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Small Business Administration
Office of Investment and Innovation
The Small Business Innovation Research
(SBIR) and Small Business Technology
Transfer (STTR) Program
Program Overview
SBIR Program
Mission of the SBIR/STTR Program
 To promote technological innovation and economic growth
through the investment of Federal research funds in small US
businesses.
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Small Business Administration
SBIR Program
Goals of the SBIR/STTR Program
 Stimulate technological innovation by small US businesses
 Strengthen the role of small businesses in meeting Federal
research and development needs
 Increase private-sector commercialization of innovations
derived from Federal research and development funding
 Foster and encourage participation in innovation and
entrepreneurship by socially and economically
disadvantaged persons
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Small Business Administration
SBIR Program
SBIR/STTR Program History
 The SBIR program started as a pilot program at the NSF in the
late-1970’s
 Three legislative acts have been passed that govern its
existence and execution
 The Small Business Innovation Development Act of 1982
 The Small Business Research and Development Enhancement Act of 1992
 The Small Business Innovation Research Program Reauthorization Act of 2000
 Currently, the SBIR program is operating on a continuing
resolution
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Small Business Administration
SBIR Program
SBIR/STTR Program Descriptions
 Small Business Innovation Research (SBIR)
 A set-aside program for small business to engage in Federal R&D – with
potential for commercialization
 2.5% of the extramural research budget for all agencies with a budget greater
than $100MM per year
 Small Business Technology Transfer (STTR)
 A set-aside program to facilitate cooperative R&D between small business
concerns and U.S. research institutions – with potential for commercialization.
 0.3% of the extramural research budget for all agencies with a budget greater
than $1B per year
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Small Business Administration
SBIR Program
SBIR/STTR Program Basic Structure
 Phase I
 Feasibility Study, Proof of Concept
 $150k Max, for 6 Months
 Phase II
 Full Research and Development Effort
 $1 Mill Max, for 12 Months
 Phase III
 Commercialization Stage
 Seek External Funding [No Use of SBIR funds]
• Non-SBIR federal funding, OR
• Private sources
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Small Business Administration
Only Phase I winners
may apply for a Phase
II. Phase I and II
awardees can move
to Phase III.
SBIR Program
SBIR Program Eligibility Criteria
Organized as a for-profit business based in the U.S.
500 employees or less, including affiliates
PI’s primary employment must be with the small business
At least 51% U.S.- owned by individuals and independently
operated; OR, at least 51% owned and controlled by another
(one) for-profit business concern that is at least 51% owned
and controlled by individuals
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Small Business Administration
SBIR Program
STTR Program Eligibility Criteria
Organized as for-profit small business based in the U.S.
Formal cooperative research and development 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
Federally Funded Research and Development Center
Intellectual Property Agreement
Allocation of rights in intellectual property and rights to carry out
Follow-on R&D and commercialization effort
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Small Business Administration
SBIR Program
Standard SBIR/STTR Phase I Process
About 4-9 Months
Solicitation
Topics
Proposal
Submission
Evaluation
 Agencies describe R&D topics in
solicitations at fixed time periods
over the year – not rolling.
 Small Business Concerns prepare
short (usually 25-page) proposals.
 Unsolicited proposals are not
accepted.
 Agencies evaluate based on
technical merit, firm’s
qualifications, and commercial
potential / societal benefit
 Agencies make Phase I awards.
Ph I award
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Small Business Administration
SBIR Program
Standard SBIR/STTR Phase I Process
Agency
SBIR
DOD
$1.1B
$140M
HHS
$640M
$75M
NASA
$120M
$15M
DOE
$140M
$15M
NSF
$100M
$20M
DHS
$20M
USDA
$15M
DOC
$10M
ED
$10M
EPA
$5M
DOT
$5M
TOTAL
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STTR
Small Business Administration
$2.15B
$250M
In total, the program gives
roughly $2.5B/year to
small business to perform
research and development.
DoD and NASA – together –
are over 50% of the STTR
Program
SBIR Program
Differences Between a Contract and Grant Award
Contracting Agencies
Granting Agencies
 Agency establishes plans,
protocols, requirements
 Investigator initiates approach
 Highly focused topics
 Procurement mechanism for
DOD and NASA
 Less-specified topics
 Assistance mechanism
 More flexibility
 More fiscal requirements
DOD, DHS, HHS/NIH, NASA, ED,
EPA, DOT, DOC
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Small Business Administration
HHS/NIH, NSF, ED, USDA, DOE
SBIR Program
Program Differences Between Agencies
 Solicitation Logistics
 Number of Solicitations – 2/3 per year with different windows of timing
 Topic Areas – broad to focused
 Proposal Logistics
 Proposal Preparation Instructions – no unified application process
 Proposal Review Process – external peer review or internal review
 Proposal Success Rates – vary slightly between agencies
 Award Logistics
 Type of Award – contract and grant
 Financial Details – indirect cost rates and
 Dollar Amount of Award – slight differences
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Small Business Administration
SBIR Program
SBIR/STTR Programs at the Department of Defense
SBIR + STTR Programs
Navy
Missile Defense
Agency
Air Force
Army
Office of Secretary
of Defense
Defense Advanced
Research Projects
Agency
Joint S&T Office for
Chemical and
Biological Defense
Special Operations
Command
Defense Threat
Reduction Agency
Defense Logistics
Agency
Defense
Microelectronics
Activity
National Geospatial
Intelligence Agency
SBIR Program Only
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Small Business Administration
SBIR Program
DoD SBIR/STTR Historical “Success” Rates
Historically…
 16% of DoD SBIR/STTR Phase I
proposals are awarded
 50% of Phase I awards receive
a Phase II.
 55% of Phase II awards
commercialize.
DoD SBIR/STTR is
highly competitive.
Based on all Phase I and Phase II contracts derived from 19962005 solicitations. Commercialization data taken from January
2010 DoD SBIR Commercialization Database.
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Small Business Administration
SBIR Program
How Can Small Business Participate?
DoD Solicitation Schedule
SBIR 11.3
Open
Close
August 29, 2011
September 28, 2011 at
6am EST
Open
Close
December 12, 2011
January 11, 2012 at 6am
EST
STTR 11.B
Open
Close
August 29, 2011
September28, 2011 at
6am EST
STTR 12.A
Open
Close
February 27, 2012
March 28, 2012 at 6am
EST
SBIR 12.1
View information and solicitations via:
http://www.acq.osd.mil/osbp/sbir/index.htm
Submit proposals via :
http://www.dodsbir.net/submission
Also, a NASA STTR solicitation is currently
running thru September 8, 2011
STTR 11.B – 37 Topics
Participating components: Air Force (30), MDA (2), OSD (5)
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Small Business Administration
SBIR Program
Awardees by Number of Employees
Based on FY09 Annual Report; Firm Data taken from Company Commercialization Report
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Small Business Administration
SBIR Program
Awardees by Prior Experience
Phase I
Based on FY09 SBIR Annual Report Data
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Small Business Administration
Phase II
SBIR Program
DoD Transition Initiatives
 Fast Track
 Expedited Phase II approval based on customer provided co-funds
 Phase II Enhancement*
 Additional SBIR funding beyond Phase II for RDT&E
 Discretionary Technical Assistance**
 Commercialization Pilot Program** (CPP)
 Assistance and/or additional SBIR or non-SBIR funding to enhance ongoing projects
with expanded RDT&E to accelerate transition and commercialization
 Beyond Phase II Conference
* Not currently utilized by Army STTR
** Not currently authorized for STTR
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Small Business Administration
Total Reported DoD SBIR & STTR
Commercialization ($Billions)
Total Commercialization Growth:
Investments Producing Momentum
Source: DoD SBIR Commercialization Database, captured in October every year 2000-2009. Data
includes only DoD phase II Awards reported at time of capture. DoD began systematically collecting
this data in 2000.
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Small Business Administration
SBIR Program
SBIR Program
Alabama in the SBIR/STTR Program
State
CA
MA
VA
MD
NY
CO
TX
OH
PA
NJ
WA
FL
MI
AL
NC
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Number of
Awards
11848
7882
3704
2938
2811
2957
2687
2471
2339
1568
1363
1538
1385
1256
1035
Total Awarded Money
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
Small Business Administration
3,588,276,238
2,404,121,015
1,027,036,265
900,315,502
890,940,135
842,460,516
765,841,846
730,709,893
721,931,129
470,693,928
440,172,237
420,620,463
419,705,857
359,636,137
350,489,897
1/3 of Total
Award Dollars
2/3 of Total
Award Dollars
SBIR Program
More Alabama in the SBIR/STTR Program
 Alabama ranks in 14th in funding from the SBIR program
 But it competes in bottom third of states
 And was not selected as a FAST Awardee
 2011 Tibbetts Awards Winner:
 Radiance Technologies – Winner of 50+ awards since founding in 1999
 Now, over 400 employees in multiple offices
 More fun facts about Alabama:
 92 STTR Awards over the last 5 Years
 Many with the University of Alabama - Huntsville
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Small Business Administration
SBIR Program
Answers to Frequently Asked Questions
 Eligibility is determined at time of award – not application
 No appendices are allowed in Phase I
 The PI is not required to have a Ph.D. or M.D. – but is required to
have expertise to oversee project scientifically and technically
 Applications may be submitted to different agencies for similar
work – but awards may not be accepted for duplicative projects
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Small Business Administration
http://sbir.gov
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Small Business Administration