1. SBIR / STTR SBIR/STTR Overview Charles Cleland National Program Leader USDA New Orleans November 7, 2011

2. SBIR / STTR SBIR/STTR Program Mission Supporting scientific excellence and technological innovation through the investment of Federal research funds in critical American priorities to build a strong national economy one small business at a time

3. SBIR / STTR SBIR/STTR Program Phase I Feasibility Study SBIR (6-month and $150K); STTR (12 months and $100K) Phase II Full Research Study for Two Years and $1.5M for SBIR and $750K for STTR Phase III Commercialization Stage Use of non-SBIR/STTR Funds

4. SBIR / STTR SBIR Program Goals Stimulate technological innovation Use small business to meet Federal R&D needs Foster and encourage participation by minorities and disadvantaged persons in technological innovation Increase private sector commercialization innovations derived from Federal R&D

5. SBIR / STTR SBIR Program All Federal Agencies with more than $100M in extramural R&D must set aside 2.5% for an SBIR program Only US-owned, for-profit small business firms with fewer than 500 employees that are at least 51% owned by individuals and independently operated are eligible PI’s primary employment must be with small business at time of award Over $2B available government-wide Awards are not a loan – no repayment is required In most cases intellectual property rights are retained by the small business

6. SBIR / STTR STTR Program Goals Stimulate and foster scientific and technological innovation through cooperative research and development carried out between small business firm and research institutions Foster technology transfer between small business firm and research institutions

7. SBIR / STTR STTR Program Application must be submitted by for-profit small business Formal cooperative R&D effort with minimum of 40% to small business and minimum of 30% to research institution U.S. research institution can be a college or university, some other non-profit research organization, or a Federal R&D center PI can be employed by small business or research institution Intellectual property agreement is required that deals with allocation of rights in IP and rights to carry out follow-on R&D and commercialization

8. SBIR / STTR SBIR/STTR Participating Agencies DODSBIR/STTR HHS (NIH)SBIR/STTR NASASBIR/STTR DOESBIR/STTR NSFSBIR/STTR DHSSBIR USDASBIR DOC (NOAA & NIST)SBIR DOTSBIR EPASBIR EDSBIR

9. SBIR / STTR Standard Phase I Application Process Agencies release solicitations and describe research topics Small business firms prepare short proposals. Unsolicited proposals are not accepted Agencies evaluate proposals based on technical merit, firm’s qualifications, and commercial potential/societal benefit Agencies make Phase I awards

10. SBIR / STTR Agency SBIR Differences You cannot tell an agencies interests by its name Number and timing of solicitations R&D topic areas Dollar amount of awards (Phase I and II) Proposal preparation instructions Financial details (e.g. indirect cost rates, gap funding) Receipt dates Proposal review process Proposal success rates Type of award (grant or contract)

11. SBIR / STTR Agency SBIR Differences Contracting Agencies Agency establishes plans, protocols, requirements Highly focused topics Procurement mechanism for DOD and NASA DOD, NASA, HHS(NIH), DHS, DOT, DOC, EPA, ED Granting Agencies Investigator-initiated approach Less specific topics Assistance mechanism More flexibility HHS(NIH), NSF, DOE, USDA, ED

12. SBIR / STTR Important Facts to Remember Eligibility is determined at time of award No appendices allowed in Phase I The PI is not required to have a Ph.D or M.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

13. SBIR / STTR Advice from Awardees Don’t judge an agency’s interests by its name Understand agency’s missions and needs Get to know your agency Program Manager Read solicitation carefully and follow instructions Don’t depend solely on SBIR funding Have an outcome – know where you are going Win or lose – get and review evaluations Don’t go it alone – use support systems Be PERSISTENT

14. SBIR / STTR Thank You