The presentation will be available following the webinar at:

1. NSF Webinar PresentationSmall Business Technology Transfer (STTR) Program Phase I Solicitation FY-2013 (Release #2): NSF 13-501Accelerating Sustainability using Enabling Technologies (ASET) 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_rel2.jsp

2. NSF Webinar PresentationSmall Business Technology Transfer (STTR) Program Phase I Solicitation FY-2013 (Release #2): NSF 13-501Accelerating Sustainability using Enabling Technologies (ASET) Jessica Robin, Ph.D. Chair, SEES Implementation Group Program Director Division of Earth Sciences Directorate of Geosciences Jesus Soriano, MD, PhD, MBA Program Director Division of Industrial Innovation and Partnerships Directorate of Engineering November 27, 2012 The presentation will be available following the webinar at: http://www.nsf.gov/eng/iip/sbir/sttr_2013_webinar_rel2.jsp

3. STTR Solicitation: NSF 13-501 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: jsoriano@nsf.gov The presentation will be available following the webinar at: http://www.nsf.gov/eng/iip/sbir/sttr_2013_webinar_rel2.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. The Sustainability Challenge A sustainable world is one where human needs are met equitably without harm to the environment or sacrificing the ability of future generations to meet their own needs. Meeting this formidable challenge requires a substantial increase in our understanding of the integrated system of society, the natural world, and the alterations humans bring to Earth

7. NSF’s Science, Engineering and Education for Sustainability (SEES) Portfolio

8. SEES Overview Mission: to advance science, engineering, and education to inform the societal actions needed for environmental and economic sustainability and sustainable human well-being • Established in Fiscal Year 2010 • Portfolio of existing and new programs • All NSF Directorates and offices involved • Partnerships

9. Science, Engineering, and Education for Sustainability (SEES) 1. Interdisciplinary research and educationtowards global sustainability 2. Link projects and partners and add new participantsto sustainability endeavors 3. Develop the workforce to address sustainability

10. SEES Characteristics System Thinking Holistic approaches that link human, built, and natural systems, and reach across disciplines Partnerships & Networks Connect intellectually and spatially disparate communities, institutions and organizations Workforce & Education Development and education of new researchers and students on critical aspects and issues of sustainability

11. SEES Portfolio of Programshttp://www.nsf.gov/sees

12. Sustainability challenges are shaped by human, societal, and economic factors All SEES projects must consider the social, behavioral, and economic requirementsof creating long-term, viable sustainable systems, and incorporate those dimensions in the proposed research. e.g., human interface, security and privacy, socio-cultural norms, non-compliance, herding behavior, economic incentives, real-world deployability

13. 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

14. 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

15. 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

16. 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

17. 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

18. 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

19. Proposal Preparation and Submission: LOI • Letters of Intent (LOI): • LOI Required prior to submission of full proposal • LOI Submission Deadline: January 8, 2013 • Due by 5:00 pm proposer’s local time • Must designate Subtopic and Key Words • Must describe the Commercial Opportunity • Must list Collaborators Industrial Innovation & Partnerships – Small Business Partnerships

20. 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

21. Proposal Preparation and Submission: Proposal • Full Proposal: • LOI Required prior to submission of full proposal • Full Proposal Due Date: February 6, 2013 • Due by 5:00 pm proposer’s local time Industrial Innovation & Partnerships – Small Business Partnerships

22. Topic Description • Topic: Accelerating Sustainability using Enabling Technologies (ASET) • Proposals submitted must focus on technologies aimed at attaining environmental and economic sustainability. • Proposers are encouraged to build partnerships with research institutions that are part of existing sustainability initiatives in the US. • Proposers must clearly identify the intended commercial outcome of the research: product, process, or service Industrial Innovation & Partnerships – Small Business Partnerships

23. Subtopics Proposals must address one of the subtopics • Sustainable Energy • Sustainable Chemistry • Education for Sustainability • Predictive Information Systems • Sustainable Materials and Manufacturing • Sustainable Biotechnology Applications Industrial Innovation & Partnerships – Small Business Partnerships

24. 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

25. 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

26. 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

27. Additional Review Criteria • How does this research support the goals of sustainability? • To which extent do the proposed products/services consider social, economic, behavioral and environmental issues (e.g., affordability, deployability in real world, adoption potential, etc.)? Industrial Innovation & Partnerships – Small Business Partnerships

28. 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

29. 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

30. 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

31. Guide to Proposal Submission Compliance requirements are clearly described beginning on Page 7 of the Solicitation NSF 13-501. 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

32. 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

33. Compliance Screening Cont’d • A complete proposal consists of the following: • Project Summary • Project Description (15 page limit) • 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

34. 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) • Cooperative Research Agreement • Data Management Plan • IRB or IACUC letters *Only required if funds are budgeted on line B.1 Post Doctoral Scholars. Templates and samples are available at http://www.nsf.gov/eng/iip/sbir/forms.jsp. Industrial Innovation & Partnerships – Small Business Partnerships

35. 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

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

37. Responsible Program Directors Contacts: - Primary Contact: Jesus Soriano jsoriano@nsf.gov - Full List of Cognizant Program Directors: http://www.nsf.gov/funding/pgm_summ.jsp?pims_id=504857 Administrative/Compliance Questions: Amanda Morris amorris@nsf.gov FastLane Help Desk 1-800-673-6188 * Industrial Innovation & Partnerships – Small Business Partnerships

38. STTR Solicitation: NSF 13-501 Questions also may be sent via email to:jsoriano@nsf.gov Questions? The presentation will be available following the webinar at: http://www.nsf.gov/eng/iip/sbir/sttr_2013_webinar_rel2.jsp Industrial Innovation & Partnerships – Small Business Partnerships