Good afternoon, and thank you for joining
the National Heart, Lung, and Blood
Institute for today's Small Biz Hangout.
I'm Jennifer Shieh the small business
coordinator and program director at the
NHLBI and I'll be moderating today's
session on managing SBIR/STTR grants.
Our
presenter is Andre Walker, grants
management specialist with the NHLBI and
we'll also be joined by grants
management specialist Ann Marie Brasile
Mejac for the Q&A portion.
Andre is a
grants management specialist at the
NHLBI with more than a decade of
experience in the field of grants
management.
He spent much of his time
managing all aspects of pre-award and
post-award functions for large
portfolios, diverse and complex
Mechanisms.
He also knows about grants
management on the academic side and
other complex program project grants.
Between 2011 and 2014 Andre served as
the Office of Grants Management
SBIR/STTR coordinator and chair for the
trans NIH Grants Management Advisory
Committees SBIR/STTR subcommittee - where
he promoted consistent procedures and
best practices across the NIH for the
administration of SBIR/STTR grants, as
well as serving as a resource for
NIH-wide initiatives related to the SBIR/
STTR programs.
You may have met Andre
at one of the HHS SBIR/STTR
annual conferences.
If you haven't,
you can come join us in Milwaukee next
Fall!
Before joining NHLBI Andre was the
grants technical assistant at the
National Institute of Diabetes and
Digestive and Kidney Diseases (NIDDK).
He's
also just a wonderful person to work
with and we're lucky to have such
experienced and dedicated grants experts
with us today.
I'm going to turn this
over now to Andre.
Thank you Jennifer for
a very nice introduction.
By the end of
this presentation it is my goal to help
you understand the general
eligibility requirements, budget
guidelines, just-in-time preparedness, and
post-award activities.
In order for your business to be
eligible for a SBIR/STTR award it must be
a for-profit entity legally formed in
the United States.
It must also be more
than fifty percent owned and controlled
by citizens or permanent resident aliens
in the United States.
No more than 500
employees can be employed at the
company.
Since
the reauthorization act
was mandated, if an
SBIR is backed by
multiple venture capital companies it
must be more than fifty percent owned and
this actually only applies to the SBIR.
So if there are any concerns if
there's a concern of small business that
is more than 50-percent owned
by multiple VCs, there will be a VCOC
form that the small business will
need to fill out.
That will come when the
just-in-time information is requested.
Another area we will play close
attention to is your budget request.
It
is our job to make sure the costs
requested are appropriate for the
project and are within the guidelines
set in the funding announcement.
For
the Phase 1 SBIR award, applying from
the Omnibus, you have a limit of $150,000.
That includes direct
costs, indirect costs, and fee.
If you
request more than the
$150,000
dollar threshold, but less than the
$225,000 dollar hard cap, that will
require strong justification and
approval from your Program Official.
If
your budget exceeds the $225,000
hard cap for Phase 1,
$225,000 hard cap,
and the $1.5 million hard cap for Phase II,
your project will need to fit within
the approved NIH topic waivers.
As always
applicants are strongly encouraged to
contact NIH Program Officials
prior to submitting any application in
excess of the guidelines.
Also, they
should also speak with the Program
Official during the planning phases.
In all cases
applicants should propose a budget that
is reasonable and appropriate for
completion of the research project.
Regarding third-party involvement, in
Phase 1, normally a minimum of 67%
of the research or
analytical effort must be carried out by
the small business concern.
In the Phase 2
SBIR, normally a minimum of
analytical effort must be carried out by
the small business concern.
In the Phase 1
and Phase 2 STTR at least 40%
of the
research or analytical effort must be
performed by the small business concern
at least 30% of the research
or analytical effort must be performed
by the single partnering research
institute.
The basis of determining
the percentage of work performed by
each of the parties will be
the total of the direct
cost, the indirect costs, and the fee.
So if you have received any indication that
you will, or you may be, receiving funding
from NHLBI you should be prepared to
submit just-in-time when requested by
your Grants Management Specialist.
In general, you need to submit items like
other support, various certifications, or
verifications like your SBIR funding
agreement, your financial questionnaire,
your vertebrate animal certifications,
SBA registry, your office of research
integrity assurance certification, and
your VC
or venture capital certification if
necessary.
Other support includes financial
resources - whether federal, non-federal,
commercial or institutional.
available
in direct and of an individual's
research endeavors including but not
limited to research grants, cooperative
agreements, contracts and or
institutional awards.
When providing other
support, it should be for all personnel
involved.
NIH does administrative review
before the award is issued and NIH looks for
over-commitment of any key personnel.
It
also checks for possible duplication of
scientific goals, financial support of
same projects from other sources.
Here
I provide an example of what your other
support should look like.
As you can see,
it should reflect information such as
the grant number.
Do we have
a cursor?
So, it should reflect the grant number,
the name of the PI, the person months,
performance dates, and your annual direct
costs.
In addition to the approved
support, you should show the
applications that
you have submitted and are pending
review or approval.
After listing the
active and pending awards,
please identify if there is
overlap with a pending award.
Any and
all overlap will need to be identified
and removed prior to the award.
Your
program and grants management specialist
will contact you if that needs to take
place.
If we need to get in contact with
you, we will do so via the just-in-time
or basically prior to the award.
All small businesses that are selected
for SBIR funding must complete the SBIR
funding agreement certification at the
time of award.
This includes checking all boxes and
having an authorized officer of the
awardee sign and date the certification
each time it is requested.
So with this form, I will cover the one
question that seems to cause the most
confusion.
That is question
number 14.
Number 14 asks if your business
is a covered small business that was
not majority-owned by multiple
VCs when it submitted the application in
response to the SBIR solicitation and on the
date of the SBIR award, which is made
around nine months after the closing
date of the solicitation, is
majority-owned by
multiple VC's.
So by answering yes you're
stating that yes, from the time that I
submitted - when I submitted my application
I was not covered by multiple VCs but now
that I'm about to receive the award
which usually is a 9-12-month
period
things have changed and I am now covered by
multiple VCs.
In that case again you will
need to fill out the VCOC certification
and normally we will identify that
and we will send that certification over
to you once we see that you've checked
yes to this question.
Again, in order for
this certification to be accepted
you must respond to all the questions
and complete this, filling out
the box.
Grantee organizations are expected to
have certain systems, policies, and
procedures in place for managing their
own funds, equipment, and personnel.
A system of clear roles and
responsibilities should be
delineated in each grantee organization
and should include a financial
management system.
These systems include,
but are not limited to,
accounting internal controls and
budgetary controls.
Demonstrating the
grantees
management capabilities is one of the
evaluation or criteria
used in the administrative review process
prior to issuance of award.
To encourage uniformity, and
in the review of the grantees
financial management system, NIH has
developed a questionnaire entitled
"Evaluations of Financial Management
Systems".
The questionnaire is a tool
designed to assist both grantee and NIH
staff in assisting or assessing the
grants management capabilities.
Concerns
related to the grantee
organization management
capabilities may result in
determination to withhold an
award, or issuing the award with special
terms and conditions.
If there are
any concerns again we will - we meaning
the Grants Specialist and Program
Officials - will do our best to resolve those
concerns prior to the award being issued.
If your research requires the involvement
of humans, you submit your human
subjects research assurances.
You should
submit the IRB (the Institutional
Review Board) approval, and your human
subjects and certifications for key
personnel.
Please note that your
institution must have a
separate human subjects assurance even
though the work will be completed at a
different performance site.
We cannot
issue the award
unless your small business has that
assurance.
If your research requires
the involvement of animals
you must submit your institutional care
animal care and use committee approval.
You must also have your vertebrate
animals research assurances.
So
with the animal assurances again you
will need to have your own.
If you do not
have your own assurance, what grants
management will do is submit a request
to OLAW to initiate this inter-
institutional agreement process.
So
basically we even if you know the
process
don't go out and start yourself until
OLAW contacts you to get the
institutional agreement or
agreement started.
So now that you have
received your Notice of Award
you should always review it.
That is
very important.
It will show you how to
set up your accounts to receive funding.
It also reflects the terms and
conditions and how to appropriately
close out your award.
Just like during the pre-award phase, you
should speak to your Program Official
and Grants Management
Specialist whenever you have any
questions during the post-award phase.
Also
you should also update your SAM
registration.
We cannot issue any awards
unless that registration is current.
I'll say it again.
it is
always important, whenever you have any
uncertainty about anything
regarding your award,
please consult your Grants Management Specialist and the NIH
Grants Policy Statement.
If you are still
uncertain,
please contact your Grants Management
Specialist and Program Official - we are
here to help in any way possible - trying
to keep you out of that orange jumpsuit, you know
that's one of our goals.
And
finally, the closeout.
These are
some of the general close out
requirements: your final progress report,
the final invention statement and
certifications, and your final FFR.
Again, this information will be provided
in the Notice of Award.
There's a
special section that tells you
how to properly close out your
grants.
That's everything we have for you.
Thank you Andre.
We're going to
move on.
We wanted to leave
plenty of time for the Q&A section.
Just
making that little disclaimer again - that
these are for educational purposes not
necessarily specific to your award or
application and to reach out at that
contact NHLBI SBIR link for any
questions you might have.
That is also where
you can submit your request for slides.
If you're not working in the NHLBI
mission space, certainly reach out to the
appropriate Institute contact that can
be found down here.
And again,
submit your questions through the Q&A
Panel.
We got a few questions so
we'll definitely be going through them.
I'm going to leave this up here
again the listserv,
sign up for any future Small Biz
Hangouts or in-person events.
We also do
try to send out useful information like
deadlines coming up and other tips and
tricks and resources.
If you go to this
link here it will bring you to the
website where you can submit your
questions or request slides.
And, I
guess, a couple of things I wanted
to raise.
Well, OK, I will
leave this up here for a couple minutes
while I talk.
Then what we're going
to do is switch over to cameras.
You can
actually see that the government is not
just we're not just faceless bureaucrats
here - we are actual people, we really want
to help you.
I'd also like to make sure
to introduce our other special
guests here!
We have Andre - you just
heard from, we also have Anne Marie Brasile
Mejac - who's also a Grants Management
Specialist at the NHLBI.
She's been a
Grants Management Specialist for
over 20 years.
She has her bachelor's
in business from Johns Hopkins, and has
been a certified research administrator
since 2008.
So we've got a wealth of
experience here and you'll find that
at the NIH there often is a lot
of flexibility.
There are a lot of
different rules and so it can be very
complex to navigate these things.
In
particular, we know that the small
business program has a lot of different
little nuances.
Certainly we want you to reach
out when you have questions.
I am
going to switch over.
Hopefully you've written down
those - just sign up while
you're seeing it!
alright so we are we live?
I think so.
Alright so we start with some questions
and I guess one of the items
I wanted to mention, just make sure that
it was it was clear, that you know the
period.
Especially because in the
advertising I talked about how to get
your award faster.
So when you get an
email from your Grant
Specialist that's asking for
just-in-time information, or that "JIT",
then that's what you want to reply
to because they need that information
before an award can be made.
Generally that information is requested
between the time you
apply and before you can actually get an
Award.
Sometimes you know that as soon as
Council can approve awards that we try
to get Awards made relatively quickly
after that.
And so we need this
information for that.
I've got a bunch
of questions about the just-in-time, and
the first one is "We've been
requested to submit JIT documents.
How
do we submit them?
Do you need this in
what format?
Do they have to be uploaded
as a single PDF if you have to put a
cover page listing all the documents?"
Either Andre or Ann Marie -whether
it's one PDF or several I mean that's
kind of a preference for the Grant
Specialist that's listed in the Commons
for that grant i mean if you have
everything except for like the IACUC, or
IRB is pending, then you could send what
you have and then email the rest
when it comes in.
But again, you should check with
that Grant Specialist that's listed in the
eRA Commons to be sure of their preference.
Thank you.
We have a couple questions
actually now about OLAW.
"If OLAW hasn't
contacted us yet about
inter-institutional animal assurance
numbers, but all the documents were
requested to be submitted in seven
business days…
If we can't
submit all of the documents in time what
should we do?
Should we still wait for OLAW?
Should we wait for all of the information
before we submit those documents?"
With
regards to OLAW
- if we
have requested for the just-in-time
and you're trying to respond back to us;
first definitely if
you're waiting for an inter-
institutional agreement that normally
takes longer and that's not going to
come from you, that's going to
come from OLAW and they will notify
everyone once that agreement has been
approved.
As far as the other
documentation, excluding the
institutional agreement information,
you should definitely submit that to
your Grants Management Specialist.
Thank you.
To add to that,
because I think that person's request
for just-in-time came from the eRA
commons, so their Grant Specialist may
not even be aware that they've been
asked for information.
In that case, they should check with
the Grant Specialist because that
Specialist could say whether
this grant's even in range for funding.
If they are, the specialist can check with
OLAW to start the process.
Another couple of
questions around that.
You know if you
haven't had the animal assurance yet but
your academic institution partner has
IACUC approval do you need to submit
documents, do you just wait for what OLAW is
going to request of you at that point?
usually if they have IACUC
approval, when I email OLAW to start the
process I may send them a copy or
at any rate the IACUC approval
will speed up the process for the
assurance because the partner
institutions IACUC chair needs to sign
that assurance and put down the IACUC approval date.
Then they send it back
to OLAW.
Without IACUC approval that
assurance will take as long as it takes
to get IACUC approval.
Then sending
the form that can take longer.
So i guess about timing again
if somebody's been asked for
just-in-time information but obviously
funding decisions haven't yet been made…
Is there different jit information
that's required immediately and jit
information that can wait until funding
decisions have actually been made?
If
so if the request for just-in-time is
coming from the grants management
specialist, I would submit that
information as soon as possible and
it's normally everything.
So
prior to award
we're basically making sure that
everything when you submit is
appropriate, everything is current.
If there are any concerns regarding -
whatever the case may be - eligibility
requirements, or maybe the form, we will
ask you to update.
However, for the most
part please submit
everything as soon as possible.
Just to add a comment from the peanut
gallery over here - the point of
the just-in-time information is, in
providing that information, is to let you
also….
Sorry - asking for the
just-in-time information before funding
decisions are made.
The reason is so that
your award can actually be made
as soon as possible.
A lot of the
information that you're being requested,
it can take some time to put together.
So we're trying to give you the lead
in time.
One of the things you can do is
certainly based on your score and the
funding and operating guidelines that
NHLBI publishes you can make that
determination and talk to your Program
Officer about how likely is it?
Do
you want to spend the time to put
together the JIT information?
Generally, if you've been requested
it's at least likely enough where
we know where we're not just trying to
give you extra work, or ourselves extra
work, we're trying to really speed up
that process.
So another question is
about "Do you have to correct all
the warnings in ERA commons if JIT
documents have been requested?"
Sounds like a help desk question.
Yeah, though I think if either
warnings that came up when you submitted
an application, then no.
I mean in terms
of, not exactly - so those warnings were
warnings about the application itself.
If
you have questions about the specific
warnings you should reach out to the ERA
Commons Help Desk.
So there's one more
thing that I want to add with that.
A majority of us, I believe,
prefer to have everything uploaded into
the ERA commons that is required.
So if
you are receiving error issues and you
can't upload this information in
a timely manner -
meaning you have contacted the helpdesk
and they're trying
to work everything out but you still want
to get things, it's just taking longer
than expected; I would suggest probably
contacting your Grants Management
Specialist and including maybe a PDF
email and attaching the Just-in-time
information to the email.
Letting them
know that I've taken the steps
to get whatever the concerns are
resolved with the help desk.
I'll be
taking longer than expected so here you
go.
Basically I will go from there, as far as
determining how we want to move forward.
If
You, I guess we're going to dig in a
little bit also around the timing for
IRB approvals and end dates so; how would
you respond to the IRB approval and date
section if the planned clinical study
isn't supposed to start until several
months after funding would start?
Do you
still have to have it already right at
that time and submitted?
With IRB approval, if the
human work is going to be done within
the first year or the first six months of
the grant, then they you should have IRB
approval before the award is issued.
So
don't put a date in there, upload the
just-in-time and put a note in there
that says IRB approval is pending and we
expect it in "a timeframe" and
that's I guess majority so i guess
it comes to timing also.
If it takes
more than expected
let's say we're in the fourth quarter
it's about doing our reviewing, issuing
these awards before September 30
a deadline.
We will take into
consideration how long it will take
and then, once we are it are able to, we
can place a restriction on that award
and issue it with the restriction.
Another question on the ERA
commons, the JIT panel,
asks for an IRB date.
If you don't
have any human subjects, or let's say you
don't have animal work, are those
questions on ERA commons – do you just
leave them blank or do you notify the
Grants Management Specialist that
you don't need those?
It should be just blank or NA, if
you're not doing human or animal work
that then that should just be blank or
NA.
Another question - around human subjects
there's an exemption, what is the
exemption four where can I find
information about this and whether it
applies to me or not?
There is on the NIH
Office of Extramural Research but I
believe there's frequently asked
questions on human subjects.
If anything, the NIH is very thorough
about trying to document all of this
Information.
I think if you were to
Google search
"NIH human subjects exemption" you
will find the NIH website all about
human subjects.
It explains that also
in the SF424 application guide.
There are
instructions about how to fill out the
human subjects portion of the
application - which has a kind of
supplementary PDF guide that goes along
with describing when does
something apply to you.
But I believe
there's actually been, on an NIH
website, sort of a flowchart for how to
decide what human subjects apply to.
Here's where can one find more
information about what's considered
appropriate accounting, and internal
and budgetary controls.
I've had all
types of good examples.
I've seen
Excel sheets, I don't know if I can direct
you to a particular application or what -
but do you have any suggestions?
You mean what are the accounting system?
yeah what are the right
like what's a good, does NIH
Specify?
No.
We don't, no.
I mean usually the small businesses have
accounting software that they buy to
keep track of books, so it's not just
buying the software, it's also like I said, I've
seen them as basic as an Excel
spreadsheet - which was acceptable.
It is to the discretion of the
small businesses.
NIH doesn't specify
what is appropriate accounting or
internal budgetary control.
That is
left up to the small business.
If
you want to learn more you may be able to
reach out to previous awardees.
They
may have a system in place.
Generally,
people who had Phase 2 awards
because they may have been audited.
but it actually is a
financial questionnaire does talk about
Do you have these things in place.
Like check signing - that
if you're signing the check, someone else
should be looking at it first,
to have oversight.
I'm trying to
make sure I am covering these
Questions.
There is a question "When
do you need to get approval from NIH and
when not?
So there is a list
list of prior approval items
that's in the NIH grants policy
statement.
In the NIH grants policy
statement, I remember, I think
it was under administrative requirements,
include the number?
If you search prior
approval….
That is correct, if you search on prior
approvals it will show you within the NIH
grants policy statement, I believe it is 2016, the
actual requirements order - what is
required to ask for approval
from NIH, and again if that does
not give you the answer that you need
definitely speak out or reach out to us
and we will help you with providing
whatever guidance we can.
If you're so
lucky to get the Notice of Grant Award,
there's a lot of
information in terms and references
in the Notice of Grant Award to
specific policies of the grants policy
Statement.
So that's
actually a good resource for you, for what
do you need to make sure you're doing or
not doing, is looking at your Notice
of Grant Award.
If we resubmit an SBIR
application and received a
good score, when does the original
submission get killed?
I'll only
answer this.
If
you have a submission and a resubmission
in the same fiscal year:
let's say you know your original
submission will not be considered for funding,
how does that work?
I think that's
the core of the question.
So if, for
example, you submitted in to last April's
omnibus receipt date and you are
submitting to this January - you're
submitting a resubmission to this
January receipt date.
Both of those
applications will be considered for FY
wasn't discussed, that one will not get
funded.
If one of them, the
other one scored well then it will
definitely be considered for funding
it's both of them scored in the within
the Select pay zone or within the pay
line, if one of them scored in the
payline that one will, very likely that
will get funded, and selected.
If it scored better than the other one
but both of them will still be
considered, so it will not really get killed -
it won't no longer be
considered for funding until the next
fiscal year.
I mean I think though, with that,
when we have you submit your
original application and then you submit
and amended application that if we pay
the amended application let's say when
we've awarded that amended application
part of that process is the original
application then is automatically
withdrawn.
Correct.
Or if we pay the original
and the amended then we award the
original, the amended is automatically
Withdrawn.
Yes, thank you for that clarification.
There's actually now a
question about intellectual property
So, I don't know if you'd be okay to
cover this but what happens with IP
that's developed as part of an SBIR
Award?
Would you like me to just
talk about that?
You can.
Intellectual property that's
developed as part of an SBIR award is
covered under the Bayh-Dole Act and so
you know the person asking the
questions is concerned does the government get the
license and any IP that's developed under
the award?
Do it have to be manufactured in the
US?
That's not completely true.
Under the Bayh-Dole Act you know the
government, anything that's federally
funded, we technically have "march-in"
Rights.
But I've never heard of any
situation where that is actually been
exercised.
And as far as manufacturing in
the US, the fine point there is
really your SBIR award dollars are
intended to be used in the United States.
If you have any foreign components there
needs to be some special, very special
cases, where that's allowed, and there
needs to be permissions and other
additional administrative work that
needs to be done to make sure that every
thing is ok, and the State
Department has to clear things.
But the
SBIR dollars that you're getting for
your award should be used in the US.
If you've now commercialized your
Product, you know we would strongly
encourage you to find a way to
manufacture the product in the US - but it
is not a requirement because of
intellectual property rights.
There is
an invention reporting requirements -
through iEdison we do ask that
if you made any intellectual property
during the course of your
award that you report that information
to us.
Another question about whether
a resubmission, can you only submit a
resubmission during the designated
period for application submissions for a
particular RFA.
So if an RFA has
only one submission date per year
does that mean any submission
resubmission has to be one year later?
Yes, if you are resubmitting to a
specific funding opportunity
Announcement, and RFAs and PRs is often
have their own unique dates, you can only
submit for the dates that are open for
that particular funding opportunity.
With
the Omnibus solicitation that is more
open - we have three receipt dates each
Year.
While I'm trying to scroll through
more of the questions, do either
of you feel like there's
something really core that you get a lot
of questions about? or you'll see
a lot of mistakes that you -
what's the one thing that you
would hope that people listening would know?
I think one of the
main things or the most really, moments,
that I get is when a
grantee for small business….
Basically my
suggestion is always read your
Notice of Award.
Where I think that's very
important.
I want to stay
at least each Council round when I'm
issuing an award, a grantee will give me
a call later and say hey i received my
Notice of Award, how do i get my funds, or
can I start now, or when can I start?
And
all that information is provided in
that Notice of Award so, if anything, I
would say definitely read your Notice of Award
and again always contact your Grants
Management Specialist and Program
Official for any assistance or
clarifications or whatever your concerns
are - just contact us, we are here to help
you.
That's our goal - so I echo what Andre said.
Please review your Notice of Grant Award
carefully and actually with regard to
drawing down funds and payment
management and getting access.
If your
company is not had grants before with
NIH there is a separate webinar on
YouTube under the NHLBI section
with Nicole Dunning from the HHS office
of Payment Management talking about just
that.
I actually think we weren't able to
get that one up but, but, the
payment management system they have
regular webinars pretty much every
cycle and so is probably best to
sign up for a more recent one anyway.
Last year we had a
great a Small Biz Hangout with Nicole
Dunning from the Payment Management
System to really talk about the nuts and
bolts of how you actually get your money.
We have a couple more questions
and one is whether or just in time
does the small business need to resubmit
their budget so the overall budget?
No,
unless it's requested by the
Grants management Specialist, no
they should not resubmit their budget.
This is a popular question that I
get asked quite frequently what it is
outside testing by a CRO considered a part
of the thirty-three percent for phase 1
SBIR subcontract limit.
Yes.
No.
So
it depends.
This is also
something where there is, there can
actually be some differences across the
different Institute's about what is
considered part of the company's cost
versus what is considered outside
subcontractor award.
One
of the things that, kind of a couple of
things I want to consider.
Sometimes, fee-for-service type
activities can count towards the
company's cost when it's listed in the
company's budget and is where the
intellectual effort and input is really
being driven by the company itself.
So
one example is, you have paid for a
company a third party to produce your
drug.
That may be listed, for
Example, as a material costs because you
are purchasing the production of
materials and that would be part of the
company's cost.
Service types you know
maybe animal testing for example,
if the studies are being run by a third
party but the data is going to be
analyzed by the company - that type
of outside testing may be considered for
part of the company's costs.
You need
to think about, for example, things like
are you paying indirect costs to the
third party?
Because if you are paying
indirect costs that's probably more likely to
be a sub-award.
Is that company
interchangeable with other
or other providers of this service that
might also be considered something that
could count towards the company's cost
because it's more it's more like
it's a vendor, right?
As
opposed to somebody who is really
putting in the intellectual input
effort.
But that is something that you
should reach out about if you have
questions about your specific situation.
Alright we have more questions!
Pay lines are published?
When do we expect to have pay lines for
SBIR phase 1 and phase 2?
Currently we do not have the FY 17
funding and operating guidelines for the
SBIR and STTR program at NHLBI.
We
are hoping and expecting them soon so
I'll be sure to include the link to the
page with the funding and operating
guidelines in the follow-up email.
Another question for you
guys.
How do you view large items of
equipment on Phase 1 and 2 budgets?
If that equipment is necessary for
the project, and you have it justified in
your budget justification, then it's fine.
Agreed.
We may have covered all the questions!
For people who have been
asking about the slides, you need to
submit a request for the slides they
are not just posted right now.
I
think we may have covered all the
questions.
Perhaps send it again if you
haven't heard.
OK, so actually we have another
question about pay lines.
How do Fast Track's
get considered?
If you look at the
former (last year's - FY16) funding and
operating guidelines, you'll see that we
had separate pay lines for SBIR phase 1
R43 and a pay line for R44 applications
which are fast track and direct to
Phase 2.
Those all use the R44
mechanism so Fast Track is considered
with the Phase 2 pay line in the funding
operating and operating guidelines.
The
STTR is had a separate zone of
consideration because the budget for
STTR is much smaller than the SBIR pool
and so we really needed to manage that
in a different way.
There's another
question about whether you know work for
a small business that is not owned by
venture capital are we eligible?
Yes.
Just to clarify some of
the comments or notes about
venture capital owned companies.
The
majority of awardees are not, do not have
any funding from venture capital.
It
was in the reauthorization of 2011 that
it was allowed for companies that were,
that did have some venture capital
backing and some ownership, but not a
majority ownership, that they were
allowed to apply to the SBIR program -
because previously they were just not
allowed at all.
Companies, small
businesses that are majority-owned by a
single venture capital operating company,
are still not eligible for SBIR or STTR
funding.
Companies that are
majority-owned by multiple venture
capital operating companies are eligible
as long as no single VC owns a majority
of that company and they're eligible for
SBIR funding only not for STTR.
To request slides, because we're
getting more questions about, that we
just share this again….
If you would like to request
slides we submit your inquiry here and
when you log out here you're going to
get a little feedback form.
We really do
appreciate your comments and
thoughts, and thank you very much for
joining us.
I think this concludes our webinar.
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