SBIR/STTR Programs
Introduction
John Ujvari, MBA
SBIR Program Specialist
North Carolina SBTDC
Email: sbir@sbtdc.org
Phone: 919-962-8297
Web: www.sbtdc.org/technology/sbirsttr.asp
Brief History
 Small Business Innovation Development Act of
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1982
Federal Agencies with R&D Budgets in Excess
of $100 Million
Set Aside % of Extramural Research Budget
Currently 2.5% = $1.8 Billion
50,000 Awards Made Since Inception
Over $12 Billion Awarded Since Inception
SBIR in a nutshell
 R&D funds set aside for high-risk/high-payoff
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research conducted by small (<500), for-profit
firms….
….that are likely to lead to a
commercializable product
Three phases
Funding Breakdown
Phase I
 Evaluate viability and feasibility of an idea
 Up to $100K for 6 month period*
Phase II
 Expand results
 Further pursue development
 Up to $750K for up to 24 months*
Phase III
 Commercialization
 No SBIR funds
Federal Agencies
Participating in SBIR (11)
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Department of Agriculture
Department of Commerce
Department of Defense
Department of Education
Department of Energy
Department of Health and Human Services
Department of Homeland Security
Department of Transportation
Environmental Protection Agency
NASA
National Science Foundation
SBIR Eligibility
Checkpoints
 Organized for-profit U.S. business
 At least 51% U.S. owned and independently
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operated
Business is located in U.S.
P.I.’s primary employment is with small
business during the project
500 or fewer employees
STTR in a nutshell
 Three phase program that parallels SBIR
 Aimed at moving tech from academia through
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small business into marketplace
R&D must be a joint effort between small
business (not <40%) and non-profit research
institution (not <30%)
Program and funds are managed by the small
business, but P.I. may be from non-profit
STTR Cont’d
 Largest five SBIR agencies participate
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 DOD
 DOE
 HHS
 NASA
 NSF
Phase 1 – Up to $100K (12 months)
Phase 2 – Up to $750K
Phase 3 - Commercialization
SBIR/STTR Critical
Differences
Research Partner
 SBIR: Allows for, but does not require, research
institution partners
 STTR: Requires partners from research
institutions (e.g., universities)
SBIR/STTR Critical
Differences
Principal Investigator
 SBIR: PI’s primary (>50%) employment must
be with small business concern
 STTR: Primary employment not stipulated [PI
can be from research institution or from small
business concern]
SBIR vs. STTR
Unique Features
Set-Aside of Agency Budget
Award Guidelines Phase I
Phase II
Subcontracts
Phase I
Phase II
Academic Component
SBIR
2.5%
$100K
6 mo
STTR
.30 %
$100K
12 mo
$750K
2 yrs
< 33%
< 50%
$750K
2 yrs
< 60%
< 60%
Not Required
> 30%
NC’s SBIR/STTR Rankings
 NC’s lead SBIR outreach agency since 1999
 High potential for continued ranking increases
 Lag time issue
NORTH CAROLINA’S
SBIR/STTR NATIONAL RANKING
YEAR
Overall
SBIR
Increase Over
Previous Year
Overall
STTR
2002
2001
2000
18th
21st
22nd
68% increase
24% increase
4th
22nd
28th
Major Advantages of
Programs
 Significant amount of funds reserved for
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small, innovative firms
Funds high risk projects
Firm retains IP – no dilution
Provides valuable credibility
Offers a simplified route to obtaining federal
R&D funds
Important Facts
to Remember
 Eligibility determined at time of award
 PI is not required to have a Ph.D
 PI is required to have expertise to oversee
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project scientifically and technically
Applications may be submitted to different
agencies for similar work
Awards may not be accepted from different
agencies for the same project
Solicitations
 Search all agencies for a fit
 Some solicitations very general, some very
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specific
Do not force fit
 Will not help you win
 Not good for the direction of your company
 Do not send in an unsolicited idea
Solicitation Release Sample
Calendar
Sample Solicitations
 DoD
 NIH
Where to Look for
Information
 Each agency has a website
 Solicitation lists
 Applications
 Excellent portals
 www.zyn.com
 www.sbirworld.com
Submission
 Done electronically for most agencies now
 Proposals are not read on a rolling-basis
Review Timeline
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Write Proposal: January - April 1
Submit Proposal: April 1
Agency Review: April - August
Receive Confirmation: August - October
Receive Funding if Successful: October December
Generally a 9 month process
Note this is a hypothetical sample – all
agencies are different
How the SBTDC
can Assist you
 Help determine if your company is eligible
 Answer general questions during proposal
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process
Put you in contact with key individuals,
universities and agencies
Review proposals from a business
perspective and make recommendations
Information Resources
Brochure
 Clear overview of all services provided on
one sheet
Information Resources
SBIR Newsletter
 Content:
 Calendar of events
 Success stories
 Agency updates/announcements
 Solicitation release and proposal deadlines
 Proposal tips
Information Resource
SBIR Website
 www.sbtdc.org/technology/sbirsttr.asp
 Content:
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Program handbook
Proposal deadline calendar
Newsletter archives
Proposal Tips
Sample Proposals
Proposal tips
Success Stories
Agency Presentations
Counseling
 Strategize
 Answer questions during proposal process
 Review proposals
Team Support
 SBIR is the rallying point for our Tech Team
 6 members statewide
Questions ?
John Ujvari, MBA
SBIR Program Specialist
North Carolina SBTDC
Phone: 919-962-8297
Email: sbir@sbtdc.org