Dr.%20Ellen%20G.%20Segan

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Dr. Ellen G. Segan Army STTR Program
Manager Army Research Office
SBIR/STTR Workshop North Carolina AT State
University Greensboro, NC 24 February 2004
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SBIR is the Largest Source of
Early-Stage Technology Financing in the U.S.

• Total Federal SBIR/STTR Funding

• 1.6 billion in FY03

DoD accounts for HALF the program

• DoD SBIR Funding
• 830 million in FY03
• DoD STTR Funding
• 45 million in FY03

SBIR/STTR Agency Funding
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SBIR / STTR Participating Agencies

• DOD SBIR/STTR
• HHS SBIR/STTR
• NASA SBIR/STTR
• DOE SBIR/STTR
• NSF SBIR/STTR
• USDA SBIR
• DOC SBIR
• ED SBIR
• EPA SBIR
• DOT SBIR

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Agency SBIR Differences

• Number and Timing of Solicitations
• RD Topic Areas -- (Broad vs. Focused)
• Dollar Amount of Award (Phase I and II)
• Proposal Preparation Instructions
• Financial details (e.g., Indirect Cost Rates, Gap
  Funding)
• Receipt Dates
• Proposal Review Process
• Proposal Success Rates
• Type of Award (Contract or Grant)

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Agency SBIR Differences

• Granting Agencies
• Investigator initiates
• approach
• Less-specified topics
• Assistance mechanism
• More flexibility

• Contracting Agencies
• Agency establishes plans,
• protocols, requirements
• Highly focused topics
• Procurement mechanism
• for DOD and NASA
• More fiscal requirements

DOD HHS/NIH NASA ED EPA DOT DOC
HHS/NIH NSF ED USDA DOE
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Program Descriptions

• Small Business Innovation Research (SBIR)
• Set-aside program for small business
• concerns to engage in federal RD --
• with potential for commercialization.
• Small Business Technology Transfer (STTR)
• Set-aside program to facilitate cooperative
• RD between small business concerns
• and U.S. research institutions -- with
• potential for commercialization.

2.5
0.3
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DoD FY02 SBIR/STTR Programs

• SBIR

STTR

• 830 million budget
• 10 participating components

• 45 million budget
• 5 participating components

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DoD SBIR Technology Areas

• Air Platforms
• Battlespace Environments
• Chemical Biological Defense
• Weapons
• Human Systems
• Materials Processes
• Information Systems Technology

• Space Platforms
• Biomedical
• Electronics
• Sensors
• Nuclear Technology
• Ground and Sea Vehicles

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DoD SBIR/STTR is User Friendly

• Solicitation topics and authors are available
  online during the Pre-Solicitation period
• Quick award process
• Phase I decisions made in 4 months
• Phase II decisions in 6 months
• Help Desk
• Fast Track Program
• Electronic Proposal Submission
• Commercialization Track Record used in proposal
  evaluation

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DoD SBIR STTR Solicitations
Proposals Accepted Starting
Proposal Deadline
Contracts Awarded

• Solicitation Internet Release

SBIR FYxx.1
Approx. Oct. 1
Approx. Dec. 1
Approx. Jan. 15
Approx. May 15
New in 04
SBIR FYxx.2
Approx. March 1
Approx. May 1
Approx. June 15
Approx. Oct. 15
SBIR Fyxx.3
Approx. May 1
Approx. July 1
Approx. Aug. 15
Approx. Dec. 15
STTR FYxx
Approx. Jan. 2
Approx. March 1
Approx. April 15
Approx. Aug. 15
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ARMY RD Organizations
DA
DCSPER
ASA(ALT)
PEOs
ARI Army Research Institute
Army Materiel Command
Corps of Engineers
MEDCOM
SOSI
MRMC Medical Research and Material Command
RDECOM
ERDC Engineer Research and Development Center
Agile Development Center
MS


Divisions
International Programs
TARDEC Tank Automotive RDE Center
ARL Army Research Lab
AMSAA Army Material Systems Analysis Activity
ECBC Edgewood Chemical Biological Center
CERDEC Communications - Electronics RDE Center
AMRDEC Army Aviation and Missile RDE Center
NSC Natick Solider Center
ARO Army Research Office Army STTR PMO
ARDEC Armament RDE Center
STC Simulation Technology Center
ARO-W Army Research Office Washington Army
SBIR PMO
Participants in SBIR
Participants in SBIR and STTR
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System Technology OptionsFuture Combat Systems
Draw From the Fullest Range of Technology Options
Wireless Comms Sensors
Signature Management
New Ideas
Electromagnetic Gun
C2 on the Move
Active Protection
Air Defense
Direct Fire
FCS Mission Needs Statement
Conventional Cannon (Direct Indirect Fire)
Indirect Fire
Troop Transport
Advanced Armor
Recon-naissance
Non-Lethal
CKEM
Fuel Cells
Missile in a Box
Pulse Power
Multi-function Staring Sensor
Robotics
Directed Energy
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Force Operating Capabilities
This document provides the focus to the Armys
Science and Technology Master Plan

• For more info on Force Operating Capabilities
  visit
• www.tradoc.army.mil/tpubs/pams/p525-66.htm

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ARMY SBIR Funding
SBIR Budget is 2.5 of Army Extramural RD
04.3 Solicitation opens 1 May, proposals due
NLT 12 August 2004
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Distribution of SBIR Awards
1,979 Phase II Awards
4,746 Phase I Awards
784 Phase III Awards Sales Revenues 2.4B
Fiscal Years 1983 2002
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ARMY SBIR Process
Phase I
Phase II
Phase III
Feasibility Study - 70K, 6 Months 50K
Option (Gap Funding) One in Ten Win
Prototype Development 730K, 2 Years Phase II
Plus 250K, 1 Year One in Two Win
Commercialization No SBIR Funds...
Army SBIRPursues innovations through aggressive
contracting with small businesses.
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Chemical Biological Defense

• Joint Department of Defense Program Army is
  Program
• Manager for the Defense Threat Reduction
  Agency
• (DTRA)
• Separate and distinct from Army SBIR Program
• FY03 Budget - 9.2M
• FY03 - 25 Phase Is selected 10 Phase IIs
  selected
• 20 CBD Topics in the 04.1 Solicitation Opens
  1 Oct 03
• Closes 15 Jan 04

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Small Business Technology Transfer Program (STTR)

• 1994 - Established by Congress
• Enhancement Act of 1992
• Public Law. 102-564
• Partner program to SBIR with same general
  structure
• Program Reauthorized in FY 2002 to 2009
• Major Provisions starting in FY04
• Program Level goes from 0.15 to 0.3 of
  Extramural RD Budget (doubling)
• Phase II Maximum increased to 750K
• Similar Reporting and Outreach Requirements to
  SBIR

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STTR - Program Overview
Commercialization Marks Success

• Encourage collaboration between Small Business
  and
• Universities
• Non Profit Research Institutions
• FFRDCs

Phase III Commercialization Funding from
non-SBIR/STTR public or private sources

• Army Topics
• Broad in scope
• Based on Army critical technologies
• Emphasize potential Commercialization
• Dual Use

• Program Goals
• Rapidly move innovative concepts, emerging
  technologies, and cutting-edge research out of
  the laboratory and into the commercial
  marketplace
• Stimulate technological innovation
• Increase small business participation in Federal
  RD
• Increase private sector commercialization of
  technology-developed, through Federal RD
• Foster and encourage participation by woman own
  and socially and economically disadvantaged small
  businesses
• Provide strong incentives for collaborations
  between small firms and research institutions

Phase II RD 2 Years prior 500K Starting
FY04 750K
Phase I Feasibility Study 6 Month
Performance 100K
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STTR Projects
Distribution of remaining 30 determined by Small
Business

• Small Business
• Small Business is Prime Contractor and
  responsible for managing work
• 40 minimum of the RD work (in terms of STTR
  contract dollars) is done by Small Business
• At least 51 U.S. Citizen Owned Small Business

• Research Institution
• Minimum of 30 of work done by must be done by
  research institution

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STTR Summary of Projects
04 STTR Solicitation now open, proposals due
15 April 2004 6 AM
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Examples of Successful EntrepreneurialResearch
Institutions

• The Ohio State University
• Purdue University
• University of Wisconsin
• N.C. State University
• Georgia Tech
• Virginia Tech

• Texas AM University
• Penn. State University
• UC San Diego
• University of Utah
• Carnegie Mellon University
• Stanford University

Source Innovation U. New University Roles in A
Knowledge Economy Southern Technology Council
and Southern Growth Policies Board
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Examples of Successful Entrepreneurial Research
Institutions (cont.)

• The Ohio State University
• Models Start-ups involving RI employees
• Managed Start-Up Model
• Faculty-Owned Business Model
• Early Stage Development Model
• Entrepreneurial Leave Model
• http//www.techtransfer.rf.ohio-state.edu

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SUCCESS STORY

• Purdue University (Purdue Research Park)
• 3 business incubators
• Companies benefit from shared office concept,
  flexible leases, attractive rental rates, and
  more ...
• Gateways Program
• Financial assistance
• Endocyte, Inc. (Purdue Research Park)
• Researcher, Philip Low, discovered way to
  diagnose, potentially cure, ovarian cancer using
  vitamin folate
• Sell technology or start own company to develop
  and market treatment????
• Resisted VC offers wanted control of science
• Now exploring use of folate in arthritis
• ADVICE Hire experienced CEO to
  handle all but science
• BENEFIT Purdue retains talent

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SBIR/STTR Comparison

• SBIR
• 2 Phases
• Phase 1
• 6 Months
• 70,000 Base Award
• 50,000 Option
• 2/3 of work must be performed by proposing firm
• Phase II
• 2 Years, 730,000
• ½ of work must be performed by proposing firm

• STTR2 Phases
• Phase 1
• 1 year, 100,000
• Phase II
• 2 years, 500,000 for both Phase I II
• Minimum of 40 of work must be performed by the
  small business
• AND
• Minimum of 30 of work must be performed by the
  research institution
• in FY04 maximum -gt 750K

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SBIR and STTR Proposals

• Tips
• Start early, do your homework, and dont wait
  until the last
• minute!
• Use the Pre-Solicitation period to YOUR benefit
• Fully describe your capabilities in your proposal
  - dont assume evaluators will know
• Dont pad proposals to get the 25 page limit
• Get an independent review and check your work.
• Dont subcontract Government facilities or
  equipment with
• SBIR funds. (SBA Policy Directive)
• Dont overlook Conflict-of-Interest rules
• Three Evaluation Criteria
• Scientific Technical Merit and Feasibility
• Experience, Qualifications and Facilities
• Commercial Merit and Feasibility

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DoD Components

• Component Contact Phone
• Army SBIR Susan Nichols 703-806-0859
• CBD SBIR Susan Nichols
  
• Army/STTR Ellen Segan 919-549-4240
• Navy Vincent Schaper 703-696-8528
• Air Force Steve Guilfoos 937-656-9021
• DARPA Connie Jacobs 703-526-4162
• MDA Frank Rucky 703-697-3641
• DTRA Ron Yoho 703-325-9615
• SOCOM Karen Pera 813-828-7549
• OSD Teresa Puretz 703-693-0458
• NIMA Derrick Riddle 301-227-1792

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DoD SBIR/STTR Internet Resources

• Homepage www.acq.osd.mil/sadbu/sbir/
• Program overview
• Electronic copies of the solicitation
• Sample proposals model contracts
• Acquisition program liaisons
• Conferences
• Proposal Submission www.dodsbir.net/submission/
• Prepare Phase I and Phase II proposal cover
  sheets
• Prepare Company Commercialization Report
• Update Phase II project commercialization metrics
  
• Fast Track Application
• Awards Search www.dodsbir.net/awards/
• Searchable database of SBIR STTR Phase I II
  awards with project abstracts from FY83-FY02

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Where To Get Help
HOME PAGES DoD - http//www.dodsbir.net or
www.acq.osd.mil/sadbu/sbir Army Research
Office - http//www.aro.army.mil/arowash/rt/ M
AILING LIST FOR SOLICITATION DoD SBIR Help Desk
- 866-SBIRHLP (724-7457). HOME
PAGES Pre-Solicitation www.acq.osd.mil/sadbu/s
bir SITIS - http//dtica.dtic.mil/sbir/
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ARMY SBIR STTR Program Managers
DR. ELLEN G. SEGAN Army STTR Program
Manager ARMY RESEARCH OFFICE 4300 South Miami
Blvd, Durham, NC 27703-9142 PHONE (919) 549 -
4240 FAX (919) 549 - 4245 E-MAIL
ARMYSTTRPMO_at_arl.army.mil HOMEPAGE
http//www.aro.army.mil/arowash/rt/
Susan Nichols Army SBIR Program Manager,
Acting ARMY RESEARCH OFFICE-WASHINGTON 6000 6th
Street, Suite 100, Fort Belvoir, VA
22060-5608 PHONE (703) 806 - 0859 FAX (703)
806 - 2046 E-MAIL Susan.Nichols_at_belvoir.army.mil
HOMEPAGE http//www.aro.army.mil/arowash/rt/