NSF Webinar Presentation Small Business Technology Transfer (STTR) Program Phase I Solicitation FY-2013: NSF 12-592

1. NSF Webinar PresentationSmall Business Technology Transfer (STTR) Program Phase I Solicitation FY-2013: NSF 12-592 Connection Information – Audio Portion: To listen to today’s Webinar please call: 1-800-779-1545 The passcode when requested is: STTR The presentation will be available following the webinar at: http://www.nsf.gov/eng/iip/sbir/sttr_2013_webinar.jsp

2. NSF Webinar PresentationSmall Business Technology Transfer (STTR) Program Phase I Solicitation FY-2013: NSF 12-592Enhancing the Bioeconomy using emerging Biological Technologies (EBBT) Ruth M. Shuman, Ph.D. Program Director Industrial Innovation and Partnerships National Science Foundation November 6, 2012 The presentation will be available following the webinar at: http://www.nsf.gov/eng/iip/sbir/sttr_2013_webinar.jsp

3. STTR Solicitation: NSF 12-592 The line will be open for Q&A immediately following the presentation. If you have additional questions after the webinar concludes, please send them via email to: rshuman@nsf.gov The presentation will be available following the webinar at: http://www.nsf.gov/eng/iip/sbir/sttr_2013_webinar.jsp Industrial Innovation & Partnerships – Small Business Partnerships

4. The STTR Program • Intended to stimulate technological innovation in the private sector • Primary goals: • Strengthen the role of small business in meeting Federal research and development needs • Increase the commercial application of federally-supported research results • Encourage participation by socially and economically disadvantaged, and women-owned, small businesses Industrial Innovation & Partnerships – Small Business Partnerships

5. NSF’s STTR Program • Seeks to fund transformational, game-changing technology • Strong focus on commercialization • Powerful translation tool • High-leverage for post-academic effort • Encourages ties to private sector Industrial Innovation & Partnerships – Small Business Partnerships

6. Background Information on Enhancing the Bioeconomy • NSF seeks to help reach the nation’s biological innovation goals, and the larger objective of growing the bioeconomy • Importance of the bioeconomy • Growth potential and concomitant societal benefits across many key industries that include • Advancing medicine, • Increasing agricultural productivity, • Transforming manufacturing processes, • Addressing energy needs, and • Meeting challenges in the environment Industrial Innovation & Partnerships

7. Award Information • Type of Award – 12 month, fixed-price grants • Award Amount: • Phase I not to exceed $225,000 • Phase II not to exceed $750,000 • Estimated Number of Awards – 25 Awards (pending availability of funds) • No obligation to make a specific number of awards • Anticipated Funding Amount - $5,625,000 (pending availability of funds) Industrial Innovation & Partnerships

8. Proposal Guidelines • Phase I • Feasibility and proof-of-concept research focus • Must receive a Phase I award to be eligible to submit a Phase II proposal • Phase II • Prototype development and testing research focus Industrial Innovation & Partnerships – Small Business Partnerships

9. Eligibility Information • Organization Requirements: • Proposals only may be submitted by companies that qualify as a small business • For profit business • Fewer than 500 employees • Located in the US • 51% owned and controlled by US individuals • Collaboration with a research institution is required • A minimum of 40% of the research must be performed by the company, as measured by the budget • A minimum of 30% of the research must be performed by the collaborating research institution, as measured by the budget • No more than 2 proposals per company Industrial Innovation & Partnerships – Small Business Partnerships

10. Eligibility Information • PI Limit: • Primary employment of the PI must be with the small business at the time the award is made • Defined as 51% (of a 40 hour work week) or greater • The PI must commit 2 calendar months to the STTR Phase I project • No more than 1 proposal per PI, or Co-PI Industrial Innovation & Partnerships – Small Business Partnerships

11. NewRequirements • Letters of Intent (LOI) • LOI Required prior to submission of full proposal • Signed SBIR/STTR Funding Agreement Certification • Prospective grantees will be notified to provide this agreement Industrial Innovation & Partnerships – Small Business Partnerships

12. Prior to Submission • Communicate with the Program Director • Preferred method – e-mail • Send 1-2 page summary that discusses (not required) • Core Technology • Proposed Project • Partnership with Research Institution • Commercial need • Company description/business strategy • Commercial strategy for the proposed technology Industrial Innovation & Partnerships – Small Business Partnerships

13. Proposal Preparation and Submission: LOI • Letters of Intent (LOI): • LOI Required prior to submission of full proposal • LOI Submission Window: Oct 20 – Nov 20, 2012 • Due by 5:00 pm proposer’s local time on Nov 20 • Must designate Subtopic and Key Words • Must describe the Commercial Opportunity • Must list Collaborators • Submission of more than one LOI is not allowed Industrial Innovation & Partnerships – Small Business Partnerships

14. Other ImportantProposal Submission Requirements • Cooperative Research Agreement (CRA) • A signed CRA between the small business and the research institution is required at the time the award is made • A model (example) agreement is available on our website • Proposal should contain a draft of the CRA, or a letter stating that the CRA will be provided Industrial Innovation & Partnerships – Small Business Partnerships

15. Proposal Preparation and Submission: Proposal • Full Proposal: • LOI Required prior to submission of full proposal • Full Proposal Due Date: Dec 20, 2012 • Due by 5:00 pm proposer’s local time Industrial Innovation & Partnerships – Small Business Partnerships

16. Topic Description • Topic: Enhancing the Bioeconomy using emerging Biological Technologies (EBBT) • Proposals must utilize technologies such as synthetic biology, systems biology, metabolic engineering, proteomics, bioinformatics, and computational biology • Proposers must clearly identify the intended commercial outcome of the research: product, process, or service Industrial Innovation & Partnerships – Small Business Partnerships

17. Subtopic Description • Subtopics: • Biomedical Applications • Novel diagnostic tools, drug delivery, and drug production • Sustainable Agriculture Applications • Drought tolerance, improved nutritional value, enhanced disease resistance, and higher yield • Biosensing Applications • Toxicity testing, food safety, drug evaluation, environmental monitoring, and bio-prospecting Industrial Innovation & Partnerships – Small Business Partnerships

18. Subtopic Description • Subtopics (cont’d): • Biomanufacturing Applications • Pharmaceuticals, food ingredients, chemicals, and other biomaterials (e.g., enzymes and bio-based polymers) • Advanced Life Science Tools • Tools for the identification and standardization of parts (e.g., genes and regulatory elements, synthesis and assembly of DNA, testing and evaluation, and computational modeling) Industrial Innovation & Partnerships – Small Business Partnerships

19. Funding Criteria • We fund high-risk, high-paybackinnovations • With the potential for commercialization • That demonstrate strategic partnerships with research collaborators, customers, industry partners, and equity investors • We do NOT fund • Basic research • 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 Industrial Innovation & Partnerships – Small Business Partnerships

20. Merit Review Criteria • Intellectual Merit - Quality of the Research • A sound approach for establishing technical and commercial feasibility • Qualified technical team • Sufficient access to resources • Significantly advances “state-of-the-art” • Broader Impact – Potential impact on society • Commercial and societal benefits • Marketable product • Commercialization track record • Business expertise • Competitive advantage Industrial Innovation & Partnerships – Small Business Partnerships

21. Commercial Potential • Scope and Nature of the Business Opportunity: • The addressable target market opportunity • Is this an enabling technology • The company/team • Business and commercialization experience • The product features and benefits compared to the competition • Intellectual Property (IP) position • Financing and revenue model • Positioned to attract additional investment Industrial Innovation & Partnerships – Small Business Partnerships

22. Doing Business with NSF • NSF is not the Final Customer; NSF is not buying your product • NSF has broad market-driven technology topics: You identify the problem/opportunity, propose the technological solution, and devise your business strategy • NSF wants to see you commercialize your research successfully • NSF provides incentives to encourage you to find investment $$ (Phase IB, Phase IIB, and TECP Supplemental funding) Industrial Innovation & Partnerships – Small Business Partnerships

23. Top Reasons to Seek STTR Funding • Provides funding for technologies on a path toward commercialization • Provides “pre-seed” funding to demonstrate proof-of-concept • Equity-free investment; Not a loan/no repayment • Provides validation, recognition, visibility • May be leveraged to attract investment/partnerships • Allows small business to retain IP • Values/encourages/facilitates partnerships, which enable success Industrial Innovation & Partnerships – Small Business Partnerships

24. Guide to Proposal Submission We created a step-by-step user guide for entering a SBIR or STTR Phase I proposal in NSF’s FastLane system. PLEASE USE IT! http://www.nsf.gov/eng/iip/sbir/FastLane_Step_by_Step_Guide_Phase_I_updated_October_2011.pdf • You must register your company and PI in FastLane prior to submitting your proposal, a process that could take 3-5 days; • You also are required to register with the System for Award Management database, SAM (www.sam.gov); • And you are required to provide a Dun and Bradstreet Data Universal Numbering System (DUNS) number. Industrial Innovation & Partnerships – Small Business Partnerships

25. Guide to Proposal Submission Compliance requirements are clearly described beginning on Page 1 of the Solicitation 12-592. All proposals that fail to address the following items will be considered non-responsive and will be returned without review: 1. A proposal submitted after 5:00 p.m. (proposer's/submitter's local time) on the deadline date. The "proposer's time" is the time zone associated with the company's address, as registered with NSF at the time of proposal submission. Industrial Innovation & Partnerships – Small Business Partnerships

26. Proposal Compliance Screening 2. A proposal that does not contain all the required components uploaded into the appropriate module within FastLane. See the required components below that make up a complete proposal. All proposals must have each of the items listed below, without exception. Industrial Innovation & Partnerships – Small Business Partnerships

27. Compliance Screening Cont’d • A complete proposal consists of the following: • Project Summary • Project Description • References Cited • Biographical Sketches • Budgets and Sub-Awardee Budgets* • Budget Justification (include letters from sub-contractors and consultants, 3 page limit is waived for SBIR/STTR) • Current & Pending Support* • Facilities, Equipment and Other Resources* * Templates provided in FastLane. All documents listed above are REQUIRED. Industrial Innovation & Partnerships – Small Business Partnerships

28. Compliance Screening Cont’d 3. ONLY the items listed below may be included in the Supplementary Documents module: • Letters of Support (maximum 3 – do not upload letters from subcontractors or consultants here) • Post-Doc Mentoring Plan* • Company Commercialization History on NSF template (required if previous Phase II award) • Data Management Plan • IRB or IACUC letters * Only required if funds are budgeted on line B.1 Post Doctoral Scholars. Template available here. Industrial Innovation & Partnerships – Small Business Partnerships

29. Compliance Screening Cont’d Other compliance issues: • STTR proposal budget may not exceed $225K • Do not put proposal documents in the ‘Additional Single Copy Documents’ module • Do not submit “collaborative” or “preliminary” proposals to NSF SBIR/STTR Program • Proposal must have sufficient technical and commercial potential substance to justify review* • Proposal must fall within scope of the solicitation topic* • Proposal must contain research in science, engineering, or education* * Determined by Program Director and Senior Advisor Industrial Innovation & Partnerships – Small Business Partnerships

30. Compliance Screening Cont’d 100% COMPLIANCE REQUIRED OR PROPOSAL WILL BE RETURNED WITHOUT REVIEW Industrial Innovation & Partnerships – Small Business Partnerships

31. Responsible Program Directors Contacts: Ruth Shuman rshuman@nsf.gov Prakash Balan pbalan@nsf.gov Jesus Soriano jsoriano@nsf.gov Susanne von Bodman svonbodm@nsf.gov Friedrich Scriencfscrienc@nsf.gov Administrative/Compliance Questions: Amanda Morris amorris@nsf.gov FastLane Help Desk 1-800-673-6188 * Industrial Innovation & Partnerships – Small Business Partnerships

32. STTR Solicitation: NSF 12-592 Questions also may be sent via email to:rshuman@nsf.gov Questions? The presentation will be available following the webinar at: http://www.nsf.gov/eng/iip/sbir/sttr_2013_webinar.jsp Industrial Innovation & Partnerships – Small Business Partnerships