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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

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SBIR/STTR Introductory Workshop

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  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

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