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SBIR/STTR Size Rules Updates

Stay updated on the latest changes to SBIR/STTR size rules and eligibility requirements. Learn how to register your company in the Company Registry and understand the new benchmark rules.

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SBIR/STTR Size Rules Updates

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  1. SBIR/STTR Size Rules Updates

  2. Update Overview • Company Registry • Benchmark Rules • Changes in Eligibility Requirements • Q&A

  3. Company Registry Company Registry http://sbir.gov/registration

  4. Company Registry- How To Enter company name and/or EIN New and existing firms Basic Information Form Eligibility Statement PDF Copy 4

  5. Company Registry- Enter company name and/or EIN Enter company name and/or EIN at http://sbir.gov/registration 1 5

  6. Company Registry- New or Existing You are a new firm, then Register as a New Company You are an existing firm, then Register as your company in the search results 2 a b 6

  7. Company Registry- Basic Info Fill out the Basic Information form, including… 3 b a c 7

  8. Company Registry- Eligibility Statement Review the Eligibility Statement and check that you have understand the eligibility rules, including…. 4 • I have read and understand the rules… *venture capital, hedge fund, or private equity fund 8

  9. Company Registry- PDF Copy 5 • You’ll receive your password via email to login to SBIR.gov as a small business user (top right). • Login and save the PDF form locally with the completion of the Company Registry (bottom right). • Note: Please refer to the specific Agency’s instructions on how to transmit the Company Registry information to the agency during this process.

  10. Phase II transition Benchmarks • What are the new Phase I to Phase II Benchmark requirements? Each SBIR/STTR agency has established a ratio of prior Phase II awards to prior Phase I awards that Phase I applicants must meet in order to be eligible for a Phase I award from that agency. • Who does this apply to? Applicants with over 20 prior Phase I awards during period • Why are these new benchmarks required? This requirement is mandated by statue which can be viewed here: http://www.gpo.gov/fdsys/pkg/FR-2012-10-16/html/2012-25328.htm • When does this take effect? Jan 28, 2013. The Phase II to Phase III benchmark effective date is October 1, 2013 • What if the benchmarks listed for my company is incorrect? Submit your inquiries to http://www.sbir.gov/feedback • How are ratios and time periods determined? Each agency determines their own ratio and time period to be used. (Please see next slide)

  11. Phase I to Phase II Transition Rates

  12. Performance Benchmarks – How To • First, follow registration process as seen in previous slides. • Next, login at http://sbir.gov/user

  13. Performance Benchmarks – How To (Cont’d) • Upon logging in, your Phase I to Phase II transition rate will be displayed in our welcome screen. • Note: If there are issues with your Award Information or Transition Rate, use the Contact Us/Feedback link in top right corner to report the issue. 13

  14. Overview of changes from proposed rules to final rules Final Size RuleFed.Reg: 12/27/12 (77 FR 76215) Effective: 1/28/13 14

  15. Changes in SBIR/STTR Eligibility Requirements and Size Rules Categories: a) Type of Firm b) Ownership and Control c) Size Limit 15

  16. Changes in SBIR/STTR Eligibility Requirements and Size Rules

  17. Affiliate Checklist Affiliate Checklist – Examples • The awardee has an agreement to merge (or a sale of stock) or an agreement in principle to merge (or a sale of stock) with another company. More Info • The CEO, President, Managing Partner, or other officer that controls the management of the SBC controls the management of one or more other businesses or entities. More Info • The awardee is a joint venture and does not have an approved SBA 8(a) Mentor/Protégé agreement. More Info

  18. Contact Us Edsel Brown Assistant Administrator, Office of Technology Edsel.Brown@sba.gov Ronald Cooper Technology Policy Analyst, Office of Technology Ronald.Cooper@sba.gov

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