National Science Foundation (NSF)

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National Science Foundation (NSF)Prakash Balan, Ph.DProgram DirectorNSF SBIR/STTR [email protected], VANSF SBIR/STTR Home:

National Science Foundation NSF’s Vision – NSF’s vision is a nation that creates andexploits new concepts in science and engineering andprovides global leadership in research and education 7.3B Budget, 177M for Small Business Program 320,900 researchers, postdoctoral fellows, trainees,teachers, and students supported 214 Nobel Laureates supported since 19502

SBIR Program – a brief history In 1976 Roland Tibbetts initiated an NSF program to support small businesses Provided early-stage financial support for high-risk technologies withcommercial potential In 1982 Congress passed Small Business Innovation Development Act Today 11 Federal agencies support SBIR5 Federal agencies support STTROver 2.5 billion awarded to small businesses in FY2011Produces an average of 7 patents/day3

Very broad funding landscape!TopicProgram DirectorEducational Technologies and Applications (EA)Glenn H. Larsen, email addressInformation and Communication Technologies (IC)Peter Atherton, [email protected] (S) and Photonic (PH) Devices and MaterialsSteven Konsek, [email protected] Hardware, Robotics and Wireless Technologies (EW)Muralidharan S. Nair, [email protected] Manufacturing and Nanotechnology (MN)Rajesh Mehta, [email protected] Materials and Instrumentation (MI)Benaiah Schrag, [email protected] and Environmental Technologies (CT)Prakash Balan, [email protected] Technologies (BT)Ruth M. Shuman, [email protected] Health (SH) and Biomedical (BM) TechnologiesJesus V. Soriano, [email protected]

NSF SBIR/STTR Budget & Phases Award Budget 177M NSF SBIR/STTR NSF does not allocate budgets by topic. There isflexibility. Allocation depends on incoming proposal quality Awards (grants)– Phase I: Technology Proof of Concept 150,000 SBIR, 225,000 STTR 6 months SBIR, 1 year STTR Phase IB R&D funding match of market validating financial outcomes– Additional R&D funds available supporting third partyfinancial engagement (Investors, customers, statesupport)5

NSF SBIR/STTR Budget & Phases[2 of 2]– Phase II: Technology Development 750,000 SBIR and STTR 2 years– Additional Supplemental R&D funding R&D funding match for qualifying third partyfunding/investment/commercial revenues (Phase IIB) Technology Enhancement for Commercial Partnerships (TECP) Research Internships for Undergraduates and Teachers Institutional partnerships – NSF funded Research Centers,Community Collegesand more!6

NSF SBIR/STTR Innovation Model

Chemical and EnvironmentalTechnologies (CT) Sustainability, green chemistry Energy efficiency, capture, storage, use Water, wastewater treatment, reuse, waste recycling Environmental sensors, Pollution control & mitigation Biofuels, bioenergy Renewable chemicals, materials Technologies for agricultural innovations. Food, Pharmaceutical and Industrial Biotechnology .and much more!8

How To Apply How to Apply – Two solicitations per year typically(June and December deadlines)– Solicitations are published 3 months ahead of submission deadline– Current Open Solicitations & Deadlines Jun 16, 2015 46.htm Jun 18, 2015 45.htm Technology Topics:

Looking to fund a new/novel innovation?Discuss it with a Program Director! Email a 2 page executive summary discussing thefollowing aspects of the project:– Company and team– Market opportunity, value proposition, andcustomers– Technology/innovation– The competition– Research outline10

A versatile team of Program Directors 9 Program Directors run the SBIR/STTRprogram Broad industrial experience– Experience spanning large & small business, startups, investment,technical expertise and business experience Strong mentorship of funded companies Companies are actively monitoredthroughout the award period

Required RegistrationsDun and Bradstreet Universal Numbering System (DUNS) – All registrationsrequire that applicants be issued a DUNS number. After obtaining a DUNSnumber, applicants can begin both SAM, and SBA Company registry.The same DUNS number must be used for all registrations, as well as on theproposal.SBA Company Registry – New requirement. See solicitation for instructionson how to register and how to attach proof of registration to your proposalpackage. Applicants must have a DUNS number to complete thisregistration. SBA Company registration is NOT required before SAM.System for Award Management (SAM) (formerly CCR) – Applicants mustcomplete and maintain an active registration, which requires renewal at leastannually. The renewal process may require as much time as the initialregistration.FastLane– Register the Principal Investigator AND company in NSF's electronicsubmission system.1

Proposal Evaluation and Selection13

Intensely competitive process 1500-2000 Phase I Proposals typically received (annually) Roughly 15% of the Phase I proposals may be funded Roughly 40% of Phase I companies may make it all the way toPhase II funding Proposals reviewed on both technical and commercial merits14

Merit Review Invited subject matter experts from Academia and Industry inPanel reviews Focus on disruptive and discontinuous technologydevelopments with broad impact New markets, novel products, enabling platform technologies and applications Must show a strong commercialization focus and well thought out vision toprofitability and growth NOT fundedx Evolutionary optimization of existing products and processes or modifications tobroaden the scope of an existing product, process or application,x Analytical or “market” studies of technologies, market researchx Routine engineering design & system integration15

Proposal Review: Technical Aspects A sound approach to establish technical& commercial feasibility Qualified technical team Sufficient access to resources Reflects “state-of-the-art”16

Proposal Review: Commercial Aspects The commercial and societal benefits? Business team with relevant skills? Any past commercialization track record? Competitive advantage in the marketplace? Enabling technologies/platforms (instrumentation, software,etc.) for further innovation? Ability to attract further funding from non-SBIR sourcesonce the SBIR project ends?17

NSF Application to Award Timeline4-5 monthsSubmission DateMerit ReviewAward DecisionsAwardsJune 2015July - September 2015October - November 2015January 2016December 2015January – March 2016April – May 2016July 2016 Applicants receive detailed feedback. Reviewer and panel comments to NSF are shared withapplicants verbatim

TOP 10 Keys to Success1.Contact the Program Official before applying2.Begin the registration process 6 -8 weeks in advance3.Submit your application 3-5 days before the due date4.Read the solicitation/funding announcement carefully5.Need an effective team (technical and business expertise)6.Demonstrate real market interest and need for proposed innovation7.Anticipate questions and doubts about the proposal8.If resubmitting, address all previous review comments9.Use the cover letter to direct your application to the correct review group10. Remember the agency (e.g. NSF, EPA, NIH) are “investors” not “customers”

Upcoming Small Business NSF Event to consider Annual NSF Phase IIConference June 1-4 2015, Atlanta 300 NSF Funded Phase II Companiesexpected Opportunity to connect with pathbreaking companies

Thank you!Questions?Prakash Balan, Ph.DProgram DirectorNSF SBIR/STTR ProgramChemical and Environmental [email protected], VANSF SBIR/STTR Home: