1. Jeff Bond AMT Grant and Proposals Director

2. Research Opportunities Reserved for Small Business Reserved for Small Business SMALL BUSINESS INNOVATION RESEARCH (SBIR) PROGRAM SMALL BUSINESS TECHNOLOGY TRANSFER (STTR) PROGRAM

3. SBIR / STTR: Learn the Basics General Features and Agency Nuances

4. Program Descriptions Small Business Innovation Research (SBIR) Set-aside program for small business concerns to engage in federal R&D -- with potential for commercialization. Small Business Technology Transfer (STTR) Set-aside program to facilitate cooperative R&D between small business concerns and U.S. research institutions -- with potential for commercialization.

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

6. SBIR/STTR: 3-Phase Program PHASE II  Full Research/R&D  $750K and 2-year Award (SBIR/STTR) PHASE III  Commercialization Stage  Use of non-SBIR/STTR Funds PHASE I  Feasibility Study  $100K and 6-month (SBIR)  or 12-month (STTR) Award

7. Organized for- profit U.S. business At least 51% U.S.- owned by individuals and independently operated Small Business located in the U.S. 500 or fewer employees P.I.’s primary employment with small business during project SBIR PROGRAM ELIGIBILITY CHECKPOINTS ELIGIBILITY CHECKPOINTS

8. Applicant is a Small Business Concern Formal Cooperative R&D Effort  Minimum 40% by small business  Minimum 30% by U.S. research institution U.S. Research Institution  College or University; other non-profit research organization; Federal R&D center Intellectual Property Agreement  Allocation of Rights in IP and Rights to Carry out Follow-on R&D and Commercialization STTR PROGRAM ELIGIBILITY CHECKPOINTS

9. SBIR / STTR ELIGIBILITY OWNERSHIP AND CONTROL Contact the SBA Size Specialists Request an eligibility determination www.sba.gov/size/indexcontacts.html got questions?

10. Some 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. 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

11. CRITICAL DIFFERENCES SBIR AND STTR PROGRAMS CRITICAL DIFFERENCES Research Partner -- ??? SBIR: Permits research institution partners [Outsource ~ 33% Phase I and 50% Phase II R&D] STTR: Requires research institution partners (e.g., universities) [40% small business concerns (for-profit) and 30% U.S. research institution (non-profit)] AWARD ALWAYS MADE TO SMALL BUSINESS

12. CRITICAL DIFFERENCES SBIR AND STTR PROGRAMS CRITICAL DIFFERENCES DISCUSS WITH AGENCIES Principal 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]

13. DODSBIR/STTR HHSSBIR/STTR NASA SBIR/STTR DOE SBIR/STTR NSF SBIR/STTR DHSSBIR USDASBIR DOCSBIR EDSBIR EPASBIR DOTSBIR SBIR / STTR Participating Agencies TOTAL > $2.1 + B FY 2006 New AMT MEMBER

14. They are all just a little bit different...

15. Standard Phase I Process  Agencies describe R&D topics in solicitations. Evaluation Ph I award Solicitation Topics Proposal Submission  Small Business Concerns prepare short (usually 25-page) proposals. Unsolicited proposals not accepted.  Agencies evaluate based on technical merit, firm’s qualifications, and commercial potential / societal benefit.  Agencies make Phase I awards. About 6-9 months

16. Agency SBIR Differences Number and Timing of Solicitations R&D Topic Areas -- (Broad vs. Focused) Dollar Amount of Award (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 (Contract or Grant)

17. (in thousands $) DoD NASA DoTEPADoEDHSDoCNSF USDA DoEdNIH Award Type (Contract/Grant) CCCCGCCGGG/C Award Amount (Phase I) 70- 100 Options 70- 100 70100 7510080100 Award Amount (Phase II) 750 Options 600720225750 300500325750 Review Process IIIIEIIEEEE Research Topics SSSSSSSBBB/S Gap Funding YNO Y YY Y Communication RRRRRRROOOO Agencies Differ Always Check with the Agencies C-ContractG-Grant I-InternalE-External S-SpecificB-Broad R-RestrictedO-Open

18. Agency SBIR Differences Granting Agencies Ü Investigator initiates approach Ü Less-specified topics Ü Assistance mechanism Ü More flexibility DoD HHS/NIH NASADoED DHSEPA DoT DoC Contracting Agencies Ü Agency establishes plans, protocols, requirements Ü Highly focused topics Ü Procurement mechanism for DOD and NASA Ü More fiscal requirements HHS/NIHNSF DoED USDA DoED USDA DOE DOE

19. Who Participates in SBIR? Firms are typically small and new to the program. About 1/3 are first-time Phase I awardees. Small hi-tech firms from across the country. *FY01 Phase I DOD Award Winners Firm Size Distribution*

20. Advice from Awardees Do not Do not judge an agency’s interests by name its “name ” agency’s mission & needs Understand agency’s mission & needs agency Program Get to know your agency ProgramManager follow Read solicitation and followinstructions

21. Advice from Awardees solely Don’t depend solely on SBIR funding alone Don’t go it alone - use support systems outcome Have an outcome get & review Win or lose - get & review evaluations PERSISTENT Be PERSISTENT

22. So What? Guide/engage members to participate Provide review and editing services Sponsor Dinner networking meetings Find resources for proposal development Pursue Congressionally directed funding How will AMT assist you in getting funding?