U.S. Army Research, Development and Engineering Command

October 18, 2012

Dr. Brad Guay

Army STTR Program Manager

Phone: 919-549-4258

Email: bradley.e.guay.civ@mail.mil

SBIR & STTR

Report Documentation Page Form ApprovedOMB No. 0704-0188

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13. SUPPLEMENTARY NOTES Presented at the 2012 Science, Technology & Requirements Forum held 17-18 October in Fort LeonardWood, MO.

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Standard Form 298 (Rev. 8-98) Prescribed by ANSI Std Z39-18

2

Agenda

SBIR & STTR Programs Overview

Three-Phased Programs

Key Features, Requirements, & Eligibility

Agency Participation and Funding

DoD SBIR & STTR Administration & Reporting

Cyclic Activities – Topics, Solicitations, Proposals

Transition & Commercialization

Summary & Resources

Program Overview

4

•

· ARMY I

5

SBIR Overview

The Small Business Innovation Research (SBIR) program:

Requires each federal agency with an extramural for R&D over

>$100M to set-aside 2.6% for SBIR (Army FY12 = $182M)

The Small Business Innovation Research goals:

Stimulate technological innovation

Increase small business participation in federally funded R&D

Foster participation by minority and disadvantaged firms in

technological innovation

Increase private sector commercialization of federal R&D

6

STTR Overview

Requires each federal agency with an extramural for R&D over >$1B

to set-aside 0.35% for Army STTR FY12 = $24.7M

Offers the government a unique opportunity to engage small

technology businesses partnered with research institutions

Small Business Technology Transfer

Three-Phased

Process

8

Three-Phased Program

6 months

up to $150,000

9 months

up to $150,000

2 years

up to $1,000,000

2 years

up to $1,000,000

SBIR STTR

9

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

and ultimately into the hands of our Soldiers.

Output to Field

Soldier Critical Needs

R&D / Innovation / New Capability

S&T Challenge Areas (TEC-D assist)

SID-TFT Capability Gaps / TAIs

TRADOC TIEs, WFOs

PEO Roadmaps/T2 Initiatives

Phase I Phase II

Soldier Solutions

Increased Operational Capabilities

Army Program of Record

ACAT I-IV Integration

Input from Field

Topics

Transition

Non-SBIR Funds • Government • Industry

Product: Feasibility

Study

A short term effort to

determine viability of

a topic solution

(6 months, $100K)

3000 proposals, 300

Ph1 awards (10%)

A Technology

Requirement

Written by Army

Scientists & Engineers

across Army Labs, R&D

Centers and PEOs in

response to Soldier’s

Needs

Army SBIR Small Business Innovation Research

Fast Track

$50K

ARMY SBIR Life Cycle

Phase III

Commercialization Pilot

Program (CPP, $500K-$1.0M)

Phase II Enhancements

(Ph2-E, $500K-$1.0M)

Product: Prototype

Creation of a prototype

to validate & mature the

topic solution

(2 years, $1.0M)

150 Ph1s Invited &

Awarded Contracts

(5%)

Transition

TRADOC Pam 525-3-1

10

SBIR Timeline

Solicit

& Eval Phase I

($150k) Ph II

Invite &

Eval Phase II

($1M)

Ph II

Enhancement Phase III

Begin Project

Interface with

PEO/PM & Prime

Detail Design Requirements/

Define Risk & Opportunities

Deliverable: Prototype

Topic

Generation

& Review

1+ Years 4 Years

Obtain funding from

Program Sponsors;

Prepare for Transition

Seek Program

Sponsorship to Align

with ACAT needs

Pro

gra

m A

dm

inis

trati

on

P

h III

Pla

nn

ing

Deliverable: Feasibility Study or Report

Key Features,

Requirements, &

Eligibility

12

Participating Firms

10 - 24 Emps22%

25 - 49 Emps16%

50 - 99 Emps18%

100 - 249 Emps13%

250 - 500 Emps

3%

Small hi-tech firms from across the country

2/3 of applicants have fewer than 50 employees

Top Ten

1. CA

2. MA

3. VA

4. MD

5. NY

6. TX

7. CO

8. OH

9. PA

10. FL

1 – 9 Employees

28%

70% of

Awards

Agency Participation

& Funding

14

Federal Agency Participation

Dept. of Defense

National

Science

Foundation

Environmental

Protection Agency

Dept. of Health and

Human Services

Dept. of Homeland

Security

Dept. of

Transportation

Dept. of Commerce

Dept. of Energy

Dept. of Agriculture

National Aeronautics

and Space

Administration

Dept. of Education

SBIR + STTR Programs:

SBIR Program only:

15

DoD Component Participation

Air Force

Missile Defense

Agency

Special Operations

Command

Army

Defense Advanced

Research Projects

Agency

National Geospatial

Agency

Defense

Microelectronics

Activity

Navy

Defense Threat

Reduction Agency

Office of Secretary of

Defense

Joint S&T Office for

Chemical and

Biological Defense

Defense Logistics

Agency

SBIR + STTR Programs:

SBIR Program only:

16

Federal Participation

DoD 55%

HHS 27%

NASA 5%

DoE 6%

NSF 4% Others*

3%

DOD NASA DOT EPA DOC DHS DOE NSF USDA DoED HHS

SBIR

STTR

Contract/Grant C C C C C C G G G G/C G/C

Small Business

Administration (SBA)

oversees the federal

SBIR/STTR programs

• Policy Directive

• Congressional Report

• Size determination

• Waivers

17

DoD Program Funding

Army Navy AF MDA DARPA OSD DTRA SOCOM CBD DLA DMEA NGA

SBIR

(FY12

$M)

$244.4

($182)

$342.6 $331.3 $90.3 $67.3 $86.2 $8.3 $10.2 $14.6 $2.4 $1.3 $0.5

STTR

($M)

$29.3

($24.7)

$41.1 $39.8 $10.9 $8.1 $6.0

DoD FY10 Budgets

SBIR: $1.2B

STTR: $135M

NGA is not required to have a SBIR program but participates voluntarily

OSD/OSBP oversight

of Component

SBIR/STTR programs

Army

Navy Air Force

MDA

DARPA OSD

DTRA

SOCOM CBD

DLA DMEA

NGA

DoD Administration

& Reporting

19

DoD Solicitation Topics

Largest % Growth of Topics from 2004-2009

63%

11% 93%

65%

25%

Address a DoD Key Technology Area

Tend to have narrow focus rather than broad

DoD SBIR/STTR

Solicitations

21

FY13 DoD Solicitation Schedule

FY13 Open Close Participating Components

SBIR 13.1 17Dec12 16Jan13 Army, Navy, CBD, DARPA, DTRA,

OSD, SOCOM

SBIR 13.2 24May13 26Jun13 Army, Navy, Air Force, DARPA,

DTRA, MDA, OSD, NGA

SBIR 13.3 26Aug13 25Sep13 Army, Navy, DARPA, OSD

STTR 13.A 25Feb13 27Mar13 Army, Navy, MDA

STTR 13.B 26Aug13 25Sep13 Air Force, MDA

3 SBIR and 2 STTR DoD solicitations

Identify 900 topics

Attract 15,000 proposals

FY12 Army Topics = 119 SBIR + 30 STTR

22

Evaluation Criteria

22

SBIR and STTR proposals are evaluated on:

Soundness, technical merit, and innovation of proposed

approach and its incremental progress toward topic or

subtopic solution

Qualifications of the firm and team to perform R&D and

commercialize results

Potential for commercial application — government or

private sector

• Same criteria used for Phase I and II

• Weighting determined by the Component

Transition &

Commercialization

24

Important to Technology

Development

SBIR/STTR invests earlier & funds more than other R&D programs

Spans broad spectrum of acquisition lifecycle and RDT&E categories

Opportunities for Leap Ahead, Risk Mitigation, Enabling Technology

Initial Product/

Process Capability

Product/Process

Development

Product/Process

Insertion

Product/Process

Improvement & Sustainment

6.1 6.2 6.4 6.5 6.3 6.6 A

Concept & Technology Development System Development &

Demo

Production &

Deployment Sustain

& Maint.

SBIR / STTR

B C

Defense Acq Challenge (DAC)

Foreign Comp Testing (FCT)

Tech Transition Initiative (TTI)

ManTech

Advanced Concept Technology Demo (ACTD)

6.7

Defense Acquisition, Technology, & Logistics Life Cycle Management Framework

Summary &

Resources

26

Program Review

FY13 SBIR STTR

Set-Aside 2.6% 0.35%

Extramural R&D >$100M >$1B

Federal Agencies 11 5

DoD Components 12 6

Participants Small Business Small Business +

Research Institute

DoD Solicitations 3 annually 2 annually

Phase I $150K, 6 months $150K, 6+ months

Phase II $1M, 2 years $1M, 2 years

27

Why Small Businesses

Participate in SBIR

1) Largest source of early stage R&D funds

2) No strings attached

3) Follow-on Phase III awards can be sole sourced

4) Company may maintain ownership of equipment

5) Builds credibility with government contracting

28

Contacts

Army (SBIR)

John Smith

703-399-2049

Navy

John Williams

703-696-0342

Air Force

Gus Vu

937-656-9015

DTRA

Robert Swahn

703-767-2915

MDA

Doug Deason

256-955-2020

DARPA

Susan Nichols

703-526-4170

OSD

Teresa Puretz

703-693-0458

CBD

Larry Pollack

703-767-3307

NGA

Stephen Sturtz

571-557-2715

DMEA

Kevin Rankin

916-231-1644

DLA

Natalie Seiling

804-279-5120

SOCOM

Shawn Patterson

813-826-1176

DoD SBIR Program Administrator Christopher S. Rinaldi 866-724-7457

Army STTR Program Manager Dr. Brad Guay/Laura Younger 919-549-4258/4200

Bradley.e.guay.civ@mail.mil

29

DoD SBIR/STTR Resources

Help Desk (8am – 5pm ET M-F)

– Phone: 866-SBIRHLP

– Email: www.dodsbir.net/helpdesk

Websites

– www.acq.osd.mil/osbp/sbir

– www.dodsbir.net

Tutorial

– 30 minute on-line tutorial on how to prepare and submit a proposal

available at www.dodsbir.net

ListServ

– DoD maintains an email broadcast service to announce opportunities.

Subscribe at www.dodsbir.net

30

Handouts

Summary of 2011 S81R/STIR Reauthorlz.ation Act

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Thank You

https://www.armysbir.army.mil/

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