The NIH SBIR/STTR Program & Universities

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Cecily Sutton
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1 The NIH SBIR/STTR Program & Universities SBIR/STTR & Commercialization of University Innovations February 5, 2014 Matthew Portnoy, Ph.D. SBIR/STTR Program Coordinator, NIH 1

2 Topics Size of NIH/HHS program Set-asides & spending STTR nuances Research Institutions and Universities in STTR 2

3 SBIR/STTR Budgets by Agency, FY2012 NASA DOE NSF All Others Agencies with SBIR and STTR Programs Department of Defense (DOD) $ 1.1 B NIH Department of Health and Human Services: s of Health (NIH) National Aeronautics and Space Administration (NASA) Department of Energy (DOE) National Science Foundation (NSF) $717.0 M $161.8 M $188.3 M $ M DOD Agencies with SBIR Programs U.S. Department of Agriculture (USDA) Department of Homeland Security (DHS) Department of Education (ED) $19.3 M $12.6 M $13.4 M ~ $2.4B in FY12 across all agencies Department of Transportation (DOT) Department of Commerce: National Oceanic and Atmospheric Administration (NOAA) and of Standards and Technology (NIST) Environmental Protection Agency (EPA) $8.6 M $4.7 M $4.8 M

4 HHS/NIH Program Funding 2013 Budget SBIR STTR NIH $617M $80M CDC FDA ACF Phase I Phase II $8.4M $1.4M $233K $150K* 6 months* $1M* 2 years* N/A $150K* 1 year* $1M* 2 years*

5 s of Health Office of Research Infrastructure Programs Office of the Director on Aging on Alcohol Abuse and Alcoholism of Allergy and Infectious Diseases of Arthritis and Musculoskeletal and Skin Diseases National Cancer Institute of Child Health and Human Development on Deafness and Other Communication Disorders of Dental and Craniofacial Research of Diabetes and Digestive and Kidney Diseases on Drug Abuse of Environmental Health Sciences National Eye Institute of General Medical Sciences National Heart, Lung, and Blood Institute National Human Genome Research Institute of Mental Health of Neurological Disorders and Stroke of Nursing Research on Minority Health and Health Disparities National Center for Complementary and Alternative Medicine Fogarty International Center National Center for Advancing Translational Sciences National Library of Medicine of Biomedical Imaging and Bioengineering NIH Clinical Center Center for Information Technology Center for Scientific Review No funding authority

6 NIH has Dozens of SBIR/STTR Solicitations 58 FOAs

7 NIH SBIR/STTR Budget Allocations FY2013 NCATS NIEHS NIDA NEI NIDCD NHGRI NIAAA NIAMS NIBIB NIDCR NIMHD ORIP NCCAM NINR NLM NCI 2.7% SBIR $617M 0.35% STTR $80M Total FY2013 $697M NIA NIAID NICHD NIMH NINDS NIDDK NIGMS NHLBI

8 HHS SBIR Expenditures Source: 8

9 HHS STTR Expenditures Source: 9

10 Success Rate of SBIR/STTR 2012 and 2013 by Phase 39.9% STTR 39.4% 32.8% 34.4% 15.9% 15.7% 15.6% 13.2% 28.6% 20.3% 18.7% 26.4% Fast Track Phase I Phase II Fast Track Phase I Phase II 10

11 NIH-wide SBIR/STTR Success Rates Fiscal Year SBIR/STTR Phase Number of Applications Reviewed Number of Applications Awarded Success Rate Total Funding 2012 SBIR Fast Track % $13,985, SBIR Phase 1 4, % $154,237, SBIR Phase % $153,650, STTR Fast Track % $2,840, STTR Phase % $23,857, STTR Phase % $18,240, FY TOTAL 5,847 1, % $366,812, SBIR Fast Track % $13,981, SBIR Phase I 3, % $114,040, SBIR Phase II % $136,348, STTR Fast Track % $2,542, STTR Phase I % $24,138, STTR Phase II % $10,985, FY TOTAL 5, % $302,036,519

12 STTR Eligibility Criteria Applicant is Small Business Concern Formal Cooperative R&D Effort Minimum 40% by small business Minimum 30% by U.S. research institution U.S. Research Institution College or university; other non-profit research organization; Federal R&D center Intellectual Property Agreement Allocation of rights in IP and rights to carry out follow-on R&D and commercialization

13 SBIR and STTR Critical Differences Research Partner SBIR: Permits partnering 33% Phase I and 50% Phase II Principal Investigator SBIR: Primary (>50%) employment must be with small business concern STTR: Requires partnering with research institution. Small business (40%) and U.S. research institution (30%) Award is always made to Small Business Concern STTR: PI may be employed by either research institution or small business concern

14 Research Institutions and STTR STTR Budget $M Phase I % $ to SBC Phase I %$ to Res. Inst. Phase II % $ to SBC Phase II %$ to Res. Inst. FY08 FY09 FY10 FY11 FY

15 Universities and STTR Universities receive the large majority of STTR Research Institution Funds FY08 FY09 FY10 FY11 FY12 Univ. Phase I FFRDC Phase I Other Phase I Univ. Phase II FFRDC Phase II Other Phase II Number of organizations receiving STTR funds as non-profit research partner 15

16 STTR Success story NIMH Phase II STTR R42 MH Interfacing Modalities in the Developmental Cognitive Neurosciences SBC: Perception Research Systems Inc. RI: Cornell University PI: Bruce D. McCandliss PhD Develops of software and hardware products for research scientists and clinicians working in the biobehavioral sciences. PRS focuses on creating products that give researchers with little to no technical background the ability to conduct ground-breaking research using cuttingedge data collection techniques. 16

17 STTR Success story Used STTR to significantly improve flagship product Paradigm Paradigm - innovative stimulus presentation system that offers researchers a way to quickly develop and conduct a wide array of behavioral studies both in typical lab settings and remotely using our unique cloud-based experiment distribution system. 17

18 STTR Success story Challenge - technical barriers being faced by scientists attempting to use brain imaging (e.g. fmri, EEG and MEG) and eye tracking methodologies in their research With STTR developed line of products called Paradigm Elements - lower these technical barriers and training costs Commercialized in 2009 first drag & drop system that does this 18

19 Since launch > 5,000 unique downloads per year Sales increased 30% year over year > 1/3 customers have switched from competing systems due to superior usability, feature set, tech support and pricing Led to industrial partnerships with device manufactures accelerated product s adoption rates across a number of NIH funded research areas 19

20 For More Information Matthew Portnoy, PhD NIH SBIR/STTR Program Coordinator Phone: Lenka Fedorkova, PhD SBIR/STTR Program Manager Phone: Robert Vinson SBIR/STTR Program Manager Phone: Betty Royster SBIR/STTR Communications Specialist Phone: Julie Beaver SBIR/STTR Statistician Phone:

21 Get Connected! More Information Subscribe to the SBIR/STTR Listserv: with the following text in the message body: subscribe SBIR-STTR your name NIH Guide for Grants and Contracts (weekly notification) Follow us on Submit your SBIR/STTR Success Story at:

The NIH STTR Program

The NIH STTR Program May 1, 2015 Matthew Portnoy, Ph.D. SBIR/STTR Program Coordinator, NIH 1 Topics Size of NIH/HHS program Set-asides & spending Research Institutions and Universities in STTR Discretionary