North Dakota Phase 0 Program Small Business Innovation Research (SBIR)/ Small Business Technology Transfer (STTR) Guidelines Overview: The Phase-0 grant program is designed to assist North Dakota entrepreneurs and innovative Small businesses in developing better SBIR and STTR grant proposals to fund the development of innovative new product or service concepts. The Phase-0 Grant will reimburse businesses for Qualified Expenses incurred while developing the Phase-I grant proposal. The Small Business Innovation Research (SBIR) program is a highly competitive program that encourages domestic small businesses to engage in Federal Research/Research and Development (R/R&D) that has the potential for commercialization. Through a competitive awards-based program, SBIR enables small businesses to explore their technological potential and provides the incentive to profit from its commercialization. By including qualified small businesses in the nation's R&D arena, high-tech innovation is stimulated and the United States gains entrepreneurial spirit as it meets its specific research and development needs. REQUIREMENTS & INSTRUCTIONS The will review your application and schedule a meeting or phone call to discuss your projects Phase-0 eligibility. In addition, the (CFI) requires some general information about the applicant. Phase 0 Program for assistance in submitting a federal SBIR application Applicant must be a for-profit small business with its principal place of business in North Dakota; Applicant must submit a qualified SBIR Phase 1 proposal to a participating federal agency in response to a specific federal solicitation; Applicant must meet all federal SBIR program eligibility requirements that are applicable to the relevant federal solicitation; Applicant must not receive concurrent funding support from other sources that duplicates the purpose of the North Dakota Phase 0 initiative, without CFI approval; ND SBIR/STTR Phase 0 Application 2014-2015 Page 1
Applications must be received by CFI no later than three weeks before the closing date of the federal solicitation to which the applicant is applying. Any applications received by CFI less than three weeks before the submission deadline in the federal solicitation will be returned without consideration; The Phase-0 grant will reimburse small businesses for up to $1,500 of expenses paid to third-parties in association with developing/improving an SBIR/STTR proposal, including major tasks like: Retaining the services of a professional grant writer SBIR/STTR proposal review and enhancement by SBIR/STTR consultants Expenses related to market research in connection with the commercialization plan and/or other sections of the SBIR/STTR grant proposal The Phase-0 grant will not cover costs associated with work done by parties internal to the firm, nor will it fund technical research, product development or miscellaneous expenses A copy of the invoices to be reimbursed must be submitted to CFI, as a precondition to receiving the Phase-0 award Applicant must conduct at least 51% of the activities described in the federal SBIR proposal in North Dakota, and must maintain significant North Dakota operations during the entire corresponding federal SBIR Phase 1 project, if awarded federal funding; Proposals resubmitted to a federal agency, for which the applicant has already received a ND Phase 0 award for the same project, are not eligible for an additional ND Phase 0 award; Applicant must notify of award or decline of their Phase 1 proposal; Businesses can only receive Phase 0 funding for one project every two years. Phase-0 applications are due THREE WEEKS prior to Phase 1 submission deadline regardless of the day of the week or if it is a holiday. Applications must be submitted electronically as a Word or PDF attachment. E-mail applications to sbir@innovators.net or sttr@innovators.net ND SBIR/STTR Phase 0 Application 2014-2015 Page 2
North Dakota SBIR/STTR Phase 0 Application Part I: Business Information Business Name: Address 1: Address 2: City: State: ND Zip: Business Contact: Phone: Title: Fax: Email: Federal Tax ID Number: DUNS Number Business Website: Business organizational structure: NAIC North American Industrial Code(s) applicable to main business operations: Describe your business s background and history: Describe the main products/processes/services your firm produces: Describe your previous SBIR experience, including both successful and failed proposals: ND SBIR/STTR Phase 0 Application 2014-2015 Page 3
Part 2: Federal SBIR Phase 1 Solicitation Information SBIR Agency Solicitation: Phase 1 Topic Number: Phase 1 Solicitation Topic Title: Will the business conduct all Phase 1 activities described in the federal SBIR proposal in North Dakota? Yes NO If No, what percent of activities will be conducted in North Dakota? % State the overall objective of the Phase 1 proposed research: Identify and specify the significance of the technical problem or opportunity that will be addressed in Phase 1: What is innovative in your concept/proposed approach? Summarize your awareness about related R&D and the intellectual property currently published on this subject: Describe your plans to organize the project team, lab facilities, equipment, and the project budget: What are the expected results at the end of Phase 1? What are your Phase 1 objectives to further develop your technology for Phase 2? ND SBIR/STTR Phase 0 Application 2014-2015 Page 4
Describe the timing and duration of Phase 1 work: What is the end product for commercialization and how will you commercialize the technology? Who are your customers? Describe the major milestones or expected outcomes for the development of your Phase 1 proposal: Project Budget: (Maximum award from North Dakota SBIR/STTR Phase 0 program is $1,500) Phase 0 Direct Costs Travel and expenses $ Preliminary R&D $ Grant writer $ Proposal development/preparation $ Technical Review $ Materials and/or supplies $ Project related literature $ Private sector support or consulting $ In-kind contribution by firm s workers $ In-kind contribution by firm s management $ (Other) $ (Other) $ TOTAL $ Dollar Amount If funds are awarded, costs must be documented to receive reimbursement. CERTIFYING OFFICIAL To the best of my knowledge and belief, data and information in this application are true and correct. The applicant will comply with all requirements governing the use of funds. Name and Title Signature Date NORTH DAKOTA PROGRAM CONTACT For additional information or clarifications of this program, please direct your inquiries to: Tyler Okerlund, SBIR/STTR Director 4200 James Ray Drive Suite 1 Grand Forks, ND 58203 Telephone: (701) 777-6623 Fax: (701) 777-2339 Email: tyler@innovators.net Website: http:www.innovators.net ND SBIR/STTR Phase 0 Application 2014-2015 Page 5