Army SBIR Overview 12 Jun 2013

M I S S I O N The Army SBIR program is designed to provide small, high-tech

businesses the opportunity to propose innovative research and development solutions in response to critical Army needs.

V I S I O NTo be the Army’s premier source of innovative technology

solutions, providing direct access to America’s high-tech small business research and development community, enabling our

Soldiers deployed around the world.

Dawn Gratz, SBIR/STTR Prog Coorddawn.m.gratz.civ@mail.mil

Chris Willison, Tech Asst Advocatechristopher.t.willisson.ctr@mail.mil

What is SBIR?

A congressionally mandated program…• Across Federal Government (DoD, DoE, DHS,

DoT, etc…) Title 15 USC, Sec 638

• 2.6% of Army’s FY12 RDT&E budget ($182M) • Increase small business participation in federally

funded R&D• Transition Federal R&D into:

– Government Programs– Industry Initiatives

• Across Federal Government (DoD, DoE, DHS, DoT, etc…) Title 15 USC, Sec 638

• 2.6% of Army’s FY12 RDT&E budget ($182M) • Increase small business participation in federally

funded R&D• Transition Federal R&D into:

– Government Programs– Industry Initiatives

Army wide:

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AMC, Research Development and Engineering Command (RDECOM)Army Test and Evaluation Command (ATEC)CoE, Engineer Research and Development Center (ERDC)MEDCOM, Medical Research and Materiel Command (MRMC)Space & Missile Defense Command (SMDC)DA G1, Army Research Institute (ARI)Army Program Executive Offices (PEOs)

AMC, Research Development and Engineering Command (RDECOM)Army Test and Evaluation Command (ATEC)CoE, Engineer Research and Development Center (ERDC)MEDCOM, Medical Research and Materiel Command (MRMC)Space & Missile Defense Command (SMDC)DA G1, Army Research Institute (ARI)Army Program Executive Offices (PEOs)

DISTRIBUTION STATEMENT A. Approved for public release; distribution is unlimited.

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SBIR Program Requirements for Participating Small Businesses

Business Size Must be a U.S. for-profit small business of 500 or fewer employees

Partnering Not required, but all work must be performed in the United States; including subcontractors

Budget ~$180M

Work Effort In Phase I, a minimum of 2/3 of the effort must be performed by the proposing small business; a minimum of ½ of the effort in Phase II

Principal Investigator

The Principal Investigator must spend more than ½ of the time employed by the proposing small business

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Small Business Innovation Research (SBIR)

• Transition is program maturation from SBIR investment to Non-SBIR government and/or commercial investment

Output to Field

Soldier NeedsR&D / Innovation / New CapabilitySID-TFT Capability GapsPEO Roadmaps/T2 InitiativesDoD Cross-Pollination Opportunities

Phase I Phase II

Soldier SolutionsIncreased

Operational Capabilities

Input from Field

Topics

TransitionNon-SBIR Funds• Government• Industry

TransitionNon-SBIR Funds• Government• Industry

Feasibility Study A short term effort to

determine viability of a topic solution

(6 months, $100K) 3000 proposals, 400 PhI

awards (13%)

Feasibility Study A short term effort to

determine viability of a topic solution

(6 months, $100K) 3000 proposals, 400 PhI

awards (13%)A Technology RequirementWritten by Army Scientists across the Labs, Centers and PEOs in response to Soldier’s Needs

A Technology RequirementWritten by Army Scientists across the Labs, Centers and PEOs in response to Soldier’s Needs

Army SBIRSmall Business Innovation Research

Phase I Option

$50K when selected for

PhII

ARMY SBIR Life Cycle

Phase III

Commercialization Readiness Program (CRP, $500K)Phase II Enhancements

(PhII-E, $500K)

Prototype DevelopmentCreation of a prototype to validate & mature the topic solution (2 years, $1.0M)200 PhIs Awarded Contracts (6%)

Prototype DevelopmentCreation of a prototype to validate & mature the topic solution (2 years, $1.0M)200 PhIs Awarded Contracts (6%)

~3000 Proposals per FY~630 Awards per FY

3 DoD Topic Solicitations

Recent History

2005 2006 2007 2008 2009 2010 2011 2012*

Budget ($M) $233 $243 $243 $270 $265 $244 $207 $182

# Topics 246 238 216 213 204 176 138 119

# Phase I ProposalsReceived

4,503 3,7943,14

23,110 3,449

3,241

2,853 2,140

# Phase I Contracts 371 321 361 409 427 336 363 132

# Phase II Contracts 259 218 185 255 204 177 200 41

# Phase II Enhancements

Funds Invested ($M)

10 $5

32 $19

34 $16

52 $33

33$21

# CRP Projects Funds Invested ($M)

25 $15

25 $15

25 $15

25 $15

9 $8

* In Progress

ARDEC. PEO-AmmoPicatinny, NJ

NSRDECNatick, MA

AMRDEC - Aviation Fort Eustis, VA

AMRDEC - Missiles, SMDC,PEO-Aviation, PEO-Missiles&Space

Huntsville, AL

STTC (ARL), PEO-STRIOrlando, FL

CERDEC, PEO-C3T, PEO-EIS, PEO-IEW&S APG, MD

TARDEC, PEO-CS&CSS, PEO-GCS

Warren, MI

ARO (ARL)Raleigh, NC

Headquarters RDECOM – Aberdeen Proving Ground, MD

AMRDEC – Aviation & Missile Research, Development & Engineering CenterARDEC – Armaments Research, Development & Engineering Center

ARL – Army Research LabARO – Army Research Office

CERDEC – Communication-Electronics Research, Development & Engineering CenterECBC – Edgewood Chemical Biological Center

NSRDEC – Natick Soldier Research, Development & Engineering CenterSTTC – Simulation and Training Technology Center

TARDEC – Tank Automotive Research, Development & Engineering Center

Organization 2011 Topics

ARI N/AARL 16AMRDEC (A) 8AMRDEC (M) 9ARDEC 14ATEC 3CERDEC 25ECBC 2ERDC 3MRMC 13NSRDEC 8SMDC 8STTC 1TARDEC 12PEO AMMO 1PEO AVIATION 2PEO C3T 1JPEO-CBD 2PEO CS&CSS 2PEO EIS N/APEO GCS 2PEO IEW&S 1PEO M&S 3PEO SOLDIER 2PEO STRI 1PEO Integration N/A

Total 139

ARI Arlington, VAPEO-Soldier, Fort Belvoir, VA

ERDCVicksburg, MS

Topic Author Organizations

ARL Adelphi , MD MRMCFt Detrick,

MD

HQ RDECOM (APG, MD)

ECBCAPG, MD

ATEC, AMSAAAPG, MD

SBIR Program CoordinatorsSBIR Program Office

Headquarters RDECOMJohn Smith – Program Manager

John Pucci – Operations ManagerWanda Deans – Business Manager

RDECOM

AMRDEC Dawn Gratz - Lead

Linda Taylor - AviationBuddy Thomas - Missile

ARDECCarol L’ Hommedieu- Lead

Ben Call

ARL Christopher Little

CERDEC Pat Thomas- Lead

ECBCDhirajlal Parekh- Lead

Martha Weeks

NSRDEC-NatickCathy Polito-Lead

TARDECMartin Novak- Lead

ERDC Theresa Salls

ATECNancy Weinbrenner-

Savage

MRMC JR Myers

LIA*Dale Houck

PEOs

PEO Ammunition Vince Matrisciano

PEO AviationDave Weller

PEO C3TThomas Brutosfsky

Richard Lo

PEO GCS Michelle Link

PEO Missiles & SpaceMyron ChenaultGeorge Burruss

PEOs

PEO CS &CSSMatt Raubinger

PEO EISMichael MullerDirk Robinson

PEO IEW&STodd Simkins

PEO SoldierKristen McKenna

PEO STRIRobert Forbis

SMDC Gary Mayes

TRADOC* Albert Crane

* LIA and TRADOC are Stakeholders but do

not award any SBIR contracts

• The Army conducts a two-tier evaluation of proposals.

• Tier 1 consists of the Technical Evaluation Teams (TET) comprised of multiple Technical Evaluators and a Team Chief for each SBIR topic. Included is the review and endorsement of proposals by various Army stakeholders. The TET forwards the best proposals to the second review tier.

• Tier 2 consists of the Technology Area Chiefs who review the forwarded proposals from an Army-wide perspective and together as the Source Selection Evaluation Board (SSEB) recommends those that merit consideration for funding.

• Based on the SSEB recommendations, the Source Selection Authority (SSA) selects proposals that best satisfy Army needs.

Army SBIR Source Selection Process

Proposals are evaluated using the following criteria (published in the Solicitation): 1. Technical feasibility2. Strength of the personnel & facilities 3. Transition potential

• Purpose: To accelerate the transition to a useable technology.

• Army SBIR Phase II Enhancement provides Phase II SBIR funding to firms that require additional funding during their open Phase II contract.

• How?– Enhancement candidates are initially identified by the project’s COR. – COR has commitment from the customer to participate in the transition– The COR, in conjunction with the TAA and the organization’s PC will compile

the documentation needed for PM, SBIR to make a determination.– Generally SBIR Phase II Enhancement funding will not exceed $500,000 per

request and funding is subject to availability and a deliberate approval process.– Matching funds strongly encouraged.

• Activities funded:

– Further R&D– Modifying or building prototypes; delivering multiple copies– Other activities that facilitate the transition of the project to Phase III

Phase II Enhancements

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• Assess Phase II projects’ commercial and transition potential against program objectives and recommend CRP participants to the Army (~25) – Commercialization and Transition Assessment (CTA) Forms– Once a year – May - June

• Assist selected CRP participants with commercialization and transition– Marketing and business plan development– Facilitate customer collaboration– Co-develop technology transition plans and agreements– Support identification of 3rd party funding/investment

opportunities

• Recommend CRP participant funding levels to the Army ($500K) Ideally, funded as an extension to existing Phase II contract

**** Projected plan

Commercialization Readiness Program (CRP)

Transition Support

• SBIR Transition Programs Available to Small Businesses:

1.Transition Assistance

-- Collaboration/Networking with Army technologists and Transition Agents, such as PEOs/PMs

-- Technology Transition Planning and Development

-- Phase III Planning Assistance (Help formulate Strategies and Resource Requirements)

2. Phase II-Enhancement and Commercialization Readiness Program (CRP)

-- Both initiatives are complementary; Each authorized by Congress or SBA Policy

(Guidance reaffirmed in FY12 NDAA, 31 Dec 2011)

-- Purpose: To accelerate the transition to a useable technology

-- Provide < $500K Additional Funds To Active PhII firms during their open Phase II contract

(Contract Modification)

-- Candidates are identified by local SBIR PC Team, who assesses all Ph2 projects during 1st year

of contract performance• Promising technologies that will require activities after Year 2 prototype is delivered, are further

evaluated for transition funds• Activities Funded: Further R&D, TRL Maturation, Prototype T&E, etc to facilitate transition to Phase

III

-- Funding is subject to availability and a deliberate approval process-- Funding commitments from transition partners is STRONGLY encouraged 11

SBIR Reauthorization Act (FY12 NDAA)

• Extends Program Thru 30 Sep 2017

• Except For Annual Budget 0.1 % Increase, all other guidance dependent on SBA Policy Directive, ~30 Jun 12

• PhII contract size will be limited to < $1.5M (limits Ph2-E/CRP funds < $500K)

• Annual 0.1% Budget Increases Until 3.2% Cap…Increases Are For Transition Only– FY12 Budget (2.6% of Army Extramural RDT&E): $182M (FY11 Budget: $204M, FY10 Budget: $244M)– Less Projects…But Selected Projects will have greater opportunities for transition funds– Future SBIR Topic Focus: 24 S&T Challenge Areas and PEO Tech Needs

• Selections within 90 calendar days from the closing date of the solicitation. Award within 180 calendar days of the closing date of the solicitation (Army announces selections now in less than 90 days)

• No Phase II Invitations; reauthorization also allows agencies the option to bypass the Phase I process (DoD will not implement bypassing Phase I)

• DoD Optional: Provide funds to Venture Capital-backed Firms (DoD will not implement)

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7 May 2009 13

www.armysbir.army.mil

Assistance

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1. DoD SBIR Helpdesk (1-866-724-7457)

2. Army SBIR Helpdesk (703-399-2049)

3. During Pre-Solicitation Period, Topic Authors are available to answer questions put directly to them (www.dodsbir.net/solicitation/)

4. Once the Solicitation opens, firms may contact Topic Authors via SITIS: (http://www.dodsbir.net/sitis/)

5. Army AMRDEC, PEO AV, PEO MS Program Coordinator, and Technical Assistance Advocate