Introduction to the SBIR and STTR Programs November 30, 2004

Industry Contracts Unit An Introduction to SBIR/STTR What is the SBIR Program? The Small Business Innovation Research Program, also known as the SBIR Program, was created by Congress under the Small Business Innovation Development Act of This program is a three- phase award program which provides small businesses with opportunities to pursue innovative ideas that meet the specific research and development needs of the Federal Government.

Industry Contracts Unit An Introduction to SBIR/STTR What is the STTR Program? The Small Business Technology Transfer Program, also known as the STTR Program was created in the Small Business Research and Development Enhancement Act of The STTR program is also a three-phase program for small businesses to obtain Federal research and development funding. However, under the STTR the objectives are accomplished in partnership with nonprofit research institutions to move ideas from the laboratory to the marketplace, to foster high-tech economic development and to address the technological needs of the Federal Government.

Industry Contracts Unit An Introduction to SBIR/STTR Participating Agencies DOD(SBIR/STTR) DHS(SBIR) ED(SBIR) EPA (SBIR) HHS (SBIR/STTR) DOE (SBIR/STTR) USDA(SBIR) NSF (SBIR/STTR) DOC (SBIR) DOT(SBIR) NASA(SBIR/STTR)

Industry Contracts Unit An Introduction to SBIR/STTR Agency Differences Number of solicitations per year Deadlines Areas of Interest/Topics Grant v. Contract Award Proposal preparation and Submission requirements Review process Success Rate

Industry Contracts Unit An Introduction to SBIR/STTR Basic Review Criteria Intellectual Merit Project Feasible? Sound Research Approach? Qualified Team? High Likelihood of Success? Broader Impact Commercial and/or Social Benefits? Marketable Product and/or Process? End Results lead to Commercialization?

Industry Contracts Unit An Introduction to SBIR/STTR The 3 Phases of SBIR/STTR Phase I - Feasibility study ~ $100K (total for prime and sub) 6 month period of performance (SBIR) 12 month period of performance (STTR) Phase II – Full Research/Research and Development ~ $750K (total for prime and sub) 24 month period of performance (SBIR/STTR) Phase III – Commercialization Use of non-SBIR funds No limit on dollar value No restrictions on period of performance

Industry Contracts Unit An Introduction to SBIR/STTR Eligibility SBIR/STTR Prime Awardee is a small business Organized for-profit US business 51% or more U.S. – owned and independently operated PI’s primary employment is with the small business 500 or fewer employees STTR – (additional requirements) Formal cooperative R&D effort (IPAA) Significant involvement of a US research institution Principal Investigator of overall effort can be employee of company or research institution

Industry Contracts Unit An Introduction to SBIR/STTR USC Process Preproposal Stage Proposal Submittal and Review Stage −Proposal (Statement of Work and Budget) −Proposal and Award Processing Form (aka SPAR form) −Intra-University Collaborations −Publications Acknowledgement −IP Waiver −Conflict of Interest −USC Procurement Exemption Certification Form −Intellectual Property Allocation Agreement

Industry Contracts Unit An Introduction to SBIR/STTR USC Process Negotiation Stage Flow down of Federal Rules and Regulations Intellectual Property Ownership (IPAA) Publishing Rights Export Compliance Security Requirements (Classified) Award Stage Post-Award Stage

Industry Contracts Unit An Introduction to SBIR/STTR Benefits to University Additional source of research funding Opportunities for student involvement on industry efforts Leveraging technologies and the intellectual capacity of both the University and the prime awardee Increased visibility Economic Development Opportunities

Industry Contracts Unit An Introduction to SBIR/STTR Related Links e-center.doe.gov sbir.nasa.gov/

Industry Contracts Unit An Introduction to SBIR/STTR Contact Information Brandi K. Boniface, CRA Sr. Industry Contracts Manager Industry Contracts Unit 901 Sumter Street, 5 th Floor Columbia, SC (fax)