free
and are held on the second
Tuesday of each month, January -
November, from 8:30 a.m. - 12
noon.
Source: GAO data.
Table 18: Services Provided by Department of Health and Human Services
Programs by Agency, Target Businesses, and Type of Services
Type of service
Technology Technical,
development business,
Agency and Target and/or or Worker
program businesses Financial deployment management Export training
Centers for Disease Control and Prevention - National Institute for Occupational
Safety and Health
Occupational Any business,
Health Training regardless of
size or type X
Research Any business
Program for the engaged in
Manufacturing manufacturing,
Sector regardless of
size X
Summary Fact Any business,
Sheets regardless of
size or type X
Alerts Any business,
regardless of
size or type X
NIOSH Pocket Any business,
Guide to regardless of
Chemical size or type
Hazards X
Chemical Safety Any business,
Cards regardless of
size or type X
Health Hazard Any business,
Evaluations regardless of
size or type X
Food and Drug Administration - Center for Biologics Evaluation and Research
Manufacturers' Any business
Assistance engaged in
manufacturing,
regardless of
size X
Investigational Any business,
New Drug regardless of
Application size or type X
Prescription Any small
Drug User Fee business,
Act and regardless of
Reductions for type
Small Business X
Food and Drug Administration - Center for Devices and Radiological Health
Division of Any business,
Small regardless of
Manufacturers, size or type
International
and Consumer
Assistance X
Food and Drug Administration - Center for Drug Evaluation and Research
Investigational Any small
New Drug business,
Application regardless of
type X
Prescription Any small
Drug User Fee business,
Act and regardless of
Reductions for type
Small
Businesses X X
Small Business Any small
Assistance business,
regardless of
type X X X
Food and Drug Administration - Office of Orphan Product Development
Orphan Product Any business,
Grants regardless of
size or type X X
National Institutes of Health - National Cancer Institute
Innovative Any small
Molecular business,
Analysis regardless of
Technologies type
Program X X
Unconventional Any business,
Innovations regardless of
Program size or type X X X
Technology Any business,
Transfer Branch regardless of
size or type X X
National Institutes of Health - Office of Technology Transfer
Office of Any business,
Technology regardless of
Transfer size or type X X
National Institutes of Health - Office of the Director
Office of Any business,
Acquisition regardless of
Management and size or type
Policy X
e-Portals in Any business,
Commerce regardless of
size or type X
Small Business Any small
Innovation business,
Research regardless of
Program type X X X
Small Business Any small
Technology business,
Transfer regardless of
Program type X X
Office of the Secretary - Office of Small and Disadvantaged Business Utilization
Office of Small Any small
and business,
Disadvantaged regardless of
Business type
Utilization X
Small Business Any small
Program Manual business,
regardless of
type X
Vendor Outreach Any small
Sessions business,
regardless of
type X
Source: GAO data.
Appendix VIII: Department of Homeland Security - Programs that Offer
Services to Small Manufacturers and Types of Services
Table 19: Department of Homeland Security Programs That Offer Services to
Small Businesses Engaged in Manufacturing by Agency, Target Businesses,
and Agency Description of Purpose
Agency, office, and Target
program businesses Agency description of program purpose
Office of Small and Disadvantaged Business Utilization
Office of Small and Any small The Office of Small and Disadvantaged
Disadvantaged business, Business Utilization (OSDBU) ensures
Business Utilization regardless of Homeland Security complies with federal
type 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.
Mentor-Protege Any small The Mentor-Protege program is designed
program business, to motivate and encourage large prime
regardless of contractors to provide developmental
type 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 protege firm.
In addition to the benefits available
to mentors, proteges may receive
technical, managerial, financial, or
any other mutually agreed upon benefit
from mentors.
Small Business Any small Small Business Vendor Outreach Sessions
Vendor Outreach business, are a series of pre-arranged 15-minute
Sessions regardless of appointments with Small Business
type 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.
Office of the Secretary
Office of the Any small The Office of the Coordinator for Gulf
Federal Coordinator business, Coast Rebuilding was created to help
for Gulf Coast regardless of devise a long-term plan for rebuilding
Rebuilding type 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.
Science and Technology Directorate
Small Business Any small The Small Business Innovation Research
Innovation Research business, (SBIR) program's principal objectives
program regardless of are to (1) stimulate technological
type 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.
Small Business Any small The Homeland Security Small Business
Technology Transfer business, Technology Transfer (STTR) program
program regardless of began in early 2006 to help build
type 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.
Source: GAO data.
Table 20: Services Provided by Department of Homeland Security Programs by
Agency, Target Businesses, and Type of Services
Type of service
Technology Technical,
development business,
Agency and Target and/or or Worker
program businesses Financial deployment management Export training
Office of Small and Disadvantaged Business Utilization
Office of Any small
Small and business,
Disadvantaged regardless
Business of type
Utilization X
Mentor-Protege Any small
program business,
regardless
of type X
Small Business Any small
Vendor business,
Outreach regardless
Sessions of type X
Office of the Secretary
Office of the Any small
Federal business,
Coordinator regardless
for Gulf Coast of type
Rebuilding X
Science and Technology Directorate
Small Business Any small
Innovation business,
Research regardless
program of type X X X
Small Business Any small
Technology business,
Transfer regardless
program of type X X
Source: GAO data.
Appendix IX: Housing and Urban Development - Programs that Offer Services
to Small Manufacturers and Types of Service
Table 21: Department of Housing and Urban Development Programs That Offer
Services to Small Businesses Engaged in Manufacturing by Agency, Target
Businesses and Agency Description of Purpose
Agency, office, and Agency description of program
program Target businesses purpose
Office of Community Planning and Development
Community Any business, Community Development Block
Development Block regardless of size Grants support communities'
Grants or type public facilities,
infrastructure, housing, and
economic development activities.
Many jurisdictions have used
funds to make loans or establish
revolving loan funds that may
help manufacturers that need
small amounts of capital for
improvement projects.
Section 108 Loan Any business, The Section 108 Loan Guarantee
Guarantee Program regardless of size Program assists communities with
or type financing for housing
rehabilitation, economic
development, and large-scale
physical development projects
using Housing and Urban
Development funds. These funds
enable local governments to
finance physical and economic
development projects too large
for front-end financing with
single-year Community Development
Block Grant allocations.
Brownfields Any business, The Brownfields Economic
Economic regardless of size Development Initiative (BEDI) is
Development or type a key competitive grant program
Initiative that Housing and Urban
Development administers to
stimulate and promote economic
and community development. BEDI
is designed to assist cities with
the redevelopment of abandoned,
idled and underused industrial
and commercial facilities where
expansion and redevelopment is
burdened by real or potential
environmental contamination. BEDI
grant funds are primarily
targeted for use with a
particular emphasis upon the
redevelopment of brownfields
sites in economic development
projects and the increase of
economic opportunities for
low-and moderate-income persons
as part of the creation or
retention of businesses, jobs and
increases in the local tax base.
BEDI funds are used as the
stimulus for local governments
and private sector parties to
commence redevelopment or
continue phased redevelopment
efforts on brownfields sites
where either potential or actual
environmental conditions are
known and redevelopment plans
exist.
Disaster Recovery Any business, Disaster Assistance Recovery
Assistance regardless of size Grants are additional Community
or type Development Block Grant (CDBG)
funds to rebuild the areas
affected by disaster and bring
crucial seed money to stimulate
the recovery process. Depending
upon the size of the disaster and
the amount of CDBG supplemental
disaster funds appropriated,
eligible activities may cover a
broad range of community
development, housing and economic
development activities. If
Congress appropriates funds for
this purpose, Housing and Urban
Development provides flexible
grants to help cities, counties,
and states recover from
presidentially declared
disasters, especially in low- and
moderate-income areas.
Rural Housing and Any business, The Rural Housing and Economic
Economic regardless of size Development Program provides for
Development or type capacity building at the State
and local level for rural housing
and economic development and to
support innovative housing and
economic development activities
in rural areas.
Office of Fair Housing and Equal Opportunity
Section 3 Program Any business, Section 3 is a provision of the
regardless of size Housing and Urban Development
or type (HUD) Act of 1968, Pub. L. No.
90-448, 82 Stat. 476 (Aug. 1,
1968), codified at 12 U.S.C. S
1701u, that helps foster local
economic development,
neighborhood economic
improvement, and individual
self-sufficiency. The program is
restricted to businesses that are
51 percent or more owned by low-
or very low-income persons or
businesses that substantially
employ (30 percent or more) low-
or very low-income persons,
regardless of size or type. The
Section 3 program requires that
recipients of certain HUD
financial assistance, to the
greatest extent feasible, provide
job training, employment, and
contracting opportunities for
low- or very-low income residents
in connection with projects and
activities in their
neighborhoods.
Office of Policy Development and Research
Partnership for Any business engaged The Partnership for Advancing
Advancing in manufacturing, Technology in Housing Initiative
Technology in regardless of size is a public/private partnership
Housing Initiative 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.
Office of Small and Disadvantaged Business Utilization
Office of Small and Any small business, The Office of Small and
Disadvantaged regardless of type Disadvantaged Business
Business Utilization is responsible for
Utilization ensuring that small businesses
are treated fairly and that they
have an opportunity to compete
and be selected for a fair amount
of Housing and Urban
Development's prime and
subcontracting opportunities.
Source: GAO data.
Table 22: Services Provided by Department of Housing and Urban Development
Programs by Agency, Target Businesses, and Type of Services
Type of service
Technology Technical,
development business,
Agency and Target and/or or Worker
program businesses Financial deployment management Export training
Office of Community Planning and Development
Community Any business,
Development regardless of
Block Grants size or type X X
Section 108 Any business,
Loan regardless of
Guarantee size or type
Program X X
Brownfields Any business,
Economic regardless of
Development size or type
Initiative X X
Disaster Any business,
Recovery regardless of
Assistance size or type X X X X X
Rural Housing Any business,
and Economic regardless of
Development size or type X X
Office of Fair Housing and Equal Opportunity
Section 3 Any business,
Program regardless of
size or type X
Office of Policy Development and Research
Partnerships Any business
for Advancing engaged in
Technologies manufacturing,
in Housing regardless of
Initiative size X X
Office of Small and Disadvantaged Business Utilization
Office of Any small
Small and business,
Disadvantaged regardless of
Business type
Utilization X
Source: GAO data.
Appendix X: Department of the Interior - Programs that Offer Services to
Small Manufacturers and Types of Services
Table 23: Department of the Interior Programs That Offer Services to Small
Businesses Engaged in Manufacturing by Agency, Target Businesses, and
Agency Description of Purpose
Agency, office, and Target
program businesses Agency description of program purpose
Bureau of Indian
Affairs
Loan Guaranty Program Any small The Loan Guarantee program was
business, established to stimulate and increase
regardless of Indian entrepreneurship and employment
type through establishment, acquisition or
expansion of Indian-owned economic
enterprises.
Bureau of Reclamation
Job Corps Civilian Any business, The Job Corps Civilian Conservation
Conservation Centers regardless of Centers provides individuals, in
size or type 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.
Office of Small and Disadvantaged Business Utilization
Office of Small and Any small The Office of Small and Disadvantaged
Disadvantaged business, Business Utilization program strives
Business Utilization regardless of to improve and increase Interior's
type 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.
Small Disadvantaged Any small The Small Disadvantaged Business (SDB)
Business Program and business, Program is designed to treat small
Section 8(a) Business regardless of companies equitably and help them to
Development Program type 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.
HUBZone Empowerment Any small The HUBZone Empowerment Contracting
Contracting Program business, program provides federal contracting
regardless of opportunities for qualified small
type 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.
Veteran and Service Any small The Veteran and Service Disabled
Disabled Veteran business, Veteran is designed to assist
regardless of businesses that are at least 51
type percent owned by one or more
service-disabled veterans or, in the
case of publicly owned businesses, not
less than 51 percent of the stock of
which is owned by one or more
service-disabled veterans, and the
management and daily business
operations of which are controlled by
one or more service-disabled veterans.
In the case of a veteran with a
permanent and severe disability, a
spouse or permanent caregiver of such
veteran may control the management and
daily business operations
Woman-Owned Small Any small The Woman-Owned Small Business program
Business business, is designed to assist women-owned
regardless of small businesses pursue business in
type both the public and private contract
arena.
Source: GAO data.
Table 24: Services Provided by Department of the Interior Programs by
Agency, Target Businesses, and Type of Services
Type of service
Technology Technical,
development business,
Agency and Target and/or or Worker
program businesses Financial deployment management Export training
Bureau of Indian Affairs
Loan Guaranty Any small
Program business,
regardless
of type X
Bureau of Reclamation
Job Corps Any
Civilian business,
Conservation regardless
Centers of size or
type X
Office of Small and Disadvantaged Business Utilization
Office of Any small
Small and business,
Disadvantaged regardless
Business of type
Utilization X
Small Any small
Disadvantaged business,
Business regardless
Program and of type
Section 8(a)
Business
Development
Program X
HUBZone Any small
Empowerment business,
Contracting regardless
Program of type X
Veteran and Any small
Service business,
Disabled regardless
Veteran of type X
Woman-Owned Any small
Small business,
Business regardless
of type X
Source: GAO data.
Appendix XI: Department of Labor - Programs that Offer Services to Small
Manufacturers and Types of Services
Table 25: Department of Labor Programs That Offer Services to Small
Businesses Engaged in Manufacturing by Agency, Target Businesses, and
Agency Description of Purpose
Agency, office, and Agency description of program
program Target businesses purpose
Employment and Training Administration
Dream It. Do It. Any business Dream It. Do It is a campaign
engaged in launched by the Manufacturing
manufacturing, Institute of the National
regardless of size 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.
High Growth Job Any business, The High Growth Job Training
Training Initiative regardless of size initiative is a strategic effort
or type 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.
Workforce Investment Any business, The federal Workforce Investment
Act regardless of size Act of 1998, Pub. L. No.
or type 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 - Any small business, Project GATE promotes individual
Growing America regardless of type entrepreneurship, seeks to
Through energize local small business
Entrepreneurship 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.
Apprenticeship Any business, The Apprenticeship Program is a
Program regardless of size voluntary, industry-driven
or type 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.
Occupational Safety & Health Administration
Compliance Assistance Any small business, Small and new businesses may
Quick Start regardless of type 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.
Consultation Program Any business, The Occupational Safety & Health
regardless of size Administration's On-site
or type 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.
Small Business Any small business, The Occupational Safety & Health
Handbook regardless of type 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.
Training Institute Any business, The Occupational Safety & Health
and Training regardless of size Administration's Training
Education Centers or type Institute and Training Education
Centers provide basic and
advanced courses in safety and
health at locations throughout
the country.
Office of Small Business Programs
Small Business Any small business, The Small Business Resource
Resource Center regardless of type Center is a Web site designed to
assist small business owners
understand the rules and
regulations that Labor
administers.
Office of Small and Any small business, The Office of Small and
Disadvantaged regardless of type Disadvantaged Business
Business Utilization 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 Any small business, Small Business Vendor Outreach
Outreach Sessions regardless of type 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.
Small Business Any small business, The Small Business Procurement
Procurement Power regardless of type Power Web site is designed to
Page assist small businesses
interested in procurement
opportunities with Labor.
Office of the
Secretary
Job Corps Any business, Job Corps is a no-cost education
regardless of size and vocational training program
or type 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.
Source: GAO data.
Table 26: Services Provided by Department of Labor Programs by Agency,
Target Businesses, and Type of Services
Type of service
Technology Technical,
development business,
Agency and Target and/or or Worker
program businesses Financial deployment management Export training
Employee Benefits Security Administration
Compliance Any business,
Assistance regardless of
size or type X
Employment and Training Administration
Dream It. Do It. Any business X X
engaged in
manufacturing,
regardless of
size
High Growth Job Any business,
Training regardless of
Initiative size or type X X X X
Workforce Any business,
Investment Act regardless of
size or type X X X X
Project Gate- Any small
Growing America business,
Through regardless of
Entrepreneurship type X X
Apprenticeship Any business,
Program regardless of
size or type X X X
Occupational Safety & Health Administration
Compliance Any small
Assistance Quick business,
Start regardless of
type X X
Consultation Any business,
Program regardless of
size or type X X
Small Business Any small
Handbook business,
regardless of
type X X
Training Any business,
Institute and regardless of
Training size or type
Education
Centers X
Office of Small Business Programs
Small Business Any small
Resource Center business,
regardless of
type X
Office of Small Any small
and business,
Disadvantaged regardless of
Business type
Utilization X X
Small Business Any small
Vendor Outreach business,
Sessions regardless of
type X
Small Business Any small
Procurement business,
Power Page regardless of
type X
Office of the Secretary
Job Corps Any business,
regardless of
size or type X X
Source: GAO data.
Appendix XII: Department of Transportation- Programs that Offer Services
to Small Manufacturers and Types of Services
Table 27: Department of Transportation Programs That Offer Services to
Small Businesses Engaged in Manufacturing by Agency, Target Businesses,
and Agency Description of Purpose
Agency, office, and Target
program businesses Agency description of program purpose
Federal Aviation Administration
Small Business Any small The Small Business Development Office
Development Program business, develops and implements programs that
regardless of help small businesses, including small
type businesses owned and controlled by
socially and economically disadvantaged
individuals, obtain procurement
opportunities with the Federal Aviation
Administration.
Federal Highway Administration
International Any business, The Office of International Programs in
Program regardless of cooperation with the Affiliate Programs
size or type 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.
Maritime
Administration
National Maritime Any business, The Maritime Administration (MARAD)
Resource and regardless of established the National Maritime
Education Center size or type 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.
Office of the Secretary, Office of Small and Disadvantaged Business
Utilization
Subcontracting Any small Transportation's Office of Small and
Program business, Disadvantaged Business Utilization
regardless of (OSDBU), works closely with the Small
type 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.
Small Business Any small Small Business Transportation Resource
Transportation business, Centers: 1) disseminate information to
Resource Centers regardless of small and disadvantaged businesses on
type 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.
Disadvantaged Any small The Disadvantaged Business Enterprise
Business Enterprise business, Program is designed to encourage,
Program regardless of promote and assist minority and women
type 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.
Short Term Lending Any small The Short Term Lending Program provides
Program business, loan guarantees to enhance the lending
regardless of opportunities for disadvantaged
type 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.
Women Procurement Any business, The Women's Procurement Assistance
Assistance Committee regardless of Committee (WPAC), managed by
size or type 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.
Office of Small and Any small The Office of Small and Disadvantaged
Disadvantaged business, Business Utilization (OSDBU) ensures
Business Utilization regardless of that small and disadvantaged business
type 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.
National Information Any small The National Information Clearinghouse
Clearinghouse business, (NIC) serves as a central point of
regardless of contact for the dissemination of
type 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.
Research and Innovative Technology Administration
Small Business Any small The Small Business Innovation Research
Innovation Research business, Program (SBIR) is designed to stimulate
Program regardless of technological innovation, utilize small
type 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.
Source: GAO data.
Table 28: Services Provided by Department of Transportation Programs by
Agency, Target Businesses, and Type of Services
Type of service
Technology Technical,
development business,
Agency and Target and/or or Worker
program businesses Financial deployment management Export training
Federal Aviation Administration
Small Business Any small
Development business,
Program regardless
of type X
Federal Highway Administration
International Any
Program business,
regardless
of size or
type X
Maritime Administration
National Any
Maritime business,
Resource and regardless
Education of size or
Center type X X X
Office of the Secretary, Office of Small and Disadvantaged Business
Utilization
Subcontracting Any small
Program business,
regardless
of type X
Small Business Any small
Transportation business,
Resource regardless
Centers of type X X
Disadvantaged Any small
Business business,
Enterprise regardless
Program of type X
Type of service
Technology Technical,
development business,
Agency and Target and/or or Worker
program businesses Financial deployment management Export training
Small Business Any small
Development business,
Centers regardless
of type X X X
Women's Business Any small Science
Centers business, and
regardless Technology
of type X Science
and
Technology
Science
and
Technology
Science
and
Technology
Science
and
Technology
Science
and
Technology
Science
and
Technology
Science
and
Technology
Science
and
Technology
Science
and
Technology
Science
and
Technology
Science
and
Technology
Science
and
Technology
Science
and
Technology
Science
and
Technology
Science
and
Technology
Science
and
Technology
Small Business Any small
Training Network business,
regardless
of type X
Office of Government Contracting and Business Development
Prime Contracts Any small
Program business
regardless
of type X
Subcontracting Any small
Assistance business
Program regardless
of type X
Business or Any small
Procurement business
Matchmaking regardless
Initiative of type X
Natural Any small
Resources business
Assistance regardless
Program of type X
Historically Any small
Underutilized business
Business Zones regardless
of type X X X X
Section 8(a) Any small
Business business
Development regardless
Program of type X X X X X
Mentor-Protege Any small
Program business
regardless
of type X
Small Any small
Disadvantaged business
Business regardless
Certification of type
Program X
Certificate of Any small
Competency business
program regardless
of type X
Small Business Any small
Innovation business
Research regardless
of type X
Small Business Any small
Technology business
Transfer Program regardless
of type X
Sub-Net Any small
business
regardless
of type X
TECH-Net Any small
business
regardless
of type X
Section 7(j) Any small
program business
regardless
of type X
Office of Veterans Business Development
Service-Disabled Any small
Veteran Owned business
Small Business regardless
Concern Program of type X
Source: GAO data.
Appendix XIII: Department of Veterans Affairs - Programs that Offer
Services to Small Manufacturers and Types of Services
Table 29: Department of Veterans Affairs Programs That Offer Services
to Small Businesses Engaged in Manufacturing by Agency, Target
Businesses, and Agency Description of Purpose
Agency description of program purpose Agency description of program
purpose
Office of Small and Disadvantaged Business Utilization
Historically Underutilized Business Zones Program
Women-Owned Small Business Program
Small Business Program
Section 8(a) Business Development Program
Small Disadvantaged Business Program
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.
Service Disabled Veteran Owned and Operated Small Business Program
Subcontracting Program
Center for Veterans Enterprise
Source: GAO data.
Table 30: Services Provided by Department of Veterans Affairs Programs by Agency, Target Businesses, and Type of Services
Agency and program Agency and program
Technology development and/or deployment Technology development and/or
deployment
Any small business, regardless of type
X
Historically Underutilized Business Zones Program
Any small business, regardless of type
X
Small Business Program
Any small business, regardless of type
X
Small Disadvantaged Business Program
X
Any small business, regardless of type
Service Disabled Veteran Owned and Operated Small Business Program
Any small business, regardless of type
X
Center for Veterans Enterprise
X
Appendix XIV: Environmental Protection Agency - Programs that Offer
Services to Small Manufacturers and Types of Services
Table 31: Environmental Protection Agency Programs That Offer Services
to Small Businesses Engaged in Manufacturing by Agency, Target
Businesses, and Agency Description of Purpose
Agency description of program purpose Agency description of program
purpose Agency description of program purpose
Mentor-Protege Program
The purpose of the Mentor-Protege Program is meant to stimulate and impact
the number of small disadvantaged businesses and women-owned businesses
engaged in Environmental Protection Agency contracts.
Compliance Assistance Centers
Any business, regardless of size or type
Design for the Environment program
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.
Small Business Innovation Research Program
Office of Solid Waste
Mentor-Protege Program
National Environmental Performance Track
Design for the Environment program
Office of Research and Development
X
X
X
X
Agency description of program purpose
Agency and program
Technology development and/or deployment
Manufacturing Technology Transfer Centers
Any business, regardless of size or type
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.
Enterprise Engine
Any small business, regardless of type
NASA Acquisition Internet Service
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.
X
X
Office of Technology Transfer
Appendix XIX: Appalachian Regional Commission - Programs that Offer
Services to Small Manufacturers and Types of Services
Table 41: Appalachian Regional Commission Programs That Offer Services to
Small Businesses Engaged in Manufacturing by Agency, Target Businesses,
and Agency Description of Purpose
Agency, office, and Target Agency description of program
program businesses purpose
Appalachian Regional Commission
Telecommunications Any small Appalachian Regional Commission's
Initiative business, Information Age Appalachia
regardless of telecommunications and information
type 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.
Entrepreneurship Any small Small, homegrown businesses play an
Initiative business, important role in creating
regardless of self-sustaining local economies and
type 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.
Business Development Any small The Business Development Revolving
Revolving Loan Fund business, Loan Fund is a pool of money used by
Grants regardless of an eligible grantee for the purpose
type 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.
Export Trade Promotion Any small Expanding trade opportunities for
business, Appalachian businesses is an
regardless of important strategy for increasing
type 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.
Asset-Based Development Any business, Appalachian Regional Commission's
Initiative regardless of Area Development Program seeks to
size or type 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.
Table 42: Services Provided by Appalachian Regional Commission Programs by
Agency, Target Businesses, and Type of Services
Type of service
Technology Technical,
development business,
Target and/or or Worker
Agency and program businesses Financial deployment management Export training
Appalachian Regional Commission
Telecommunications Any small
Initiative business,
regardless
of type X X X X
Entrepreneurship Any small
Initiative business,
regardless
of type X X
Business Any small
Development business,
Revolving Loan regardless
Fund Grants of type X X
Export Trade Any small
Promotion business,
regardless
of type X X X X
Asset-Based Any
Development business,
Initiative regardless
of size or
type X X X
Source: GAO data.
Appendix XX: Robert C. Byrd National Technology Transfer Center - Programs
that Offer Services to Small Manufacturers and Types of Services
Table 43: Robert C. Byrd National Technology Transfer Center Programs That
Offer Services to Small Businesses Engaged in Manufacturing by Agency,
Target Businesses, and Agency Description of Purpose
Agency, office, Target
and program businesses Agency description of program purpose
Robert C. Byrd National Technology Transfer Center
National Any business, The Robert C. Byrd National Technology
Technology regardless of Transfer Center (NTTC), a 501 (c)(3)
Transfer Center size or type 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.
Source: GAO data.
Table 44: Services Provided by the Robert C. Byrd National Technology
Transfer Center Programs by Agency, Target Businesses, and Type of
Services
Type of service
Technology Technical,
development business,
Agency and Target and/or or Worker
program businesses Financial deployment management Export training
Robert C. Byrd National Technology Transfer Center
National Any business,
Technology regardless of
Transfer size or type
Center X X
Source: GAO data.
Appendix XXI: Interagency Efforts that Address Concerns of Small
Businesses and Businesses Regardless of Size and Type
Table 45: Five Interagency Efforts Address the Concerns of Small
Businesses, Regardless of Type
Focus of Description of interagency
interagency effort Participating agencies effort
Coordinate program Twelve participating The Small Business Innovation
operations across agencies including the Research (SBIR) Program
multiple agencies Departments of Managers Meetings is an
Agriculture, Commerce, interagency effort in which
Defense, Education, program managers from the
Energy, Health and Human Small Business Administration
Services, Homeland and the 11 participating SBIR
Security, and agencies meet periodically to
Transportation as well discuss program-related topics
as the Environmental such as operations, approaches
Protection Agency, the to new initiatives, and policy
National Aeronautics and changes.
Space Administration,
the National Science
Foundation, and the
Small Business
Administration.
Encourage program Twelve participating The SBIR/STTR-Where Innovation
participation by agencies including the Focuses Technology (SWIFT) is
small businesses Departments of an interagency effort which
in selected Agriculture, Commerce, outreaches to raise awareness
geographic areas Defense, Education, of the SBIR and Small Business
Energy, Health and Human Technology Transfer (STTR)
Services, Homeland programs in areas of the
Security, and country with low participation
Transportation as well in these programs. SWIFT
as the Environmental brings officials from
Protection Agency, the participating agencies to
National Aeronautics and state-sponsored conferences to
Space Administration, discuss their research topic
the National Science areas and raise awareness of
Foundation, and the the funding opportunities
Small Business available to entrepreneurs,
Administration. scientists, business owners,
and others. Federal officials
may also conduct individual
meetings at these conferences
to discuss how small
businesses compete for SBIR
funding.
Enhance Twelve participating The Small Business Working
participation in agencies including the Group is a subset of the Chief
federal Departments of Acquisitions Officers Council
contracting by Agriculture, Commerce, (CAOC). The CAOC consists of a
small businesses Defense, Education, diverse group of acquisition
Energy, Health and Human professionals in the Executive
Services, Homeland Branch established to provide
Security, and a senior level forum for
Transportation, as well monitoring and improving the
as the Environmental federal acquisition system.
Protection Agency, The CAOC promotes effective
National Aeronautics and business practices that ensure
Space Administration, the timely delivery of best
National Science value products and services to
Foundation, and Small the agencies, achieve public
Business Administration. policy objectives, and further
integrity, fairness,
competition, and openness in
the federal acquisition
system. The CAOC works closely
with the Administrator, Office
of Federal Procurement Policy,
and the Federal Acquisition
Regulatory Council to promote
these business practices in
the acquisition system. The
CAOC is focused on promoting
the President's Management
Agenda in all aspects of the
acquisition system. The CAOC
also promotes the President's
specific acquisition-related
initiatives and policies.
Enhance Twenty-five The Federal Office of Small
participation in participating agencies and Disadvantaged Business
federal including the Utilization (OSDBU) Directors
contracting by Departments of: Interagency Council exchanges
small socially and Agriculture, Commerce, information on methods,
economically Defense (Air Force, initiatives, and processes
disadvantaged Army, and Navy), that will permit respective
businesses Education, Energy, agencies to more effectively
Health and Human utilize small businesses in
Services, Homeland prime contracts and
Security, Housing and subcontracts to the maximum
Urban Development, extent practicable. In
Interior, Justice, addition, the Council shall
Labor, State, collectively act in the
Transportation, interest of small businesses
Treasury, and Veterans on federal and national small
Affairs; as well as the business initiatives. More
Environmental Protection specifically, the Council
Agency, Executive Office disseminates information to
of the President, all OSDBU Directors and their
Federal Deposit staffs, advocates training for
Insurance Corporation, the federal procurement
General Services workforce, and provides a
Administration, National forum where officials share
Aeronautics and Space ideas and experiences and work
Administration, National with interested groups to
Science Foundation, develop solutions to
Nuclear Regulatory procurement issues that affect
Commission, Office of small businesses. The OSDBU
Personnel Management, Directors Council was
Smithsonian Institution, established in the late 1980s
and Social Security
Administration.
Expand scope of Twelve participating Interagency Network of
services offered agencies including 5 Enterprise Assistance
to small agencies in the Providers brings together
businesses through Department of Commerce federal agencies to explore
service centers (International Trade the concept, feasibility, and
the agencies Administration's Export framework to develop a
operate Assistance Centers, coordinated network of
Economic Development assistance programs that meets
Agency, National the needs of small businesses
Institute of Standards and manufacturers. Group
and Technology's members meet monthly to learn
Manufacturing Extension about each other's programs
Partnership, Minority and discuss mutually
Business Development beneficial opportunities for
Agency, and Office of pilot collaborations. To date,
Intellectual Property the group has discussed such
Rights), the Small topics as successful export
Business strategies for small
Administration's Small manufacturers, the development
Business Development of a Web site for the
Centers as well as the coordinated network and
Export-Import Bank, available small business
Environmental Protection innovation information.
Agency, and the
Departments of
Agriculture, Defense,
Energy, and Labor.
Source: GAO data.
Table 46: Nine Interagency Efforts Address the Concerns of All Businesses,
Regardless of Size or Type
Focus of Description of interagency
interagency effort Participating agencies effort
Forum to raise Twenty-six participating Recognizing the potential
bioengineering agencies including NIH benefits to human health to
issues Institutes Centers and be realized from applying
Offices (National the field of
Institutes for Cancer; bioengineering, the NIH
Biomedical Imaging and Director formally
Bioengineering; Allergy established the
and Infectious Diseases; Bioengineering Consortium
Eye; Heart, Lung, and (BECON) was an interagency
Blood; Aging; Alcohol group convened by the NIH
Abuse and Alcoholism; Director in February 1997.
Arthritis and BECON is the focus of
Musculoskeletal and Skin bioengineering issues at
Diseases; Child Health and the NIH and is composed of
Human Development; Drug senior-level
Abuse; Deafness and Other representatives from each
Communication Disorders; of the NIH centers,
Dental and Craniofacial institutes, and divisions.
Research; Diabetes and The Consortium also
Digestive and Kidney includes representatives of
Diseases; Environmental other federal agencies
Health Sciences, General concerned with biomedical
Medical Sciences; Mental research and development.
Health; Neurological The BECON is administered
Disorders and Stroke; NIH by the National Institute
Centers for Scientific of Biomedical Imaging and
Review; Information Bioengineering at the NIH.
Technology; Research
Resources; NIH Offices for
Intramural Research;
Research Services; as well
as the Human Genome
Research Institute,
Clinical Center, and
National Library of
Medicine), the Department
of Energy, National
Institute of Standards and
Technology in the
Department of Commerce,
and the National Science
Foundation.
Develop a single Twenty-two participating Business Gateway is a
electronic point of agencies including the partnership of federal
contact for federal Departments of agencies that provide a
information to help Agriculture, Commerce, single online access point
businesses Defense, Education, for government services and
Energy, Health and Human information that can help
Services, Homeland businesses, called
Security, Housing and Business.gov. Launched in
Urban Development, 2004, Business.gov
Interior, Justice, Labor, initially focused on
State, Transportation, starting, growing and
Treasury, and Veteran financing small businesses.
Affairs and the In October 2006, its focus
Environmental Protection shifted to helping
Agency, General Services businesses comply with
Administration, Office of federal regulations.
Personnel Management,
National Aeronautics and
Space Administration,
National Science
Foundation, Small Business
Administration and Social
Security Administration.
Coordinate efforts Thirteen participating Federal Laboratory
to transfer agencies including the Consortium for Technology
federally developed Departments of Transfer (FLC), formed in
technology to the Agriculture, Commerce, 1974, is a nationwide
private sector Defense, Energy, Health network of federal
and Human Services, the laboratories. FLC provides
Interior, Justice, a forum to develop
Transportation, Treasury, strategies and identify
Veterans Affairs, as well opportunities to link the
as the Environmental laboratories' mission
Protection Agency, technologies and expertise
National Aeronautics and with the marketplace. It
Space Administration, and serves as an interagency
National Science forum to develop and
Foundation. strengthen nationwide
efforts to transfer
federally developed
technology to the private
sector.
Coordinate efforts Eleven participating The Interagency Working
to transfer agencies including the Group on Technology
federally developed Departments of Transfer is a longstanding
technology to the Agriculture, Commerce, interagency effort that
private sector Defense, Energy, Health includes senior policy
and Human Services, officials from most of the
Homeland Security, federal science and
Interior, Transportation, technology agencies. The
Veterans Affairs, as well group's activities are
as the Environmental coordinated through the
Protection Agency and Office of Technology Policy
National Aeronautics and in the Department of
Space Administration. 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.
Share information Thirteen participating GIDEP is a cooperative
on the development organizations including activity between government
of information the Army, Navy, Air Force, and industry participants
technology systems and Defense Logistics that seek to share
Agency in the Department technical information
of Defense, National during research, design,
Aeronautical and Space development, production and
Administration, Department operational phases of the
of Energy, Department of life cycle of systems,
Labor, National Institute facilities and equipment
of Standards and for the development,
Technology in the thereby reducing or
Department of and eliminating expenditures of
Commerce, Federal Aviation resources, lowering total
Administration, General ownership cost, and
Services Administration, increasing reliability,
National Security Agency, readiness and safety.
U.S. Postal Service, as
well as, the Canadian
Department of Defense.
Coordinate efforts Seven participating The Multi-Agency Tissue
on tissue agencies including the Engineering Science (MATES)
engineering National Institute of Interagency Working Group
Standards and Technology helps keep federal agencies
in the Department of involved in tissue
Commerce, Department of engineering informed of
Energy, Defense Advanced each other's activities and
Research Projects Agency helps the agencies better
in the Department of coordinate their efforts in
Defense, two agencies in this rapidly growing field.
the Department of Health The MATES Interagency
and Human Services (Food Working Group was organized
and Drug Administration under the auspices of the
and National Institutes of Subcommittee on
Health), the National Biotechnology of the
Aeronautics and Space National Science and
Administration, and the Technology Council.
National Science
Foundation.
Coordinate federal Twenty-eight federal The National Nanotechnology
nano-technology and agencies participate in Initiative (NNI) is a
nano-science the NNI including the federal research and
related research Office of Science development (R&D) program
and development Technology Policy, Office established to coordinate
(R&D) efforts of Management and Budget, multi-agency efforts in
Consumer Product Safety nanoscale science,
Commission, Environmental engineering, and
Protection Agency, technology. Thirteen
Intelligence Technology participating agencies have
Innovation Center, an R&D budget for
International Trade nanotechnology. Other
Commission, National Federal organizations
Aeronautics and Space contribute with studies,
Administration, National applications for the
Science Foundation, results from agencies that
Nuclear Regulatory perform R&D, and other
Commission, two agencies collaborations. The NNI is
within the Department of managed within the
Agriculture (Cooperative framework of the National
State Research Extension Science and Technology
and Education Service and Council, the Cabinet-level
Forest Service), the council that coordinates
Department of Defense, science, space, and
four agencies within the technology policies across
Department of Commerce the federal government. In
(Bureau of Industry and addition to funding
Security, National research, federal support
Institute of Standards and through the NNI provides
Technology, Technology crucial funds for the
Administration, and U.S. creation of university and
Patent and Trademark government nanoscale R&D
Office), the Departments laboratories, and helps
of Education and Energy, educate the workforce
three agencies within the necessary for the future of
Department of Health and nanotechnology. The NNI
Human Services (Food and also plays a key role in
Drug Administration, fostering
National Institutes of cross-disciplinary networks
Health, and National and partnerships, and
Institute for Occupational disseminating information.
Safety and Health), one Finally, it enables small
agency within Department businesses to pursue
of the Interior (U.S. opportunities offered by
Geological Survey), and nanotechnology, and
the Departments of encourages all levels of
Homeland Security, business to exploit those
Justice, Labor, State, opportunities.
Transportation, and
Treasury.
Develop and build Six participating agencies Commerce has a leading role
acceptance of within the Department of within the federal
standards for a new Commerce including the government to ensure that
technology Technology Administration, RFID is understood, that
the National Institute of both industry and consumer
Standards and Technology, concerns and views are
the National heard, and that accurate
Telecommunications and information about the
Information features and abilities of
Administration, the RFID are disseminated.
International Trade
Administration, the
Economics and Statistics
Administration and the
U.S. Patent and Trademark
Office.
Streamline federal Twenty participating The Trade Promotion
export services agencies including the Coordinating Committee
Departments of (TPCC) is composed of all
Agriculture, Commerce, the federal government's
Defense, Energy, Homeland agencies involved in export
Security, Interior, Labor, promotion. The present TPCC
Transportation, and was formed in 1993 by
Treasury, and the Council Executive Order No. 12870,
of Economic Advisors, 58 Fed. Reg. 51753 (Sept.
Environmental Protection 30, 1993), pursuant to the
Agency, Export-Import Bank Export Enhancement Act of
of the United States, 1992, Pub. L. No. 102-429 S
National Economic Council, 201, 106 Stat. 2186 (Oct.
National Security Council, 21, 1992); 15 U.S.C. S
Office of Management and 4727. The Trade Promotion
Budget, Overseas Private Coordinating Committee
Investment Corporation, (TPCC) is composed of all
Small Business the federal government's
Administration, U.S. agencies involved in export
Agency for International promotion. The Secretary of
Development, U.S. Trade Commerce is the designated
and Development Agency, chairperson. The TPCC is
and United States Trade mandated to streamline
Representative. 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.
Source: GAO data.
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. [49]GAO-06-791R . Washington, D.C.: June 14, 2006.
Trade Adjustment Assistance: Experiences of Six Trade-Impacted
Communities. [50]GAO-01-838 . Washington, D.C.: August 24, 2001.
Trade Adjustment Assistance: Impact of Federal Assistance to Firms Is
Unclear. [51]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-Protege Program Are Not
Conclusive. [52]GAO-01-767 . Washington, D.C.: July 19, 2001.
Defense Commissaries: Additional Small Business Opportunities Should Be
Explored. [53]GAO-03-160 . Washington, D.C.: December 12, 2002.
Defense Manufacturing Technology Program: More Joint Projects and Tracking
of Results Could Benefit Program. [54]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. [55]GAO-04-738T . Washington,
D.C.: May 18, 2004.
DOE Contracting: Improved Program Management Could Help Achieve Small
Business Goal. [56]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. [57]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. [58]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. [59]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. [60]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.
[61]GAO-05-409 . Washington, D.C.: April 14, 2005.
Small Business: HUBZone Program Suffers From Reporting and Implementation
Difficulties. [62]GAO-02-57 . Washington, D.C.: October 26, 2001.
Small Business: More Transparency Needed in Prime Contract Goal Program.
[63]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. [64]GAO-06-860 . Washington, D.C.: July 28, 2006.
Small Business Administration: Disaster Loan Program. [65]GAO-02-210R .
Washington, D.C.: November 16, 2001.
Small Business Administration: Improvements Made, but Loan Programs Face
Ongoing Management Challenges. [66]GAO-06-605T . Washington, D.C.: April
6, 2006.
Small Business Administration: Management Practices Have Improved for the
Women's Business Center Program. [67]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. [68]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. [69]GAO-04-610 .
Washington, D.C.: June 8, 2004.
Small Business Administration: Observations on the Disaster Loan Program.
[70]GAO-03-721T . Washington, D.C.: May 1, 2003.
Small Business Administration: Response to September 11 Victims and
Performance Measures for Disaster Lending. [71]GAO-03-385 . Washington,
D.C.: January 29, 2003.
Small Business Administration: Section 7(a) General Business Loans Credit
Subsidy Estimates. [72]GAO-01-1095R . Washington, D.C.: August 21, 2001.
Small Business Administration: SBA Followed Appropriate Policies and
Procedures for September 11 Disaster Loan Applications. [73]GAO-04-885 .
Washington, D.C.: August 31, 2004.
Small Business Administration: Small Business Government Contracting
Programs; Subcontracting. [74]GAO-05-268R . Washington, D.C.: January 24,
2005.
Small Business Administration: The Commercial Marketing Representative
Role Needs to Be Strategically Planned and Assessed. [75]GAO-03-54 .
Washington, D.C.: November 1, 2002.
Waivers of the Small Business Administration's Nonmanufacturer Rule Have
Limited Effect. [76]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. [77]GAO-04-454 . Washington,
D.C.: May 27, 2004.
Export Promotion: Government Agencies Should Combine Small Business Export
Training Programs. [78]GAO-01-1023 . Washington, D.C.: September 21, 2001.
Export Promotion: Trade Promotion Coordinating Committee's Role Remains
Limited. [79]GAO-06-660T . Washington, D.C.: April 26, 2006.
Federal Procurement: Trends and Challenges in Contracting With Women-Owned
Small Businesses. [80]GAO-01-346 . Washington, D.C.: February 16, 2001.
Federal Research: Observations on the Small Business Innovation Research
Program. [81]GAO-05-861T . Washington, D.C.: June 28, 2005.
Federal Research and Development: Contributions to and Results of the
Small Business Technology Transfer Program. [82]GAO-01-867T . Washington,
D.C.: June 21, 2001.
Federal Research and Development: Contributions to and Results of the
Small Business Technology Transfer Program. [83]GAO-01-766R . Washington,
D.C.: June 4, 2001.
Information on the Number of Small Business Set-Asides Issued and
Successfully Challenged. [84]GAO-03-242R . Washington, D.C.: November 1,
2002.
International Trade: Experts' Advice for Small Businesses Seeking Foreign
Patents. [85]GAO-03-910 . Washington, D.C.: June 26, 2003.
Small and Disadvantaged Businesses: Most Agency Advocates View Their Roles
Similarly. [86]GAO-04-451 . Washington, D.C.: March 22, 2004.
Small Business Contracting: Concerns About the Administration's Plan to
Address Contract Bundling Issues. [87]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.
[88]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
Anu Mittal, 202-512-3841 or [email protected]
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.
(360715)
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Highlights of [97]GAO-07-714 , a report to congressional requesters
May 2007
SCIENCE AND TECHNOLOGY
Information on Federal Programs and Interagency Efforts That Support Small
Businesses Engaged in Manufacturing
Small businesses engaged in manufacturing, typically those with 500 or
fewer employees, comprise about 90 percent of all U.S. manufacturers and
employ 6 million workers. Recent studies have shown that small
manufacturing businesses face a number of challenges in their efforts to
remain competitive, including the inability to obtain operating and
investment capital, a lack of familiarity with new business practices, and
difficulty in finding independent advice and skilled employees. To help
these businesses overcome such challenges, many federal agencies provide
financial and nonfinancial technical services through targeted or general
programs or create interagency work groups to better coordinate their
efforts and more effectively support these businesses.
In this context, GAO identified (1) federal programs that provide services
to support small businesses engaged in manufacturing and (2) federal
interagency efforts that focus on issues of concern to small manufacturing
businesses. To identify these programs and efforts, GAO obtained
documentation from 19 federal agencies.
In commenting on a draft of this report, 18 of the 19 agencies made
technical comments that we have incorporated as appropriate.
GAO is not making recommendations in this report.
GAO identified 254 federal programs that provide services to support the
business sector, of which 5 provide services specifically to small
businesses engaged in manufacturing and an additional 15 target
manufacturers, regardless of their size. Seven of the 20 programs had data
on the level of services provided to small manufacturing businesses, and
between fiscal years 2004 through 2006 these programs provided over $35
million and served from about 8,000 small manufacturing businesses in 2004
to over 9,000 in 2006. The 5 programs that target small businesses engaged
in manufacturing provide primarily nonfinancial technical assistance to
help firms improve the efficiency of their manufacturing operations and
their quality control processes as well as to solve specific manufacturing
problems. These 5 programs also offer small manufacturing businesses
general assistance with their strategic and business planning, accounting
and financing, and sales and marketing. In addition, 1 of the 5 programs
offers financial assistance. Of the 15 programs that provide services to
manufacturers, regardless of their size, 9 offer only nonfinancial
services similar to the 5 that target small manufacturing firms, and 6
also provide financial services. Small businesses engaged in manufacturing
also can obtain services from 127 other federal programs that are
available to all small businesses, regardless of their business type. Many
of these programs provide general business and management services, and
about 35 percent also offer financial services, such as loans or grants.
Finally, small manufacturing businesses can obtain general business,
export, and financial services from an additional 107 federal programs
designed to help the business sector in general, regardless of the size or
type of the business involved. Because not all of these programs gather
data on the size of the businesses they serve, it is unclear how many
small manufacturing firms received services from these general programs.
GAO identified 20 federal interagency efforts that focus on supporting the
business sector. Of these 20 efforts, 4 were created specifically to focus
on the challenges that small businesses engaged in manufacturing face, and
2 were created to focus on issues relevant to manufacturers in general,
regardless of their size. The agencies involved in 3 of the 4 interagency
efforts that focus on the concerns of small manufacturing businesses
collaborate to expand and coordinate their services through national
networks of technical assistance centers. The 4^th effort involves efforts
to help small manufacturing businesses improve the efficiency of their
operations. The 2 interagency efforts that focus on issues relevant to
manufacturers in general focus on developing strategies to improve the
competitiveness of manufacturers and resolving issues associated with
manufacturing-related research and development policies, programs, and
budgets. The remaining 14 interagency efforts that GAO identified focus on
the concerns of small businesses or of all businesses in general, which
may include some issues that also are of concern to small manufacturing
businesses.
References
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