1. SBIR/STTR Transition Program Kickoff Office of Naval Research
SBIR/STTR Transition Program Kickoff
ONR SBIR Overview
Lore-Anne Ponirakis
SBIR Program Manager
Office of Naval Research

2. Distribution Statement A: Approved for public release
The Office of Naval Research The S&T Provider for the Navy and Marine Corps
4,000+ People
23 Locations
$2.1B / year
>1,000 Partners
Discover
Develop
Technological
Advantage
Deliver
Distribution Statement A: Approved for public release

3. The Naval Research Enterprise
Office of Naval Research: Funds and manages basic & applied research and technology development by the government, academia and industry
Naval Research Laboratory: Conducts basic and applied research
The Systems Commands (PEOs/PMs):
Naval Sea Systems Command (NAVSEA)
Naval Air Systems Command (NAVAIR)
Space & Naval Warfare Systems Command (SPAWAR)
Fund and manage acquisition programs and life cycle engineering support to the fleet.
The Naval Warfare Centers:
Naval Undersea Warfare Center (NUWC)
Naval Surface Warfare Center (NSWC)
Naval Air Warfare Center (NAWC)
Conduct applied research, support acquisition programs and provide life cycle engineering support to the fleet.

4. ONR’s Organization Code 30 Code 31 Code 32 Code 33 Code 34 Code 35
Chief of Naval Research 
Executive Director
N84M
NRL
ACNR
AVCNR
Vice Chief of Naval Research 
PMR -51
ONRG
BIZOPS
Comptroller
Director of Research (03R)
Director of Technology (03T)
Code 30
Expeditionary Warfare & Combating Terrorism
Code 31
C4ISR
Code 32
Ocean Battlespace Sensing
Code 33
Sea Warfare & Weapons
Code 34
Warfighter Performance
Code 35
Naval Air Warfare & Weapons
Distribution Statement A: Approved for public release

5. ONR S&T Investment Strategy
Long
Broad
Narrow
Focus
Time Frame
Near
Discovery & Invention
(Basic and Applied Science)
Technology Maturation
(FNCs, etc)
≈30%
Quick Reaction & Other S&T
Leap Ahead Innovations (Innovative Naval Prototypes)
≈45%
≈12%
≈ 8%
Leap Ahead Innovations
Discovery & Invention
Technology Maturation
Quick Reaction
1-2 yrs
3-5 yrs
5-7 yrs
5-20 yrs
Fleet Driven Material Solutions
Evolutionary POR component improvements
Disruptive Technologies
Fundamental Science focused on naval problems 5

6. ONR is different than other SYSCOMs
ONR Investment Focus
ONR Focus = Research → Transition/Commercialization
Earlier stage Science and Technology (S&T)
Greater risk, greater reward
More opportunity for innovation
More than one technology solution
Wider applicability
Transition may be tougher
Radical new ideas vs. set requirements
ONR is different than other SYSCOMs 6

7. ONR SBIR Program ONR SBIR POC and Website Mission Uniqueness Budget
Lore-Anne Ponirakis, ONR SBIR Program Manager
Mission
ONR SBIR program is an integral part of the Naval Science and Technology program
SBIR topics address naval needs and should ultimately transition to the fleet through enabling technologies
Uniqueness
The ONR SBIR program tends to invest more in Discovery and Invention Technologies or earlier stage technologies compared to the other Syscoms
Budget
Annual ONR SBIR budget ~$44M
Awards (Amount and $ Range)
Average 120 Phase Is up to $150K each, AND
40 Phase II’s per year ranging from $500K to $1.125M
Contract vs. Grant
Contract
Topics
Average 40 SBIR topics per year
Solicitations (Open - Close)
ONR SBIR program participates in two solicitations per year:
16.1/16.A: 11 Jan – 17 Feb 2016
16.2: May – 22 Jun 2016
Commercialization Assistance
ONR SBIR program offers SBIR/STTR Transition Program (STP)
Solicitation
Pre-Release
Solicitation Open –
Solicitation Closed
Evaluation of Proposal
Submissions
Small Business Selected for Award Consideration
List of Selectees Posted on Navy SBIR Website
SBIR Phase I Contract Award
SBIR Solicitation Process

8. ONR SBIR/STTR Program Award Structure
This is the award structure for most of your phase II’s – some may have a slightly different structure.
Distribution Statement A: Approved for public release

9. Phase II Technology Development/Prototype Demo
Keep in mind here that a Technology Transition plan is required to exercise option 1. To exercise option 2, a technology transition agreement (or TTA) signed by the program officer and acquisition sponsor, along with cost matching funds from another government source are required. These forms are posted to navysbir.com under phase II. Typically, the matching funds come from the program officer’s core or program funds but they can also come from other Syscoms or services such as the Army or Air Force.
Expands Phase I and pursues further development and demonstration

10. Subsequent Phase II Prototype Testing and Evaluation &
Subsequent phase II…This is basically a follow-on 2nd phase II award used to further develop the technology and requires significantly more commitment from the sponsor. You may have heard other Syscoms refer to this as a phase II.5. Some projects come out of the Phase II effort with transition support from a Navy program of record but still need more time and funding for further technical maturation and testing etc. This is where a subsequent phase II is warranted. A Subsequent phase II award is NOT what you should be striving for as the next step in your ONR SBIR. Funding is not budgeted to cover a subsequent phase II award for every topic so it is not guaranteed even if you meet the criteria They are reviewed on a case by case basis. The need for a subsequent phase II is driven by your program officer or the acquisition program. There are a variety of ways that it can be structured and it does not have to occur directly after the first phase II particularly if matching funds are identified later.
Prototype Testing and Evaluation &
Technology Demo and Validation

11. Tips for Success Communicate with your Program Officer/TPOC
Project status, contract status and PoP (80% expended)
Understand project requirements and changes
Work with your Program Officer to understand transition plan
Communicate with your Contracting Officer
Read and understand your contract
Don’t let your contract expire (request a no-cost extension if necessary) 11

12. Requesting a No Cost Extension (NCE)
Send the request to your program officer and contracting officer with the following information:
Contract Number
Contract Line Item Number (CLIN) for the requested extension
Current period of performance for that CLIN
Amount of remaining funds under that CLIN
Statement as to whether there are sufficient funds under the contract to cover the extended period
Indicate amount of funds needed to complete the research effort (if additional funds are needed)
Status of the research effort - indicate what task(s) have been completed and what task(s) will be performed during the extension period
Reason for delay
Also, if you have options in your contract DO NOT let the contract expire if a decision to exercise the option has not been made. Submit a no-cost extension to your contracting officer. Contracting typically needs about 2 months to get the option funding out. If the contract expires, you most likely will not receive option funding. This is the information you will need to provide to your contracting officer when you request an NCE. You should send this request to your TPOC for concurrence with a copy to the contracting officer. 12

13. Transition Perspectives
Navy’s Focus
Getting technology into the hands of the warfighter
Return on investment (affordability, reduced manning, energy security)
Tap into the agility and innovation of SBCs
TPOC’s Focus
Technology transition to a SPECIFIC program or need
Future Naval Capability
Innovative Naval Prototype
Acquisition Program of Record
Several ongoing projects each with single transition path
As you go through your phase II, remember that each stakeholder in the SBIR process has different perspectives on SBIR transition. The Navy’s ultimate goal is to get the technology into the hands of the warfighter and to get a return on investment. The Navy is using small businesses for your agility and innovation and to solve a problem.
For your TPOC – the SBIR technology may transition to a program that is important to their overall research portfolio - they have multiple efforts under and your project is a building block in their portfolio. 13

14. Transition Perspectives (cont.)
Transition Sponsor’s Focus (varies)
Technology development culture
Investment areas
S&T or R&D
Technologies, components, or systems
Technology Readiness
Maturity supports insertion timeline
Manufacturing Readiness
Producible in sufficient quantities
Affordability
The Sponsor’s focus is to align the technology with specific investment areas or systems, while taking into account the TRL or MRL and balancing all of that with the cost of the overall program and timeline. This is a much broader scope and your technology may only be a small piece that fits into their plan. 14

15. Transition Perspectives (cont.)
Your focus
Get technology to market!
Short term (i.e., next phase)
Long term (sales, licensing, being acquired)
Seek multiple applications/paths
Other Programs, SYSCOMS, Services, Agencies, Primes, Adjacent Markets
Don’t place all your bets on one horse
Requirements change, wars end, budget cuts happen 15

16. Phase III Defined
Work that derives from, extends, or completes effort(s) performed under prior SBIR funding agreements, but is funded by sources other than the SBIR Program
To get to Phase III – must have successfully competed for and won a Phase I and/or Phase II award
Phase III funding may come from any source other than SBIR and may be in the form of further R&D funds, product sales, licenses, etc.
Transition (also called Commercialization) to acquisition program is ultimate goal of each SBIR effort
No limit on time that may elapse between one Phase III and a follow-on Phase III
Small business eligibility rules do not apply to Phase IIIs
No limit on number, duration, type or dollar value of funding agreements 16

17. Data Rights
Technical Data Rights are owned by the small business for a period of 5 years from the end of the contract
Cannot coerce a firm into relinquishing data rights as a condition of award
Gap in awards does not invalidate data rights
Specific marking required (data and proposals/assertions)
Both Phase III response to competition or non-competitive award continues data rights
Phase III data rights exist down through all subcontract levels
Data rights may transfer to other than the original SBIR/STTR firm (including large businesses) when they are “successor’s in interest”
Open architecture can be used to continue efforts even with firm retention of data rights

18. Questions

19. New ONR SBIR/STTR Program Award Structure