2013 KIEC - Air Force SBIR/STTR: From Conception To Commercialization

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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