Confirm Eligibility and Readiness
To apply for an NSF SBIR Phase II award, your business must meet strict eligibility and timing criteria. First, you must be a current Phase I awardee and continue the same innovation or research topic into Phase II. NSF will reject your proposal without review if it falls outside the 6–24 month submission window from your Phase I start date.
Your business must still qualify under SBIR rules: U.S.-based, for-profit, fewer than 500 employees, and majority-owned by U.S. individuals or qualifying small entities. If your business has received venture capital investment, ensure no single VC controls a majority share unless the rules explicitly allow it.
Beyond basic eligibility, your proposal must demonstrate clear technical progress in Phase I. Gather data showing feasibility and proof-of-concept. Highlight key results and include milestones reached during Phase I. Review your intellectual property strategy—if you’ve filed for a patent or have trade secrets, be ready to describe this in your Commercialization Plan.
Finally, remember that the NSF allows only one Phase II submission per project. If your proposal is declined, you won’t have the option to revise and resubmit. Planning and alignment up front are essential.
Get Registered Early
Even the strongest proposal can’t be submitted if your registrations aren’t complete. Each system—SAM.gov, Research.gov, and the SBIR Company Registry—serves a distinct purpose, and delays in any one can halt your application.
Start with the System for Award Management (SAM.gov). Your business must be actively registered to receive any federal award. SAM generates your Unique Entity Identifier (UEI), which replaces the old DUNS number. Activation can take weeks, so begin immediately if not already active.
Next, register with Research.gov, the NSF’s submission portal. This system links to your SAM registration, so wait for SAM activation before proceeding. Within Research.gov, designate an Authorized Organizational Representative (AOR)—this is the person who will officially submit your proposal. Only the AOR can sign and submit your cover sheet.
Finally, complete your profile at SBIR.gov through the SBA’s SBIR Company Registry. You’ll receive a Small Business Concern (SBC) Control ID. This identifier is required in every SBIR/STTR application, regardless of agency.
Assemble Proposal Documents
The NSF SBIR Phase II proposal includes multiple components, each serving a specific purpose in evaluating your project’s merit, feasibility, and commercialization potential. Understanding how these pieces fit together—and how they’re reviewed—can make or break your application.
Start with the Cover Sheet in Research.gov. It captures administrative data: project title, PI contact info, keywords, and prior NSF award references. The AOR must review and electronically sign this before submission.
Your Project Summary must follow NSF’s strict format: Overview, Intellectual Merit, and Broader Impacts. Limit this to one page, using concise, non-confidential language. All three sections must be filled for the proposal to be accepted.
The Project Description (max 15 pages) forms the core of your technical narrative. It should cover:
- Results from Phase I (1–4 pages): Highlight data, feasibility evidence, and completed milestones.
- Phase II Work Plan (5–10 pages): Define objectives, approach, timelines, and deliverables.
- Broader Impacts: Explain how your innovation benefits STEM education, workforce development, or U.S. competitiveness.
The separate Commercialization Plan (also max 15 pages) is essential. Outline your:
- Market need and customer segments
- Product status, IP landscape, and competition
- Revenue model, funding strategy, and path to profitability
You must include at least three letters of support from potential customers or partners to validate demand.
Next, complete your Budget and Justification. Research.gov will auto-calculate totals as you enter salaries, indirect costs, supplies, and more (up to $1.25M over ~24 months). Include your negotiated indirect cost rate agreement (NICRA) or use the 8% de minimis rate. The justification (5-page max) must explain every line item. Include subaward details if applicable.
Don’t forget:
- Biosketches for all senior/key personnel (NSF format via SciENcv, 3 pages each)
- Current & Pending Support forms (include this pending Phase II project)
- Facilities & Resources description: equipment, labs, partnerships
- Data Management Plan (DMP): NSF accepts a simple statement of proprietary handling
Upload these and all other supplementary documents (milestone chart, letters, certifications) in the correct section of Research.gov.
Submit all required documents as PDFs in Research.gov
Missing or misfiled documents can cause automatic rejection without review.
Final Formatting and Compliance Check
Once your content is ready, it’s critical to ensure your proposal meets all formatting and compliance standards set by NSF. These requirements are non-negotiable—any deviation can result in your proposal being returned without review.
Start with page limits. The Project Description and Commercialization Plan are each capped at 15 pages. The Budget Justification cannot exceed 5 pages. Biosketches must be no longer than 3 pages per person. Do not attempt to squeeze in extra content via appendices or footnotes.
Use NSF-approved fonts: 11-point Arial or Times New Roman, or 10-point Computer Modern. Maintain 1-inch margins on all sides, and ensure no more than six lines of text per vertical inch.
Label each section clearly. Use consistent headers that mirror the NSF proposal structure. Each uploaded file should be named clearly and placed in the appropriate Research.gov section. Upload only PDFs—other file formats are not accepted.
Do not include external hyperlinks or references to proprietary content hosted elsewhere. NSF reviews must be self-contained. Also avoid embedded metadata or hidden text intended to influence reviewers.
Use Research.gov’s automated compliance checker before submitting. This tool will flag missing files, formatting errors, or misplaced sections—giving you a last chance to correct issues before final submission.
Using outdated formats or exceeding page limits may lead to NSF discarding your proposal unread.
Always follow the current SBIR solicitation instructions precisely.
Plan Your Internal Timeline
Successful Phase II submissions don’t come together overnight. Building a strong, compliant application takes careful pacing. The best-prepared applicants treat the deadline not as a target—but as a constraint that requires backward planning.
Start by identifying the submission window tied to your Phase I award date. NSF allows Phase II proposals between 6 and 24 months after your Phase I start. Choose your intended submission date and build a 12-week reverse timeline from there.
At week 12, outline your proposal strategy and assign writing roles. By week 8, aim to have a first full draft. This leaves room for feedback cycles. Plan for at least two rounds of review—technical content should be vetted by your R&D team, and business content by your leadership or advisors.
Letters of support—especially from potential customers or partners—take time to secure. Begin those conversations at least 4–6 weeks before submission. Let signers know your deadline and send pre-drafted language if helpful.
Budget planning should run in parallel. Finalize staffing and expenses early, then align the budget narrative with your technical milestones.
Importantly, leave a 2–3 day buffer before your submission deadline. Research.gov submissions must be finalized by 5:00 PM local time at your business address—not at NSF headquarters. Uploading on deadline day invites risk from technical issues or last-minute errors.
With a clear internal schedule and team coordination, your Phase II proposal can be submitted on time—and with confidence.