National Science Foundation
Small Business Technology Transfer
(STTR) Program
Barry W. Johnson
Division Director
Division of Industrial Innovation and Partnerships
National Science Foundation
May 1, 2015
NSF Mission and Vision
Mission
• “to promote the progress of
science; to advance the
national health, prosperity, and
welfare; to secure the national
defense; and for other
purposes.”
Vision
• “A Nation that creates and
exploits new concepts in
science and engineering and
provides global leadership in
research and education.”
2
NSF Strategic Goals
• Strategic Goal 1: Transform the frontiers of science and
engineering.
• Strategic Goal 2: Stimulate innovation and address societal
needs through research and education.
• Strategic Goal 3: Excel as a federal science agency.
National Science Foundation
3
Director Dr. France Cordova
Directorate for
Engineering
Directorate for
Computer and
Information
Science and
Engineering
Directorate for
Geosciences
Directorate for
Education and
Human
Resources
Directorate for
Mathematical
and Physical
Sciences
Directorate for
Social,
Behavioral,
and Economic
Sciences
National Science Board
Office of the
Inspector General
Deputy Director
Office of Diversity and
Inclusion
Office of International &
Integrative Activities
Office of the General
Counsel
Office of Legislative and
Public Affairs
Directorate for
Biological
Sciences
Office of Budget,
Finance & Award
Management
Office of Information
& Resource
Management
4
Directorate of Engineering
Emerging Frontiers in Research and Innovation
(EFRI) Sohi Rastegar
Chemical,
Bioengineering, Environmental, and Transport
Systems (CBET)
JoAnn Lighty
Civil,
Mechanical, and Manufacturing
Innovation (CMMI)
Deborah Goodings
Electrical,
Communications, and Cyber
Systems (ECCS)
Samir El-Ghazaly
Engineering
Education and Centers
(EEC)
Donald
Millard (acting)
Industrial
Innovation and Partnerships
(IIP)
Barry Johnson
Assistant Director for ENG
Pramod Khargonekar
Deputy Assistant Director
Grace Wang
Senior Advisor for Nanotechnology
Mihail Roco
Division of Industrial Innovation and Partnerships (IIP)
Grant Opportunities for
Academic Liaison
with Industry (GOALI)
Rathindra (Babu) DasGupta
Division Director Barry W. Johnson
Partnerships for Innovation:
Accelerating Innovation
Research (PFI-AIR)
Barbara Kenny
Advanced Material &
Instrumentation (MI)
Ben Schrag
Partnerships for Innovation:
Building Innovation Capacity
(PFI-BIC)
Sara Nerlove
SBIR/STTR Program Joe Hennessey
Academic Cluster Rathindra (Babu) DasGupta
Industry/University
Cooperative Research
Centers (I/UCRC)
Rafaella Montelli
Semiconductors (S) & Photonic
(PH) Devices and Materials
Steven Konsek
Advanced Material &
Nanotechnology (MN)
Rajesh Mehta
Information and Communication
Technologies (IC)
Peter Atherton
Electronic Hardware, Robotics
and Wireless Technologies (EW)
Murali Nair
Chemical and Environmental
Technologies (CT)
Prakash Balan
Biological Technologies (BC)
Ruth Shuman
Smart Health (SH) and
Biomedical (BM) Technologies
Jesus Soriano
Education Applications
and Technologies (EA)
Glenn Larsen
Innovation-Corps (I-Corps)
Rathindra (Babu) DasGupta
5
Investors
Industry NSF
ove
rall
GO
ALI
STTR
PFI
ERC
I/U
CR
C
SBIR
STC
Re
sou
rce
s In
vest
ed
Discovery Development Commercialization
Foundations
Valley of Death
I-C
orp
s
Universities
NSF Program Spectrum
“Ditch of Death”
6
Small Businesses
IA IA
Phase IB
Third-Party
Investment + 1:2
NSF Matching
(up to $30k)
Phase IIB
Third-Party
Investment + 1:2
NSF Matching
(up to $500k)
Private Sector
Or
Non-SBIR
Investment
Phase I Feasibility Research
SBIR - $ 150k/6 months
STTR - $ 225k/12 months
Phase II Research towards
Prototype
$750k/24 months
Phase III Product Development
to
Commercial Market
IA = Innovation Accelerator 7
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
– Intellectual Property/Other Competitive advantages
8
STTR Phase I Proposals and Awards
0
50
100
150
200
250
300
350
400
450
2005 2006 2007 2008 2009 2010 2011 2012 2013 2014
STTR Phase I Proposals
STTR Phase I Awards
9
STTR Phase II Proposals and Awards
0
10
20
30
40
50
60
70
80
90
2005 2006 2007 2008 2009 2010 2011 2012 2013 2014
STTR Phase II Proposals
STTR Phase II Awards
10
Example of Successful Evolution
11 0.1 L 1 mL 10 L 1 m3
2006 2011 2012 2015 2013
2008-10
2015
2012-13
2010-15
2013-15
Reactor volume increase
