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NEVADA. A Quick Overview of SBIR/STTR. Dr. Fritz Grupe Email: fritz@unr.edu , or admin@mymajors.com 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


A Quick Overview of SBIR/STTR

Dr. Fritz Grupe

Email: fritz@unr.edu, or admin@mymajors.com


Made Possible Through

Funding From

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.



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*]


    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


    • Feasibility study

    • $100K and 6-month (SBIR)

      or 12-month (STTR) Award


    • Full research/R&D

    • $750K and 2-year Award



    • Commercialization stage

    • Use of non-SBIR/STTR funds


    • 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?


    Phase I

    Phase II






    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






    • DHS SBIR (Dropping)


    • DOC SBIR

    • ED SBIR

    • EPA SBIR

    • DOT SBIR

    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


      • 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








    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)

    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:


    • 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


    See Technology Locator

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

    3. Techmatch


    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 (awardee's $$$)

    • 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 (awardee's $$$)

    April 21 -23, 2010

    Hartford, Connecticut

    Is it a good idea
    Is it a Good Idea? (awardee's $$$)

    A quick overview of sbir sttr

    Top 6 Reasons to Seek (awardee's $$$)

    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 (awardee's $$$)

    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 (awardee's $$$)

    Congratulations!The check is “in the mail…”