Small Business Research Funding Opportunities

Getting the Most out of the Pre-Award Process

March 15, 2013

•Intro to SBIR / STTR•Agencies offering SBIR / STTR•Who do you need to involve?•Proposal Requirements•Overcoming Challenges•Questions / Discussion Group

AGENDA

•Participants will learn the details of SBIR/STTR proposal submission from the perspective of a higher education sub-award institution

•Participants will be able to describe the structure and submission guidelines for Phase I and Phase II SBIR/STTR grants

LEARNING OBJECTIVES

•Participants will be able to identify the federal agencies that offer SBIR/STTR grant funding

•Participants will state the role of higher education sub-awards institutions in SBIR/STTR grants

LEARNING OBJECTIVES

•Participants will be able to implement suggested Best Practices for negotiating higher education SBIR/STTR sub-awards

LEARNING OBJECTIVES

Small Business Innovation Development Act of 1982 (P.L. 97-219)

Through FY2009, over 112,500 awards totaling more than $26.9 billion.

The SBIR/STTR Process

THREE PHASE PROGRAM

Phase I Project feasibilityPhase II Project Development

to Prototype

Phase III Commercialization

51%49%

Small Busi-ness Own-

ershipSmall BusinessOther

• No more than 500 Employees

(including Affiliates)

• SBIR – Research Institution optional

• STTR – Research Institution mandatory

Sponsored Projects Administration• RFA Guidance• Proposal Approval• Export Control• Allocation of

Rights

Patent and Technology• Use of Patent

Approval• Filing of new

Patents

Institutional Compliance• Conflict of Interest

resource• Other issues

Proposal RequirementsBefore You Start

• University is always the subcontractor• Who is the PI for the company?• Where is the work being done?• Potential conflict of interest?

Proposal Requirements• Guidelines– Make sure to read each

solicitation

• Subcontractor status to Industry

Proposal Requirements• Statement of Work

• Budget–Budgetary caps–Specific budget restrictions

(ex. NSF doesn’t allow tuition)

Proposal Requirements• Cost Share–Does your institution allow

voluntary committed cost share?

Proposal Requirements• Intellectual Property

•Allocation of Rights Agreement –STTR Submissions only

• Phase II–Export Controls

Highlights 2012 Amendment

• Available Funding–More funding available–STTR award sizes same as SBIR–Technical assistance increased to

$5,000

Highlights 2012 Amendment• Eligibility–Cross funding SBIR/STTR–Allow 2nd Phase II to complete work–Eff. 10/1/13, required to meet newly

developed agency benchmarks–Include venture capital companies

Highlights 2012 Amendment• Data and Reporting–Improved program-wide data system (Tech-

Net)• Solicitations Database• Company Registry• Application Information Database• Award Information Database• Commercialization Database• Annual Report Database•Other Reports Database

Challenges• Lack of Information–PI– Small Business

• Lack of Small Business support

• Conflict of Interest– Financial interest– Facilities

• Funding restrictions to the institution

• Facilities

Overcoming Challenges• Ask questions• Do your research–Google is a great

tool!• Know your

Institution’s Conflict of Interest policy– Integrity Officer

• Assist the Small Business at the beginning– Send out sample

agreements (ex. Allocation of Rights Agreement, Principles and Policies Guide)

•Participants will learn the details of SBIR/STTR proposal submission from the perspective of a higher education sub-award institution

•Participants will be able to describe the structure and submission guidelines for Phase I and Phase II SBIR/STTR grants

LEARNING OBJECTIVES

•Participants will be able to identify the federal agencies that offer SBIR/STTR grant funding

•Participants will state the role of higher education sub-awards institutions in SBIR/STTR grants

LEARNING OBJECTIVES

•Participants will be able to implement suggested Best Practices for negotiating higher education SBIR/STTR sub-awards

LEARNING OBJECTIVES

Questions

Discussion GroupFriday, March 15 - 11:00 -12:00

Referenceswww.sbir.govOfficial Site for SBIR/STTR

http://exportcontrol.org/links/1355c.aspxInformation regarding Export Control

http://www.grants.gov/Official Site for Federal Grant Submissions

PresentersFaith Goenner, University of MinnesotaEmail: faith@umn.edu

Laura Olevitch, University of MinnesotaEmail: olevitch@umn.edu

Courtney Swaney, Univ. of Texas – AustinEmail: c_frazier@austin.utexas.edu