SBIR-STTR Phase Zero/Phase Double Zero Program (PZ-DZ)

Announcement: Phase Zero RFP (07-01-2008) -- KSEF announced the revised Request for Proposals (RFP) for the KY SBIR-STTR Phase Zero grant program available to Kentucky's small businesses, university-affiliated small businesses, and college and university faculty entrepreneurs. These funds are earmarked for the development of Small Business Innovation Research (SBIR) and Small Business Technology Transfer (STTR) proposals for submission to any of 11 participating federal agencies. See below for the Program Description, Submission Deadlines, RFP and Submission Instructions, and Online Application.

• Important Dates/Deadlines -- The Phase Zero/Phase Double Zero (PZ-DZ) RFPs are open year-round. However, online applications should be submitted to KSEF a minimum of two months prior to the Federal Agency's deadline, within the review schedule outlined below. KSEF reserves the right to decline PZ-DZ applications submitted less than two months prior to the Federal Agency's deadline.
  1. February 2010 PZ-DZ review closed: 01-27-2010, 10AM ET. Award notifications will be approximately February 10, 2010.
  2. March 2010 PZ-DZ review for Phase 1 and Phase 2 due dates starting 05-2010 -- online submission deadline to KSEF: February 24, 2010, 10AM ET, with award notifications approximately March 10, 2010.
  3. April 2010 PZ-DZ review for Phase 1 and Phase 2 due dates starting 06-2010 -- online submission deadline to KSEF: March 24, 2010, 10AM ET, with award notifications approximately April 7, 2010.
• How to Apply
  1. Print and read the appropriate Request for Proposal (RFP) below, then click the link to "Start a NEW..." online application, following the RFP regarding content. To ensure that responses are being retained, click "Save and Refresh" frequently as data is entered.
  2. Provide the company's physical/street address, not a post office box.
  3. Be thorough but concise in responses. A typical well-written PZ-DZ application is 14-18 pages including all attachments.
  4. Enter the budget information for the cost of the proposal development, not project's budget. The total request should not exceed $4,000 including the external review; a maximum of $4,000 may be awarded for the first grant and up to $2,000 for two additional grants in one calendar year.
  5. Upload the three required attachments in PDF format: (1) biographies, (2) letters of commitment and (3) proof of "good" standing with the Kentucky Secretary of State.
     • PZ-DZ grants are awarded to Kentucky-based companies registered with the Kentucky Secretary of State; proof of "good" standing is required. Company status details may be accessible at http://sos.ky.gov/online.htm via the "Organizational Search" link. The page showing the company's status should be printed and uploaded on the web application as proof that the company is in "good" standing with the Kentucky Secretary of State.
     • If additional charts/graphs are desired, create one PDF containing both the required proof of "good" standing and the other items, and upload as one file on the web application. Do not submit information to KSEF via email.
  6. Proofread the application, then finalize and submit electronically. The PI will receive an auto-generated email with PDF attachment of the completed application.
  7. Print and mail a signed hard copy of the submitted application to Mahendra Jain, PhD, KSEF Executive Director, 200 West Vine Street, Suite 420, Lexington, KY 40507.

Contact -- For general questions contact Debbie Rempfer, KSEF Executive Assistant. For technical questions not addressed in the RFPs below, contact Mahendra Jain, PhD, KSEF Executive Director.

PZ-DZ Program Description

The Kentucky Science and Engineering Foundation (KSEF) offers the Kentucky SBIR-STTR Phase Zero and Phase Double Zero grant program. These funds are earmarked for the development of Kentucky-based Small Business Innovation Research (SBIR) and Small Business Technology Transfer (STTR) proposals.

• Phase Zero - The goal of the SBIR-STTR Phase Zero grant is to assist Kentucky-based new and existing small businesses, and Kentucky's college and university faculty with the preparation of high-quality, competitive Phase 1 proposals for submission to participating federal SBIR and STTR programs.
• Phase Double Zero - The goal of the SBIR-STTR Phase Double Zero grant is to assist Kentucky-based new and existing small businesses with the preparation of high-quality, competitive Phase 2 proposals for submission to participating federal SBIR and STTR programs. The applicant must have previously received a Phase 1 Federal Grant to be eligible for a Phase Double Zero grant.

The KSEF staff manages the PZ-DZ program. KSEF was created to invest in research and development activity to promote innovation and build a pipeline of new ideas and technologies that will add value to the growth in the Commonwealth. Created under the Kentucky Innovation Act of 2000, the mission of KSEF is to build science and engineering capacity and excellence by investing in ideas, technologies, human resource development and technological innovations in Kentucky.

KSEF is an initiative of the Kentucky Science and Technology Corporation (KSTC), and is managed in partnership with the Council on Postsecondary Education (CPE). KSTC is a private nonprofit enterprise founded in 1987 to enhance capacity of people, firms and organizations to develop and apply science and technology and compete responsibly in the global market place.