Small Business Innovation Research (SBIR) Small Business Technology Transfer (STTR) Programs Date: 13 Jan 2012

Overview Federal Legislation and AFRL/XPP Organization SBIR/STTR Program Overview Commercialization Readiness Program Additional Info Resources

How the Air Force Traditionally Works with External Organizations Government to Government Government to Industry Alliances Contracts Other Government Agencies Industry

Federal Legislation Since 1980 Government to Government Government to Industry Alliances Contracts National Defense Authorization Act for FY 2006 Commercialization Pilot Program (CPP) Stevenson-Wydler Technology Innovation Act of 1980 Grants Cooperative Agreements National Defense Authorization Act for FY 1994 CTA Bayh-Dole Act of 1980 Authorizations Patent License Agreement (PLA) National Defense Authorization Act for FY 1993 Dual Use Small Business Innovation Development Act of 1982 SBIR Small Business Research and Development Act of 1992 STTR Federal Technology Transfer Act of 1986 CRADA National Defense Authorization Act for FY 1991 Mentor-Protégé National Competitiveness Technology Transfer Act of 1989 IR&D EPA Education Outreach Other Transaction Authority (OTA) Partnership Intermediaries (PIA) Technology Investment Agreement (TIA)

Authorities Organized within Air Force Government to Government Government to Industry National Defense Authorization Act for FY 1991 National Defense Authorization Act for FY 1994 National Defense Authorization Act for FY 1993 Small Business Research and Development Act of 1992 National Competitiveness Technology Transfer Act of 1989 Bayh-Dole Act of 1980 Stevenson-Wydler Technology Innovation Act of 1980 Patent License Agreement (PLA) Other Transaction Authority (OTA) Partnership Intermediaries (PIA) Small Business Innovation Development Act of 1982 Federal Technology Transfer Act of 1986 Technology Investment Agreement (TIA) National Defense Authorization Act for FY 2006 Commercialization Pilot Program (CPP) AF Small Business Office AF SBSC XPPD Domestic Partnering XPPI International AFRL/XPP PARTNERING DIVISION AF Contracting Alliances Contracts Authorizations CPP Grants Cooperative Agreements CTA PLA Dual Use SBIR STTR CRADA Mentor-Protégé IR&D EPA Education Outreach OTA Partnership Intermediaries (PIA) TIA

Authorities Organized within Air Force AFRL/XPP PARTNERING DIVISION AF Contracting Grants OTA Dual Use Cooperative Agreements Contracts TIA XPPD Domestic Partnering XPPI International Partnering AF Small Business Office AF SBSC Mentor-Protégé Alliances SBIR STTR Data/Info Exchange Agreements (DEA/IEA) Project Arrangements/ Agreements (PA) CRADA CRP EPA IR&D PLA CTA Education Outreach Partnership Intermediaries (PIA)

AFRL/XPP Partnering Division AFRL/XPP PARTNERING DIVISION XPPD Domestic Partnering XPPI International Partnering International Partnerships Alliances SBIR / STTR SBIR STTR Data/Info Exchange Agreements (DEA/IEA) Project Arrangements/ Agreements (PA) CRADA CRP EPA IR&D IR&D Technology Transfer PLA CTA Education Outreach = Air Force Level Programs Partnership Intermediaries (PIA)

AFRL Mission Driven Execution of Partnering Programs “Leading the discovery, development, and integration of affordable warfighting technologies for our air, space and cyberspace force.“ AFRL/CC as Technology Executive Officer manages & executes AF Programs on behalf of SAF/AQR AFRL/CC leads the international portfolio and, along with AFRL/CA, co-chairs major International Bilateral Forums with key allies. AFRL administers XPP Programs as an integral part of its overall technology development mission Technology Transfer SBIR / STTR IR&D International Partnerships

AFRL Leverages XPP Programs as Transition Assistance Tools Programs managed in XPP are used to develop, facilitate, enhance, and increase the likelihood of the transition of key technologies to the Warfighter. Academia Domestic & Foreign Industry Other US Govt. Agencies Domestic Non-Profits Domestic Small Businesses & Academia (under STTR) Major Defense Contractors Foreign Defense Agencies Technology Transfer SBIR / STTR IR&D International Partnerships Technology Transfer SBIR / STTR IR&D International Partnerships (0-5 Years) (3-7+ Years) (2-15+ Years) (2-15+ Years)

Small Business Innovation Research/ Small Business Technology Transfer The Small Business Innovation Research Program is established under 15USC14A (section 638). This program requires a percentage of the AF RDT&E Budget, which is roughly $370 million for 2009. You will also see the acronym of STTR – Small Business Technology Transfer Program. For the Air Force, STTR is 100% basic research and is managed by our AF Office of Scientific Research. Federally mandated programs requiring 2.6% (SBIR) and .35% (STTR) of Air Force extramural RDT&E budget

SBIR Program Goals Congressional Goals & Purpose: Stimulate technological innovations Increase small business participation in federally funded R&D Foster and encourage participation by minority and disadvantaged firms in technological innovation Increase private sector commercialization of federally supported R&D The SBIR Program has specific goals set forth by Congress. The Program is also subject to the SBA Policy Directive. The Air Force Research Laboratory has been assigned the execution authority for the SBIR and STTR programs by the office of the Secretary of the Air Force. Congress designed the program, it is executed in a phased approach with hundreds of discreet small R&D contracts.

STTR Program Goals Congressional Goals & Purpose: Stimulate and foster scientific and technological innovation through cooperative research and development carried out between small business concerns and research institutions Foster technology transfer between small business concerns and research institutions The SBIR Program has specific goals set forth by Congress. The Program is also subject to the SBA Policy Directive. The Air Force Research Laboratory has been assigned the execution authority for the SBIR and STTR programs by the office of the Secretary of the Air Force. Congress designed the program, it is executed in a phased approach with hundreds of discreet small R&D contracts.

SBIR/STTR Phased Approach $370M Total FY10 Budget 2.8% of Extramural RDT&E Budget FY11: Total of 200 SBIR & STTR Topics PHASE I – Average 450 awards, ~5,500 proposals Feasibility Study $150K, 9-month Award PHASE II – Average 170 awards, ~550 proposals Full Research/R&D Up to $1M, 2-year Award PHASE III – FY10 - 45 awards = $260M Commercialization Stage Non-SBIR/STTR Funds

SBIR/STTR’s Role in Air Force Acquisition Phase I Phase II Phase III Concept Feasibility $150K, 9 months Concept Development Up to $1M, 24 Months Product Insertion Non SBIR/STTR $

SBIR/STTR’s Role in Air Force Acquisition Phase I Phase II Phase III Concept Feasibility $150K, 9 months Concept Development Up to $1M, 24 Months Product Insertion Non SBIR/STTR $

Air Force SBIR Commercialization Readiness Program (CRP) CRP is integral to the success of accelerating SBIR transition Pilot Created in FY06 Nat’l Defense Auth Act Fully authorized under SBIR/STTR Reauthorization Transition Agents (Ktrs) are assigned to each PEO XR to establish connections between PEO SMEs & AFRL S&Es Support Topic Generation and Planning for SBIRs Conducts SBIR Technology Interchange Workshops Develops SBIR Technology Transition Plans (STTPs) AF CRP is designed to align and leverage SBIR

Air Force SBIR CRP Operating Construct Extensions/ Enhancements SBIR/STTR Extensions/ Enhancements $ 46th TW AFFTC AEDC WR-ALC OC-ALC OO-ALC F-35 SMC AFNWC AAC ESC ASC Phase I Phase I Phase II CRP Phase III SBIR Topic Industry Matching $ Planned PEO POM $

AF SBIR/STTR Opportunities AF SBIR is moving solicitations, next opportunities: STTR - 2012.B Solicitation – Topics in development Pre-release opens 26 Jul 12, closes 28 Aug 11 Proposal solicitation opens 27 Aug 12, closes 26 Sep 12 SBIR - 2013.1 Solicitation – Topics in development Pre-release opens Nov 12, closes Dec 13 Proposal solicitation opens Dec 12, closes Jan 13 Visit the AF SBIR/STTR website www.afsbirsttr.com

Summary The Air Force SBIR Program works to accomplish the Congressional Goals of the SBIR Program and supports the Air Force as an integral part of AFRL’s overall technology development Mission