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Share sensitive information only on official, secure websites. Small Business Innovation Research / Small Business Technology Transfer Phase I, Phase II, Fast-Track Programs SBIR/STTR: Developing Deep Technologies that Advance U.S. Competitiveness and Security. NSF document number: NSF26-510.

NSF 26-510: Small Business Innovation Research / Small Business Technology Transfer Phase I, Phase II, Fast-Track Programs SBIR/STTR: Developing Deep Technologies that Advance U.S. Competitiveness and Security | NSF - U.S. National Science Foundation Active funding opportunity This document is the current version.

Important information for proposers and award recipients All proposals must be submitted in accordance with the requirements specified in the funding opportunity and in the Proposal & Award Policies & Procedures Guide (PAPPG) and its supplements . All NSF grants and cooperative agreements are subject to the applicable set of NSF award terms and conditions . NSF has updated its research security policies for NSF funded projects.

NSF 26-510: Small Business Innovation Research / Small Business Technology Transfer Phase I, Phase II, Fast-Track Programs SBIR/STTR: Developing Deep Technologies that Advance U.S. Competitiveness and Security Replaces: NSF 24-579 , NSF 24-580 , NSF 24-582 To save a PDF of this solicitation, select Print to PDF in your browser's print options.

U.S. National Science Foundation Directorate for Technology, Innovation and Partnerships Full Proposal Deadline(s) (due by 5 p. m.

submitting organization’s local time): First Wednesday in November, Annually Thereafter First Thursday in March, Annually Thereafter First Wednesday in July, Annually Thereafter Important Information and Revision Notes Proposals must be prepared in accordance with the NSF Proposal & Award Policies & Procedures Guide (PAPPG) .

Specific instructions on Small Business Innovation Research (SBIR) and Small Business Technology Transfer (STTR) program requirements are here . In the event of a conflict between the instructions in the SBIR/STTR funding opportunity and the PAPPG, the SBIR/STTR funding instructions supersede the PAPPG. Use the version of the instructions that is in effect on the proposal's due date.

Proposals must be prepared in accordance with the NSF Proposal & Award Policies & Procedures Guide (PAPPG) . Use the version of the guide that is in effect on the proposal's due date.

Summary of Program Requirements Small Business Innovation Research / Small Business Technology Transfer Phase I, Phase II, Fast-Track Programs SBIR/STTR: Developing Deep Technologies that Advance U.S. Competitiveness and Security NSF invests in scientific discoveries, technological breakthroughs, and transformative innovations that strengthen economic growth, enhance security, and improve the lives of Americans and people around the world.

In support of this mission, NSF is relaunching its SBIR/STTR programs (also known as America’s Seed Fund powered by NSF) following enactment of the Small Business Innovation and Economic Security Act to invest in startups and small businesses transforming high-risk technologies into products and services with commercial impacts.

By investing federal R&D funds in start-ups and small businesses, NSF strengthens the national economy by stimulating private sector innovation, commercializing federally-funded research outputs, and supporting the American scientific enterprise. This investment enhances job creation while developing and expanding the U.S. workforce.

The NSF SBIR/STTR programs fund across nearly all technology areas and market sectors; the programs do not solicit specific technologies or procure goods and services from startups and small businesses. Each company can receive up to $2 million for R&D. NSF takes no equity and awardees keep full ownership of their company and intellectual property.

In addition to these SBIR/STTR programs, NSF is also separately piloting a new emphasis area (see here) focused on enabling technologies that include next-generation instrumentation, novel experimental platforms, and other scientific equipment to advance the frontiers of scientific discovery and strengthen the American scientific and engineering enterprise.

NSF welcomes submissions from all researchers, particularly those earlier in their careers and those working in research areas aligned with agency and administration priorities. NSF also expects the highest standards of scientific rigor and integrity, and adherence to tenets of Gold Standard Science in proposals, as appropriate for the field of science and research modality.

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): --- NSF Technology, Innovation and Partnerships Estimated Number of Awards: 340 Anticipated Type of Award: Standard Grant up to $305,000 Estimated Number of Awards: Approximately 180 awards for SBIR Phase I per year Approximately 50 awards for STTR Phase I per year Anticipated Type of Award: Fixed Amount Cooperative Agreement up to $1,250,000 Estimated Number of Awards: Approximately 80 awards for SBIR Phase II per year Approximately 10 awards for STTR Phase II per year Anticipated Type of Award: Fixed Amount Cooperative Agreement up to $1,555,000 Estimated Number of Awards: Approximately 15 awards for SBIR Fast-Track per year Approximately 3 awards for STTR Fast-Track per year Anticipated Funding Amount: $210,000,000 Total anticipated budget for SBIR and STTR awards, spanning various proposal types.

Estimated program budget, number of awards and average award size/duration are subject to the availability of funds. 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.

Cost Sharing Requirements: Inclusion of voluntary committed cost sharing is prohibited. Indirect Cost (F&A) Limitations: Other Budgetary Limitations: Full Proposal Deadline(s) (due by 5 p. m.

submitting organization’s local time) First Wednesday in November, Annually Thereafter First Thursday in March, Annually Thereafter First Wednesday in July, Annually Thereafter Proposal Review Information Criteria National Science Board approved criteria. Additional merit review criteria apply. Please see the full text of this solicitation for further information.

Award Administration Information Additional award conditions apply. Please see the full text of this solicitation for further information. Additional reporting requirements apply.

Please see the full text of this solicitation for further information. The NSF SBIR/STTR programs directly advance NSF priorities by transforming scientific discoveries into tangible economic benefits. These programs serve as a critical engine for NSF’s mission to advance scientific progress for national security, enterprise and health.

By investing in high-risk, high-reward start-ups and small businesses, the program ensures that the U.S. remains at the forefront of global innovation. The NSF SBIR/STTR and Fast-Track programs fund R&D costs to invest in startups and small businesses developing technologies at their earliest stages of viability. Additional information can be found at https://seedfund.

nsf. gov/ . These programs are housed within the Directorate for Technology, Innovation and Partnerships .

The NSF SBIR/STTR programs invest in start-ups and small businesses to turn high-risk, high-impact research into market-ready innovations. These programs aim to advance innovation by investing in the development of critical and emerging technologies that yield market-ready or commercializable outputs, all the while harnessing the full geography of American innovation and building a competition-ready workforce.

NSF seeks SBIR/STTR proposals that represent success in three criteria: Intellectual Merit, Broader Impacts, and Commercial Potential .

NSF funding is dedicated to the accomplishment of technical R&D activities; successful proposals will also convey the potential of NSF support to advance the viability of the start-up or small business by addressing other key risk areas, such as by strengthening the team, proving out the business model, engaging customers and other stakeholders, positioning the company for follow-on funding, and/or solidifying the intellectual property position of the innovation.

The SBIR/STTR program provides funding via four mechanisms: 1) Phase I awards, 2) Phase II awards 3) Fast-Track awards; and 4) Supplemental Awards as discussed below under Award Information. SBIR proposals permit, but do not require, that the applicant small business partner with any other institution. However, STTR proposals require that the startup issue a subaward to a not-for-profit research institution (RI).

SBIR and STTR proposal budgets have unique requirements in terms of how the budget funds are allocated; see the “Proposal Preparation Instructions” pages for more details. For complete information about the unique requirements for STTR awards, please refer to the “ Key Information for Submitting a Full SBIR/STTR Proposal ” page.

The NSF SBIR/STTR programs are expected to result in the creation of innovative products and services that address unmet needs, stimulate economic growth through job creation and business expansion, and deliver measurable benefits and scalable ventures. NSF SBIR/STTR Phase I proposals may be submitted for up to $305,000 in R&D funding intended to support projects for 6-18 months.

This amount is inclusive of all direct and indirect costs as well as the small business fee, Technical and Business Assistance (TABA) funding, and the optional, but highly encouraged Innovation Corps (I-Corps). These awards are subject to availability of funds. NSF SBIR/STTR Phase II proposals may be submitted for funding up to $1,250,000.

This amount is inclusive of all direct and indirect costs as well as the small business fee and optional TABA funding. NSF SBIR/STTR Phase II projects typically run for 24 months. These awards are subject to availability of funds.

NSF SBIR/STTR Fast-Track proposals may be submitted for up to $1,555,555 in R&D funding, to include $400,000 for the Phase I component, with a duration of 6 to 12 months, and up to $1,155,000 for the Phase II component over an additional 18 to 24 months. Phase IIB supplement proposals may be submitted by active Phase II awardees for between $50,000 to $500,000.

The Phase IIB Supplement enables an awardee to build on Phase II development achievements and expedite the path from lab to market with matching funds from NSF’s Phase IIB supplement to funds from investors or customers. These awards are subject to availability of funds.

Technology Enhancement for Commercial Partnerships (TECP) supplement proposals may be submitted by active Phase II awardees for an amount not to exceeded 20% of the Phase II award. This funding supports additional research that goes beyond the Phase II project’s objectives to meet the technical specifications or additional proof-of-concept requirements.

Additional research is anticipated to enhance commercial potential and lead to partnerships with customers, industrial partners, and investors. These awards are subject to availability of funds. Strategic Breakthrough proposals, upon invitation by the cognizant Program Officer, may be submitted for an award .

To accelerate the success of SBIR/STTR funded companies, the reauthorization of the NSF SBIR/STTR program allows a strategic breakthrough award for Phase II awardees which is designed to help bring exceptional and broadly impactful technologies to commercial readiness. Strategic Breakthrough proposals may be submitted via Research. gov for requested amounts up to $30,000,000.

Strategic Breakthrough proposals will be evaluated using the merit review principles and criteria as well as the additional solicitation specific review criteria included in VI sections A and B below. Additional considerations for assessing the suitability of Strategic Breakthrough proposals will be available on the NSF SBIR/STTR website. These awards are subject to availability of funds.

IV. Eligibility Information Who May Submit Proposals: Proposals may only be submitted by the following: For Phase I: Proposers must obtain an official invitation to submit a proposal. To receive the invitation, potential proposers must submit a Project Pitch and receive an official response (via email) from the program staff.

Invitations are valid for the next two submission deadlines after the date of the initial official invitation. Submission deadlines are at the top of the funding opportunity. If a Project Pitch invitation expires, the Principal Investigator (PI) is required to restart the Project Pitch process.

Note: that NSF places strict limits in terms of the number of Project Pitches and full proposals that can be under consideration from a given small business as described in the Project Pitch details at the link above. A maximum of two Project Pitch submissions per company per year (12-month period) are allowed.

In addition, NSF limits the total number of Project Pitches for the same project/technology, regardless of topic or timeline, to no more than 3 submissions. For Phase II : Only NSF Phase I SBIR/STTR awardees are permitted to submit a Phase II proposal to NSF. Proposers must submit their SBIR/STTR Phase II proposal between 6 to 24 months after the start date of their relevant NSF SBIR/STTR Phase I award.

For Fast-Track: Proposers must obtain an official invitation to submit a proposal. To receive the invitation, potential proposers must submit a Project Pitch and receive an official response from program staff. A full proposal must be submitted within four months of the Fast-Track Project Pitch invitation.

Additional details are available here. Strategic Breakthrough : SBIR/STTR Phase II awardees are eligible to submit Strategic Breakthrough proposals only after consultation with their cognizant Program Officer. Who May Serve as PI: The primary employment of the Principal Investigator (PI) must be with the small business 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 greater than 19. 6 hours per week to conflict with this requirement.

Rarely , deviations from this requirement may occur, and must be approved in writing by the Funding Agreement Program Officer after consultation with the agency SBIR/STTR program manager/coordinator. 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).

The PI must devote the following levels of effort: For Phase I : a minimum of one calendar month per six months of performance For Phase II: a minimum of one calendar month per six months of performance For Fast-Track : a minimum of three calendar months per six months of performance.

Limit on Number of Proposals per Organization: 1 Limit on Number of Proposals per PI or co-PI: 1 Limit on Number of Proposals per PI or co-PI: For NSF SBIR: 1 PI, co-PIs are not allowed. For NSF STTR: 1 PI and 1 co-PI are required (the PI must be an employee of the proposing small business for at least 51% of his/her time (as stated above), and the co-PI must be part of the STTR partner research institution).

An individual may act as the co-PI on an unlimited number of proposals. An individual may be listed as the PI for only one proposal submitted at a time to this NSF SBIR/STTR funding opportunity V. Proposal Preparation and Submission Instructions A.

Proposal Preparation Instructions Full Proposals : Proposers must submit proposals in response to this Program Solicitation via Research. gov. You must prepare your proposal according to Chapter II. D.

2 of the PAPPG , unless this solicitation specifies different instructions. Always use the version of the PAPPG in effect on your proposal's due date. This solicitation contains instructions that supplement the standard PAPPG guidelines.

Follow both the PAPPG guidelines and those outlined in this document when preparing your proposal. Proposal Preparation Instructions Full Proposals : Proposers must submit proposals in response to this Program Solicitation via Research. gov. You must prepare your proposal according to Chapter II.

D. 2 of the PAPPG , unless this solicitation specifies different instructions. Always use the version of the PAPPG in effect on your proposal's due date.

This solicitation contains instructions that supplement the standard PAPPG guidelines. Follow both the PAPPG guidelines and those outlined in this document when preparing your proposal. Inclusion of voluntary committed cost sharing is prohibited.

D. Research. gov Requirements You can submit proposals in response to this solicitation through Research.

gov. Information on how to prepare and submit proposals is available on the Submitting Your Proposal page on NSF. gov. VI. NSF Proposal Processing and Review Procedures Information on NSF's proposal processing and review procedures is available on the Overview of the NSF Proposal and Award Process page on NSF.

gov. All NSF SBIR/STTR proposals are evaluated through use of three merit review criteria: Intellectual Merit , which encompasses the potential to advance knowledge. Broader Impacts , which encompass the potential to benefit society and contribute to the achievement of specific, desired societal outcomes. Commercial Potential, which encompasses the potential of the project to lead to significant outcomes in the commercial market.

Information on NSF's merit review criteria and process can be found on the Proposal Review and Decisions page and at www. seedfund. gov/solicitation-merit-review/ .

B. Review and Selection Process Proposals submitted in response to this program solicitation will be reviewed by Ad hoc Review and/or Panel Review, Internal NSF Review, or External or internal subject-matter-expert(s) may also review the proposal. After a proposal passes an initial compliance check, it will be reviewed by an NSF Program Officer and other reviewers, as described above.

Visit the Overview of the NSF Proposal and Award Process page for more information on the review and selection process. In alignment with Executive Order 14332 (Improving Oversight of Federal Grantmaking), all else being equal after merit review, NSF may give preference to institutions with lower indirect cost rates. VII.

Award Administration Information A. Notification of the Award Notification of an award is made to the submitting organization by an NSF Grants and Agreements Officer. Information on NSF award conditions can be found on the Award Terms and Conditions page on NSF.

gov and Chapter VII of the PAPPG . Administrative and National Policy Requirements : Information on administrative and national policy requirements can be found on the National Policy Requirements for Recipients of NSF Awards page on NSF. gov. Consistent with the requirements specified in 2 CFR § 200.

332, recipients of NSF awards must adhere to the requirements for pass-through entities in establishing and managing subawards issued ensuring alignment with Administration and NSF policies and priorities. In alignment with Executive Order 14332 (Improving Oversight of Federal Grantmaking), proposers should be aware that NSF awards offered under this funding opportunity may include termination for convenience provisions.

Special Award Conditions: NSF SBIR/STTR recipients are subject to special sets of terms and conditions. The current terms and conditions language for Phase I, Phase II, and Fast-Track awards can be accessed here . In compliance with the CHIPS and Science Act of 2022, Section 10636 (Person or entity of concern prohibition) (42 U.S.C.

19235): No person published on the list under section 1237(b) of the Strom Thurmond National Defense Authorization Act for Fiscal Year 1999 (Public Law 105-261; 50 U.S.C. 1701 note) or entity identified under section 1260H of the William M. (Mac) Thornberry National Defense Authorization Act for Fiscal Year 2021 (10 U.S.C.

113 note; Public Law 116-283) may receive or participate in any grant, award, program, support, or other activity under the U.S. National Science Foundation Directorate for Technology, Innovation and Partnerships. See here for more details. NSF follows all federal guidance on assessing and mitigating foreign risk as related to countries of concern during the required due diligence process for SBIR/STTR awards.

See updates to NSF research security policies for more information. NSF is required to conduct a due diligence process when evaluating proposal submissions, thus, receiving due diligence-related questions are not a negative indicator in terms of the probability of receiving an award C.

Reporting Requirements NSF SBIR/STTR recipients are subject to specialized reporting requirements as noted here for Phase I Awardees and here for Phase II awardees. For questions related to the use of NSF systems contact: Research. gov : NSF IT Service Desk at rgov@nsf.

gov or 1-800-381-1532. The Service Desk is open from 7 a. m.

to 9 p. m. Eastern time, Monday through Friday (except for federal holidays).

The U.S. National Science Foundation is an independent federal agency created by the "National Science Foundation Act of 1950." More information about NSF can be found on NSF. gov .

Randolph Building, 401 Dulany Street, Alexandria, VA 22314 TDD (for the hearing-impaired): 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. More information can be found on the Privacy Act and Public Burden Statements page on NSF.

gov. 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 3145-0023. Public reporting burden for this collection of information is estimated to average 12 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: Reports Clearance Officer Randolph Building, 401 Dulany Street, Alexandria, VA 22314