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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

bschrag@nsf.gov

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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------II-B---------------------

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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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Thank YouThank You

bschrag@nsf.gov

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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