1. Industrial Innovations & Partnerships Juan E. Figueroa Program Director Division of Industrial Innovation and Partnerships (IIP) National Science Foundation “Winning SBIR/STTR Proposals from the National Science Foundation”

2. DODSBIR/STTR HHSSBIR/STTR NASA SBIR/STTR DOE SBIR/STTR NSF SBIR/STTR >$110 M DHSSBIR USDASBIR DOCSBIR EDSBIR EPASBIR DOTSBIR SBIR / STTR Participating Agencies TOTAL ~ $2.2 B Est. FY 2008

3. 3 Directorate for Engineering Emerging Frontiers in Research and Innovation (EFRI) Sohi Rastegar Emerging Frontiers in Research and Innovation (EFRI) Sohi Rastegar Chemical, Bioengineering, Environmental, and Transport Systems (CBET) John McGrath Chemical, Bioengineering, Environmental, and Transport Systems (CBET) John McGrath Civil, Mechanical, and Manufacturing Innovation (CMMI) Steven McKnight Civil, Mechanical, and Manufacturing Innovation (CMMI) Steven McKnight Electrical, Communications, and Cyber Systems (ECCS) Robert Trew Electrical, Communications, and Cyber Systems (ECCS) Robert Trew Engineering Education and Centers (EEC) Theresa Maldonado Engineering Education and Centers (EEC) Theresa Maldonado Industrial Innovation and Partnerships (IIP) Don Senich (Acting) Industrial Innovation and Partnerships (IIP) Don Senich (Acting) Office of the Assistant Director Thomas Peterson Deputy Assistant Director Kesh Narayanan Office of the Assistant Director Thomas Peterson Deputy Assistant Director Kesh Narayanan Senior Advisor for Nanotechnology Mihail Roco Senior Advisor for Nanotechnology Mihail Roco

4. 4 Innovation Cluster Cheryl Albus Innovation Cluster Cheryl Albus Grant Opportunities for Academic Liaison with Industry Donald Senich Grant Opportunities for Academic Liaison with Industry Donald Senich Small Business Partnerships Joe Hennessey Small Business Partnerships Joe Hennessey Division Director Donald Senich (Acting) Division Director Donald Senich (Acting) AAAS Fellow Reeshemah Burrell AAAS Fellow Reeshemah Burrell Academic Partnerships Donald Senich Academic Partnerships Donald Senich Einstein Fellows Robert Pauley Mark Supal Einstein Fellows Robert Pauley Mark Supal Operations Specialist Greg Misiorek Operations Specialist Greg Misiorek Program Support Manager Amanda May Program Support Manager Amanda May Industry/University Cooperative Research Centers Rathindra DasGupta Larry Hornak Industry/University Cooperative Research Centers Rathindra DasGupta Larry Hornak Partnerships for Innovation (PFI) Sara Nerlove Partnerships for Innovation (PFI) Sara Nerlove Accelerating Innovation Research (AIR) Karlene Hoo Accelerating Innovation Research (AIR) Karlene Hoo Industrial Innovation and Partnerships I-Corps E. Arkilic, R. DasGupta, R. Voyles (CISE) I-Corps E. Arkilic, R. DasGupta, R. Voyles (CISE) Nanotechnology, Advanced Material & Manufacturing (NM) Ben Schrag, Grace Wang Nanotechnology, Advanced Material & Manufacturing (NM) Ben Schrag, Grace Wang Biological and Chemical Technology (BC) Prakash Balan, Ruth Shuman, Biological and Chemical Technology (BC) Prakash Balan, Ruth Shuman, Electronics, Information & Communication Technology (EI) Juan Figueroa, Murali Nair Electronics, Information & Communication Technology (EI) Juan Figueroa, Murali Nair Education Applications (EA) Glenn Larsen Education Applications (EA) Glenn Larsen Experts/Special Topics George Vermont Experts/Special Topics George Vermont Analysts Alex Schwarzkopf, Kevin Simmons Analysts Alex Schwarzkopf, Kevin Simmons

5. National Science Foundation SBIR/STTR Program National Science Foundation Mission To promote the progress of science; to advance the national health, prosperity, and welfare; and to secure the national defense Primary Objective National Science Foundation SBIR/STTR 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.

6. 6 IIP Vision & Mission Vision - To be the pre-eminent federal resource driving the expansion of our nation’s innovation capacity by stimulating partnerships among industry, academe, investors, government and other stakeholders Mission – IIP will enhance our nation’s economic competitiveness by catalyzing the transformation of discovery into societal benefits through stimulating partnerships and promoting learning environments for innovators

7. 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

8. INDUSTRIAL INNOVATION PARTNERSHIPS8 NSF SBIR Culture/Mantra Research: Transformation of money into knowledge Innovation: Transformation of knowledge into money -Geoff Nicholson, 3M

9. 9 Non-Disclosure and Conflict of Interest Non-disclosure and General Conflict of Interest Proposals are proprietary - NDA Financial resources are deployed – COI Declare actual and perceived “specific” conflicts Typical conflicts:  close friend or relative  financial tie or direct competitor to the firm  student or advisor relationship  co-author of paper within past 48 months  from subaward institution If conflict, leave room during discussion of the proposal Turn in “specific” Conflict-of-Interest form

10. 10 Private Sector Handoff NSF – Discovery FOR Innovation IIP – Discovery TO Innovation Technology Maturity Level Market Penetration Re$ources Available Product Dev Growth Public Sector Private Sector Academic Research Basic Research Initial Commercialization Mature Innovation/ Translational Research

11. INDUSTRIAL INNOVATION PARTNERSHIPS11 NSF SBIR Program Foundations Great emphasis on Commercial Potential Innovation-Business proposals Not basic/fundamental research proposals No “idea” proposals  Deliverables  Milestones

12. INDUSTRIAL INNOVATION PARTNERSHIPS12

13. Get to Rome (Private Sector) Venture Capital Threshold Angel Capital Threshold Strategic Partners Threshold NSF SBIR/STTR Threshold Technology Risk Market Risk People Risk Finance Risk Friends And Family Threshold Phase I Phase II Phase IIB

14. The Larger Context

15. Rule 1 When you go to a Federal agency asking for money, be sure your request fits within the goals of the agency

16. Your Funding Base NSF should not be the sole source of funding for your research Internal support State support Industry support Other Federal agency support List the potential funding sources for your research area

17. 17 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 Doing Business with NSF

18. Funding Criteria Must be high-payback innovations involving high risk and commercial potential Demonstrate Strategic Partnerships with Research Collaborators, Customers and Equity Investors We do NOT fund  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

19. DON’Ts Rush Wait until last minute (1 month) to contact program directors Make the proposed work (research and education) too broad Make the proposed work too narrow Scope it wrongly Too much work for the money asked Too much money for work to be done Outside the expectations of the program Ignore rules (Grant Proposal Guide) and misc. items

20. Proposal Basics Write to the reviewers (not to Program Officer and not to yourself) Your proposal will be judged by the reviewers Reviewers want to know four things: What is it about (the research objective)? How will you do it (the technical approach)? Can you do it (you and your facilities)? Is it worth doing (intellectual merit and broader impact)? This is, basically, all the proposal needs to convey – but it needs to convey this

21. Follow the NSF Guidelines Proposal & Award Policies & Procedures Guide (PAPPG) Grant Proposal Guide (GPG) Grants.gov Application Guide Program Solicitation Budget guidelines

22. Grant Proposal Guide (GPG) Provides guidance for preparation and submission of proposals to NSF; Allowable fonts, margins, page limits, bio format, etc. Process for deviations from the GPG Process and criteria by which proposals will be reviewed Reasons why a proposal may be returned without review Reconsideration process Process for withdrawals, returns & declinations Award process and procedures for requesting continued support Budget line item definitions Process for submission of collaborative proposals (subawards and multiple proposals)

23. 23 SBIR/STTR Home Page Juan E. Figueroa jfiguero@nsf.gov http://www.nsf.gov/eng/iip/sbir/