Transcript Small Business Innovation Research (SBIR) Small Business Technology Transfer (STTR) Dennis Gaddis Ohio Dept of Development Technology Division 614-466-3887 800-848-1300 [email protected].

Small Business Innovation
Research (SBIR)
Small Business Technology
Transfer (STTR)
Dennis Gaddis
Ohio Dept of Development
Technology Division
614-466-3887 800-848-1300
[email protected]
SBIR Program
Small Business Innovation Research
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Federal Program established in 1982
– Stimulate technological innovation
– Use small businesses to meet federal R&D
needs
– Increase private sector commercialization
of innovations derived from federal R&D
– Encourage participation in technological
innovation by disadvantaged, minority and
woman-owned businesses
SBIR Program
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2.5% of agency’s extramural R&D budget if
over $100M
FY 2003 funding over $1.6 Billion
Eleven federal agencies participate
Reauthorized through 2008
SBIR Participating Agencies
$2B in funding per year
Department of Agriculture - $17.74M
 Department of Commerce - $7M
 Department of Defense - $1B
 Department of Education - $8.7M
 Department of Energy - $95M
 Department of Health & Human Services - $574.2M
 Department of Homeland Security - $19.6M
 Department of Transportation - $3.2M
 Environmental Protection Agency - $8M
 National Aeronautics & Space Administration - $107.5M
 National Science Foundation - $94M
*2005 – Dept of HUD & perhaps Interior & Justice
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How to Get the $$
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the Person with the PROBLEM…
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with the MONEY to solve the problem…
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and the MEANS with which to give YOU the
money to solve the problem.
Contract
Or
Grant
How SBIR/STTR Work
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Agencies have mission needs and R&D $$
Agencies issue solicitations
Small businesses submit 25 page proposals
by solicitation closing dates
Agencies review proposals, select winning
proposals and negotiate agreements within 6
months of the closing date
Small business awardees commence R&D
efforts
SBIR - Three Phase Process
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Phase I - Feasibility
– Generally 6 month effort
– Up to $100K in SBIR funding
– No more than 33% subcontracted
Phase II - Full R&D/Prototype
– Generally 2 year effort
– Up to $750K in SBIR funding
– No more than 50% subcontracted
Phase III - Commercialization
– No SBIR funding
SBIR Eligibility Requirements
At time of award, a business:
 Must be organized for profit
 Must have less than 500 employees including
affiliates & subsidiaries
 Must be located in the U.S.
 Must be at least 51% owned by U.S. citizens
or permanent residents
 Must be primary employer of Principal
Investigator (>50%)
What SBIR is not
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Not a state funded program
Not a loan program
Not a quick program (4+ years)
Not necessarily a business start-up program,
although many businesses are begun with an
SBIR award
Benefits of SBIR/STTR to
Companies
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Seed money to fund high-risk projects
Not a loan - no repayment required
Company retains intellectual property
Recognition, validation and visibility
Leveraging tool to attract venture
capital/other$$$
SBC’s increasingly recognized as source of
technology innovation
SBIR Timing
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If you have an idea but not a business plan,
you may be too early.
If you already have a product developed, you
may be too late.
If your technology matches a federal need, if
you have the resources necessary to perform
high risk research, and if an SBIR project
meets your business plan, your timing might
be right.
STTR Program
Small Business Technology Transfer Program
 Cooperative effort between small business
and nonprofit research institution
 40% work performed by small business-30%
work performed by non profit institution
 Employment requirements for Principal
Investigator depend on agency - DoD, HHS,
NASA-either. DoE, NSF- must work for SBC
 Reauthorized through 2009
STTR Program
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Phase I - Feasibility
– 1 year effort
– Up to $100K in STTR funding
– No more than 30% subcontracted
Phase II - Full R&D/Prototype
– 2 year effort
– Up to $750K in STTR funding
Phase III - Commercialization
– No STTR funding
STTR Program
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Five participating agencies
– Dept of Defense (separate solicitations)
– Dept of Energy (combined solicitation)
– Dept of Health and Human Services (combined
solicitation)
– NASA (combined solicitation)
– National Science Foundation (combined
solicitation)
Evaluation Criteria
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Scientific and Technical Merit
Qualifications of PI/other key personnel
Soundness of Work Plan
Commercial Potential
Types of Awards
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Grants: Agency identifies broad research
areas. Investigators/Researchers propose
specific topics.
– USDA, Education, Energy, Health & Human
Services, National Science Foundation
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Contracts: Agency specifies research topics.
– Commerce, Defense, Education, Health & Human
Services, Transportation, EPA and NASA
Proprietary Information
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Proposal Abstract
– Abstracts are released by government
– No proprietary information is allowed in the
abstract
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Proposal
– Proprietary information must be clearly marked in
the proposal according to the solicitation
instructions.
– Proprietary information is treated in confidence to
the extent permitted by law
Intellectual Property Protection
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Agencies will not disclose Proprietary Information,
Technical Data, or information on inventions for 4
years after completion of SBIR project
– Department of Defense will not disclose information for 5
years
– Department of Transportation protects invention information
for 2 years
– NASA protects invention/patent information for “a
reasonable time”
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Helpful information!! Iandiorio and Teska,
www.iandioro.com “I & T Publications” “New Ideas,
Methods and Products Series” Volume XIII
Federal And State Technology
Partnership (FAST)
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Ohio SBIR and SBDCs form “Team SBIR”
Focus on Commercialization assistance
Coordinate Ohio resources
Establish Mentoring Network
Build Knowledge Base
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.
Suggestions for Companies
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Get to know agency customers
Understand agency missions and needs
Read solicitation and follow instructions
Do not depend solely on SBIR funding
Don’t go it alone (Use Ohio’s FAST Team!)
Have an outcome
Be persistent
Federal Focus
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Commercialization
Outside investment
Cost Reductions
Where Ohio Stands in SBIR Awards
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In 2002, Ohio ranked 6th in SBIR awards 220 SBIR awards totaling $63.5M
152 Phase I, 68 Phase II awards
Rankings : CA, MA, VA, MD, CO, OH, NY, PA,
TX, NJ, WA, AZ, AL, FL, MN, MI, CT, NC, NM,
NH, OR, IL, UT, WI, GA, TN, IN, DC, NV, MO,
NT, SC, RI, IA, KS, OK, KY, ID, HI, LA, MS,
WY, DE, ME, VT, SD, AR, NE, ND, WV, PR, AK
Services offered by Ohio’s SBIR
Outreach Program
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One to one consultations targeted to the company’s
needs
Regional workshops and conferences
www.odod.state.oh.us/tech/sbir
Proposal writing strategies and guidelines
Administrative proposal review
Post award support
Referrals to SBDC network, economic development
Research Commercialization Grant Program
How to contact Ohio’s SBIR
Program
On the World Wide Web:
http://www.odod.state.oh.us/tech/sbir
Phone: 800-848-1300 ext.63887
614-466-3887
Fax:
614-644-5758
Email: [email protected]
Incentives for Tech Companies
www.connectohio.com/bus_resources/
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Technology Investment Tax Credit (TITC)
– Company has < $2.5M in Gross Revenue or Net Book Value
– Ohio equity investors receive 25% tax credit
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Ohio Job Creation Tax Credit (JCTC)
– Create 25 jobs @ 150% of minimum or 10 jobs @ 400%
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Net Worth Tax Exemption for High-Tech Start-up
Companies
– Exempts <3 year old Tech company from Corporate
Franchise Tax www.state.oh.us/tax/Business.html
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Research and Development Sales Tax Exemption
– Unit Exemption Certificate
www.state.oh.us/tax/business_forms_sales.html
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Ohio Investment in Training Program
– Provides financial assistance and technical resources
for customized training involving employees of new
and expanding Ohio businesses.
Helpful Information
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Small Business Innovation Research (SBIR) and Small
Business Technology Transfer (STTR)
– www.odod.state.oh.us/tech/sbir
– SBIR Gateway: www.zyn.com/sbir
– SBIR World: www.sbirworld.com
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Grants.gov www.grants.gov
– Electronic Storefront for Federal Grants
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State Science and Technology Institute
– SSTI Weekly Digest – Subscribe www.ssti.org
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SBIR Alert – Pacific Northwest National Laboratory
– http://lyris.pnl.gov/cgi-bin/?enter=sbir-alert
Department of Defense
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Defense Technical Information Center (DTIC)
http://www.dtic.mil/dtic/dticorg/regional/mw_regional.html
“The Rosetta Stone for dealing with the Defense Department”
Debie Francis
Midwestern Regional Office at Dayton
ATTN: DTIC-BPD
Building 29, Area B, Room 103
2245 Monahan Way
Wright-Patterson AFB, OH 45433-7022
Phone: (937) 255-7905 x 249
FAX: (937) 656-7002
Email: [email protected]
Office hours: Monday-Friday 7:30 a.m. to 4:30 p.m. Eastern
Sources of Assistance
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Small Business Development Center Program
www.ohiosbdc.org
– Small Business Development Centers (SBDC)
– Manufacturing, Defense and Technology Small
Business Development Centers (MSBDC)
– International Trade Assistance Centers (ITAC)
– Ohio Procurement Technical Assistance Centers
(PTAC)