1. 430 West Seventh, Suite 110
Anchorage, Alaska 99501
Phone: (907) 786-7295
www.trendalaska.org
Mark.Malagodi@aksbdc.org
Introduction to Government Grants for
Small Business Innovation
Mark Malagodi, Director, TREND
The Technology Research and Development
Center of Alaska
Supporting and promoting the innovation and commercialization of new
technology in Alaska
2. 430 West Seventh, Suite 110
Anchorage, Alaska 99501
Phone: (907) 786-7295
www.trendalaska.org
Mark.Malagodi@aksbdc.org
What We Will Cover Today...
1. Overview of TREND
2. Overview of SBIR/STTR Program
3. Is the SBIR/STTR Program right for you?
4. A Primer on the Application Process
5. Partnering is the biggest key to success
6. The Phase 0 Grant Program
7. Description of Alaskan Awardees
3. 430 West Seventh, Suite 110
Anchorage, Alaska 99501
Phone: (907) 786-7295
www.trendalaska.org
Mark.Malagodi@aksbdc.org
TREND is a specialty center within the
University of Alaska Small Business
Development Center and a partner
program of PTAC
4. TREND and the SBIR Program
TREND was created in 2002 to support
Alaskan small businesses in the innovation and
commercialization of new technology.
TREND quickly began to specialize in assisting
companies with the SBIR and STTR programs.
TREND was awarded a FAST (Federal and
State Partnership) grant in October 2014.
Focus of grant is to increase the number of
Alaskan SBIR awardees.
5. What is SBIR and STTR?
SBIR Small Business Innovation Research
STTR Small Business Technology Transfer
Basically, the programs represent a process
through which federal agencies solicit small
businesses to research and develop
technology that is of interest or necessity to
their agency and the nation.
6. •
Small Business Innovation Research (SBIR)
–
$2.4 Billion (FY12) federal set-aside (since 1982)
for U.S. Small Businesses. 2.7% of R&D budget for
each agency
•
Small Business Technology Transfer (STTR)
–
$300 Million (FY12) federal set-aside (since 1992)
for U.S. Small Businesses working with not-for-
profit Research Institutions (e.g. universities).
0.35% of R&D budget for agencies >$1B
Government Funding
7. Participating Agencies
• Department of Agriculture
• Department of Commerce
• Department of Defense (STTR)
• Department of Education
• Department of Energy (STTR)
• Department of Health & Human Services (STTR)
• Department of Homeland Security
• Department of Transportation
• Environmental Protection Agency
• National Aeronautics & Space Administration (STTR)
• National Science Foundation (STTR)
8. Research Areas
Some of the general research areas commonly
funded include:
• Communications
• Electronics
• Life Sciences
• Materials Development
• Robotics
• Security
• Energy
• Health Sciences
• Environmental
9. SBIR companies have produced over:
20X # patents as universities
5X # patents as large companies
SBIR-backed firms responsible for ~25% of the
nation’s most crucial innovations over last decade
Largest source of early stage financing
SBIR Impact
11. Phase I
Phase I is a feasibility study to evaluate the
scientific and technical merit of an idea.
Generally awards are for periods of up to
six months (12 months STTR) in amounts
up to $150,000. Average 1 of 6 applicants
win Phase 1.
2-3 goals should be set. Meeting these
goals is critical to showing feasibility and
moving to Phase II.
12. Phase II
Phase II is to expand on the results of
Phase I and further pursue development
through prototyping and pilot testing.
Generally awards are for periods of up to
two years in amounts up to $1,500,000.
40 % of Phase II applicants are successful.
Only Phase 1 awardees can apply.
13. Phase III
Phase III is for the commercialization of the
results of Phase II and usually involves private
sector or non-SBIR Federal funding.
15. SBIR Soliciations
Step 1 – Choose the agency that best
fits your talents.
Step 2 – Find a topic match, Grant or
Contract
Granting Agency – NSF
www.nsf.gov/eng/iip/sbir/
Contract Agency – DOD
www.acq.osd.mil/osbp/sbir/
16. So You're REALLY Going to DO THIS?
If you find a topic for which you are
qualified to apply you should begin the
proposal process at least three months
before deadline.
Talk to the Agency Contact listed in the
Solicitation. They encourage it and you
will get great feedback on interest level
Deadline dates are Final – No Excuses!
17. Required Registrations
Registration Process - Takes Time!
DUNS Number
www.dnb.com/get-a-duns-number.html
Register with SAM
https://www.sam.gov/index.html/#1
Register with Grants.gov if necessary
Register with the Granting Agency
e.g. NSF – Fastlane
18. Preparing the Proposal
A good proposal will take at least 40 –
60 hours to prepare
Read the Entire Solicitation! – Boring I
know, but necessary
Follow the Instructions to the Letter
Contact TREND for assistance in
writing the proposal
19. Preparing the Proposal, cont.
Write the proposal thinking through the
eyes of the reviewers
Give a concise description of your
technology but focus on the tasks you
will complete during the grant period
Stick to the defined page limits
Include a commercialization plan.
General in Phase I, Specific in Phase II
20. Preparing the Proposal, cont.
Gather letters of support from clients
who will use your technology after
development
Hiring a grant writer is usually not a
good choice.
Have TREND and/or people you trust
review the proposal.
Review, Rewrite repeat ad nauseam
21. SBIR Timeline
1) Phase I application begin preparation 3
months before proposal is due.
2) 1 month initial agency review
3) 3 months scientific review panel -
receive score which will give good indicator
4) 3 more months until awards are finalized
5) Phase II application made after
completion of Phase I
6) 3 - 6 months to fund Phase II
22. Difference between SBIR & STTR
SBIR permits research institution partners. Small
business performs 67% in Phase I and 50% in Phase II.
STTR requires you team with research institution
partners. Small business performs 40% and research
institution 30%.
SBIR stipulates primary (>50%) employment of the
Principal Investigator must be with small business
concern.
STTR does not stipulate PI employment. The PI can be
from the research institution and/or from small business.
Institutional partner is subcontractor.
23. Howdy Partner
Partnering with University or Lab is
single biggest indicator of success
Could be UAA faculty but UAF and
Outside Universities are also potential
partners
Federal Laboratories - Need to initiate
CRADA (Cooperative Research and
Development Agreement and waiver
from SBA
24. Example of Federal Lab Partnership
Pacific Northwest National Laboratory
www.pnnl.gov/edo/assistance/sbir_how_to.pdf
Howdy Partner, cont.
25. EPSCoR Phase 0 Grant
Experimental Program to Simulate
Competitive Research
• Provides grants up to $5,000 to assist
Alaskan small businesses in SBIR/STTR
Phase I proposal preparation. $20,000
Bridge grant for Phase 1 Awardees
• Effort to increase the number of SBIR
proposals submitted from Alaskan
businesses.
27. SciFish excels at
developing applications
that require the collection
of information from
ocean-based platforms.
28. We design mechanical systems and
provide consulting engineering for
Civil Aviation Aircraft modification.
Our areas of expertise are based on
core competencies of Mechanical
and Materials engineering in
context with manufacturing.
29. Mind Matters Research
Lyn Freeman, is recruiting 45 women, or
men, who have recently finished treatment
for breast cancer.
During the next year, she will offer three
eight-week sessions that teach participants
how to use imagery, art, even storytelling to
improve their mental and physical health.
Phase II will be to invite participants in from
rural Alaska via telemedicine.
Photo by EVAN R. STEINHAUSER / Anchorage Daily News
30. 430 West Seventh, Suite 110
Anchorage, Alaska 99501
Phone: (907) 786-7295
www.trendalaska.org
Mark.Malagodi@aksbdc.org
Search All Awards from All States:
https://www.sbir.gov/sbirsearch/technology
31. 430 West Seventh, Suite 110
Anchorage, Alaska 99501
Phone: (907) 786-7295
www.trendalaska.org
Mark.Malagodi@aksbdc.org
Thank you for your time and attention
