National Science Foundation SBIRSTTR Small Business Innovation Research SBIR Program Small Business

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National Science Foundation SBIR and STTR
Opportunities
Dr. Sara Nerlove Program Manager, SBIR/STTR Third
Annual STTR/SBIR-HBCU/MI Technical Assistance
Conference Normal AL January 27-29, 2003
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SBIR Innovation Model
Phase IIBThird-PartyInvestment
Private Sector or Non-SBIR Investment
MATCH MAKER
PHASE I Feasibility Research
PHASE III Product Development to Commercial Market
PHASE II Research towards Prototype
Taxes
Federal Investment
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The NSF Vision

• Enabling the Nations future through discovery,
  learning, and innovation...

Joseph Bordogna Deputy Director National Science
Foundation
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Doing Business with NSF

• NSF is not the Final Customer
• NSF is not buying your product/process or
  software or your intellectual property
• NSF wants to see you successfully commercialize
  your high-tech research
• You need investment beyond NSF SBIR

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Participating Agencies

• DOD
• HHS
• NASA
• DOE
• NSF 90 Million
• USDA
• DOC
• EPA
• DOT
• DoED

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SBIR/STTR Phased Project Structure

• Phase I Feasibility Research - 15-20 success
  SBIR -6 months, up to 100,000 STTR - 12
  months, up to 100,000

• Phase II Concept Development - 50 success 2
  years, up to 500,000

• Phase IIB Supplemental Research to fit the
  investors needs
• NSF 50,000 to 250,000(or Phase II IIB,
  750,000 Max)
• Investor 100,000 to gt500,000

• Phase III Commercial Application -
• Non-SBIR funding, primarily private

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Features of NSF SBIR/STTR Program

• Four Broad Investment-Driven, Business Focused
  Solicitation Topics
• STTR same topics/submission dates as SBIR
• Two Phase I Deadlines-Two Topics per Deadline
• June 12, 2003
• Electronics (EL) Information-Based Technologies
  (IT)
• January 20, 2004
• Advance Materials, Manufacturing, Chemical
  Processes (AM) Biotechnology (BT )
• Tentative Dates 2003 Solicitation Release Date
• March 1, 2003

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Who is the End-User?What is the Application?
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Who is the End-User?What is the Application?
Projects Addressing Structural MtlsChemical
orMfg.Processes
High Temp CompositesCorrosionResistantCoatings
AM
For
Submit to
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Phase I Proposal Submission Limit

• Each company may submit a maximum of 4 Phase I
  proposals during the FY03 Solicitation cycle

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EPSCoR/SBIR Advantage

• EPSCoR stands for Experimental Program to
  Stimulate Competitive Research
• NSF strong partnership between EPSCoR and SBIR
  Programs
• EPSCoR may fund Phase I proposals that do not
  make the first cut of 20 but are recommended
  for funding if funds are available
• You get a 2nd chance!
• But you must submit a competitive proposal!

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Partnerships Opportunities in SBIR/STTR

• Partnership Optional in SBIR
• Small Business Prime
• In Phase I up to 1/3 can be other
• In Phase II up to 1/2 can be other
• Partnership Mandatory in STTR
• 40 to 70 can be Small Business
• 30 to 60 can be Academia/Non-
  Profit Research Institute
• Up to 30 can be other

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Role of University in SBIR/STTR Programs

• University is the intellectual capital of
  scientific and engineering knowledge
• Small Business is a vehicle for channeling
  scientific discovery to the benefit of society
• Partnership between the University and the Small
  Business benefits BOTH

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Faculty Partnership in Small Business

• Faculty members can own small firms
• Faculty members can be Senior Personnel on a
  grant budget
• Faculty members can consult
• Faculty members can be Principal Investigators
  (with official leave from the university)
• Faculty members can be part of a university
  subcontract
• University laboratories can do analytical and
  other service support

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Students Teachers in Small Businesses

• Supplemental Grants to SBIR/STTR
• Typically as Supplements to Phase II awards
• REU http//www.nsf.gov/home/crssprgm/reu/start.htm
  
• Currently, NSF 02-136
• Research Experience for Undergraduates
• Typically 6,000/student
• 1 to 2 students/year
• RET http//www.nsf.gov/ret
• Research Experience for K-12 teachers
• Typically 10,000/teacher
• 1 teacher/year

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NSF Phase IIB Option

• Supplemental Research to Phase II
• Bridge the gap between Phase II and Phase III
• Third-Party match required
• Third-Party can be Private, State, or Federal

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New FeatureNSF MatchMaker

• Goal - Link Early Stage Investors (ESI) and
  Strategic Corporate Partners (SCP) with Qualified
  Phase II Grantees

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NSF Merit Review Criteria

• Research
• Quality
• Research Impact
• Commercialization Potential

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Some General Overall Questions to be Considered

• Is there a need for this technology?
• Have I put together the necessary team for a
  successful program?
• Who will benefit from this technology?
• Are the tasks and budget reasonable for the
  program being proposed?
• Who are the customers and who will invest?
• Has ownership of intellectual property been
  addressed?

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SBIR/STTR Home Page
http//www.eng.nsf.gov/sbir Other Key
Websites http//www.zyn.com http//www.sbirworld.c
om OSDBU SADBU http// www.nsf.gov/contracting
opportunities