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
DELIVERIN
G S M A L L A.
B UApproved
S I N E S S Ifor
N Npublic
O V A T Irelease;
O N T O distribution
T H E F L E E Tis
Distribution
Statement

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.

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Typical DON SBIR/STTR Phase I and Phase

II Funding Landscape

Idea
Generation

Prototype
Developme
nt/
Demonstrat
ion

SPAWAR

Phase I
6m $80K base
6m $70K option

Phase
II/II.5
Base & Option
vary by SYSCOM

Phase III
Demonstration
Non-SBIR Funding
/
(Government or
Commercializa
Private)
tion

ONR
18m, $500K
Base
9m $250K
Option 1
18 $750K
Option 2
(50/50 cost
match)

18m $600K
Base
6m, $150K
Option
II.5 up to
$1.5M

MARCO
R

NAVAIR

24m $.75-$1M
Base
II.5 up to
$1.5M Options
require
matching
funds

NAVSEA

24m $600K
24m $600K
Base
Base
6m, $150K
6m, $150K
Option
Option
II.5 up to
II.5 up to
$1.5M
$1.5M
Each SYSCOM has own

Phase II guidance
(typical amounts shown)

Production/Further R&D
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Acquisition Driven
Process, with
Strong Technology Pull

SBIR/STTR projects derive from SYSCOMgenerated 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.
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DON SBIR/STTR Supports a

Wide Variety of Technology Needs
SSN-774 Virginia-class Submarine

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Generic SBIR/STTR Award Structure

DON SYSCOMS tailor this model as needed
Feasibility Study

Commercializa
Technology Development Prototype Testing & Evaluation
tion
and Prototype DemonstrationTechnology Demo & Validation
Transition

Phase I
Phase I
Base
6
Months
(SBIR)
7
Months
(STTR)
$80K

Subsequent
Phase II

Phase II

Phase I
Option

Phase II
Base

Phase II
Option 1

Phase II
Option 2

6
Months
$70K

18
Months

$500K

9 Months
$250K
TTP
required
SBIR
PM/PO
review
for
Option 2
at exit

~12-18
Months
750K total
1:1 cost
match
$375K
SBIR
$375K
match
Signed TTA
required
TRL 4 at
exit

FFP Contract
NTE $150K

Contingent upon
having a
successful project
with a
committed
Transition
Sponsor/Path

Up to 24 months
1:1 cost match
Signed TTA
required
Minimum TRL 4 at
entry
NOTE: AA Subsequent
Subsequent
NOTE:
CPFF
Phase
II is
isContract
Phase
II
aa
Requirements
Driven
Requirements
Driven
CPFF Contract
NTE $1.5M
process;
i.e.,
based
process;
i.e.,
based
SBIR/STTR Funding
NTE $1.125M SBIR/STTR Funding
upon Acquisition
Acquisition
upon
program needs.
needs.
NTE $2.775M Total SBIR /STTR Funding
program

Phase III
Transition to
Acquisition
Program
Non-SBIR/STTR $
(Private sector or
Non-SBIR Gov. $)
Unlimited POP
SBC Extension of
Data Rights and
Sole Source
Designation
Contract Type
Varies
Phase III contracts
may be awarded
without
competition after
Phase I/II

No limit on funding
(Just NonPhase III can occur anytime after Phase I and is funded with
nonSBIR/STTR)
SBIR/STTR$

TRL:

0-3

TTP: Technology
D ETransition
L I V EPlan
RI
TTA: Technology Transition

2-5

4-7

6-9

N G S M A L L B U S I N E S S I N N O V A T I O N T O T H E FUpdated
L E EJune
T 6, 2013

Whats 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.

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Whats 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 SBAs SBIR/STTR Policy Directives may be

found in Federal Register of January 8, 2014 at pg. 1303

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SBIR/STTR Program By The

Numbers

FY09 FY10 FY11 FY12 FY13

Total DoN SBIR Funding per
$328 $342 $264 $271 $231
FY
M
M
M
M
M
DoN SBIR Topics issued that
224 233 181 160 149
FY
Number Of Phase I Proposals 3555 4098 3282 2533 2227
DoN Phase I Awards from FY
597 693 483 434 250*
Solicitations
Avg time to award Navy
4.8
4.5 4.5 4.4 4.5
Phase I contracts
mo
mo
mo mo mo
Navy Phase II Awards during
267 305 257 279 222
FY
Navy Phase III Awards during
126 131 146 121
**
FY
Amount of Navy Phase III
$362 $566 $552 $725
**
Awards that FY
M
M
M
M
* Still collecting data ** Data not
DoN
STTR
Funding
Per
FY
$40M $41M$33M$36M$31M
9
D E L I V E R I N G S M A L L B U S I N E Savailable
S I N N O V Ayet
TION TO THE FLEET
DoN STTR Topics Per Year
39
50
39
26
29

SBIR/STTR Is Embedded
John Williams, Director
DON-Wide

Donna Moore
Dean Putnam
Elizabeth Madden Lore-Anne Ponirakis Elizabeth Altmann Steve Sullivan
SBIR Program Manager
SBIR Program Manager
SBIR Program Manager
SBIR Program Manager
SBIR Program Manager STTR PM
NAVAIR
NAVSEA
MARCOR
ONR
SPAWAR
Kim Berche - Deputy

PEO SBIR Technology

Managers

SYSCO
M PMs

Lee Ann Boyer

CRP Program Manager

Blenda Gately
Janet McGovern
Paul Halloran
SBIR, Technical Liaison
SBIR, Technical LiaisonSBIR, Technical Liaison
PEO Carriers
NAVAIR (1.0)
PEO Land Systems

Vacant
SBIR, Technical Liaison
PEO Space

Glen Sturtevant
Todd Parcell
SBIR, Technical Liaison
SBIR, Technical Liaison
PEO Ships
PEO (A)

Vacant
SBIR, Technical Liaison
PEO C4I

Douglas Marker
Bill OReagan
SBIR, Technical Liaison
SBIR, Technical Liaison
PEO IWS
PEO (T)

Victor Gavin
SBIR, Technical Liaison
PEO EIS

Megan Cramer
Glenn Menear
SBIR, Technical Liaison
SBIR, Technical Liaison
PEO LCS
PEO (U&W)
Lauren Pitre
Amanda Gentry
SBIR, Technical Liaison
SBIR, Technical Liaison
PEO Subs
PEO (JSF)

SBIR
Field
Offices

Matt Williams
Michelle Willis
Phase II.5 Lead
CRP Program Manager

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
NAWCRiverAD Patuxent
NAWC-AD
River Patuxent River NAWC-AD
Brooke Pyne
Nancy Johnson
Dr. Mark Husni Dr. Thomas FranzDr. Michael Seltzer
Administrating Officer
Administrating Officer
Administrating Officer
Administrating Officer
Administrating Officer
NSWC Crane NSWC Indian HeadNAVAIR LakehurstNAWC- TSD Orland
NAWC- WD China Lake

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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 PoRs
The most cost effective method for
generating transition which requires
face to face briefings and discussions

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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
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www.navysbirsearch.
com

Free
!

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Why SBIR/STTR?
Governments 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 companys research
Follow-on awards are non-competitive

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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 DirectorsD ERequirements
L I V E R I N G S M A LOfficers)
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Questions?

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