Small Business Innovation Research Opportunities National Science Foundation Alabama A

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Small Business Innovation Research
Opportunities_at_National Science
FoundationAlabama AM UniversityJanuary 28 2008

• Dr. Juan E. Figueroa
• Program Director
• Division of Industrial Innovation and
  Partnerships (IIP)
• Engineering Directorate
• National Science Foundation

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National Science Foundation
Discovery for Innovation
National Science Board
Office of theInspector General
Director
Staff Offices
Directorate for Engineering
Division of Industrial Innovation Partnership
Discovery to Innovation
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Program Descriptions

• SBIR Set-aside program for small business
  concerns to engage in federal RD -- with
  potential for commercialization.
• STTR Set-aside program to facilitate cooperative
  RD between small business concerns and U.S.
  research institutions -- with potential for
  commercialization.

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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 RD needs
• Foster and encourage participation by minorities
  and disadvantaged persons in technological
  innovation
• Increase private-sector commercialization
  innovations derived from federal RD

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SBIR / STTR Participating Agencies

• DOD SBIR/STTR
• HHS SBIR/STTR
• NASA SBIR/STTR
• DOE SBIR/STTR
• NSF SBIR/STTR gt110 M
• DHS SBIR
• USDA SBIR
• DOC SBIR
• ED SBIR
• EPA SBIR
• DOT SBIR

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Industrial Innovation and Partnerships
Division Director
Office of Industrial Innovation
Industry University Cooperative Research Centers
Grants Opportunities for Academic Liaison
With Industry
Small Business Innovation Research
Partnerships for Innovation
Small Business Technology Transfer
American Competitiveness Initiative
Innovations through Partnership
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IIP Team
SBIR/STTR

• Joe Hennessey Sr. Advisor
• Thomas Allnutt BT
• Ali Andalibi BT
• Errol Arkilic EO/IT
• Ian Bennett IT
• Cheryl Albus AM/CT
• Deepak Bhat AM/CT
• Babu DasGupta AM/CT
• Juan Figueroa EL
• Bill Haines - EL
• Murali Nair - EL
• T. James Rudd EL/AM
• George Vermont BT
• Domain Experts

Advanced Materials,Chemical Technologies
Manufacturing Innovation(AM) Biotechnology
(BT)Electronics (EL)Information Technology
(IT)Emerging Opportunities (EO)
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NSF Mission

• To promote the progress of science to advance
  the national health, prosperity, and welfare and
  to secure the national defense

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Primary Objective NSF SBIR/STTR Program

• 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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Program Information

• Funding Level
• 110 million at NSF (for Phase I, Phase II,
  Phase IIB combined)
• 2 billion total in FY06 (11 agencies)
• Applicant must be a Small Business Concern (500
  or fewer employees), organized for-profit, and
  located in the U.S.
• At least 51 U.S.- owned by individuals and
  independently operated
• PIs primary employment is with SBC during the
  project

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Program Information

• NSF is not the final customer
• NSF does not buy product/process or software or
  IP
• NSF wants grantees to successfully commercialize
  high-tech research
• Investment beyond SBIR is needed

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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

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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 commercialize
  your high-tech research
• You need investment beyond NSF SBIR

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All Roles lead to Rome(Private Sector Handoff)

• NSF Discovery FOR Innovation
• IIP Discovery TO Innovation

NSF SBIR/STTR
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Get to Rome (Private Sector)
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Economic Impact
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NSF Phase IIB Matching Funds Trends
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NSF Unique Features

• Phase I Grantees Workshop
• Commercialization Planning Assistance
• Phase II Grantees Conference
• Networking Opportunities
• Phase IB IIB
• Commercialization Incentive Supplement
• Bridge Funding
• SBIR MatchMaker
• Connecting NSF Phase II grantees with Investors
• Student/Teacher/Minority Partnerships
• Research Supplements

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NSF Merit Review Criteria

• Intellectual Merit
• Technical Quality
• Broader Impacts
• Commercialization Potential

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SBIR/STTR Phased Project Structure

• Phase I
• Feasibility Research 20 success
• SBIR -6 months, up to 100,000
• STTR - 12 months, up to 150,000
• Phase II
• Concept Development 50 success
• 2 years, up to 500,000
• Phase IIB Supplemental Research to fit the
  investors needs
• NSF 50,000 to 500,000 (Phase II IIB
  1,000,000 Max)
• Investor 100,000 to gt1,000,000
• Phase III Commercial Application Private funding

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Partnerships Opportunities in SBIR/STTR

• Partnership Optional in SBIR
• Small Business Prime
• In Phase I up to 1/3rd can be other
• In Phase II up to 1/2lf can be other
• Partnership Mandatory in STTR
• 40 to 70 can be Small Business
• 30 to 60 can be Academia/FFRDC

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Faculty Participation in Small Businesses

• Faculty members can be Principal Investigators
  (with official leave from the university)
• Faculty members can be Senior Personnel on a
  grant budget
• Faculty members can consult
• Faculty members can own small firms
• Faculty members can be part of a university
  subcontract
• Universities laboratories can do analytical and
  other service support

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Roles Students Teachers in Small Business Grants

• Supplemental Grants to SBIR/STTR companies
• REU Research Experience for Undergraduates
• Typically 6,000 per student (lt 2
  students/year/grant)
• RET Research Experience for Teachers
• (K 12 Community College Faculty)
• Typically 10,000 per teacher (lt2
  teachers/year/grant)
• RAHSS Research Assistanceship for High School
  Students (modeled after REU to promote Diversity)
• CREST/RISE Minority Serving Research
  Institutions

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SBIR/STTR Home Page

• http//www.nsf.gov/eng/iip/sbir/