1. How the Government Funds Emerging Technologies John Scott johnmscott@mindspring.com May 2002

2. How the Government Funds Emerging Technology How Federal Agencies Fund Emerging Technology Two Main Research & Development Programs –SBIR (Small Business Innovative Research) –STTR (Small Business Technology Transfer Program)

3. How the Government Funds Emerging Technology Small Business Innovative Research (SBIR) Program Federal SBIR Program 10 Federal Agencies Approximately $1.1 Billion in funds available Multiple Solicitation closing dates

4. How the Government Funds Emerging Technology SBIR Basics Proposals evaluated on soundness, technical merit, innovation, and commercial potential Reauthorized through October 2008 Projects are funded in Phases –Phase I (6 months, $60,000-$100,000, feasibility) –Phase II (2 years, $500,000-$750,000, proof of principle) –Phase III (non-SBIR funds to develop into product)

5. How the Government Funds Emerging Technology SBIRBasics SBIR Basics 1. Must be small business - 500 people or less 2. 51% U.S. Owned 3. Principal Investigator 51% employed with small business 4. Each agency publishes SBIR solicitation, listing research topics and their specific process 5. Commercial Potential is VERY Important Consideration

6. How the Government Funds Emerging Technology Small Business Technology Transfer (STTR) Program Cooperative R&D Small Business and a University, FFRDC or Non- Profit Reauthorized to FY2009 Five federal agencies participate –(DoD, HHS, NASA, DOE, NSF) FY2002 funding- $65 Million

7. How the Government Funds Emerging Technology STTR Program Mandatory partnership between a small business and a research institution (min. 40% small business, min. 30% research institution) Must have written agreement allocating intellectual property rights.

8. How the Government Funds Emerging Technology New Program - FastTrack Fast Track provides a higher chance of SBIR/STTR award, and continuous funding, to small companies that can attract outside investors. For the investors, Fast Track offers an opportunity to obtain a match of between $1 and $4 in DoD SBIR/STTR funds for every $1 the investor puts in.

9. How the Government Funds Emerging Technology Department of Defense SBIR Program

10. How the Government Funds Emerging Technology DoD SBIR Evaluation Criteria 1.Soundness, technical merit, and innovation; 2.Qualifications of the Principal Investigator, including not only the ability to do the work, but also the ability to commercialize the results; 3.Potential for commercial (government or private sector) applications.

11. How the Government Funds Emerging Technology DoD Phase I and Phase II Goals Phase I: 1 in 8 Proposals Funded Approximately 40% Go to Phase II

12. How the Government Funds Emerging Technology DoD SBIR/STTR Program 2002: SBIR = $719M STTR = $36M 9 Component SBIR Programs within DoD AIR FORCE DARPA ARMY OSD/DDR&E NAVYDTRA BMDO SOCOM NIMA

13. How the Government Funds Emerging Technology DOD SBIR Solicitation 2002 SBIR STTR SBIR Web 10/2/01 1/2/02 5/1/02 Opens 12/3/01 3/1/02 7/1/02 Closes 1/16/02 4/17/02 8/14/02 http://www.acq.osd.mil/sadbu/sbir http://www.dodsbir.net

14. How the Government Funds Emerging Technology DOD SBIR Solicitation 2002.2 § The FY 2002.2 DOD Solicitation will be on the web as a pre-solicitation on May 1 st, 2002 § TOPIC AUTHOR’S NAME, PHONE NUMBER, E-MAIL, FAX ARE LISTED UNTIL July 1 st, 2002. PLEASE TAKE THIS OPPORTUNITY TO HAVE TECHNICAL DIALOGUES WITH THE DOD PROGRAM MANAGERS BEFORE YOU PREPARE A PROPOSAL. § http://www.acq.osd.mil/sadbu/sbir

15. How the Government Funds Emerging Technology DEFENSE ADVANCED RESEARCH PROJECTS AGENCY (DARPA)

16. How the Government Funds Emerging Technology DARPA’s MISSION High-Risk, High-Payoff Technology Development and Exploitation Solve National-level Problems Enable Operational Dominance

17. How the Government Funds Emerging Technology DARPA’s SBIR PROGRAM Phase I proposals shall not exceed $99,000 –Firm Fixed Price, generally over 8 months –Small businesses chosen for award are expecte d to start work within 28 days after receiving a contract Phase II’s are generally Cost + Fixed Fee –Generally not to exceed $750K for a 2 year period You must have an “acceptable” accounting system

18. How the Government Funds Emerging Technology DARPA’s SBIR PROGRAM FY 2002 MISSION FUNDING ProgramTech Office 2002 Computing Systems & Communications Technology ITO/ISO 382M Materials and Electronics TechDSO/MTO358M Sensor & Guidance Technology SPO203M

19. How the Government Funds Emerging Technology DARPA’s SBIR PROGRAM FY 2002 MISSION FUNDING ProgramTech Office 2002 Advanced Electronics Tech MTO $177M Tactical Technology TTO $174M Advanced Aerospace Systems TTO $154M

20. How the Government Funds Emerging Technology DARPA’s SBIR PROGRAM FY 2002 MISSION FUNDING ProgramTech Office 2002 Land Warfare Technology TTO $153M Biological Warfare Defense DSO $140M Embedded Software & Pervasive ComputingITO $ 75.6M

21. How the Government Funds Emerging Technology Sample SBIR Topics SOCOM02-006 Worldwide C4I for Special Operations Forces Combatant Craft SOCOM02-007 Special Operations Forces Combatant Motion Recording and Biofeedback SOCOM02-009 Analog/Video Communications Link SOCOM02-010 Frequency Hopper/DSSS Detection SOCOM02-011 HF to UHF Camouflaged Antenna SOCOM02-012 Threat Warning Software SOCOM02-013 Portable Signal Identification Training OSD02-CR08 Information Delivery Configuration for Augmented Warrior Readiness OSD02-CR09 Real-time Simulation Network and Human Performance Measurement Device for Distributed Mission Training (DMT) OSD02-CR13 Design of Sharable Content Objects with Return on Investment DARPA SB022-024 Design of Mobile, Wireless (Ad Hoc) Networks Using Smart Antennas DARPA SB022-031 Ad Hoc Human Information Nets for Asymmetric Threat Surveillance DARPA SB022-034 Scalable Heterogeneous Social Network Analysis DARPA SB022-045 Design Tools for Integrated Asynchronous Electronic Circuits

22. How the Government Funds Emerging Technology DARPA’s STTR FY 2002 Anticipate 6 STTR topics from our -- Advanced Technology Office and our Tactical Technology Office – www.darpa.milwww.darpa.mil Phase I $99,000, duration 8 to 10 months Phase II $500,000 duration approx 2 years

23. How the Government Funds Emerging Technology Centralized Contractor Registration Program (CCR) GET REGISTERED NOW! WHAT YOU NEED: Dunn and Bradstreet Number Taxpayer Identification Number (TIN) Register at www.ccr.govwww.ccr.gov CCR Assistance Center 888-227-2423 In FY 2003 ALL Federal Agencies will use the CCR

24. How the Government Funds Emerging Technology SBIR/STTR Websites & Points of Contact

25. How the Government Funds Emerging Technology SBIR/STTR Websites DODhttp/www.acq.osd.mil/sadbu/sbir/ NIHhttp://www.nih.gov/grants/funding/sbir.htm USDAhttp://www.reeusda.gov/sbir DOChttp:www.nist.gov/sbir EPAhttp://es.epa.gov/ncerqa/sbir/index.html DoEdhttp://www.ed.gov/offices/OERI/SBIR

26. How the Government Funds Emerging Technology SBIR/STTR Websites DOThttp://www.volpe.dot.gov/sbir/ DOEhttp://sbir.er.doe.gov/sbir http://sttr.er.doe.gov/sttr NASAhttp://sbir.nasa.gov/ NSFhttp://www.eng.nsf.gov/sbir/

27. How the Government Funds Emerging Technology SBIR Points of Contact NASA Mr. Carl Ray(202) 358-4652 NASA Mr. Carl Ray(202) 358-4652 DODMr. Ivory Fisher(703) 588-8516 DODMr. Ivory Fisher(703) 588-8516 NIH Ms. Jo Anne Goodnight (301) 435-2688 NIH Ms. Jo Anne Goodnight (301) 435-2688 NSF Mr. Ritchie Coryell (703) 306-1391 NSF Mr. Ritchie Coryell (703) 306-1391 EPA Mr. Jim Gallup (202) 564-6823 EPA Mr. Jim Gallup (202) 564-6823

28. How the Government Funds Emerging Technology SBIR Points of Contact (cont.) DOCMr. Joseph Bishop (301) 713-3565 DOCMr. Joseph Bishop (301) 713-3565 DOEDr. Robert Berger(301) 903-3054 DOEDr. Robert Berger(301) 903-3054 DOA Dr. Charles Cleland (202) 401-4002 DOA Dr. Charles Cleland (202) 401-4002 DOEd Mr. Lee Eiden(202) 219-2004 DOEd Mr. Lee Eiden(202) 219-2004 DOTDr. Joe Henebury(617) 494-2051 DOTDr. Joe Henebury(617) 494-2051

29. How the Government Funds Emerging Technology SBIR Points of Contact DoD Program Manager -- Mr. Ivory Fisher 703 588-8616 Air Force Mr. Steve Guilfoos (937) 656-9062 Air Force Mr. Steve Guilfoos (937) 656-9062 Navy Mr. Vinny Schaper (703) 696-8528 Navy Mr. Vinny Schaper (703) 696-8528 Army Major Janice Baker (703) 617-8260 Army Major Janice Baker (703) 617-8260 DARPA Ms. Connie Jacobs (703) 526-4162 DARPA Ms. Connie Jacobs (703) 526-4162 BMDO Mr. Frank Rucky(703) 697-3641 BMDO Mr. Frank Rucky(703) 697-3641 D EPARTMENT OF D EFENSE

30. How the Government Funds Emerging Technology SBIR and STTR POCs(cont.) D EPARTMENT OF D EFENSE DoD Program Manager – Ivory Fisher 703 588-8616 OSD DDR&ETeresa Puretz(703) 681-5486 Defense Threat Defense Threat Reduction Agency Ron Yoho(703) 325-9615 Reduction Agency Ron Yoho(703) 325-9615 Special Ops Karen Pera(813) 828-7549 Special Ops Karen Pera(813) 828-7549 NIMADerrick Riddle (301) 227-5585 NIMADerrick Riddle (301) 227-5585

32. How the Government Funds Emerging Technology