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The National Science FoundationThe National Science FoundationSmall Business Innovation Research (SBIR)Small Business Innovation Research (SBIR)Small Business Technology Transfer (STTR)Small Business Technology Transfer (STTR)
ProgramsPrograms
Ben Schrag
Division of Industrial Innovation and Partnerships
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NSF
SBEENG GEOEHRCISEBIO MPS
EECECCSCMMI IIPCBET
Directorates
Divisions
SBIRSTTR GOALI PFI I/UCRC
Programs
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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
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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 new valuevalue for customers and financial returns for the firm
Innovation*
*Innovation MeasurementA Report to the Secretary of CommerceJanuary 2008
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ENG
NSFGOALI I/UCRC
PFI
ERC
NSFSTTR
NSFSBIR
Academia
Small Business
Investors
Industry
Valley of Death
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Discovery Development Commercialization
Level of Development
FromAngus Kingon
AccelerateAccelerateInnovationInnovation
Innovation Spectrum
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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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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”
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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?
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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
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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, IndustrialReviews: 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
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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
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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