Division of Industrial Innovation and Partnerships (IIP)

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Small Business Innovation Research Opportunities
at the National Science Foundation
Dr. Sara Nerlove Program Director Partnerships
for Innovation Division of Industrial Innovation
and Partnerships Engineering Directorate NSF Nor
thwest Ohio Small Business Innovation Research
(SBIR) Workshop Toledo, OH December 3, 2007
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The NSF Vision

• Enabling the Nations future through discovery,
  learning, and innovation...

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Program Information

• Funding Level
• 105 million at NSF (for Phase I, Phase II,
  Phase IIB combined)
• At least 51 U.S.- owned by individuals and
  independently operated
• PIs primary employment is with SBC during the
  project

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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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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 IB Gap Funding to 50,000
• 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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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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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 for Students Teachers in Small Business
Grants

• Supplemental Grants to SBIR/STTR companies
• REU Research Experience for Undergraduates
• Typically 6,000 per student (lt2
  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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NSF Merit Review Criteria

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

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Topics of NSF SBIR/STTR Program

• Broad Market-Driven
• STTR same topics as SBIR
• Topics to be announced in March 2008

June 10, 2008

• Register your firm at NSF FastLane (electronic
  web)
• --can do this well ahead of time
• Submit several days ahead of the deadline dont
  wait
• 1 month submission window May 10 June 10, 2008

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2007 Phase I Proposals Total Submitted 2179
Total Awards 511
WA 35/6
NH 8/0
ME 6/1
MT 20/12
VT 13/8
ND 3/1
MN 52/6
OR 34/4
ID 6/2
MA 229/48
WI 15/3
NY 118/26
SD 6/2
MI 62/17
WY 0/0
RI 4/0
IA 13/2
CT 20/2
NE 6/2
PA 61/16
NV 16/1
OH 95/16
IN 29/9
IL 79/17
NJ 50/14
UT 30/10
CA 389/98
CO 93/39
WV 5/0
DE 22/6
VA 67/8
KS 12/1
MO 35/5
MD 84/17
DC 0/0
KY 12/2
NC 39/15
TN 25/6
OK 7/0
AR 46/15
AZ 41/6
SC 14/11
NM 32/6
AL 18/2
GA 29/7
MS 7/4
TX 112/16
LA 3/2
AK 2/0
Guam 0/0
FL 63/19
PR 5/0
HI 7/1
Blue ESPCoR State Red Awards Black Total
Submitted Proposals
US VI 0/0
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SBIR/STTR Home Page

• http//www.nsf.gov/eng/iip/sbir/