Research OpportunitiesResearch OpportunitiesReservedReservedfor Small Businessfor Small BusinessSMALL BUSINESS INNOVATION SMALL BUSINESS INNOVATION RESEARCH (SBIR) PROGRAMRESEARCH (SBIR) PROGRAMSMALL BUSINESS TECHNOLOGY SMALL BUSINESS TECHNOLOGY TRANSFER (STTR) PROGRAMTRANSFER (STTR) PROGRAMUpdated 04/15/06 (JG)SBIR / STTR Program SBIR / STTR Program MissionMissionSupporting Supporting scientific excellencescientific excellenceand and technological technological innovationinnovationthrough the investment of through the investment of federal federal researchresearchfundsfundsin critical in critical American prioritiesAmerican prioritiesto build a strong to build a strong national economynational economy……oneonesmallsmallbusinessbusinessatataatimetime..• Small Business Innovation Research (SBIR)Set-aside program for small businessconcerns 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 andU.S. research institutions -- with potential for commercialization.Program DescriptionsProgram Descriptions2.5%0.3%WHY SBIR????WHY SBIR????Congress designated 4 major goalsSmall Business Innovation Development Act of 1982• Stimulate technological innovation• Use small business to meet federal R&D needs• Foster and encourage participation by minorities and disadvantaged persons in technological innovation• Increase private-sector commercialization innovations derived from federal R&D2000 REAUTHORIZATION2000 REAUTHORIZATION• Program Extension until 9/30/2008• Output and Outcome Data- Public Database: basic award information(Tech-Net-- http://technet.sba.gov)- Government Database: program evaluation(Phase II awardees -- e.g., new product sale revenues;other investment funding sources)MAJOR PROVISIONS OF P.L. 106-554; Signed 12/21/00WHY STTR????WHY STTR????Small Business Research and Development Enhancement Act of 1992• Stimulate and foster scientific and technological innovation through cooperative research and development carried out between small businessconcerns and research institutions • Foster technology transfer between small business concerns and research institutions2001 STTR 2001 STTR REAUTHORIZATIONREAUTHORIZATION• Reauthorized through FY2009• Set-aside increased from 0.15% to 0.30% in FY 2004• Phase II award levels increased from $500,000 to $750,000 in FY 2004• Participating agencies to implement similar outreach efforts as SBIRSBIR/STTR: 3SBIR/STTR: 3--Phase ProgramPhase ProgramPHASE I Feasibility Study  $100K and 6-month (SBIR) or 12-month (STTR) AwardPHASE II Full Research/R&D $750K and 2-year Award(SBIR/STTR)PHASE III Commercialization Stage Use of non-SBIR/STTR Funds9 Organized for- profit U.S. business 9 500 employees or fewer, including affiliates9 PI’s primary employment must be with the small business concern at the time of award and for the duration of the project period.SBIR PROGRAMSBIR PROGRAMELIGIBILITY CHECKPOINTSELIGIBILITY CHECKPOINTSSmall business concern must be:9 At least 51% U.S.- owned by individuals and independently operated or 9 At least 51% owned and controlled by another (one) for-profit business concern that is at least 51% owned and controlled by one or more individualsSBIR PROGRAMSBIR PROGRAMELIGIBILITY CHECKPOINTSELIGIBILITY CHECKPOINTS9 Applicant is Small Business ConcernSubsidiaries are NOT eligible for STTR program9 Formal Cooperative R&D Effort Minimum 40% by small business Minimum 30% by U.S. research institution9 U.S. Research Institution9 College or University; other non-profit researchorganization; Federal R&D center 9 Intellectual Property AgreementÂAllocation of Rights in IP and Rights to Carry outFollow-on R&D and CommercializationSTTR PROGRAMSTTR PROGRAMELIGIBILITY CHECKPOINTSELIGIBILITY CHECKPOINTSSBIR / STTR ELIGIBILITYSBIR / STTR ELIGIBILITYOWNERSHIP AND CONTROLOWNERSHIP AND CONTROL• Contact the SBA Size Specialists• Request an eligibility determinationhttp://www.sba.gov/size/indexcontacts.htmlgot questions?PERFORMANCE of PERFORMANCE of RESEARCH ACTIVITIESRESEARCH ACTIVITIES“All research/R&D must be performed in its entirety in the U.S.”¾Rare cases to conduct testing of specificpatient populations outside U.S. is allowable¾Travel to scientific meeting in foreigncountry allowable¾Foreign consultants/collaborators allowable,but must perform consulting in U.S.FEE/PROFITFEE/PROFITUp to 7% of total direct and F&A costs maybe requested for fee¾Must be REQUESTED/JUSTIFIED in application/proposal¾Only SBC eligible; no contracts, consortium or other third party are eligible for fee¾Not direct or indirect cost*DISCUSS WITH AGENCIES• DOD SBIR/STTR• HHS SBIR/STTR• NASA SBIR/STTR• DOE SBIR/STTR• NSF SBIR/STTR• DHS SBIR • USDA SBIR• DOC SBIR• ED SBIR• EPA SBIR• DOT SBIRSBIR / STTR Participating AgenciesSBIR / STTR Participating AgenciesTOTAL ~ TOTAL ~ $2.0 + B$2.0 + BFY 2006FY 2006We’re all just a little bit different ...Standard Phase I ProcessStandard Phase I Process• Agencies describe R&D topicsin solicitations.EvaluationPh I awardSolicitationTopicsProposalSubmission• Small Business Concerns prepareshort (usually 25-page)proposals. Unsolicited proposals not accepted.• Agencies evaluate based on technicalmerit, firm’s qualifications, and commercial potential / societal benefit.• Agencies make Phase I awards.About 6-9 monthsAgency 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)Agency SBIR Differences• Granting Agencies Investigator initiatesapproach Less-specified topics Assistance mechanism More flexibilityDOD HHS/NIHNASA EDEPA DOT DOC• Contracting Agencies Agency establishes plans,protocols, requirements  Highly focused topics Procurement mechanismfor DOD and NASA More fiscal requirementsHHS/NIH NSF ED USDADOESBIR AND STTR PROGRAMSCRITICAL DIFFERENCESCRITICAL DIFFERENCES••Research PartnerResearch PartnerSBIR: Permits research institution partners[Outsource ~ 33% Phase I and 50% Phase II R&D]STTR: Requires research institution partners (e.g., universities)[40% small business concerns