1

An overview of small business
programs at NSF - and how to work with
grantee companies

Ben Schrag, Ph.D.
Program Direc...
Phase IB
Third-Party
Investment + 1:2
NSF Matching
(up to $30k)

IA

Phase IIB
Third-Party
Investment + 1:2
NSF Matching
(...
Specific NSF SBIR Program Features
3

 Funds set-aside for SBIR
 $152 million at NSF in FY2012
(for SBIR Phase I, II, an...
Awardee Demographics
4

 Data from FY 2012 NSF SBIR/STTR Phase I awardees:
 86% of Phase I awardees have 10 or fewer emp...
Broad Technical Topics
5

 Educational Technologies and Applications (EA)
 Information and Communication Technologies (I...
Supplemental Opportunities
6

 Should be initiated by the small business
 Must always advance the technical and commerci...
Phase IICC
7

 Purpose:
 Grantee partners with community college research teams to undertake

additional research to fur...
Research Experiences for Teachers (RET)
8

 Purpose:
 Supports active involvement of K-12 teachers and community college...
Research Experiences for Undergraduates (REU)
9

 Purpose:
 Supports active involvement of undergraduate students in inn...
Veterans Research Supplement (VRS)
10

 Purpose:
 Supports active research participation by veteran students interested ...
More Info?
11

Ben Schrag
bschrag@nsf.gov
SBIR/STTR Program website:
http://www.nsf.gov/eng/iip/sbir/
Follow us on Twitter...
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Supplements that provide funding to SBIR phase II awards for hiring students, veterans, and college instructors, and partnering with community colleges.

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Ate presentation schrag_102413

  1. 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. 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. 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. 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. 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. 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. 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. 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. 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. 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. 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

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