Uncle Sam Wants YOU:
How Your TTO Can Forge
Successful Partnerships
with Government Agencies
Live Webinar
January 27, 2011
Sponsored by:
Panelists
Laura A. Schoppe is president of Fuentek, LLC. Fuentek works with an eclectic client base to assist
them in identifying promising technologies and the converting these ideas and inventions into
marketable products. In her role as president, Laura is responsible for managing client
relationships as well as establishing strategic plans, budgets and conducting training workshops for
clients.
Laura has more than 12 years of successful experience in spearheading research for several
defense contractors, as well as an extensive background in all aspects of intellectual property
management, including valuing the deals, negotiating the business terms, and leading license
negotiation activities. She has led major technology transfer projects at universities and
government agencies, and Fortune 500 companies have sought her advice on strategic planning
related to their IP assets.
Prior to forming Fuentek in 2001, Laura was a program manager for advanced engineering at GE
Aerospace/Lockheed Martin. She was responsible for national and international new business
development, as well as research and development projects for advanced submarine and surface
ship programs. She then provided technology transfer services at RTI International in the Center for
Technology Applications, where she worked as a client lead for government and corporate
clients, successfully doubling the client base.
Fuentek is a leading technology commercialization firm, and is now the largest NASA contractor in
North Carolina.
Panelists
Andrea Adkins, is a Senior Licensing Associate in the Technology Transfer Office at the University of
Central Florida, working with researchers and students on intellectual property matters originating
from university research and educational activities in physical sciences. Her responsibilities include
technology evaluation, protection, licensing and commercialization activities.
Ms. Adkins is a UCF graduate and joined UCF in June of 1999 in the Office of Research &
Commercialization.
Prior to joining UCF, she worked in the engineering and construction industry and also co-founded a
small business that provides manufacturers’ representative services.
Panelists
Stephen Auvil is the vice president for technology transfer and commercialization at the Maryland
Technology Development Corporation (TEDCO). In this role, he is responsible for a number of funding
and other programs that foster the transfer of technologies from universities and federal laboratories
into the commercial sector.
From 2008 - 2010, Mr. Auvil served as the assistant vice president for research at the University of
Maryland, Baltimore County (UMBC) where he assisted UMBC’s vice president for research in his effort
to build and support UMBC’s research enterprise. He was also responsible for supporting UMBC’s
economic development mission as it relates to research, technology transfer, and new venture creation.
Mr. Auvil, who was one of the architects of UMBC’s ACTiVATE® and INNoVATE™ programs, served as a
co-principal investigator on the National Science Foundation grants that supported these programs.
From 2000 - 2008, Mr. Auvil served as the director of UMBC's Office of Technology Development (OTD).
Before arriving at UMBC, he worked as an assistant director in the Office of Technology Licensing at the
Johns Hopkins University School of Medicine where he evaluated inventions and negotiated license
agreements for a variety of technologies.
He began his career as a laboratory technician studying ion channels in membranes at Johns Hopkins
University School of Medicine.
Mr. Auvil has a Bachelor of Science in Biology and Engineering Science from Loyola College in Maryland,
a Masters of Business Administration from the University of Baltimore, and a Masters of Science in
Biotechnology from the Johns Hopkins University.
Best Practices for Fostering Collaborative R&D
Partnerships with Federal Agencies
Opening the door
How to find the
opportunities
Improving your chances
What to keep in mind in
preparing to propose
Opening the Door
Identify Options
Funding categories
Funding organizations
•
•
•
•
Research grants
Research contracts
Procurement contracts
Small business contracts
• Federal agencies
• Subcontracting
North American
Industry Classification • http://www.naics.com/
System (NAICS) code
Opening the Door
Understand Needs
Solicitations for current needs (www.fbo.gov)
Request for Information (RFI)
Request for Proposals or Quotes
(RFP or RFQ)
Broad Agency Announcements (BAA)
Industry briefings
Roadmaps and Web sites for future needs
Department of Defense
Department of Transportation
Other Agencies
Opening the Door
Department of Defense
Armed Forces (Air Force, Army,
Coast Guard, Marine Corps, Navy)
Defense Advanced Research Projects
Agency (DARPA)
Defense Information Systems Agency
(DISA)
Defense Intelligence Agency (DIA)
Defense Logistics Agency (DLA)
Defense Security Cooperation
Agency (DSCA)
Defense Security Service (DSS)
• Defense Threat Reduction Agency (DTRA)
• Missile Defense Agency (MDA)
• National Imagery and Mapping Agency (NIMA)
• National Security Agency (NSA)
http://www.dod.gov/transformation/features/Facing_the_Future/
Opening the Door
Department of Transportation
Bureau of Transportation Statistics
(BTS)
Federal Aviation Administration
(FAA)
Federal Highway Administration
(FHWA)
Federal Railroad Administration
(FRA)
Federal Transit Administration
(FTA)
• Maritime Administration (MARAD)
• National Highway Traffic Safety Administration (NHTSA)
• Research and Special Programs Administration (RSPA)
http://www.dot.gov/stratplan2011/index.htm
Opening the Door
Other Federal Agencies
• Department of Agriculture
– http://www.usda.gov/wps/portal/usdahome
– Roadmap: http://www.usda.gov/ocfo/usdasp/usdasp.htm
• Department of Commerce – National Institute of Standards and
Technology (NIST)
– http://www.nist.gov/
– Roadmap: http://www.nist.gov/public_affairs/releases/budget_2009.htm
• Department of Education
– http://www.ed.gov/
– Roadmap:
http://www.ed.gov/about/reports/annual/2009plan/program.html
– Strategic Plan for Fiscal Years 2007-12:
http://www.ed.gov/about/reports/strat/index.html?src=ln
• Department of Energy
– http://www.doe.gov/
– Budget: http://www.energy.gov/about/budget.htm
• Department of Health & Human Services (NIH, CDC, FDA, AHRQ)
– http://grants.nih.gov/grants
– Roadmap: http://nihroadmap.nih.gov/index.asp
Opening the Door
Other Federal Agencies, continued
• Department of Homeland Security
– https://baa.st.dhs.gov/
– Roadmap: http://www.dhs.gov/xabout/strategicplan/
• Environmental Protection Agency (EPA)
– http://www.epa.gov
– Roadmap: http://www.epa.gov/ocfo/plan/plan.htm
• National Aeronautics and Space Administration (NASA)
– http://www.nasa.gov/directorates/esmd/aboutesmd/acquisitions/index.ht
ml
– Roadmap: http://www.nasa.gov/offices/pae/references/index.html
• National Oceanic and Atmospheric Administration
– http://www.oar.noaa.gov/
– Roadmap: http://www.oar.noaa.gov/aboutus/strategic.html
• National Science Foundation (NSF)
– http://www.nsf.gov
– Roadmap: http://www.nsf.gov/about/performance/
Opening the Door
Small Business Innovation Research (SBIR) and Small
Business Technology Transfer (STTR) Programs
10 federal departments/agencies required to
reserve some R&D funds for small business
Department of Agriculture
Department of Commerce
Department of Defense
Department of Education
Department of Energy
Department of Health and Human Services
Department of Transportation
EPA
NASA
NSF
Opening the Door
Small Business Innovation Research (SBIR) and Small
Business Technology Transfer (STTR) Programs
• SBIR is for small businesses
• STTR includes a nonprofit research institute with
a small business as lead
• Spurs economic development
• High-risk, high-payoff research that leads to a
commercial product while serving a government
need or interest
Opening the Door
SBIR Program
Size per NAICS code
(http://www.sba.gov/size/)
Awards based on qualification, degree of
innovation, technical merit, and future market
potential
Phase I
Phase II
Phase III
up to $100,000 for
approximately
6 months,
exploration of the
technical merit or
feasibility
up to $750,000
for as many as
2 years, evaluate
commercializatio
n potential and
prototype
private sector or
other non-SBIR
federal agency
funding, move
from laboratory
into marketplace
http://www.zyn.com/sbir/
http://www.sba.gov/aboutsba/sbaprograms/sbir/sbirstir/index.html
Opening the Door
SBIR for Universities?
• Establish a start-up
– Needs to be incorporated
– Professor as Principal Investigator
• SBIR funds the proof of concept without
diluting equity
• Reduce risk to improve chances for VC
funding or acquisition
Improving Your Chances
Dual Use and COTS Benefits
Government perspective
Spinin
Spinout
Using outside innovations to help solve
government problems
Saves government money (buying
commercial-off-the-shelf vs. inventing)
Achieves government goals faster
Provides access to expensive
equipment/facilities
Finding new applications for
government innovations (agriculture,
energy, manufacturing, medicine, etc.)
Increases tax dollar benefits
Helps U.S. businesses be successful
Improves quality of life and public health
Improving Your Chances
Dual-Use and COTS Benefits, continued
Your perspective
Spinin
Spinout
Leveraging your technologies for their
needs
Offer components and features rather than
full products
Identify and acknowledge shortfalls
Develop concepts to mitigate short falls
Identifying how technologies can be
used commercially
Pitch dual use to government
Expand core competencies and product
offerings
License to noncompeting companies for
royalty revenue
Improving Your Chances
Important Steps
Perform for future opportunities
Sign up for alerts
Develop relationships and
present your capabilities
Monitor awards to identify prime contractors
and subcontracting opportunities
Monitor current solicitations
to identify decision makers
Review agency roadmaps and
understand need areas
Various methods of obtaining Phase I grant monies
UCF Case Examples:
• Technology Workshop at UCF sponsored by NASA Kennedy
Space Center SBIR Programs Office
– Seeking commercial partners for Phase III
• Industry, NASA, Air Force, Army in attendance
– Technology Demonstration by Small Business and UCF with
Q&A
– Results of Workshop to date:
• Patent License In Negotiation for UCF Technology
• Selected for two new SBIR Phase I grants
• Selected for one new STTR Phase I grant
How partnerships with Economic Development
Agencies can bolster your spin-out success
• UCF Case Examples:
– Florida High Tech Corridor Council
• Established and funded by State of Florida to attract
and retain high tech industry across 23-county, central
region of the state
• University of Central Florida, University of South
Florida, University of Florida
– Provides cash match to promote industryuniversity research partnerships
• $55 million, 300 companies
How partnerships with Economic Development
Agencies can bolster your spin-out success
• UCF Case Examples:
– UCF Incubation Program began in 1999 – 8 sites in
Metro Orlando and growing!
• Driven by emerging engineering and optics
technologies developed at university; graduates
• UCF Research Park site of 1st UCF Technology Incubator
– Program is a partnership between UCF and local
governments, economic development agencies
and the community.
How partnerships with Economic Development
Agencies can bolster your spin-out success
• UCF Case Examples:
– UCF Incubator Program Services
• On-site business coaching & mentoring (in conjunction with UCF
Venture Lab)
• Entrepreneurship curriculum, seminars (required)
• Access to community leaders and advisory board, university
technology and research, interns, grad students
• Shared resources: conference rooms, equipment
• Networking—university technology and research, facilities
• Adaptable space, flexible leases
How partnerships with Economic Development
Agencies can bolster your spin-out success
• UCF Case Examples:
– UCF Incubator Program Services:
Results
How partnerships with Economic Development
Agencies can bolster your spin-out success
• UCF Case Examples:
– UCF Venture Lab opened in 2004
• Funded jointly by UCF’s Office of Research &
Commercialization, Orange County government
• Merged with UCF Technology Transfer Office in 2010
– Provides early-stage entrepreneurs:
•
•
•
•
•
Business coaching, planning and financial assistance
Market research, Idea Assessment
Company, investor and product pitches
SBIR and Kauffman educational workshops
Templates
How partnerships with Economic Development
Agencies can bolster your spin-out success
• UCF Case Examples:
– GrowFL – Pilot Program
• Provides technical assistance for expanding businesses
• Florida Economic Gardening Institute at UCF, funded by
Florida legislature
• State, regional and local economic development
support, Edward Lowe Foundation
– Eligibility for second-stage companies
• For-profit, privately held, employ 10 but no more than
50 employees, 2 years in business in Florida, annual
revenue between $1 -25 million
Overview of Florida’s state-supported programs
focused on technology transfer
UCF Case Examples:
• State University Research Commercialization
Assistance Grant (SURCAG) Program
– Funding from State of Florida to promote
commercialization of university research products
to enhance Florida’s economy and public
universities
Overview of Florida’s state-supported programs
focused on technology transfer
UCF Case Examples:
• State of Florida SURCAG Grants
– $2 million available annually to Florida’s state university
system to establish commercially viable ventures to
market and sell products from university research.
– Competitive Phase 1, 2, 3 grants; Match required from
private investment for Phase 3 grants
Overview of Maryland’s state-supported programs
focused on technology transfer
Background on Maryland
• Two large research institutions – JHU & UMD
• Historically, MD has not performed well with respect to
university spinouts
• MD Technology Development Corporation (TEDCO) was
created (1998) to leverage MD’s university assets in support of
Technology Business & Economic Development (TBED) activity
–
–
–
–
Technology transfer funding programs
Technology showcases
Incubator support
Primarily state supported
Maryland’s state-supported programs
Mapping of Maryland’s Programs
Basic
Research
Proof of
Principle
Funding Available
Product
Development
Product
Launch
“Valley of Death”
UTDF
MTTCF
TechStart
JTTI
MIPS
TRA
BCA
Enterprise
Universities
Challenge
Companies
Overview of Maryland’s state-supported programs
focused on technology transfer
University Technology Development Fund
(UTDF) - TEDCO
• Purpose: To support pre-commercial research on university
technology that has commercial potential; to advance the
technology so it can be licensed
• Awards of up to $50K for one year
• All MD universities are eligible
• Proposals submitted in conjunction with TTO – Disclosure is
required
• Payback provision – capped at 2X and based on royalties
• TEDCO’s first program to address greatest need for T2
Overview of Maryland’s state-supported programs
focused on technology transfer
Tech Start Program - TEDCO
• Purpose: To increase the number of university start-ups in MD
by helping to determine if a technology is viable
• Awards of up to $15K for up to 6 months
• All MD universities and some federal labs are eligible
• Team requirement: TTO, Entrepreneur, Inventor
• Examples include: freedom-to-operate, market assessment,
regulatory opinion
• Program developed in collaboration with university and
federal lab TTOs in MD
Overview of Maryland’s state-supported programs
focused on technology transfer
MD Industrial Partnerships - UMD
• Purpose: Accelerates technology commercialization by
funding collaborative R&D projects involving UMD faculty and
companies
• Awards of up to $100K for up to 1 year – “Cash” part of award
goes to university
• Company match of 10% - 50%
• Project – company product development, testing, or
technology development
• IP agreement before an award is made
• Program created in 1987
Overview of Maryland’s state-supported programs
focused on technology transfer
Translational Research Awards (TRA)
MBC/DBED
• Purpose: To catalyze the translation of early-stage bioscience
research into commercially viable products or services
• Awards of up to $200K for one year
• All MD “bioscience” companies & universities are eligible
• In practice, universities must have a company interested
• Payback provision – capped at 2X and based on royalties or
revenue
• Designed to complement UTDF, but for larger projects
• Created by MBC in consultation with TTOs & companies
Overview of Maryland’s state-supported programs
focused on technology transfer
MD Tech. Transfer & Commercialization
Fund (MTTCF) - TEDCO
• Purpose: To facilitate the transfer and commercialization of
technology from universities and federal labs, or at companies
in MD incubators
• Awards of up to $75K for one year with 50% company match
• MD companies in incubators or licensing MD Technology are
eligible
• Payback provision – capped at 2X and based on revenue –
equity conversion option
• Original program, MTTF, required license from MD lab
Overview of Maryland’s state-supported programs
focused on technology transfer
Joint Technology Transfer Initiative (JTTI)
TEDCO
• Purpose: To support technology development &
commercialization that:
• Meets the needs of DHS and USAMRMC (spin-in)
• Commercializes DHS or USAMRMC technology (spin-out)
• Awards of up to $75K for one year with 50% company match
• Any U.S. company is eligible
• Award decisions are made by an executive panel
• Funding obtained through a federal grant
Overview of Maryland’s state-supported programs
focused on technology transfer
Biotechnology Commercialization Awards
(BCA) - MBC/DBED
• Purpose: To assist long product development timelines –
supplementary funding to achieve later-stage milestones –
toward product launch or outside investment
• Awards of up to $200K for one year – milestone dependent
• Any MD “bioscience” company is eligible
• Payback provision – capped at 2X based on revenue
• Complements MTTCF program, but for longer, later-stage
projects
• Developed in consultation with MD bioscience companies
Overview of Maryland’s state-supported programs
focused on technology transfer
Maryland Venture Fund - DBED
• Purpose: State-funded seed and early-stage equity funds
• Challenge Investment Program
• Initial investments of $50K - $100K up to $150K
• 1:1 co-investor match required
• Enterprise Investment Fund Program
• Investments of $150K - $500K
• 3:1 co-investor match required
Overview of Maryland’s state-supported programs
focused on technology transfer
Insights
• T2 is not a core mission of universities, so funding will always
be constrained – need to develop outside sources for T2
• The mission of state economic development agencies is
aligned with that of university TTOs – start-up companies
• Take a regional approach to T2 that involves area TTOs, DBED,
small companies, and other stakeholders – lobby for change
together
• Consider federal opportunities through grants, contracts, and
cooperative agreements
How TEDCO’s successful ACTiVATE and INNoVATE
programs were developed
Working beyond Traditional
Technology Transfer
• Opportunity through the NSF’s Partnerships for Innovation
(PFI) program - $600K for 3 years
• UMBC took the lead (only universities eligible), TEDCO and
other MD university TTOs partnered
• Program description: train mid-career women to start
companies based on university technologies
• 30 women, 15 technologies, 3-5 new companies per year
• Program licensed to a start-up for national expansion
• Led to second PFI award for INNoVATE program
Audience Q&A
• Utilize the chat box to the bottom of your
screen to submit a question to the panel.
Please address your question to a specific
presenter.
OR
• Press 01 on your touchtone phone and this
will place you into the phone queue.
Thank you
-Technology Transfer Tactics www.technologytransfertactics.com