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~Funding Innovation with the Federal SBIR and STTR Programs~


Title: SBIR/STTR Author: Marcie Sonneborn Last modified by: Marcene Sonneborne Created Date: 4/28/1997 8:30:04 AM Document presentation format: Letter Paper (8.5x11 in) – PowerPoint PPT presentation

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Title: ~Funding Innovation with the Federal SBIR and STTR Programs~

Funding Innovation with the Federal SBIR and
STTR Programs
  • CNY Technology Development Organization
  • Marcene Sonneborn
  • September 13, 2006

Program sponsored by
  • Rensselaer Polytechnic Institute
  • Center for Economic Growth (CEG)
  • CNY Technology Development Organization

Statewide Program Objectives
  • To stimulate and encourage broader SBIR and STTR
  • 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
  • To assist with commercialization

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
  • New products
  • Intellectual assets
  • Royalties, new venture partnerships
  • New Opportunities!

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

Things to Think About
  • Commercial application is the focus of SBIR and
  • 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

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

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

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

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

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.

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

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

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

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

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

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

  • 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

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

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

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

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

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

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)

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

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

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

Three Phases of STTR
  • Phase I
  • Awards up to 100,000 for up to one year (may
  • 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 as of FY 2004, but may increase)
  • RD work performed and commercial potential
  • Phase III
  • Non-SBIR/STTR funding to move from lab to market

SBIR/STTR Differences
  • SBIR
  • 11 agencies participate
  • Two-thirds (minimum) of funds spent inside the
  • One-third spent on outside consultants or
  • SBIR is 2.5 of external RD budget
  • STTR
  • 6 agencies participate
  • Company performs at least 40 of work
  • Research institution performs at least 30 of
  • STTR is 0.3 of external RD budget
  • Allocation of Rights agreement required
  • Phase I term is up to one year
  • Topics may be limited, different cycle than SBIR

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

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.

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

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

Agencies Offering SBIR and STTR Awards
  • Eleven 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 Homeland Security also STTR
  • Department of Transportation
  • Environmental Protection Agency
  • National Aeronautics and Space Administration -
    also STTR
  • National Science Foundation - also STTR

Number of SBIR Awards General Example
  • Department of Defense 2,383
  • Health and Human Services 1,265
  • National Aeronautics and Space Administration
  • 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

SBIR Funding Agencies
  • For SBIR - 2.5 allocated from agencys
    extramural RD budget
  • Over 2.2 Billion in FY 06
  • 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, FY06 funding Over 65 million

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

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

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

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

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

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

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
  • Travel directly related to the project only
  • Justification of direct cost items
  • Equipment and facilities included, or
    arrangements described
  • Profit rate between 5-8 (usually 7)

Commercial Applications
  • Persuade the reviewer that commercial market
  • 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

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

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
  • Submitting multiple proposals

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

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

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

Thank You
  • www. tdo.org
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