From Conception to Commercialization

1. From Conception to Commercialization

2. SBIR Overview The Small Business Innovation Research program: • Established in 1982 (P.L. 97-219) & reauthorized four times (through 2017) • Requires each federal agency with an extramural for R&D over >$100M to set-aside 2.8% for SBIR in FY14 (2.9% in FY15) • Funds R&D at small businesses • Program goals: • Stimulate technological innovation • Increase small business participation in federally funded R&D • Foster participation by socially and economically disadvantaged firms in technological innovation • Increase private sector commercialization of federal R&D • 11 Federal agencies and 13 DoD components participate

3. STTR Overview The Small Business Technology Transfer program: • Established in 1992 (P.L. 102-564) & reauthorized three times (through 2017) • Requires each federal agency with an extramural for R&D over >$1B to set-aside 0.4% for STTR in FY14 and FY15 • Funds cooperative R&D between small businesses and research institutions • Program goals: • Create vehicles for moving ideas from research institutions to market • Enable researchers to pursue commercial application of technologies • Bridge funding gap between basic research and commercial product • Five Federal agencies and seven DoD components participate

4. Federal Agency Participation SBIR + STTR Programs: Dept. of Defense Dept. of Health and Human Services Dept. of Energy National Science Foundation National Aeronautics and Space Administration SBIR Program only: Dept. of Transportation Dept. of Education Dept. of Agriculture Dept. of Homeland Security Environmental Protection Agency Dept. of Commerce

5. Competitive Three-Phased Process All Phase I awardees may apply for Phase II. Phase I and II awardees can move to Phase III. Feasibility Study, Proof of Concept Full Research and Development Effort resulting in a Prototype Commercialization Stage Further R&D and Product Sales/Services Seek External Funding [no use of SBIR funds] from federal, state or private sources

6. What’s Unique About DoD • DoD is both an INVESTOR and a CUSTOMER • Focused on the WARFIGHTER • DoD scientists and engineers seek technology innovation to meet mission needs • Largest SBIR program in the federal government • Company retains data rights for five years • Sole-sourcing allowed for follow-on awards

7. Small Business Participation • Small hi-tech firms from across the country • Third of applicants are new to the program • 25 percent of awardees are first-time winners

8. Air Force Focus The mission of the United States Air Force is to fly, fight, win…in air, space, and cyberspace. The Air Force SBIR/STTR Program is a mission-oriented program that integrates the needs and requirements of the Air Force through research and development topics that have military and commercial potential.

9. SBIR/STTR Organizations ROME, NY • Air Force Research Laboratory WRIGHT-PATTERSON AFB, OH • Air Force Research Laboratory • Air Force Life Cycle Management Center • HILL AFB, UT • Air Force Sustainment Center HANSCOM AFB, MA • Air Force Life Cycle Management Center EDWARDS AFB, CA • Air Force Research Laboratory • Air Force Test Center ARNOLD AFB, TN • Air Force Test Center TINKER AFB, OK • Air Force Sustainment Center ARLINGTON, VA • Air Force Research Laboratory • F-35 Joint Strike Fighter ROBINS AFB, GA • Air Force Sustainment Center KIRTLAND AFB, NM • Air Force Research Laboratory • Air Force Nuclear Weapons Center • LOS ANGELES AFB, CA • Space and Missile Systems Center • MAUI, HI • Air Force Research Laboratory EGLIN AFB, FL • Air Force Research Laboratory • Air Force Life Cycle Management Center • Air Force Test Center SAN ANTONIO, TX • Air Force Surgeon General • Air Force Civil Engineer Center • Hurlburt field, FL • Air Force Special Operations Command

10. Award Structure Phase 0 Topic Generation Phase I Phase II Phase II Extensions / Enhancements Sequential Phase II Phase III Pre Year 1 Year 2 Year 3 Year 4-5 Year 5-8 Anytime Phase I Phase II 1stIncrement Phase II 2nd Increment Phase 0 Topic Generation PII+ Phase III Phase II+ Commercialization Readiness Program (CRP)

11. Technology Focus

12. Technology 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

13. Technology Focus, Cont’d • Automatic Target Recognition • Electro-optical • Radar • Acoustic • Signals • Integrated Platforms • RF Components • Microelectronics • Electronic Materials • Electronic Warfare RF & EO/IR • Space & Launch Vehicles • Space Propulsion

14. Technology Focus, Cont’d • Guidance & Control • Guns, Missiles, Ordnance • Fuzes • Lethality/Vulnerability • Lasers • High-Power Microwave • Test & Simulation • Lethality Effects • Threat Reduction/Detection • Warfighter Consequences • System Effects/Survivability • Terrestrial and Ocean • Lower Atmosphere and Space • Cognitive Processing • Personnel Recovery • Training & Development • Military Medicine • Combat Care

15. Technology Focus, Cont’d • Air Force topics typically focus on following technology areas: • Depot maintenance and sustainment • Developmental test and evaluation of air, space & cyber systems • Aircraft, alternative fuels, unmanned vehicles, engines, hypersonic vehicles, and collision avoidance • Basic research, material and life sciences, math and physics • Laser systems, high power electromagnetics, weapons modeling and simulation • Human-related training, decision-making, forecasting and performance

16. Technology Focus, Cont’d • Advanced computing architectures, cyber operations and information • Materials and advanced manufacturing technologies for aircraft, spacecraft, missiles, rockets and ground-based systems • Explosives, weapons integration, guidance, fuses, navigation and control • Antennas, radar, reconnaissance, electronic warfare and microelectronics • Spacecraft technology, battlespace awareness, and space-related experiment integration and evaluation

17. Success Stories Skate Nano-particles Optical Fence eXact

18. Getting Started http://www.acq.osd.mil/osbp/sbir • To get started: • Determine Eligibility • Find a Topic • Ask Questions • Prepare Proposal • Submit Proposal 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

19. Eligibility SBIR STTR • Applicant is for-profit small business based in the United States • U.S. research institution • Formal cooperative research and development effort • 40% of work performed by small business • 30% of work performed by U.S. research institution Note: Additional requirements apply—see www.sbir.gov/applicants Organized for-profit business based in the U.S. 500 or fewer employees Principal Investigator’s primary employment must be with the small business

20. DoD SBIR/STTR Solicitations • Not all DoD components participate in each solicitation. • Multiple solicitations provide opportunities to participate throughout the fiscal year. • www.dodsbir.net/solicitation

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

22. Topic Qs & As SBIR/STTR Interactive Topic Information System (SITIS)*www.dodsbir.net/sitis • *Questions and advice on solution approach and submission • of additional material is not allowed During Pre-Release • Direct contact allowed with topic authors • Topic authors’ contact info listed in topic • Resource for previous questions and answers During Open Period • Contact with topic author prohibited • Questioner and respondent remain anonymous

23. Preparing a Strong 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 • Credentials Verification (CV) is required as part of proposal (DoD instructions section 5.4 (8)) • If there are technical barriers - address them • Highlight past successes - technical & commercial • Update company commercialization record

24. Proposals Cover Sheet Technical Volume Cost Proposal Completed online at the DoD SBIR/STTR Submission site www.dodsbir.net/submission or completed offline and submitted with Technical Volume Completed online at the DoD SBIR/STTR Submission site www.dodsbir.net/submission Example Phase I & II Proposals can be found at www.dodsbir.net/submission/help/faq-3.htm

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

26. 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 – DoDwarfighter 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

27. Evaluations, Cont’d • After evaluation, proposals generally categorized* as: • Highly Recommended: Proposals are recommended for acceptance if sufficient funding is available, and normally are displaced only by other Highly Recommended proposals; • Selectable: Proposals are recommended for acceptance if sufficient funding is available, but at a lower priority than Highly Recommended proposals. May require additional development. To ensure a diversity of approaches, a Selectable proposal may be prioritized over a Highly Recommended proposal if the Selectable proposal presents a unique approach unlike any of the Highly Recommended proposals; or • Not Selectable: Even if sufficient funding existed, the proposal should not be funded. *Consult BAA, as categories may vary

28. Awards Air Force sends Phase I selection status within 90 days (typically) of solicitation’s closing Air Force awards contracts within 180 days (typically) Similar timing for Phase II awards

29. Awards, Cont’d • For non-selected proposals • Principal investigator/corporate official will be notified • May request a debriefing • Must be written request • Received within 30 days of receipt of notice of non-selection • Entitled to only one debriefing for each proposal • Debrief usually prepared by contracting officer and TPOC

30. Helpful Advice • Persevere! Be in it for the long haul—could take years for effort to make it into a military system • Build a network of contacts in the Air Force and programs of record • Take advantage of all available assistance, including online information • Ask if this is a sponsored topic or who is the SPOC? • Already have a Phase I? • Know your target platform/system for insertion • Build strategic partnerships (primes, universities, etc.) • Plan commercialization path early with technical point-of-contact

31. Contact Us • Air Force SBIR/STTR Program (“Small Business” section) www.afsbirsttr.com • DoD SBIR/STTR Program www.dodsbir.net • U.S. Small Business Administration www.sba.gov

32. BAAs • Broad Agency Announcements (BAAs) • Used for research and development projects only • Advance the state-of-the-art • Increase knowledge or understanding in technical area • Provide research interest/problem statement • Anticipate varied technical/scientific approaches • Proposals evaluated against published criteria, not each other (no common statement of work) • Do not follow source selection procedures (FAR Part 35) • “Closed” BAAs used for SBIR/STTR

33. Technology Transfer • Cooperative Research and Development Agreement • Collaborative research opportunities, sharing access to people, facilities, data, expertise • Commercial Test Agreement • Provide access to world class Air Force testing facilities • Patent License Agreement • Leverage Air Force intellectual property for commercial applications Spin-on Co-Development Spin-off The Air Force Technology Transfer Program (T2) makes available Air Force technologies, inventions, patents, facilities, and personnel for collaborative efforts with government, industry or academia.

34. Technology Transfer Contacts keith.quinn.3@us.af.mil / 937.656.9868 abby.boggs@us.af.mil / 937.656.9006 tricia.randall@us.af.mil / 937.656.9825 marcia.graeff.ctr@us.af.mil / 937.656.9055