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Navy SBIR and STTR Programs

Navy SBIR/STTR Program Goals. Two main goals of Navy SBIR/STTR Program:Use small business to develop innovative technology that addresses a Navy needCommercialize that technology

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Navy SBIR and STTR Programs

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    1. Navy SBIR and STTR Programs

    2. Navy SBIR/STTR Program Goals Two main goals of Navy SBIR/STTR Program: Use small business to develop innovative technology that addresses a Navy need Commercialize that technology – i.e, transition it into a Navy platform or weapons system

    3. Acquisition Driven Process TECHNOLOGY PULL APPROACH Over 80% of Navy Topics are selected by PEO/PM/FNC office and address one of their specific needs -- not just “sponsored by” Topics and awards based on their R&D priorities and SBIR funding allocation. The PEO gets back 90% of its SBIR/STTR tax Many contracts awarded/monitored by lab employees with Acquisition Office POC involved

    4. FPDS Report Data on DOD-funded Phase III Contracts During FY99-FY09

    5. Organizational Structure Program is Administered by the Office of Naval Research Program Participants Naval Sea Systems Command (NAVSEA): Warfare Centers, PEO’s and Program Managers Naval Air Systems Command (NAVAIR): Warfare Centers, PEO’s and Program Managers Office of Naval Research (ONR): Science & Technology Directorates and Naval Research Laboratory Space & Warfare Sys. Command (SPAWAR): Warfare Centers, PEO’s and Program Managers Marine Corps Systems Command (MARCOR): Direct Reporting Program Managers Naval Supply Systems Command (NAVSUP) Naval Facilities Systems Command (NAVFAC) Programs are managed out of the various participating Systems CommandsPrograms are managed out of the various participating Systems Commands

    6. This is the org chart across the Navy. For me this is a 15 second chart meant to show that there are people across the SYSCOMS and Labs that work SBIR. We provide central management of the program but have no direct line authority over these people. The instruction helps in that it lays out the responsibilities of the folks at ONR, SYSCOMS and PEO’s but still a challenge. This is the org chart across the Navy. For me this is a 15 second chart meant to show that there are people across the SYSCOMS and Labs that work SBIR. We provide central management of the program but have no direct line authority over these people. The instruction helps in that it lays out the responsibilities of the folks at ONR, SYSCOMS and PEO’s but still a challenge.

    7. SBIR vs. STTR Small Business Innovation Research (SBIR) Federally mandated 2.5% assessment of extramural research dollars provided to small research firms (<500 employees) Must be 51% owned by U.S. Citizen Contract firm must conduct at least 51% of research Small Business Technology Transfer (STTR) Similar to SBIR Requires: 30% funding to go to a University or Federally Funded Research & Development Centers (FFRDC) 40% remain with contracted small business concern 30% balance to be split or subcontracted as needed

    8. Program Phases (1) Phase I – Feasibility. The process for this phase consists of solicitation, evaluation, and contract award for effort to determine the scientific or technical merit and feasibility of solutions for DON-identified work requirements. Typically a Phase I is awarded for 6 months and on a firm-fixed price contract basis. Awards over $100,000 require written justification to the DON SBIR Program Office by the SYSCOM SBIR Program Manager per Section 7(h) of reference (b), within one month after contract award. (2) Phase II – Demonstration. This phase normally includes follow-on prototype development using the results of the analysis delivered under Phase I. The Phase II award decision requires consideration of the proposal’s commercial (government or private sector) potential by reviewing the SBC’s Commercialization Plan. Typically this phase is performed over a two year period. Awards over $750,000 require written justification by the SYSCOM SBIR Program Manager to the DON SBIR Program Office, per section 7(h) of reference (b), within one month after contract award. Only those firms that have successfully completed Phase I contract efforts are eligible for consideration for Phase II awards. (3) Phase III – Commercialization. This phase refers to work that derives from, extends, or logically concludes effort(s) performed under prior SBIR contracts, but is not funded with SBIR funds. Phase III work may be for products, production, services, R/R&D, or any combination, that is funded by the Government, commercial vendors (both defense and non-defense), or individuals. Neither the monetary value nor number of Phase III awards is restricted and may be awarded any time after a Phase I or Phase II has been awarded. The agency need not compete Phase III awards. Phase III awards, awarded through a competitive or non-competitive process, must be designated as such and include the SBIR data rights clauses FAR 52.227-20 and DFARS 252.227-7018 in the contract. The small business size limits for Phase I and Phase II awards do not apply to Phase III awards. (1) Phase I – Feasibility. The process for this phase consists of solicitation, evaluation, and contract award for effort to determine the scientific or technical merit and feasibility of solutions for DON-identified work requirements. Typically a Phase I is awarded for 6 months and on a firm-fixed price contract basis. Awards over $100,000 require written justification to the DON SBIR Program Office by the SYSCOM SBIR Program Manager per Section 7(h) of reference (b), within one month after contract award. (2) Phase II – Demonstration. This phase normally includes follow-on prototype development using the results of the analysis delivered under Phase I. The Phase II award decision requires consideration of the proposal’s commercial (government or private sector) potential by reviewing the SBC’s Commercialization Plan. Typically this phase is performed over a two year period. Awards over $750,000 require written justification by the SYSCOM SBIR Program Manager to the DON SBIR Program Office, per section 7(h) of reference (b), within one month after contract award. Only those firms that have successfully completed Phase I contract efforts are eligible for consideration for Phase II awards. (3) Phase III – Commercialization. This phase refers to work that derives from, extends, or logically concludes effort(s) performed under prior SBIR contracts, but is not funded with SBIR funds. Phase III work may be for products, production, services, R/R&D, or any combination, that is funded by the Government, commercial vendors (both defense and non-defense), or individuals. Neither the monetary value nor number of Phase III awards is restricted and may be awarded any time after a Phase I or Phase II has been awarded. The agency need not compete Phase III awards. Phase III awards, awarded through a competitive or non-competitive process, must be designated as such and include the SBIR data rights clauses FAR 52.227-20 and DFARS 252.227-7018 in the contract. The small business size limits for Phase I and Phase II awards do not apply to Phase III awards.

    9. Why would a Small Business Want to Participate in the SBIR Program? Largest source of early stage R&D funds for small business; FY10 DoD SBIR budget = $1.25B, Navy = >$315M No strings attached – SBIR awardee retains data rights for 4 years or more (5 for DoD) Follow-on awards are contracted non-competitively Strong transition support focused on commercialization Company can maintain ownership of equipment purchased under Phase I and II Better alternative than Venture Capital or mortgaging the house….again

    10. The Transition Assistance Program (TAP) is: A unique Navy SBIR program offered exclusively to our SBIR and STTR Phase II award recipients An intensive 11-month program that provides participants with a business consultant focused on helping the SBIR company transition its technology Designed to help recipients conduct strategic planning and enhance their preparation for transition to Phase III Training includes development of business plans, protection of intellectual property, license agreements, partnering, venture capital, etc. Enhancements include manufacturing assessment, strategic planning, commercial potential assessments TAP ends with companies briefing PEOs, industry and VC communities at the Navy Opportunity Forum. Navy SBIR/STTR Transition Assistance Program (TAP) helps Small Business Navy Opportunity Forum is a large 3 day event held around May each year. Puts the Small Businesses in the spot light so they can “show there stuff.”Navy Opportunity Forum is a large 3 day event held around May each year. Puts the Small Businesses in the spot light so they can “show there stuff.”

    11. Phase III impact of Navy TAP

    12. Navy TAP results 2002 - 2007 693 projects completed the Navy Transition Assistance Program between 2001 and 2007. 61% (421) of those projects have successfully obtained Phase III (additional non-SBIR funding) within 18 Months of the Navy Opportunity Forum. Collectively, these 421 projects reported $1.15 billion in Phase III funding.  These 421 projects have a per project Phase III average of $2.7M. 95% of projects going through the Navy TAP program would recommend the program to other small businesses.

    13. NAVY SBIR/STTR Award Structure

    14. Navy SBIR/STTR statistics 2003 - 2009 Statistics for the SBIR programs: # of Topic $M # of proposals # of Phase I # of Phase II 2003 222 196 3,088 551 192 2004 266 217 3,667 585 212 2005 163 253 2,663 466 290 2006 187 309 2,499 446 234 2007 214 311 2,620 618 223 2008 221 276 2,708 546 273 2009 228 333 3,555 490 269 Statistics for STTR programs: # of Topic $M # of proposals # of Phase I # of Phase II 2003 26 12.4 314 69 20 2004 34 25 404 91 27 2005 33 30 432 96 33 2006 40 37 537 116 42 2007 39 37 417 95 38 2008 34 32 383 92 51 2009 39 39 689 119 46 Approximately 1/5 of proposals receive phase I awards. The program is Competitive!Approximately 1/5 of proposals receive phase I awards. The program is Competitive!

    15. Small Business Participation

    16. Annual DoD Solicitations

    17. DoD SBIR/STTR Website www.dodsbir.com

    18. Navy SBIR/STTR Website www.navysbir.com Navigate the site to learn about current topics, past awards, POC’s, and much moreNavigate the site to learn about current topics, past awards, POC’s, and much more

    19. Search project inventory - navysbirsearch.com

    20. How does Government Benefit from SBIR Program? Safe, effective way to scope out high-risk R&D Small businesses are often more cost effective and innovative than large primes (i.e. agile, niche) Helps new companies establish a track record with the government (test-drive) Allows program managers to establish second source/method for R&D/equipment and augment their ongoing programs (risk management)

    21. Tips for Succeeding w/Navy Just Getting Started? Research topics consistent with your business strategy. Current and past solicitations identify Navy technology needs. Know Navy structure. Submit proposals for solicitations your company can solve. Prepare to be innovative. Already have a Phase I? Know your target platform/system for insertion. Build strategic partnerships (Resource Sponsors, Acquisition Managers, Program Managers). Plan commercialization path early with TPOC.

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