Version 5.0
From Conception to Commercialization
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Overview “The essence of the American economic system of private enterprise is free competition. The preservation and expansion of such competition is basic not only to the economic wellbeing but to the security of this Nation. Such security and well-being cannot be realized unless the actual and potential capacity of small business is encouraged and developed.” - Small Business Act
Why are we here today? What is SBIR/STTR? Which federal agencies participate? How is it structured? How to succeed? Where to find information?
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Why are we here today?
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Innovation Key to Future “We have to shape the future, and that will require innovative thinking and different approaches to problems—and it will require modernization.”
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Kentucky Participation
DC
• Green indicates middle tier • Purple indicates bottom tier
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What is SBIR/STTR?
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Federal Legislation Government to Government
Alliances
Commercialization Pilot Program
National Defense Authorization Act for FY 1993
Government to Industry
(Prior to 1980)
Stevenson-Wydler Technology Innovation Act of 1980
Grants
National Defense Authorization Act for FY 2006 National Defense Authorization Act for FY 1994
Contracts
Cooperative Agreements
CTA
Bayh-Dole Act of 1980 Patent License Agreement
Dual Use
Small Business Research & Development Act of 1992
SBIR
Small Business Innovation Development Act of 1982
STTR
CRADA
Federal Technology Transfer Act of 1986
Mentor-Protégé IR&D National Defense Authorization Act for FY 1991
EPA
Education Outreach Partnership Intermediaries
National Competitiveness Technology Transfer Act of 1989 Other Transaction Authority Technology Investment Agreement
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Congressional Goals Meet federal research and development needs Increase private-sector commercialization of innovations derived from Federal research and development funding Stimulate technological innovation Foster and encourage participation in innovation and entrepreneurship by socially and economically disadvantaged persons
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What is SBIR? Small Business Innovation Research (SBIR) mission: “Support scientific excellence and technological innovation through the investment of Federal research funds in critical American priorities to build a strong national economy.”
Highly competitive program for domestic small businesses to engage in federal R&D with potential for commercialization
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What is STTR? Small Business Technology Transfer (STTR) mission: “Support scientific excellence and technological innovation through the investment of Federal research funds in critical American priorities to build a strong national economy.”
Facilitate the transfer of technology developed by a research institution through the entrepreneurship of a small business concern
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Which federal agencies participate?
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Federal Participation • Department of Defense
• Department of Homeland Security • Department of Agriculture • National Institute of Standards • Department of Transportation • Environmental Protection and Technology Agency • National Oceanic and • National Aeronautics and Space Atmospheric Administration Administration • Department of Education • National Science Foundation • Department of Energy • Department of Health and Human Services
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Typical Federal Budget* Agency
STTR
DoD
$1.1B
$140M
HHS
$640M
$75M
NASA
$120M
$15M
DOE
$140M
$15M
NSF
$100M
$20M
DHS
$20M
USDA
$15M
DOC
$10M
ED
$10M
EPA
$5M
DOT
$5M
TOTAL 13
SBIR
$2.15B * Data shown circa 2009 DISTRIBUTION STATEMENT A – Unclassified, Unlimited Distribution
$250M
How is program structured?
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Program Phases
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Air Force Participation “Create compelling air, space, and cyber capabilities for precise and reliable Global Vigilance, Reach and Power for our Nation.” Air Force Science & Technology Vision
Accomplishes SBIR/STTR congressional goals by Supporting the warfighter Supporting Air Force’s overall technology development mission
Air Force Research Laboratory executes the majority of the Air Force’s SBIR and STTR programs
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Air Force Funding FY2009
FY2010
FY2011
FY2012
FY2013
FY2014
$348M
$345M
$311M
$297M
$267M
$267M*
Phase I Awards
509
438
262
306
483
573*
Phase II Awards
197
176
126
78
161*
191*
Phase I Awards
112
108
79
43
45*
45*
Phase II Awards
24
23
5
15*
15*
15*
Budget SBIR
STTR
* Estimate
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Air Force Opportunities SBIR 2014.1 solicitation Pre-release estimated to open in November 2013 Proposal submission estimated to open in December 2013 and close in January 2014
STTR 2014.A solicitation Pre-release estimated to open in February 2014 Proposal submission estimated to open in March 2014 and close in April 2014
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How to succeed?
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Getting Started in SBIR 1. 2. 3. 4. 5.
Determine your firm’s eligibility Find a topic Ask questions Prepare proposal Submit proposal
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SBIR Eligibility Organized for-profit business based in the U.S. 500 or fewer employees Principal Investigator’s primary employment must be with the small business Additional requirements apply—see www.sbir.gov/applicants
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STTR Eligibility Applicant is for-profit small business based in the United States U.S. research institution Formal cooperative research and development effort 40% of work performed by small business 30% of work performed by U.S. research institution
Additional requirements apply—see www.sbir.gov/applicants
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Solicitations Solicitation Topics
Proposal Submission
www.dodsbir.net/solicitation www.afsbirsttr.com (Air Force) Evaluation
Award 23 DISTRIBUTION STATEMENT A – Unclassified, Unlimited Distribution
About 6-9 Months
DoD issues solicitations at fixed times (not rolling) Topics are predetermined Solicitation instructions critical! Check out current solicitations:
Proposals Solicitation Topics
Proposal Submission
Evaluation
Award 24 DISTRIBUTION STATEMENT A – Unclassified, Unlimited Distribution
About 6-9 Months
Must submit proposals online Pre-release period for questions More info on DoD submission process at www.dodsbir.net/solicitation
Proposals Proposal Cover Sheet Technical Proposal Cost Volume Company Commercialization Report
Solicitation Topics
Proposal Submission
Check status of Air Force proposal at www.afsbirsttr.com Evaluation
Award 25 DISTRIBUTION STATEMENT A – Unclassified, Unlimited Distribution
About 6-9 Months
General components for Phase I:
Evaluations Solicitation Topics
Proposal Submission
Evaluation
Award 26 DISTRIBUTION STATEMENT A – Unclassified, Unlimited Distribution
About 6-9 Months
Soundness, technical merit and innovation of proposed approach Qualifications of proposed principal/key investigators, staff, consultants Potential for commercial application in government or public sector (commercialization) Equal opportunity process
Awards Solicitation Topics
Proposal Submission
Evaluation
Award 27 DISTRIBUTION STATEMENT A – Unclassified, Unlimited Distribution
About 6-9 Months
Air Force sends Phase I selection status within 90 days (typically) of solicitation’s closing Air Force awards contracts within 180 days (typically) Similar timing for Phase II awards
Technology Focus Areas
Directed DirectedEnergy Energy
Human Human Effectiveness Effectiveness
(RD)
(RH)
Space SpaceVehicles Vehicles
Munitions Munitions
(RV)
(RW)
Information Information (RI)
Materials &
Materials & Manufacturing Manufacturing (RX)
AerospaceSystems Systems Aerospace (RQ)
Sensors Sensors
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(RY)
Basic Research
Next Steps 1. Check out the current open solicitations 2. Take a look at past award winners 3. Review the SBIR Policy Directive and the STTR Policy Directive for submission guidelines 4. Search technology areas and identify opportunities where your firm is a good fit 5. Submit proposals aligned with your core business strategy or area of expertise
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Where to find information?
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Helpful Links www.sbir.gov www.dodsbir.net/help (FAQs) www.dodsbir.net/solicitation http://www.dodsbir.net/submission www.afsbirsttr.com (see “Small Business” section) www.afsbirsttr.com/proposals
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Dates to Remember* SBIR 2014.1 solicitation Pre-release—November 2013 Opens—December 2013 and Closes—January 2014
STTR 2014.A solicitation Pre-release—February 2014 Opens—March 2014 Closes—April 2014 * Estimates
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Contact Us Contact Air Force SBIR/STTR Program Office at 1-800-222-0336 Visit our website for SBIR POCs, topic info, newsletter, etc.:
www.afsbirsttr.com
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Back-Ups
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SBIR History Program started as a pilot in the late 1970s Several legislative acts and one directive govern it: Small Business Innovation Development Act (1982) Small Business R&D Enhancement Act (1992) Small Business Innovation Research Program Reauthorization Act of 2000/2011 (reauthorized until 2017) SBA’s SBIR Policy Directive
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STTR History Modeled after the SBIR program Established as pilot in 1992 Small Business Technology Transfer Act (1992) Small Business Innovation Research Program Reauthorization Acts (reauthorized until 2017)
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