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Program Director Division of Industrial Innovation and Partnerships
(IIP)National Science Foundation
“Winning SBIR/STTR Proposals
from the National Science Foundation”
DOD SBIR/STTRHHS SBIR/STTRNASA SBIR/STTRDOE SBIR/STTRNSF SBIR/STTR >$110 M
DHS SBIR USDA SBIRDOC SBIRED SBIREPA SBIRDOT SBIR
SBIR / STTR Participating Agencies
TOTAL ~ $2.2 B Est. FY 2008
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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
EngineeringEducation and
Centers(EEC)
Theresa Maldonado
EngineeringEducation and
Centers(EEC)
Theresa Maldonado
IndustrialInnovation andPartnerships
(IIP)Don Senich
(Acting)
IndustrialInnovation andPartnerships
(IIP)Don Senich
(Acting)
Office of the Assistant Director
Thomas PetersonDeputy Assistant Director
Kesh Narayanan
Office of the Assistant Director
Thomas PetersonDeputy Assistant Director
Kesh Narayanan
Senior Advisor forNanotechnology
Mihail Roco
Senior Advisor forNanotechnology
Mihail Roco
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Innovation ClusterCheryl Albus
Innovation ClusterCheryl Albus
Grant Opportunitiesfor AcademicLiaison with
IndustryDonald Senich
Grant Opportunitiesfor AcademicLiaison with
IndustryDonald Senich
Small Business PartnershipsJoe Hennessey
Small Business PartnershipsJoe Hennessey
Division DirectorDonald Senich (Acting)
Division DirectorDonald Senich (Acting)
AAAS Fellow Reeshemah
Burrell
AAAS Fellow Reeshemah
Burrell
Academic PartnershipsDonald Senich
Academic PartnershipsDonald Senich
Einstein FellowsRobert Pauley
Mark Supal
Einstein FellowsRobert Pauley
Mark Supal
Operations Specialist
Greg Misiorek
Operations Specialist
Greg Misiorek
ProgramSupport Manager
Amanda May
ProgramSupport Manager
Amanda MayIndustry/University
CooperativeResearch CentersRathindra DasGupta
Larry Hornak
Industry/UniversityCooperative
Research CentersRathindra 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-CorpsE. Arkilic, R. DasGupta,
R. Voyles (CISE)
I-CorpsE. 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
AnalystsAlex Schwarzkopf,
Kevin Simmons
AnalystsAlex Schwarzkopf,
Kevin Simmons
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.
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IIP Vision & MissionVision - 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
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
INDUSTRIAL INNOVATION PARTNERSHIPS
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NSF SBIR Culture/Mantra
Research: Transformation of money into knowledge
Innovation: Transformation of knowledge into money
-Geoff Nicholson, 3M
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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
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Private Sector HandoffNSF – Discovery FOR InnovationIIP – Discovery TO Innovation
TechnologyMaturity Level
Market Penetration
Re$
ou
rces
Ava
ilab
le
Product Dev
GrowthPublic Sector
Private Sector
AcademicResearch
Basic Research
InitialCommercialization
Mature
Innovation/TranslationalResearch
INDUSTRIAL INNOVATION PARTNERSHIPS
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NSF SBIR Program Foundations
Great emphasis on Commercial
Potential
Innovation-Business proposals
Not basic/fundamental research proposals
No “idea” proposals
Deliverables
Milestones
INDUSTRIAL INNOVATION PARTNERSHIPS
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Get to Rome (Private Sector)
Venture Capital Threshold
Angel Capital Threshold
Strategic Partners Threshold
NSFSBIR/STTRThreshold
Technology Risk
Market Risk
People RiskFinance Risk
FriendsAnd FamilyThreshold
Phase I
Phase II
Phase IIB
The Larger Context
Rule 1
When you go to a Federal agency
asking for money, be sure your request
fits within the goals of the agency
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
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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
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
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
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
Follow the NSF Guidelines
Proposal & Award Policies &
Procedures Guide (PAPPG)
Grant Proposal Guide (GPG)
Grants.gov Application Guide
Program Solicitation
Budget guidelines
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)
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SBIR/STTR Home Page
Juan E. Figueroa
http://www.nsf.gov/eng/iip/sbir/
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