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1
National Science National Science Foundation Foundation
Engineering Directorate Engineering Directorate
Industrial Innovation & Industrial Innovation & Partnerships DivisionPartnerships Division
2
Overview
Introduction to NSF Engineering Directorate Industrial Innovation & Partnerships SBIR/STTR Contact Information
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National Science Foundation
Created: 1950 Federal Agency: Independent Total Budget FY 2007:$5.92 B
» FY 2008: $6.43 B (Request) Director and Deputy Director: Presidential
appointees Employees:1,200
Intergovernmental Personnel Act (IPA): 1/3 Federal service appointments: 2/3
Supports: Basic research and education Grant Mechanism: Merit-based review
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NSF Mission & Vision Mission:
To promote the progress of science; to advance the national health, prosperity and welfare; to secure the national defense
Vision:Advancing discovery, innovation and education beyond the frontiers of current knowledge, and empowering future generations in science and engineering
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DirectorDr. Arden Bement
Organizational Structure
Directorate forEngineering
Directorate forComputer and
InformationScience andEngineering
Directorate forGeosciences
Directorate forEducation and
HumanResources
Directorate forMathematicaland Physical
Sciences
Directorate forSocial,
Behavioral,and Economic
Sciences
http://www.nsf.gov
National Science Board Office of theInspector General
Deputy DirectorDr. Kathie Olsen
Office of International Science and Engineering
Office of Equal Opportunity Programs
Office of Integrative Activities
Office of Budget, Finance, and Award Management
Office of Information and Resource Management
Office of the General Counsel
Office of Legislative and Public Affairs
Directorate forBiologicalSciences
Office of Cyberinfrastructure
Office of Polar Programs
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Directorate
FY 2006 Actual
($M)
FY 2007Plan($M)
FY 2008Request
($M)
FY 2008 Request
Change over FY 2006 Actual
($M)
Change overFY 2007
Request ($M)
Amt % Amt %
BIO $580.90 $607.85 $633.00 $52.10 9.0% $25.15 4.1%
CISE $496.35 526.69 574.00 77.65 15.6% 47.31 9.0%
ENG (less SBIR/STTR) $486.01 519.67 566.89 80.50 16.6% 47.22 9.1%
SBIR/STTR $99.45 108.88 116.41 17.34 17.5% 7.53 6.9%
GEO $703.95 744.85 792.00 88.05 12.5% 47.15 6.3%
MPS $1,086.61 1,150.30 1,253.00 166.39 15.3% 102.70 8.9%
SBE $201.23 213.76 222.00 20.78 10.3% 8.24 3.9%
OCI $127.14 182.42 200.00 72.86 57.3% 17.58 9.6%
OISE $42.61 40.61 45.00 2.39 5.6% 4.39 10.8%
OPP $390.54 438.10 464.90 74.37 19.0% 26.80 6.1%
IA $233.30 231.37 263.00 29.70 12.7% 31.63 13.7%
U.S. Arctic Research
Commission $1.17 $1.45 $1.49 0.32 27.4% 0.04 2.8%
Research & Related Activities $4,449.25 $4,765.95 $5,131.69 $682.44 15.3%$365.7
4 7.7%
NSF Budget for Research & Related Activities by Directorates
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Engineering Directorate
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Emerging Frontiers in Research and Innovation
(EFRI)
Chemical, Bioengineering,Environmental, and Transport
Systems(CBET)
Civil, Mechanical, and
ManufacturingInnovation
(CMMI)
Electrical, Communications
and Cyber Systems(ECCS)
EngineeringEducation and
Centers(EEC)
IndustrialInnovation andPartnerships
(IIP)
Directorate for EngineeringFY 2008
Office of the Assistant DirectorDeputy Assistant Director
Program Director for Diversity &Outreach
Office of the Assistant DirectorDeputy Assistant Director
Program Director for Diversity &Outreach
Senior AdvisorNanotechnologySenior Advisor
Nanotechnology
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Directorate FY 2007 ActualFY 2008
Estimate
BIO $608.54 $612.02
CISE $526.68 534.53
ENG (less SBIR/STTR) $521.33 527.50
SBIR/STTR $108.67 109.37
GEO $745.85 752.66
MPS $1,150.73 1,167.31
SBE $214.54 215.13
OCI $182.42 185.33
OISE $40.36 41.34
OPP $438.43 442.54
IA $219.45 232.27
U.S. Arctic Research Commission $1.45 $1.47
Research & Related Activities $4,758.44 $4,821.47
NSF Budget by Research DirectorateDollars in Millions
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ENG and NSF Funding RatesResearch Grants
EN
G P
rop
os a
l s a
nd
Aw
ard
sF
un
din
g R
ate Percen
t
0
1000
2000
3000
4000
5000
6000
7000
8000
FY 2000 FY 2001 FY 2002 FY 2003 FY 2004 FY 2005 FY 2006 FY 2007Plan
FY 2008Projection
0%
5%
10%
15%
20%
25%
30%
35%
40%
ENG Proposals ENG Awards ENG Funding Rate NSF Funding Rate
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Industrial Innovation and Partnerships Division
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Industry/UniversityCooperative
Research CentersRathindra DasGupta
Glenn Larsen Alex Schwarzkopf
Industry/UniversityCooperative
Research CentersRathindra DasGupta
Glenn Larsen Alex Schwarzkopf
Partnerships
for InnovationSara Nerlove
Partnerships
for InnovationSara Nerlove
Grant Opportunitiesfor AcademicLiaison with
IndustryDonald Senich
Grant Opportunitiesfor AcademicLiaison with
IndustryDonald Senich
Office of IndustrialInnovationSBIR/STTR
Office of IndustrialInnovationSBIR/STTR
Industrial Innovation and Partnerships
Division DirectorKesh Narayanan
Division DirectorKesh Narayanan
• Advanced Electronics• Advanced Manufacturing• Advanced Materials• Biotechnology• Civil Infrastructure Systems• Energy and the Environment• Fabrication and Processing Technology• Health and Safety• Information and Communications• Quality, Reliability and Maintenance• System Design and Simulation
• Advanced Electronics• Advanced Manufacturing• Advanced Materials• Biotechnology• Civil Infrastructure Systems• Energy and the Environment• Fabrication and Processing Technology• Health and Safety• Information and Communications• Quality, Reliability and Maintenance• System Design and Simulation
•Program Director/Advisor
Cheryl Albus•Biotechnology
Thomas Allnutt, Cindy Znati, • Electronics
Juan E. Figueroa, Murali Nair,
William Haines•Information Technology
Errol Arkilic, Ian Bennett• Special Topics
James Rudd, George Vermont
•Program Director/Advisor
Cheryl Albus•Biotechnology
Thomas Allnutt, Cindy Znati, • Electronics
Juan E. Figueroa, Murali Nair,
William Haines•Information Technology
Errol Arkilic, Ian Bennett• Special Topics
James Rudd, George Vermont
Senior AdvisorJoe HennesseySenior AdvisorJoe Hennessey
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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 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
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DOD SBIR/STTR HHS SBIR/STTR NASA SBIR/STTR DOE SBIR/STTR NSF SBIR/STTR ~$108M DHS SBIR USDA SBIR DOC SBIR ED SBIR EPA SBIR DOT SBIR
SBIR / STTR Participating Agencies
TOTAL ~ $2.5 B FY 2008TOTAL ~ $2.5 B FY 2008
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SBIR Program Details Funds set-aside for SBIR
~$108 million for Phase I, II, and IIB combined SBIR = 2.5% of NSF R&D budget STTR = 0.3% of NSF R&D budget
Grantee must be Defined as a Small Business: Set up as a profit organization with 500 or few employees
Special STTR Requirements Cooperation research agreement between small business and university/non-
profit research institution in place to protect intellectual property A minimum of 40% of budget resides with the small business; a minimum of
30% of the budget goes to the university/non-profit research institution; the remaining 30% can be distributed as appropriate for the project
Three-Phase Approach: PHASE I – Feasibility Research (6 – months - $100,000) PHASE II – Research Toward Prototype (24 – months - $500,000) PHASE IIB – Matching Funds against outside investment (12 – months up to an
additional $500,000) PHASE III – Product Development to First Revenues
(non-SBIR/STTR funding)
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Market Driven Solicitation Topics
SBIR (only) solicitation currently opened. NSF 08-
548. Closes June 10, 2008.
SBIR topics:
Biotech and Chemical Technologies (BC)
Electronics, Components and Engineering Systems (EL)
Software and Services
STTR (only) solicitation will be released in the Fall
of 2008
STTR topics:
To be Determined (most likely
Materials/Manufacturing)
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Program Information
NSF is not the final customer
NSF does not buy product/process or software
or intellectual property
NSF wants grantees to successfully
commercializecommercialize high-tech research
Investment $ beyond SBIR is needed
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Supplements
NSF supplements to existing grants are important driver for small businesses to partner with industry.
Currently over 20% of NSF SBIR/STTR grant funds go towards supplements as an optimum way to “bridging the gap”.
2020
Strategic Partner Venture capital firm Angel investor or Network State Government Local Government Non-SBIR Federal Government Any combinations of the above!
Phase IIBThird Party Investor
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Phase IIB Matching Fund Trend
$0
$20,000,000
$40,000,000
$60,000,000
$80,000,000
-0.51.01.52.02.53.03.5
Investment ($) NSF/IIP Match ($) Leverage
Investment ($) $10,629,692 $43,514,150 $57,812,521
NSF/OII Match ($) $5,314,846 $14,143,797 $18,389,707
Leverage 2.0 3.1 3.1
2004 2005 2006
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MatchMaker Program
To match SBIR/STTR Grantees with Strategic Partners, Angel Investors and V.C’s to provide the ongoing support necessary for achieving successful commercialization.
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Industrial Companies in MatchMaker
ATMI General Motors Procter &Gamble Dupont General Electric Dow Chemical Intel
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Industrial Companies in MatchMaker (cont’d)
Colgate Palmolive Rohm & Haas Praxair Texas Instruments Air Products and Chemicals NEC Caterpillar
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MatchMaker Program Venture Capital Partners
ARCH Venture Partners Mohr, Davidow Ventures Alameda Capital, LLC Taproot Ventures The Carlyle Group Paladin Capital Group Quantum Venture Partners
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MatchMaker Program Venture Partners/Angels
AM Benjamin Services Venture Investors JK&B Capital ITU Ventures Draper Atlantic Technology Tree (Houston Angels) Atlanta Technology Angels
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Partnering Success for Companies
In past several years NSF seen notable successes in partnering for their SBIR companies . Nat Academy study shows
License agreements 20% R&D agreements 17% Marketing/Distribution 16% Manufacturing agreement 8% Joint Venture agreement 3% Our goal is to increase the number of
partnerships through active involvement with industry and investors through the MatchMaker program.
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SBIR/STTR Grantees
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Sensant(Phase IIB)
High Quality Dielectric films forNovel Medical Ultrasound Probes
Develop transducers that havestable charge trapping behavior
• Develop test structures and infrastructure to measure charging in suspended membrane
•Demonstrate stable high e-field behavior
•Demonstrate acceptable MTBF with zero dead elements
Outside Investment
Angel Investors: $1,250,000
Acquired by Siemens Medical
Silicon wafer
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Grant Number: OII-0548731Web-Based Manufacturing Performance Management
InvisticsTom Knight
Impact Improve U.S. global manufacturing
competitiveness Sell software and services Create wealth for investors
Novelty Web-services software Unique optimization algorithms for “high-
mix” manufacturing Extends ERP/MRP for Lean
Lineage Initial sales to customers:
Raised $8+ mil. venture capital Collaboration with MIT/GATech
Company Mission Value: Help customers ship more product,
on-time, with 50% less inventory Team: Lean Mfg. thought-leaders Exit Strategy: Acquisition by a larger
software company
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Thank you!
Information websites:www.nsf.gov/eng/iip/sbir
www.nsf.gov/eng/iip/sbir/matchmaker.jsp