A&D Conf Breakout Session #2

Breakout Session #2
Overview of the
SBIR and STTR Programs
by
Sharon C. Ballard, President/CEO
EnableVentures, Inc.
Phoenix Convention Center
January 26, 2012

EnableVentures, Inc.
You envision . . . we enable.™

“You envision . . . we enable.”™
© Copyright 2003-2012. EnableVentures, Inc. 1

Innovation, US economy and small business

S Small businesses create most new jobs
B Business ideas validated, business practices
imposed
I High risk/high payoff innovations, globally
successful new products
R Research and development by our nation’s
brain trust


Agencies in SBIR Program
• Department of Agriculture (USDA)
• Department of Commerce (DOC)
• Department of Defense (DoD)
• Department of Education (DoED)
• Department of Energy (DOE)
• Department of Health and Human Services (HHS)
• Department of Transportation (DOT)
• Environmental Protection Agency (EPA)
• National Aeronautics & Space Admin (NASA)
• National Science Foundation (NSF)
• Department of Homeland Security


Small business requirements

• For-profit U.S. business
• 51% U.S.-owned and independently
operated
– NIH, DoE, NSF (25% of budget exceptions)
– All other agencies (15% of budget exception)
• Small business located in the U.S.
• 500 or fewer employees
• P.I.’s primary employment with small
business during project (SBIR)


SBIR Program phases
• Phase I
 Feasibility study (funded proposal effort)
 $150K, 6 months

• Phase II
 Research, Research and Development
 2-Years, $1M

• Phase III
 Commercialization stage
 Funding from non-SBIR Program funds


What is the Small Business
Technology Transfer (STTR) Program?

• Team small businesses with research
institutions
• Similar to SBIR Program
• Requires partnership with research institution
– Universities, federal labs, private research institutes
• Small Business: > 40% of Work
• Research Institute: > 30% of Work
• Only 5 Agencies: DoD, DoE, HHS, NASA, NSF
• .3% (2011) to .45% (2016)


STTR Program phases
• Phase I
 Feasibility study (funded proposal effort)
 $150K, 12 months

• Phase II
 Research, Research and Development
 2-Years, $1M

• Phase III
 Commercialization stage
 Funding from non-SBIR Program funds


SBIR vs. STTR Program comparison
SBIR STTR
Set-Aside Budget (2009) 2.5% 0.3%
$2.315B $131M
Award Guidelines
Phase I $150K, 6 mos $100K, 12 mos
Phase II $1M, 18-24 mos $1M, 24 mos
Subcontracts
Phase I <33% <60%
Phase II <50% <60%
Academic/Lab Not Required >30%
Component
Business Employment >50% n/a
of PI


Agency SBIR/STTR budgets - 2009

DOD 1.36B
NIH 672M
NSF 110M
NASA 127M
DOE 155M
All Others: HSA, EPA, DOC, DOT, 75.6M
USDA, DOEd


Agency differences

Contracts
Grants NIH-
DOT Grants
NIH-Contracts
DOC USDA
DHS
NASA EPA
DoED

NSF
DOD
DOE

Narrow Topics Broad Topics


Schedule of SBIR/STTR solicitations
• Each agency = own schedule
• Schedules change each year
• Different schedules for SBIR and STTR
• Some = one solicitation; others =
multiple solicitations
• Some have multiple submission dates
with one annual solicitation
• Check each agency’s website


Topics & solicitations
• Topics selected by agency
– You can contribute a topic idea!
• Proposals must be responsive to a topic
or they will be screened out (no
technical review)
• Topic lists published by each agency in its
solicitation (Request for Proposals)
• Most agencies publish one solicitation
per year; DoD and DHHS/NIH have
multiple solicitations


Review processes by agency: who’s the audience?

DoD Internal
NASA Internal
DOT Internal
EPA Internal
DOE External
DHS Internal
DOC Internal
NSF External
USDA External
DoED Internal
NIH External

http://grants.nih.gov/grants/funding/sbir.htm, Overview of the SBIR/STTR Program

Discussions during open solicitations?
DoD Restricted
NASA Restricted
DOT Restricted
EPA Restricted
DOE Restricted
DHS Restricted
DOC Restricted
NSF Open
USDA Open
DoED Open
NIH Open


SBIR success ratios

• Phase I
 Between 1 to 5 and 1 to 15
• Phase II
 Between 1 to 2
and 1 to 3


Who are winning SBIR/STTR awards?
(DoD data)

2008 2009
New Awardee 22% 20%
Prior Phase I only 7% 7%
1-4 Phase II awards 35% 32%
5+ Phase II awards 36% 41%


SBIR/STTR firm size distribution
(DoD data)

Number of Employees 2008 2009
1 to 9 39% 40%
10-24 20% 29%
25-49 14% 13%
50-99 10% 10%
100-249 7% 6%
250-499 3% 2%


SBIR/STTR evaluation criteria

• Technical merit
• Team qualifications
• Value to agency
• Potential for commercial
• Cost / cost realism


Electronic proposal submissions
• Nearly all agencies now require
electronic submissions
• Allow enough time -- weeks, not days
• Prepare for multiple site submission
processes
• NIH: 20% of electronic submissions
performed by service providers


The government and IP rights
• Worldwide “March-In” rights
• Non-exclusive license
• Royalty-free license
• World-wide license (government not
in business to commercialize)


IP Considerations for SBIR/STTR ventures

•Rights in inventions
•Rights in technical data and computer software
developed or provided under government
contracts
•Protecting rights in information in proposals
•Protecting company-confidential information or
trade secrets under FOIA
•Use of nondisclosure agreements
•Consider an IP Disclosure Plan
•Protecting IP rights in subcontracts and teaming
agreements
•Retain the best counsel who know IP, licensing
and FAR, DFAR

Key financial management &
accounting requirements
• Financial capability to perform
• Adequate accounting system:
– Time charging
– Chart of Accounts
– Budgets
• Job cost accounting:
– Segregation of Project/Contract costs
• Reporting (internal and external practices)
• Billing, reporting, shipping and other forms
• Retain professionals who know these areas!
– They are not so easy to find!


Program Tradeoffs -
Sharon’s Personal Experiences
Advantages Disadvantages
• Payments on Time • Slow Procurement Cycles
• Contractual, Administrative
• Pays for High Risk
Burdens, Negotiations
Developments – Invests in
 Delivery
Research
 Security
• Desires Small Businesses to  Billing
Succeed – Resources

• Validates technologies • Shared Ownership of
Technology
• No Equity
• No Financial Privacy
• Well-Defined Market


SBIR information sources
http://www.zyn.com/sbir/
http://www.sbir.gov
http://www.inknowvation.com/


“Get Ready” for the SBIR Program
It’s free!
NEWS – Major Update Coming.

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A&D Conf Breakout Session #2