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
National Science Foundation
National Science Board
Staff Offices
Office of the Inspector General
Director
Polar and Antarctic Programs
Directorate for Biological Sciences
Directorate for Computer and Information Science and Engineering
Directorate for Education and Human Resources
Integrative Activities (MRI, STC)
Office of Industrial Innovation SBIR/STTR
Directorate for Engineering
Directorate for Geosciences
Directorate for Mathematical and Physical Sciences
Directorate for Social, Behavioral, and Economic Sciences
NSF Engineering Directorate
Acting Assistant Director Richard Buckius Deputy Assistant Director Michael Reischman
Senior Advisors
Mike Roco
Bioengineering & Environmental Systems BES Bruce Hamilton Office of Industrial Innovation (SBIR/STTR*) Kesh Narayanan
Civil & Mechanical Systems CMS
Galip Ulsoy
Chemical & Transport Systems CTS ($0.5M) $68.9M) Richard Buckius Engineering Education & Centers EEC Gary Gabriele *NSF-wide program
Design, Manufacture & Industrial Innovation DMII Warren DeVries
Electrical & Communications Systems ECS Usha Varshney
Program Descriptions
SBIR: Set-aside program for small business concerns to engage in federal R&D -- with potential for commercialization.
STTR: Set-aside program to facilitate cooperative R&D between small business concerns and U.S. research institutions -- with potential for commercialization.
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 R&D needs
Foster and encourage participation by minorities and disadvantaged
persons in technological innovation Increase private-sector commercialization innovations derived from federal R&D
SBIR / STTR Participating Agencies
DOD HHS NASA DOE NSF SBIR/STTR SBIR/STTR SBIR/STTR SBIR/STTR SBIR/STTR
~$104M
TOTAL ~ $2.2 B Est. FY 2006
DHS USDA DOC ED EPA DOT
SBIR SBIR SBIR SBIR SBIR SBIR
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
Agency SBIR/STTR Differences
R&D 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
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/consultants
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
NSF Mission
To promote the progress of science; to
advance the national health, prosperity,
and welfare; and to secure the national defense
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.
NSF SBIR/STTR Innovation Model
Phase IIB Third-Party Investment + 1:2 NSF Matching Private Sector or Non-SBIR Investment
Unique to NSF
STTR Now $150K/12 mos
MATCH MAKER
PHASE I Feasibility Research $100k/6 mos
PHASE II Research towards Prototype $500k/24 mos
PHASE III Product Development to Commercial Market
Taxes
Federal Investment
NSF Merit Review Criteria
Intellectual Merit
Technical Quality
Broader Impacts
Commercialization Potential
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
Market Driven Investment Focused Solicitation Topics Biotechnology Chemical-Based Technology Emerging Opportunities Advanced Materials and Manufacturing
Electronics
Information-Based Technologies
Manufacturing Innovation
Market Driven Investment 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)
Register company Submit at least 3 to 5 days before the deadline
Electronic (via the NSF FastLane Submission System)
Bridging the Gap
Phase I Phase I Phase II $100,000 $150,000 $500,000 SBIR 6months STTR 12months SBIR/STTR 24 months
Phase IIB - Supplemental Research to fit the
investors’ needs
NSF: $50,000 to $500,000 Investor: $100,000 to >$1,000,000
Phase III Commercial Application Private funding
2004 Phase I Awards
2004 Phase I Proposals
Total Submitted = 2598 Total Awards = 267 WA 24/3 OR 33/0 ID 11/2 NV 4/1 MT 20/5 ND 11/3 SD 5/0 NE 5/2 KS 21/4 OK 12/1 TX 123/10
NH VT 10/0 17/2 ME 15/3
MN 34/1 IA 9/1 MO 30/4 AR 21/5 LA 7/2
WY 2/0 CO 107/12
WI 20/5
MI 74/8
NY 117/11
MA 252/28 RI 6/0 CT 30/2 NJ 102/10 DE 18/0 DC 2/0 MD 114/6
CA 550/57
UT 23/3
AZ 58/5
NM 27/4
OH PA 72/5 IN 104/11 IL WV VA 83/2 21/3 6/1 110/8 KY 7/2 NC 42/8 TN 16/0 SC AL GA 10/1 MS 12/4 51/5 7/3 FL 83/7
AK 2/0
PR 1/1
Green = ESPCoR State Red = Awards Black = Total Submitted Proposals
HI 13/2
US VI 0/0 Guam 0/0
2005 Phase I Proposals
WA 23/1 OR 13/3 ID 7/0 MT 9/2 ND 5/0
VT 7/1 NH 10/3 ME 3/1 MA 143/17 RI 2/0 CT 19/3 NJ 40/2 DE 14/1 DC 3/0 MD 58/8
WY 2/1 CO 59/7
SD 3/1
NE 3/1 KS 12/1 OK 9/1 TX 85/5
MN 26/5 IA 10/1 MO 20/1 AR 19/3 LA 9/0
WI 13/3
CA 244/25
NV 10/2
UT 23/5
AZ 48/4
NM 17/3
MI 75/10 OH PA 64/11 IL IN 82/10 41/2 17/1 WV VA 6/0 63/7 KY 3/1 NC 21/1 TN 15/3 SC AL GA 14/2 MS 7/1 40/7 3/0
NY 62/9
Guam 0/0
AK 2/0
FL 42/4
HI 3/0 Total Submitted = 1534 Total Awards = 180
PR 6/0
US VI 0/0
Red = ESPCoR State Green = Awards Black = Total Submitted Proposals
OII- Supplements
REU-RET Phase IIB Phase IIA
Phase IICC
Phase IB
Key Web Sites
http://www.nsf.gov/div/index.jsp?div=HRD
http://www.nsf.gov/eng/oii