NSF SBIR/STTR Program Solicitations

Monday, March 19, 2018

Small Business Innovation Research Program Phase I (SBIR)

Program Solicitation: NSF 18-550

Award Information

Introduction to the Program:

The NSF SBIR program focuses on transforming scientific discovery into products and services with commercial potential and/or societal benefit. Unlike fundamental research, the NSF SBIR program supports startups and small businesses in the creation of innovative, disruptive technologies, getting discoveries out of the lab and into the market.

The NSF SBIR Program funds early or "seed" stage research and development. The program is designed to provide equity-free funding and entrepreneurial support at the earliest stages of company and technology development.

Synopsis of Program:

The SBIR program is Congressionally mandated and intended to support scientific excellence and technological innovation through the investment of federal research funds to build a strong national economy by stimulating technological innovation in the private sector; strengthening the role of small business in meeting federal research and development needs; increasing the commercial application of federally supported research results; and fostering and encouraging participation by socially and economically disadvantaged and women-owned small businesses.

The SBIR program at NSF solicits proposals from the small business sector 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 112-81 (SBIR/STTR Reauthorization Act of 2011) and was reauthorized by Public Law 114-328. SBIR/STTR policy is provided by the Small Business Administration (SBA) through the SBIR Policy Directive. A main purpose of the legislation is to stimulate technological innovation and increase private sector commercialization. The NSF SBIR/STTR program is therefore in a unique position to meet both the goals of NSF and the purpose of the SBIR/STTR legislation by transforming scientific discovery and innovation into both social and economic benefit, and by emphasizing private sector commercialization.

Because the program has no topical or procurement focus, the NSF offers very broad solicitation topics that are intended to permit as many eligible science- and technology-based small businesses as possible to compete for funding. The topics are detailed on the website. In many cases, the program is also open to proposals focusing on technical and market areas not explicitly noted in the aforementioned topics.

Anticipated Type of Award: Fixed Award Amount

Estimated Number of Awards: 150 (pending the availability of funds)

Anticipated Funding Amount: $33,750,000

For SBIR Phase I pending the availability of funds.

 

Eligibility Information

Who May Submit Proposals:

Proposals may only be submitted by the following:

  • Only 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 121).

Who May Serve as PI:

The primary employment of the Principal Investigator (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 SBIR Phase I project.

Limit on Number of Proposals per Organization: 1

An organization may submit no more than ONE Phase I proposal to this SBIR/STTR cycle (where SBIR/STTR cycle is defined to include the SBIR Phase I solicitation and the STTR Phase I solicitation with a June 2018 deadline). 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.

Limit on Number of Proposals per PI or Co-PI: 1

No person may be listed as the principal investigator for more than one proposal submitted to this solicitation. SBIR proposals submitted to NSF, by definition, do not have co-PIs.

 

Proposal Preparation and Submission Instructions

A. Proposal Preparation Instructions

  • Letters of Intent: Not required
  • Preliminary Proposal Submission: Not required
  • Full Proposal Preparation Instructions: This solicitation contains information that deviates from the standard NSF Proposal and Award Policies and Procedures Guide (PAPPG) proposal preparation guidelines. Please see the full text of this solicitation for further information.

B. Budgetary Information

  • Cost Sharing Requirements:

    Inclusion of voluntary committed cost sharing is prohibited.

  • Indirect Cost (F&A) Limitations:

    Not Applicable

  • Other Budgetary Limitations:

    Other budgetary limitations apply. Please see the full text of this solicitation for further information.

C. Due Dates

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

         June 14, 2018

 

Small Business Technology Transfer Program Phase I (STTR)

Program Solicitation: NSF 18-551

Award Information

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 research, the NSF STTR program supports startups and small businesses in the creation of innovative, disruptive technologies, getting discoveries out of the lab and into the market.

The NSF STTR Program funds early or "seed" stage research and development. The program is designed to provide equity-free funding and entrepreneurial support at the earliest stages of company and technology development.

Synopsis of Program:

The STTR program is Congressionally mandated and intended to support scientific excellence and technological innovation through the investment of federal research funds to build a strong national economy by stimulating technological innovation in the private sector; strengthening the role of small business in meeting federal research and development needs; increasing the commercial application of federally supported research results; and fostering and encouraging participation by socially and economically disadvantaged and women-owned small businesses.

The STTR program at NSF solicits proposals from the small business sector 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 112-81 (SBIR/STTR Reauthorization Act of 2011) and was reauthorized by Public Law 114-328. STTR policy is provided by the Small Business Administration (SBA) through the STTR Policy Directive. A main purpose of the legislation is to stimulate technological innovation and increase private sector commercialization. The NSF SBIR/STTR program is therefore in a unique position to meet both the goals of NSF and the purpose of the SBIR/STTR legislation by transforming scientific discovery and innovation into both social and economic benefit, and by emphasizing private sector commercialization.

Because the program has no topical or procurement focus, the NSF offers very broad solicitation topics that are intended to permit as many eligible science- and technology-based small businesses as possible to compete for funding. The topics are detailed on the website. In many cases, the program is also open to proposals focusing on technical and market areas not explicitly noted in the aforementioned topics.

Anticipated Type of Award: Fixed Award Amount

Estimated Number of Awards: 40 (pending the availability of funds)

Anticipated Funding Amount: $9,000,000

For STTR Phase I pending the availability of funds.

 

Eligibility Information

Who May Submit Proposals:

Proposals may only be submitted by the following:

  • Only 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 121). For STTR proposals, the applicant small business must also include a partner Research Institution (RI) in the project, see additional details below.

Who May Serve as PI:

The primary employment of the Principal Investigator (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 no more than ONE Phase I proposal to this SBIR/STTR cycle (where SBIR/STTR cycle is defined to include the SBIR Phase I solicitation and the STTR Phase I solicitation with a June 2018 deadline). 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.

Limit on Number of Proposals per PI or Co-PI: 1

1 (PI), no limit (co-PI)

No person may be listed as the principal investigator for more than one proposal submitted to this solicitation. There is no limit as to the number of proposals for which a given person may act as the co-PI.

 

Proposal Preparation and Submission Instructions

A. Proposal Preparation Instructions

  • Letters of Intent: Not required
  • Preliminary Proposal Submission: Not required
  • Full Proposal Preparation Instructions: This solicitation contains information that deviates from the standard NSF Proposal and Award Policies and Procedures Guide (PAPPG) proposal preparation guidelines. Please see the full text of this solicitation for further information.

B. Budgetary Information

  • Cost Sharing Requirements:

    Inclusion of voluntary committed cost sharing is prohibited.

  • Indirect Cost (F&A) Limitations:

    Not Applicable

  • Other Budgetary Limitations:

    Other budgetary limitations apply. Please see the full text of this solicitation for further information.

C. Due Dates

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

     June 14, 2018