“Winning SBIR/STTR Proposals from the National Science Foundation”

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

2. TOTAL ~ $2.2 B Est. FY 2008 SBIR / STTR Participating Agencies • DOD SBIR/STTR • HHS SBIR/STTR • NASA SBIR/STTR • DOE SBIR/STTR • NSF SBIR/STTR >$110 M • DHS SBIR • USDA SBIR • DOC SBIR • ED SBIR • EPA SBIR • DOT SBIR

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

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

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

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

11. 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

12. INDUSTRIAL INNOVATION PARTNERSHIPS

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

14. The Larger Context

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

16. List the potential funding sources for your research area 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

17. 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 commercializeyour high-tech research • You need investment $ beyond NSF SBIR

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