SBIR/STTR Programs SBIR/STTR Programs IntroductionIntroduction

John Ujvari, MBASBIR Program Specialist

North Carolina SBTDC

Email: sbir@sbtdc.org

Phone: 919-962-8297

Web: www.sbtdc.org/technology/sbirsttr.asp

Brief HistoryBrief History

Small Business Innovation Development Act of 1982

Federal Agencies with R&D Budgets in Excess of $100 Million

Set Aside % of Extramural Research Budget Currently 2.5% = $1.8 Billion 50,000 Awards Made Since Inception Over $12 Billion Awarded Since Inception

SBIR in a nutshellSBIR in a nutshell

R&D funds set aside for high-risk/high-payoff research conducted by small (<500), for-profit firms….

….that are likely to lead to a commercializable product

Three phases

Funding BreakdownFunding Breakdown

Phase I Evaluate viability and feasibility of an idea Up to $100K for 6 month period*

Phase II Expand results Further pursue development Up to $750K for up to 24 months*

Phase IIICommercializationNo SBIR funds

Federal Agencies Federal Agencies Participating in SBIR (11)Participating in SBIR (11)

Department of Agriculture Department of Commerce Department of Defense Department of Education Department of Energy Department of Health and Human Services Department of Homeland Security Department of Transportation Environmental Protection Agency NASA National Science Foundation

SBIR Eligibility SBIR Eligibility CheckpointsCheckpoints

Organized for-profit U.S. business At least 51% U.S. owned and independently

operated Business is located in U.S. P.I.’s primary employment is with small

business during the project 500 or fewer employees

STTR in a nutshellSTTR in a nutshell

Three phase program that parallels SBIR Aimed at moving tech from academia through

small business into marketplace R&D must be a joint effort between small

business (not <40%) and non-profit research institution (not <30%)

Program and funds are managed by the small business, but P.I. may be from non-profit

STTR Cont’dSTTR Cont’d

Largest five SBIR agencies participate DOD DOE HHS NASA NSF

Phase 1 – Up to $100K (12 months) Phase 2 – Up to $750K Phase 3 - Commercialization

SBIR/STTR Critical SBIR/STTR Critical DifferencesDifferences

Research PartnerResearch Partner

SBIR: Allows for, but does not require, research institution partners

STTR: Requires partners from research institutions (e.g., universities)

SBIR/STTR Critical SBIR/STTR Critical DifferencesDifferences

Principal InvestigatorPrincipal Investigator

SBIR: PI’s primary (>50%) employment must be with small business concern

STTR: Primary employment not stipulated [PI can be from research institution or from small business concern]

SBIR vs. STTRSBIR vs. STTRUnique FeaturesUnique Features

SBIR STTRSet-Aside of Agency Budget 2.5% .30 %

Award Guidelines Phase I $100K $100K6 mo 12 mo

Phase II $750K $750K 2 yrs 2 yrs

Subcontracts Phase I 33% 60% Phase II 50% 60%

Academic Component Not Required 30%

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NC’s SBIR/STTR RankingsNC’s SBIR/STTR Rankings

NC’s lead SBIR outreach agency since 1999 High potential for continued ranking increases Lag time issue

NORTH CAROLINA’SNORTH CAROLINA’SSBIR/STTR NATIONAL RANKINGSBIR/STTR NATIONAL RANKING

YEAROverall SBIR

Increase Over Previous Year

Overall STTR

2002 18th 68% increase 4th

2001 21st 24% increase 22nd

2000 22nd 28th

Major Advantages of Major Advantages of ProgramsPrograms

Significant amount of funds reserved for small, innovative firms

Funds high risk projects Firm retains IP – no dilution Provides valuable credibility Offers a simplified route to obtaining federal

R&D funds

Important Facts Important Facts to Rememberto Remember

Eligibility determined at time of award PI is not required to have a Ph.D 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 the same project

SolicitationsSolicitations

Search all agencies for a fit Some solicitations very general, some very

specific Do not force fit

Will not help you win Not good for the direction of your company Do not send in an unsolicited idea

Solicitation Release Sample Solicitation Release Sample CalendarCalendar

Sample SolicitationsSample Solicitations

DoD

NIH

Where to Look for Where to Look for InformationInformation

Each agency has a website Solicitation lists Applications

Excellent portals www.zyn.com www.sbirworld.com

SubmissionSubmission

Done electronically for most agencies now Proposals are not read on a rolling-basis

Review TimelineReview Timeline

Write Proposal: January - April 1 Submit Proposal: April 1 Agency Review: April - August Receive Confirmation: August - October Receive Funding if Successful: October -

December Generally a 9 month process Note this is a hypothetical sample – all

agencies are different

How the SBTDC How the SBTDC can Assist youcan Assist you

Help determine if your company is eligible Answer general questions during proposal

process Put you in contact with key individuals,

universities and agencies Review proposals from a business

perspective and make recommendations

Information ResourcesInformation ResourcesBrochureBrochure

Clear overview of all services provided on one sheet

Information ResourcesInformation ResourcesSBIR NewsletterSBIR Newsletter

Content: Calendar of events Success stories Agency updates/announcements Solicitation release and proposal deadlines Proposal tips

Information ResourceInformation ResourceSBIR WebsiteSBIR Website

www.sbtdc.org/technology/sbirsttr.asp Content:

Program handbook Proposal deadline calendar Newsletter archives Proposal Tips Sample Proposals Proposal tips Success Stories Agency Presentations

CounselingCounseling

Strategize Answer questions during proposal process Review proposals

Team Support Team Support

SBIR is the rallying point for our Tech Team 6 members statewide

Questions ?Questions ?

John Ujvari, MBASBIR Program Specialist

North Carolina SBTDC

Phone: 919-962-8297

Email: sbir@sbtdc.org