D E L I V E R I N G S M A L L B U S I N E S S I N N O V A T I O N T O T H E F L E E T
Department of Navy (DON)SBIR and STTR Program
SBIR/STTR At A GlanceMarch 4, 2014
Jack GriffinDeputy S&T Director
PEO Littoral Combat ShipsDistribution Statement A. Approved for public release; distribution is unlimited
D E L I V E R I N G S M A L L B U S I N E S S I N N O V A T I O N T O T H E F L E E T
DON SBIR/STTR Main Goals
• Use small business to develop innovative R&D that addresses a Navy or Marine Corps need – including energy efficiency improvements and cyber security improvements, as the DON mission evolves.
• Commercialize (Phase III) that technology into a DON platform or weapons/communication system, or for facilities use in expeditionary bases in new “pivot” locales in Africa and Asia.
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D E L I V E R I N G S M A L L B U S I N E S S I N N O V A T I O N T O T H E F L E E T
NAVAIR24m $.75-$1M
BaseII.5 up to $1.5M Options require matching funds
NAVSEA24m $600K Base
6m, $150K OptionII.5 up to $1.5M
SPAWAR18m $600K Base
6m, $150K OptionII.5 up to $1.5M
MARCOR24m $600K Base
6m, $150K OptionII.5 up to $1.5M
ONR18m, $500K Base
9m $250K Option 118 $750K Option 2(50/50 cost match)
Typical DON SBIR/STTR Phase I and Phase II Funding Landscape
Each SYSCOM has own Phase II guidance (typical amounts shown)
Phase I6m $80K base
6m $70K option
Phase II/II.5Base & Option
vary by SYSCOM
Phase IIINon-SBIR Funding
(Government or Private)
Production/Further R&D
Idea Generation
Prototype Development/Demonstration
Demonstration / Commercialization
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D E L I V E R I N G S M A L L B U S I N E S S I N N O V A T I O N T O T H E F L E E T
• SBIR/STTR projects derive from SYSCOM-generated Topics announced in quarterly solicitations.
• Over 80% of Navy Topics are selected by PEO/PM/FNC offices and address their specific needs, not just “sponsored by”.
• PEOs get back 90% of their SBIR/STTR “tax” , as Topics. They make Phase I and II selections and have Phase III funding.
• Many contracts monitored by lab employees with Acquisition Office POC involved.
Acquisition Driven Process, withStrong Technology Pull
D E L I V E R I N G S M A L L B U S I N E S S I N N O V A T I O N T O T H E F L E E T
DON SBIR/STTR Supports a Wide Variety of Technology Needs
SSN-774 Virginia-class Submarine
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D E L I V E R I N G S M A L L B U S I N E S S I N N O V A T I O N T O T H E F L E E T
Generic SBIR/STTR Award StructureDON SYSCOMS tailor this model as needed
Feasibility Study Technology Developmentand Prototype Demonstration
Prototype Testing & EvaluationTechnology Demo & Validation
Phase IPhase I
BasePhase I Option
• 6 Months (SBIR)
• 7 Months (STTR)
• $80K
• 6 Months• $70K
FFP Contract
NTE $150K
Phase II
Phase II Base
Phase II Option 1
Phase IIOption 2
• 18 Months
• ≤ $500K
• 9 Months• ≤ $250K• TTP required • SBIR PM/PO
review for Option 2 at exit
• ~12-18 Months• ≤750K total• 1:1 cost match• ≤ $375K SBIR• ≤ $375K match
• Signed TTA required
• TRL 4 at exit
CPFF Contract
NTE $1.125M SBIR/STTR Funding
Subsequent Phase II
Contingent upon having a successful project with a
committed Transition Sponsor/Path
• Up to 24 months• 1:1 cost match• Signed TTA required• Minimum TRL 4 at entry
CPFF Contract
NTE $1.5M SBIR/STTR Funding
NTE $2.775M Total SBIR /STTR Funding
NOTE: A ‘Subsequent Phase II’ is a Requirements Driven process; i.e., based upon Acquisition program needs.
TTP: Technology Transition PlanTTA: Technology Transition Agreement
Updated June 6, 2013
Phase III
Transition to Acquisition Program
• Non-SBIR/STTR $ (Private sector or Non-SBIR Gov. $)
• Unlimited POP• SBC Extension of Data
Rights and Sole Source Designation
Contract Type VariesPhase III contracts may be awarded without competition after Phase I/II
No limit on funding (Just Non-SBIR/STTR)
Phase III – can occur anytime after Phase I and is funded with non-SBIR/STTR$
CommercializationTransition
TRL: 0 - 3 2 - 5 4 - 7 6 - 9
D E L I V E R I N G S M A L L B U S I N E S S I N N O V A T I O N T O T H E F L E E T
What’s New With SBIR/STTR?
• SBIR/STTR Reauthorization statute focuses on increased commercialization:– DoD services and components must set transition and insertion goals– All Federal agencies may offer increased transition assistance to awardees– Awardees must transition SBIR/STTR projects
• Phase II Transition Rate Benchmark – Applies to firms receiving >20 Phase Is over 5 years: 25% benchmark for winning Phase Iis.
• Commercialization Rate Benchmark– Applies to firms receiving >15 Phase IIs over 5 years: 25% benchmark for winning Phase IIIs.– Period of calculation excludes most recently completed fiscal year.
• Penalty– Awardees failing either benchmark are ineligible for a new Phase I or II award for one year from the time of
determination (June 1). SBA notifies Agencies and ineligible firms, Agencies report denied applications.
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What’s New With SBIR/STTR?
• Statute also focuses on opening access to SBIR/STTR– Federal agencies are required to develop and execute outreach plans to
underserved populations, with emphasis on women and minority entrepreneurs … especially in states with fewer SBIR/STTR awardees
– State-oriented FAST program is reestablished• …. while protecting against potential improprieties
– Federal agencies are expected to offer guidance to SBIR/STTR awardees on fraud, waste and abuse – and to implement methods of curbing abuse
• Statute allows all Phase I awardees to submit Phase II proposals– Agency practices are described in solicitations
• Latest amendments to SBA’s SBIR/STTR Policy Directives may be found in Federal Register of January 8, 2014 at pg. 1303
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D E L I V E R I N G S M A L L B U S I N E S S I N N O V A T I O N T O T H E F L E E T 9
FY09 FY10 FY11 FY12 FY13Total DoN SBIR Funding per FY $328M $342M $264M $271M $231MDoN SBIR Topics issued that FY 224 233 181 160 149Number Of Phase I Proposals 3555 4098 3282 2533 2227DoN Phase I Awards from FY Solicitations 597 693 483 434 250*Avg time to award Navy Phase I contracts 4.8 mo 4.5 mo 4.5 mo 4.4 mo 4.5 mo
Navy Phase II Awards during FY 267 305 257 279 222Navy Phase III Awards during FY 126 131 146 121 **Amount of Navy Phase III Awards that FY $362M $566M $552M $725M **DoN STTR Funding Per FY $40M $41M $33M $36M $31MDoN STTR Topics Per Year 39 50 39 26 29DoN STTR Phase I Awards during FY 125 158 116 62 70DoN STTR Phase II Awards during FY 47 46 52 23 41
SBIR/STTR Program By The Numbers
* Still collecting data ** Data not available yet
D E L I V E R I N G S M A L L B U S I N E S S I N N O V A T I O N T O T H E F L E E T
SYSC
OM
PM
’sPE
O S
BIR
Tech
nolo
gyM
anag
ers
SBIR
Fi
eld
Offi
ces
John Williams, Director
Dean PutnamSBIR Program Manager
NAVSEA
Donna MooreSBIR Program Manager
NAVAIRKim Berche - Deputy
Elizabeth MaddenSBIR Program Manager
MARCOR
Lore-Anne PonirakisSBIR Program Manager
ONR
Elizabeth AltmannSBIR Program Manager
SPAWAR
Blenda GatelySBIR, Technical Liaison
PEO Carriers
Glen SturtevantSBIR, Technical Liaison
PEO Ships
Douglas MarkerSBIR, Technical Liaison
PEO IWS
Megan CramerSBIR, Technical Liaison
PEO LCS
Lauren PitreSBIR, Technical Liaison
PEO Subs
VacantAdministrating Officer
NSWC Carderock
Brooke PyneAdministrating Officer
NSWC Crane
Joe GarciaAdministrating Officer
NSWC Dahlgren
Nancy JohnsonAdministrating Officer
NSWC Indian Head
Jack GriffinAdministrating Officer
NUWC Newport
Todd ParcellSBIR, Technical Liaison
PEO (A)
Bill O’ReaganSBIR, Technical Liaison
PEO (T)
Glenn Menear SBIR, Technical Liaison
PEO (U&W)
Amanda GentrySBIR, Technical Liaison
PEO (JSF)
Janet McGovern SBIR, Technical Liaison
NAVAIR (1.0)
Dr. Mark HusniAdministrating Officer
NAVAIR Lakehurst
Dr. Michael SeltzerAdministrating OfficerNAWC- WD China Lake
Jerry RubinskyAdministrating Officer
NAWC- AD Patuxent River
VacantSBIR, Technical Liaison
PEO Space
Butch WrenAvionics & Sensors
NAWC-AD Patuxent River
Paul HalloranSBIR, Technical Liaison
PEO Land Systems
Reggie WilliamsPropulsion and Power
NAWC-AD
Dr. Thomas FranzAdministrating Officer
NAWC- TSD Orland
Kimberly BercheCPP Program Manager
NAWC- AD Patuxent River
Steve SullivanSTTR PM
Michelle WillisCRP Program Manager
Matt WilliamsPhase II.5 Lead
Lee Ann BoyerCRP Program Manager
VacantSBIR, Technical Liaison
PEO C4I
Victor GavinSBIR, Technical Liaison
PEO EIS
SBIR/STTR Is Embedded DON-Wide
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D E L I V E R I N G S M A L L B U S I N E S S I N N O V A T I O N T O T H E F L E E T 11
The Navy Opportunity Forum is the Navy's Premiere Small Business Technology Event
• Forum is culmination of 11 month Transition Assistance Program (TAP) and in its 13th year
• Directly supports Legislation requiring DON to develop programs that help firms transition/ commercialize SBIR funded technology
• Supports USD AT&L, SECNAV and DON RDA directives and policy memos
• Wins documented praise by Congressional Armed Services and Small Business Committees
• Documented record of Success of non-SBIR funding from DON PoR’s
• The most cost effective method for generating “transition” which requires face to face briefings and discussions
D E L I V E R I N G S M A L L B U S I N E S S I N N O V A T I O N T O T H E F L E E T
SBIR/STTR Homepage: www.navysbir.com
Learn about:• SBIR/STTR phases
(funding, timelines, requirements, etc.)• Solicitation schedules• Links to SYSCOM sites• Program POCs• Submitting proposals• Getting started, getting
paid
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D E L I V E R I N G S M A L L B U S I N E S S I N N O V A T I O N T O T H E F L E E T 13
www.navysbirsearch.com
Free!
D E L I V E R I N G S M A L L B U S I N E S S I N N O V A T I O N T O T H E F L E E T
Why SBIR/STTR?
• Government’s incentives– Test drive small business capability– Proactive risk reduction– Early/high-risk S&T with SBIR/STTR funding– Competing approaches open up additional technology alternatives– Non-competitive follow-on awards– High level of matching funds
• Small Business’ incentives– Largest source of early stage R&D funds for small firms– Company retains data rights for 5 years (DoD)– Builds credibility of company’s research – Follow-on awards are non-competitive
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D E L I V E R I N G S M A L L B U S I N E S S I N N O V A T I O N T O T H E F L E E T
Tips for Succeeding with Navy SBIR/STTR
Just getting started?– Research topics consistent with your business strategy– Current and past solicitations identify Navy technology needs– Know Navy structure– Submit proposals for problems you can solve– Prepare to be innovative
Already have a Phase I?– Know your target platform/system for insertion– Build strategic partnerships (Primes, Universities, Acquisition
Program Managers-Tech Directors-Requirements Officers)– Plan commercialization path early with TPOC
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Questions?
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