webinar presentation texas sbir/sttr summit and conference the national science foundation’s small...
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Webinar PresentationTexas SBIR/STTR Summit and Conference
The National Science Foundation’s
Small Business Programs
Ruth Shuman, Ph.D.Program Director
Industrial Innovation and PartnershipsNational Science Foundation
June 12, 2013
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The SBIR and STTR Programs
Small Business Innovation Development Act of 1982
Small Business Innovation Research (SBIR): Requirement to set aside 2.5% (now, 2.7%) for all agencies with > $100M of external R&D funding
Small Business Technology Transfer (STTR): Requirement to set aside 0.3% (now, 0.4%) for all agencies with > $1B of external R&D funding
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The SBIR/STTR Program Goals
• Intended to stimulate technological innovation in the private sector
• Primary goals:– Strengthen the role of small business in meeting
Federal research and development needs– Increase the commercial application of federally-
supported research results – Encourage participation by socially and economically
disadvantaged, and women-owned, small businesses
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SBIR/STTR Program Fundamentals
• Provides early-stage funding for R&D on high-risk technologies with high potential for economic/societal benefits
• Targets early-stage development of technology on a commercial path
• Seeks to fund transformational, game-changing technology• Looks for significant market opportunity• Awards based on both technical and commercial merit• Values academic collaboration/translation• Strong focus on commercialization• Encourages ties to private sector
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NSF Program Focus
• Broad, market-driven technology topics: YOU IDENTIFY THE PROBLEM/OPPORTUNITY, PROPOSE THE TECHNOLOGICAL SOLUTION, AND DEVISE YOUR BUSINESS STRATEGY
• NSF is an investor, not the “final customer” (NSF is not buying your technology/product/service)
• NSF wants to see you commercialize your research successfully
• NSF provides incentives to encourage you to find additional investment
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Investors
Industry
NSF ResearchFunding
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Discovery Development Commercialization
Foundations
Valley of Death
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University
Small Business
Innovation Cycle
6Original Chart by Angus Kingon
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Reasons to Seek SBIR/STTR Funding
• Provides “pre-seed” funding to demonstrate proof-of-concept
• Non-dilutive investment; not a loan/equity-free• Provides validation, recognition, visibility• May be leveraged to attract
investment/partnerships• Allows small business to retain IP• Values/encourages/facilitates partnerships,
which enable success
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SBIR Award Information
• Type of Award – 6 month, fixed-price grant• Award Amount:
– Phase I not to exceed $150,000– Phase II not to exceed $750,000
• Estimated Number of Awards – 200 Awards (pending availability of funds)– No obligation to make a specific number of awards
• Anticipated Phase I Funding Amount - $30,000,000 (pending availability of funds)
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STTR Award Information
• Type of Award – 12 month, fixed-price grant• Award Amount:
– Phase I not to exceed $225,000– Phase II not to exceed $750,000
• Estimated Number of Awards – 50 Awards (pending availability of funds)– No obligation to make a specific number of awards
• Anticipated Phase I Funding Amount - $11,250,000 (pending availability of funds)
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Eligibility Information
• Organization Requirements:– Proposals only may be submitted by companies
that qualify as a small business• For profit business • Fewer than 500 employees• Located in the US• 51% owned and controlled by US individuals
– No more than 2 proposals total per company during the SBIR/STTR cycle ending June 13, 2013
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Eligibility Information
• Principal Investigator (PI) Limit:– Primary employment of the PI must be with the
small business at the time the award is made• Defined as 51% (of a 40 hour work week) or greater
– The PI must commit at least 1 calendar month to the SBIR Phase I project; 2 calendar months to the STTR Phase I project
– No more than 1 proposal per PI or Co-PI
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SBIR Consultant/Subaward Information
• Small Business must perform at least 2/3 of the research, as determined by the budget
• Consultants and/or subawardees may perform up to 1/3 of the research, as determined by the budget
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STTR Consultant/Subaward Information
• Collaboration with a research institution is required• A minimum of 40% of the research must be
performed by the company, as measured by the budget
• A minimum of 30% of the research must be performed by the collaborating research institution, as measured by the budget
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Other Important Requirements
• The submission of the same project to both the SBIR and STTR programs is strongly discouraged.
• For STTR proposals, it is highly desirable that the core innovation be linked to fundamental research previously funded by NSF.
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Prior to Submission
• Communicate with the Program Director– Preferred method – e-mail– Send 1-2 page summary that discusses:
• Company/team (including experience with previous SBIR awards)
• Market Opportunity• Technology/innovation• Competition• Collaborators
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Proposal Guidelines
• Phase I – Feasibility and proof-of-concept research focus– Must receive a Phase I award to be eligible to
submit a Phase II proposal• Phase II
– Prototype development and testing research focus
NSF funding may be used for R&D only!
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Funding Criteria
• We fund high-risk, high-payback innovations – With strong potential for commercialization– That demonstrate strategic partnerships with research
collaborators, customers, industry partners, and equity investors
• We do NOT fund– Basic research– Evolutionary optimization of existing products and
processes or modifications to broaden the scope of an existing product, process or application
– Analytical or “market” studies of technologies
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Merit Review Criteria• Intellectual Merit - Quality of the Research
– A sound approach for establishing technical and commercial feasibility
– Qualified technical team– Sufficient access to resources – Significantly advances “state-of-the-art”
• Broader Impact – Potential impact on society– Commercial and societal benefits– Marketable product– Commercialization track record– Business expertise– Competitive advantage
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Commercial Potential• Scope and Nature of the Business Opportunity:
– The addressable target market opportunity• Is this an enabling technology
– The company/team• Business and commercialization experience
– The product features and benefits compared to the competition
– Intellectual Property (IP) position– Financing and revenue model
• Positioned to attract additional investmentIndustrial Innovation & Partnerships – Small Business
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SBIR Topics
• Four broad topic areas:• Biological and Chemical Technologies (BC)• Education Applications (EA)• Electronics, Information and Communication
Technologies (EI)• Nanotechnology, Advanced Materials,
Manufacturing (NM)
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STTR Topic
• Fall topic(s) to be announced
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BC Subtopic Description
• Biological and Chemical Technologies (BC):
– Biological Technologies– Biomedical Technologies– Environmental Technologies– Chemical Technologies
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EA Subtopic Description
• Education Applications (EA):
– Pre-College Education– College and Post-College Education – STEM Educational Gaming– Entrepreneurial Education– Tools for Learning and Assessment
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EI Subtopic Description
• Electronics, Information and Communication Technologies (EI):
– Services: Security & privacy; search & mining; digital arts; financial
– Applications: Mobile; collective intelligence; design/test; virtualization– Systems: HCI; robotics; wireless; instruments; energy
management– Components: MEMS; sensors; optoelectronics; RF; packaging– Devices: Optoelectronics; IC design; other novel devices
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NM Subtopic Description
• Nanotechnology, Advanced Materials, and Manufacturing (NM):
– Nanomaterials, Nanomanufacturing, Nanodevices, and Nanoinstrumentation
– Electronic, Optical, and Magnetic Materials– Materials for Energy Generation and Storage– Structural Materials, Coatings, and High-Temperature
Materials– Sustainable Materials and Smart Materials– Manufacturing Equipment and Processes
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Logistics
• SBIR solicitation released twice per year (Sept. and March)
• STTR solicitation once or twice per year• Proposal deadlines are ~ 3 months after solicitation
release• All proposals are externally-reviewed by domain
experts• Reviewers: Academics, investors, industry,
entrepreneurs• Decision made 4-5 months after proposal receipt• Cash in the bank 7 months after proposal receipt• Post-award, immersion in the NSF’s assistance
programs
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Guide to Proposal Submission
Please use the step-by-step user guide for entering a SBIR or STTR Phase I proposal in
NSF’s FastLane system. http://www.nsf.gov/eng/iip/sbir/FastLane_Step_by_Step_Guide_Phase_I_updated_October_2011.pdf
You must register your company and PI in FastLane prior to submitting your proposal, a process that could take 3-5 days; You are required to provide a Dun and Bradstreet Data Universal Numbering System (DUNS) number; You also are required to register with the System for Award Management database, SAM (www.sam.gov); And, you are required to register in the SBA Company Registry.
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Awardee DemographicsCompany data from FY 2012 Phase I awardees:
– 86% of Phase I awardees have 10 or fewer employees– 90% of Phase I awardee companies were
incorporated since 2007– 73% of Phase I awardees have never received a
Phase II award from any agency
University ties and lineage of Phase II projects (National Academies Study, 2007):
‒ 37% involve faculty members‒ 27% involve graduate students‒ 25% rent/use university facilities‒ 17% issue a subcontract to a university
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Program Statistics – Past 3 Years
• Phase I: On average, 2,112 proposals received with 338 awards made (16% funding rate)
• Phase II: On average, 303 proposals received with 118 awards made (39% funding rate)
• Leverage: For FY2012, the Phase IIB awards (48) were based on $94 million in third-party investment (the vast majority private funds)
• 10-15 acquisitions of Phase II grantees each year
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Thank You!
National Science Foundationhttp://www.nsf.gov/div/index.jsp?org=IIP
Questions?