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Funding Innovation with the Federal SBIR and STTR Programs

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Title: Funding Innovation with the Federal SBIR and STTR Programs


1
Funding Innovation with the Federal SBIR and
STTR Programs
  • New York State FAST
  • Federal and State Technology Partnership Program
  • 2003

2
Contact Information for Presenter
  • Marcene Sonneborn
  • SBIR Specialist
  • CNY Technology Development Organization
  • 1201 East Fayette Street
  • Syracuse, NY  13210
  • (315) 425-5144
  • Fax 315-233-1259
  • msonneborn_at_tdo.org
  • http//www.tdo.org

3
Program sponsored by
  • U.S. Small Business Administration
  • New York State Office of Science, Technology and
    Academic Research (NYSTAR)
  • Onondaga Small Business Development Center
  • CNY Technology Development Organization

4
NYS FAST Program Objectives
  • To further stimulate and encourage broader SBIR
    and STTR participation
  • To increase the number of awards at all levels
    (Phases I, II and III)
  • To outreach to small businesses
  • To provide assistance in applying for awards

5
NYS FAST Program Activities
  • Establish a network of SBIR specialists across
    New York State
  • Establish a Mentor Referral Network with
    universities, Small Business Development Centers,
    NYS Centers for Advanced Technology and other
    technology and professional organizations

6
Reasons to Be Interested in SBIR
  • Companies must innovate to stay competitive in a
    global economy
  • Innovation is high-risk
  • RD is expensive
  • Commercialization can reap rewards for
    corporations
  • New products
  • Intellectual assets
  • Royalties, new venture partnerships
  • New Opportunities!

7
Reasons to Be Interested in SBIR
  • Non-profit research funds at universities are at
    risk
  • Congress demands return on investment for RD
    programs
  • The U.S. supports technology development to meet
    national objectives in military, commerce,
    health, education, space, energy, agriculture,
    transportation, the environment and basic science

8
Things to Keep in Mind
  • Commercial application is the focus of SBIR and
    STTR
  • Provides good ROI evidence
  • Market and customer need is the driving force
  • Economic prosperity for the U.S.
  • Job creation
  • Richer tax payers
  • Keep the U.S. globally competitive

9
SBIR/STTR
  • What are SBIR and STTR, and what do they fund?
  • How To Apply
  • What Do You Need To Know About Writing the
    Proposal?

10
What does SBIR/STTR fund?
  • Exploitation of scientific breakthroughs
  • Innovation through the use of emerging
    technologies
  • Novel application of existing technologies
  • New capabilities or major improvements to
    existing technologies

11
Selected Topics
  • Examples of topics funded by the 10 federal
    agencies that participate in SBIR

12
Department of Defense
  • Simulation, training
  • Faster, lighter, cheaper materials and equipment
  • Command, control, communications
  • Battlefield warfare Information warfare
  • Battlefield survival and medical items
  • Chemical, biological, nuclear weaponry and
    defense or detection systems

13
Health-Related Topics
  • Clinical treatment research
  • New therapies
  • Pharmaceutical development
  • Clinical trials and drug evaluation studies
  • Diagnostic and prognostic equipment/ tools
  • Prevention techniques, education, training
    materials, etc.

14
Education-Related Areas
  • Math, Science, Engineering
  • Interdisciplinary research
  • Treatments and Prevention
  • Cancer
  • Drug and Alcohol
  • Mental Health
  • Technology to improve teaching/ learning
  • Adaptive Learning Systems (web-based)

15
Examples from National Science Foundation
  • Four Broad Areas of Technology
  • Advanced Materials and Manufacturing
  • Biotechnology
  • Electronics
  • Information-Based Technologies

16
Examples from National Science Foundation -
Biotechnology
  • Agriculture and food biotechnology
  • Marine biotechnology and aquaculture
  • Industrial bioproducts - enzymes, nutraceuticals,
    bioreagents, biopolymers, etc.
  • Biosensors, biomaterials, bioprocessing,
    bioconversion
  • Biomedical engineering
  • Tissue engineering Metabolic engineering
  • Biomolecular nanotechnology
  • New emerging developments in biotechnology

17
Examples from National Science Foundation - IT
  • New methods to foster increased interaction among
    people, organizations and communities regardless
    of language and culture
  • Techniques to improve communication,
    decision-making and the transfer of new knowledge
  • Products to increase personal, professional,
    industrial and commercial productivity
  • Universal access to information
  • Richer, more effective educational innovations

18
NSF Information Technologies
  • Applications
  • Social, behavioral and economic science
  • Education
  • Teaching and learning
  • Higher education
  • Assistive technology - human-computer interfaces
  • Mathematics, computers and computation
  • Information systems
  • Storage, delivery, transmission
  • Robotic systems

19
Department of Energy
  • Drinking water disinfection
  • Particulate matter
  • Ecosystem protection
  • Air pollutants and indoor air
  • Waste site risk characterization
  • Waste management and site remediation
  • Endocrine disruptors

20
Department of Transportation
  • FAA
  • Ultra fire resistant thermoplastics
  • National Highway Traffic Safety Administration
    (NHTSA)
  • Tire failure warning sensor
  • Federal Railroad Administration
  • Safety Glazing Design for passenger rail vehicles
  • U.S. Coast Guard - e.g., night vision

21
NASA
  • Aero Propulsion and power, aircraft systems
  • Safety, reliability and quality assurance
  • Materials and structures
  • Teleoperators and robotics
  • Information systems and computer sciences
  • Instrumentation and sensors
  • Space habitability and biology
  • Space communications
  • Commercial space applications

22
Department of Commerce
  • NOAA
  • Atmospheric sciences
  • Ocean observation systems and living marine
    resources
  • Cartography and photogrammetry
  • NIST
  • Materials, intelligent control
  • Measurement and standards
  • Integration of manufacturing applications

23
Department of Agriculture
  • Forests and related resources
  • Air, water, soils
  • Plant production and protection
  • Animal production and protection
  • Food science and nutrition
  • Rural and community development
  • Production using agricultural materials
  • Marketing and trade

24
Environmental Protection Agency
  • Nanomaterials and clean technology
  • Prevention and control of air pollution
  • Treatment/Monitoring of drinking water
  • Municipal and industrial wastewater treatment
  • Hazardous waste management and site remediation
  • Recycling of municipal and industrial solid waste
  • Monitoring and measurement technologies
  • Environmental bioterrorism detection and
    decontamination

25
SBIR Web Sites(Cross-Agency)
  • http//www.sbirworld.com
  • http//www.zyn.com/sbir/

26
What is SBIR?
  • Federal Legislation
  • Federal Incentives
  • Phases I, II, and III
  • Eligibility

27
Three Phases of SBIR
  • Phase I Scientific and technical feasibility
    (Six months)
  • Phase II Concept refinement, generally leading
    to prototype (Two years)
  • Phase III Commercialization (non-SBIR
    funded phase)

28
History of SBIR Program
  • 1982 - Congress passed the Small Business
    Innovation Development Act
  • 1986 - Reauthorization
  • 1992 - Congress extended SBIR and created STTR
  • 2000 - Renewal until 9/30/08
  • 2001 STTR renewal until 9/30/09

29
Purposes of SBIR/STTR
  • To stimulate technological innovation
  • To use small businesses to meet federal research
    and development needs
  • To encourage participation by minority and
    disadvantaged persons
  • To increase the commercialization of products and
    services from federal RD assistance
  • To emphasize private sector commercialization of
    SBIR research

30
What is STTR?
  • Small Business Technology Transfer Program
  • Created in 1992
  • Cooperative RD between small business and
    research institutions
  • Joint venture introducing entrepreneurial skills
    to high-tech research efforts

31
Three Phases of STTR
  • Phase I
  • Awards up to 100,000 for up to one year
  • Explore scientific, technical, and commercial
    feasibility of an idea or technology
  • Phase II
  • Awards up to 500,000 for two years (up to
    750,000 in FY 2004)
  • RD work performed and commercial potential
    considered
  • Phase III
  • Non-STTR funding to move from lab to market

32
SBIR/STTR Differences
  • SBIR
  • 10 agencies participate
  • Two-thirds (minimum) of funds spent inside the
    company
  • One-third spent on outside consultants or
    resources
  • SBIR is 2.5 of external RD budget beginning
    in FY 99
  • STTR
  • 5 agencies participate
  • Company performs at least 40 of work
  • Research institution performs at least 30 of
    work
  • STTR is 0.15 of external RD budget - FY 99
  • Up to .3 in FY 04, and Ph II up to 750
  • Allocation of Rights agreement required
  • Phase I term is up to one year
  • Topics may be limited, different cycle than SBIR

33
Eligibility for SBIR/STTR
  • American-owned,independently operated
  • For-Profit business less than 500 employees
  • Not dominant in the proposed field of operation
  • The Principal Investigator is employed by the
    business over 50 time (SBIR)
  • Research space must be available to and under the
    control of the SBIR grantee for the companys
    portion of the proposed project

34
STTR Qualifications
  • American-owned, independently operated
  • For-profit
  • Principal researcher need not be employed by
    small business
  • Company size limited to 500 employees (no size
    limit for non-profit research institution)
  • Research Institution must be in U.S.

35
New Provisions for STTR
  • Phase II increasing to 750,000 in FY 04
  • STTR allocation increasing from .15 to .3 in FY
    04
  • STTR no longer a pilot program
  • SBIR and STTR Policy Directives posted on SBA
    website
  • www.sba.gov/sbir

36
SBIR APPLICATION PROCESS
  • How Do I Apply?
  • Identifying Topics
  • Contacting Agencies
  • Preparing the Proposal
  • Following Up
  • Resubmitting

37
How Do I Apply?
  • 1. Identify topics funded by each agency
  • that relate to your companys RD interest
  • Link from http//www.sbirworld.com/
  • Links to SBIR Info Sources
  • SBIR Solicitation Schedule
  • STTR Solicitation Schedule

38
Agencies Offering SBIR and STTR Awards
  • Ten SBIR agencies and five STTR agencies
  • Department of Agriculture
  • Department of Commerce
  • Department of Defense - also STTR
  • Department of Education
  • Department of Energy - also STTR
  • Health and Human Services - also STTR
  • National Institutes of Health
  • Health Care Financing Administration
  • Department of Transportation
  • Environmental Protection Agency
  • National Aeronautics and Space Administration -
    also STTR
  • National Science Foundation - also STTR

39
Number of SBIR Awards - FY 02
  • Department of Defense 2,383
  • Health and Human Services 1,265
  • National Aeronautics and Space Administration
    447
  • National Science Foundation 305
  • Department of Energy 325
  • Department of Agriculture 125
  • Department of Commerce 97
  • Department of Education 70
  • Environmental Protection Agency 55
  • Department of Transportation 30

40
SBIR Funding Agencies
  • For SBIR - 2.5 allocated from agencys
    extramural RD budget
  • Over 1.6 Billion in FY 03
  • Approximate breakdowns
  • DOD 45 of dollars in the SBIR program
  • HHS 25
  • NASA 13
  • DOE 8
  • NSF 5
  • EPA, USDA, DOC, DOT, DoEd 4
  • For STTR, FY03 funding Over 65 million

41
How Do I Apply?
  • 2. Review Solicitation information
  • SBIR/STTR Solicitation Schedules
  • Guidelines
  • Requirements - technical and personnel
  • Award amounts
  • Application and submission details
  • Forms and budget guidelines
  • Research funded in the past
  • Sample or model proposals

42
How Do I Apply?
  • 3. Contact each agency
  • Treat each agency as you would treat any customer
    - market to them
  • Learn why the agency is funding the topic
  • Technical questions before Release Date
  • Only administrative questions after release
  • DOD has a pre-release period
  • HHS and Agriculture not concerned about release
    date restrictions

43
Preparing a Phase I Proposal
  • Elements of the Application
  • Abstract
  • Identify the problem and your solution
  • Why the problem is important
  • Why the solution will work
  • Your methodology and qualifications
  • Expected results and benefits

44
Preparing a Phase I Proposal
  • Elements of the Application
  • Technical Description and Work Plan
  • Background
  • Technical approach
  • Objectives
  • Task descriptions
  • Schedule, e.g., Gantt and PERT charts
  • Deliverables

45
Preparing a Phase I Proposal
  • Personnel and Facilities
  • Principal Investigator and Key Personnel
  • Industry Partners and Recognized Consultants
  • Commercial Potential, Anticipated Benefits
  • Plans for Phase II
  • Budget and Justification
  • Commercialization Planning
  • Who will benefit, who will buy
  • Identify a pathway to commercial use

46
Qualifications of Personnel
  • Persuade reviewers of PIs qualifications
  • Describe contributions of consultants
  • Describe what each will do, when, and relation to
    the research goals
  • Select the right consultant
  • Letter from consultant stating contribution
  • Condense biographies to relevant information

47
Preparing a Proposal Budget
  • Realistic budget based on work plan
  • One month of PI time on Phase I, two months on
    Phase II (example)
  • Adequate hours of engineering and technical
    personnel
  • Travel directly related to the project only
  • Justification of direct cost items
  • Equipment and facilities included, or
    arrangements described
  • Profit rate between 5-10 (usually 7-8)

48
Commercial Applications
  • Persuade the reviewer that commercial market
    exists
  • Provide detailed supporting statements
  • Demonstrate knowledge of the commercial area
  • Think creatively about possible applications
  • Concisely describe the plan to commercialize
  • Describe previous success in converting RD into
    new products
  • Focus on large potential markets
  • Include government applications

49
Description of Commercial Potential
  • Significant competitive advantages the new
    technology has over the existing in
  • Major competitive products
  • Application
  • Performance
  • Technique
  • Efficiency
  • Cost
  • Your plan to move from research to market

50
SBIR as Part of a Business Strategy
  • Plan for growth and financing needs
  • Develop a roadmap for your company
  • SBIR/STTR provides credibility
  • Not equity or a loan
  • Is timeline realistic for your organization?
  • Is timeline realistic for your technology and
    markets?
  • Submitting multiple proposals

51
SBIR as a Business Strategy
  • Academic-Corporate Alliances
  • Fit with overall goals and objectives
  • Intellectual Property Issues
  • Commercialization Opportunities

52
Points to Remember
  • Tremendous diversity among agencies, programs,
    solicitations, reviewers, and winning proposals
  • No guaranteed WIN strategies
  • Guidelines and suggestions based on ten agencies
    and regional companies experiences
  • The SBIR program is not static
  • Look for evolutionary changes

53
Sources of Commercialization Assistance
  • Local colleges and universities
  • Business and Management programs
  • Information Studies
  • Communications departments
  • Regional TDOs and SBDCs
  • Trade and professional associations
  • State and Federal programs and events

54
Thank You
  • www.tdo.org
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