1. Segan Feb 04 Dr. Ellen G. Segan Army STTR Program Manager Army Research Office U.S. ARMY SMALL BUSINESS TECHNOLOGY TRANSFER PROGRAM (STTR) U.S. ARMY SMALL BUSINESS INNOVATION RESEARCH PROGRAM (SBIR) SBIR/STTR Workshop North Carolina A&T State University Greensboro, NC 24 February 2004

2. Segan Feb 042 SBIR is the Largest Source of Early-Stage Technology Financing in the U.S. Total Federal SBIR/STTR Funding: $1.6 billion in FY03 DoD accounts for HALF the program DoD SBIR Funding: $830 million in FY03 DoD STTR Funding: $45 million in FY03 SBIR/STTR Agency Funding

3. Segan Feb 043 qDODSBIR/STTR qHHSSBIR/STTR qNASA SBIR/STTR qDOE SBIR/STTR qNSF SBIR/STTR qUSDASBIR qDOCSBIR qEDSBIR qEPASBIR qDOTSBIR SBIR / STTR Participating Agencies TOTAL ~ $1.6 B FY 2003

4. Segan Feb 044 Agency SBIR Differences qNumber and Timing of Solicitations qR&D Topic Areas -- (Broad vs. Focused) qDollar Amount of Award (Phase I and II) qProposal Preparation Instructions qFinancial details (e.g., Indirect Cost Rates, Gap Funding) qReceipt Dates qProposal Review Process qProposal Success Rates  Type of Award (Contract or Grant)

5. Segan Feb 045 Agency SBIR Differences Granting Agencies Ü Investigator initiates approach Ü Less-specified topics Ü Assistance mechanism Ü More flexibility DOD HHS/NIH NASAED EPADOT DOC Contracting Agencies Ü Agency establishes plans, protocols, requirements Ü Highly focused topics Ü Procurement mechanism for DOD and NASA Ü More fiscal requirements HHS/NIH NSF ED USDA DOE

6. Segan Feb 046 q Small Business Innovation Research (SBIR) Set-aside program for small business concerns to engage in federal R&D -- with potential for commercialization. q Small Business Technology Transfer (STTR) Set-aside program to facilitate cooperative R&D between small business concerns and U.S. research institutions -- with potential for commercialization. Program Descriptions 2.5% 0.3%

7. Segan Feb 047 DoD FY02 SBIR/STTR Programs SBIR STTR $830 million budget 10 participating components: $45 million budget 5 participating components:

8. Segan Feb 048 DoD SBIR Technology Areas Air Platforms Battlespace Environments Chemical & Biological Defense Weapons Human Systems Materials & Processes Information Systems Technology Space Platforms Biomedical Electronics Sensors Nuclear Technology Ground and Sea Vehicles

9. Segan Feb 049 DoD SBIR/STTR is “User Friendly” Solicitation topics and authors are available online during the Pre-Solicitation period Quick award process Phase I decisions made in 4 months Phase II decisions in 6 months Help Desk Fast Track Program Electronic Proposal Submission Commercialization Track Record used in proposal evaluation

10. Segan Feb 0410 DoD SBIR & STTR Solicitations Solicitation Internet Release Proposals Accepted Starting Proposal Deadline Contracts Awarded SBIR FYxx.1 SBIR FYxx.2 SBIR Fyxx.3 Approx. Oct. 1 Approx. Dec. 1 Approx. Jan. 15 Approx. May 15 Approx. March 1 Approx. May 1 Approx. June 15 Approx. Oct. 15 Approx. May 1 Approx. July 1 Approx. Aug. 15 Approx. Dec. 15 STTR FYxx Approx. Jan. 2 Approx. March 1 Approx. April 15 Approx. Aug. 15 New in 04

11. Segan Feb 0411 Army Materiel Command DA Corps of Engineers ERDC Engineer Research and Development Center DCSPER ARI Army Research Institute ASA(ALT)PEOs RDECOM MEDCOM ARDEC Armament RD&E Center TARDEC Tank Automotive RD&E Center ARMY R&D Organizations MRMC Medical Research and Material Command ARO Army Research Office Army STTR PMO ARL Army Research Lab SOSI Agile Development Center AMSAA Army Material Systems Analysis Activity STC Simulation Technology Center ECBC Edgewood Chemical Biological Center CERDEC Communications - Electronics RD&E Center AMRDEC Army Aviation and Missile RD&E Center International Programs M&S ARO-W Army Research Office – Washington Army SBIR PMO Divisions NSC Natick Solider Center Participants in SBIR Participants in SBIR and STTR

12. Segan Feb 0412 System Technology Options Future Combat Systems Draw From the Fullest Range of Technology Options Directed Energy CKEM “Missile in a Box” Robotics Wireless Comms & Sensors Conventional Cannon (Direct & Indirect Fire) Signature Management Advanced Armor Fuel Cells New Ideas Pulse Power Multi-function Staring Sensor Electromagnetic Gun Prime Power Pulsed Power Supply Conducting Rails ProjectileArmature Recon- naissance AirDefense IndirectFire C 2 on the Move Troop Transpor t DirectFire FCS Mission Needs Statement Non- Lethal Active Protection

13. Segan Feb 0413 Force Operating Capabilities For more info on Force Operating Capabilities visit: www.tradoc.army.mil/tpubs/pams/p525-66.htm This document provides the focus to the Army’s Science and Technology Master Plan *Managed by the US Army Training and Doctrine Command (TRADOC) Human Engineerin g ManeuverSupport Survivability Air Ground Operations Mounted / Dismount Maneuver ManeuverSustainment Line of Sight / Beyond LOS Lethality Non-Line of Sight Lethality Battle Command Construct Strategic Responsivenes s & Deployablity Sensor Fusion Trng & LDR Dev

14. Segan Feb 0414 ARMY SBIR Funding SBIR Budget is 2.5% of Army Extramural R&D * 04.3 Solicitation opens 1 May, proposals due NLT 12 August 2004

15. Segan Feb 0415 Distribution of SBIR Awards 4,746 Phase I Awards Fiscal Years 1983 – 2002 1,979 Phase II Awards 784 Phase III Awards Sales & Revenues $2.4B

16. Segan Feb 0416 ARMY SBIR Process Commercialization No SBIR Funds... Prototype Development $730K, 2 Years Phase II Plus $250K, 1 Year ~ One in Two Win Feasibility Study - $70K, 6 Months $50K Option (Gap Funding) ~One in Ten Win Phase III Army SBIR…Pursues innovations through aggressive contracting with small businesses. Phase II Phase I

17. Segan Feb 0417 Chemical & Biological Defense l Joint Department of Defense Program; Army is Program Manager for the Defense Threat Reduction Agency (DTRA) l Separate and distinct from Army SBIR Program l FY03 Budget - $9.2M l FY03 - 25 Phase I’s selected; 10 Phase II’s selected l 20 CBD Topics in the 04.1 Solicitation – Opens 1 Oct 03; Closes 15 Jan 04

18. Segan Feb 0418 Small Business Technology Transfer Program (STTR) 1994 - Established by Congress Enhancement Act of 1992 Public Law. 102-564 Partner program to SBIR with same general structure Program Reauthorized in FY 2002 to 2009 Major Provisions starting in FY04 q Program Level goes from 0.15% to 0.3% of Extramural R&D Budget (doubling) q Phase II Maximum increased to $750K q Similar Reporting and Outreach Requirements to SBIR

19. Segan Feb 0419 Army Topics Broad in scope Based on Army critical technologies Emphasize potential Commercialization Dual Use Phase III Commercialization Funding from non-SBIR/STTR public or private sources Phase III Commercialization Funding from non-SBIR/STTR public or private sources Phase I Feasibility Study 6 Month Performance $100K Phase I Feasibility Study 6 Month Performance $100K Commercialization Marks Success Encourage collaboration between Small Business and: Universities Non Profit Research Institutions FFRDCs STTR - Program Overview Phase II R&D 2 Years prior: $500K Starting FY04: $750K Phase II R&D 2 Years prior: $500K Starting FY04: $750K Program Goals: Rapidly move innovative concepts, emerging technologies, and cutting-edge research out of the laboratory and into the commercial marketplace Stimulate technological innovation Increase small business participation in Federal R&D Increase private sector commercialization of technology-developed, through Federal R&D Foster and encourage participation by woman own and socially and economically disadvantaged small businesses Provide strong incentives for collaborations between small firms and research institutions

20. Segan Feb 0420 STTR Projects Small Business Small Business is Prime Contractor and responsible for managing work 40% minimum of the R&D work (in terms of STTR contract dollars) is done by Small Business At least 51% U.S. Citizen Owned Small Business Small Business Small Business is Prime Contractor and responsible for managing work 40% minimum of the R&D work (in terms of STTR contract dollars) is done by Small Business At least 51% U.S. Citizen Owned Small Business Research Institution Minimum of 30% of work done by must be done by research institution Research Institution Minimum of 30% of work done by must be done by research institution Distribution of remaining 30% determined by Small Business

21. Segan Feb 0421 STTR –Summary of Projects * 04 STTR Solicitation now open, proposals due 15 April 2004 – 6 AM

22. Segan Feb 0422  The Ohio State University  Purdue University  University of Wisconsin  N.C. State University  Georgia Tech  Virginia Tech Examples of Successful Entrepreneurial Research Institutions  Texas A&M University  Penn. State University  UC San Diego  University of Utah  Carnegie Mellon University  Stanford University Source: Innovation U. “New University Roles in A Knowledge Economy” Southern Technology Council and Southern Growth Policies Board

23. Segan Feb 0423 qThe Ohio State University Models: Start-ups involving RI employees Managed Start-Up Model Faculty-Owned Business Model Early Stage Development Model Entrepreneurial Leave Model http://www.techtransfer.rf.ohio-state.edu Examples of Successful Entrepreneurial Research Institutions (cont.)

24. Segan Feb 0424 q Purdue University: (Purdue Research Park) 3 business incubators Companies benefit from shared office concept, flexible leases, attractive rental rates, and more... Gateways Program Financial assistance qEndocyte, Inc. : (Purdue Research Park) Researcher, Philip Low, discovered way to diagnose, potentially cure, ovarian cancer using vitamin folate Sell technology or start own company to develop and market treatment???? Resisted VC offers: wanted control of science Now exploring use of folate in arthritis ADVICE: Hire experienced CEO to handle all but science BENEFIT: Purdue retains talent SUCCESS STORY

25. Segan Feb 0425 SBIR/STTR Comparison SBIR 2 Phases Phase 1 6 Months $70,000 Base Award $50,000 Option 2/3 of work must be performed by proposing firm Phase II 2 Years, $730,000 ½ of work must be performed by proposing firm 2 Phases STTR 2 Phases Phase 1 1 year, $100,000 Phase II 2 years, $500,000* for both Phase I & II Minimum of 40% of work must be performed by the small business AND Minimum of 30% of work must be performed by the research institution in FY04 maximum -> $750K

26. Segan Feb 0426 SBIR and STTR Proposals Tips Start early, do your homework, and don’t wait until the last minute! Use the Pre-Solicitation period to YOUR benefit Fully describe your capabilities in your proposal - don’t assume evaluators will know Don’t pad proposals to get the 25 page limit Get an independent review and check your work. Don’t subcontract Government facilities or equipment with SBIR funds. (SBA Policy Directive) Don’t overlook Conflict-of-Interest rules Three Evaluation Criteria Scientific & Technical Merit and Feasibility Experience, Qualifications and Facilities Commercial Merit and Feasibility

27. Segan Feb 0427 DoD Components ComponentContactPhone # Army SBIR Susan Nichols 703-806-0859 CBD SBIR Susan Nichols Army/STTREllen Segan919-549-4240 NavyVincent Schaper703-696-8528 Air ForceSteve Guilfoos937-656-9021 DARPAConnie Jacobs703-526-4162 MDAFrank Rucky703-697-3641 DTRARon Yoho703-325-9615 SOCOMKaren Pera813-828-7549 OSDTeresa Puretz703-693-0458 NIMADerrick Riddle301-227-1792

28. Segan Feb 0428 DoD SBIR/STTR Internet Resources Homepage: www.acq.osd.mil/sadbu/sbir/ Program overview Electronic copies of the solicitation Sample proposals & model contracts Acquisition program liaisons Conferences Proposal Submission: www.dodsbir.net/submission/ Prepare Phase I and Phase II proposal cover sheets Prepare Company Commercialization Report Update Phase II project commercialization metrics Fast Track Application Awards Search: www.dodsbir.net/awards/ Searchable database of SBIR & STTR Phase I & II awards with project abstracts from FY83-FY02

29. Segan Feb 0429 Where To Get Help HOME PAGES: DoD - http://www.dodsbir.net or www.acq.osd.mil/sadbu/sbir Army Research Office - http://www.aro.army.mil/arowash/rt/ MAILING LIST FOR SOLICITATION: DoD SBIR Help Desk - 866-SBIRHLP (724-7457). HOME PAGES: Pre-Solicitation – www.acq.osd.mil/sadbu/sbir SITIS - http://dtica.dtic.mil/sbir/

30. Segan Feb 0430 ARMY SBIR & STTR Program Managers Susan Nichols – Army SBIR Program Manager, Acting ARMY RESEARCH OFFICE-WASHINGTON 6000 6 th Street, Suite 100, Fort Belvoir, VA 22060-5608 PHONE # (703) 806 - 0859; FAX # (703) 806 - 2046 E-MAIL: Susan.Nichols@belvoir.army.mil HOMEPAGE: http://www.aro.army.mil/arowash/rt/ DR. ELLEN G. SEGAN – Army STTR Program Manager ARMY RESEARCH OFFICE 4300 South Miami Blvd, Durham, NC 27703-9142 PHONE # (919) 549 - 4240; FAX # (919) 549 - 4245 E-MAIL: ARMYSTTRPMO@arl.army.mil HOMEPAGE: http://www.aro.army.mil/arowash/rt/