Department of Navy (DON)
SBIR and STTR Program
SBIR/STTR At A Glance
March 4, 2014
Jack Griffin
Deputy S&T Director
PEO Littoral Combat Ships
D E L I VStatement
ERING SM
L B U S I N Efor
S S public
I N N Orelease;
V A T I O Ndistribution
T O T H E F LisE Eunlimited
T
Distribution
A.A LApproved
DON SBIR/STTR Main Goals
• Use small business to develop innovative R&D that addresses a
Navy or Marine Corps need – including energy efficiency
improvements and cyber security improvements, as the DON
mission evolves.
• Commercialize (Phase III) that technology into a DON platform
or weapons/communication system, or for facilities use in
expeditionary bases in new “pivot” locales in Africa and Asia.
D E L I V E R I N G S M A L L B U S I N E S S I N N O VAT I O N T O T H E F L E E T
2
Typical DON SBIR/STTR Phase I and
Phase II Funding Landscape
Idea Generation
Phase I
SPAWAR
6m $80K base
6m $70K option
18m $600K Base
6m, $150K Option
II.5 up to $1.5M
Phase II/II.5
Prototype
Development/
Demonstration
Base & Option
vary by SYSCOM
Demonstration /
Commercialization
ONR
NAVAIR
18m, $500K Base
9m $250K Option 1
18 $750K Option 2
(50/50 cost match)
24m $.75-$1M Base
II.5 up to $1.5M
Options require
matching funds
Phase III
Non-SBIR Funding
(Government or Private)
MARCOR
NAVSEA
24m $600K Base
6m, $150K Option
II.5 up to $1.5M
24m $600K Base
6m, $150K Option
II.5 up to $1.5M
Each SYSCOM has own Phase II
guidance (typical amounts shown)
Production/Further R&D
D E L I V E R I N G S M A L L B U S I N E S S I N N O VAT I O N T O T H E F L E E T
3
Acquisition Driven Process, with
Strong Technology Pull
• SBIR/STTR projects derive from SYSCOM-generated Topics
announced in quarterly solicitations.
• Over 80% of Navy Topics are selected by PEO/PM/FNC offices
and address their specific needs, not just “sponsored by”.
• PEOs get back 90% of their SBIR/STTR “tax” , as Topics. They
make Phase I and II selections and have Phase III funding.
• Many contracts monitored by lab employees with Acquisition
Office POC involved.
D E L I V E R I N G S M A L L B U S I N E S S I N N O VAT I O N T O T H E F L E E T
DON SBIR/STTR Supports a
Wide Variety of Technology Needs
SSN-774 Virginia-class Submarine
D E L I V E R I N G S M A L L B U S I N E S S I N N O VAT I O N T O T H E F L E E T
5
Generic SBIR/STTR Award Structure
DON SYSCOMS tailor this model as needed
Technology Development
and Prototype Demonstration
Feasibility Study
Phase I
Phase I
Base
• 6 Months
(SBIR)
• 7 Months
(STTR)
• $80K
Phase I
Option
• 6 Months
• $70K
FFP Contract
Prototype Testing & Evaluation
Technology Demo & Validation
Subsequent
Phase II
Phase II
Phase II
Base
• 18
Months
• ≤ $500K
Phase II
Option 1
•
•
•
•
9 Months
≤ $250K
TTP required
SBIR PM/PO
review for
Option 2 at
exit
NTE $150K
Commercialization
Transition
Phase II
Option 2
• ~12-18 Months
• ≤750K total
• 1:1 cost match
• ≤ $375K SBIR
• ≤ $375K match
• Signed TTA
required
• TRL 4 at exit
Contingent upon having a
successful project with a
committed Transition
Sponsor/Path
•
•
•
•
• Non-SBIR/STTR $
(Private sector or NonSBIR Gov. $)
• Unlimited POP
• SBC Extension of Data
Rights and Sole Source
Designation
CPFF Contract
Contract Type Varies
Phase III contracts may be
awarded without
competition after Phase
I/II
NOTE: A ‘Subsequent Phase
II’ is a Requirements Driven
process; i.e., based upon
Acquisition program needs.
NTE $1.125M SBIR/STTR Funding
Transition to Acquisition
Program
Up to 24 months
1:1 cost match
Signed TTA required
Minimum TRL 4 at entry
NTE $1.5M SBIR/STTR
Funding
CPFF Contract
Phase III
No limit on funding (Just
Non-SBIR/STTR)
NTE $2.775M Total SBIR /STTR Funding
Phase III – can occur anytime after Phase I and is funded with non-SBIR/STTR$
TRL: 0 - 3
TTP: Technology Transition PlanD E L I
TTA: Technology Transition Agreement
2-5
4-7
6-9
V E R I N G S M A L L B U S I N E S S I N N O VAT I O N T O T H E F L E E T
Updated June 6, 2013
What’s New With SBIR/STTR?
• SBIR/STTR Reauthorization statute focuses on increased
commercialization:
– DoD services and components must set transition and insertion goals
– All Federal agencies may offer increased transition assistance to awardees
– Awardees must transition SBIR/STTR projects
• Phase II Transition Rate Benchmark
– Applies to firms receiving >20 Phase Is over 5 years: 25% benchmark for winning Phase Iis.
• Commercialization Rate Benchmark
– Applies to firms receiving >15 Phase IIs over 5 years: 25% benchmark for winning Phase IIIs.
– Period of calculation excludes most recently completed fiscal year.
• Penalty
– Awardees failing either benchmark are ineligible for a new Phase I or II award for one year from the time of
determination (June 1). SBA notifies Agencies and ineligible firms, Agencies report denied applications.
D E L I V E R I N G S M A L L B U S I N E S S I N N O VAT I O N T O T H E F L E E T
7
What’s New With SBIR/STTR?
• Statute also focuses on opening access to SBIR/STTR
– Federal agencies are required to develop and execute outreach plans to
underserved populations, with emphasis on women and minority
entrepreneurs … especially in states with fewer SBIR/STTR awardees
– State-oriented FAST program is reestablished
• …. while protecting against potential improprieties
– Federal agencies are expected to offer guidance to SBIR/STTR awardees on
fraud, waste and abuse – and to implement methods of curbing abuse
• Statute allows all Phase I awardees to submit Phase II proposals
– Agency practices are described in solicitations
• Latest amendments to SBA’s SBIR/STTR Policy Directives may be
found in Federal Register of January 8, 2014 at pg. 1303
D E L I V E R I N G S M A L L B U S I N E S S I N N O VAT I O N T O T H E F L E E T
8
SBIR/STTR Program By The Numbers
FY09
Total DoN SBIR Funding per FY
$328M
DoN SBIR Topics issued that FY
224
Number Of Phase I Proposals
3555
DoN Phase I Awards from FY Solicitations
597
Avg time to award Navy Phase I contracts 4.8 mo
Navy Phase II Awards during FY
267
Navy Phase III Awards during FY
126
Amount of Navy Phase III Awards that FY $362M
DoN STTR Funding Per FY
$40M
DoN STTR Topics Per Year
39
DoN STTR Phase I Awards during FY
125
DoN STTR Phase II Awards during FY
47
FY10 FY11 FY12 FY13
$342M $264M $271M $231M
181
160
149
233
4098 3282 2533 2227
483
434 250*
693
4.5 mo 4.5 mo 4.4 mo 4.5 mo
257
279
222
305
146
121
**
131
**
$566M $552M $725M
$41M $33M $36M $31M
29
50
39
26
70
158
116
62
52
23
41
46
* Still collecting data ** Data not available yet
D E L I V E R I N G S M A L L B U S I N E S S I N N O VAT I O N T O T H E F L E E T
9
SBIR/STTR Is Embedded DON-Wide
PM’s
PEO SBIR Technology
Managers
SYSCOM
John Williams, Director
Dean Putnam
SBIR Program Manager
NAVSEA
Elizabeth Madden
SBIR Program Manager
MARCOR
Paul Halloran
SBIR, Technical Liaison
PEO Land Systems
Lore-Anne Ponirakis
SBIR Program Manager
ONR
Elizabeth Altmann
SBIR Program Manager
SPAWAR
Blenda Gately
SBIR, Technical Liaison
PEO Carriers
Janet McGovern
SBIR, Technical Liaison
NAVAIR (1.0)
Glen Sturtevant
SBIR, Technical Liaison
PEO Ships
Todd Parcell
SBIR, Technical Liaison
PEO (A)
Vacant
SBIR, Technical Liaison
PEO C4I
Douglas Marker
SBIR, Technical Liaison
PEO IWS
Bill O’Reagan
SBIR, Technical Liaison
PEO (T)
Victor Gavin
SBIR, Technical Liaison
PEO EIS
Megan Cramer
SBIR, Technical Liaison
PEO LCS
Glenn Menear
SBIR, Technical Liaison
PEO (U&W)
Lauren Pitre
SBIR, Technical Liaison
PEO Subs
Amanda Gentry
SBIR, Technical Liaison
PEO (JSF)
Michelle Willis
CRP Program Manager
SBIR
Field
Offices
Donna Moore
SBIR Program Manager
NAVAIR
Kim Berche - Deputy
Lee Ann Boyer
CRP Program Manager
Steve Sullivan
STTR PM
Vacant
SBIR, Technical Liaison
PEO Space
Matt Williams
Phase II.5 Lead
Vacant
Joe Garcia
Jack Griffin
Jerry Rubinsky
Kimberly Berche
Butch Wren
Reggie Williams
Administrating Officer Administrating Officer Administrating Officer Administrating Officer CPP Program Manager Avionics & Sensors Propulsion and Power
NSWC Carderock
NSWC Dahlgren
NUWC Newport NAWC- AD Patuxent River
NAWC- AD Patuxent River
NAWC-AD Patuxent River
NAWC-AD
Brooke Pyne
Nancy Johnson
Dr. Mark Husni
Dr. Thomas Franz
Dr. Michael Seltzer
Administrating Officer Administrating Officer Administrating Officer Administrating Officer Administrating Officer
NSWC Crane
NSWC Indian Head
NAVAIR Lakehurst
NAWC- TSD Orland NAWC- WD China Lake
D E L I V E R I N G S M A L L B U S I N E S S I N N O VAT I O N T O T H E F L E E T
10
The Navy Opportunity Forum is the Navy's
Premiere Small Business Technology Event
• Forum is culmination of 11 month
Transition Assistance Program (TAP)
and in its 13th year
• Directly supports Legislation requiring
DON to develop programs that help
firms transition/ commercialize SBIR
funded technology
• Supports USD AT&L, SECNAV and DON
RDA directives and policy memos
• Wins documented praise by
Congressional Armed Services and
Small Business Committees
• Documented record of Success of
non-SBIR funding from DON PoR’s
• The most cost effective method for
generating “transition” which requires
face to face briefings and discussions
D E L I V E R I N G S M A L L B U S I N E S S I N N O VAT I O N T O T H E F L E E T
11
SBIR/STTR Homepage: www.navysbir.com
Learn about:
• SBIR/STTR phases
(funding, timelines,
requirements, etc.)
• Solicitation schedules
• Links to SYSCOM sites
• Program POCs
• Submitting proposals
• Getting started, getting
paid
D E L I V E R I N G S M A L L B U S I N E S S I N N O VAT I O N T O T H E F L E E T
12
www.navysbirsearch.com
D E L I V E R I N G S M A L L B U S I N E S S I N N O VAT I O N T O T H E F L E E T
13
Why SBIR/STTR?
• Government’s incentives
–
–
–
–
–
–
Test drive small business capability
Proactive risk reduction
Early/high-risk S&T with SBIR/STTR funding
Competing approaches open up additional technology alternatives
Non-competitive follow-on awards
High level of matching funds
• Small Business’ incentives
–
–
–
–
Largest source of early stage R&D funds for small firms
Company retains data rights for 5 years (DoD)
Builds credibility of company’s research
Follow-on awards are non-competitive
D E L I V E R I N G S M A L L B U S I N E S S I N N O VAT I O N T O T H E F L E E T
14
Tips for Succeeding with
Navy SBIR/STTR
Just getting started?
–
–
–
–
–
Research topics consistent with your business strategy
Current and past solicitations identify Navy technology needs
Know Navy structure
Submit proposals for problems you can solve
Prepare to be innovative
Already have a Phase I?
– Know your target platform/system for insertion
– Build strategic partnerships (Primes, Universities, Acquisition
Program Managers-Tech Directors-Requirements Officers)
– Plan commercialization path early with TPOC
D E L I V E R I N G S M A L L B U S I N E S S I N N O VAT I O N T O T H E F L E E T
15
Questions?
D E L I V E R I N G S M A L L B U S I N E S S I N N O VAT I O N T O T H E F L E E T
16