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I. Introduction
II. Purpose
III. Company Eligibility Requirements
IV. Eligible Phase Zero Part I Expenditures
V. Application Procedure
VI. Selection Criteria
VII. Payment Documentation Requriements
VIII. Payment Schedule
IX. Contact Information
I. Introduction
The Louisiana SBIR/STTR Phase Zero Part I Program provides
funds to Louisiana's small businesses in an effort to encourage
more Louisiana applications for the federal Small Business
Innovative Research (SBIR) or Small Business Technology Transfer
(STTR) Phase One funding programs. Qualified applicants can
request funds of up to $3,000 to defray reasonable costs incurred
in developing an SBIR or STTR Phase One proposal. This program
is competitive in nature, subject to funding each year, and
applications are reviewed by an independent selection committee.
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II. Purpose
The purpose of the Louisiana Phase Zero Part I Program is
to stimulate interest and increase participation in the Federally-funded
SBIR and STTR programs. The program is administered by the
Louisiana Business & Technology Center (LBTC), a department
of the Ourso College of Business at Louisiana State University.
Funding for the Phase Zero Part I grants is provided in portion
by the U. S. Small Business Administration (SBA) Office of
Technology's Federal and State Technology Partnership Program
(FAST), SBA’s Rural Outreach Program (ROP), the National
Science Foundation EPSCoR program (administered by the Louisiana
Board of Regents), and the Louisiana Economic Development
Corporation (LEDC).
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III. Company Eligibility Requirements
The Louisiana SBIR/STTR Phase Zero Part I Program business
eligibility requirements for the SBIR or STTR program include
the following:
- American owned (at least 51%) and independently operated
- Domiciled in the state of Louisiana or have a significant
economic interest and prescents in Louisiana verified by
company registration information with the Louisiana Secretary
of State's Office
- For-profit entity
- Company has identified an open SBIR/STTR Topic published
by a federal agencies
- Principal researcher employed (at least 51%) by small
business under the SBIR Program
- Company able to perform two-thirds of the Phase I and
one-half of the Phase II work under the SBIR Program
- An SBA-defined small business (less than 500 employees)
- Under the STTR program the principal researcher does not
need to be employed with the small business. The principal
research can be employed with the research lab.
- The non-profit research institution must be located in
the United States and meet one of following three definitions:
(1) non-profit college or university, (2) domestic non-profit
research organization, or (3) federally funded research
and development center (FFRDC). There is no size limit for
the non-profit research institution.
The specific definitions regarding principal investigator
requirements vary among the agencies so check to determine
the guidelines for the agency you are applying.
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IV. Eligible Phase Zero Part I Expenditures
As mentioned in the introduction section of the Phase Zero
Program, the proceeds from the Louisiana SBIR/STTR Phase Zero
Program Part I are used to defray the cost in preparing a
Phase I proposal. When considering the total cost and effort
related to the preparation of a Phase I proposal, direct labor
cost, materials and supplies expense, travel expenses to a
Federal Lab or National SBIR Conference, consulting expenses,
and compiling research, the Phase Zero provides only a portion
of the total effort. Care must be taken in order to accurately
reflect the amount of time, money and effort required in preparing
a successful SBIR Phase I proposal.
The Phase Zero Part I Program proceeds can be used for the
following expenditures associated with the preparation of
the SBIR Phase I proposal:
- Direct Labor Charges
- Direct Material Charges
- Travel Expenses to a National or Regional SBIR Conference,
a Federal Lab to discuss the proposed project with an SBIR/STTR
Program Manager or Topic Author
- Acquisition of SBIR Software Programs
- Consultant Charges such as a grant writer or SBIR Expert
- Overhead rate (Indirect Charges) related to the preparation
of the Phase I proposal.
Note: Equipment, computer hardware, software
not related to the SBIR program, and profit allocation are
not eligible expenditures under this program. Travel expense
must comply with state of Louisiana travel regulations.
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V. Application Procedure
Applications for the Louisiana SBIR/STTR Phase Zero Part
I Program will be accepted and funds will be awarded to qualified
applicants year-round, limited by available phase
zero program funding. The program is a highly
competitive program requiring the applicant to submit the
Phase Zero Part I application online.
The SBIR/STTR Phase Zero Part I application consists of 6
parts:
- Company Information and SBIR/STTR Experience (Form
A)
- Partnering Company Information and SBIR/STTR Experience
(Form B)*
- University or Research Lab Information and SBIR/STTR Experience
(Form C)**
- SBIR/STTR Phase I Topic Information and Company's strategy
on addressing the key issues outlined in the Phase I Solicitation
(Form D)
- Phase Zero Information on how company plans on utlizing
the Phase Zero funding as well as the strategy for writing
the Phase I proposal (Form E)
- Budget Form Proposal Development Costs and narrative justification
relating to the SBIR/STTR Phase I proposal preparation (Form
F)
* This form is required only if the applicant is partnering
with or joint venturing with another company during the SBIR/STTR
Phase I activities.
** This form is reuqired only if the applicant is partnering
with or contracting with a university during the SBIR/STTR
Phase I activities.
If you are interested in applying for the SBIR/STTR Phase
Zero Part I program funding please CLICK
HERE to follow the link and log in to begin entering
your Phase Zero Part I application. If you have never applied
for the Phase Zero Part I you must create a new user id and
password. Once you create the new user id and password you
will be able to login to the application and begin entering
your data.
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VI. Selection Criteria
All Phase Zero Applications are reviewed online by the Phase
Zero Part I Selection Committee. This committe consists of
representatives from the Louisiana Economic Development Department
(LED), Louisiana Board of Regents, Louisiana Economic Development
Corporation (LEDC), and representatives from the LBTC. The
Review Committee will use the following criteria to judge
each Phase Zero application independently. The selection committee
at its sole discretion has the right to reject any Phase Zero
application that does not follow the instructions outlined
for this program.
- Appropriateness of the soliciting agency and topic in
relation to the company’s proposed research. In other
words, does the applicant’s proposed research match
closely with the soliciting agency’s requirements?
- Qualifications of the team members to conduct high quality
research. Has the applicant assembled a research team qualified
through education and/or experience that are capable of
submitting a competitive proposal?
- Commercialization potential and identification of potential
market for the innovation. Has the applicant considered
if his/her research will lead to a marketable product?
- Realistic approach to developing the Phase I proposal.
Does the applicant have a firm grasp of the effort and costs
required to develop a competitive Phase I proposal? Has
the applicant budgeted reasonable time and funds to complete
the proposal? Has the applicant identified the strengths
and weaknesses of the research plan, and proposed possible
solutions?
- Applicant’s previous SBIR or STTR program experience.
A slight preference will be given to researchers new to
the SBIR/STTR program and to first time Phase Zero applicants;
however, all Louisiana small businesses are urged to apply
regardless of experience or past successes in the SBIR or
STTR programs.
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VII. Payment Documentation Requriements
All applications approved by the selection committee must
submit the following documents in order to create the mechanism
to pay the Phase Zero Part I award.
- An LSU Purchasing Professional,
Personal, & Consulting Services Requirement Form (PUR-CR).
Please complete item 2 and the 4 bullet points and item
4. The LBTC will complete the remaining portion of the form.
- A completed Federal IRS Form
W-9 “Request for Taxpayer Identification Number
and Certification Form”. Please complete and mail
the original to the contact address listed below. Instructions
to complete the IRS Form W-9 can be found by CLICKING
HERE.
- A completed Federal IRS Form “Common Law Test”
CLICK
HEREThis is to determine whether the employer and employee
relationship. Insert Company name for the employee and insert
LSU for the employer.
- State of Louisiana's Disclosure of Ownership Form if the
applicant entity is a corporation CLICK
HERE This form should be completed only in the event
the applicant has never entered into a contract with any
state of Louisiana government agency. All forms and fees
must be submitted to the Secretary of States office. Only
a copy of this form is needed to be included in your documentation.
- Proof of Louisiana residency. This can be in the form
of a valid Louisiana Driver’s License for individuals
and a copy of the Louisiana Secretary of State’s “Corporate
Certification Form” for corporations and L.L.C.’s.
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VIII. Payment Schedule
Approved Phase Zero Part I applications are eligible to receive
total funding of up to $3,000 that will be awarded in two
equal disbursements. The two-part disbursement schedule will
occur as follows:
- One half of the total award (up to $1,500) will be disbursed
upon an approved Phase Zero Part I application
- The remaining award (up to $1,500) will be disbursed
to the company upon the successful submission of the Company's
SBIR/STTR Phase I proposal to the federal agency, proof
of ontime submission, and a copy of the the Company's SBIR/STTR
Phase I proposal.
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IX. Contact Information
Program Information:
All questions, comments, and documentation concerning the
SBIR/STTR Phase Zero Part I Program should be directed to
the following individual:
Roy Keller
Associate Director
Louisiana Business & Technology Center
South Stadium Drive
Baton Rouge, LA 70803-6100
Phone: (225) 578-7555, Fax: (225) 578-3975
E-Mail Address: r.keller@attglobal.net
Payment Information:
All questions, comments, and documentation concerning the
SBIR/STTR Phase Zero Part I Application including payment
information should be directed to the following individual:
Bryan Greenwood
Assistant Director
Louisiana Business & Technology Center
South Stadium Drive
Baton Rouge, LA 70803-6100
Phone: (225) 578-7555, Fax: (225) 578-3975
E-Mail Address: ltto@lsu.edu
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