Ben Schrag bschrag@nsf Division of Industrial Innovation and Partnerships

1. The National Science FoundationSmall Business Innovation Research (SBIR)Small Business Technology Transfer (STTR)Programs Ben Schrag bschrag@nsf.gov Division of Industrial Innovation and Partnerships

2. NSF BIO CISE EHR ENG GEO MPS SBE Directorates CBET CMMI ECCS EEC IIP Divisions STTR SBIR GOALI PFI I/UCRC Programs

3. NSF Division of Industrial Innovation and Partnerships • 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

4. Innovation* The design, invention, development and/or implementation of new or altered products, services, processes, systems, organizational structures, or business models for the purpose of creating new value for customers and financial returns for the firm *Innovation Measurement A Report to the Secretary of Commerce January 2008

5. -----------II-R---- ------------- Supplements Industry ------II-B--------------------- Valley of Death Resources Available ($) Academia Development Commercialization Discovery PFI NSF STTR ENG GOALI I/UCRC NSF SBIR Level of Development NSF ERC From Angus Kingon Innovation Spectrum Accelerate Innovation Investors Small Business

7. Funding Criteria • Must be high-paybackinnovations 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

8. Review Criteria (Technical) • Intellectual Merit • A sound approach to establish technical & commercial feasibility • Technical Team qualifications • Sufficient access to resources • Reflects “state-of-the-art”

9. Review Criteria (Commercial) • Broader/Commercial Impacts • What may be the commercial and societal benefits of the proposed activity? • If the benefit is primarily commercial, does the potential impact warrant significant NSF support? • Does the business team possess the relevant skills to commercialize the proposed innovation? • In what business skill areas is the team lacking and how do they plan to fill these gaps? • Has the proposing firm successfully commercialized SBIR/STTR-supported technology where prior awards have been made? (Or, has the firm been successful at commercializing technology that has not received SBIR/STTR support?) • Evaluate the competitive advantage of this technology vs. alternate technologies that can meet the same market needs. • Does the proposal lead to enabling technologies (instrumentation, software, etc.) for further innovation? • How well is the proposed activity positioned to attract further funding from non-SBIR sources once the SBIR project ends?

10. Program Information • Funding Level • NSF ~ $120 million (for Phase I, Phase II, Phase IIB combined) • Federal ~ $2.6 billion total in FY09 (11 agencies) • SBIR = 2.5% and STTR = 0.3% of NSF budget • Applicant must be a for-profit Small Business (500 or fewer employees) located in the U.S. • At least 51% U.S.- owned by individuals and independently operated • PI’s primary employment is with small business during the project

11. NSF SBIR Program • $120 M/year in chunks of $150K (Phase I) and $500K (Phase II) • Broad topics • Biotech and Chemical Technologies – 3 Program Managers • Information and Communications Technology – 3 Program Managers • Nano/Advanced Materials and Manufacturing – 4 Program Managers • Education Applications – 1 Program Manager • Placing bets on high-risk/high-impact innovation research • NOT Basic Research • NOT Equity Investment • NOT contract R&D • Solicitation released twice per year (in Sept. and March) • Two due dates: Dec. and June • All proposals are externally-reviewed Reviewers: Academic, Equity Investors, Industrial Reviews: Technology and Commercial reviewers • Dialog encouraged throughout the process • Decision made three-four months after proposal receipt • Cash in the bank 6 mos after proposal receipt • After the cash, immersion in NSF network

12. Nano/Materials Topics • AM1 – Electronic and Magnetic Materials • AM2 – Optical and Optoelectronic Materials • AM3 – Materials for Solar Energy Applications • AM4 – High-temperature Materials • AM5 – Structural Materials • AM6 – Coatings and Surface Modification • AM7 – Smart and Specialized Materials • AM8 – Materials for Sustainability • N1 – Nanomaterials • N2 – Nanomanufacturing • N3 – Nanoelectronics and Active Nanostructures • N4 – Nanotechnology for Biological and Medical Applications • N5 – Instrumentation for Nanotechnology

13. Thank You bschrag@nsf.gov

14. NSF SBIR Program • World’s biggest seed-stage program • Focus on market not technology • Powerful transition tool • Deep ties to private sector • High-leverage for post-academic effort