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Overview: Federal Funding for Research and Development Activities. Presented by: June Chocheles – jchocheles@fed.org Technology Transition Team Federal R&D Programs Foundation for Enterprise Development May 6, 2009. Goals. Federal R&D Programs

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Overview federal funding for research and development activities l.jpg

Overview: Federal Funding for Research and Development Activities

Presented by:

June Chocheles – jchocheles@fed.org

Technology Transition Team

Federal R&D Programs

Foundation for Enterprise Development

May 6, 2009


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Goals Activities

  • Federal R&D Programs

    • Meet the Nation's Scientific and Technological Challenges

  • Federal R&D Programs for Small Businesses

    • Stimulation Innovation within Small Business High Tech Community (~$2.3B Annually)


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Bayh-Dole Act (1980) Activities

  • US Government Printing Office. Title 37 — Patents, Trademarks, and Copyrights, "Chapter IV — Assistant Secretary for technology policy, Department of Commerce. Part 401 — Rights to inventions made by nonprofit organizations and small business firms under government grants, contracts, and cooperative agreements"

    • Title 37--Patents, Trademarks, and Copyrights CHAPTER IV--ASSISTANT SECRETARY FOR TECHNOLOGY POLICY, DEPARTMENT OF COMMERCE

    • PART 401--RIGHTS TO INVENTIONS MADE BY NONPROFIT ORGANIZATIONS AND SMALL BUSINESS FIRMS UNDER GOVERNMENT GRANTS, CONTRACTS, AND COOPERATIVE AGREEMENTS http://www.access.gpo.gov/nara/cfr/waisidx_02/37cfr401_02.html


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SBIR Activities

  • Small Business Innovation Research Program (SBIR)

    • SBIR is a highly competitive program that encourages small business to explore their technological potential and provides the incentive to profit from its commercialization.

    • By including qualified small businesses in the nation's R&D arena, high-tech innovation is stimulated and the United States gains entrepreneurial spirit as it meets its specific research and development needs.

    • Federal Agencies make SBIR awards based on small business qualification, degree of innovation, technical merit, and future market potential. Small businesses that receive awards then begin a three-phase program.

  • SBIR Eligibility Criteria for Companies

    • Small businesses must meet certain eligibility criteria to participate in the SBIR program.

    • American-owned and independently operated

    • For-profit

    • Principal researcher employed by business

    • Company size limited to 500 employees

    • Additional DOD Specific Criteria

      • Work must be performed in the United States

      • During Phase I, a minimum of 2/3 of the effort must be performed by the proposing firm; a minimum of 1/2 of the effort in Phase II

      • The Principal Investigator must spend more than 1/2 of the time employed by the proposing firm


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SBIR Activities

  • Participating Agencies

  • Each year, eleven federal departments and agencies are required by SBIR to reserve a portion of their R&D funds for award to small business.

    • Department of Agriculture

    • Department of Commerce

    • Department of Defense

    • Department of Education

    • Department of Energy

    • Department of Health and Human Services

    • Department of Homeland Security

    • Department of Transportation

    • Environmental Protection Agency

    • National Aeronautics and Space Administration

    • National Science Foundation

    • These agencies designate R&D topics and accept proposals.


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STTR Activities

  • Small Business Technology Transfer Program (STTR)

    • STTR is a highly competitive program that reserves a specific percentage of federal R&D funding for award to small business and nonprofit research institution partners.

      • Non-profit research laboratories are instrumental in developing high-tech innovations. But frequently, innovation is confined to the theoretical, not the practical. STTR combines the strengths of both entities by introducing entrepreneurial skills to high-tech research efforts. The technologies and products are transferred from the laboratory to the marketplace. The small business profits from the commercialization, which, in turn, stimulates the U.S. economy.

  • STTR Eligibility Criteria for Companies

    • American-owned and independently operated

    • For-profit

    • Principal researcher need not be employed by small business

    • Company size limited to 500 employees

      • (No size limit for nonprofit research institution)

  • STTR Eligibility Criteria for Nonprofit Research Institutions

    • Located in the US

    • Meet one of three definitions

      • Nonprofit college or university

      • Domestic nonprofit research organization

      • Federally funded R&D center (FFRDC)


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STTR Activities

  • Additional DoD Specific Criteria

    • Work must be performed in the United States

    • The small business must perform a minimum of 40% of the work and the research institution a minimum of 30% of the work in both Phase I and Phase II

    • The small business must manage and control the STTR funding agreement

    • The principal investigator may be employed at the small business or research institution

  • The STTR Participating Agencies:

    • Each year, five federal departments and agencies are required by STTR to reserve a portion of their R&D funds for award to small business/nonprofit research institution partnerships.

      • Department of Defense

      • Department of Energy

      • Department of Health and Human Services

      • National Aeronautics and Space Administration

      • National Science Foundation


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SBIR/STTR Activities

  • Three-Phase Program:

    • Phase I – Exploration Phase

      • Awards of up to $100,000 for approximately 6 months to support exploration of the technical merit or feasibility of an idea or technology.

    • Phase II – Prototype Development Phase

      • Awards of up to $750,000, for as many as 2 years, to expand Phase I results. During this time, the R&D work is performed and the developer evaluates commercialization potential.

        • Only Phase I award winners are considered for Phase II awards.

    • Phase III – Commercialization Phase

      • Funding must come from non SBIR or STTR sources to include the private sector or other non-SBIR federal agency funding. Due to the complexity of the project, Phase III may last several years.


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Funding Capture Strategy – Key Areas to Address Activities

  • Know the Criteria to Participate and the Procurement Schedule

    • Due dates for proposals

  • Know about the current State-of-the-Art

    • Current Funded Areas of Research

    • Agencies/Programs/Program Managers

    • Research Team Composition

    • Locations of Research

    • Results to Date

  • Identify existing requirements for technology and potential solutions and products

  • Identify potential application areas, operational environments and end-users

  • Identify the gaps in current State-of-the-Art

  • Develop/Refine Your Project concept

    • Define what’s innovative

    • How propose to advance the State-of-the-Art

  • Identify Federal Funding Sources

    • Target Agencies/Programs/Program Managers


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Capture Strategy Cont. Activities

  • Brief Program Managers

    • Idea/Concept

    • Innovation

    • Team

    • Qualifications

    • Past Performance/Successes

    • Commercialization Strategy

  • Be Open to Feedback from Program Managers!

  • Finalize Team

    • Agreements between team members are key!

  • Prepare and Submit Proposal

    • Sample proposals

      • Phase I http://www.acq.osd.mil/osbp/sbir/proposals/smpl_prop1.htm

      • Phase II http://www.acq.osd.mil/osbp/sbir/proposals/smpl_prop2.htm


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Sample of Resource Materials Activities

  • SBA Technology Resources Net http://web.sba.gov/tech-net/docrootpages/index.cfm

  • SBIR Solicitation Schedule for All Participating Agencies

    • http://sbir.us/schedule.html

  • DoD http://www.dodsbir.net/solicitation and http://www.acq.osd.mil/osbp/sbir

    • Award Abstracts - www.dodsbir.net

    • Solicitation Topics - http://www.dodsbir.net/topics/Default.asp

    • DoD Instruction 5000.02 Operation of the Defense Acquisition System http://www.dtic.mil/whs/directives/corres/pdf/500002p.pdf

  • DHS https://www.sbir.dhs.gov/index.aspx

  • NASA http://sbir.gsfc.nasa.gov/SBIR/SBIR.html

    • Award Abstracts - http://sbir.nasa.gov/SBIR/abstractarch.htm

  • NSF http://www.nsf.gov/eng/iip/sbir

  • DOE http://www.oe.energy.gov/sbir.htm

    • Award Abstracts - http://www.science.doe.gov/sbir/newweb/awards.htm

  • NIH http://grants.nih.gov/grants/Funding/sbir.htm

  • National Cancer Institute (NCI)

  • http://sbir.cancer.gov/objects/ppt/SBIR%20pres%20to%20Science%20Writers%20modified%20v6.ppt


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Sample of Resource Materials Activities

  • Office of Science and Technology Policy – Federal 2009 R&D Budget

    • http://www.ostp.gov/cs/rd_budgets

      • FY 2009 One Pagers

        • American Competitiveness Initiative (PDF)

        • National Nanotechnology Initiative (PDF)

        • Networking and Information Technology (PDF)

        • Advanced Energy Initiative (PDF)

        • Research Earmarks (PDF)

        • Physical Sciences and Engineering (PDF)

        • Climate Change Science and Technology (PDF)

        • Earth Observations (PDF)

        • Homeland Security (PDF)

        • National Institutes of Health (PDF)

        • Space Exploration, Science, and Aeronautics (PDF)

        • Math and Science Education (PDF)

        • 2009 Budget Priority Memo (PDF)

        • US Federal Budget 2009

        • R&D Chapter 2009 (PDF)

  • AAAS Federal R&D Funding Update http://www.aaas.org/spp/rd/stim09c.htm

  • Federal Business Opportunities - Fed Biz Ops – Federal https://www.fbo.gov/index?cck=1&au=&ck=


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Small Business SBIR/STTR Success Stories Activities

  • NIH http://grants.nih.gov/grants/funding/sbir_successes/sbir_successes.htm

  • DoD

    • DARPA (http://www.darpa.mil/sbir/Success_Story_Main_Page.htm)

    • U. S. Army (http://www.armysbir.com/commercialization/comm.htm)

    • U. S. Navy (http://www.navysbir.com/navsuccess.htm)

    • U. S. Air Force (http://www.sbirsttrmall.com/Library/SBIRImpactStory.aspx)