Small Business Technology Transfer Program

Small Business Technology Transfer Program is sponsored by National Science Foundation. Universities collaborate with small businesses on engineering design and technology transfer research projects. This program should be reviewed carefully against your organization's mission, staffing capacity, timeline, and compliance readiness before you commit resources to a full application. Strong submissions usually translate sponsor priorities into concrete objectives, clear implementation milestones, and measurable public benefit.

For planning purposes, treat rolling deadlines or periodic funding windows as your working submission target unless the sponsor publishes an updated notice. A competitive project plan should include a documented need statement, implementation approach, evaluation framework, risk controls, and a realistic budget narrative. Even when a grant allows broad program design, reviewers still expect credible evidence that the proposed work can be executed within the grant period and with appropriate accountability.

Current published award information indicates $275,000 Organizations should verify the final funding range, matching requirements, and allowability rules directly in the official opportunity materials before preparing a budget. Finance and program teams should align early so direct costs, indirect costs, staffing assumptions, procurement timelines, and reporting obligations all remain consistent throughout drafting and post-award administration.

Eligibility guidance for this opportunity is: Universities partnering with small businesses If your organization has partnerships, subrecipients, or collaborators, define responsibilities and compliance ownership before submission. Reviewers often look for implementation credibility, so letters of commitment, prior performance evidence, and a clear governance model can materially strengthen the application narrative and reduce concerns about delivery risk.

A practical approach is to begin with a focused readiness review, then build a workback schedule from the sponsor deadline. Confirm required attachments, registration dependencies, and internal approval checkpoints early. This reduces last-minute issues and improves submission quality. For the most accurate requirements, always rely on the official notice and primary source links associated with Small Business Technology Transfer Program.

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NSF 21-563: Small Business Technology Transfer (STTR) Program Phase I Posted: February 16, 2021 Download the solicitation (PDF, 1. 4mb) National Science Foundation Directorate for Engineering Industrial Innovation and Partnerships 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).

Important Information And Revision Notes 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: Funding Agreement: As used in this solicitation, the funding agreement is a Grant – a legal instrument of financial assistance between NSF and an awardee, consistent with 31 USC 6302-6305 and as noted in the NSF Proposal & Award Policies Guide (PAPPG) Introduction, Section D ("Definitions & NSF-Grantee Relationships").

Small Business Concerns (SBCs): SBCs are independently owned and operated businesses that are not dominant in the field of operation. For this solicitation, firms qualifying as a small business concern are eligible to participate in the SBIR/STTR program (see Section IV. "Eligibility Information" of this solicitation for more details).

Please note that the size limit of 500 employees includes affiliates. The firm must be in compliance with the SBA SBIR/STTR Policy Directive and the Code of Federal Regulations (13 CFR 121).

SBIR/STTR Data: As defined by the SBA SBIR/STTR Policy Directive , SBIR/STTR Data is all Data developed or generated in the performance of an SBIR or STTR award, including Technical Data and Computer Software developed or generated in the performance of an SBIR or STTR award. The term does not include information incidental to contract or grant administration, such as financial, administrative, cost or pricing or management information.

SBIR/STTR Data Rights: As noted in the SBA SBIR/STTR Policy Directive, the Federal Government may, use, modify, reproduce, perform, display, release, or disclose SBIR/STTR Data that are Technical Data within the Government; however, the Government shall not use, release, or disclose the data for procurement, manufacturing, or commercial purposes; or release or disclose the SBIR/STTR Data outside the Government except as permitted by paragraph 10(B) of the SBIR/STTR Policy Directive's Data Rights Clause or by written permission of the Awardee.

Research and Development (R&D): broadly defined in 2 CFR § 200.

8, but specified for the NSF SBIR/STTR program as follows: the application of creative, original and potentially transformative concepts to systematically study, create, adapt, or manipulate the structure and behavior of the natural or man-made worlds; the use of the scientific method to propose well-reasoned, well-organized activities based on sound theory, computation, measurement, observation, experiment, or modeling; the demonstration of a well-qualified individual, team, or organization ready to deploy novel methods of creating, acquiring, processing, manipulating, storing, or disseminating data or metadata; and/or the adequate resources to carry out the applications and novel integration of new theories, analysis, data, or methods regarding cognition, heuristics, and related phenomena.

Deep Technologies: technologies based on discoveries in fundamental science and engineering. Non-Dilutive Funding: financing that does not involve equity, debt, or other elements of the business ownership structure. 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.

Any proposal submitted in response to this solicitation should be submitted in accordance with the NSF Proposal & Award Policies & Procedures Guide (PAPPG). Summary Of Program Requirements Small Business Technology Transfer (STTR) Program Phase I 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. 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.

Henry Ahn, Biomedical (BM) Technologies and Medical Devices (MD), telephone: (703) 292-7069, email: hahn@nsf. gov Peter Atherton, Advanced Analytics (AA); Artificial Intelligence (AI); Cloud and High-Performance Computing (CH); Cybersecurity and Authentication (CA); and Quantum Information Technologies (QT), telephone: (703) 292-8772, email: patherto@nsf.

gov Anna Brady-Estevez, Chemical Technologies (CT); Energy Technologies (EN); and Distributed Ledger (DL), telephone: (703) 292-7077, email: abrady@nsf. gov Kaitlin Bratlie, Pharmaceutical Technologies (PT), telephone: (703) 292-2638, email: kbratlie@nsf. gov Diane Hickey, Augmented and Virtual Reality (AV); Learning and Cognition Technologies (LC); and Human-Computer Interaction (HC), telephone: (703) 292-8875, email: dhickey@nsf.

gov Steven Konsek, Advanced Materials (AM); Power Management (PM); Nanotechnology (N); Semiconductors (S); Photonics (PH); and Other Topics (OT), telephone: (703) 292-7021, email: skonsek@nsf. gov Rajesh Mehta, Environmental Technologies (ET), telephone: (703) 292-2174, email: rmehta@nsf. gov Elizabeth Mirowski, Advanced Manufacturing (M) and Mobility (MO), telephone: (703) 292-2936, email: emirowsk@nsf.

gov Alastair Monk, Digital Health (DH), telephone: (703) 292-4392, email: amonk@nsf. gov Muralidharan S. Nair, Internet of Things (I); Robotics (R); Space Technologies (SP); and Wireless Technologies (W), telephone: (703) 292-7059, email: mnair@nsf.

gov Erik Pierstorff, Biological Technologies (BT), telephone: (703) 292-2165, email: epiersto@nsf. gov Benaiah D. Schrag, Instrumentation and Hardware Systems (IH), telephone: (703) 292-8323, email: Applicable Catalog of Federal Domestic Assistance (CFDA) Number(s): 47.

049 --- Mathematical and Physical Sciences 47. 070 --- Computer and Information Science and Engineering 47. 074 --- Biological Sciences 47.

075 --- Social Behavioral and Economic Sciences 47. 076 --- Education and Human Resources 47. 079 --- Office of International Science and Engineering 47.

083 --- Office of Integrative Activities (OIA) 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.

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

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). 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.

Summary of Program Requirements Proposal Preparation and Submission Instructions Proposal Preparation Instructions NSF Proposal Processing and Review Procedures Merit Review Principles and Criteria Review and Selection Process Award Administration Information Notification of the Award 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: the application of creative, original and potentially transformative concepts to systematically study, create, adapt, or manipulate the structure and behavior of the natural or man-made worlds; the use of the scientific method to propose well-reasoned, well-organized activities based on sound theory , computation, measurement, observation, experiment, or modeling ; the demonstration of a well-qualified individual, team, or organization ready to deploy novel methods of creating, acquiring, processing, manipulating, storing, or disseminating data or metadata; and/or the adequate resources to carry out the applications and novel integration of new theories, analysis, data, or methods regarding cognition, heuristics, and related phenomena.

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: Increasing the economic competitiveness of the United States. Advancing of the health and welfare of the American public. Supporting the national defense of the United States.

Enhancing partnerships between academia and industry in the United States. Developing an American STEM workforce that is globally competitive through improved pre-kindergarten through grade 12 STEM education and teacher development, and improved undergraduate STEM education and instruction. Improving public scientific literacy and engagement with science and technology in the United States.

Expanding participation of women and individuals from underrepresented groups in STEM. 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. The proposed product or service addresses an unmet, important, and scalable need for the target customer base.

The proposed small business is structured and staffed to focus on aggressive commercialization of the product/service. The proposed small business can provide evidence of good product-market fit (as validated by direct and significant interaction with customers and related stakeholders).

Administrative Requirements: In addition to the eligibility requirements outlined in Section IV, submission of a full proposal requires that the proposer: Register in the System for Award Management (SAM), Research. gov, and SBIR. gov.

To register with SAM, the small business must have a valid DUNS number. These registrations take time, so we recommend starting several weeks or a month prior to the proposal deadline; see section V. A.

B for details. 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. IV. Eligibility Information 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. 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 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 1 st 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