2. SBIR/STTRBasics General Features and Agency Nuances Agency Nuances CONTRACT? GRANT? Joe Graben, Director USM Business & Innovation Assistance Center June 2013 www.usm.edu/biac/

3. SMALL BUSINESS INNOVATION RESEARCH (SBIR) PROGRAM & SMALL BUSINESS TECHNOLOGY TRANSFER (STTR) PROGRAM SBIR/STTR Stand For:

4. SBIR: Set-aside program for small business concerns to engage in federal R&D -- with potential for commercialization. STTR: Set-aside program to facilitate cooperative R&D between small business concerns and U.S. research institutions -- with potential for commercialization. Program Descriptions

5. PHASE I Ü Feasibility study Ü $100-250k and 6 months (SBIR) or 12 months (STTR) PHASE II Ü Full R/R&D Ü 2-Year Award and $1m (SBIR) or $750k (STTR) PHASE III Ü Commercialization Stage Ü Use of non-SBIR Funds 3 Phase Programs

6. Organized for- profit U.S. business At least 51% U.S.-owned and independently operated Small Business located in the U.S. P.I.’s primary employment with small business during project 500 or fewer employees Eligibility Checkpoints

7. 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 Facts to Remember

8. Research Partner Research Partner SBIR: Permits (encourages) research institution partners [ 33% Phase I and 50% Phase II R&D] STTR: Requires research institution partners (e.g., universities) [ 40% small business and 30% research institution] AWARD ALWAYS MADE TO SMALL BUSINESS SBIR-STTR Differences

9. 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) Critical Differences

10. SBIR STTR Set-Aside of Agency Budget 2.5% 0.15% Award Guidelines Phase I $150k/6mos $250k/12 mos. Phase II $1m/2 yrs $750k/ 2 yrs Business Employment of PI >50% n/a SubcontractsPhase I < 33.3% < 60% Phase II < 50% < 60% Research Partner Not Required > 30% Unique Features

11. DODSBIR/STTR HHSSBIR/STTR NASA SBIR/STTR DOE SBIR/STTR NSF SBIR/STTR DHS SBIR/STTR USDASBIR DOCSBIR EPASBIR DOTSBIR EDSBIR TOTAL ~ $2.4 B FY 2008 Participating Agencies

12. R&D Topic Areas Dollar Amount of Award (Phase I and II) Receipt Dates / Number and Timing of Solicitations Proposal Review Process Proposal Success Rates Type of Award (Contract or Grant) Many other details: Profit or fee allowed Phase I to Phase II gap funding Payment types and schedule Agency Differences

13. Granting Agencies Granting Agencies Ü Investigator initiates approach Ü Less-specified topics Ü Assistance mechanism Ü More flexibility DOD HHS/NIH* NASADOC EPADOT DHS ED* Contracting Agencies Contracting Agencies Ü Agency establishes plans, protocols, requirements Ü Highly focused topics Ü Procurement mechanism for DOD and NASA Ü More fiscal requirements HHS/NIH*DOE NSF USDA ED* * * Awards Grants and Contracts Agency Differences

14. Don’t Don’t 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 Words of Advice

15. solely Don’t depend solely on SBIR funding alone Don’t go it alone - use support systems outcome Have an outcome get and review Win or lose - get and review evaluations PERSISTENT Be PERSISTENT Words of Advice

16. Contact To learn more about how the MS-FAST Program can help your company compete in the federal SBIR/STTR programs contact: Joe Graben, MBA Director – USM/BIAC Phone: (228) 688-2280 E-mail: Joseph.Graben@usm.eduJoseph.Graben@usm.edu "This U.S. Small Business Administration (SBA) Cooperative Agreement is partially funded by the SBA. SBA's funding is not an endorsement of any products, opinions, or services. All SBA funded programs are extended to the public on a nondiscriminatory basis."