UND Center for Innovation 4200 James Ray Drive Grand Forks, ND 58203 (701) 777-3132

Commercialization standards for Phase I applicants.

Phase I to Phase II Transition Rate: Beginning 1/1/2013, Phase I applicants that have won prior SBIR/STTR Phase I awards, must meet agency-specific standards for progress towards Phase II. Proposed benchmark rates will be pub-lished in the Federal Register for comment on 10/1/2012.

Phase II to Phase III Commercializa-tion Rate: Effective 10/1/2013, Phase I applicants that have pre-viously won SBIR/STTR Phase II awards, will be required to meet agency-specific standard rates of commercialization suc-cess from those Phase II awards. Proposed benchmarks will be published in the Federal Register for comment on 7/1/2013.

Company commercialization record. Once the necessary data systems are in place, all appli-cants will be required, as part of the application process, to pro-vide information on the com-mercialization of their prior SBIR/STTR awards. The antici-pated date for this to be opera-tional is 10/1/2014.

www.sba.gov for more info.

Eligibility

VC-owned firms. The biggest change in eligibility required by the reauthorization legislation will be allowing firms that are majority-owned by multiple venture capital operating companies (VCOCs), hedge funds and/or private equity firms to receive SBIR and STTR awards. SBA has published a pro-posed rule to amend SBIR/STTR size regulations (Federal Register Vol. 77, No. 94, May 15, 2012) to make this change and to make other modi-fications to the ownership require-ments and affiliation rules. This proposed rule was open for public comment through July 16, 2012. The SBA is currently review-ing the comments and plans to issue the final rule in early 2013, at which time the changes will become effec-tive. Until then, the current regula-tions at 13 C.F.R. §121.702 remain in effect.

Company Registry. All applicants will be required to register with the Company Registry Database at www.sbir.gov at the time of applica-tion. This will become effective when the size regulation final rule is published in the Federal Register (anticipated date is 1/1/2013).

Cross-program awards. Agencies have the option to allow STTR Phase I awardee to receive SBIR Phase II

award and SBIR Phase I awardee to receive STTR Phase II award. Imple-mentation is at agency discretion.

Cross-agency awards. Clarifies that a Phase I awardee may receive a Phase II award from an agency other than the one that awarded the related Phase I. Reporting to SBA by both agencies is required.

Direct to Phase II pilot. For fiscal years 2012-2017, the NIH, DoD, and Department of Education may issue Phase II SBIR awards to firms to pur-sue Phase I solicitation topics without requiring the applicant to have re-ceived a Phase I award for related work. Implementation is at agency discretion.

Open Phase II competition: Begin-ning 10/1/2012, agencies must allow all Phase I awardees to apply for a follow-on Phase II award. Issuing Phase II awards via invitation only will not be permitted. Agencies will need to include information on the Phase II application process in all Phase I solicitations released on or after 10/1/2012 and notify their Phase I awardees of this change in practice.

Second Phase II. Agencies may award a second, sequential, Phase II to continue a Phase II project.

Key Changes in SBIR/STTR Policy Directives & How They Affect Your Company

North Dakota SBIR/STTR R & D Funding for Tech. Entrepreneurs

October, 2012 Volume 2, Issue 8

Inside

this

Issue :

Key SBIR/STTR

Changes P.1

Conferences &

Events P. 2

Open SBIR/

STTR Solicita-

tions

P. 2

UND Center for Innovation 4200 James Ray Drive Grand Forks, ND 58203 (701) 777-3132

SBIR/STTR News

ZYN.com

PNL.gov

Grants.gov

Sbir.gov

Solicitation Search-

es

ZYN.com

Grants.gov

National

SBIR/STTR Calendar www.zyn.com/sbir/cal/

Dept. of Agriculture: USDA SBIR Dept. of Commerce: DOC-NOAA

DOC-NIST

Dept. of Defense: DOD

Air Force

Army

DARPA

DTIC-Defense Technical Information Center

MDA-Missile Defense Agency

DTRA-Defense Threat Reduction Agency

Navy

NGA-National Geospatial Intelligence Agency

SOCOM-Special Operations Command

Dept. of Education: ED IES

Dept. of Energy: DOE

Department of Health & Human Services NIH

Department of Homeland Security DHS S&T Directorate DHS DNDO

Dept. of Transportation: DOT

Environmental Protection Agency: EPA

National Aeronautics & Space Administration: NASA

National Science Foundation: NSF

Small Business Administration: SBA

**All links are also posted on bottom of webpage www.zyn.com/sbir/

**table from www.zyn.com

Useful Links

Open Solicitations Events & Conferences Oct 31 - Nov 1, 2012

SBIR/STTR workshop Omaha, NE

Workshop will cover aspects of proposal preparations and submissions for or-ganizations like the Department of Defense (DOD), Department of Energy (DOE), U.S. Department of Agriculture (USDA), National Science Foundation (NSF) and National Institutes of Health (NIH). Location: UNO Alumni Center on Oct 31th and Nov 1st. Sessions will run from 8:30am to 4:30pm both days. $35 admission to each day of the workshop, which includes continental break-fast, lunch and informational materials.

Contact: Marisol U Rodriguez - murodri-guez@unomaha.edu

402 554 6270

Nov 13 - 15, 2012

National SBIR Fall 2012 Confer-ence

Portland, OR

The 2012 National SBIR/STTR Fall Conference will be held November 13th – 15th at the Doubletree Hotel Portland, OR. The biannual National SBIR confer-ences are targeted at small businesses that are SBIR novices or intermediates, looking to learn how to compete and/or partner for SBIR and STTR opportunities. Whether you are responsible for doing research or making the sale, innovation depends on recognizing opportunities and making connections. This event will offer R&D project managers and technology based businesses the opportunity to meet with federal agency representatives, prime contractor/corporate organiza-tions, service providers for all areas of the nation, universities and federal labs.

Contact: Kedma Ough - Ked-ma@oregonsbir.com

503-546-8813