THIS DOCUMENT HAS BEEN REPLACED BY
Small Business Innovation Research and Small Business Technology Transfer (SBIR/STTR) – Phase
Dear Colleague Letter
The Directorate for Engineering’s Office of Industrial Innovation
(OII) Small Business Innovation Research (SBIR) and Small Business
Technology Transfer (STTR) programs invites all active SBIR/STTR
Phase I grantees to participate in the Phase IB option, a new supplemental
funding opportunity. Phase IB supplements to Phase I grantees are
intended to foster partnerships between strategic partners and
investors and the SBIR/STTR companies. NSF is offering a mechanism
to advance Phase I research, bridge the gap between Phase I and
Phase II funding while encouraging partnering as a means to increase
the potential for SBIR/STTR grantees to successfully commercialize
Through this supplemental program, small businesses will be able
to effectively leverage funding and investment from interested
outside parties - that could lead to successful commercial products
and processes and at the same time provide some of the gap funding
required to carry the grantees’ effort from Phase I to Phase
II. It is anticipated that this research collaboration will not
only benefit the small business enterprise but also provide a cost-effective,
timely, and risk-reduced approach for large corporations and investors
to develop new technology, products and services.
OVERVIEW OF WORK TO BE ACCOMPLISHED. The Small Business Phase
I Supplement (henceforth referred to as SBIR/STTR Phase IB) will
award research supplements to active SBIR/STTR Phase I grantees
that are currently conducting Phase I SBIR/STTR research projects.
This supplement opportunity is intended to further SBIR/STTR Phase
I research and attract third party funding from industrial partners,
venture capitalists, angel investors, and State and Federal governments.
Deadline Dates. Supplemental requests must be received by the
mid-point of the award execution (Three months from the start date
for SBIR Phase I and six months for STTR Phase I). SBIR/STTR grants
must be active at the time of the supplement award and the deadlines
must be adhered to in order to assure eligibility for the Phase
Organization Limit: Only currently active SBIR/STTR Phase I grantees
are eligible to submit proposals for supplemental funding under
this Phase IB option.
PI Eligibility Limit: The Principal Investigator must be the PI
of an active SBIR/STTR Phase I award.
Funds Eligibility: The eligible outside funding consists of investment
from industrial partners, venture capitalists, angel investors,
and non-SBIR/STTR grants and contracts from State and Federal Governments.
Limit on Number of Proposals: One per active Phase I grant.
- Awards will be made as supplements to active SBIR/STTR
Phase I awards;
- The maximum supplemental award is $50,000 of
NSF funding based on $100,000 of outside funding;
- For outside
funding less than $100,000, the supplemental amount of NSF funding
is determined on the basis of 50% of funding provided by the
- A minimum of $40,000 of outside funding is required
to be eligible for the supplemental grant;
- When the supplemental
grant is awarded, the period of performance of the original grant
is extended by up to six months; and
- One hundred awards are
anticipated in Fiscal Year 2007 and it is expected that $5,000,000
will be available in Fiscal Year 2007 for this supplemental
funding, pending availability of funds.
PROPOSAL PREPARATION AND SUBMISSION INSTRUCTIONS
Proposal Preparation Instructions. Proposals must be submitted
according to the instructions for submitting supplemental funding
requests found on the SBIR/STTR home page http://www.nsf.gov/eng/sbir under Supplemental Requests.
Proposals must address two issues: the research activities that
will be funded by the NSF to strengthen scientific and engineering
feasibility; the business development and marketing activities
which will be supported by the outside funds.
PROPOSAL REVIEW INFORMATION
Proposals for supplemental funding submitted in response to this
Dear Colleague Letter will be jointly reviewed by National Science
Foundation program officers in the Office of Industrial Innovation,
Directorate for Engineering, and a panel of outside experts.
The reviewers will evaluate both the technical and the commercial
plans in the proposal. In particular the reviewers will determine
if they are realistic and if the company has the resources to execute
Questions about this letter should be directed to T. James Rudd
(703-292-4759, firstname.lastname@example.org) or Muralidharan S. Nair (703-292-7059,
email@example.com), Office of Industrial Innovation, Directorate for
OTHER SUPPLEMENTAL OPPORTUNITIES OF INTEREST
All active SBIR/STTR Phase II grantees are invited to participate
in another supplement opportunity related to strategic partners
and outside investors through the Phase IIB program. Phase IB option
is structured similar to the current Phase IIB option.
Supplemental Requests. Through these supplements, NSF seeks to
broaden participation of strategic partners and outside investors
working with grantees to successfully commercialize new products.
Director Industrial Innovation