Alaska SBIR/STTR Grant Program

State Grant Funds for Federal Small Business Innovation Research (SBIR) and Small Business Technology Transfer (STTR) Grantees

Introduction

The State of Alaska SBIR/STTR Grant Program is designed to award grant funds to for-profit, Alaska-based businesses that have been awarded a Federal Small Business Innovation Research (SBIR) or Small Business Technology Transfer (STTR) Phase I or Phase II grant. Federal SBIR and STTR grants (https://www.sbir.gov/about) are competitive federal grant programs that provide funding opportunities to startups and small businesses to foster innovation, meet federal research and development (R&D) needs, and increase commercialization of research.

The Alaska SBIR/STTR Grant Program was created to provide Alaskan small businesses operating under a currently active federal award with additional state resources to further the advancement and commercialization of their innovative technologies developed with federal funding. These grant funds are to be used for new and additional work tasks that are complementary to existing Federal SBIR/STTR Phase I or Phase II Awards.

This program is utilizing state funds appropriated by the Alaska State Legislature to the Department of Commerce, Community, and Economic Development in FY2023. Anticipated start date for awards is as soon as possible after an award determination is made.

Program Objectives

• Encourage the growth of high-quality advanced technology companies in Alaska.
• Increase the quantity and quality of the research conducted by Alaska small businesses under a federal Phase I project and strengthen commercialization plans to make businesses more competitive for Phase II funds.
• Augment the funds available for Phase II projects to help Alaska small businesses improve business development and commercialization efforts leading to product commercialization.

Program Administration

The Alaska SBIR/STTR Grant Program is administered by the Commissioner’s Office in the Alaska Department of Commerce, Community, and Economic Development (DCCED). Applications will be reviewed by Department staff and awarded based upon established evaluation criteria.

Funding Available

The Alaska SBIR/STTR Grant Program will provide state grant funding to businesses with a currently active federal SBIR/STTR award. The total amount of funding appropriated for this program in FY2023 is $125,000.

The Alaska SBIR/STTR Grant Program provides awardees with state grant funding based on their federal award phase. Successful applicants in Phase I of their federal award will be awarded up to $25,000. Successful applicants in Phase II of their federal award will be awarded an initial award of up to $25,000, and may be eligible for a supplemental award of up to $75,000 (for a maximum total award of up to $100,000, inclusive of the initial award) if program funding remains after the application deadline.

Supplemental awards for federal Phase II grantees: Once the application period closes on May 15 and all initial awards have been made, the Department will evaluate existing awards to grantees in Phase II of their federal award and may supplement awards by up to $75,000 (for a maximum total award of up to $100,000, inclusive of the initial award), dependent on the total amount of remaining funding. Phase II awardees will be asked at that time to provide a budget explanation for the activities to be undertaken with additional funding. The amount of additional funding available will depend on the number and amount of initial awards made and the number of grantees that have indicated interest in a supplemental award. Re-application to the state program will not be required. Requests for supplemental awards will be reviewed based upon the established evaluation criteria, and award of any additional funds will be executed through a grant amendment.

Eligibility Information

Eligible Applicants must:

• Have an active SBIR/STTR Phase I or Phase II Award from a participating federal agency. Applicant must have a minimum of three (3) months remaining on federal award term at the time of application to State program to be eligible.
• Be based in Alaska (defined as principal place of business in Alaska).
• Certify that at least fifty-one percent (51%) of the activities conducted under this grant will be performed in Alaska.
• Remain an Alaska-based business for the duration of the SBIR/STTR project and through state grant closeout.
• Have a valid Unique Entity ID (UEI) issued by SAM.gov.
• Have an active SAM.gov Registration. Proof provided must show that the business or business owner is not debarred from participation in a grant program by any Federal department or agency.
• Have an active Alaska business license.
• Be in good standing with the Division of Corporations, Business and Professional Licensing.

Applicants that do not meet these criteria are ineligible. Proof of eligibility is required at the time the application is submitted.

Award Limitations

• A business may receive only one (1) grant under this program per state fiscal year (July 1-June 30).
• A business may receive a maximum of two (2) awards under this program per Federal Funding Agreement. Note that priority will be given to businesses applying for their first state award per Federal Funding Agreement over businesses applying for their second. Prior-year grant funding must be fully expended before submitting an application for a second state award.
• A business may receive a maximum of five (5) awards under this program over lifetime of the business.

Eligible Use of Funds

A State of Alaska SBIR/STTR Grant can be used to supplement either a base Phase I or Phase II Grant from a federal agency or any SBIR/STTR Supplemental program. State grant funds must be fully expended by the expiration date of the federal grant, or by the end of the following state fiscal year (June 30), whichever comes first.

Allowable costs are those related directly to achieving the SBIR/STTR proposal objectives for which a Federal Phase I or Phase II Award has been received. Grant funds may be used for commercialization costs not covered by federal SBIR/STTR awards including but not limited to market research, product testing and validation, intellectual property assessment and patent filing, business development activities, commercialization plan preparation, additional technical work, reasonable travel related to the project, and other costs including rent, accounting, legal fees and costs, or purchase of equipment. State grant funding awarded to a business with a federal Phase I project may not be used for equipment purchases. Grant funds may be used for salaries/wages only when the employee activity directly supports the SBIR/STTR project. State grant funding may not be used for indirect costs.

Applicants will be required to include in their application a cost breakdown of how State grant funds will be used. A Use of Funds budget template is available for reference.

Application Process

The Department will accept and review applications on a rolling basis throughout the application period. The deadline to submit applications is Monday, May 15, 2023, at 5:00 pm Alaska time. The application can be accessed by clicking the link below:

Note: The following documents must be viewed and printed with Adobe Acrobat. If this application is not already on your system, you can download a copy of this application free at: Adobe Acrobat READER.

ATTENTION: You MUST download the PDF to your computer BEFORE you begin filling it in to save your information. Application document is provided as a fillable PDF form. Some form fields have character limits. If additional space is necessary, include full response in a separate attachment and indicate this in form field.

Completed applications can be submitted to the Department of Commerce, Community, and Economic Development at ced.grants@alaska.gov. DCCED is not responsible for applications or materials lost or delayed in transmission.

Evaluation Criteria

Applications submitted to the Alaska SBIR/STTR Grant Program will be evaluated on a first-come, first-served basis. Applications will be evaluated based on stated eligibility requirements and the applicant’s ability to provide documentation and evidence that meet the requirements. Additionally, projects will be evaluated based on amount of federal funding leveraged; potential to leverage additional federal funding with state grant award; proposed use of state funding and significance of additional funding to the SBIR/STTR project; and alignment of project topic with issues of economic importance in Alaska, including priorities listed in state and/or regional economic development plan(s), business sector needs, and strategic university and industry research areas. Awards will be made until funding for the program is exhausted.

Funds Disbursement

Funding will be distributed through a reimbursable grant agreement with DCCED. DCCED will reimburse the awardee for work performed and/or costs incurred by the business up to the total amount specified in the grant. Only submitted costs determined to be allowable will be reimbursed, and grant funds may be used only for the payment of expenses that have not been claimed or paid by other forms of assistance, including the federal grant. Grantees will request payment electronically using a template provided by the Department. Grantees must submit acceptable documentation to support the expenditures identified in the reimbursement request, and a brief explanation of how the expense furthered the activities outlined in the Scope of Work.

Project Reporting

Grantee shall provide the Department with monthly financial and progress reports using a template provided. Grantee shall also provide a copy of any Federal progress reports submitted during the active State grant award.

Release of Information

All documents submitted to DCCED, including applications, are public records governed by the Alaska Public Records Act, AS 40.25.110 – 40.25.295. Information disclosed to DCCED that is claimed as confidential or proprietary may be exempt from production under the Alaska Public Records Act. If you wish to have information treated as confidential, you must identify the information and mark it as confidential. All applicants should review the Alaska Public Records Act to determine what information may be exempt from disclosure.

For more information about the Alaska SBIR/STTR Grant Program contact:

Laura Vaught
Commissioner’s Office
Department of Commerce, Community, and Economic Development
Phone: (907) 269-7387
Email: Laura.Vaught@alaska.gov