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SBIR/STTR Overview

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Extramural Programs Reserved for Small Business SMALL BUSINESS INNOVATION RESEARCH (SBIR) PROGRAM SMALL BUSINESS TECHNOLOGY TRANSFER (STTR) PROGRAM – PowerPoint PPT presentation

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Title: SBIR/STTR Overview


1
Extramural Programs Reserved for Small Business
SMALL BUSINESS INNOVATION RESEARCH (SBIR)
PROGRAM SMALL BUSINESS TECHNOLOGY TRANSFER
(STTR) PROGRAM
Updated 03/21/02 (JGLE)
2
SBIR/STTR -- A Four Course Overview Course
101 SBIR/STTR Basics Course 201 SBIR/STTR
History and Law Course 301 Research
Institutions and SBIR/STTR Final Exam Top Ten
3
Course 101 SBIR/STTR Basics General
Features and Agency Nuances
4
Program Descriptions
  • SBIR Set-aside program for small business
  • concerns to engage in federal RD --
  • with potential for commercialization.
  • STTR Set-aside program to facilitate
  • cooperative RD between small
    business concerns and U.S. research
    institutions -- with potential for
    commercialization.

5
SBIR/STTR 3-Phase Program
  • PHASE I
  • Feasibility study
  • 100K and 6 months (SBIR)
  • or 12 months (STTR)
  • PHASE II
  • Full R/RD
  • 2-Year Award and 750K (SBIR)
  • or 500K (STTR)
  • PHASE III
  • Commercialization Stage
  • Use of non-SBIR Funds

6
SBIR PROGRAM ELIGIBILITY CHECKPOINTS
  • Organized for- profit U.S. business
  • At least 51 U.S.-owned and
  • independently operated
  • Small Business located in the U.S.
  • P.I.s primary employment with small
  • business during project
  • 500 or fewer employees

7
Some important facts to remember
  • Eligibility is determined at time of award
  • No appendices allowed in Phase I
  • 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

8
SBIR AND STTR PROGRAMS CRITICAL DIFFERENCES
  • Research Partner
  • SBIR Permits (encourages) research
  • institution partners
  • 33 Phase I
    and 50 Phase II RD
  • STTR Requires research institution
  • partners (e.g., universities)
  • 40 small business and 30
    research institution

AWARD ALWAYS MADE TO SMALL BUSINESS
9
SBIR AND STTR PROGRAMS CRITICAL DIFFERENCES
  • Principal Investigator
  • SBIR Primary (gt50) employment must be
    with small business concern
  • STTR Primary employment not stipulated
  • PI can be from research institution
    and/or
  • from small business concern

10
SBIR PROGRAM
  • Program re-authorized through FY 2008
  • 10 agencies with RD budgets greater than 100
    million participate
  • Amounts to be set-aside of RD budget
  • FY 1987-92 1.25
  • FY 1993-94 1.5
  • FY 1995-96 2.0
  • FY 1997 and beyond 2.5

11
SBIR/STTR Participating Agencies
  • DOD SBIR/STTR
  • HHS SBIR/STTR
  • NASA SBIR/STTR
  • DOE SBIR/STTR
  • NSF SBIR/STTR
  • USDA SBIR
  • DOC SBIR
  • EPA SBIR
  • DOT SBIR
  • ED SBIR

12
Were all just a little bit different ...
13
Agency SBIR/STTR Differences
  • RD Topic Areas
  • Dollar Amount of Award (Phase I and II)
  • Receipt Dates / Number and Timing of
    Solicitations
  • Proposal Review Process
  • Proposal Success Rates
  • Type of Award (Contract or Grant)
  • Many other details
  • Profit or fee allowed
  • Phase I to Phase II gap funding
  • Payment types and schedule

14
Agency SBIR/STTR Differences
  • Granting Agencies
  • Investigator initiates
  • approach
  • Less-specified topics
  • Assistance mechanism
  • More flexibility
  • Contracting Agencies
  • Agency establishes plans,
  • protocols, requirements
  • Highly focused topics
  • Procurement mechanism
  • for DOD and NASA
  • More fiscal requirements

DOD HHS/NIH NASA DOC EPA DOT ED
HHS/NIH DOE NSF USDA ED
Awards Grants and Contracts
15
SBIR vs STTR UNIQUE FEATURES
SBIR STTR
Set-Aside of Agency Budget 2.5
0.15
FY02 SBIR/STTR Budget 1.3 Billion
Award Guidelines Phase I 100K/6mos
100K/12 mos. Phase II 750K/2 yrs
500K/ 2 yrs
Business Employment of PI gt50
n/a
16
Advice from Awardees
  • Dont judge an agencys interests by
  • its name
  • Understand agencys mission needs
  • Get to know your agency Program
  • Manager
  • Read solicitation and follow
  • instructions

17
Advice from Awardees
  • Dont depend solely on SBIR funding
  • Dont go it alone - use support systems
  • Have an outcome
  • Win or lose - get and review evaluations
  • Be PERSISTENT

18
Course 201 SBIR/STTR History and
Law Legislative Background and Relationship
Dynamics
19
WHY SBIR????
Small Business Innovation Development Act of 1982
  • Congress designated 4 major goals
  • Stimulate technological innovation
  • Use small business to meet federal RD needs
  • Foster and encourage participation by minorities
    and disadvantaged persons in technological
    innovation
  • Increase private-sector commercialization
    innovations derived from federal RD

20
1992 REAUTHORIZATION
PURPOSES OF P.L. 102-564, SIGNED 10/28/92
  • Expand and improve SBIR Program
  • Emphasize goal of increasing private sector
    commercialization
  • Increase small business participation in federal
    RD
  • Improve dissemination of information on SBIR
    Program

21
2000 REAUTHORIZATION
MAJOR PROVISIONS OF P.L. 106-554 Signed 12/21/00
  • Program Extension until 9/30/2008
  • Output and Outcome Data (within 180 days)
  • - Public Database basic award
    information
  • (searchable, up-to-date, electronic
    database)
  • - Government Database program evaluation
  • (Phase II awardees -- e.g., new
    product sale revenues
  • other investment funding sources)

22
2000 REAUTHORIZATION continued
MAJOR PROVISIONS OF P.L. 106-554 Signed 12/21/00
  • National Research Council report (3 years)
  • Policy Directive Modifications (SBA)
  • - Commercialization Plans Phase II
    proposals
  • - Agency Reports Follow-on funding
    agreements
  • FAST Program (Federal State Partnership
    Program)
  • - State-level Entity One per State
  • - Mentoring Networks Business advice
    Counseling

23
2001 STTR REAUTHORIZATION
  • 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 SBIR

24
SBIR/STTR Historical Relationships
1982
1997
25
SBIR/STTR Historical Relationships
1998
1982
26
SBIR/STTR Historical Relationships
2000
1982
27
Course 301 Research Institutions and SBIR/STTR
Universities / Industry Partnerships and Cultural
Differences
28
Research Institution 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

29
University and Industry Two diverse cultures
  • University culture
  • Research to educate, break ground, provide
  • service (economic development)
  • Pace is slower
  • Mission basic and applied research
  • Technology transfer activities are companion
  • to applied research mission
  • Fertile ground for economic development

30
University and Industry Two diverse cultures
  • Industry culture
  • Mission toward research / RD /
  • commercialization
  • Quick-paced
  • Solve problems - develop new products - profit
  • Maintain control of science to explore full
  • potential of discovery (initially)
  • Direct and indirect economic impact

31
CULTURAL DIVERSITY
That was then
This is now
  • University - Industry Relationships
  • Universities are establishing creative and
    entrepreneurial environments for the
    commercialization of university intellectual
    property
  • Universities and Industry learning to work
    together

32
Entrepreneurial Research Institution
  • Key Ingredients
  • Develop common goals between faculty-initiated
    business and mission of research institution
  • Create entrepreneurial environment while
    protecting interests of University
  • Establish policies to manage, reduce or eliminate
    conflict of interest (COI)
  • Retain intellectual talent

33
Examples Successful Entrepreneurial Research
Institutions
  • The Ohio State University
  • Purdue University
  • University of Wisconsin -
  • Madison

34
An Example of a Successful Entrepreneurial
Research Institution (cont.)
  • The Ohio State University
  • Establish entrepreneurial management expertise,
  • realistic business plan, sufficient access
    to capital
  • Proper management of COI management plans
  • financial interest disclosure
  • management of gift monies thru impartial
    University officials
  • limitation of employees ownership
    interest/management roles

35
An Example of a Successful Entrepreneurial
Research Institution (cont.)
  • The Ohio State University
  • Models Start-ups involving RI employees
  • Managed Start-Up Model
  • Faculty-Owned Business Model
  • Early Stage Development Model
  • Entrepreneurial Leave Model
  • http//www.techtransfer.rf.ohio-state.edu

36
An Example of A Successful Entrepreneurial
Research Institution
  • Purdue University
  • Purdue Research Park
  • 3 business incubators
  • Companies benefit from shared office concept,
    flexible leases, attractive rental rates, and
    more ...
  • Gateways Program
  • Financial assistance

http//www.adpc.purdue.edu/PRF/main.html
37
An Example of A Successful Entrepreneurial
Research Institution
  • Purdue University
  • Environment for business to have
  • frequent and mutually beneficial
  • interactions with University
  • Policies / Procedures to address COI --
  • not to eliminate, but to minimize and
  • manage

38
An Example of A Successful Entrepreneurial
Research Institution
  • Purdue University --
  • COI Policies and Procedures
  • Contact Department Heads/Deans
  • Disclose all potential COIs
  • Obtain permission to engage in outside
    activities
  • Full Financial Disclosure if subcontracting
    with RI
  • Appropriate licensing agreements
  • Compensation for phone, computers, etc.

39
SUCCESS STORY
  • Endocyte, Inc. (Purdue Research Park)
  • Researcher, Philip Low, discovered way to
    diagnose, potentially cure, ovarian cancer using
    vitamin folate
  • Sell technology or start own company to develop
    and market treatment????
  • Resisted VC offers wanted control of science
  • Now exploring use of folate in arthritis
  • ADVICE Hire experienced CEO to handle all but
    science
  • BENEFIT Purdue retains talent

40
Final Exam The Top 10 List
41
Top 10 Reasons to Seek SBIR/STTR Funding
Opportunities
10. Over 1.3 Billion available
9. NOT A LOAN - no repayment
8. Provides recognition, verification and
visibility
7. Potential leveraging tool to
attract venture capital/other sources of
42
Top 10 Reasons to Seek SBIR/STTR Funding
Opportunities
6. Fosters partnerships (e.g., large
corporations, academia)
5. Creates jobs and generates tax
revenues
4. Provides seed money to fund high risk
projects
43
Top 10 Reasons to Seek SBIR/STTR Funding
Opportunities
3. Intellectual property rights are normally
retained by the small business
  • 2. Small business concerns are
  • recognized as a unique national
  • resource of technological
  • innovation

44
Top 10 Reasons to Seek SBIR/STTR Funding
Opportunities
1. To make economic and societal
contributions to America
45
For more information..
  • Contact individual agency websites
  • Cross-agency website
  • http//www.sbirworld.com/sbir
  • Conferences / workshops
  • Topic search engine for all agencies
  • Partnering Opportunities
  • State Newsletters
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