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Juan E. Figueroa Ph.D. SBIR/STTR Program Manager Office of Industrial Innovation

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. Directorate for Computer and Information Science and Engineering.

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Juan E. Figueroa Ph.D. SBIR/STTR Program Manager Office of Industrial Innovation

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  1. 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

  2. Directorate forComputer andInformation Science and Engineering Directorate for Biological Sciences Directorate for Social, Behavioral, and Economic Sciences Directorate for Mathematical and Physical Sciences Directorate for Geosciences Integrative Activities (MRI, STC) Polar and Antarctic Programs 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

  3. 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 Office of Industrial Innovation (SBIR/STTR*) Design, Manufacture & Industrial Innovation DMII Engineering Education & Centers EEC Warren DeVries Usha Varshney Kesh Narayanan Gary Gabriele *NSF-wide program

  4. 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.

  5. 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

  6. TOTAL ~ $2.2 B Est. FY 2006 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

  7. 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

  8. 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

  9. 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

  10. NSF Mission To promote the progress of science; to advance the national health, prosperity, and welfare; and to secure the national defense

  11. 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.

  12. Phase IIBThird-PartyInvestment + 1:2 NSF Matching Private Sector or Non-SBIR Investment Unique to NSF MATCH MAKER PHASE I Feasibility Research $100k/6 mos PHASE III Product Development to Commercial Market PHASE II Research towards Prototype $500k/24 mos Taxes Federal Investment NSF SBIR/STTR Innovation Model STTR Now $150K/12 mos

  13. NSF Merit Review Criteria • Intellectual Merit • Technical Quality • Broader Impacts • Commercialization Potential

  14. 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

  15. Market DrivenInvestment Focused Solicitation Topics • Biotechnology • Chemical-Based Technology • Emerging Opportunities • Advanced Materials and Manufacturing • Electronics • Information-Based Technologies • Manufacturing Innovation

  16. 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

  17. 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 >$1,000,000 • Phase III Commercial Application Private funding

  18. 2004 Phase I Awards

  19. 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 CO 59/7 CA 244/25 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 Red = ESPCoR State Green = Awards Black = Total Submitted Proposals US VI 0/0

  20. OII- Supplements • REU-RET • Phase IIB • Phase IIA • Phase IICC • Phase IB

  21. Key Web Sites http://www.nsf.gov/div/index.jsp?div=HRD http://www.nsf.gov/eng/oii

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