1 / 60

SBIR/STTR Introductory Workshop

NEVADA. SBIR/STTR Introductory Workshop. Dr. Fritz Grupe Email: fritz@unr.edu , or fhgrupe@gmail.com 775-813-7407. Made Possible Through Funding From. Workshop Agenda. What are SBIR and STTR? The phases Eligibility Agency differences What do they pay for? University participation

kevin-long
Download Presentation

SBIR/STTR Introductory Workshop

An Image/Link below is provided (as is) to download presentation Download Policy: Content on the Website is provided to you AS IS for your information and personal use and may not be sold / licensed / shared on other websites without getting consent from its author. Content is provided to you AS IS for your information and personal use only. Download presentation by click this link. While downloading, if for some reason you are not able to download a presentation, the publisher may have deleted the file from their server. During download, if you can't get a presentation, the file might be deleted by the publisher.

E N D

Presentation Transcript

  1. NEVADA SBIR/STTR Introductory Workshop Dr. Fritz Grupe Email: fritz@unr.edu, or fhgrupe@gmail.com 775-813-7407 Made Possible Through Funding From

  2. Workshop Agenda • What are SBIR and STTR? • The phases • Eligibility • Agency differences • What do they pay for? • University participation • Resources you can draw on • Summary of characteristics of successful proposals • Summary of why you might consider applying

  3. Show Me The Money!!!

  4. Why SBIR???? Small Business Innovation Development Act of 1982 Congress designated 4 major goals • Stimulate technological innovation • Use small business to meet federal R&D needs • Increase private-sector commercialization innovations derived from federal R&D

  5. 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. (will be increasing to 3.2% over 6 yrs.) • Small Business Technology Transfer (STTR) Set-aside to facilitate R&D between small business concerns and U.S. research institutions (increasing to .45% over 5 yrs.) 2.5% 0.30%

  6. SBIR Program Eligibility • Organized for- profit U.S. business • At least 51% U.S.- owned and independently operated OR at least 51% U.S.-owned and controlled by another for-profit business that is at least 51% U.S. owned and independently operated • Small business located in the U.S. • 500 or fewer employees • P.I.’s primary employment with small businessduring project

  7. 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

  8. 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

  9. 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

  10. Questions as to Eligibility? • Contact the SBA size specialists • Request an eligibility determination • http://www.sba.gov/size/indexcontacts.html

  11. 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

  12. 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, …

  13. Not all great ideas are funded.

  14. 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

  15. SBIR/STTR’s 3-Phases PHASE I • Feasibility study • $150K+ and 6-month (SBIR) or 12-month (STTR) Award • PHASE II • Full research/R&D • $1M+ and 2-year Award (SBIR/STTR) • PHASE III • Commercialization stage • Use of non-SBIR/STTR funds

  16. Variations • Fast Track (Phase I and II combined) • NSF • Phase IB (1:2 match to $30K) • Phase IIB (NSF will match 1:3 to $500K) • Commercialization assistance • Department of Defense • National Institutes of Health • National Science Foundation • Department of Energy • Sole source status • Up to 25% may be made available to larger companies

  17. Beyond SBIR ??????? Another Look at the Phases Phase I Phase II Phase III Phase IV

  18. 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.

  19. Phase III Funders • Governmental agencies • Corporations • Venture capitalist firms/individual • Angel investors

  20. Some Facts to Remember • Eligibility is determined at time of award • The PI is not required to have a Ph.D. • The PI is required to have expertise to oversee project scientifically and technically • Applications may be submitted to different agencies for similar work • Awards may not be accepted from different agencies for duplicative projects

  21. 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.

  22. 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

  23. 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

  24. 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”

  25. 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 ?

  26. 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”

  27. 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

  28. Grants vs. Contracts • Grants – You are selling your idea against other ideas • Contracts – You are selling your solution to their idea

  29. 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)

  30. Approximate Number of Awards

  31. Relative SBIR Agency Sizes • Dept. of Defense • National Instit. Health • National Sci. Foundation • Dept. of Energy • NASA • All Others Total • $1.3 billion • $680 million • $161 million • $154 million • $130 million • $82 million $2.5 billion

  32. 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)

  33. 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

  34. www.SBIR.gov

  35. SBA Technethttp://tech-net.sba.gov/tech-net/public/dsp_search.cfm

  36. Other Helpful Sites • www.sba.gov/sbir • www.zyn.com/sbir • www.pbcinc.com • http://www.sbtdc.org/pdf/sbir_handbook.pdf (for a helpful manual that summarizes the contents of this workshop) • http://www.niaid.nih.gov/ncn/sbir/pres.htm

  37. 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.

  38. Advice from Awardees • Don’t judge an agency’s interests by its “name ” • Understand agency’s mission and needs • Get to know your agency program manager • Read solicitation and follow instructions

  39. Advice from Awardees • Don’t depend solely on SBIR funding • Don’t go it alone - use support systems • Have an outcome • Win or lose - get and review evaluations • Be PERSISTENT

  40. Significance Market Commercial Potential (Phase III) Purpose Problem Approach Solution Innovation Tech.Objectives Legend for Criteria Work Plan Budget o Scientific/Technical Approach o Ability to Carry out Project o Impact Capability Team Facil- ities Proposal Framework CourtesyDr. Robert Berger, former Department of Energy SBIR-STTR Program Manager and MS-FAST Consultant http://books.lulu.com/content/106258

  41. Commercialization Planning • For most agencies, you determine the customer, define the market • For DoD and NASA, perhaps others, the agency is the customer, ultimate user • Usually down to program level • Procurement channels often complex • For DoD, “commercialization” means “transition”

  42. Intellectual Property • To retain rights to IP, the company: • Must report invention to the agency within 2 months • Elect rights within 2 years • File application within 1 year • US Gov. may “march in” if contractor fails to report or elect, or if it is not commercialized, or for health/safety reasons • Must be substantially manufactured in U.S. (waivers possible) • A recent court case (Stanford v. Roche) emphasized the need for all organizations to be clear on employee/consultant contracts (ex. If a university employee is on loan to a company, to whom does an invention belong?)

  43. University-Business Partnership 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

  44. University and Industry:Two Different Cultures Industry researchers are from MARS University researchers are from Venus

  45. 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

  46. NV Tech Transfer People • Richard Bjur, UNR/DRI, Special Asst To VP Graduate School Ms 0321, Reno, Nevada 89557, (775) 784-4116, bjur@unr.edu • Elda Luna Sidhu, Assist. General CounselUNLV, 4505 Maryland Parkway, Box 451085, Las Vegas, Nevada  89154-1085, Ph: (702) 895-5185, elda.sidhu@unlv.edu

  47. NSBDC’s SBIR Assistance: • Enhancing communication with agencies • Possible future agency representatives in the state • There are some local contacts • Agency Searches • Guidanceand assistance • Reactions to proposals • Location of potential partners • Location of local proposal writers • Suggestion of alternative funding sources such as EPSCOR, MAP, etc.

  48. http://nsbdc.org/how-we-can-help/technology_innovation/

  49. http://nsbdc.org/how-we-can-help/technology_innovation/ • Funding, Marketing, Patenting, Etc • Sample Proposals • Links To Search Engines • Past Award Winners • Nevada University Research Centers

  50. SBIR National Conferences November 2012 Portland, OR

More Related