1. America’s Seed Fund at NSF Phase II Supplemental Opportunities
Ben Schrag
SBIR/STTR Senior Program Director
June 4, 2018

2. But first … a few reminders

3. contact your PD BEFORE starting the formal process
Updates and Reminders
Organizational changes or transfers (LLC to C-Corp, transfer to new org., DUNS change, etc.):
contact your PD BEFORE starting the formal process
SAM.gov registration:
needs to be updated every 12 months
NEW REQUIREMENTS since March (notarized letter)
Start renewal two months early
End of fiscal year
Government fiscal year ends Sept. 30th
ACM$ disbursements unavailable from Sept. 21st until (hopefully) Oct. 1st

4. Phase II Supplements:
General Info

5. Phase II Supplements General Info
Supplements are available as additions to your Phase II award
Formal requests are submitted through Fastlane*, but first step is always an /call to your PD
Supplements can be requested on a rolling basis, beginning as early as your Phase II award start date
Supplements availability may expire as early as six months prior to the Phase II end date
Supplements are competitive - availability determined by the strength of request and the SBIR/STTR program budget
Supplements are all INTERNALLY reviewed (no external experts are involved)
* with the exception of the ASEE/NSF Postdoctoral Scholar program

6. Phase II Supplements
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7. Phase II Supplements Click to add text Click to add text Title Purpose
New NSF Funds For?
Max. $$
Phase IIB
Incentivize third-party investment (match up to 2:1)
Additional R&D to extend the Phase II effort
$500K
Technology Enhancement for Commercial Partnerships (TECP)
Assist in forging commercial partnerships
Additional R&D to serve a near-term commercial opportunity
20% of Phase II award
American Society for Engineering Education (ASEE) Postdoctoral Diversity Fellowship (
Increase participation of postdoctoral scholars from underrepresented groups
Funding for postdoctoral scholar stipends to work on the Phase II project
$75k per year
SBIR/ERC Collaborative Opportunity (SECO)
Partner with an NSF-funded Engineering Research Center (ERC)
Phase IIA
Partner with a (Centers for Research Excellence for S&T (CREST)/Research Infrastructure for S&E (RISE) institution
Phase IICC
Partner with Community College
$40k
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8. Phase II Supplements Click to add text Click to add text Title Purpose
New NSF Funds For?
Max. $$
Commercialization Assistance Program (CAP)
Commercialization and business development
Third party assistance
$10k
Research Experiences for Undergraduates (REU)
Undergraduate participation in the Phase II R&D
Stipend for an undergraduate participant
$8k per participant
Research Experiences for Teachers (RET)
Teacher participation in the Phase II R&D
Stipend for a teacher participant
$10k per participant
Research Experiences for Veterans (VRS)
Veteran participation in the Phase II R&D
Stipend for a veteran participant
Research Assistantships for High School Students (RAHSS)
High school student participation in the Phase II R&D
Stipend for an underrepresented high school student participant
$6k per participant
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9. Phase II Supplements:
Detailed Discussion

10. Phase II Supplements Phase IIB
Purpose: Incentivize third-party investment, provide funds for additional R&D
Funds for: New R&D to extend the Phase II scope
Submission deadline: Rolling; generally no later than 60 days before award ends (can be extended only by TECP award)
Amount: Up to $500,000
Extension: Typically, months, but flexible
Limits: One supplement per Phase II award, based on 2:1 matching of private investment and/or sales

11. Phase II Supplements Phase IIB Financial Package Requirements
Third party: Source of funds must not be company founder or owner, existing investor, relative of company personnel, or otherwise be an “insider”
Transaction: Funds must be cash to the Phase II recipient, without payback/debt terms or other “entanglements”. In-kind support and convertible debt are not eligible. Equity investments, sales/service revenues, JDAs, licensing, other transactions may be eligible.
Connection to NSF funding: The financial transaction must be a direct consequence of NSF support of the effort (contact your PD on this one!)
PD Support: Your PD needs to be convinced that the transaction is beneficial for the company, and that Phase IIB support will have significant positive impact on the company’s position and viability

12. Phase II Supplements
Technology Enhancement for Commercial Partnerships (TECP)
Purpose: Conduct additional R&D to achieve early commercial wins
Funds for: New R&D geared toward the needs of a key commercial or strategic partner
Submission deadline: Rolling; typically within 18 months of the Phase II start date
Amount: Up to 20% of Phase II award (typically ~$150k)
Extension: Up to 6 months, with agreement of PD and PI (this may extend Phase IIB eligibility)
Limits: One supplement per Phase II award, companies with Phase IIB support are not eligible

13. Phase II Supplements ASEE/NSF Postdoctoral Diversity Fellowship
Purpose: Incentivize recipients to hire an underrepresented postdoctoral scholar to work on Phase II R&D
Funds For: stipends to support postdoc for 1-2 years
Submission deadline: Rolling, but availability may vary based on funding cycles. Currently unavailable, may be available in FY19
Amount: $75,000 per year of support (funds go to postdoc)
Extension: None
Limits: One supplement per Phase II award; Postdocs must be US citizens or permanent residents

14. Phase II Supplements SBIR/ERC Collaborative Opportunity (SECO)
Purpose: Incentivize Phase II recipients to work with NSF-funded ERCs
Funds for: Additional R&D to extend the Phase II scope (projects can last up to 12 months)
Submission deadline: Rolling; no later than 18 months after the Phase II start date
Amount: Up to 20% of the Phase II award (generally ~$150,000)
Extension: Can extend the Phase II project up to one year (PI & PD must concur)
Limits: One supplement per Phase II award; a maximum of 50% of the supplemental funds should go to the ERC as a sub-award

15. Phase II Supplements Phase IIA
Purpose: Incentivize Phase II recipients to work with minority-service institutions (currently funded CREST and HBCU-RISE awardees)
Funds for: Additional R&D to extend the Phase II scope (funded Phase IIA projects can last up to one year)
Submission deadline: Rolling
Amount: Up to 20% of the Phase II award (generally ~$150,000)
Extension: Can extend the Phase II project up to one year (PI & PD must concur)
Limits: One supplement per Phase II award; 70% of the funds minimum must go to the CREST or RISE institution as a subaward

16. Phase II Supplements Phase IICC
Purpose: Incentivize Phase II recipients to work with community college-based research teams
Funds for: Additional R&D to extend the Phase II scope
Submission deadline: Rolling; not later than 90 days before project end date
Amount: $40,000
Extension: None
Limits: One supplement per Phase II award per year; 75% of the funds minimum must go to the community college as a sub-award

17. Phase II Supplements Commercialization Assistance Program (CAP)
Purpose: Assistance with commercialization/business development
Funds for: Third party services (cannot be used for company employees or internal direct/indirect costs)
Submission deadline: Rolling; no later than 45 days before Phase II end date
Amount: $10,000
Extension: None
Limits: One supplement per Phase II award
Examples for use of funds: Patent costs, trade show attendance, investment assistance, financial/accounting services

18. Phase II Supplements Research Experiences for… (REU/RET/VRS)
Purpose: Incentivize Phase II recipients to involve undergraduate students, teachers, and veterans in the research effort
Funds for: Stipend for the participant (RETs can spend up to $2,000 for materials and supplies for developing classroom demos, etc.)
Submission deadline: Rolling; should leave enough time to complete the project of the funded participant before the Phase II ends
Amount: $8,000 (REU); $10,000 (RET, VRS)
Extension: None
Limits: One supplement (up to two participants) of each type, per year, per Phase II award

19. Phase II Supplements
Research Assistantships for High School Students (RAHSS)
Purpose: Incentivize Phase II recipients to involve underrepresented high school students in the R&D effort
Funds for: Stipend for the participant
Submission deadline: Rolling; should give enough time to complete the project of the funded participant before the Phase II ends
Amount: $6,000
Extension: None
Limits: One supplement (up to two participants), per year, per Phase II award

20. Also of Interest… Graduate INTERN
Opportunity for NSF-funded basic research projects to allow participating graduate students to gain industrial experience relevant to their studies and interest
Up to 6 months per internship
Host organization (e.g. Phase II SBIR/STTR grantee) describes internship/mentoring plan
Need an IP agreement governing internship activities
INTERN support funds go to the academic institution
Typically requested by college/university grantee PI
Contact Dr. Prakash Balan, for info

21. Questions?
General POCs:
seedfund.nsf.gov
@NSFSBIR