SBIR - The Small Business Innovation Research (SBIR) program was established by Congress in 1982 with a
statutory purpose to strengthen the role of innovative small business concerns (SBCs) in Federally-funded research or
research and development (R/R&D). Specific program purposes are to: (1) Stimulate technological innovation; (2) use
small business to meet Federal R/R&D needs; (3) foster and encourage participation by socially and economically disadvantaged SBCs
in working in technological innovation; and (4) increase private sector
commercialization of innovations derived from Federal R/R&D, thereby increasing competition, productivity
and economic growth.
STTR - The Small Business Technology Transfer (STTR) program is a sister program to SBIR, established by Congress in 1992
with a similar statutory purpose as SBIR. A major difference in the two programs is that the STTR requires the small business to have a research partner
consisting of a University, Federally Funded Research and Development Center (FFRDC), or a qualified non-profit research institution. In STTR, the small business
must be the prime contractor and perform at least 40% of the work, with the research partner performing at least 30% of the work. The balance can be done by either party
and/or a third party.
Although the Navy's SBIR and STTR programs are a component of the overall Department of Defense (DoD) SBIR/STTR program, the Navy's
program is targeted at addressing the needs and areas of interest to the Navy and its System Commands (SYSCOMS).
On a schedule coordinated by DoD, the Navy issues SBIR solicitations, usually 3 per year, that contain a series of "Technical Topics" that
describe the areas of interest and needs of the Navy and its SYSCOMS. Small businesses are invited to submit proposals targeted at one or more
of the technical topics listed in the solicitation. The STTR program works in the same manner, but has only 2 solicitations per year.
The Navy's SBIR/STTR Programs are primarily mission oriented, providing companies the opportunity to become
part of the national technology base that can feed both the military and private sectors of the nation. To that
end, the Navy incorporates into its Phase II component, the emphasis on the small business' need to market its
technology to both military and private sectors.
Three Phase Program - SBIR/STTR are competitive three phase programs:
Phase I - Is a feasibility study to determine the scientific or technical merit of an idea or technology that may provide a solution to the Department of the Navy's need or requirement.
|The information below is a general guide and is not meant to replace or supersede the instructions in the solicitation.|
Phase I base periods are typically up to six months with a base amount not to exceed $80,000 and a phase I option not to exceed $70,000 for up to six months.
For ALL STTR Topics: The Phase I base period is seven months with a base amount not to exceed $80,000, and a phase I option not to exceed $70,000 for 6 months.
Phase II - If the Phase I effort is successful, the Navy may invite the company to apply for Phase II funding, which is a substantial R&D effort. Phase II is typically a demonstration phase in which prototypes are built and tested. Please reference www.navysbir.com/phaseii.htm for each Syscom's phase II guidance. You may not submit a phase II proposal without an invitation from the Navy.
- Phase II.5 - Per Chief of Naval Research memorandum, 20% of SBIR funds are dedicated to expand transition funding available to existing Phase II projects. This provides additional funding to the firm to accelerate transition and is called the Phase II.5.
Phase III - This is the goal of most SBIR projects. Although no government SBIR funds are involved, phase III funding can come from the government and/or private sector.
The target is to transition a company's SBIR effort into products, tools or services that benefit the Navy acquisition community. One important strength of the SBIR
program is that once a company has received a Phase I award the follow-on Phase II and III awards can be awarded in a non competitive process since the
competitive process took place under phase I.
Commercialization Readiness Program (CRP) - The Navy SBIR Commercialization Readniness Program [formerly the Commercialization Pilot Program (CPP)] is a dynamic, results-oriented response to the Congressional challenge to the Department of Defense in 2006 to deliver more advanced technologies - faster - to our warfighters. Administrative funding is provided by the statutory 1% allocation of SBIR funds to the SYSCOMs for administering the Phase II.5 and to provide non-financial resources for the firms (i.e. the Navy's Transition Assistance Program, etc.)