NSF 09-605: Small Business Technology Transfer Program Phase I Solicitation FY-2010 (STTR)

THIS DOCUMENT HAS BEEN REPLACED BY NSF 10-590

Program Solicitation
NSF 09-605

National Science Foundation Directorate for Engineering      Industrial Innovation and Partnerships

Full Proposal Deadline(s) (due by 5 p.m. proposer's local time):

     November 17, 2009

      Please do not submit proposals prior to 10/17/2009

Revision Notes

Summary Of Program Requirements

General Information

Program Title: 

Synopsis of Program:

Cognizant Program Officer(s):

• Ben  Schrag, Program Director, telephone: (703) 292-8323, email: bschrag@nsf.gov

• Josephine  Yuen, Program Director, telephone: (703) 292-5332, email: jyuen@nsf.gov

Applicable Catalog of Federal Domestic Assistance (CFDA) Number(s):

• 47.041 --- Engineering

Award Information

Anticipated Type of Award:  Other Grant    Fixed Amount Awards

Estimated Number of Awards:    35   (pending availability of funds).

Anticipated Funding Amount:   $5,000,000  (subject to the availability of funds).

Eligibility Information

Organization Limit: 

Proposals may only be submitted by the following:

• For-profit organizations: U.S. commercial organizations, especially small businesses with strong capabilities in scientific or engineering research or education.

PI Limit: 

Limit on Number of Proposals per Organization: 1

Limit on Number of Proposals per PI: 1

Proposal Preparation and Submission Instructions

A. Proposal Preparation Instructions

• Letters of Intent: Not Applicable

• Preliminary Proposal Submission: Not Applicable

• Full Proposal Preparation Instructions: This solicitation contains information that supplements the standard NSF Proposal and Award Policies and Procedures Guide, Part I: Grant Proposal Guide (GPG) proposal preparation guidelines. Please see the full text of this solicitation for further information

B. Budgetary Information

• Cost Sharing Requirements: Cost Sharing is not required under this solicitation.

• Indirect Cost (F&A) Limitations:  

  Indirect costs are limited to an effective rate of 150% of salaries and wages. (See Section V.A.9.6)

• Other Budgetary Limitations: Not Applicable

C. Due Dates

• Full Proposal Deadline(s) (due by 5 p.m. proposer's local time):

       November 17, 2009

        Please do not submit proposals prior to 10/17/2009

Proposal Review Information Criteria

Merit Review Criteria:   National Science Board approved criteria. Additional merit review considerations apply. Please see the full text of this solicitation for further information.

Award Administration Information

Award Conditions:   Additional award conditions apply. Please see the full text of this solicitation for further information.

Reporting Requirements:   Additional reporting requirements apply. Please see the full text of this solicitation for further information.

I. Introduction

II. Program Description

III. Award Information

IV. Eligibility Information

Organization Limit: 

Proposals may only be submitted by the following:

• For-profit organizations: U.S. commercial organizations, especially small businesses with strong capabilities in scientific or engineering research or education.

PI Limit: 

Limit on Number of Proposals per Organization: 1

Limit on Number of Proposals per PI: 1

Additional Eligibility Info:

V. Proposal Preparation And Submission Instructions

A. Proposal Preparation Instructions

Full Proposal Instructions: Proposals submitted in response to this program solicitation should be prepared and submitted in accordance with the guidelines specified in the NSF Grant Proposal Guide (GPG). The complete text of the GPG is available electronically on the NSF website at: https://www.nsf.gov/publications/pub_summ.jsp?ods_key=gpg. Paper copies of the GPG may be obtained from the NSF Publications Clearinghouse, telephone (703) 292-PUBS (7827) or by e-mail from mailto:pubs@nsf.gov.

The following instructions supplement the GPG guidelines.

A.1. Responsiveness to NSF STTR Topic

A.1.1 Communication with the NSF Program Manager: A company planning to submit a proposal in response to this solicitation is encouraged to describe the innovation and business opportunity to the cognizant program manager and receive feedback prior to proposal submission.  You may contact the program officer at any time before the submission deadline.  Note, however, the communication with the program manager will become increasingly difficult as the deadline approaches.

A.1.2 Designation of Topic and Subtopics. This STTR solicitation has only one topic; therefore designate "Multi-Functional Materials (MM)" as the topic. A firm MUST identify the appropriate subtopic on the cover page. The subtopics for this solicitation are:

A. Bio-inspired Materials and Systems (BMS)
B. Materials for Energy Generation and Storage (ME)
C. Materials for Sustainability (MS)
D. Nanostructured Materials (NM)
E. Smart Materials and Structures (SMS)

A.2. Phase I Proposal Objectives. An STTR Phase I proposal must describe the research effort needed to investigate the feasibility of the proposed scientific or technical innovation. The primary objective of the Phase I effort is to determine whether the innovation has sufficient technical merit for proceeding into a Phase II project. A secondary objective is to assess potential commercial feasibility of the proposed work.

A.3. Phase I Project Requirements. The deliverable at the end of an STTR Phase I grant is a technical report that summarizes the experimental and theoretical accomplishments of the research proposed. This report serves as the basis for a Phase II proposal.

A.4. Administrative and Technical Screening. All proposals that fail to address the following items will be considered non-responsive and will be returned without review.

Administrative and Technical Screening Items:

1. A proposal submitted after 5:00 p.m. (proposer's/submitter's local time) on the deadline date. The "Proposer" is the company and the time zone associated with the company's address will be used to determine if a proposal is late.
2. A Project Summary lacking required information (reference section A.9.2).
3. A Project Description that exceeds 15 pages or does not have all the parts (reference section A.9.3).
4. A proposal budget exceeding $150,000 (reference section A.9.6).
5. A proposal missing a Company Commercialization History, if a company has certified that it has previously received SBIR/STTR Phase II awards. A Company Commercialization History must be provided using the NSF template (reference section A.9.9.3).
6. A proposal with documents placed in the “Additional Single Copy Documents" module in FastLane.
7. Collaborative proposals are not accepted. A collaborative proposal is defined as simultaneous proposal submissions from different organizations, with each organization requesting a separate award. Note: Small business concerns are required to collaborate with research institutions; however, the collaboration is reflected as a subaward and only one proposal should be submitted.
8. A proposal without sufficient technical and/or commercial potential to justify review.
9. A proposal that does not fall within the scope of the topic or subtopic
10. A proposal that does not have research proposed in science, engineering, or education.
11. Unacceptable objectives as defined in Section IV.
12. A proposal missing a Post Doc Mentoring Plan (if Post Docs are listed on the budget - reference section A.9.9.2).

A.5. Marking Proprietary Information. To the extent permitted by law, the Government will not release properly identified and marked technical data. If the proposal contains proprietary information, check the box at the bottom of the proposal cover page and identify proprietary technical data in the proposal by clearly marking the information and also providing a legend. Typically, proprietary information is marked in the text either with an asterisk at the beginning and end of the proprietary paragraph, underlining the proprietary sections, or choosing a different font type. An entire proposal should not be marked proprietary.

A.6. Human Subjects and Animal Use. Please refer to Chapter II, Sections D.5 and D.6 of the GPG (https://www.nsf.gov/publications/pub_summ.jsp?ods_key=gpg). Note that in some cases, product testing involves human subjects. In addition to the information in the GPG, please refer to http://www.hhs.gov/ohrp. Look for federal-wide assurances under the Office of Human Research Protection website.

If human subjects Institutional Review Board (IRB) approval is indicated, and it is not in hand at the time of submission, there must be a plan for such approval; a supporting letter regarding IRB approval should be provided under supplementary documents. The approval must be readily attainable within six weeks of informal notification of recommendation for award to ensure continued processing for funding. The small business has three basic options with regard to human subjects review: 1) establish your own IRB (see Office of Human Rights Protection (OHRP) at Health and Human Services (HHS) http://www.hhs.gov/ohrp/assurances/; 2) use the review board of a (usually local) university or research institution, either via consultants to the project, a project subcontract, or directly through its own contacts; and 3) use a commercial company.

Animal use in funded projects requires approval of the company or collaborating institutions' Institutional Animal Care and Use Committee (IACUC). Please refer to http://www.aphis.usda.gov/animal_welfare/rig.shtml  for additional information.

A.7. Debriefing on Unsuccessful Proposals. When a proposal is declined, verbatim copies of reviews, excluding the names of the reviewers, summaries of review panel deliberations, if any, and a description of the process by which the proposal was reviewed will be available electronically.

Phase I proposals that have been declined or returned without review by NSF are NOT eligible for reconsideration under the same program solicitation; however, proposals may be resubmitted under a subsequent solicitation, after suitable revision, conditional upon their falling within the scope of the subsequent topic or subtopic offerings.

A.8. General Requirements

A.8.1 Sample Limitations. Samples, videotapes, slides, appendices, or other ancillary items will not be accepted. Websites containing demonstrations, etc., may be cited in the proposal, but reviewers are not required to access them.

A.8.2 Page Format. Multiple column formats are not accepted.

A.9. Required Format.

The required format of a Phase I proposal is described in the following paragraphs. Each proposal submitted to the NSF STTR program will use the following FastLane Forms:

Cover Sheet
Project Summary
Table of Contents (automatically generated)
Project Description
References Cited
Biographical Sketches
Budgets and Budget Justification (also required for each subaward)
Current and Pending Support
Facilities, Equipment and Other Resources

Supplementary Docs: (placeholder for the following documents -- if applicable)

1. Letter(s) of Support for Technology or Market Opportunity (if applicable),
2. Post Doc Mentoring Plan (if applicable),
3. Company Commercialization History (if applicable),
4. Cooperative Research Agreement, and
5. Letter(s) regarding human subjects Institutional Review Board or IACUC approval of animal use (if applicable).

Single Copy Documents - List of Suggested Reviewers

A.9.1. Cover Sheet and Certification. Complete topic and subtopic fields must be included on the cover sheet. All proposals must be electronically signed. For information regarding electronic signature, reference the FastLane webpage .

A.9.2. Project Summary. An edited version of the Project Summary will be available to the public if a proposal is awarded. The Project Summary shall be written in the third person and shall begin as follows: "This Small Business Technology Transfer Phase I project...". The summary must have the following components:

1) A summary paragraph limited to 200 words addressing the intellectual merits of the proposed activity. No proprietary information should be included in the summary. Include a brief identification of the problem or opportunity, the research objectives, a description of the research, and the anticipated results.

2) A summary paragraph limited to 200 words addressing the broader impacts/commercial potential of the proposed activity. Include information on the potential commercial value, societal impact, and enhanced scientific and technological understanding.

3) A listing of key words. The key words or phrases should identify the areas of technical expertise in science, engineering, or education which are to be invoked in reviewing the proposal; and the areas of application that are the initial target of the technology.

4) The subtopic name.

A.9.3 Project Description. The project description shall contain the following parts in the following order and must not exceed 15 pages.

Part 1: Identification and Significance of the Innovation. The first paragraph shall contain a clear and succinct statement specifying the research innovation proposed, and a brief explanation of how the innovation is relevant to meeting a need described in the subtopic narrative.

Part 2: Background and Phase I Technical Objectives. List and explain the key objectives to be accomplished during the Phase I research, including the questions that must be answered to determine the technical and commercial feasibility of the proposed concept. It is important to show how potential customer needs will be met if the research is successful. Therefore, Phase I proposers are strongly encouraged to consider commercial potential as well as the technical challenges of their research.

Part 3: Phase I Research Plan. This section must provide a detailed description of the Phase I research approach. The description must include the following:

• A technical discussion of the proposed concept,
• What is planned and how the research will be carried out,
• The plan to achieve each objective, and
• The sequence of experiments, tests, and computations involved in the measurement of those objectives.

Part 4. Commercial Potential. Proposals must describe the business opportunity to be enabled by the proposed innovation. The information contained within the Commercial Potential section should convey the scope and nature of this business opportunity.  This section should briefly describe the current as well as the anticipated market landscape and the resources required to address the opportunity.  The goal of this section is to justify, from a market-opportunity perspective, why a Phase I feasibility study should be undertaken. 

In preparing the description of the commercial potential, you are strongly encouraged to address the following four sections: market opportunity, company/team, product/competition and revenue/finance. 

• The market opportunity - Describe the anticipated target market or market segments and provide a brief profile of the potential customer. What customer needs will be addressed with the innovation?  Estimated size of the market being addressed?  What barriers to entry exist?
• The Company/Team - What are the origins of the company/team?  How many current employees are there? What is the revenue history, if any, for the past three years? Give a brief description of the experience and credentials of the personnel responsible for taking the innovation to market. How does the background and experience of the team enhance the credibility of the effort; have they previously taken similar products/services to market? Does proposed research mesh with company objectives? How does the proposed technology sit within the company mission?
• Product or technology and competition – How does your product or service sit within the competitive landscape? What is the main competition? What is the value proposition for the product or service enabled by the innovation? How do you plan to protect any IP generated from the proposed innovation?  What critical milestones must be met to get the product or service to market? 
• Financing and revenue model - based upon revenue assumptions, describe how you plan to finance your innovation.

Part 5. Consultants and Subawards/Subcontracts. Keep in mind that an STTR Phase I project requires a minimum of 40% of the research, as measured by the budget, to be performed by the small business concern, and a minimum of 30% of the research, as measured by the budget, by the collaborating research institution. The remaining 30% may be allocated as appropriate to achieve the objectives of the proposed STTR Phase I project.

Consultant: The services of each consultant must be justified within the context of the proposal. In this section of the proposal, information must be provided on each consultant's expertise, organizational affiliation, and contribution to the project. In addition, each consultant, whether paid or unpaid, must provide a signed statement that confirms availability, time commitment, role in the project, and the agreed consulting rate (not to exceed $600 per day). The maximum consulting rate under this solicitation is $600 per day (NSF defines a day as 8 hours). This rate is exclusive of any indirect costs, travel, per diem, clerical services, fringe benefits, and supplies.

The signed consultant statements (with the required stated number of days at $600 per day) must be uploaded as part of the proposal budget justification.

Subaward (also known as the subcontract):  Subawards (including contracts, subcontracts and other arrangements) are used for research, describe the tasks to be performed and how these are related to the overall project. A minimum of 30% of the research (as measured by the budget) must be performed by a research institution. A Co-PI from the research institution must be identified on the subaward proposal budget.

Each subaward must use a proposal budget, and provide details of subaward costs by cost category. Each subawardee budget must be prepared in FastLane.

Purchases of analytical or other routine services from commercial sources and the acquisition of fabricated components from commercial sources are not regarded as reportable subaward activity. Such items -- routine analytical or other routine services -- should be reported on the Budget under Other Direct Costs/Other (Line G.6 on the budget form).

All research, including subawards and consultancies, must be carried out in the U.S. (See definition of Place of Performance.)

Note: If a subawardee lists Post Docs as part of the subaward budget, a Post Doc Mentoring Plan must be provided.  For more information on what is required see the information at the following link:  https://www.nsf.gov/pubs/policydocs/pappguide/nsf09_29/gpg_2.jsp#IIC2j.  Upload the mentoring plan into the supplemental docs module of FastLane. A Post Doc Mentoring plan template can be obtained at: https://www.nsf.gov/eng/iip/sbir/Sample_Postdoc_Mentoring_Plan.doc

Part 6. Equivalent or Overlapping Proposals to Other Federal Agencies. A firm may elect to submit proposals for equivalent or overlapping work under other Federal solicitations or may have received or expect to receive other Federal awards for equivalent or overlapping work. The firm must certify on the proposal cover page whether another Federal Agency has received this proposal (or an equivalent or overlapping proposal). In addition, the proposer must inform NSF of overlapping or equivalent proposals and awards as follows: (a) related federal awards (ongoing or completed); (b) proposals that have been submitted under other government solicitations; and (c) anticipated submissions (within the upcoming calendar year) to other agencies of related proposals. For all such cases, the following information is required:

• The name, address and telephone contact of the sponsoring agency to which the proposal was or will be submitted,
• Date(s) of proposal submission(s),
• Title, number, and date of solicitation under which the proposal was submitted or will be submitted,
• Title and performance period of the proposal, and
• Name and title of principal investigator, annual person-months (calendar-months) devoted by any personnel on the equivalent or overlapping project who are participating as PI or senior personnel on this proposal.

If no equivalent or overlapping proposals are under consideration, explicitly state: NONE. NSF will not make awards that duplicate research funded or expected to be funded by other agencies, although in some cases NSF may fund portions of work described in an overlapping proposal provided that the budgets appropriately reduce costs and allocate costs among the various sponsors. If a proposer fails to disclose equivalent or overlapping proposals as provided in this section, the proposer could be liable for administrative, civil or criminal sanctions.

A.9.4. References Cited. Provide a comprehensive listing of relevant references, including patent numbers and other relevant intellectual property citations.

A.9.5. Biographical Sketches. (A maximum of 2 pages per person.) Provide relevant biographical information for the Principal Investigator (PI) and key personnel (including consultants and key members of the subaward team).

A.9.6. Budget. The total budget shall not exceed $150,000. Budget estimates must be shown in detail in the budget justification. The budget should reflect the cost for work to be done only after the effective date of the award. Note that an awardee may not expend funds for any costs associated with the project before the effective date of the award document signed by the NSF grants officer.

List the principal investigator and senior personnel by name with their time commitments budgeted in person-months and the dollar amount for the performance period.

The reimbursement rates for consultants are a direct cost that cannot exceed the maximum daily consulting rate under this solicitation of $600 per day. Indicate the number of days proposed per consultant. Consultant travel should be shown under the domestic travel category, E-1, but counts as an outsourcing expense.

The budget justification should indicate the type of expendable materials and supplies required with their estimated costs.

Permanent equipment, patent expenses, and foreign travel are not allowable expenditures. Tuition costs are not considered research or research and development. Accordingly, they are not acceptable costs and should not be included on the budget for the company and the subawardee.

One trip (for up to two persons, normally the PI and an individual associated with business operations) is required to attend a two-day grantee workshop. The intent of this workshop is to discuss the research program with a program officer and to learn the mechanics of preparing a Phase II proposal; therefore this trip must be included in the Phase I budget. An explicit statement acknowledging attendance at the grantee workshop is required on the budget justification page.

Indirect costs are limited to an effective rate of 150% of salaries and wages. The following expenses will not be funded as part of the indirect cost pool:

• Independent Research and Development (IR&D)
• Patent and patent related expenses will not be funded as either a direct or indirect cost
• Sales and marketing expenses
• Business development
• Manufacturing and production expenses

Reasonable fees (estimated profit) will be considered under Phase I. The amount of the fee approved by NSF cannot exceed seven percent (7%) of the total indirect and direct project costs. The proposal bottom line cannot exceed $150,000 for STTR Phase I proposals.

Detailed documentation of budget line items is required for ALL budget items and must be documented on the budget justification page.

A.9.7. Current and Pending Support of Principal Investigator and Senior Personnel. This section should provide information about all research to which the principal investigator and other senior personnel either have committed time or have planned to commit time (in the event that other pending projects are supported during the SBIR/STTR Phase I period of performance), whether salary for the person involved is included in the budgets of the various projects. If none, state NONE.

For all ongoing or proposed projects or proposals that will be submitted in the near future -- but excluding any proposals already cited above in the Equivalent or Overlapping Proposals to other Federal Agencies section -- that involve the Principal Investigator or senior personnel, provide the following information:

• Name of sponsoring organization,
• Title and performance period of the proposal, and
• Annual person-months (calendar months) devoted to the project by the principal investigator and each of the senior personnel.

A.9.8. Equipment, Instrumentation, Computers, and Facilities. Provide a description that specifies the availability and location of significant equipment, instrumentation, computers, and physical facilities necessary to complete the portion of the research that is to be carried out by the proposing firm in Phase I. Purchase of permanent equipment is not permitted in a Phase I project (reference definition of Permanent Equipment). DO NOT use budget line item D for Phase I proposals.

If the equipment, instrumentation, computers, and facilities for this research are not the property (owned or leased) of the proposing firm, include a statement signed by the owner or lessor which affirms the availability of these facilities for use in the proposed research, reasonable lease or rental costs for their use, and any other associated costs. Upload images of the scanned statements into this section.

A.9.9. Supplementary Docs. This section will only contain the following components (if applicable):

A.9.9.1. Letters of Support for Technology or Market Opportunity (no more than three letters). Letters of support act as an indication of market validation for the proposed innovation and add significant credibility to the proposed effort.  Letters of support should demonstrate that the company has initiated dialog with relevant stakeholders (potential customers, strategic partners or investors) for the proposed innovation and that a real business opportunity may exist should the technology prove feasible. The letter(s) must contain affiliation and contact information for the signatory stakeholder.

A.9.9.2. Post Doc Mentoring Plan.  See Part 5. Consultants and Subawards/Subcontracts above for information regarding the Post Doc Mentoring Plan. A template for the Post Doc Mentoring Plan can be obtained at: https://www.nsf.gov/eng/iip/sbir/Sample_Postdoc_Mentoring_Plan.doc

A.9.9.3. Company Commercialization History. Note: This template must be used; otherwise the proposal will be returned without review. A Company Commercialization History is required for all proposers certifying receipt of previous Phase II awards. All items must be addressed in the format outlined below. The following are required components for this section:

1. Firm Name.
2. Identify any name change your firm has gone through within the past five years.
3. List the parent company if you are a subsidiary or a spin-off.  List subsidiaries and spin-offs if you are a parent company.
4. Percent of company revenues for each of the past three (3) fiscal years from federal SBIR/STTR funding (includes Phase I and Phase II awards).
5. List each Phase II SBIR/STTR award as shown in the example below. A blank table-template may be accessed at Commercialization History.

A.9.9.4. Cooperative Research Agreement. See the Cooperative Research Agreement (CRA) model.

The proposing small business concern must provide a signed written CRA between the small business and the research institution at the time of award. For proposal submission, place a draft of the CRA or a letter stating that a CRA will be provided upon notification of award recommendation.

A.10. Research Topic - Multi-Functional Materials (MM)The fundamental mission of NSF is to promote discoveries and to advance education across the frontiers of knowledge in science and engineering. Consistent with that mission, NSF encourages and supports a wide range of proposals from the research and education community and also from the private small business sector. These proposals are reviewed under NSF's merit review criteria, which cover both the quality of research (intellectual or technical merit) and its potential impact on society (broader impacts or commercial potential).

The STTR program solicits proposals from the small business sector consistent with NSF's mission. The program is governed by Public Law 107-50. A main purpose of the legislation is to stimulate technological innovation and increase private sector commercialization. The NSF small business program is therefore in a unique position to meet both the goals of NSF and the purpose of the STTR legislation by transforming scientific discovery into both social and economic benefit, and by emphasizing private sector commercialization. NSF has formulated a broad solicitation topic for STTR that conforms to the legislation. The STTR Topic for this solicitation is: Multi-Functional Materials (MM).

The objective of the National Science Foundation (NSF) Small Business Technology Transfer (STTR) program is to stimulate technology innovation through cooperative research between small businesses and research institutions.  In the STTR program, research is to be conducted jointly by a small business and a nonprofit research institution. Not less than 40 percent of the work (as measured by the budget) conducted under an STTR award must be performed by the small business, and not less than 30 percent of the work (as measured by the budget) must be performed by the nonprofit research institution.

Proposals must address one of the subtopics that are outlined below. Proposals that are not responsive to the subtopics outlined below will be returned without review. When submitting a proposal to the Multi-Functional Materials topic, code the proposal to the corresponding subtopic under which you are submitting the proposal, e.g., subtopic B. Materials for Sustainability (MS) should be coded with the acronym "MS" in the subtopic box on the cover page. In addition, use the code as the first item in the key words/phrases portion of the Project Summary of your proposal.

NSF expects synergy in the proposed research. An interdisciplinary and interdependent team approach is required in response to this STTR topic.  Multi-functional materials combine multiple functions including mechanical, electronic, photonic, optical, biological, and magnetic functions, and are capable of exhibiting diverse controllable and predictable physical responses when subjected to various external conditions. Multifunctional materials are expected to bring important breakthroughs in various technological fields. Proposals submitted in response to this solicitation should explicitly explain the multi-functionality of the proposed material(s) to be developed.  The subtopics for this solicitation are as follows:

A. Bio-inspired Materials and Systems (BMS) - Research activities that merge biology, medicine, physics, chemistry and engineering are leading to increasing understanding of fundamental biological mechanisms that can be translated into the development of new materials and systems with wide applications.  These materials and systems tend to be inherently multifunctional, adaptive and hierarchical.  Examples are biomolecules, biomolecular assemblies and systems (vesicles, membranes, and various other assemblies and networks of biomolecules), and biomimetic, bioinspired, or biocompatible materials, and their hybrids with conventional materials.  Applications are diverse, including, but not limited to, biomedical, electronics, aerospace, energy and catalysis.  Topics of interest include synthesis, processing and modeling of biomimetic, biologically-inspired, and biologically-based multi-functional materials and structures.  Subtopic Contact: Josephine Yuen (jyuen@nsf.gov)

B.  Materials for Energy Generation and Storage (ME) - There is an intense worldwide effort to develop cleaner and more sustainable sources of energy.  The realization of more efficient and cost-effective methods of energy storage is also a crucial requirement which will ensure the feasibility of these new energy sources.  The realization of these technologies will have numerous benefits, including a reduction in the release of greenhouse gases and other pollutants, a reduced dependence on volatile foreign energy sources, and the creation of new jobs and economic activity on domestic soil.  Topics of interest are new multi-functional materials for clean energy generation (e.g., solar energy, wind power, biofuels, thermoelectric conversion, tidal power) and energy storage (e.g., batteries, fuel cells, and supercapacitors). Subtopic Contact: Ben Schrag (bschrag@nsf.gov)

C. Materials for Sustainability (MS) - Issues of energy conservation and recyclability are particularly important due to increasing demand for resources created by global economic development and its adverse environmental consequences.   There are increasing activities in materials research that aim at improving sustainability for the present and future generations, while embracing the goal of economic development.   These activities aim to develop new or improved multi-functional materials for 1) energy efficiency and conservation, 2) monitoring, purification, or filtration of water or other resources, 3) environmental preservation and remediation, and 4) waste reduction and resource recycling or reuse.  Topics of interest include research on the synthesis, properties, or behavior of environmentally-friendly chemicals and materials to enable protection or improved longevity of infrastructures (e.g., bridges, buildings, automobiles), novel critical components (e.g., gas turbine engines, bearings), drinking water purification (membranes or adsorbents), more efficient use of resources (e.g., energy-efficient building materials, solid state lighting, advanced catalysis for efficient chemical production), and reduction in waste generation (e.g., environmental-friendly catalysts and supports, biodegradable and compostible polymers). Subtopic Contact: Josephine Yuen (jyuen@nsf.gov)

D. Nanostructured Materials (NM) - Nanostructured materials are materials whose structural elements - such as clusters and crystallites - have dimensions in the range of 1 to 100 nanometers.  Nanostructured materials generally have different mechanical, electrical, thermal, magnetic, and/or optical properties from bulk and microstructured materials.  These differences are due to quantum effects and/or to the far larger surface-to-volume ratio which exists in nano-structured materials.  Some well-known examples of carbon nanostructured materials are fullerenes, graphene, and nanotubes.  Incorporation of nanoparticles into other materials and systems enhance material performance, enabling novel and diverse applications across many fields, including biomedical, optical, electronic, energy and industrial.  Examples include high performance optical methods for gene sequencing, nanocoatings for high performance cutting tools, spintronics for high density electronic memory and nanoparticle coatings for electrodes to increase battery power.   This great potential is accompanied by great challenges in processing and applications, as well as concerns about the possible medical and environmental risks of nanoparticles.  Topics of interest include the design, fabrication, and characterization of new or improved multi-functional nanostructured materials, including but not limited to: nanoparticles, nanotubes, nanorods, nanocomposites, nanofibers, and nanofoams for a variety of commercially relevant applications.  Examples of applications include, but are not limited to, structural materials (e.g. clothing, sports gear, vehicular applications), coatings and surface treatments (e.g. tribological or superhydrophobic coatings, or coatings for wear or corrosion resistance), electronic and optoelectronic applications (e.g. quantum dots, flexible electronics, molecular electronics, nanophotonics), health or environmental applications (e.g. drug delivery), thermal or magnetic applications (e.g. spintronics, nanomagnetics, thermal management materials) and energy conversion or storage (e.g. photovoltaic, supercapacitor, or battery materials).  Proposals are also encouraged that deal with 1) the potential health and environmental impacts of nanomaterials and/or 2) improving the manufacturability and/or manufactured quality and/or yield of nanomaterials.  Subtopic Contact: Ben Schrag (bschrag@nsf.gov)

E. Smart Materials and Structures (SMS) - Smart materials and structures are materials and structures which have one or more properties that can be altered in a controlled fashion by external stimuli, such as stress, temperature, moisture, pH, electric or magnetic fields, or biological stimuli.  Some smart materials also have the potential to monitor their own condition and/or be regenerative or self-healing.  Examples include piezoelectric and ferroelectric materials, shape memory alloys, magnetostrictive compounds, and electrochromic or photochromic materials.  Applications are widespread with examples in eyeglass frames and lenses, arterial stents, food packaging for safe storage and cooking, and new types of sensors and actuators.  Emerging applications areas include the structural health monitoring of buildings and vehicles, industrial controls, and detector applications.  Topics of interest include the research and development of new and improved types of multi-functional smart materials, and new or improved structures and devices which incorporate one or more smart material components. Subtopic Contact: Ben Schrag (bschrag@nsf.gov) 

Proposers are reminded to identify the program solicitation number (Populated with NSF Number at Clearance) in the program solicitation block on the NSF Cover Sheet For Proposal to the National Science Foundation. Compliance with this requirement is critical to determining the relevant proposal processing guidelines. Failure to submit this information may delay processing.

B. Budgetary Information

Cost Sharing:   Cost sharing is not required under this solicitation.

Indirect Cost (F&A) Limitations:  

Indirect costs are limited to an effective rate of 150% of salaries and wages. (See Section V.A.9.6)

C. Due Dates

• Full Proposal Deadline(s) (due by 5 p.m. proposer's local time):

       November 17, 2009

        Please do not submit proposals prior to 10/17/2009

D. FastLane Requirements

Proposers are required to prepare and submit all proposals for this program solicitation through use of the NSF FastLane system. Detailed instructions regarding the technical aspects of proposal preparation and submission via FastLane are available at: http://www.fastlane.nsf.gov/a1/newstan.htm. For FastLane user support, call the FastLane Help Desk at 1-800-673-6188 or e-mail fastlane@nsf.gov. The FastLane Help Desk answers general technical questions related to the use of the FastLane system. Specific questions related to this program solicitation should be referred to the NSF program staff contact(s) listed in Section VIII of this funding opportunity.

Submission of Electronically Signed Cover Sheets. The Authorized Organizational Representative (AOR) must electronically sign the proposal Cover Sheet to submit the required proposal certifications (see Chapter II, Section C of the Grant Proposal Guide for a listing of the certifications). The AOR must provide the required electronic certifications within five working days following the electronic submission of the proposal. Further instructions regarding this process are available on the FastLane Website at: https://www.fastlane.nsf.gov/fastlane.jsp.

VI. NSF Proposal Processing And Review Procedures   

Proposals received by NSF are assigned to the appropriate NSF program where they will be reviewed if they meet NSF proposal preparation requirements. All proposals are carefully reviewed by a scientist, engineer, or educator serving as an NSF Program Officer, and usually by three to ten other persons outside NSF who are experts in the particular fields represented by the proposal. These reviewers are selected by Program Officers charged with the oversight of the review process. Proposers are invited to suggest names of persons they believe are especially well qualified to review the proposal and/or persons they would prefer not review the proposal. These suggestions may serve as one source in the reviewer selection process at the Program Officer's discretion. Submission of such names, however, is optional. Care is taken to ensure that reviewers have no conflicts of interest with the proposal.

A. NSF Merit Review Criteria

All NSF proposals are evaluated through use of the two National Science Board (NSB)-approved merit review criteria: intellectual merit and the broader impacts of the proposed effort. In some instances, however, NSF will employ additional criteria as required to highlight the specific objectives of certain programs and activities.

The two NSB-approved merit review criteria are listed below. The criteria include considerations that help define them. These considerations are suggestions and not all will apply to any given proposal. While proposers must address both merit review criteria, reviewers will be asked to address only those considerations that are relevant to the proposal being considered and for which the reviewer is qualified to make judgements.

NSF staff also will give careful consideration to the following in making funding decisions:

Additional Review Criteria:

The STTR program has additional criteria which reflect the legislative emphasis of the program and complement the standard NSF review criteria listed above. "What is the intellectual merit of the proposed activity?" 1. Is the proposed plan a sound approach for establishing technical and commercial feasibility? 2. To what extent does the proposal suggest and develop unique or ingenious concepts or applications? 3. How well qualified is the technical team (Principal Investigator, key staff, consultants, and subawardees) to conduct the proposed activity? 4. Is there sufficient access to resources (materials and supplies, analytical services, equipment, facilities, etc.)? 5. Does the proposal reflect state-of-the-art in the major research activities proposed? (Are advancements in state-of-the-art likely?) "What are the broader impacts/commercial potential of the proposed activity?" 1. What may be the commercial and societal benefits of the proposed activity? 2. Does the outcome of the proposed activity lead to a marketable product or process that warrants significant NSF support? 3. Given the stage of the proposed effort, is the team well-balanced between technical and business skills? 4. Has the proposing firm successfully commercialized SBIR or STTR-supported technology where prior awards have been made? (Or, has the firm been successful at commercializing technology that has not received SBIR or STTR support?) 5. Has the proposer evaluated the competitive advantage of this technology vs. alternate technologies that can meet the same market needs? 6. Does the proposal lead to enabling technologies (instrumentation, software, etc.) for further innovation? 7. How well is the proposed activity positioned to attract further funding from non-SBIR sources once the project ends?

 

B. Review and Selection Process

Proposals submitted in response to this program solicitation will be reviewed by Ad hoc Review and/or Panel Review.

Reviewers will be asked to formulate a recommendation to either support or decline each proposal. The Program Officer assigned to manage the proposal's review will consider the advice of reviewers and will formulate a recommendation.

After scientific, technical and programmatic review and consideration of appropriate factors, the NSF Program Officer recommends to the cognizant Division Director whether the proposal should be declined or recommended for award. NSF is striving to be able to tell applicants whether their proposals have been declined or recommended for funding within six months. The time interval begins on the deadline or target date, or receipt date, whichever is later.  The interval ends when the Division Director accepts the Program Officer's recommendation.

A summary rating and accompanying narrative will be completed and submitted by each reviewer. In all cases, reviews are treated as confidential documents. Verbatim copies of reviews, excluding the names of the reviewers, are sent to the Principal Investigator/Project Director by the Program Officer.  In addition, the proposer will receive an explanation of the decision to award or decline funding.

In all cases, after programmatic approval has been obtained, the proposals recommended for funding will be forwarded to the Division of Grants and Agreements for review of business, financial, and policy implications and the processing and issuance of a grant or other agreement. Proposers are cautioned that only a Grants and Agreements Officer may make commitments, obligations or awards on behalf of NSF or authorize the expenditure of funds. No commitment on the part of NSF should be inferred from technical or budgetary discussions with a NSF Program Officer. A Principal Investigator or organization that makes financial or personnel commitments in the absence of a grant or cooperative agreement signed by the NSF Grants and Agreements Officer does so at their own risk.

VII. Award Administration Information

A. Notification of the Award

Notification of the award is made to the submitting organization by a Grants Officer in the Division of Grants and Agreements. Organizations whose proposals are declined will be advised as promptly as possible by the cognizant NSF Program administering the program. Verbatim copies of reviews, not including the identity of the reviewer, will be provided automatically to the Principal Investigator. (See Section VI.B. for additional information on the review process.)

B. Award Conditions

An NSF award consists of: (1) the award letter, which includes any special provisions applicable to the award and any numbered amendments thereto; (2) the budget, which indicates the amounts, by categories of expense, on which NSF has based its support (or otherwise communicates any specific approvals or disapprovals of proposed expenditures); (3) the proposal referenced in the award letter; (4) the applicable award conditions, such as Grant General Conditions (GC-1); * or Research Terms and Conditions * and (5) any announcement or other NSF issuance that may be incorporated by reference in the award letter. Cooperative agreements also are administered in accordance with NSF Cooperative Agreement Financial and Administrative Terms and Conditions (CA-FATC) and the applicable Programmatic Terms and Conditions. NSF awards are electronically signed by an NSF Grants and Agreements Officer and transmitted electronically to the organization via e-mail.

*These documents may be accessed electronically on NSF's Website at https://www.nsf.gov/awards/managing/award_conditions.jsp?org=NSF. Paper copies may be obtained from the NSF Publications Clearinghouse, telephone (703) 292-7827 or by e-mail from nsfpubs@nsf.gov.

More comprehensive information on NSF Award Conditions and other important information on the administration of NSF awards is contained in the NSF Award & Administration Guide (AAG) Chapter II, available electronically on the NSF Website at https://www.nsf.gov/publications/pub_summ.jsp?ods_key=aag.

Special Award Conditions:

C. Reporting Requirements

Failure to provide the required final project report will delay NSF review and processing of any future funding increments as well as any pending proposals for that PI. PIs should examine the format of the required report in advance to assure availability of required data.

PIs are required to use NSF's electronic project-reporting system, available through FastLane, for preparation and submission of the final project report.  Such reports provide information on activities and findings, project participants (individual and organizational) publications; and, other specific products and contributions.  PIs will not be required to re-enter information previously provided, either with a proposal or in earlier updates using the electronic system.  Submission of the report via FastLane constitutes certification by the PI that the contents of the report are accurate and complete.

VIII. Agency Contacts

General inquiries regarding this program should be made to:

• Ben   Schrag, Program Director, telephone: (703) 292-8323, email: bschrag@nsf.gov

• Josephine   Yuen, Program Director, telephone: (703) 292-5332, email: jyuen@nsf.gov

For questions related to the use of FastLane, contact:

• FastLane Help Desk, telephone: 1-800-673-6188; e-mail: fastlane@nsf.gov.

IX. Other Information

The NSF Website provides the most comprehensive source of information on NSF Directorates (including contact information), programs and funding opportunities. Use of this Website by potential proposers is strongly encouraged. In addition, National Science Foundation Update is a free e-mail subscription service designed to keep potential proposers and other interested parties apprised of new NSF funding opportunities and publications, important changes in proposal and award policies and procedures, and upcoming NSF Regional Grants Conferences. Subscribers are informed through e-mail when new publications are issued that match their identified interests. Users can subscribe to this service by clicking the "Get NSF Updates by Email" link on the NSF web site.

Grants.gov provides an additional electronic capability to search for Federal government-wide grant opportunities. NSF funding opportunities may be accessed via this new mechanism. Further information on Grants.gov may be obtained at http://www.grants.gov.

About The National Science Foundation

The National Science Foundation (NSF) is an independent Federal agency created by the National Science Foundation Act of 1950, as amended (42 USC 1861-75). The Act states the purpose of the NSF is "to promote the progress of science; [and] to advance the national health, prosperity, and welfare by supporting research and education in all fields of science and engineering."

NSF funds research and education in most fields of science and engineering. It does this through grants and cooperative agreements to more than 2,000 colleges, universities, K-12 school systems, businesses, informal science organizations and other research organizations throughout the US. The Foundation accounts for about one-fourth of Federal support to academic institutions for basic research.

NSF receives approximately 40,000 proposals each year for research, education and training projects, of which approximately 11,000 are funded. In addition, the Foundation receives several thousand applications for graduate and postdoctoral fellowships. The agency operates no laboratories itself but does support National Research Centers, user facilities, certain oceanographic vessels and Antarctic research stations. The Foundation also supports cooperative research between universities and industry, US participation in international scientific and engineering efforts, and educational activities at every academic level.

Facilitation Awards for Scientists and Engineers with Disabilities provide funding for special assistance or equipment to enable persons with disabilities to work on NSF-supported projects. See Grant Proposal Guide Chapter II, Section D.2 for instructions regarding preparation of these types of proposals.

The National Science Foundation has Telephonic Device for the Deaf (TDD) and Federal Information Relay Service (FIRS) capabilities that enable individuals with hearing impairments to communicate with the Foundation about NSF programs, employment or general information. TDD may be accessed at (703) 292-5090 and (800) 281-8749, FIRS at (800) 877-8339.

The National Science Foundation Information Center may be reached at (703) 292-5111.

Privacy Act And Public Burden Statements

The information requested on proposal forms and project reports is solicited under the authority of the National Science Foundation Act of 1950, as amended. The information on proposal forms will be used in connection with the selection of qualified proposals; and project reports submitted by awardees will be used for program evaluation and reporting within the Executive Branch and to Congress. The information requested may be disclosed to qualified reviewers and staff assistants as part of the proposal review process; to proposer institutions/grantees to provide or obtain data regarding the proposal review process, award decisions, or the administration of awards; to government contractors, experts, volunteers and researchers and educators as necessary to complete assigned work; to other government agencies or other entities needing information regarding applicants or nominees as part of a joint application review process, or in order to coordinate programs or policy; and to another Federal agency, court, or party in a court or Federal administrative proceeding if the government is a party. Information about Principal Investigators may be added to the Reviewer file and used to select potential candidates to serve as peer reviewers or advisory committee members. See Systems of Records, NSF-50, "Principal Investigator/Proposal File and Associated Records," 69 Federal Register 26410 (May 12, 2004), and NSF-51, "Reviewer/Proposal File and Associated Records, " 69 Federal Register 26410 (May 12, 2004). Submission of the information is voluntary. Failure to provide full and complete information, however, may reduce the possibility of receiving an award.

An agency may not conduct or sponsor, and a person is not required to respond to, an information collection unless it displays a valid Office of Management and Budget (OMB) control number. The OMB control number for this collection is 3145-0058. Public reporting burden for this collection of information is estimated to average 120 hours per response, including the time for reviewing instructions. Send comments regarding the burden estimate and any other aspect of this collection of information, including suggestions for reducing this burden, to:

Suzanne H. Plimpton
Reports Clearance Officer
Division of Administrative Services
National Science Foundation
Arlington, VA 22230