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~Funding Innovation with the Federal SBIR and STTR Programs~ CNY Technology Development Organization Marcene Sonneborn September 13, 2006 Program sponsored by Rensselaer Polytechnic Institute ~ Center for Economic Growth (CEG) ~ CNY Technology Development Organization

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funding innovation with the federal sbir and sttr programs

~Funding Innovation with the Federal SBIR and STTR Programs~

CNY Technology Development Organization

Marcene Sonneborn

September 13, 2006

program sponsored by

Program sponsored by

Rensselaer Polytechnic Institute


Center for Economic Growth (CEG)


CNY Technology Development Organization

statewide program objectives
Statewide Program Objectives
  • To stimulate and encourage broader SBIR and STTR participation
  • To increase the number of awards at all levels (Phases I, II and III)
  • To outreach to small businesses
  • To provide assistance in applying for awards
  • To assist with commercialization
reasons to be interested in sbir
Reasons to Be Interested in SBIR
  • Companies must innovate to stay competitive in a global economy
  • Innovation is high-risk
  • R&D is expensive
  • Commercialization can reap rewards for corporations
    • New products
    • Intellectual assets
    • Royalties, new venture partnerships
    • New Opportunities!
reasons to be interested in sbir5
Reasons to Be Interested in SBIR
  • Non-profit research funds at universities are at risk
  • Congress demands return on investment for R&D programs
  • The U.S. supports technology development to meet national objectives in military, commerce, health, education, space, energy, agriculture, transportation, the environment and basic science
things to think about
Things to Think About
  • Commercial application is the focus of SBIR and STTR
    • Provides good ROI evidence
  • Market and customer need is the driving force
  • Economic prosperity for the U.S.
    • Job creation
    • Richer tax payers
    • Keep the U.S. globally competitive
sbir sttr
  • What are SBIR and STTR, and what do they fund?
  • How To Apply
  • What Do You Need To Know About Writing the Proposal?
what does sbir sttr fund
What does SBIR/STTR fund?
  • Exploitation of scientific breakthroughs
  • Innovation through the use of emerging technologies
  • Novel application of existing technologies
  • New capabilities or major improvements to existing technologies
selected topics
Selected Topics

Examples of topics funded by the 11 federal agencies that participate in SBIR

department of defense
Department of Defense
  • Simulation, training
  • Faster, lighter, cheaper materials and equipment
  • Command, control, communications
  • Battlefield warfare; Information warfare
  • Battlefield survival and medical items
  • Chemical, biological, nuclear weaponry and defense or detection systems
health related topics
Health-Related Topics
  • Clinical treatment research
  • New therapies
  • Pharmaceutical development
  • Clinical trials and drug evaluation studies
  • Diagnostic and prognostic equipment/ tools
  • Prevention techniques, education, training materials, etc.
examples from national science foundation
Examples from National Science Foundation
  • Four Broad Areas of Technology:
    • Advanced Materials and Manufacturing
    • Biotechnology
    • Electronics
    • Information-Based Technologies
department of energy
Department of Energy
  • Drinking water disinfection
  • Particulate matter
  • Ecosystem protection
  • Air pollutants and indoor air
  • Waste site risk characterization
  • Waste management and site remediation
  • Endocrine disruptors
department of transportation
Department of Transportation
  • FAA
    • Ultra fire resistant thermoplastics
  • National Highway Traffic Safety Administration (NHTSA)
    • Tire failure warning sensor
  • Federal Railroad Administration
    • Safety Glazing Design for passenger rail vehicles
  • U.S. Coast Guard - e.g., night vision
  • Aero Propulsion and power, aircraft systems
  • Safety, reliability and quality assurance
  • Materials and structures
  • Teleoperators and robotics
  • Information systems and computer sciences
  • Instrumentation and sensors
  • Space habitability and biology
  • Space communications
  • Commercial space applications
department of commerce
Department of Commerce
  • NOAA:
    • Atmospheric sciences
    • Ocean observation systems and living marine resources
    • Cartography and photogrammetry
  • NIST:
    • Materials, intelligent control
    • Measurement and standards
    • Integration of manufacturing applications
department of agriculture
Department of Agriculture
  • Forests and related resources
  • Air, water, soils
  • Plant production and protection
  • Animal production and protection
  • Food science and nutrition
  • Rural and community development
  • Production using agricultural materials
  • Marketing and trade
environmental protection agency
Environmental Protection Agency
  • Nanomaterials and clean technology
  • Prevention and control of air pollution
  • Treatment/Monitoring of drinking water
  • Municipal and industrial wastewater treatment
  • Hazardous waste management and site remediation
  • Recycling of municipal and industrial solid waste
  • Monitoring and measurement technologies
  • Environmental bioterrorism detection and decontamination
sbir web sites cross agency

SBIR Web Sites(Cross-Agency)

what is sbir
What is SBIR?
  • Federal Legislation
  • Federal Incentives
  • Phases I, II, and III
  • Eligibility
three phases of sbir
Three Phases of SBIR
  • Phase I: Scientific and technical feasibility (Six months)
  • Phase II: Concept refinement, generally leading to prototype (Two years)
  • Phase III: Commercialization (non-SBIR funded phase)
history of sbir program
History of SBIR Program
  • 1982 - Congress passed the Small Business Innovation Development Act
  • 1986 - Reauthorization
  • 1992 - Congress extended SBIR and created STTR
  • 2000 - Renewal until 9/30/08
  • 2001 – STTR renewal until 9/30/09
purposes of sbir sttr
Purposes of SBIR/STTR
  • To stimulate technological innovation
  • To use small businesses to meet federal research and development needs
  • To encourage participation by minority and disadvantaged persons
  • To increase the commercialization of products and services from federal R&D assistance
  • To emphasize private sector commercialization of SBIR research
what is sttr
What is STTR?
  • Small Business Technology Transfer Program
  • Created in 1992
  • Cooperative R&D between small business and research institutions
  • Joint venture introducing entrepreneurial skills to high-tech research efforts
sbir sttr differences
SBIR/STTR Differences
  • SBIR
    • 11 agencies participate
    • Two-thirds (minimum) of funds spent inside the company
    • One-third spent on outside consultants or resources
    • SBIR is 2.5% of external R&D budget
  • STTR
    • 6 agencies participate
    • Company performs at least 40% of work
    • Research institution performs at least 30% of work
    • STTR is 0.3% of external R&D budget –
    • Allocation of Rights agreement required
    • Phase I term is up to one year
    • Topics may be limited, different cycle than SBIR
eligibility for sbir sttr
Eligibility for SBIR/STTR
  • American-owned,independently operated
  • For-Profit business less than 500 employees
  • Not dominant in the proposed field of operation
  • The Principal Investigator is employed by the business over 50% time (SBIR)
  • Research space must be available to and under the control of the SBIR grantee for the company’s portion of the proposed project
sttr qualifications
STTR Qualifications
  • American-owned, independently operated
  • For-profit
  • Principal researcher need not be employed by small business
  • Company size limited to 500 employees (no size limit for non-profit research institution)
  • Research institution must be in U.S.
sbir application process
  • How Do I Apply?
    • Identifying Topics
    • Contacting Agencies
    • Preparing the Proposal
    • Following Up
    • Resubmitting
how do i apply
How Do I Apply?

1. Identify topics funded by each agency

that relate to your company’s R&D interest:

  • Link from
  • Links to SBIR Info Sources
  • SBIR Solicitation Schedule
  • STTR Solicitation Schedule
agencies offering sbir and sttr awards
Agencies Offering SBIR and STTR Awards
  • Eleven SBIR agencies and five STTR agencies:
  • Department of Agriculture
  • Department of Commerce
  • Department of Defense - also STTR
  • Department of Education
  • Department of Energy - also STTR
  • Health and Human Services - also STTR
    • National Institutes of Health
    • Health Care Financing Administration
  • Department of Homeland Security – also STTR
  • Department of Transportation
  • Environmental Protection Agency
  • National Aeronautics and Space Administration - also STTR
  • National Science Foundation - also STTR
number of sbir awards general example
Number of SBIR Awards General Example
  • Department of Defense 2,383
  • Health and Human Services 1,265
  • National Aeronautics and Space Administration 447
  • National Science Foundation 305
  • Department of Energy 325
  • Department of Agriculture 125
  • Department of Commerce 97
  • Department of Education* 70+
  • Environmental Protection Agency 55
  • Department of Transportation 30
sbir funding agencies
SBIR Funding Agencies
  • For SBIR - 2.5% allocated from agency’s extramural R&D budget
  • Over $2.2 Billion in FY 06
  • Approximate breakdowns:
    • DOD = 45% of dollars in the SBIR program
    • HHS = 25%
    • NASA = 13%
    • DOE = 8%
    • NSF = 5%
    • EPA, USDA, DOC, DOT, DoEd = 4%
  • For STTR, FY06 funding = Over $65 million
how do i apply33
How Do I Apply?

2. Review Solicitation information:

  • SBIR/STTR Solicitation Schedules
  • Guidelines
    • Requirements - technical and personnel
    • Award amounts
    • Application and submission details
    • Forms and budget guidelines
  • Research funded in the past
  • Sample or model proposals
how do i apply34
How Do I Apply?

3. Contact each agency

Treat each agency as you would treat any customer - “market to them”

Learn why the agency is funding the topic

  • Technical questions before “Release Date”
  • Only administrative questions after release
  • DOD has a pre-release period
  • HHS and Agriculture not concerned about release date restrictions
preparing a phase i proposal
Preparing a Phase I Proposal
  • Elements of the Application
    • Abstract
      • Identify the problem and your solution
      • Why the problem is important
      • Why the solution will work
      • Your methodology and qualifications
      • Expected results and benefits
preparing a phase i proposal36
Preparing a Phase I Proposal
  • Elements of the Application
    • Technical Description and Work Plan
      • Background
      • Technical approach
      • Objectives
      • Task descriptions
      • Schedule, e.g., Gantt and PERT charts
      • Deliverables
preparing a phase i proposal37
Preparing a Phase I Proposal
    • Personnel and Facilities
      • Principal Investigator and Key Personnel
      • Industry Partners and Recognized Consultants
    • Commercial Potential, Anticipated Benefits
    • Plans for Phase II
    • Budget and Justification
  • Commercialization Planning
    • Who will benefit, who will buy
    • Identify a pathway to commercial use
qualifications of personnel
Qualifications of Personnel
  • Persuade reviewers of PI’s qualifications
  • Describe contributions of consultants
  • Describe what each will do, when, and relation to the research goals
  • Select the right consultant
    • Letter from consultant stating contribution
  • Condense biographies to relevant information
preparing a proposal budget
Preparing a Proposal Budget
  • Realistic budget based on work plan
    • One month of PI time on Phase I, two months on Phase II (example)
    • Adequate hours of engineering and technical personnel
    • Travel directly related to the project only
    • Justification of direct cost items
    • Equipment and facilities included, or arrangements described
    • Profit rate between 5-8% (usually 7%)
commercial applications
Commercial Applications
  • Persuade the reviewer that commercial market exists
  • Provide detailed supporting statements
  • Demonstrate knowledge of the commercial area
  • Think creatively about possible applications
  • Concisely describe the plan to commercialize
  • Describe previous success in converting R&D into new products
  • Focus on large potential markets
  • Include government applications
description of commercial potential
Description of Commercial Potential
  • Significant competitive advantages the new technology has over the existing in:
    • Major competitive products
    • Application
    • Performance
    • Technique
    • Efficiency
    • Cost
  • Your plan to move from research to market
sbir as part of a business strategy
SBIR as Part of a Business Strategy
  • Plan for growth and financing needs
  • Develop a roadmap for your company
  • SBIR/STTR provides credibility
  • Not equity or a loan
  • Is timeline realistic for your organization?
  • Is timeline realistic for your technology and markets?
  • Submitting multiple proposals
sbir as a business strategy
SBIR as a Business Strategy
  • Academic-Corporate Alliances
  • Fit with overall goals and objectives
  • Intellectual Property Issues
  • Commercialization Opportunities
points to remember
Points to Remember
  • Tremendous diversity among agencies, programs, solicitations, reviewers, and winning proposals
  • No guaranteed “WIN” strategies
  • Guidelines and suggestions based on ten agencies and regional companies’ experiences
  • The SBIR program is not static
    • Look for evolutionary changes
sources of commercialization assistance
Sources of Commercialization Assistance
  • Local colleges and universities
    • Business and Management programs
    • Information Studies
    • Communications departments
  • Regional RTDCs and university programs
  • Trade and professional associations
  • State and Federal programs and events
thank you

Thank You