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: Joseph.Graben@usm.edu

"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."