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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

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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


Show me the money

Show Me The Money!!!


A quick overview of sbir sttr

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%


A quick overview of sbir sttr

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


A quick overview of sbir sttr

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, …


    Not all great ideas are funded

    Not all great ideas are funded.


    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

    • DODSBIR/STTR

    • HHSSBIR/STTR

    • NASA SBIR/STTR

    • DOE SBIR/STTR

    • NSF SBIR/STTR

    • DHSSBIR (Dropping)

    • USDASBIR

    • DOCSBIR

    • EDSBIR

    • EPASBIR

    • DOTSBIR


    A quick overview of sbir sttr

    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


    A quick overview of sbir sttr

    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”


    A quick overview of sbir sttr

    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 ?


    A quick overview of sbir sttr

    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


    A quick overview of sbir sttr

    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)


    Approximate number of awards

    Approximate Number of Awards


    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)


    A quick overview of sbir sttr

    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


    A quick overview of sbir sttr

    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


    A quick overview of sbir sttr

    • 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


    Is it a good idea

    Is it a Good Idea?


    A quick overview of sbir sttr

    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)


    A quick overview of sbir sttr

    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


    A quick overview of sbir sttr

    Award Process

    Congratulations!The check is “in the mail…”

    (almost)


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