Small Business Technology Transfer (STTR) Program Phase I
Program Solicitation
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National Science Foundation |
Submission Window Date(s) (due by 5 p.m. submitter's local time):
February 12, 2021 - March 04, 2021
March 05, 2021 - June 03, 2021
June 04, 2021 - September 02, 2021
September 03, 2021 - January 06, 2022
Small businesses can submit a Project Pitch at any time. Small businesses that have been invited to submit a full proposal can submit a proposal based on that Project Pitch at any time during one of the submission windows listed above (up to one year).
The NSF SBIR/STTR program has extended the solicitation window closing date for both NSF SBIR and STTR Phase I and Phase II solicitations from December 2, 2021, to January 6, 2022.
NSF SBIR/STTR Phase I and Phase II applicants will still need to submit their proposals according to the eligibility criteria outlined in the NSF SBIR/STTR Phase I and Phase II solicitations. Please refer to the email sent on 11/30/2021 for more details or contact sbir@nsf.gov with any questions.
NSF Small Business Innovation Research (SBIR) and Small Business Technology Transfer (STTR) Program Phase I proposers are REQUIRED to submit a three-page "Project Pitch" that outlines the project objectives, technological innovation and associated technical risks. A small business must receive an official invitation via the Project Pitch process to submit a full proposal to this solicitation. The Project Pitch gives NSF the ability to review for appropriateness to the NSF SBIR/STTR Phase I program prior to the full proposal submission process, ensuring that proposers do not expend time or resources preparing full proposals that are clearly not aligned with the solicitation requirements. Details regarding this process as well as how to submit a Project Pitch can be found in section V.A of this document.
The NSF SBIR/STTR Program has four submission windows, as opposed to specific deadlines, that allow small businesses the flexibility to submit a full proposal at any time within the year. Please refer to specific quarterly window dates listed at the top of this document. The proposal submission system (FastLane) will shut down at 5:00 p.m. "proposer's time" on each submission window closing date, but, with the exception of the final submission window which closes in December, the system will then reopen for new submissions the following morning.
The NSF SBIR/STTR Program provides non-dilutive funding for the development of deep technologies, based on discoveries in fundamental science and engineering for profound societal impacts, and welcomes the submission of Project Pitches and full proposals (from companies invited to submit) in many technical areas.
Proposals submitted to this solicitation that meet all the requirements of the concurrent SBIR solicitation and are identified meritorious may, based on budgetary considerations and at NSF's discretion, be considered for award as SBIR Phase I proposals.
NSF proposals are confidential and will only be shared with a small number of reviewers and NSF staff (as appropriate) who have agreed to maintain the confidentiality of the proposal content. Proposals to NSF do not constitute a public disclosure. If selected for a Phase I award, a company will be prompted to write a project summary and an abstract that summarizes the intellectual merit and broader impact for the public.
Effective October 5, 2020, NSF requires all proposals (including SBIR/STTR proposals) to include Biographical Sketches and Current and Pending Support documents using NSF-approved formats. A proposal without the Biographical Sketches and Current and Pending Support documents in the NSF-approved format will be Returned without Review. For SBIR or STTR proposals submitted to NSF, please follow the guidance provided in Section V.A of this solicitation (Proposal Preparation and Submission Instructions) for both Biographical Sketches and Current and Pending Support documentation. Step-by-step guidance can also be found here.
For the purpose of this solicitation, the following definitions apply:
Any proposal submitted in response to this solicitation should be submitted in accordance with the NSF Proposal & Award Policies & Procedures Guide (PAPPG).
Program Title:
Small Business Technology Transfer (STTR) Program Phase I
Synopsis of Program:
Introduction to the Program:
The NSF STTR program focuses on transforming scientific discovery into products and services with commercial potential and/or societal benefit. Unlike fundamental or basic research activities that focus on scientific and engineering discovery itself, the NSF STTR program supports the creation of opportunities to move fundamental science and engineering out of the lab and into the market or other use at scale, or startups and small businesses representing "deep technology ventures."
The NSF STTR Program funds research and development. The program is designed to provide non-dilutive funding and entrepreneurial support at the earliest stages of company and technology development.
Synopsis of Program:
The STTR program is intended to support scientific excellence and technological innovation that is moving from the lab to the market. By investing federal research and development funds into startups and small businesses, NSF hopes to build a strong national economy and stimulate the creation of novel products, services, and solutions in the private sector; strengthen the role of small business in meeting federal research and development needs; increase the commercial application of federally supported research results; and develop and increase the US workforce, especially by fostering and encouraging participation by socially and economically disadvantaged and women-owned small businesses.
The STTR program at NSF solicits proposals based on groundbreaking scientific discoveries or significant engineering breakthroughs from the small businesses consistent with NSF's mission to promote the progress of science; to advance the national health, prosperity, and welfare; and to secure the national defense.
The program is governed by Public Law 114-328 (SBIR/STTR Reauthorization Act of 2017). SBIR/STTR policy is provided by the Small Business Administration (SBA) through the SBIR/STTR Policy Directive.
The NSF SBIR/STTR program welcomes proposals from many topics and does not have a specific topical or procurement focus. The topics are detailed on the program website. The program is also open to proposals focusing on technical and market areas not explicitly noted in the aforementioned topics.
Cognizant Program Officer(s):
Please note that the following information is current at the time of publishing. See program website for any updates to the points of contact.
Applicable Catalog of Federal Domestic Assistance (CFDA) Number(s):
Anticipated Type of Award: Fixed Amount Grant
Estimated Number of Awards: 60 (per year, pending the availability of funds)
Anticipated Funding Amount: $15,000,000
For STTR Phase I per year, pending the availability of funds.
Who May Submit Proposals:
Proposals may only be submitted by the following:
- Firms qualifying as a small business concern are eligible to participate in the SBIR/STTR program (see Eligibility Guide for more information). Please note that the size limit of 500 employees includes affiliates. The firm must be in compliance with the SBIR/STTR Policy Directive(s) and the Code of Federal Regulations (13 CFR Part 121). For STTR proposals, the applicant small business must also include a partner Research Institution (RI) in the project, see additional details below. AND
- Firms that have received an official invitation to submit a proposal from the cognizant NSF SBIR/STTR Program Director within the past twelve months. To receive the invitation, proposers must submit a Project Pitch document and receive an official response (via email) from the cognizant Program Director. Please see section section V.A for details.
Who May Serve as PI:
The primary employment of the PI must be with the small business concern at the time of award and for the duration of the award, unless a new PI is named. Primary employment is defined as at least 51 percent employed by the small business. NSF normally considers a full-time work week to be 40 hours and considers employment elsewhere of greater than 19.6 hours per week to be in conflict with this requirement. The PI must have a legal right to work for the proposing company in the United States, as evidenced by citizenship, permanent residency, or an appropriate visa. The PI does not need to be associated with an academic institution. There are no PI degree requirements (i.e., the PI is not required to hold a Ph.D. or any other degree). A PI may be primarily employed at another organization at the time of submission, as long as he or she is primarily employed at the proposing small business at the time of award. A PI must devote a minimum of one calendar month of effort per six months of performance to an STTR Phase I project.
Limit on Number of Proposals per Organization: 1
An organization may submit only one invited STTR Phase I proposal per quarterly submission window (e.g., March 5 - June 3, 2021). An organization must wait for a determination from NSF (e.g., Award, Declination, or Return without Review) on any NSF SBIR/STTR Phase I pending proposal before submitting a new proposal in the next quarterly window. This eligibility constraint will be strictly enforced. In the event that an organization exceeds this limit, the first proposal received will be accepted, and the remainder will be Returned without Review. Declined proposals require a new invited Pitch while proposals Returned without Review may be submitted using the same invited Pitch (within the one-year eligibility from date of the original proposal invitation). Submission of an invited STTR Phase I full proposal in a given submission window precludes that organization from submitting a proposal to the concurrent SBIR Phase I solicitation.
Limit on Number of Proposals per PI or co-PI: 1
1 (PI), no limit (co-PI)
An individual may be listed as the PI for only one proposal submitted to this solicitation or the concurrent NSF SBIR Phase I solicitation. There is no limit as to the number of proposals for which a given person may act as the co-PI.
A. Proposal Preparation Instructions
B. Budgetary Information
Inclusion of voluntary committed cost sharing is prohibited.
Not Applicable
Other budgetary limitations apply. Please see the full text of this solicitation for further information.
C. Due Dates
February 12, 2021 - March 04, 2021
March 05, 2021 - June 03, 2021
June 04, 2021 - September 02, 2021
September 03, 2021 - January 06, 2022
Small businesses can submit a Project Pitch at any time. Small businesses that have been invited to submit a full proposal can submit a proposal based on that Project Pitch at any time during one of the submission windows listed above (up to one year).
Merit Review Criteria:
National Science Board approved criteria. Additional merit review criteria apply. Please see the full text of this solicitation for further 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.
The NSF STTR program focuses on transforming scientific discovery into commercial potential and/or societal benefit through the development of products or services. Unlike fundamental or basic research activities which focus on scientific and engineering discovery itself, the NSF STTR program supports startups and small businesses in technological innovation, that is, the creation of opportunities to move fundamental science and engineering out of the lab and into the market.
The NSF STTR Program funds research and development. The program is designed to provide non-dilutive funding and entrepreneurial support at the earliest stages of company and technology development.
By investing federal research and development funds into startups and small businesses, NSF hopes to build a strong national economy and stimulate the creation of novel products, services, and solutions in the private sector; strengthen the role of small business in meeting federal research and development needs; increase the commercial application of federally supported research results; and develop and increase the US workforce, especially by fostering and encouraging participation by socially and economically disadvantaged and women-owned small businesses.
The SBIR/STTR Programs at NSF have no specific topical or procurement focus. Generally, the topics included in NSF SBIR and STTR solicitations are broad to permit as many eligible science- and engineering-based small businesses as possible to compete for funding. By doing so, these programs meet the purpose of the SBIR/STTR legislation by transforming science and engineering discovery and innovation into both social and economic benefit, by emphasizing private sector commercialization.
SBIR/STTR awards are not traditional government contracts. They are not awarded in order to procure services or goods for the government. No tangible benefit is received by the government.
Annual project reports are provided to NSF by the awardee as part of an oversight mechanism to ensure that the company is properly spending the funds received on research, as proposed. NSF does not purchase these annual project reports and does not benefit from or otherwise use these reports. NSF does not test, verify, or otherwise use the technology developed under its SBIR/STTR awards.
The SBIR/STTR Phase I Programs are highly competitive. While success rates vary year-to-year, approximately 10-15% of the full proposals submitted are selected for an award. Thus, there are many qualified businesses applying to the program each year that do not receive funding.
The NSF STTR Program encourages small businesses to submit proposals across all areas of science and engineering (with the exception of proposals requiring clinical trials).
While startups and small businesses face many challenges, the NSF SBIR/STTR funding is intended to specifically focus on challenges associated with technological innovation; that is, on the creation of new products, services, and other scalable solutions based on fundamental science or engineering. A successful Phase I proposal demonstrates how NSF funding will help the small business create proof-of-concept or prototype by retiring technical risk. Funding from NSF may only be sued to conduct research and development (R&D) to demonstrate technical feasibility.
NSF seeks SBIR/STTR proposals that represent success in three distinct, but related merit review criteria: Intellectual Merit, Broader Impacts and Commercialization Potential.
Intellectual Merit criterion encompasses the potential to advance knowledge and leverages fundamental science or engineering research techniques to overcoming technical risk. This can be conveyed through the Research and Development (R&D) of the project. R&D is broadly defined in 2 CFR § 200.8, but specified for the NSF SBIR/STTR program as follows:
Inherent in the Intellectual Merits of the proposal are the Technical Risk. Technical risk assumes that the possibility of technical failure exists for an envisioned product, service, or solution to be successfully developed. This risk is present even to those suitably skilled in the art of the component, subsystem, method, technique, tool, or algorithm in question. If the new product, service, or solution is successfully realized and brought to the market, it would be difficult for a well-qualified, competing firm to reverse-engineer or otherwise neutralize the competitive advantage generated by leveraging fundamental science or engineering research techniques.
Broader Impacts criterion encompasses the potential benefit to society and contribution to the achievement of specific, desired societal outcomes. Proposers should consider the American Innovation and Competitiveness Act (P.L. 114-329, Section 102) Broader Impacts Review Criterion Update:
Commercialization Potential of the proposed product or service has the potential to disrupt the targeted market segment by way of a strong and durable value proposition for the customers or users.
Administrative Requirements:
In addition to the eligibility requirements outlined in Section IV, submission of a full proposal requires that the proposer:
For more in-depth program information please reference the program's website and the solicitation-specific Merit Review Criteria in section VI.
Phase I proposals may be submitted for up to $256,000 in R&D funding intended to support projects for 6-12 months. This amount is inclusive of all direct and indirect costs as well as the small business fee.
Who May Submit Proposals:
Proposals may only be submitted by the following:
- Firms qualifying as a small business concern are eligible to participate in the SBIR/STTR program (see Eligibility Guide for more information). Please note that the size limit of 500 employees includes affiliates. The firm must be in compliance with the SBIR/STTR Policy Directive(s) and the Code of Federal Regulations (13 CFR Part 121). For STTR proposals, the applicant small business must also include a partner Research Institution (RI) in the project, see additional details below. AND
- Firms that have received an official invitation to submit a proposal from the cognizant NSF SBIR/STTR Program Director within the past twelve months. To receive the invitation, proposers must submit a Project Pitch document and receive an official response (via email) from the cognizant Program Director. Please see section section V.A for details.
Who May Serve as PI:
The primary employment of the PI must be with the small business concern at the time of award and for the duration of the award, unless a new PI is named. Primary employment is defined as at least 51 percent employed by the small business. NSF normally considers a full-time work week to be 40 hours and considers employment elsewhere of greater than 19.6 hours per week to be in conflict with this requirement. The PI must have a legal right to work for the proposing company in the United States, as evidenced by citizenship, permanent residency, or an appropriate visa. The PI does not need to be associated with an academic institution. There are no PI degree requirements (i.e., the PI is not required to hold a Ph.D. or any other degree). A PI may be primarily employed at another organization at the time of submission, as long as he or she is primarily employed at the proposing small business at the time of award. A PI must devote a minimum of one calendar month of effort per six months of performance to an STTR Phase I project.
Limit on Number of Proposals per Organization: 1
An organization may submit only one invited STTR Phase I proposal per quarterly submission window (e.g., March 5 - June 3, 2021). An organization must wait for a determination from NSF (e.g., Award, Declination, or Return without Review) on any NSF SBIR/STTR Phase I pending proposal before submitting a new proposal in the next quarterly window. This eligibility constraint will be strictly enforced. In the event that an organization exceeds this limit, the first proposal received will be accepted, and the remainder will be Returned without Review. Declined proposals require a new invited Pitch while proposals Returned without Review may be submitted using the same invited Pitch (within the one-year eligibility from date of the original proposal invitation). Submission of an invited STTR Phase I full proposal in a given submission window precludes that organization from submitting a proposal to the concurrent SBIR Phase I solicitation.
Limit on Number of Proposals per PI or co-PI: 1
1 (PI), no limit (co-PI)
An individual may be listed as the PI for only one proposal submitted to this solicitation or the concurrent NSF SBIR Phase I solicitation. There is no limit as to the number of proposals for which a given person may act as the co-PI.
Additional Eligibility Info:
Required Project Pitch submission: Potential proposers must receive an invitation to submit a full NSF STTR Phase I proposal. To start this process, proposers must first create a log in and submit a Project Pitch document via the NSF SBIR/STTR Phase I Project Pitch online form. The cognizant NSF SBIR/STTR Program Director will use the Project Pitch to determine whether the proposed project is a good fit for the program. Please see section V.A for details.
Broad Participation. Socially and economically disadvantaged small businesses and women-owned small businesses are encouraged to participate.
STTR Research Institution. The SBIR/STTR Policy Directive requires that the proposer small business include an eligible research institution as a subawardee on the project budget. The STTR partner is typically either a not-for-profit institution focused on scientific or educational goals (such as a college or university), or a Federally-funded research and development center (FFRDC). For an STTR Phase I Proposal, a minimum of 40% of the research, as measured by the budget, must be performed by the small business concern, and a minimum of 30% must be performed by the partner research institution, with the balance permitted to be allocated to either of these, or to other subawards or consultants.
Partnering. Proposing firms are encouraged to collaborate with experienced researchers at available facilities such as colleges, universities, national laboratories, and from other research sites. Funding for such collaborations may include research subcontracts or consulting agreements. The employment of faculty and students by the small business is allowed; however, for an STTR Phase I proposal, a minimum of 40% of the research, as measured by the budget, must be performed by the small business. A minimum of 30% must be performed by the partner research institution; The balance (remaining 30%) may be allocated to the small business, partner research institution, or to other subawards or consultants. Although partnering with a research institution is required for STTR proposals, proposals should NOT be marked as a "Collaborative Proposal from Multiple Organizations" during submission.
Ownership and Venture Capital, Joint Ventures. NSF does not fund proposals from companies that are majority-owned by one or more venture capital operating companies (VCOCs), hedge funds, or private equity firms. Proposals from joint ventures and partnerships are permitted, provided the proposing entity qualifies as a small business concern (see the Guide to SBIR/STTR Program Eligibility for more information).
Government-Wide Required Benchmarks: (Applies to previous SBIR/STTR award winners ONLY)
Phase I to Phase II Transition Rate Benchmark. For Phase I proposers that have received more than 20 Phase I Federal SBIR/STTR awards over the past five fiscal years, the minimum Phase I to Phase II Transition Rate is 0.25 over those five fiscal years. Small businesses who fail to meet this transition requirement will be notified by SBA and will not be eligible to submit a Phase I proposal for one year from the June 1st assessment.
Commercialization Benchmark. The commercialization benchmark required by the SBIR/STTR Reauthorization Act of 2011 only applies to proposers that have received more than 15 Phase II Federal SBIR/STTR awards over the past 10 fiscal years, excluding the last two years. These companies must have achieved the minimum required commercialization activity to be eligible to submit a Phase I proposal, as determined by the information entered in the company registry at SBIR.gov. Firms for which the commercialization benchmark applies should consult SBIR.gov for more information.
More information on both of the above benchmarks can be found here.
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 Proposal & Award Policies & Procedures Guide (PAPPG). The complete text of the PAPPG is available electronically on the NSF website at: https://www.nsf.gov/publications/pub_summ.jsp?ods_key=pappg. Paper copies of the PAPPG may be obtained from the NSF Publications Clearinghouse, telephone (703) 292-8134 or by e-mail from nsfpubs@nsf.gov.
See PAPPG Chapter II.C.2 for guidance on the required sections of a full research proposal submitted to NSF. Please note that the proposal preparation instructions provided in this program solicitation may deviate from the PAPPG instructions.
This solicitation contains the information needed to prepare a proposal and refers to specific sections of the PAPPG only when necessary. The instructions in this solicitation take precedence over instructions in the PAPPG in the event of a conflict.
Program Objectives: The NSF SBIR/STTR Program Objectives are to support innovative technologies showing promise of commercial and/or societal impact and involving technical risk, to be addressed with techniques drawn from fundamental science and engineering research.
Required Project Pitch submission: Potential proposers must receive an invitation to submit a full NSF SBIR/STTR Phase I proposal. Project Pitches may be submitted and will be reviewed on an ongoing basis (even if there is no Phase I solicitation currently open at NSF). To start this process, proposers must first create a log in and submit a Project Pitch via the NSF SBIR/STTR Phase I Project Pitch online form. The cognizant NSF SBIR/STTR Program Director will use the Project Pitch to determine whether the proposed project is a good fit for the Program Objectives.
The NSF SBIR/STTR program only funds Research and Development (R&D) activities, as broadly defined in 2 CFR § 200.87, but specified for the NSF SBIR/STTR program as follows:
Inherent in R&D is Technical Risk. Technical risk assumes that the possibility of technical failure exists for an envisioned product, service, or solution to be successfully developed. This risk is present even to those suitably skilled in the art of the component, subsystem, method, technique, tool, or algorithm in question. If the new product, service, or solution is successfully realized and brought to the market, it would be difficult for a well-qualified, competing firm to reverse-engineer or otherwise neutralize the competitive advantage generated by leveraging fundamental science or engineering research techniques.
An STTR Phase I project must be focused on using R&D to determine the scientific and technical feasibility of a new concept or innovation that could be developed into new products, processes, or services. A successful Phase I proposal demonstrates that the NSF-funded R&D will significantly reduce the technical risk involved in bringing these new products, processes, or services to market. The only required deliverable of an STTR Phase I grant is a report describing the technical accomplishments and outcomes of the Phase I project.
Project Activities Not Responsive to the Solicitation.
Project Pitch Contents:
The Project Pitch includes:
Note that NSF's Beat The Odds Boot Camp activity represents an exception to the aforementioned restrictions; see section V.D.6 ("Award and Subaward Budgets") for more details.
Non-responsive proposals may be Returned without Review. Phase I proposals Returned without Review by NSF are NOT eligible for review again in the same quarterly submission window. A Phase I proposal Returned without Review may be submitted in a subsequent submission window if: 1) the Pitch is still valid (i.e., the one-year period from the invite has not expired); and 2) the proposal complies with the solicitation requirements.
Confidentiality and Proprietary Information. Your proposal is confidential and will only be shared with a small number of reviewers and NSF staff (as appropriate) who have agreed to maintain the confidentiality of the proposal content. Your proposal to NSF does not constitute a public disclosure. If your company is chosen for a Phase I award, you will be prompted to write a project summary and description of intellectual merit and broader impact for the public.
SBIR/STTR data, including proposals, are protected from disclosure by the participating agencies for not less than twenty years from the delivery of the last report or proposal associated with the given project. To the extent permitted by law, the Government will not release properly identified technical and commercially sensitive data. If the proposal contains proprietary information, check the box at the bottom of the proposal Cover Sheet and identify proprietary technical data in the proposal by clearly marking the information and also providing a legend. Typically, proprietary information is identified 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.
Debriefing on Unsuccessful Proposals. When a proposal is declined, verbatim copies of reviews (excluding the names, institutions, or other identifying information of the reviewers), summaries of review panel conclusions, if any, and a description of the process by which the proposal was reviewed (Context Statement) will be available electronically. Phase I proposals that have been declined by NSF are NOT eligible for reconsideration (please refer to Chapter IV.D.2.b of the NSF PAPPG). Declined NSF SBIR/STTR Phase I proposals are also NOT eligible for resubmission in the same quarterly submission window in which it was declined. A proposer of a previously declined proposal must submit a new Project Pitch and, if invited, submit a new proposal after substantial revision, to be explicitly noted at submission. Proposals Returned without Review may be corrected for solicitation compliance issues and resubmitted with the same invited Pitch (within one year of the initial Pitch invite).
Proposal Format and Sample Limitations. Samples, videotapes, slides, appendices, or other ancillary items are not allowed within a proposal submission. Websites containing demonstrations, etc., may be cited in the proposal Reference Section, but reviewers are not required to access them. Please refer to the NSF PAPPG (Chapter II, Section B) and Section V.C of this solicitation for more details on accepted proposal fonts and format.
A. Registrations
Small businesses applying for NSF Phase I funding must be registered with the following systems in order to submit a proposal to NSF.
Note that some of the registrations below (in particular, SAM.gov) can take several weeks to complete, so please start early.
You must register your company name, physical address and all other identifying information identically in each of these systems. We recommend that you register your small business in the following order:
B. Tips on the Proposal Preparation and Submission
For more detailed help in preparing and submitting an invited full proposal via the NSF FastLane system, please see the SBIR/STTR FastLane Submission Guide. Failure to comply with the below guidelines means that a proposal may be Returned without Review. While FastLane permits uploads of several different file formats, PDF is strongly recommended. It is suggested that you create a single PDF document for each section of the proposal, aggregate those PDF documents into a single file joining the various sections, then upload this single PDF to FastLane. This will avoid issues resulting from FastLane conversion to PDF formats.
C. Detailed Instructions on Invited Proposal Preparation
Proposals lacking a complete Project Summary will not be accepted by FastLane or will be Returned without Review. The Project Summary is completed in FastLane by entering information into the three text boxes in the Project Summary module. Information MUST be entered into all three text boxes, or the proposal will not be accepted. Do not upload your Project Summary as a PDF file.
Elevator Pitch (no more than one page)
The Commercial Opportunity (recommended length: 2-4 pages)
The Technical Solution (recommended length: 1-3 pages)
The Company/Team (recommended length: 1-3 pages)
Intellectual Merits: Technical Discussion and R&D Plan (minimum length: 5 pages, recommended length: 5-6 pages)
Broader Impacts: (recommended length: 1 page)
Provide a resume for the PI and Senior Personnel. Do not include personal information, such as home address or personal cell phone numbers, in Biographical Sketches. Provide information in the following sections: (I) Education: Institution, Location, Major/Concentration, Degree, and Year. (II) Relevant Experience: Include technical and/or commercial experience. List in reverse chronological order beginning with the current position. (III) Products: Includes patents, publications, etc. List up to 5 items related to the proposed work, and another 5 items that are significant but not related to the proposed work.
First, the proposer may budget up to $10,000 as a direct charge on line G.6 to this Phase I award for the following specific purposes related to financials and accounting:
If the proposer elects to budget funds for one of the above purposes, the budget justification should include a brief description of the desired use of funds. The use of funds must be approved by the cognizant Program Director prior to award.
Second, the proposer may budget up to an additional $20,000 to over costs related to NSF's "Beat-the-Odds Boot Camp" which is offered to all Phase I awardees. This program is based on the NSF's Innovation Corps (I-Corps) program, and more information can be found here. All Phase I awardees are strongly encouraged to participate in this activity, budgeting $10,000. The PI and research team of the sub-award to a research institution or university is strongly encouraged to participate and also should separately allocate $10,000 in direct costs (and therefore the total budget for the Boot Camp would be $20,000 total). Costs that are allowable are limited to travel costs related to customer discovery as part of the Boot Camp (this could include costs associated with registration/attendance at events for the purpose of customer discovery) and salary / wages for team members who participated in the Boot Camp. All costs related to the Boot Camp must be in line with approved salary rates and other relevant Federal guidelines. International travel cannot be reimbursed, nor can any salary/wages for work done while outside of the United States. NSF recommends that, for the purposes of the proposal budget, proposers that plan to participate in this activity budget simply list this as "Boot Camp" costs in the budget justification.
For projects lacking definite plans for the use of human subjects, their data or their specimens, pursuant to 45 CFR § 690.118, NSF can accept a determination notice that establishes a limited time period under which the PI may conduct preliminary or conceptual work that does not involve human subjects. See more information and instructions regarding this documentation in the PAPPG here.
Proposers are also welcome to include suggestions of reviewers to include (or not to include) in the "List of Suggested Reviewers" module. Other than these items, no other information or documents should be included in this section.
Proposers are reminded to identify the NSF publication number (located on the first page of this document) 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.
Cost Sharing:
Inclusion of voluntary committed cost sharing is prohibited.
Other Budgetary Limitations:
Other budgetary limitations apply. Please see the full text of this solicitation for further information.
February 12, 2021 - March 04, 2021
March 05, 2021 - June 03, 2021
June 04, 2021 - September 02, 2021
September 03, 2021 - January 06, 2022
Small businesses can submit a Project Pitch at any time. Small businesses that have been invited to submit a full proposal can submit a proposal based on that Project Pitch at any time during one of the submission windows listed above (up to one year).
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.
Proposals received by NSF are assigned to the appropriate NSF program for acknowledgement and, if they meet NSF requirements, for review. 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 either as ad hoc reviewers, panelists, or both, who are experts in the particular fields represented by the proposal. These reviewers are selected by Program Officers charged with 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. In addition, Program Officers may obtain comments from site visits before recommending final action on proposals. Senior NSF staff further review recommendations for awards. A flowchart that depicts the entire NSF proposal and award process (and associated timeline) is included in PAPPG Exhibit III-1.
A comprehensive description of the Foundation's merit review process is available on the NSF website at: https://www.nsf.gov/bfa/dias/policy/merit_review/.
Proposers should also be aware of core strategies that are essential to the fulfillment of NSF's mission, as articulated in Building the Future: Investing in Discovery and Innovation - NSF Strategic Plan for Fiscal Years (FY) 2018 – 2022. These strategies are integrated in the program planning and implementation process, of which proposal review is one part. NSF's mission is particularly well-implemented through the integration of research and education and broadening participation in NSF programs, projects, and activities.
One of the strategic objectives in support of NSF's mission is to foster integration of research and education through the programs, projects, and activities it supports at academic and research institutions. These institutions must recruit, train, and prepare a diverse STEM workforce to advance the frontiers of science and participate in the U.S. technology-based economy. NSF's contribution to the national innovation ecosystem is to provide cutting-edge research under the guidance of the Nation's most creative scientists and engineers. NSF also supports development of a strong science, technology, engineering, and mathematics (STEM) workforce by investing in building the knowledge that informs improvements in STEM teaching and learning.
NSF's mission calls for the broadening of opportunities and expanding participation of groups, institutions, and geographic regions that are underrepresented in STEM disciplines, which is essential to the health and vitality of science and engineering. NSF is committed to this principle of diversity and deems it central to the programs, projects, and activities it considers and supports.
The National Science Foundation strives to invest in a robust and diverse portfolio of projects that creates new knowledge and enables breakthroughs in understanding across all areas of science and engineering research and education. To identify which projects to support, NSF relies on a merit review process that incorporates consideration of both the technical aspects of a proposed project and its potential to contribute more broadly to advancing NSF's mission "to promote the progress of science; to advance the national health, prosperity, and welfare; to secure the national defense; and for other purposes." NSF makes every effort to conduct a fair, competitive, transparent merit review process for the selection of projects.
1. Merit Review Principles
These principles are to be given due diligence by PIs and organizations when preparing proposals and managing projects, by reviewers when reading and evaluating proposals, and by NSF program staff when determining whether or not to recommend proposals for funding and while overseeing awards. Given that NSF is the primary federal agency charged with nurturing and supporting excellence in basic research and education, the following three principles apply:
With respect to the third principle, even if assessment of Broader Impacts outcomes for particular projects is done at an aggregated level, PIs are expected to be accountable for carrying out the activities described in the funded project. Thus, individual projects should include clearly stated goals, specific descriptions of the activities that the PI intends to do, and a plan in place to document the outputs of those activities.
These three merit review principles provide the basis for the merit review criteria, as well as a context within which the users of the criteria can better understand their intent.
2. Merit Review Criteria
All NSF proposals are evaluated through use of the two National Science Board approved merit review criteria. In some instances, however, NSF will employ additional criteria as required to highlight the specific objectives of certain programs and activities.
The two merit review criteria are listed below. Both criteria are to be given full consideration during the review and decision-making processes; each criterion is necessary but neither, by itself, is sufficient. Therefore, proposers must fully address both criteria. (PAPPG Chapter II.C.2.d(i). contains additional information for use by proposers in development of the Project Description section of the proposal). Reviewers are strongly encouraged to review the criteria, including PAPPG Chapter II.C.2.d(i), prior to the review of a proposal.
When evaluating NSF proposals, reviewers will be asked to consider what the proposers want to do, why they want to do it, how they plan to do it, how they will know if they succeed, and what benefits could accrue if the project is successful. These issues apply both to the technical aspects of the proposal and the way in which the project may make broader contributions. To that end, reviewers will be asked to evaluate all proposals against two criteria:
The following elements should be considered in the review for both criteria:
Broader impacts may be accomplished through the research itself, through the activities that are directly related to specific research projects, or through activities that are supported by, but are complementary to, the project. NSF values the advancement of scientific knowledge and activities that contribute to achievement of societally relevant outcomes. Such outcomes include, but are not limited to: full participation of women, persons with disabilities, and underrepresented minorities in science, technology, engineering, and mathematics (STEM); improved STEM education and educator development at any level; increased public scientific literacy and public engagement with science and technology; improved well-being of individuals in society; development of a diverse, globally competitive STEM workforce; increased partnerships between academia, industry, and others; improved national security; increased economic competitiveness of the United States; and enhanced infrastructure for research and education.
Proposers are reminded that reviewers will also be asked to review the Data Management Plan and the Postdoctoral Researcher Mentoring Plan, as appropriate.
Additional Solicitation Specific Review Criteria
The STTR program has additional criteria that reflect the legislative emphasis of the program and complement the standard NSF review criteria listed above. These criteria are in line with NSF's strong focus on commercialization success as the primary driver of impacts (both economic and otherwise) in the SBIR program.
NSF SBIR/STTR Phase I Award Considerations
Proposals submitted to this solicitation which are considered meritorious and which meet all the requirements of the concurrent SBIR solicitation may, based on budgetary considerations and at NSF's discretion, be considered for award as SBIR Phase I projects.
Proposals submitted in response to this program solicitation will be reviewed by Ad hoc Review and/or Panel Review.
Reviewers will be asked to evaluate proposals using two National Science Board approved merit review criteria and, if applicable, additional program specific criteria. A summary rating and accompanying narrative will generally be completed and submitted by each reviewer and/or panel. 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 strives to be able to tell applicants whether their proposals have been declined or recommended for funding within six months. Large or particularly complex proposals or proposals from new awardees may require additional review and processing time. The time interval begins on the deadline or target date, or receipt date, whichever is later. The interval ends when the Division Director acts upon the Program Officer's recommendation.
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. After an administrative review has occurred, Grants and Agreements Officers perform 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 PI 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.
Once an award or declination decision has been made, PIs are provided feedback about their proposals. In all cases, reviews are treated as confidential documents. Verbatim copies of reviews, excluding the names of the reviewers or any reviewer-identifying information, are sent to the PI/Project Director by the Program Officer. In addition, the proposer will receive an explanation of the decision to award or decline funding.
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 PI. (See Section VI.B. for additional information on the review process.)
An NSF award consists of: (1) the award notice, 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 notice; (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 notice. 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) 292-8134 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 Proposal & Award Policies & Procedures Guide (PAPPG) Chapter VII, available electronically on the NSF Website at https://www.nsf.gov/publications/pub_summ.jsp?ods_key=pappg.
Special Award Conditions:
SBIR/STTR grants are subject to the Small Business Innovation Research/Small Business Technology Transfer Phase I Grant General Conditions (SBIR-I) dated 07/06/2020. These documents may be accessed electronically on NSF's Website at https://www.nsf.gov/bfa/dias/policy/sbir/sbiri_720.pdf.
SBIR/STTR Funding Agreement Certification:
SBIR/STTR prospective grantees will be notified by NSF to provide a signed SBIR/STTR Funding Agreement Certification. The Federal government relies on the information provided by grantees to determine whether the business is eligible for an SBIR or STTR Program award. Certification will be used to ensure continued compliance during the life of the funding agreement. (https://seedfund.nsf.gov/assets/files/awardees/SBIR_STTR_Funding_Agreement.pdf)
NSF SBIR/STTR Statement on Harassment:
The PI and any co-PI(s) identified on an NSF award are in a position of trust. These individuals must comport themselves in a responsible and accountable manner during the award period of performance, including but not limited to the following environments: the lab, online, or at locales such as field sites, facilities, customer discovery sites, or conferences/workshops. All personnel supported by an NSF award must remain in full compliance with grantee policies and/or codes of conduct, statutes, regulations, or executive orders relating to sexual harassment, other forms of harassment, or sexual assault.
Fraud, Waste, and Abuse (FWA) Notification:
The Office of Inspector General (OIG) maintains a Hotline to receive this information, which can be reached at https://oig.nsf.gov/contact/hotline. Disclosures can also be made via an anonymous phone line at (800) 428-2189. Upon request, OIG will take appropriate measures to protect the identity of any individual who reports misconduct, as authorized by the Inspector General Act of 1978, as amended. Reports to OIG may be made anonymously.
The mailing address of OIG is 2415 Eisenhower Ave, Alexandria, VA 22314 ATTN: OIG HOTLINE.
For all multi-year grants (including both standard and continuing grants), the PI must submit an annual project report to the cognizant Program Officer no later than 90 days prior to the end of the current budget period. (Some programs or awards require submission of more frequent project reports). No later than 120 days following expiration of a grant, the PI also is required to submit a final project report, and a project outcomes report for the general public.
Failure to provide the required annual or final project reports, or the project outcomes report, will delay NSF review and processing of any future funding increments as well as any pending proposals for all identified PIs and co-PIs on a given award. PIs should examine the formats of the required reports in advance to assure availability of required data.
PIs are required to use NSF's electronic project-reporting system, available through Research.gov, for preparation and submission of annual and final project reports. Such reports provide information on accomplishments, project participants (individual and organizational), publications, and other specific products and impacts of the project. Submission of the report via Research.gov constitutes certification by the PI that the contents of the report are accurate and complete. The project outcomes report also must be prepared and submitted using Research.gov. This report serves as a brief summary, prepared specifically for the public, of the nature and outcomes of the project. This report will be posted on the NSF website exactly as it is submitted by the PI.
More comprehensive information on NSF Reporting Requirements and other important information on the administration of NSF awards is contained in the NSF Proposal & Award Policies & Procedures Guide (PAPPG) Chapter VII, available electronically on the NSF Website at https://www.nsf.gov/publications/pub_summ.jsp?ods_key=pappg.
The Phase I final report will be due to NSF within 15 days following the end date of the grant and is limited to 15 pages in length. A Phase II proposal requires a Phase I technical report to be uploaded as part of the Phase II proposal package in FastLane. If the Phase II proposal is submitted prior to the completion of the Phase I award, an interim Phase I technical report may be uploaded as part of the Phase II proposal package in FastLane.
Please note that the program contact information is current at the time of publishing. See program website for any updates to the points of contact.
General inquiries regarding this program should be made to:
For questions related to the use of FastLane or Research.gov, contact:
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, "NSF Update" is an information-delivery system 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 Grants Conferences. Subscribers are informed through e-mail or the user's Web browser each time new publications are issued that match their identified interests. "NSF Update" also is available on NSF's website.
Grants.gov provides an additional electronic capability to search for Federal government-wide grant opportunities. NSF funding opportunities may be accessed via this mechanism. Further information on Grants.gov may be obtained at https://www.grants.gov.
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 55,000 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 Arctic 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 (FASED) provide funding for special assistance or equipment to enable persons with disabilities to work on NSF-supported projects. See the NSF Proposal & Award Policies & Procedures Guide Chapter II.E.6 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.
The National Science Foundation promotes and advances scientific progress in the United States by competitively awarding grants and cooperative agreements for research and education in the sciences, mathematics, and engineering. To get the latest information about program deadlines, to download copies of NSF publications, and to access abstracts of awards, visit the NSF Website at https://www.nsf.gov
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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 System of Record Notices, NSF-50, "Principal Investigator/Proposal File and Associated Records," and NSF-51, "Reviewer/Proposal File and Associated Records." 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
Policy Office, Division of Institution and Award Support
Office of Budget, Finance, and Award Management
National Science Foundation
Alexandria, VA 22314
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National Science Foundation, 2415 Eisenhower Avenue, Alexandria, Virginia 22314, USA |
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