1 DoD SBIR/STTR Overview David Sikora, Acting Program Administrator Spring SBIR/STTR Summit May 24, 2016 | Atlanta, GA

2 DoD at 30K Feet Panelists Session 1 10:30 – 11:30 David Sikora, Office of Small Business Programs (Moderator) John Smith, Army Bob Smith, Navy David Shahady, Air Force Susan Nichols, Defense Advanced Research Projects Agency (DARPA) Session 2 11:40 – 12:40 Ted Bujewski, Office of Small Business Programs (Moderator) Sloan Armstrong, Missile Defense Agency (MDA) Larry Pollack, Chemical and Biological Defense (CBD) Mark Flohr, Defense Threat Reduction Agency (DTRA) Natalie Seiling, Defense Logistics Agency (DLA) Tom Piazza, Special Operations Command (SOCOM)

3 About SBIR/STTR Programs Small Business Innovation Research (SBIR) Small Business Technology Transfer (STTR) Congressionally-mandated programs. SBIR started in 1982; STTR started in 1992 Funded as a set-aside assessment of extramural R&D budget; SBIR for Agencies with >$100M RDT&E budget; STTR for Agencies with > $1B RDT&E budget Encourage participation by minorities and disadvantaged persons in technological innovation SBA programmatic authority over federal SBIR & STTR programs (Program Policy Directives) For Official Use Only

4 Stimulate technological innovation Use small business to meet Federal R&D needs Encourage participation by socio and economically disadvantaged persons in technological innovation Funds cooperative R&D between small businesses and research institutions Eligibility Requirements SBIR Organized for-profit U.S. business, located in the U.S. At least 51% U.S.- owned by individuals and independently operated 500 or fewer employees PI’s primary employment with small business during project STTR Formal Cooperative R&D Effort Minimum 40% by small business, 30% by U.S. research institution Small business is Prime, PI can be from SBC or research Institution U.S. Research Institution Intellectual Property Agreement Purpose of SBIR/STTR

5 3 Phased Program The SBIR/STTR Programs are structured in three phases. Phase I determines the scientific, technical and commercial merit and feasibility of the ideas submitted. Phase II is the major research and development effort, funding the prototyping and demonstration of the most promising Phase I projects. Phase III is the ultimate goal of each SBIR/STTR effort and statute requires that Phase III work be funded by sources outside the SBIR/STTR Program. Phase I: Feasibility Study Phase II: Full Research, R&D to Prototype Phase III: Commercialization

6 What’s Unique About DoD For Official Use Only Focused on the warfighter Largest SBIR program in the Federal Government DoD is both an investor and a customer Sole-sourcing allowed for follow-on awards Issues contracts not grants Retain data rights for 5 years Does not allow majority- owned by multiple VCOCs, equity, or hedge funds to participate

7 Contracts versus Grants Contracting AgenciesGranting Agencies Agency establishes plans, protocols, requirements Highly focused topics Procurement mechanism More fiscal requirements Invoiced on Progress DoD, DHS, NASA, EPA, DOT Investigator initiates approach Less-specified topics Assistance mechanism More flexibility Allows upfront payment NSF, DoE, USDA Contracting and Granting Agencies: HHS/NIH, DOC, ED

topics 6 solicitations 10,000 Phase I proposals Starting with: Path To Success

9 Resulting in: 1,500 Phase I awards 950 Phase II awards $31B in commercialized products & services Path To Success

10 Participating DoD Components NavyAir ForceMissile Defense Agency (MDA) Defense Advanced Research Projects Agency (DARPA) Defense Health Program (DHP) Chemical and Biological Defense (CBD) Special Operations Command (SOCOM) Defense Threat Reduction Agency (DTRA) Defense Logistics Agency (DLA) Defense Microelectronics Activity (DMEA) National Geospatial Intelligence Agency (NGA) Army

11 of firms have <9 employees of applicants are new to the program 73% of firms have <50 employees 33% 15% 36% 73% of the awards are first time winners Participating Firms

12 1.CA 2.MA 3.VA 4.NY 5.OH 6.MD 7.TX 8.CO 9.PA 10.FL Top 10 States = 72% of Awards MinorityVeteranHub-Zone 16 Women % Phase I Awards For statistical purposes only, small business self-certify ownership on the proposal coversheet. No preference is given. Participating Firms

13 A SBIR/STTR Phase I or Phase II proposal to any DoD Component must be submitted through the DoD Submission system Finding Topics Topics Q&A (SITIS) Proposal Submission

14 DoD Instructions Service/Component Unique Instructions Topics A DoD Agency-wide announcement includes: SBIR 16.3 STTR 16.C Pre-Release 8/26/16 Open 9/26/16 Close 10/26/16 SBIR 16.1 STTR 16.A Pre-Release 12/11/15 Open 1/11/16 Close 2/17/16 SBIR 16.2 STTR 16.B Pre-Release 4/22/16 Open 5/23/16 Close 6/22/16 Not all Components participate in each solicitation. Multiple solicitations provide opportunities to participate throughout the fiscal year. Solicitation Schedule

15 Get in Touch Questions? Contact us! Connect with us! For additional information please visit: To subscribe to our ListServ,