1 DISTRIBUTION STATEMENT A – Unclassified, Unlimited Distribution Integrity  Service  Excellence Air Force SBIR/STTR 101 Briefing Pacific Northwest Road Tour James Sweeney Air Force CRP Manager Acting Air Force SBIR PM AFRL/SB

2 DISTRIBUTION STATEMENT A – Unclassified, Unlimited Distribution 2 What is SBIR/STTR? A congressionally mandated program… SBIRSTTR 2.9%-3.2% of RDT&E Budget0.4%-0.45% of RDT&E Budget Goals: Stimulate technological innovation Use small business to meet Federal R&D needs Increase private-sector commercialization innovations derived from federal R&D Foster and encourage participation by minorities and disadvantaged persons Goals: Fund cooperative R&D between small businesses and research Institutions Enable researchers to pursue commercial application of technologies Bridge funding gap between basic research and commercial product Eligibility: Applicant is for-profit SB based in U.S. 500 or fewer employees Principal Investigator’s primary employment must be with the SB Eligibility: Applicant is for-profit SB based in U.S. partnering with U.S. research institution SB performs 40% of work, U.S. research institution performs 30% Did you know? 25% of awardees are first-time winners

3 DISTRIBUTION STATEMENT A – Unclassified, Unlimited Distribution 3 Three Phased Program Note: Air Force Phase II efforts are awarded at an initial value not to exceed $750,000. SBIR 14.1 AF Estimates Program Budget = $305M SBIR -Topics: 189 -Ph I Awards: 378 -Ph II Awards: 161 STTR -Topics: 21 -Ph I Awards: 45 -Ph II Awards: 15 SBIR/STTR is relationship based – get to know your customer!

4 DISTRIBUTION STATEMENT A – Unclassified, Unlimited Distribution 4 PHASE III - Commercialization PURPOSE: Transition a company’s SBIR/STTR effort into hardware or software products, processes or services that benefit the Air Force acquisition community. SBIR/STTR Phase III refers to work that derives from, extends, or completes an effort made under prior SBIR funding agreements It is funded with “Non-SBIR” sources Funding can come from: o Either Government and/or the private sector! NOTE: Once a company has successfully been awarded a SBIR Phase I or Phase II, Phase III awards can be made using a “Non-Competitive” process since competition requirements were satisfied using the previous Phase(s). This is the “Holy Grail” for the SBIR Program!

5 DISTRIBUTION STATEMENT A – Unclassified, Unlimited Distribution 5 Air Force Program Management Air Force has centralized program execution AFRL Commander executes program as Air Force TEO Contracting TEO (AFRL) Small Business Office DoD Air Force SBIR/STTR Technology Focus Areas Air Force-level programs Technology Transfer IR&D AFRL–Air Force Research Laboratory TEO–Technology Executive Officer

6 DISTRIBUTION STATEMENT A – Unclassified, Unlimited Distribution 6 ROME, NY Air Force Research Laboratory WRIGHT-PATTERSON AFB, OH Air Force Research Laboratory Air Force Life Cycle Management Center ARLINGTON, VA Air Force Research Laboratory F-35 Joint Strike Fighter ROBINS AFB, GA Air Force Sustainment Center MAUI, HI Air Force Research LaboratoryAir Force Research Laboratory SAN ANTONIO, TX Air Force Surgeon General Air Force Civil Engineer Center HURLBURT FIELD, FL Air Force Special Operations CommandAir Force Special Operations Command EGLIN AFB, FL Air Force Research Laboratory Air Force Life Cycle Management Center Air Force Test Center KIRTLAND AFB, NM Air Force Research Laboratory Air Force Nuclear Weapons Center Air Force R&D Organizations ARNOLD AFB, TN Air Force Test Center HANSCOM AFB, MA Air Force Life Cycle Management Center EDWARDS AFB, CA Air Force Research Laboratory Air Force Test Center HILL AFB, UT Air Force Sustainment Center LOS ANGELES AFB, CA Space and Missile Systems CenterSpace and Missile Systems Center TINKER AFB, OK Air Force Sustainment Center

7 DISTRIBUTION STATEMENT A – Unclassified, Unlimited Distribution 7 Air Force Focus Areas

8 DISTRIBUTION STATEMENT A – Unclassified, Unlimited Distribution 8 Commercialization Commercialization Readiness Program (CRP) authorized by amendment in Sec 5122 of the FY12 National Defense Authorization Act – Identify and accelerate transition of SBIR developed technology – Allow for 1% of SBIR budget to administer CRP Integral to the success of accelerating SBIR transition – Air Force provides valuable assistance in transitioning technology to military and commercial sectors – Successful Air Force SBIR/STTR contracts may help small businesses get additional non-SBIR funding to transition technology to commercial sector Did you know? 58% of AF Phase II contracts resulted in sales of new products and services based on the innovations developed

9 DISTRIBUTION STATEMENT A – Unclassified, Unlimited Distribution 9 CRP Operating Construct Phase III CRP Phase II Phase I Technology Readiness Level (TRL) CRPCRP Pre-Concept Refinement Material Solution Analysis Technology Development Engineering and Manufacturing Development Production & Deployment A B C

10 DISTRIBUTION STATEMENT A – Unclassified, Unlimited Distribution 10 STTP/ STMP Collaboration at Work 21 Major Defense Contractors Participating AFRL Managers & SBIR/STTR Phase II Firms Major Defense Contractors AF Centers/PEOs AF SBIR/STTR Transition Team RX RW RV RI RD RY RQ RH AFOSR Transition Team Support Center Needs SBIR Technology Solutions Industry Needs

11 DISTRIBUTION STATEMENT A – Unclassified, Unlimited Distribution 11 Approach to CRP Identify and Verify Customer, Need, & Technology – Support Technology Interchange Meetings – Focused Industry and PEO meetings – Targeted DoD SBIR/STTR data mining and due diligence – Continuous Phase II portfolio transitioning – Participation in various technology requirements discussions – Liaison for adhoc PEO and industry technology needs – Facilitate topic alignment with PEOs – Collaborate with other agencies Assist in development of Transition Plans (STTP/STMP) “Boots on the ground”: Transition Agents (TAs) located at Air Force Centers and Technology Directorates

12 DISTRIBUTION STATEMENT A – Unclassified, Unlimited Distribution 12 STTP/STMP: The Basics STTP is NOT a contractual document or an application for funds Transition planning requires relationship building and collaboration! The STTP/STMP is a roadmap to transition, where stakeholders work together to plan and identify: All critical stakeholder roles & responsibilities Current and required transition TRL/MRL of SBIR Phase II technology Financial strategy - unfunded requirements Intellectual Property (IP) protection Risk mitigation

13 DISTRIBUTION STATEMENT A – Unclassified, Unlimited Distribution 13 SBIR CRP Transition Benefits SBIR/STTR transitions bring benefit to the warfighter in cost savings, new capability, greater reliability, or improved performance. Did you know? Many AF CRP successes are currently in use by the Warfighter

14 DISTRIBUTION STATEMENT A – Unclassified, Unlimited Distribution 14 Did You Know!! Last year the federal government awarded 24.9 percent of all prime contracts to small businesses, or about $91.7 billion. And defense contracts accounted for more than half, at $54.3 billion.. “This is the highest percentage of contracting dollars ever awarded to small businesses since the 23 percent goal was established in 1997” “Small businesses now are filing more patents than ever,” she said. “So they're also driving innovation.” The Defense Department’s “better buying power” procurement guidelines specifically promote the use of small businesses, “both for innovation, efficiency, and cost control” “Small businesses, tend to be leaner and more aggressive to get work, and thus tend to be more economic in many cases for the department.”

15 DISTRIBUTION STATEMENT A – Unclassified, Unlimited Distribution 15 Innovation – Why! Air Force and Business leaders at all levels need to find, encourage, mentor, and defend airmen the people willing to take risks to build our future force because innovation cannot be trained… – "You can't institutionalize innovation, there's no instruction manual, there's no regulation—either you are, or you are not" innovative” – "He saw these broken toys... and he realized that we had this certain knack and talent if you just nurtured and grew that" – "You need to find those characters out there, you need to give them top cover" instead of putting people in a room and asking for "five brilliant ideas by close of business“.

16 DISTRIBUTION STATEMENT A – Unclassified, Unlimited Distribution 16 What You Can Do Understand the Mission Be a technology problem-solver & innovator, not just a manufacturer Search technology areas and identify opportunities where your firm is a good fit Submit proposals aligned with your core business strategy or area of expertise Take advantage of all available assistance Build a network of contacts in the Air Force and programs of record Persevere! It could take years to make it into a system

17 DISTRIBUTION STATEMENT A – Unclassified, Unlimited Distribution 17 Get Involved AF Small Business Industry Days (SBID) focus on small business capabilities and opportunities, matching stakeholders from PEOs, large business, and small business communities AF Sustainment SBID, Macon, GA 2016 AF Space and Missile Center SBID, Los Angeles, CA, February 2015 AF Sustainment SBID, Macon, GA 2016 AF Space and Missile Center SBID, Los Angeles, CA, February Air Force Keynote Speakers Sessions focusing on AF business opportunities and programs, SBIR/STTR technologies, and SB products/capabilities Networking Opportunities Exhibition Hall

18 DISTRIBUTION STATEMENT A – Unclassified, Unlimited Distribution 18 Stay up-to-date with the Air Force SBIR/STTR Program Check out SBIR/STTR Current Solicitations – Air Force’s annual solicitation pre-release is in December Get to know the Air Force Small Business Office Visit these additional resources Stay Connected

19 DISTRIBUTION STATEMENT A – Unclassified, Unlimited Distribution 19 AF CRP PEO Transition Agents Joint Strike Fighter (JSF) Don Williams AF Nuclear Weapons Center (AFNWC) & AF Test Center (AFTC) Anthony Androsky Air Force Sustainment Center (AFSC) & AF Life Cycle Management Center (AFLCMC) Lance Chenault (Robins AFB) Seth Turnipseed (Tinker AFB) Mario Rios (Hill AFB) AF Life Cycle Management Center (AFLCMC) Walt Fenstermacher (Wright-Patterson) Gavin Tovrea (Eglin) Joe Minior (Hanscom) Space & Missile Systems Center (SMC) Ray Wells Monique Hill

20 DISTRIBUTION STATEMENT A – Unclassified, Unlimited Distribution 20 AFRL – RD & RV Michael Williams AFRL – RH & RX Donna McBroom AFRL – RI & AFOSR Christopher Bock AFRL – RQ & RY Rex Marshall AFRL – RW Marsha Palmer Air Force SBIR Program Office: Air Force SBIR Program Office: AF CRP TD Transition Agents

21 DISTRIBUTION STATEMENT A – Unclassified, Unlimited Distribution 21 Back up

22 DISTRIBUTION STATEMENT A – Unclassified, Unlimited Distribution 22 Air Force Focus, Cont’d Affordability Service Extension Survivability Manufacturing Composites Inspection Environmental Quality Knowledge Management Information Security Information Assurance Communications Networking Modeling & Simulation Computing & Software Fixed- & Rotary -Wing Vehicles Turbine Engines Power High-Speed Propulsion Alternative Fuels UAVs

23 DISTRIBUTION STATEMENT A – Unclassified, Unlimited Distribution 23 Air Force Focus, Cont’d Space & Launch Vehicles Space Propulsion Integrated Platforms RF Components Microelectronics Electronic Materials Electronic Warfare RF & EO/IR Automatic Target Recognition Electro-optical Radar Acoustic Signals

24 DISTRIBUTION STATEMENT A – Unclassified, Unlimited Distribution 24 Air Force Focus, Cont’d Guidance & Control Guns, Missiles, Ordnance Fuzes Lethality/Vulnerability Lasers High-Power Microwave Terrestrial and Ocean Lower Atmosphere and Space Cognitive Processing Personnel Recovery Training & Development Military Medicine Combat Care Test & Simulation Lethality Effects Threat Reduction/Detection Warfighter Consequences System Effects/Survivability

25 DISTRIBUTION STATEMENT A – Unclassified, Unlimited Distribution 25 Additional charts

26 DISTRIBUTION STATEMENT A – Unclassified, Unlimited Distribution 26 Government and Small Business Roles GovernmentSmall Business Identify NeedDefine Corporate Competencies Generate TopicsSurvey Topics & Define Solution Solicit/Evaluate ProposalsSubmit Proposals Award/Monitor ContractsPerform Contracts The Small Business Administration (SBA) is responsible for oversight of the Federal SBIR and STTR Programs The Office of Small Business Programs (OSD/OSBP) is responsible for oversight of the DoD Component SBIR and STTR Programs DoD Components and industry have symbiotic roles in executing the SBIR and STTR processes indicated below:

27 DISTRIBUTION STATEMENT A – Unclassified, Unlimited Distribution 27 DoD Component Role Identify The concept for a SBIR or STTR project originates when a technology or capability need is identified by the warfighter or a member of the science and technology or acquisition communities at a participating DoD Component Generate & Review The stakeholder authors a Phase I SBIR or STTR topic for inclusion in a solicitation to address that need The topic would then be reviewed by the Component and OSD and, if determined appropriate for SBIR or STTR funding, included in a solicitation Evaluate & Award Evaluate submitted SBIR or STTR proposals and competitively award Phase I contracts

28 DISTRIBUTION STATEMENT A – Unclassified, Unlimited Distribution 28 Small Business Role Identify Small businesses identify topics in SBIR or STTR solicitations and determine their ability to meet the described needs Register Small businesses must register in government systems: – SBIR website – SBIR website – Award Mgmt website Propose Small businesses submit proposals describing an approach to meet the topic requirements and commercialization strategy for resulting technology via the DoD SBIR/STTR Submission System

29 DISTRIBUTION STATEMENT A – Unclassified, Unlimited Distribution 29 Collaboration: Contract Execution & Beyond Upon contract award, the successful small business offeror executes its Phase I proposal to prove the feasibility of the proposed solution If the Phase I effort is successful, the small business may submit a Phase II proposal to continue the effort During Phase II, the small business further develops the technology and defines a path to Phase III transition Government Technical Point of Contact (TPOCs) and other stakeholders monitor execution of SBIR and STTR contracts Small businesses must properly mark all SBIR Data Rights protected material delivered to the Government; the Government cannot disclose SBIR data or software outside the government except as expressly permitted by the small business, for evaluation purposes, or for emergency repair or overhaul of items operated by the Government

30 DISTRIBUTION STATEMENT A – Unclassified, Unlimited Distribution 30 Small hi-tech firms from across the country Three-quarter of firms have fewer than 50 employees Third of applicants are new to the program Quarter of awardees are first-time winners Small Business Participation

31 DISTRIBUTION STATEMENT A – Unclassified, Unlimited Distribution 31 Planning for Transition The SBIR Program supports project funding through Phase II, however, at the completion of this phase, the small business must identify non-SBIR funding for technology maturity and validation efforts DoD SBIR Community should collaborate with acquisition stakeholders to incorporate SBIR projects into overall program planning to enable timely transition into acquisition programs As such, acquisition program managers should plan for the transition of SBIR technologies from set aside funding in Phases I and II to non-SBIR funding in Phase III

32 DISTRIBUTION STATEMENT A – Unclassified, Unlimited Distribution 32 Transition Tools Some approaches for accomplishing the important task of transitioning SBIR technologies include: – Establishing a Technology Transition Plan, which documents the commitment and responsibilities of key stakeholders in the technology transition process -- such as the acquisition program sponsor, major defense contractors, component SBIR manager, and SBIR firm -- to develop, deliver and integrate a technology into an acquisition program – Addressing SBIR projects in program documentation including the Technology Development and Acquisition Strategies

33 DISTRIBUTION STATEMENT A – Unclassified, Unlimited Distribution 33 SBIR Data Rights Technical data and software generated under a SBIR/STTR award are covered under SBIR Data Rights (DFARS ): – Limited Rights in SBIR/STTR technical data, and – Restricted Rights in SBIR/STTR computer software SBIR Data Rights apply to all SBIR funding agreements (Phase I, II & III) For DoD, SBIR Data Rights period is 5 years after receipt of the last contract deliverable, BUT follow-on SBIR/STTR projects could extend SBIR Data Rights The Government is granted a royalty-free, world-wide, nonexclusive, irrevocable license