SBIR/STTR & NDSEG Fellowship Program Overview June 2017

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1 SBIR/STTR & NDSEG Fellowship Program Overview June 2017 Mr. Michael Caccuitto Division Chief, Tech Integration & Outreach ARL/ARO The Nation s Premier Laboratory for Land Forces

2 SBIR & STTR America s Seed Funds Small Business Innovation Research (SBIR) Small Business Technology Transfer (STTR) Congressionally-mandated programs. SBIR started in 1982; STTR started in 1992 Funded as a set-aside assessment of extramural R&D budget; SBIR for Agencies with >$100M RDT&E budget; STTR for Agencies with > $1B RDT&E budget Encourage participation by minorities and disadvantaged persons in technological innovation The SBA has programmatic authority over federal SBIR & STTR programs (via Program Policy Directives) 3 Phase Structure: Feasibility Demonstration - Commercialization

3 SBIR & STTR in DoD Army Navy Air Force Missile Defense Agency (MDA) Defense Threat Reduction Agency (DTRA) Defense Microelectronics Activity (DMEA) Defense Advanced Research Projects Agency (DARPA) Defense Health Agency (DHA) Chemical and Biological Defense (CBD) Special Operations Command (SOCOM) Defense Logistics Agency (DLA) National Geospatial Intelligence Agency (NGA) SBIR is 3.2% of Extramural RDT&E in FY17 STTR is.45% of Extramural RDT&E in FY17 DoD is >50% of Federal SBIR/STTR Budget DoD Budget FY16 SBIR: $1.06B STTR: $159M $M Army Navy AF MDA DARPA OSD DTRA SOCOM CBD DLA/DMEA NGA DHP SBIR $190 $317 $293 $77 $77.5 $1.2 $9.1 $13.8 $16.6 $4.9 $0 $63 STTR $28 $47.5 $44 $11.5 $11.6 $.2 $1.37 $2.1 $2.5 $.7 $0 $9.5 Figures are in millions

4 SBIR/STTR Participation Requirements STTR Eligibility Applicant is U.S.-owned Small Business Concern Formal Cooperative R&D Effort Minimum 40% by small business Minimum 30% by U.S. research institution U.S. Research Institution College or university; other nonprofit research organization; Federal R&D center Intellectual Property Agreement Allocation of rights in IP and rights to carry out follow-on R&D and commercialization Research Partner SBIR: Permits partnering 33% Phase I and 50% Phase II STTR: Requires partnering with research institution. Principal Investigator (PI) SBIR: Primary (>50%) employment must be with small business concern STTR: May be employed by either research institution (RI) or SBC, but 50% of time must be with that organization, and the SBC must have at least one person in management position at least 50% time who is also not employed by the RI. Contract ward is always made to the Small Business Concern (SBC)

5 SBIR/STTR Solicitation Cycle and Process Each year, the services and defense agencies within the DoD issue three SBIR solicitations and three STTR solicitations. 1. Solicitation Schedule Upcoming Solicitations SBIR 17.3 STTR 17.C SBIR 18.1 STTR 18.A Find a Topic (and a Partner Firm, if needed) Register Firm Start a Proposal 5. Submit Proposal Pre-Release 8/25/17 Open 9/26/17 Close 10/25/17 Pre-Release 11/29/17 Open 1/8/18 Close 2/7/18 Register and apply at:

6 National Defense Science and Engineering Graduate (NDSEG) Fellowship Program 3-year Fellowship supporting pursuit of PhD in scientific discipline of interest/relevance to the DoD Full tuition plus stipend No service commitment Highly competitive Administered for DoD by the Air Force (AFOSR) ARO supports evaluation, selection of candidates, program evaluation ~180 active Army-selected fellows at 49 different universities Application window opens in the Fall of 2017

7 Questions

8 STTR Purpose & Mission The statutory purpose of the STTR Program... Stimulate a partnership between innovative Small Business Concerns (SBCs) and Research Institutions through Federally-funded research and development Requires each federal agency with an extramural budget for R&D over >$1B to set-aside 0.45% for Army STTR FY16 = $28.8M Army STTR Mission - Fund high-impact technology innovation leveraging our extramural research base through partnerships with small businesses.

9 SBIR/STTR Critical Differences Research Partner SBIR: Permits partnering 33% Phase I and 50% Phase II STTR: Requires partnering with research institution. Principal Investigator (PI) SBIR: Primary (>50%) employment must be with small business concern STTR: may be employed by either research institution (RI) or SBC, but... Primary employment, > 50% of PI time, must be with the SBC or RI at time of award and during project (STTR Policy Directive, 2012) SBC must have at least one employee... in management position... primary employment is with SBC and... not also employed by the RI (DoD Solicitation)

10 S&T Performing Organizations STTR Participation Personnel Medical Materiel Infrastructure/ Environmental Space & Missile Defense Test & Evaluation Participating Organizations ARI ARL AMRDEC (A) AMRDEC (M) ARDEC STTC CERDEC ECBC ERDC MRMC NSRDEC TARDEC G-1 MEDCOM AMC RDECOM USACE TRADOC PEOs/PMs SMDC INSCOM LCMCs SOCOM DARPA AFRL NRL ATEC Partners & Stakeholders DOE Industry Academia AMSAA AMRDEC ARDEC CERDEC ECBC NSRDEC STTC TARDEC ARL provides underpinning Science, Technology, and Analysis to the Army ARO is ARL s principal conduit to engage and leverage the external research community (principally, but not exclusively, universities)

11 STTR Investment Life Cycle Topics Research to enable new technology innovation Written by Army Scientists & Engineers across Army Labs and R&D Centers to capitalize on research opportunities to address Soldiers Needs Phase I Product: Feasibility Study A short term effort to determine viability of a technical approach (6 months, $150K) proposals, ~48 Ph I awards (~30%) Research Opportunities/Soldier Needs Extramural Basic Research Campaign Opportunities R&D / Innovation TRADOC Guidance - Capability Gaps Army Warfighting Challenges Phase II Product: Prototype Creation of a prototype to validate approach and advance TRL (2 years, $1.0M) ~50% of Ph Is are Awarded Ph II Contracts Army STTR Small Business Technology Transfer Soldier Solutions Technology enabling new or enhanced Operational Capabilities Army Programs of Record MDAP (ACAT I-IV) Integration (DoDI requirement) Phase III Transition Non-SBIR Funds Government (RDT&E or Procurement) Industry (subcontracts, IR&D) Capital Investment Input from Field and Research Guidance and Opportunities Output to Labs, Industry and the Field