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SOME BASICS OF SBIRsDEL MAR ELECTONICS SHOW MAY 7, 2009

ROB COGAN (858) 926-5800 rcogan@continuumlaw.com

Federal SBIR/STTR (including NIH Grants) Program Overview

SBIR/STTR Programs are the largest source of early stage R&D funding for small

businesses. All federal agencies with an extramural research and development budget of more than $100 million (SBIR) or $1 billion (STTR) must participate in these programs.In addition to receiving capital, participating companies also benefit by retaining datarights for four or five years, ownership of equipment purchased under the grants,increased credibility in the marketplace, and the potential of sole-sourced follow-onawards.

Under Census Bureau regulations, a small business has 500 or fewer employees. ThePrincipal Investigator (PI) must be employed at least half-time by the proposing firm.During Phase I, a minimum of two-thirds of the effort must be performed by theproposing firm; during Phase II the minimum is one-half.

Types of GrantPhase I Proof-of-Principle$100,000 over 6-8 monthsPhase II Prototype $750,000 over 2 yearsPhase III Commercialization

RightsUsual FAR patent rights clauses apply. The Contractor gets significant lead time beforethe government makes the technology available to others.

Some URLsNAVY - www.navysbir.comHOMELAND SECURITY - www.sbir.dhs.govDoD - www.acq.osd.mil/osbp/sbir/ NASA - sbir.gsfc.nasa.gov/SBIR/SBIR.htmlDARPA - www.darpa.mil/sbir/ ENERGY - http://www.science.doe.gov/sbir/ NSF - http://www.nsf.gov/eng/iip/sbir/

http://www.nsf.gov/eng/iip/sbir/http://www.nsf.gov/eng/iip/sbir/http://www.nsf.gov/eng/iip/sbir/http://www.nsf.gov/eng/iip/sbir/

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NSF Phase I Proposal Checklist

Start Early (It is recommended to submit your proposal 1-2 days prior to thedeadline date).

Review the Frequently Asked Questions

Review Program Specifications(http://www.nsf.gov/eng/iip/sbir/sbirspecs.jsp )

Read and Review Solicitation Requirements

Project Summary contains all the required parts (one paragraph for technicalmerits and one paragraph for broader impacts/commercial potential and does notexceed 1 page.

Project Description contains all the required parts and does not exceed 15 pages.

References Cited Module: Provide a reasonable (1-2 pages) of current papers,patents, etc. that can show that you have done a thorough job at researching the stateof the technology.

Biographical Sketches Module: Provide 1-2 page bios on all key contributors to theproject; this includes consultants and subawardees.

Budget Module (includes budget justification): Provide line by line documentation onbudgeted items. Upload consultant statement(s) into the budget justification; ensuring

that the statement clearly states number of days and the maximum consultant rate(not to exceed $600 per day).

Current and Pending Support Module: Make sure you list all the current projects andpotential projects (pending proposals for funding) for all key members of the project.

Facilities, Equipment and Other Resources Module (see web site for info)

Supplementary Documents ModuleLetter(s) of support for technology

Company Commercialization History Uploaded (if applicable)Letter(s) regarding human subjects Institutional Review Board orIACUC approval of animal use. Uploaded (if applicable)

Prepare Documents (it is highly recommended to convert all files to PDF and thenupload the PDF files to FastLane).

Submitted by 5:00 P.M. (submitters time)

http://www.nsf.gov/eng/iip/sbir/sbirspecs.jsphttp://www.nsf.gov/eng/iip/sbir/sbirspecs.jsphttp://www.nsf.gov/eng/iip/sbir/sbirspecs.jsphttp://www.nsf.gov/eng/iip/sbir/sbirspecs.jsp