Department of Defense SBIRSTTR Program Overview Tracy Frost DoD SBIR STTR Program Administrator OUSD (AT&L) Office of Small Business Programs

Focused on the WARFIGHTER LARGEST SBIR program in the Federal Government Over 600 topics Per Year resulting in 2000 Phase I awards Company retains data rights for 5yrs Sole-sourcing allowed for follow-on awards 25% of awardees are first time winners DoD is both an INVESTOR and a CUSTOMER Congressional Medal of Honor recipient U.S. Army Staff Sergeant Salvatore A. Giunta What’s Unique About DoD 2

SBIR/STTR Program Goals Stimulate technological innovation Use small business to meet Federal R&D needs Foster and encourage participation by minorities and disadvantaged persons in technological innovation Increase private-sector commercialization innovations derived from Federal R&D Funds cooperative R&D between small businesses and research Institutions Create vehicles to move ideas from research institutions to market Enable researchers to pursue commercial application of technologies Bridge funding gap between basic research and commercial product SBIRSTTR  2.8% of RDT&E  13 Participating DoD Agencies  0.4% of RDT&E  6 Participating DoD Agencies

Participating Agencies Navy Missile Defense Agency Special Operations Command Army Defense Advanced Research Projects Agency National Geospatial Intelligence Agency Defense Microelectronics Activity Air Force Defense Threat Reduction Agency Assistant Secretary of Defense (Research &Engineering ) Joint S&T Office for Chemical and Biological Defense Defense Logistics Agency SBIR Only SBIR + STTR Defense Health Program 4

DoD Budget by Agency FY12 DoD SBIR/STTR Agency Funding

PHASE II: Full Research, R&D to Prototype  Award Guideline: $1M (SBIR)/$1M (STTR)  Duration: 2 years PHASE III: Commercialization  Subsequent investment to achieve commercialization, or sale  Use of non-SBIR/STTR Funds PHASE I: Feasibility Study  Award Guideline: $150K  Duration: 6 months (SBIR)/12 months (STTR) 3-Phase Program

Participating Firms Small hi-tech firms across the country 1/3 of applicants are new to the program 25 percent of awardees are first time winners

Small Business Ownership Source: % of Phase I awards from FY

Eligibility Requirements SBIR – Organized for-profit U.S. business, located in the US – 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 – U.S. Research Institution – Intellectual Property Agreement

Getting Started Each year, the services and defense agencies within the DoD issue three SBIR solicitations and two STTR solicitations. The solicitations include topics written by the Services and defense agencies which describe their R&D needs that can be addressed by small businesses. To get started: 1.Determine Eligibility 2.Find a Topic 3.Ask Questions 4.Prepare Proposal 5.Submit Proposal

Solicitations 11 A DoD Agency-wide announcement Includes: DoD Instructions Service/Component Unique Instructions Topics FY 2014 Schedule SolicitationPre-ReleaseOpenClose DoD SBIR 14.1Nov. 20, 2013Dec. 20, 2013Jan. 22, 2014 DoD STTR 14.AFeb. 3, 2014Mar. 5, 2014Apr. 9, 2014 DoD SBIR 14.2Apr. 23, 2014May 23, 2014June 25, 2014 DoD SBIR 14.3Aug. 21, 2014Sept. 22, 2014Oct. 22, 2014 DoD SBIR 14.BAug. 21, 2014Sept. 22, 2014Oct. 22, 2014

Topics 12 Topics written by DoD Component representatives All topics are reviewed and must be approved for release to be included in a DoD solicitation.

Finding SBIR/STTR Topics DoD SBIR/STTR: and Federal: Individual websites: Comprehensive Agencies search site: Sign up for DoD ListServ: sbir-

Topic Q&A (SITIS) 14 During Pre-Release Direct Contact with topic authors Topic authors contact info listed in topic During Open Period Contact with topic author prohibited Questioner and respondent remain anonymous SBIR/STTR Interactive Topic Information System (SITIS) *Questions and advice on solution approach and submission of additional material is not allowed

DoD Issues Contracts (not grants) Investigator initiates approach Less-specified topics Assistance mechanism More flexibility DODDHS HHS/NIH NASA EPADOC DOT Agency establishes plans, protocols, requirements Highly focused topics Procurement capability More requirements HHS/NIHNSF DoED USDA DOE *NIH offers both grants and contracts Contracting Agencies Granting Agencies

Preparing a Strong SBIR/STTR Proposal READ and FOLLOW solicitation instructions Focus on the topic and information provided by the author Take advantage of the pre-release period Emphasize your innovative approach If there are technical barriers - address them Highlight past successes - Technical & Commercial Update Company Commercialization Record

Evaluation Criteria Soundness, Technical Merit and Innovation (This is the most important consideration) Qualifications of the Principal Investigator and the team, both from a technical standpoint and their commercialization vision Commercialization of the effort – DoD-Warfighter and Civilian Applications Each proposal is evaluated on its own merit and not compared to other proposals Evaluations are based only on the information contained in the proposal

Proposal Submission – Submitted through the DoD Submission System – Prepared using on‐line forms and file upload – Unclassified A SBIR/STTR Phase I or Phase II proposal to any DoD Component must be: 30 minute on‐line tutorial on how to prepare and submit a proposal available at

Beyond Phase II Phase III work may be for products, production, services, R/R&D, or any combination thereof, including testing and evaluation of products, services or technologies for use in technical or weapon systems. DoD Supports the transitioning of SBIR Investments through: SBIR Liaisons to Acquisition Programs DoD Beyond Phase II Conference Phase II Enhancement Program Rapid Innovation Fund (RIF) Commercialization Readiness Program (CRP) *Fast Track Program has been disabled

DoD SBIR Website For Small Business Program Descriptions Getting Started on Phase I Eligibility Solicitation Schedule Current Solicitations Topic Q&A (SITIS) Topic Search Proposal Submission Process Acceleration Resources for Small Business 20