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SBIR/STTRSBIR/STTRBasicsBasics
General FeaturesGeneral Featuresandand
Agency NuancesAgency Nuances
CONT
RACT?
GRANT?
Joe Graben, Director USM Business & Innovation Assistance Center
June 2013www.usm.edu/biac/
SSMALL MALL BBUSINESSUSINESSIINNOVATION NNOVATION RRESEARCH ESEARCH
((SBIRSBIR) PROGRAM) PROGRAM&
SSMALL BUSINESS MALL BUSINESS TTECHNOLOGY ECHNOLOGY TRTRANSFER ANSFER
((STTRSTTR) PROGRAM) PROGRAM
SBIR/STTR Stand For:
• SBIR: Set-aside program for small business
concerns to engage in federal R&D --
with potential for commercialization.
• STTR: Set-aside program to facilitate
cooperative R&D between small business concerns and U.S.
research institutions -- with potential for commercialization.
Program Descriptions
• PHASE I Feasibility study $100-250k and 6 months (SBIR)
or 12 months (STTR)
• PHASE II Full R/R&D 2-Year Award and $1m (SBIR)
or $750k (STTR)
• PHASE III Commercialization Stage Use of non-SBIR Funds
3 Phase Programs
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
Eligibility Checkpoints
• 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
Facts to Remember
Research PartnerResearch Partner
SBIR: Permits (encourages) research
institution partners [ 33% Phase I and 50% Phase II R&D]
STTR: Requires research institution partners (e.g., universities)
[ 40% small business and 30% research institution]
AWARD ALWAYS MADE TO SMALL BUSINESS
SBIR-STTR Differences
Principal InvestigatorPrincipal Investigator
SBIR: Primary (>50%) employment must be with small business
concern
STTR: Primary employment not stipulated
(PI can be from research institution and/or from small business
concern)
Critical Differences
• DOD SBIR/STTR• HHS SBIR/STTR• NASA SBIR/STTR• DOE SBIR/STTR• NSF SBIR/STTR• DHS SBIR/STTR• USDA SBIR• DOC SBIR• EPA SBIR• DOT SBIR• ED SBIR
TOTAL ~ TOTAL ~ $2.4 B$2.4 BFY 2008FY 2008
Participating Agencies
• R&D 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
Agency Differences
Granting AgenciesGranting Agencies Investigator initiates approach Less-specified topics Assistance mechanism
More flexibility
DOD HHS/NIH*
NASA DOCEPA DOT DHS ED*
Contracting AgenciesContracting Agencies Agency establishes plans, protocols, requirements Highly focused topics Procurement mechanism for DOD and NASA More fiscal requirements
HHS/NIH* DOE NSF USDA ED*
** Awards Grants and Contracts
Agency Differences
Don’t Don’t judge an agency’s interests byits “name name ”
Understand agency’s mission & needsagency’s mission & needs
Get to know your agency Program agency Program ManagerManager
Read solicitation and follow follow instructionsinstructions
Words of Advice
Don’t depend solelysolely on SBIR funding
Don’t go it alone alone - use support systems
Have an outcomeoutcome
Win or lose - get and review get and review evaluations
Be PERSISTENTPERSISTENT
Words of Advice
Contact
To learn more about how the MS-FAST Program can help your company compete in the federal SBIR/STTR programs contact:
Joe Graben, MBADirector – USM/BIACPhone: (228) 688-2280E-mail: [email protected]
"This U.S. Small Business Administration (SBA) Cooperative Agreement is partially funded by the SBA. SBA's funding is not an endorsement of
any products, opinions, or services. All SBA funded programs are extended to the public on a nondiscriminatory basis."