Supplements that provide funding to SBIR phase II awards for hiring students, veterans, and college instructors, and partnering with community colleges.

1. 1
An overview of small business
programs at NSF - and how to work with
grantee companies
Ben Schrag, Ph.D.
Program Director, SBIR/STTR
Industrial Innovation and Partnerships (IIP)
October 24, 2013

2. Phase IB
Third-Party
Investment + 1:2
NSF Matching
(up to $30k)
IA
Phase IIB
Third-Party
Investment + 1:2
NSF Matching
(up to $500k)
IA
Private Sector
Or
Non-SBIR
Investment
Phase I
Phase II
Phase III
Feasibility Research
SBIR - $ 150k/6 mos.
STTR - $ 225k/12 mos.
Research towards
Prototype
$ 500k or $750k/24 mos.
(based on solicitation)
Product Development
to
Commercial Market
IA = Innovation Accelerator

3. Specific NSF SBIR Program Features
3
 Funds set-aside for SBIR
 $152 million at NSF in FY2012
(for SBIR Phase I, II, and IIB combined)
 Broad topical areas
 Nine very wide topical areas intended to allow proposers the ability to align
their proposed project with the company’s commercial goals
 Three-phase approach:
 PHASE I – Feasibility Research (6 months - $150,000/$225,000)
 PHASE II – Research Toward Prototype (24 months - $750,000)
 PHASE IIB – Matching funds against outside investment (12 to 24 month
extension, up to an additional $500,000)
 PHASE III – Product Development to First Revenues
(non-SBIR/STTR funding)

4. Awardee Demographics
4
 Data from FY 2012 NSF SBIR/STTR Phase I awardees:
 86% of Phase I awardees have 10 or fewer employees
 90% of Phase I awardee companies were incorporated since 2007
 73% of Phase I awardees have never had a Phase II award from
any agency
 University ties and lineage of Phase II projects (National




Academies Study, 2007):
37% involve faculty members
27% involve graduate students
25% rent/use university facilities
17% issue a subcontract to a university

5. Broad Technical Topics
5
 Educational Technologies and Applications (EA)
 Information and Communication Technologies (IC)
 Semiconductors (S) and Photonic (PH) Devices and Materials
 Electronic Hardware, Robotics and Wireless Technologies (EW)
 Advanced Manufacturing and Nanotechnology (MN)
 Advanced Materials and Instrumentation (MI)
 Chemical and Environmental Technologies (CT)
 Biological Technologies (BT)
 Smart Health (SH) and Biomedical (BM) Technologies
 Topical fit is much less important than the technical and
commercial requirements of the solicitation!

6. Supplemental Opportunities
6
 Should be initiated by the small business
 Must always advance the technical and commercial goals
of the grantee company, and be beneficial for the partner
 Generally are awarded at the discretion of the Program
Director
 Most companies take advantage of one or more during
Phase II

7. Phase IICC
7
 Purpose:
 Grantee partners with community college research teams to undertake
additional research to further the goals of an existing Phase II
SBIR/STTR project, and to allow community college faculty and students
to participate in innovation research.
 Eligibility:
 Applicant must be an active Phase II SBIR/STTR awardee in good
standing
 Funding Level:
 $40,000 per supplement – at least 75% to the community college

8. Research Experiences for Teachers (RET)
8
 Purpose:
 Supports active involvement of K-12 teachers and community college
faculty in engineering research.
 Eligibility:
 Applicant must be an active Phase II SBIR/STTR awardee in good
standing
 Teachers of grades K-12 and community college faculty are eligible
 Funding Level:
 $10,000 per teacher – limit of two supplements per project year

9. Research Experiences for Undergraduates (REU)
9
 Purpose:
 Supports active involvement of undergraduate students in innovation and
engineering research.
 Eligibility:
 Applicant must be an active Phase II SBIR/STTR awardee in good
standing
 Students enrolled in two-year or four-year degree programs can be
supported.
 Funding Level:
 $8,000 per student – limit of two supplements per project year

10. Veterans Research Supplement (VRS)
10
 Purpose:
 Supports active research participation by veteran students interested in
Science, Technology, Engineering, and Mathematics (STEM) career fields.
 Eligibility:
 Applicant must be an active Phase II SBIR/STTR awardee in good standing
 Full or part-time U.S. veteran undergraduate, graduate, or community college
students at U.S. universities and colleges can be supported.
 Veteran STEM teacher(s) of grades K-12 or veteran community college faculty
can also be supported.
 Funding Level:
 $10,000 per veteran – limit of two supplements per project year

11. More Info?
11
Ben Schrag
bschrag@nsf.gov
SBIR/STTR Program website:
http://www.nsf.gov/eng/iip/sbir/
Follow us on Twitter: @NSFInnovateSBIR
Current solicitations:
SBIR: http://nsf.gov/pubs/2013/nsf13599/nsf13599.htm
STTR: http://nsf.gov/pubs/2013/nsf13598/nsf13598.htm