The Small Business Innovation Research (SBIR) and Small Business by B6vDtfC

VIEWS: 0 PAGES: 23

									                   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.




2     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




3     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



4     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




5     Small Business Administration
                                                                SBIR Program
    SBIR/STTR Program Basic Structure

      Phase I
          Feasibility Study, Proof of Concept
          $150k Max, for 6 Months
                                                          Only Phase I winners
      Phase II                                           may apply for a Phase
          Full Research and Development Effort           II. Phase I and II
                                                          awardees can move
          $1 Mill Max, for 12 Months                     to Phase III.
      Phase III
          Commercialization Stage
          Seek External Funding [No Use of SBIR funds]
             • Non-SBIR federal funding, OR
             • Private sources


6    Small Business Administration
                                                            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




7     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


8     Small Business Administration
                                                                         SBIR Program
    Standard SBIR/STTR Phase I Process

                           Solicitation
                             Topics        Agencies describe R&D topics in
                                            solicitations at fixed time periods
                                            over the year – not rolling.
        About 4-9 Months




                            Proposal
                                           Small Business Concerns prepare
                                            short (usually 25-page) proposals.
                           Submission
                                           Unsolicited proposals are not
                                            accepted.
                                           Agencies evaluate based on
                           Evaluation       technical merit, firm’s
                                            qualifications, and commercial
                                            potential / societal benefit
                                           Agencies make Phase I awards.
                           Ph I award

9    Small Business Administration
                                                                    SBIR Program
     Standard SBIR/STTR Phase I Process

          Agency               SBIR            STTR      In total, the program gives
     DOD                               $1.1B     $140M   roughly $2.5B/year to
                                                         small business to perform
     HHS                              $640M       $75M
                                                         research and development.
     NASA                             $120M       $15M
     DOE                              $140M       $15M   DoD and NASA – together –
                                                         are over 50% of the STTR
     NSF                              $100M       $20M   Program
     DHS                               $20M
     USDA                              $15M
     DOC                               $10M
     ED                                $10M
     EPA                                $5M
     DOT                                $5M
     TOTAL                            $2.15B     $250M

10    Small Business Administration
                                                            SBIR Program
     Differences Between a Contract and Grant Award


     Contracting Agencies             Granting Agencies
      Agency establishes plans,       Investigator initiates approach
       protocols, requirements
                                       Less-specified topics
      Highly focused topics
                                       Assistance mechanism
      Procurement mechanism for
                                       More flexibility
       DOD and NASA
      More fiscal requirements
       DOD, DHS, HHS/NIH, NASA, ED,
                                         HHS/NIH, NSF, ED, USDA, DOE
              EPA, DOT, DOC



11    Small Business Administration
                                                                                     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



12     Small Business Administration
                                                                     SBIR Program
     SBIR/STTR Programs at the Department of Defense
      SBIR + STTR Programs

               Navy                   Air Force             Army



                Missile Defense       Office of Secretary   Defense Advanced
                Agency                of Defense            Research Projects
                                                            Agency


      SBIR Program Only

               Joint S&T Office for   Special Operations    Defense Threat
               Chemical and           Command               Reduction Agency
               Biological Defense

               Defense Logistics      Defense               National Geospatial
               Agency                 Microelectronics      Intelligence Agency
                                      Activity




13    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 1996-
                                       2005 solicitations. Commercialization data taken from January
                                       2010 DoD SBIR Commercialization Database.



14     Small Business Administration
                                                                                      SBIR Program
     How Can Small Business Participate?

      DoD Solicitation Schedule

      SBIR 11.3      Open     August 29, 2011
                     Close    September 28, 2011 at
                              6am EST                       View information and solicitations via:
                                                            http://www.acq.osd.mil/osbp/sbir/index.htm
      SBIR 12.1      Open     December 12, 2011
                     Close    January 11, 2012 at 6am       Submit proposals via :
                              EST                           http://www.dodsbir.net/submission

                                                            Also, a NASA STTR solicitation is currently
      STTR 11.B      Open     August 29, 2011
                                                            running thru September 8, 2011
                     Close    September28, 2011 at
                              6am EST

      STTR 12.A      Open     February 27, 2012
                     Close    March 28, 2012 at 6am
                              EST

      STTR 11.B – 37 Topics
       Participating components: Air Force (30), MDA (2), OSD (5)


15     Small Business Administration
                                                                                           SBIR Program
     Awardees by Number of Employees




      Based on FY09 Annual Report; Firm Data taken from Company Commercialization Report

16    Small Business Administration
                                                     SBIR Program
     Awardees by Prior Experience

                      Phase I                  Phase II




       Based on FY09 SBIR Annual Report Data

17    Small Business Administration
                                                                                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


18     Small Business Administration
     Total Commercialization Growth:                                                                            SBIR Program
     Investments Producing Momentum
      Total Reported DoD SBIR & STTR
       Commercialization ($Billions)




           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.


19           Small Business Administration
                                                                        SBIR Program
     Alabama in the SBIR/STTR Program
                 Number of
      State                       Total Awarded Money
                  Awards
     CA                 11848      $    3,588,276,238
     MA                  7882      $    2,404,121,015
     VA                  3704      $    1,027,036,265
                                                        1/3 of Total
     MD                  2938      $      900,315,502
                                                        Award Dollars
     NY                  2811      $      890,940,135
     CO                  2957      $      842,460,516
     TX                  2687      $      765,841,846
     OH                  2471      $      730,709,893
     PA                  2339      $      721,931,129
     NJ                  1568      $      470,693,928
     WA                  1363      $      440,172,237               2/3 of Total
     FL                  1538      $      420,620,463               Award Dollars
     MI                  1385      $      419,705,857
     AL                  1256      $      359,636,137
     NC                  1035      $      350,489,897

20     Small Business Administration
                                                                                 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




21     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




22     Small Business Administration
                         http://sbir.gov



23   Small Business Administration

								
To top