1. Small Business Research Funding Opportunities Getting the Most out of the Pre-Award Process March 15, 2013

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

3. 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

4. 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

5. Participants will be able to implement suggested Best Practices for negotiating higher education SBIR/STTR sub-awards LEARNING OBJECTIVES

6. Small Business Innovation Development Act of 1982 (P.L. 97-219) Through FY2009, over 112,500 awards totaling more than $26.9 billion.

7. The SBIR/STTR Process

8. THREE PHASE PROGRAM Phase IProject feasibility Phase IIProject Development to Prototype Phase IIICommercialization

9. No more than 500 Employees (including Affiliates) SBIR – Research Institution optional STTR – Research Institution mandatory

11. 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

13. Proposal Requirements Before You Start University is always the subcontractor Who is the PI for the company? Where is the work being done? Potential conflict of interest?

14. Proposal Requirements Guidelines – Make sure to read each solicitation Subcontractor status to Industry

15. Proposal Requirements Statement of Work Budget – Budgetary caps – Specific budget restrictions (ex. NSF doesn’t allow tuition)

16. Proposal Requirements Cost Share – Does your institution allow voluntary committed cost share?

17. Proposal Requirements Intellectual Property Allocation of Rights Agreement – STTR Submissions only Phase II – Export Controls

18. Highlights 2012 Amendment Available Funding – More funding available – STTR award sizes same as SBIR – Technical assistance increased to $5,000

19. Highlights 2012 Amendment Eligibility – Cross funding SBIR/STTR – Allow 2 nd Phase II to complete work – Eff. 10/1/13, required to meet newly developed agency benchmarks – Include venture capital companies

20. 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

21. Challenges Lack of Information – PI – Small Business Lack of Small Business support Conflict of Interest – Financial interest – Facilities Funding restrictions to the institution Facilities

22. 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)

23. 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

24. 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

25. Participants will be able to implement suggested Best Practices for negotiating higher education SBIR/STTR sub-awards LEARNING OBJECTIVES

26. Questions

27. Discussion Group Friday, March 15 - 11:00 -12:00

28. References www.sbir.gov Official Site for SBIR/STTR http://exportcontrol.org/links/1355c.aspx Information regarding Export Control http://www.grants.gov/ Official Site for Federal Grant Submissions

29. Presenters Faith Goenner, University of Minnesota Email: faith@umn.edufaith@umn.edu Laura Olevitch, University of Minnesota Email: olevitch@umn.edu Courtney Swaney, Univ. of Texas – Austin Email: c_frazier@austin.utexas.edu