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Oregon sbir/sttr resource toolkit
A Guide to sbir/sttr Federal Funding
o r e g o neconomic & community development department
775 Summer St., NE, Suite 200Salem, OR 973011280
oregon business. come for a week. stay forever.
SBIR/STTR in Oregon Small businesses in Oregon have received, since 1983, 738 SBIR/STTR awards. These awards total approximately $218 million and have been received by 191 firms.
According to research conducted by InKnowvation.com, the typical Oregon SBIR/STTR award recipient is employed by a small business with between 14 employees. Oregon companies have leveraged SBIR/STTR funds: 8 Oregon firms have gone public and 12 have received venture capital funding.
Looking at Oregons small business R&D experience shows a higher success rate from 19832004 with
NIH ($106 million), DOD ($46 million), NASA ($28 million), DOE ($21 million) and NSF ($12 million). Among the smaller agencies, Oregon small businesses have found success with the USDA and the EPA.
The Oregon OpportunityOregon averages 63 SBIR awards and 3 STTR awards per year. Oregon is more successful at attracting Phase I awards. The proportion of Phase I award companies that receive a Phase II is relatively small. The state has not had as much success in the STTR program.
The Oregon SBIR/STTR ProgramOregon Economic and Community Development Department (OECDD) will direct the states efforts to capitalize on the SBIR/STTR programs. Working with small business service providers around the state, OECDD will help qualified small businesses compete
for federal R&D dollars.
Services include assistance in determining if SBIR/STTR programs are right for your business, tips for getting started, an online SBIR/STTR Resource Toolkit, training opportunities, conferences and events and helping your business network.
Program OverviewThe Small Business Innovation Research (SBIR) program strives to stimulate technological innovation, increase and strengthen the role
of small business in meeting the R&D needs of the federal government and increase commercial application of government sponsored R&D efforts.
The Small Business Technology Transfer Research (STTR) program seeks to also stimulate and foster technological innovation through cooperative research and development activities between small businesses and research institutions.
Every federal agency with R&D exceeding $100 million or with budgets for outside/extramural research, must, by law, establish a SBIR/STTR program. Approximately 2.5 percent of each agencies extramural R&D budget must be set aside for the SBIR/STTR program.
Topics range across a broad spectrum of areas, institutes and needs. It is best to understand the mission and needs of the agency, if there is interest in competing for an award.
Federal agencies participating in the SBIR & STTR (denoted by an *) programs are either granting or contracting agencies. Figures in parentheses illustrate FY04 funding levels ~$2B:
Department of Agriculture ($18M) http://www.reeusda.gov/sbir
Department of Commerce ($7M) (NOAA) http://www.nmfs.noaa.gov/trade/newgrant.htm
Department of Defense* ($1.1B) http://www.acq.osd.mil/sadbu/sbir/
Air Force http://www.afrl.af.mil/sbir/index.htm
Department of Education ($9M) http://www.ed.gov/offices/OERI/SBIR/
Department of Energy* ($114M) http://sbir.er.doe.gov/sbir
Department of Health and Human Services* ($641M) http://www.nih.gov/grants/funding/sbir.htm
http://www.reeusda.gov/sbir http://www.nmfs.noaa.gov/trade/newgrant.htmhttp://www.nist.gov/sbir http://www.acq.osd.mil/sadbu/sbir/ http://www.afrl.af.mil/sbir/index.htmhttp://www.aro.army.mil/arowash/rthttp://www.winbmdo.com/ http://www.darpa.mil/sbirhttp://www.onr.navy.mil/sbirhttp://soal.socom.mil/index.cfm?page=sadbu&sb=sbirhttp://www.ed.gov/offices/OERI/SBIR/http://sbir.er.doe.gov/sbirhttp://www.nih.gov/grants/funding/sbir.htm
Department of Homeland Security ($33M) http://www.hsarpasbir.com/
Department of Transportation ($4M) http://www.volpe.dot.gov/sbir/
Environmental Protective Agency ($8M) http://es.epa.gov/ncer/sbir/
National Aeronautics & Space Administration* ($121 M) http://sbir.nasa.gov/SBIR/front1.html
National Science Foundation* ($105M) http://www.eng.nsf.gov/sbir/
Contracting agencies: Agency establishes plans, protocols, requirements Highly focused/narrow topics Procurement mechanism for DOD & NASA More fiscal requirements Typically Internal Review Agencies: DOD, NASA, EPA, DOC, DOT, ED, HHS/NIH
Granting Agencies: Investigator initiates research approach Topics are not as specific Assistance mechanism Flexible Typically External Review Agencies: HHS/NIH, ED, DOE, USDA, NSF
SBIR Awards are given in three phases. Phase I awards, essentially support 6 months of work to determine the feasibility (technically, scientifically, commercially) of ideas. Awards tend to range between $60,000 and $100,000. Successful completion of a Phase I awards, provides an opportunity for the company to compete for a Phase II award. In some cases, Phase II is an invitation only process and must be based on the funded Phase I project. Awards in Phase II support work over a 24month period and provide $500,000 to $750,000, with the intent of developing a prototype. In Phase III, outside funds are obtained from non-SBIR sources for further development of the prototype, with the intent of creating a commercially viable product to sell to the military or the private sector market.
SBIR Eligibility Organized for profit US business At least 51 percent owned by individuals; independently operated Located in the US
500 or fewer employees (including affiliates) Principal investigator (PI) primarily employed with
small business during project Allows research institution partners (outsource 33%
in Phase I, 50% in Phase II)
STTR Awards are given in two phases.Phase I award amounts can be up to $100,000 for approximately 1 year. The duration for Phase II awards is 2 years and can be up to $500,000.
STTR Eligibility Must meet the same criteria as SBIR Program (listed
above) Small business applicant Cooperative R&D agreement required
Minimum of 40 percent by small business Minimum of 30 percent by US research
institutions (college, university, federal R&D center, non-profit research organization)
Intellectual property agreementpatent rights go to small firm; government has limited rights
For questions on eligibility, ownership & control contact an SBA size specialist:
Oregon sbir/sttr Resource Toolkit Oregon Entrepreneurs Forum (OEF) http://www.oef.org/ Portland Development Commission http://www.pdc.us/ Portland Business Alliance http://www.portlandalliance.com/ Northwest Environmental Business Council (NEBC)
http://www.nebc.org/ Northwest Food Processors Association
http://www.nwfpa.org/nwfpa Oregon Small Business Development Centers (SBDC)
http://www.bizcenter.org/ Software Association of Oregon (SAO)
http://www.sao.org/ Oregon Bio Association
http://www.oregon-bioscience.com/ Oregon State University (OSU)
http://www.oregonstate.edu/ University of Oregon (UO)
http://www.uoregon.edu/ Oregon Health & Science University (OHSU)
Additional resources regarding federal R&D opportunities, trends, past solicitations and information can be found at the following sites: NASA STI Bulletin http://www.sti.nasa.gov/ DOD SBIR/STTR Interactive Topic Information System (SITIS)
http://www.dodsbir.net/sitis DOD Defense Technical Information Center
http://www.dtic.mil/dtic.sbir Air Force Research Lab Tech Connect
http://www.afrl.af.mil/techconn/index.html Air Force Research Lab
http://www.afrl.af.mil/index2.html US Naval Research Lab http://www.nrl.navy.mil/ Wright Research Site http://www.wrs.afrl.af.mil/ DOE Energy Efficiency & Renewable Energy Inventions &
Innovation Program http://www.eere.energy.gov/inventions Federal Lab Consortium http://www.federallabs.org/
Agency solicitations contain: A description of the program Deadline Information on funding levels, instructions for applying, method
of selection & review criteria Research topics and scope of work
There are a variety of organizations that provide information, resources and reference material via the Internet. These pages include information on conferences and training opportunities; links to federal agencies; resources; news relating to SBIR/STTR programs; search services of previous solicitation topics, award winners, federal lab R&D resources; venture capital organizations; proposal preparation and evaluation; budgeting and commercialization.
Oregon SBIR/STTR program does not endorse or favor one program over another. It is up to the individual researcher, entrepreneur or business owner to conduct due