Small Business Innovation Research SBIR Small Business Technology Transfer STTR National Science Fou

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Small Business Innovation Research (SBIR)Small
Business Technology Transfer(STTR)National
Science Foundation

• Juan E. Figueroa Ph.D.
• SBIR/STTR Program Manager
• Office of Industrial Innovation
• National Science Foundation

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National Science Foundation
Office of theInspector General
National Science Board
Director
Staff Offices
Directorate for Education and Human Resources
Office of Industrial Innovation SBIR/STTR
Directorate for Engineering
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NSF Engineering Directorate
Acting Assistant Director Richard Buckius Deputy
Assistant Director Michael Reischman
Senior Advisors
Mike Roco
Chemical Transport Systems CTS
Bioengineering Environmental Systems BES
Civil Mechanical Systems CMS
(0.5M) 68.9M)
Bruce Hamilton
Galip Ulsoy
Richard Buckius
Electrical Communications Systems ECS
Design, Manufacture Industrial Innovation DMII
Engineering Education Centers EEC
Office of Industrial Innovation (SBIR/STTR)
Usha Varshney
Warren DeVries
Gary Gabriele
Kesh Narayanan
NSF-wide program
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Program Descriptions

• SBIR Set-aside program for small business
  concerns to engage in federal RD -- with
  potential for commercialization.
• STTR Set-aside program to facilitate cooperative
  RD between small business concerns and U.S.
  research institutions -- with potential for
  commercialization.

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The SBIR/STTR Program

• Small Business Innovation Development Act of 1982
• Congress designated 4 major goals
• Stimulate technological innovation in the private
  sector
• Use small business to meet federal RD needs
• Foster and encourage participation by minorities
  and disadvantaged persons in technological
  innovation
• Increase private-sector commercialization
  innovations derived from federal RD

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SBIR / STTR Participating Agencies

• DOD SBIR/STTR
• HHS SBIR/STTR
• NASA SBIR/STTR
• DOE SBIR/STTR
• NSF SBIR/STTR 104M
• DHS SBIR
• USDA SBIR
• DOC SBIR
• ED SBIR
• EPA SBIR
• DOT SBIR

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SBIR Program Eligibility Checkpoints

• Organized for- profit U.S. business
• At least 51 U.S.-owned and
• independently operated
• Small Business located in the U.S.
• P.I.s primary employment with small
• business during project
• 500 or fewer employees

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Agency SBIR/STTR Differences

• RD Topic Areas
• Dollar Amount of Award (Phase I and II)
• Receipt Dates / Number and Timing of
  Solicitations
• Proposal Review Process
• Proposal Success Rates
• Type of Award (Contract or Grant)
• Many other details
• Profit or fee allowed
• Phase I to Phase II gap funding
• Payment types and schedule

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Small Business Technology Transfer (STTR)

• Three-phase program for cooperative between small
  business and either university or non-profit
  research institution, includes FFRDCs
• Minimum Small Business effort 40 Minimum
  University or Non-Profit effort 30 and
  remaining 30 divided by SB and
  University/Non-Profit or other subcontracts/consul
  tants
• Small business and research institution MUST have
  an intellectual property agreement in place prior
  to a Phase I award, but not essential at time of
  proposal submission. Ongoing dialogue should be
  evident.
• Small business is the grantee or prime
  contractor.
• .30 set aside for 2004

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NSF Mission

• To promote the progress of science to advance
  the national health, prosperity, and welfare and
  to secure the national defense

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Primary Objective NSF SBIR/STTR Program

• To increase the incentive and opportunity for
  small firms to undertake cutting-edge, high risk,
  high quality scientific, engineering, or
  science/engineering education research that would
  have a high potential economic payoff if the
  research is successful.

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NSF SBIR/STTR Innovation Model
STTR Now 150K/12 mos
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NSF Merit Review Criteria

• Intellectual Merit
• Technical Quality
• Broader Impacts
• Commercialization Potential

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Doing Business with NSF

• NSF is not the Final Customer
• NSF is not buying your product/process/software
  or your intellectual property
• NSF has broad market driven technology topics
• you identify the opportunity
• pose the research problem
• propose novel/unique solution
• NSF wants to see you successfully commercialize
  your high-tech research
• You need investment dollars beyond NSF SBIR/STTR

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Market DrivenInvestment Focused Solicitation
Topics

• Biotechnology
• Chemical-Based Technology
• Emerging Opportunities
• Advanced Materials and Manufacturing
• Electronics
• Information-Based Technologies
• Manufacturing Innovation

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Market DrivenInvestment Focused Solicitation
Topics

• Solicitation Released every 6 Months
• Topics rotate 12-18 months
• Current Topics proposals under review
• Manufacturing Innovation (MI)
• Advanced Materials (AM)
• Information Technology (IT)
• Emerging Opportunities (EO)
• Electronic (via the NSF FastLane Submission
  System)
• Register company
• Submit at least 3 to 5 days before the deadline

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Bridging the Gap

• Phase I 100,000 SBIR 6months
• Phase I 150,000 STTR 12months
• Phase II 500,000 SBIR/STTR 24 months
• Phase IIB - Supplemental Research to fit the
  investors needs
• NSF 50,000 to 500,000
• Investor 100,000 to gt1,000,000
• Phase III Commercial Application Private funding

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2004 Phase I Awards
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2005 Phase I Proposals
WA 23/1
NH 10/3
ME 3/1
MT 9/2
VT 7/1
ND 5/0
MN 26/5
OR 13/3
ID 7/0
MA 143/17
WI 13/3
NY 62/9
SD 3/1
MI 75/10
WY 2/1
RI 2/0
CT 19/3
IA 10/1
NE 3/1
PA 64/11
OH 82/10
NV 10/2
IN 17/1
IL 41/2
NJ 40/2
UT 23/5
CA 244/25
CO 59/7
DE 14/1
WV 6/0
VA 63/7
DC 3/0
KS 12/1
MO 20/1
MD 58/8
KY 3/1
NC 21/1
TN 15/3
OK 9/1
AR 19/3
AZ 48/4
SC 14/2
NM 17/3
AL 7/1
GA 40/7
MS 3/0
TX 85/5
LA 9/0
AK 2/0
Guam 0/0
FL 42/4
PR 6/0
Total Submitted 1534 Total Awards 180
HI 3/0
US VI 0/0
Red ESPCoR State Green Awards Black Total
Submitted Proposals
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OII- Supplements

• REU-RET
• Phase IIB
• Phase IIA
• Phase IICC
• Phase IB

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Key Web Sites

• http//www.nsf.gov/div/index.jsp?divHRD
• http//www.nsf.gov/eng/oii