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SBIR/STTR Program Mission

NCRR’s Small Business (SBIR/STTR) Grant Opportunities Krishan K. Arora, Ph.D. Division of Research Infrastructure National Center for Research Resources National Institutes of Health U.S. Department of Health and Human Services arorak@mail.nih.gov. SBIR/STTR Program Mission.

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SBIR/STTR Program Mission

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  1. NCRR’s Small Business (SBIR/STTR) Grant Opportunities Krishan K. Arora, Ph.D.Division of Research InfrastructureNational Center for Research ResourcesNational Institutes of Health U.S. Department of Health and Human Servicesarorak@mail.nih.gov

  2. SBIR/STTR Program Mission Supporting scientific excellence and technological innovation through the investment of federal research funds in critical American priorities to build a strong national economy… …onesmallbusinessatatime.

  3. SBIR/STTR Helps NIH Meet Its Mission Conduct innovative R/R&D that results in product, process, or service that will... • Improve human health • Speed process of discovery • Reduce cost of medical care/cost of research • Improve research tools, technology

  4. Importance of SBIR/STTR Programs to Researchers in IDeA States • These programs provide an opportunity for small businesses in IDeA states to partner with academic institutions to develop products with biomedical applications (e.g. assays, research tools, medical devices, biomarkers, therapeutics, software development) • This is also an opportunity to advance economic development in IDeA states

  5. Program Descriptions • Small Business Innovation Research (SBIR) Set-aside program for small business concerns to engage in federal R&D -- with potential for commercialization. • Small Business Technology Transfer (STTR) Set-aside program to facilitate cooperative R&D between small business concerns and U.S. research institutions -- with potential for commercialization. 2.5% 0.3%

  6. SBIR/STTR Funding NIH FY 2008 • SBIR – 2.5%: $580 M • STTR– 0.3%: $70 M NCRR FY 2008 • SBIR – 2.5%: $27 M • STTR – 0.3%: $3.2 M

  7. PHASE II – R42, R44 • Full Research/R&D • $750K and 2-year Award (SBIR & STTR) * • Commercialization plan required PHASE III • Commercialization Stage • Use of non-SBIR/STTR Funds SBIR & STTR: Three-Phase Program PHASE I – R41, R43 • Feasibility Study • $100K and 6-month (SBIR) * • or 12-month (STTR) Award * Note: These amounts are guidelines, not ceilings. Deviations permitted where scientifically appropriate for success of the project.

  8. SBIR/STTR Eligibility Requirements • Applicant is Small Business Concern • Organized for-profit U.S. business • 500 or fewer employees, including affiliates • Must be: • At least 51% U.S.- owned by individuals and independently operated or • At least 51% owned and controlled by another (one) business concern that is at least 51% owned and controlled by one or more individuals

  9. SBIR Eligibility Requirements • Principal Investigator’s primary employment must be with the Small Business Concern at the time of award and for the duration of the project period • Subawards are permitted • May outsource 33% activities in Phase I • May outsource 50% activities in Phase II

  10. STTR Eligibility Requirements • Applicant is a Small Business Concern • 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 IP rights and rights to carry out follow-on R&D and commercialization • Principal Investigator’sprimary employment may be with either the Small Business Concern or the research institution

  11. SBIR and STTR Programs(Critical Differences) • Permits research institution partners (e.g., universities) • Small business concern may outsource ~33% of Phase I activities and 50% of Phase II activities SBIR • Requires research institution partners (e.g., universities) • 40% of the work must be conducted by the small business concern (for profit) and 30% by a U.S. research institution (non-profit) STTR Award always made to small business

  12. Multiple PIs on SBIR Grant • More than one Principal Investigator is allowed on SBIR research projects • This policy offers new approaches to maximize the potential of “team science” efforts • Only the contact PI need be employed primarily by the small business concern

  13. Omnibus Solicitations for Grants SBIR Omnibus Solicitation PHS 2008-02 Omnibus Solicitation of the NIH, CDC, and FDA for Small Business Innovation Research Grant Applications (Parent SBIR [R43/R44]) http://grants.nih.gov/grants/guide/pa-files/PA-08-050.html Receipt Dates: April 5, August 5, December 5, 2008 STTR Omnibus Solicitation PHS 2008-02 Omnibus Solicitation of the NIH for Small Business Technology Transfer Grant Applications (Parent SBIR [R41/R42]) http://grants.nih.gov/grants/guide/pa-files/PA-08-051.html Receipt Dates: April 5, August 5, December 5, 2008

  14. NCRR SBIR/STTR Initiatives • Lab to Marketplace: Tools for Biomedical and Behavioral Research: SBIR PA-08-114 • Technologies for Transient Molecular Complex Characterization: SBIR PA-08-110, STTR PA-08-111 • New Technology for Proteomics and Glycomics: SBIR PA-07-451, STTR PA-07-452 • Innovations in Biomedical Computational Science and Technology Initiative: SBIR PAR-07-160, STTR PAR-07-161

  15. Useful Web Links • NCRR Web Site www.ncrr.nih.gov • Sample Application (NIAID Web Site) http://www.niaid.nih.gov/ncn/sbir/app/default.htm • NIH SBIR/STTR Internet Guide http://grants.nih.gov/grants/funding/sbirsttr_sites.doc • Video Presentations on Writing Successful SBIR Application (NCI web Site) http://sbir.cancer.gov/news/recent/san_diego_forum.asp

  16. NIH SBIR/STTR Program • Technical Assistance Programs • Technology Niche Assessment • Commercialization Assistance • Pipeline to Partnerships (P2P) Summary

  17. Summary:Importance of NIH SBIR/STTR Funding • Funds early-stage, high-risk projects for which private and public funds are not traditionally available • Establish feasibility of ideas with commercial potential • Verify technology and leverage SBIR funds to attract other funding • Plays an important role is achieving NIH mission of improving human health • Develop tangible products and services resulting from innovative R&D approaches to improving health • Focuses on commercialization of the outcomes of research – a unique feature. • SBIR program supplements -- but does not supplant or diminish -- the traditional research programs of NIH. Summary

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