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

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

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

4. 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)

5. 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

6. 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)

7. 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)

8. 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

9. 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)

10. 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

11. 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.

12. 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.

13. 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 – FY awards = $260M
Commercialization Stage
Non-SBIR/STTR Funds

14. 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 $

15. 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 $

16. 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

17. 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 $

18. AF SBIR/STTR Opportunities
AF SBIR is moving solicitations, next opportunities:
STTR 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 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

19. 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