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NEVADA. A Quick Overview of SBIR/STTR. Dr. Fritz Grupe Email: [email protected] , or [email protected] 775-813-7407. Made Possible Through Funding From. Show Me The Money!!!. Research Opportunities Reserved for Small Business. Small Business Innovation Research (SBIR)

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a quick overview of sbir sttr

NEVADA

A Quick Overview of SBIR/STTR

Dr. Fritz Grupe

Email: [email protected], or [email protected]

775-813-7407

Made Possible Through

Funding From

slide3

Research Opportunities

Reserved for Small Business

  • Small Business Innovation Research (SBIR)

Set-aside for small businesses to engage in federal R&D -- with potential for commercialization.

  • Small Business Technology Transfer (STTR)

Set-aside to facilitate cooperative

R&D between small business concerns and U.S. research institutions -- with

potential for commercialization.

2.5%

0.30%

slide4

SBIR Program Eligibility

  • Organized for- profit U.S. business
  • At least 51% U.S.- owned by individuals and independently operated
  • Small business located in the U.S.
  • 500 or fewer employees
  • P.I.’s primary employment with small

businessduring project

slide5

STTR Program Eligibility

  • Applicantis a small business
  • 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 non-profit 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

sbir sttr c ritical differences
SBIR/STTR: Critical Differences
  • Research Partner

SBIR:Permits research institution partners

[Outsource ~ 33% Phase I and 50% Phase II R&D]

STTR:Requiresresearch institution partners (e.g., universities)

[40% small business concerns (for-profit) and

30% U.S. research institution (non-profit)]

Award Is Always Made To Small Business

sbir sttr critical differences
SBIR/STTR: Critical Differences
  • Principal Investigator

SBIR: Primary (>50%) employment must be with small business

STTR: Primary employment not stipulated

[PI can be from research institution and/or

from small business concern*]

*DISCUSS WITH AGENCIES

what is funded under sbir sttr
What is Funded Under SBIR/STTR?
  • Innovation through the use of emerging technologies
  • Novel application of existing technologies – a new area of application
  • New capabilities or major improvements to existing technologies in efficiency, effectiveness, simplicity, …
advantages of sbir sttr programs
Advantages of SBIR/STTR Programs
  • A specific “shopping list” for small firms describing what the government agencies need/fund
  • Significant amounts of R&D money reserved for small, innovative firms
  • Funding for early-stage feasibility and prototype studies--the type of R&D for which private firms and financing groups won’t provide investment
  • Asimplified route to obtaining federal R&D funds
  • Does not penalize a firm for being small or isolated
  • Provides valuable credibility to winning companies
  • Efficient use of federal R&D funds
sbir sttr s 3 phases
SBIR/STTR’s 3-Phases

PHASE I

  • Feasibility study
  • $100K and 6-month (SBIR)

or 12-month (STTR) Award

PHASE II

  • Full research/R&D
  • $750K and 2-year Award

(SBIR/STTR)

PHASE III

  • Commercialization stage
  • Use of non-SBIR/STTR funds
variations
Variations
  • Fast Track (Phase I and II combined)
  • Phase II B (NSF will match 1:1)
the sbir sttr timeline
The SBIR/STTR Timeline
  • The SBIR/STTR Phase I/Phase II completion timeline is from 3 to 5 years (best case).
  • Can your company survive during this time?
  • Will the marketplace for your idea survive this timeline?
  • Who is your competition? How are they funded? Where will they be after 3 to 5 years?

Proposal

Phase I

Phase II

1

2

3

4

Years

Source: PCB, Inc.

phase iii funders
Phase III Funders
  • Governmental agencies
  • Corporations
  • Venture capitalist firms/individual
  • Angel investors
performance of research activities
Performance of Research Activities
  • All R&D must be performed in its entirety in the U.S.
    • Rare cases to conduct testing of specific patient populations outside of the U.S.
    • Travel to scientific meetings in foreign countries is allowable
    • Foreign consultants/collaborators are allowable, but must perform consulting in the U.S.
what does sbir pay for
What Does SBIR Pay For?
  • Direct Costs
    • Including fringe benefits
  • Indirect Costs
  • Fee/Profit
    • Up to 7% of the total direct and F&A costs.
    • Must be requested in the proposal to be eligible.
  • Not all costs are allowable
sbir sttr participating agencies

TOTAL ~ $2.0 + B

FY 2004

SBIR / STTR Participating Agencies
  • DOD SBIR/STTR
  • HHS SBIR/STTR
  • NASA SBIR/STTR
  • DOE SBIR/STTR
  • NSF SBIR/STTR
  • DHS SBIR (Dropping)
  • USDA SBIR
  • DOC SBIR
  • ED SBIR
  • EPA SBIR
  • DOT SBIR
slide18

Don’t Judge an Agency’s Interests by Its “Name ”

FACT: Many research areas of

interest span across agencies

  • Avoid inaccurate assumptionsabout

agency research missions

(e.g., DOT is interested in “safety” NOT “economy”)

  • Maximize opportunities for funding by

submitting proposals to as many

relevant agencies as possible

  • Identical research
  • Complementary research
slide19

Understand Each Agency’s Culture

  • What are its distinct missions and needs ?
  • Is the agency program budget –

centralized or de-centralized ?

    • relationship to “topic authors”
slide20

Understand Each Agency’s Culture

  • What are the lines of communication?
    • when (when not) to call…
    • who to call…
    • why to call…
  • How does the review and award process

operate?

    • Who are the reviewers – internal, external, or both ?
    • Who makes the final award selection ?
slide21

Understand Each Agency’s Culture

  • What are the types of awards

(contract or grant) ?

  • Are there “funding gap” programs ?
  • Does the agency offer a

“technical assistance” program ?

  • How can the agency support a firm’s

“commercialization” program ?

    • as a Phase III “customer”
    • by providing external “contacts”
contracting vs granting agencies
Contracting Agencies

Agency establishes plans, protocols and requirements

Highly focused topics

More fiscal requirements

Granting Agencies

Investigator initiates an idea

Less well-specified topics

More flexibility

Contracting vs. Granting Agencies

DOD HHS/NIH

NASA ED

EPA DOT

DOC

HHS/NIH NSF

ED USDA

DOE

slide23

Grants vs. Contracts

  • Grants – You are selling your idea against other ideas
  • Contracts – You are selling your solution to their idea
agency sbir differences
Agency SBIR Differences
  • Number and Timing of Solicitations
  • R&D 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)
sbir success ratios
SBIR Success Ratios
  • Phase I
    • Historically, 1 out of 10 proposals are funded
    • Recently, 1 out of 7 proposals were funded
    • Last year, it was back to 1 out of 10 proposals funded
  • Phase II
    • Between 1 out of 2 to 1 out of 3
    • Some Phase IIs become contracts (Phase III)
slide27

For more information…..

  • Contact individual agency websites
  • Cross-agency website:

http://www.sbir.gov

  • Conferences / workshops
  • Topic search engine for all agencies
  • Partnering Opportunities
  • State Newsletters
other helpful sites
Other Helpful Sites
  • www.sba.gov/sbir
  • www.zyn.com/sbir
  • www.pbcinc.com
  • http://www.cnytdo.org/files/SBIR_guide.pdf
    • (for a helpful manual that summarizes the contents of this workshop)
  • http://www.niaid.nih.gov/ncn/sbir/pres.htm
slide29

Firm Size Distribution*

*FY01 Phase I DOD Award Winners

Who Participates in SBIR?

  • Firms are typically small and new to the program.
  • About 1/3 are first-time Phase I awardees.
  • Small hi-tech firms from across the country.
faculty opportunities
Faculty Opportunities
  • Own small firms (assign someone else PI)
  • Principal investigator

(with official permission from university)

  • Senior personnel on SBIR/STTR
  • Consultants on SBIR/STTR
  • Subcontracts on SBIR/STTR
  • University facilities provide analytical

and other service support

getting help with sttr
Getting Help With STTR

1. Federal Laboratory Consortium

http://www.federallabs.org/

See Technology Locator

2. University technology transfer officer (if there is one)

3. Techmatch

http://www.dodtechmatch.com/DOD/index.aspx

current issues
Current Issues
  • Reauthorization
  • Majority venture capital group ownership and control
  • Raising award amounts
  • Changing the set aside % and linkage from extramural to the full R&D budget
  • Lowering the $100m participation threshold to include smaller agencies
  • Providing agencies with administrative funds out of the SBIR pool
  • Increasing the percentage (ratio of work) allowed to subcontractors/universities
slide33
Commercialization assistance programs out of the SBIR pool (awardee\'s $$$)
  • Federal and State Technology Partnership (FAST) outreach to new entities
  • Rural Outreach Program (ROP)
  • SBIR Mentor/Protégé program
  • STEM (Science, Technology, Engineering and Mathematics) incentives
  • Energy Focus Area (similar in construction to the manufacturing clause)
some problems and issues
Some Problems and Issues
  • Intellectual property
  • Time and effort to write, wait for, account for a grant
  • Distractions
  • Do you have enough horses to do the job?
    • Partners?
    • Equipment
  • Funding gaps
  • Funding is specific
sbir national conferences
SBIR National Conferences

April 21 -23, 2010

Hartford, Connecticut

slide37

Top 6 Reasons to Seek

SBIR / STTR Funding Opportunities

1. Over $2.3 Billion available

2.NOT A LOAN - no repayment

3. Provides recognition, verification

and visibility

4. Fosterspartnerships (e.g., large

corporations, academia)

slide38

Top 6 Reasons to Seek

SBIR / STTR Funding Opportunities

5. Provides seed money to fund high

risk projects

6.Intellectual property rights are

normally retained by the business

slide39

Award Process

Congratulations!The check is “in the mail…”

(almost)

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