NATIONAL SCIENCE FOUNDATION
SMALL BUSINESS
INNOVATION RESEARCH (SBIR)
Program
PROGRAM SOLICITATION
Closing Date: June 12, 1998
PHASE II INSTRUCTION GUIDE
(for Phase I Awards only)
NSF 98-54
(Replaces 97-64 & 97-84)
The National Science Foundation promotes and advances scientific progress in the
United States by competitively awarding grants 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 Web site at:
http://www.nsf.gov
Location:
4201 Wilson Blvd.
Arlington, VA 22230
For General Information (NSF Information Center):
(703) 306-1234
TDD (for the hearing – impaired):
(703) 306-0090
To Order Publications or Forms:
Send an e-mail to:
[email protected]
Or telephone
(301-947-2722
To Locate NSF Employees:
(703) 306-1234
Program Solicitation
and
Phase II Instruction Guide
NSF
Small Business Innovation
Research (SBIR) Program
Division of Design, Manufacture and
Industrial Innovation
National Science Foundation
1998
NATIONAL SBIR CONFERENCES
San Francisco, CA
Spring 1998
Washington, DC
Fall 1998
R&D OPPORTUNITIES
FOR
TECHNOLOGY INTENSIVE FIRMS
Sponsored by the Department of Defense and the National Science Foundation
in cooperation with all Federal Departments and Agencies with SBIR Programs
•
Marketing Opportunities for R&D and Technology Projects with Federal Agencies and Major Corporations.
•
Techniques and Strategies for Commercializing R&D through Venture Capital, Joint Ventures, Partnering,
Subcontracts, Licensing.
•
Management Seminars in Marketing, Business Planning, Starting and Financing Small Technology Firms,
Procurement, Intellectual Property, Government Accounting and Audits.
For Further Information Contact:
SBIR Conference Center, P.O. Box 2890, Sequim, Washington 98382
(phone: 360/683-5742; fax: 360/683-5391; On line: www.zyn.com/sbir)
The National Science Foundation's Small Business Innovation Research Program (NSF/SBIR) funds research in
many fields of science and engineering as well as in science and engineering education. The grantee is wholly
responsible for the conduct and reporting of each research project. The Foundation, therefore, does not assume
responsibility for the research results or their interpretation.
The Foundation welcomes proposals on behalf of all qualified scientists, engineers, and science and engineering
educators, and strongly encourages women, minorities, and persons with disabilities to compete fully in any of the
research and research-related programs described in this document.
Facilitation Awards for Scientists and Engineers with Disabilities provide funding for special assistance or
equipment to enable persons with disabilities (investigators and other staff, including student research assistants) to
work on an NSF project. See program announcement (publication number 91-54) or contact the program
coordinator in the Directorate for Education and Human Resources.
In accordance with Federal statutes and regulations and NSF policies, no person on grounds of race, color, age,
sex, national origin, or disability shall be excluded from participation in, denied the benefits of, or be subject to
discrimination under any program or activity receiving financial assistance from the NSF.
The NSF has TDD (Telephonic Device for the Deaf) capability, which enables individuals with hearing
impairment to communicate with the Division of Personnel and Management about NSF programs, employment
and general information. This number is (703) 306-0090; for FIRS 1-800-877-8339.
National Science Foundation
Small Business Innovation Research
TABLE OF CONTENTS
Page
Stop Page ..............................................................................................................iii
National SBIR Conferences .................................................................................iv
Foreward ..............................................................................................................ix
Phase I Checklist ..................................................................................................xi
Phase II Checklist.................................................................................................xii
1.0
PROGRAM DESCRIPTION
1.1
1.2
1.3
1.3.1
1.3.2
1.3.3
1.4
1.5
2.0
DEFINITIONS
2.1
2.2
2.3
2.4
2.5
2.6
2.7
2.8
2.9
2.10
2.11
2.12
2.13
2.14
2.15
2.16
2.17
3.0
Summary ..........................................................................................................1
Program Features ............................................................................................1
1.2.1
Legislative Basis .................................................................................1
1.2.2
Program Purposes ..............................................................................1
1.2.3
Program Funding ...............................................................................2
1.2.4
NSF Program Management ...............................................................2
1.2.4
Program Emphasis for 1998-National
Critical Technologies .........................................................................2
Three-Phase SBIR Program ............................................................................3
Phase I -- Concept Feasibility ..........................................................................3
Phase II – Concept Refinement........................................................................3
Phase III – Commercialization ........................................................................3
Eligibility to Participate in SBIR .....................................................................4
1.4.1
Small Business Concern .....................................................................4
1.4.2
Place of Performance..........................................................................4
1.4.3
Eligibility of the Principal Investigator..............................................4
General Information ........................................................................................5
1.5.1
Electronic Access to Information .......................................................5
Commercialization ...........................................................................................6
Consultant ........................................................................................................6
Development.....................................................................................................6
Effective Date ...................................................................................................6
Expiration Date ...............................................................................................6
Equivalent Proposals........................................................................................6
Grant Support/Performance Period ................................................................6
Permanent Equipment .....................................................................................6
Principal Investigator ......................................................................................6
Overlapping Proposals.....................................................................................6
Research ...........................................................................................................6
Small Business..................................................................................................6
Socially and Economically Disadvantaged Small Business .............................7
Socially and Economically Disadvantaged Individual.....................................7
Subaward .........................................................................................................7
Technical Data .................................................................................................7
Women-Owned Small Business .......................................................................7
PROPOSAL PREPARATION INSTRUCTIONS AND REQUIREMENTS
3.1
Phase I Proposal Preparation Instructions and Requirements .......................8
3.1.1
Information about Principal Investigator/Project Directors .............9
(NSF Form 1225 Attachment A) .......................................................9
v
National Science Foundation
Small Business Innovation Research
TABLE OF CONTENTS
Page
3.1.2
3.2
3.3
3.4
Cover Page (Attachment B-Front) and Certification Page
(Attachment B-Back) .........................................................................9
3.1.3
Project Summary (Attachment C) .....................................................9
3.1.3
Identification and Significance of the Problem
or Opportunity...................................................................................10
3.1.5
Background and Technical Approach ...............................................10
3.1.6
Phase I Research Objectives...............................................................10
3.1.7
Phase I Research Plan ........................................................................10
3.1.8
Commercial Potential.........................................................................10
3.1.9
Principal Investigator and Senior Personnel .....................................12
3.1.10 Consultants and Subawards...............................................................12
3.1.11 Equipment, Instrumentation, Computers, and Facilities ..................13
3.1.12 Equivalent or Overlapping Proposals to Other Federal
Agencies .............................................................................................13
3.1.13 Current and Pending Support of Principal Investigator
and Senior Personnel .........................................................................13
3.1.14 Summary Proposal Budget (Attachment D) ......................................14
3.1.15 Prior SBIR Phase II Awards: Company
Commercialization History (Attachment N) ......................................14
Phase II Proposal Preparation Instructions and Requirements......................15
3.2.1
Information about Principal Investigator/Project Directors
(Attachment A) ..................................................................................15
3.2.2
Phase II Proposal Cover Page (Attachment F-Front) and
Certification Page (Attachment F-Back)............................................15
3.2.3
Project Summary (Attachment C) .....................................................16
3.2.4
Synopsis of Phase I Research Results.................................................16
3.2.5
Phase II Research Objectives .............................................................16
3.2.6
Phase II Research Plan.......................................................................16
3.2.7
Commercial Potential.........................................................................17
3.2.8
Principal Investigator and Senior Personnel .....................................17
3.2.9
Consultant and Subaward Contracts.................................................17
3.2.10 Equipment, Instrumentation, Computers, and Facilities .................17
3.2.11 Equivalent or Overlapping Proposals to Other Federal Agencies ....17
3.2.12 Current and Pending Support of Principal Investigator and Senior
Personnel ............................................................................................17
3.2.13 Summary Proposal Budget (Attachment D) ......................................17
3.2.14 Certificate of Current Cost or Pricing Data (Attachment G) ...........17
3.2.15 Phase II Proposal Appendices ............................................................17
Phase II Proposal Budget Preparation Instructions........................................18
3.3.1
Salaries and Wages.............................................................................18
3.3.2
Principal Investigator.........................................................................18
3.3.3
Key Personnel.....................................................................................18
3.3.4
Permanent Equipment........................................................................18
3.3.5 Consultants .........................................................................................18
3.3.6
Subawards..........................................................................................18
3.3.7
Indirect Costs......................................................................................19
3.3.8
Fee.......................................................................................................18
3.3.9
Payment Schedule and Project Milestone Chart (Appendix 1) .........19
Commercialization Documentation .................................................................20
3.4.1
Commercialization Plan and Follow-On Funding Commitment(s)
(Appendix 2).......................................................................................20
vi
National Science Foundation
Small Business Innovation Research
TABLE OF CONTENTS
Page
3.4.2
4.0
METHOD OF SELECTION AND EVALUATION CRITERIA
4.1
4.2
4.3
4.4
5.0
5.3
5.4
5.5
5.6
5.7
5.8
5.9
5.10
5.11
5.12
5.13
5.14
Awards ............................................................................................................26
Reporting Requirements..................................................................................27
5.2.1
Phase I Reporting ...............................................................................27
5.2.2
Phase II Reporting..............................................................................28
Payment Schedules...........................................................................................28
5.3.1
Phase I Payment .................................................................................28
5.3.2
Phase II Payment................................................................................29
Accounting Systems..........................................................................................29
5.4.1
Time and Effort Reporting.................................................................30
5.4.2
Certification of Current Cost Or Pricing Data ..................................30
5.4.2.1 Current Cost Or Pricing Data Supporting Documentation
Requirements ........................................................................31
Treatment and Protection of Proposal Information........................................32
Rights in Data Developed Under SBIR Contracts...........................................32
Copyrights........................................................................................................33
Patents ............................................................................................................33
Supplemental Funding - Research Experiences for
Undergraduates (REU).....................................................................................33
Management Responsibility.............................................................................33
Accuracy of Information..................................................................................33
Audits ............................................................................................................34
Changes in Organization or Principal Investigator Status..............................34
Inconsistencies ...............................................................................................34
SUBMISSION OF PROPOSALS
6.1
6.2
6.3
6.4
6.5
6.6
7.0
Administrative Screening.................................................................................23
Technical Screening .........................................................................................23
Selection and Criteria ......................................................................................24
4.3.1
Evaluation of Follow-On Funding Commitment(s)
and Commercialization Plan...........................................................................25
4.3.1.1 Conditions of Follow-On Funding Commitments ................25
Debriefing of Unsuccessful Offerors ................................................................26
OTHER CONSIDERATIONS
5.1
5.2
6.0
3.4.1.1 Non-Federal Phase II Funding Support................................22
Company Commercialization History (Appendix 3)..........................23
Deadlines ..........................................................................................................34
6.1.1. Phase I Submission Dates ...................................................................34
6.1.2. Phase II Submission Dates..................................................................35
Physical Packaging Requirements ...................................................................35
Where to Send Proposals .................................................................................35
Acknowledgement of Proposal Receipt............................................................36
Withdrawal of Proposals..................................................................................36
Multiple Submissions .......................................................................................36
SCIENTIFIC AND TECHNICAL INFORMATION SOURCES
vii
National Science Foundation
Small Business Innovation Research
TABLE OF CONTENTS
Page
8.0
Research Topic Descriptions (For use in preparing Phase I Proposals only.)
TOPIC 1. PHYSICS......................................................................................................37
TOPIC 2. CHEMISTRY...............................................................................................38
TOPIC 3. MATERIALS RESEARCH.........................................................................40
TOPIC 4. MATHEMATICAL SCIENCES .................................................................41
TOPIC 5. ASTRONOMY.............................................................................................43
TOPIC 6. ATMOSPHERIC SCIENCES ....................................................................44
TOPIC 7. EARTH SCIENCES.....................................................................................44
TOPIC 8. OCEAN SCIENCES ....................................................................................45
TOPIC 9. POLAR SCIENCE, ENGINEERING, AND OPERATIONS......................46
TOPIC 10. BIOLOGICAL SCIENCES .......................................................................47
TOPIC 13. BIOLOGICAL INFRASTRUCTURE.......................................................49
TOPIC 14. SOCIAL, BEHAVIORAL, AND ECONOMIC RESEARCH ...................51
TOPIC 15. ADVANCED COMPUTATIONAL RESEARCH.....................................54
TOPIC 17. ADVANCED NETWORKING INFRASTRUCTURE
AND RESEARCH
...............................................................................................54
TOPIC 19. INFORMATION AND INTELLIGENT SYSTEMS.................................55
TOPIC 20. ELECTRICAL AND COMMUNICATIONS SYSTEMS .........................56
TOPIC 21. DESIGN, MANUFACTURE, AND INDUSTRIAL INNOVATION.........57
TOPIC 22. CHEMICAL AND TRANSPORT SYSTEMS...........................................61
TOPIC 23. CIVIL AND MECHANICAL SYSTEMS..................................................63
TOPIC 24. BIOENGINEERING AND ENVIRONMENTAL SYSTEMS ..................67
TOPIC 25. EDUCATION AND HUMAN RESOURCES............................................69
TOPIC 26. NEXT GENERATION VEHICLES ..........................................................70
TOPIC 27. MICROELECTRONICS MANUFACTURING .......................................73
TOPIC 28. EXPERIMENTAL AND INTEGRATIVE ACTIVITIES.........................74
TOPIC 29. COMPUTER-COMMUNICATIONS RESEARCH..................................75
Topics 11 and 12 are skipped in this document to maintain consistency in topic numbering from
previous years. Topic numbers 16 and 18 have also been skipped and Topic 28 and 29 have been
added. Please read new topic descriptions carefully, as they different considerably from
previous solicitations.
*
*
*
FORMS AND CERTIFICATIONS
Attachment A
Attachment B
Attachment C
Attachment D
Attachment E
Attachment F
Attachment G
Attachment H
Attachment I
Attachment J
Attachment K
Attachment L
Attachment M
Attachment N
Information About Principal Investigator/Project Directors
Proposal Cover Page/Certification Page
Project Summary
Summary Proposal Budget
Phase I Report Cover Page
Phase II Proposal Cover/Certification Page
Certificate of Current Cost or Pricing Data
Suggested Format for Follow-On Funding Commitments
Phase II Report Cover Page
Phase II Progress Reporting Format
Information Concerning Finanical Management Systems
Sample Indirect Cost Proposal
NSF Form 98A Final Project Report
Company Commercialization History
viii
National Science Foundation
Small Business Innovation Research
FOREWORD
This SBIR Solicitation and Phase II Instruction Guide is issued pursuant to the authority
of the National Science Foundation Act of 1950, as amended (42 U.S.C. §1861 et seq.)
for the purpose of supporting research or related activities and 15 U.S.C. §638 (PL 97219, 96 STAT. 217, "Small Business Innovation Development Act of 1982," as amended).
National Science Foundation programs described in this publication fall under the
following categories in the latest Catalog of Federal Domestic Assistance issued by the
Office of Management and Budget and the General Services Administration:
47.041 - Engineering
47.049 - Mathematical and Physical Sciences
47.050 - Geosciences
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
47.076 - Polar Programs
WARNING:
Proposals not meeting the National Science Foundation proposal content
requirements which are listed and explained in the Solicitation may be returned to
the submitting institutions as "inappropriate."
Read this 1998 Program Solicitation and Phase II Instruction Guide carefully before
preparing your Phase I or Phase II proposal because requirements differ from
previous NSF SBIR solicitations and may also differ from those of other agencies.
For more information about the NSF SBIR Program or this solicitation, contact:
Director, Industrial Innovation Programs
National Science Foundation
4201 Wilson Boulevard, Room 590
Arlington, VA 22230
(phone: 703/306-1391)
(fax: 703/306-0337)
email: [email protected]
web address: www.nsf.gov/eng/sbir/sbir.htm
ix
The Program Solicitation and Phase II Instruction Guide will assist companies in
preparing a Phase I proposal as well as Phase I grantees with Phase II proposal
preparation. In order to assure appropriate and timely submission of items required for
completion of Phase I proposals this document should be read by Principal Investigators
and Company Officers.
SIGNIFICANT PROGRAM DEADLINES AND PROGRAM CHANGES
The submission opportunity for Phase II proposers who received Phase I awards in 19981
will be limited to two dates: November 12, 1998 and November 12, 1999. Phase I
awards made in response to this document will also be limited to two Phase II submission
dates: November 12, 1999 and November 12, 2000.2
Phase I awards have only two opportunities for submitting Phase II proposals. Proposals
received after the respective deadlines will be returned without further consideration.
For example, if your Phase I award is completed in June 1998, then your first opportunity
will be November 11, 1998. If your firm is unable to meet this deadline, then the second
and final opportunity will be November 12, 1999. If you miss the final deadline, your
proposal becomes ineligible for further consideration for a Phase II award pursuant to a
1998 Phase I project.
Please read through the entire Solicitation and Phase II Instruction Guide. If you
have any questions regarding the changes, please contact the cognizant SBIR
Program Officer named in your topic area.
1
2
Phase I awards in 1998 are proposals submitted to NSF in June 1997.
Submission Dates for Phase I awards made in 1999 (proposals submitted in June 1998) may change.
x
READ
CAREFULLY!
The following items will be used to “Administratively Screen” all
SBIR proposals. If you fail to adhere to any of the rules listed below,
your proposal will be rendered “ineligible” and will be returned
without further consideration!
1. The font size for Phase I and Phase II proposals MUST be at least 10-point or larger and at
least 12 characters per 1.5. cm. Margins should not be less than 25 mm.
2. The Phase I proposal MUST NOT exceed 25, consecutive pages, and the Phase II proposal
MUST NOT exceed 35. The only pages excluded from the page count are the following:
• NSF Form 1225 (for Phase I and II)
• Certification Page (for Phase I and II)
• Reverse side of the Budget Page (for Phase I and II)
• Information on Prior Phase II Awards (For Phase I (use Attachment N))
• Appendix 1 Milestone Chart(Phase II Proposals only)
• Appendix 2 Commercialization Plan and Follow-On Funding Commitment(s) (Phase II
Proposals only)
• Appendix 3 Company Commercialization History - Attachment N
3. A signed Certification Page (which is the reverse side of the Cover Page) MUST be
included in the Phase I and Phase II proposal package.
4. A statement from consultants MUST be included in the proposal package.
5. Subcontractor budgets MUST be included in the proposal package (Attachment D).
6. The proposal must arrive at NSF’s Proposal Processing Unit (PPU) by 5:00 p.m. (East
Coast Time):
Phase I - June 12, 1998
Phase II - November 12, 1998 or November 12, 1999
iii
NSF SMALL BUSINESS INNOVATION RESEARCH PROGRAM
PHASE I PROPOSAL CHECKLIST
HAVE YOU DONE THE FOLLOWING REQUIRED STEPS?
(Do not submit checklist with your proposal)
All instructions and the description of the topic under which the application is being submitted in this 1998 SBIR
Program Solicitation have been read.
Proposal is 25 pages or less and conforms to page size and type requirements – excluding from the page count
only NSF FORM 1225 (Attachment A), the CERTIFICATION PAGE (reverse side of Attachment B), and
statements on PRIOR SBIR AWARDS.
COVER PAGE is complete (Attachment B).
CERTIFICATION PAGE is signed (reverse side of Attachment B).
Project duration does not exceed 6 months.
Proposal is submitted under ONLY one topic.
PROJECT SUMMARY is complete (Attachment C).
Principal Investigator is primarily employed by this firm at the time of the award – if not, required documentation
is included.
If applicable, review special instructions for Principal Investigators with academic affiliations and for Principal
Investigators who have or are seeking research support through an academic institution.
Consultant and/or subaward documentation is completed and signed.
Statement of current and pending support is included. If funding for the overlapping or equivalent work has been
requested or received, the box on the cover sheet is checked off and proposal includes a statement discussing the
status of the funding request.
A minimum of two-thirds of the research effort will be performed by the proposing firm (that is, budget for
consultants and/or subawards does not exceed one-third of the total budget) (Attachment D).
If the equipment, instrumentation, computers, and facilities are not the property (owned or leased) of the
proposing firm, required documentation confirming its availability for use on this project is included.
Proposal and PROJECT SUMMARY describe commercial potential (Attachment C).
Proposal Budget (NSF 1030 A (Attachment D)) has been completed and signed and is for $100,000 or less; fee is
for 7% or less of the total direct and indirect costs of the project; Principal Investigator has committed at least one
person-month to the proposed effort; budget excludes foreign travel and permanent equipment purchases; and
budget explanation page details each line item on the budget.
Proprietary information is limited and is clearly identified in the text or placed on a separate page. (Cover Page
box is checked alerting NSF of proprietary information.)
An original and 9 copies of the proposal are submitted.
Deadline for receipt of proposal at the NSF is 5:00 p.m. East Coast Time, June 12, 1998.
iii
NSF SMALL BUSINESS INNOVATION RESEARCH PROGRAM
PHASE II PROPOSAL CHECKLIST
HAVE YOU DONE THE FOLLOWING REQUIRED STEPS?
(Do not submit checklist with your proposal)
Proposal is 35 pages or less and conforms to page size and type requirements – excluding from the page count
only NSF FORM 1225 (Attachment A), the CERTIFICATION PAGE (reverse side of Attachment B), and
Appendices 1, 2, and 3.
COVER PAGE is complete (Attachment F).
CERTIFICATION PAGE is signed (reverse side of Attachment F).
Project duration does not exceed 24 months.
PROJECT SUMMARY is complete (Attachment C).
Principal Investigator remains in the primary employment of this firm and is the same individual as the Principal
Investigator for Phase I.
Consultant and/or subaward documentation is completed and signed.
Statement of current and pending support is included. If funding for the overlapping or equivalent work has been
requested or received, the box on the cover sheet is checked off and proposal includes a statement discussing the
status of the funding request.
A minimum of one-half of the research effort will be performed by the proposing firm (that is, budget for
consultants and/or subawards does not exceed one-half of the total budget).
If the equipment, instrumentation, computers, and facilities are not the property (owned or leased) of the
proposing firm, required documentation confirming its availability for use on this project is included.
Proposal and PROJECT SUMMARY describe commercial potential.
Proposal Budget (NSF 1030 A (Attachment D)) has been completed and signed, and is for $400,000 or less; fee
is for 7% or less of the total direct and indirect costs of the project; Principal Investigator has committed at least
two person-months per year to the proposed effort and budget explanation page details each line item on the
budget.
Proprietary information is limited and is clearly identified in the text or placed on a separate page (Cover Page
box is checked alerting NSF of proprietary information).
An original and 9 copies of the proposal are submitted which include Attachment 1, 2, and 3.
Deadline for receipt of proposal at the NSF is 5:00 p.m. East Coast Time, November 12, 1998.
iii
National Science Foundation
Small Business Innovation Research
NATIONAL SCIENCE FOUNDATION
FISCAL YEAR 1998
PROGRAM SOLICITATION AND PHASE II INSTRUCTION GUIDE
FOR SMALL BUSINESS INNOVATION RESEARCH (SBIR)
1.0
PROGRAM DESCRIPTION
1.1
Summary
The National Science Foundation (NSF), an independent agency of the Federal Government, invites small business
firms to submit proposals under this Program Solicitation for Small Business Innovation Research (SBIR). The 1998
solicitation period for Phase I proposals begins March 1, 1998 and ends June 12, 1998; deadline for receipt of Phase
II is November 12, 1998 or November 12, 1999. NSF will support high quality proposals on important scientific,
engineering, or science/engineering education problems and opportunities that could lead to significant commercial
and public benefit if the research is successful.
1.2
Program Features
Eligible small businesses are invited to propose innovative ideas that meet the specific research or research and
development missions of the Federal Government. The program is intended to increase small business firms’
participation in Federal R&D. Thus, for Phase I: a minimum of two-thirds of the research must be performed by
the proposing firm; for Phase II: the proposing firm must perform a minimum of one-half of the research.
Currently, ten Federal agencies have SBIR programs.
1.2.1
Legislative Basis
SBIR operates under Public Law 97-219 as amended by Public Law 102-564, the Small Business Research
Development and Enhancement Act of 1992, and the Small Business Administration (SBA) SBIR Policy Directive
of 1993.
1.2.2
Program Purposes
The purpose of the SBIR Program is to: stimulate technological innovation; utilize small business concerns to meet
Federal R&D needs; foster and encourage participation by minority and disadvantaged persons in technological
innovation; and increase private sector commercialization of innovations from Federal R&D.
The primary objective of the NSF SBIR Program is to increase the incentive and opportunity for small firms to
undertake cutting-edge, high risk, high quality scientific, engineering, or science/engineering education research that
would have a high potential economic payoff if the research is successful. The proposed research must be responsive
to the NSF program interests stated in the topic descriptions of this Solicitation.
The NSF SBIR Program does not support projects that are primarily for demonstration, technical assistance,
literature survey, and market research. Patent application and patent litigation costs are not supported under NSF
SBIR awards.
NSF does not normally support bioscience research with disease-related goals, including work on the etiology,
diagnosis, or treatment of physical or mental disease, abnormality, or malfunction in human beings or animals.
Animal models of such conditions or the development or testing of drugs or other procedures for their treatment also
are not eligible for support. However, research in bioengineering, with diagnosis or treatment-related goals, that
applies engineering principles to problems in biology and medicine while advancing engineering knowledge is
eligible for support. Bioengineering research to aid persons with disabilities is also eligible, as are biomedical
applications in certain areas of microelectronic information processing.
Phase I Solicitation and Phase II Instruction Guide
Page 1
National Science Foundation
Small Business Innovation Research
The SBIR Program is not a substitute for existing unsolicited proposal mechanisms used in other NSF programs.
Unsolicited proposals will not be accepted under the SBIR Program in either Phase I or Phase II.
1.2.3
Program Funding
Participating agencies conduct SBIR programs by reserving a small percent of their research and development
budgets for funding agreements with small business concerns for R/R&D during the first two phases of the threephase process described here. Each agency, at its sole discretion, selects the technical topics and subtopics
included in its Solicitation and selects its SBIR awards. Phase III follow-on funding supports development efforts
using non-SBIR and usually non-Federal funding for commercial application of the research supported by NSF
under Phases I and II.
NSF Phase I awards will be made for a maximum of up to $100,000; Phase II awards will be made for a maximum
of up to $400,000.
1.2.4
NSF Program Management
The mission of the National Science Foundation is to promote the progress of science and engineering. NSF serves
the Nation by investing in research and education in all aspects of science, mathematics, and engineering. NSF’s
investment in research and education, contribution to the Federal research portfolio and mission and goals are
described in NSF in a Changing World (NSF 95-24). This Strategic Plan outlines the vision, mission and goals, and
core strategies for the accomplishment of those goals. NSF has identified four core strategies that are designed to
build a strong resource base on which its research and education programs can draw. NSF’s SBIR program goals are
aligned with these strategies in a specific way to:
•
Develop intellectual capital - Make awards for research which builds upon recent discoveries in basic
sciences and engineering and provides opportunities for individuals who have, or are working toward,
advanced scientific, engineering, or education degrees
•
Strengthen the physical infrastructure - Make awards which lead to development of new scientific,
engineering, and education capability through commercialization of advanced instruments, new processes, and
innovative software, etc.
•
Integrate research and education - Encourage awardees to disseminate research findings through scholarly
journals and professional meetings
•
Promote partnerships - Encourage awardees to engage in cooperative activities among industry, government
(state, local, Federal), and academia
The SBIR program goals embody NSF Core Strategies to enhance the Nation’s scientific and engineering capacities.
For additional information on NSF’s Core Strategies, see NSF in a Changing World (NSF 95-24). When proposals
are otherwise considered to be of approximately equal merit, proposals that more fully support such SBIR program
goals may be given extra consideration in the evaluation process.
1.2.5
Program Emphasis for 1998-National Critical Technologies
The NSF SBIR Program encourages proposals across all fields of science and engineering supported by the
Foundation. (See Section 8.0. Research Topic Descriptions.) Within that framework, the following critical
technology areas of national importance are emphasized:
Phase I Solicitation and Phase II Instruction Guide
Page 2
National Science Foundation
•
•
•
•
•
•
•
•
Small Business Innovation Research
Applied Molecular Biology
Distributed Computing and Telecommunication
Integrated, Flexible Manufacturing
Materials Synthesis and Processing
Microelectronics and Optoelectronics
Pollution Minimization and Remediation
Software
Transportation
When proposals are otherwise considered to be of approximately equal merit, proposals in these areas may be given
extra consideration in the evaluation process.
1.3
Three-Phase SBIR Program
SBIR uses a uniform process having three phases as discussed below.
1.3.1
Phase I -- Concept Feasibility
Phase I is a six-month experimental or theoretical investigation on the proposed innovative idea or approach. It
should determine insofar as possible the scientific, technical and commercial merit, and feasibility of the idea or
concept.
The work proposed for Phase I should be suitable in nature for subsequent progression to Phases II and III.
Contingent upon the success of the effort in Phase I, the ultimate aim of the research should be to develop products,
processes, or techniques, that can be commercialized. The Principal Investigator should approach the SBIR Program
with the objective of bringing the project to fruition in Phase III, via a Phase II effort.
Phase I proposals should be prepared in accordance with instructions in Section 3.1, Phase I Proposal Preparation
Instructions and Requirements. Evaluation and selection criteria are described in Section 4.3, Selection and
Evaluation Criteria. The required Phase I Final Report is due at the end of the six-month performance period.
1.3.2
Phase II – Concept Refinement
Phase II further develops the proposed concept, building on the feasibility project undertaken in Phase I and
incorporating the reassessment of scientific, technical, and commercial merit and feasibility, as well as other
relevant information in the Phase II plans. Only an NSF SBIR Phase I grantee who successfully completes a Phase
I project and submits an acceptable Phase I Final Report is eligible to submit a NSF SBIR Phase II proposal
pursuant to that Phase I award. Phase II must be an extension of the Phase I research.
Phase II proposals should be prepared in accordance with instructions in Section 3.2, Phase II Proposal Preparation
Instructions and Requirements. Evaluation and selection criteria are described in Section 4.3, Selection and
Evaluation Criteria. Phase II Semi-Annual Reports are required as discussed in Section 5.2.2, Phase II Reporting.
1.3.3
Phase III - Commercialization
The objective of Phase III is to pursue commercial applications of the government-funded research. Phase III is to
be conducted with non-SBIR funds (either Federal or non-Federal). NSF normally will not fund Phase III efforts.
NSF views favorably those firms which have valid business arrangements that pursue continued development of
applications developed under NSF SBIR Phases I and II. For further discussion, see Sections 3.1.8,Commercial
Potential, and 3.4.1, Phase II Commercialization Plan and Follow-On Funding Commitment(s).
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1.4
Small Business Innovation Research
Eligibility to Participate in SBIR
1.4.1
Small Business Concern
A proposing firm must qualify under the definition of a small business given in Section 2.0, Definitions. Proposals
from joint ventures and partnerships are permitted, provided the entity created qualifies as a small business in
accordance with this Solicitation. Proposing firms are also encouraged to take advantage of research expertise and
facilities that may be available to them at colleges, universities, national laboratories and from other research
providers. Such collaborations may include research subcontracts, consulting agreements or the employment of
faculty as “Senior Personnel” and of graduate or undergraduate students as assistants by the small business.
A maximum of one-third of the research and/or research services as determined by total budget expenditures may be
used for faculty/university and/or other consultant/subawardee participation in Phase I and a maximum of one-half of
the research and/or research services in Phase II may be expended for any combination of consulting and
subcontracting by university faculty and/or other consultant/subawardee.
Only those NSF Phase I grantees that have submitted Phase I Final Reports (that have been accepted by the
SBIR Program Manager) are eligible to submit Phase II proposals to NSF.
1.4.2
Place of Performance
For both Phases I and II, all research must be performed in the United States. "United States" means the 50 states, the
territories and possessions of the United States, the Commonwealth of Puerto Rico, the Commonwealth of the
Northern Mariana Islands, the Trust Territory of the Pacific Islands, and the District of Columbia.
1.4.3
Eligibility of the Principal Investigator
The NSF SBIR Program is designed to support small businesses. For both Phases I and II, the primary employment
of the Principal Investigator (PI) must be with the small business concern at the time of award and during the
conduct of the proposed effort. Primary employment means that more than one-half of the Principal Investigator's
time is spent in the employ of the small business. The percent of time or effort expended is calculated on a calendarmonth basis. Primary employment with a small business precludes full-time employment at another organization.
If the individual who is proposed as PI is not an U.S. citizen, he/she must legally reside in the U.S. and be legally
empowered to work in the U.S. at the time that an award is made. Proposed Principal Investigators who are not U.S.
citizens are urged to consult with a NSF SBIR Program Manager concerning their eligibility.
The individual who is proposed as the PI in the Phase I proposal is expected to remain the same from the time of
the inception of the Phase I award until its completion. A change in PI prior to an award could affect whether an
award will be made. It is also expected that the PI on a Phase II project will be the same individual as the PI on
Phase I.
Any changes of PI must be requested in writing at least 30 days prior to the change (except in extraordinary
circumstances, such as the death of the PI) and should be addressed to the Director, Industrial Innovation
Programs, Room 590, National Science Foundation, 4201 Wilson Boulevard, Arlington, VA 22230, and must be
approved in writing by the Grants Officer.
Academic Affiliation. An individual employed full-time by an academic institution may become eligible to serve as
the Principal Investigator if the individual provides a statement signed by his/her Department Head and an
authorized Organizational Representative of the institution approving a leave or sabbatical leave, providing for a
minimum of 51 percent release from full-time employment at the academic institution for the full Phase I and Phase
II periods of performance, should the awards be made.
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The above statement approving release from employment at an academic institution should be included as part of
the Phase I proposal.
Academically-employed Principal Investigators – whether full-time or part-time, tenured professors, adjunct
professors, emeritus professors, consulting professors, lecturers, research associates, research scientists, or
students, etc. – are urged to consult with a NSF SBIR Program Director on any question about their eligibility
prior to submitting a proposal.
Any proposed Principal Investigator whose employment at an academic institution will terminate before the effective
date of the award should make an explicit statement to that effect in the proposal.
Research Support through an Academic Institution. The National Science Foundation has revised its policy to
allow an individual serving as a Principal Investigator on an SBIR award to simultaneously receive research support
through an academic institution, whether the source of that support is public or private. An individual who is
receiving research support through an academic institution or an individual who has pending proposals submitted
through an academic institution prior to receiving an SBIR award must disclose such current and pending support, as
discussed in Section 3.1.13, Current and Pending Support of Principal Investigator and Senior Personnel.
Proposals which are overlapping or equivalent to research supported through an academic institution will not be
funded and the primary employment requirements of the Principal Investigator will apply.
Other Employment . Proposed Principal Investigators who are not primarily employed by the small firm or by an
academic institution at the time the proposal is submitted must demonstrate how they will meet the eligibility
requirements. Letters pertaining to leave or certifications of intent to become full-time employees of the firm
should be included in the proposal.
1.5
General Information
Questions about the NSF SBIR Program such as the eligibility of the Principal Investigator and administrative
concerns may be addressed to the Office of Industrial Innovation Programs, Room 550, National Science Foundation,
4201 Wilson Boulevard, Arlington, VA 22230.
For reasons of competitive fairness, other contact with NSF regarding this Solicitation is restricted during the
proposal preparation period. In particular, questions concerning the scientific and engineering aspects of the
research topics will not be entertained.
Telephone Information Inquiries should be directed to (703) 306-1391. NSF will only accept written requests for
the Solicitation (see below). A recorded message which gives the status of the NSF SBIR Solicitation and proposal
processing can be accessed by calling, toll-free, 1(800) 999-7973.
Facsimile Machine. Inquiries and requests may be made by facsimile to (703) 306-0337 and must include the name,
address, and telephone number of the person making the request and the specific questions or requests. Label all
requests with “Attention: SBIR INQUIRY/REQUEST”.
1.5.1
Electronic Access to Information
In compliance with the government’s reduction of Paper Act, paper copies of this document will not be available.
Download this document from the NSF SBIR home page (http://www.eng.nsf.gov/sbir/sbir.htm). If unable to
download this document, fax your request for a diskette to: 703-306-0337. Specify PC or MAC format.
E-Mail inquiries and requests may be sent to ([email protected]).
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2.0
Small Business Innovation Research
DEFINITIONS
The following definitions apply for the purposes of this document:
2.1 Commercialization. The process of developing markets and producing and delivering products or
services for sale (whether by the originating party or by others). As used here, commercialization includes both
government and non-government markets.
2.2 Consultant. A person, not an employee of the small business concern, who is cited anywhere in the
proposal as contributing to the research – whether paid or unpaid.
2.3 Development. A systematic application of knowledge toward the production of useful materials,
devices, and systems or methods, including design, development, and improvement of prototypes and new
processes to meet specific requirements.
2.4 Effective Date. The effective date of a grant is the date specified in the grant award letter on or after
which the proposed work is expected to begin. Do not confuse the “award date” (appearing in the upper right
hand corner of the letter, indicating when the award is made administratively) with the “effective date,” appearing
in the body of the letter.
2.5 Expiration Date. The expiration date of the Phase I grant is the last day of the six-month grant
performance period. For Phase II awards, the expiration date is last day of the grant support period which is
normally 24 months in duration.
2.6 Equivalent Proposals. One proposal that entails the performance of work that completely overlaps
with the work entailed by the another proposal.
2.7 Grant Support/Performance Period. For Phase I awards, the grant support/performance period is
the six-month period beginning on the effective date and ending six months thereafter. For Phase II awards, the
grant support/performance period is the period beginning on the effective date and normally ending 24 months
thereafter.
2.8 Permanent Equipment. Equipment is defined as an article of non-expendable, tangible personal
property, having a useful life of more than one year and an acquisition cost of $5,000 or more per unit.
2.9 Principal Investigator. The Code of Federal Regulations, Title 42, Part 52, defines a Principal
Investigator as “the single individual designated by the grantee in a grant application who is responsible for the
scientific and technical direction of the project.” NSF does not permit Co-Principal Investigators on SBIR
proposals.
2.10 Overlapping Proposals. One proposal that entails the performance of work that overlaps with the
work entailed by the another proposal.
2.11 Research. Any activity that is a systematic, intensive study directed toward acquiring greater
knowledge or understanding of the subject studied or a systematic study directed specifically toward applying new
knowledge to meet a recognized need.
2.12 Small Business. A business concern that at the time of the Phase I and Phase II awards meets the
following criteria:
•
It is independently owned and operated, is not dominant in the field of operation in which it is proposing,
has its principal place of business located in the United States, and is organized for profit.
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•
It is at least 51 percent owned, or in the case of a publicly owned business, at least 51 percent of its voting
stock is owned, by United States citizens or lawfully admitted permanent resident aliens.
•
It has, including its affiliates, a number of employees not exceeding 500, and meets the other regulatory
requirements found in 13 CFR Part 121. Business concerns, other than licensed investment companies, or
state development companies qualifying under the Small Business Investment Act of 1938, 15 U.S.C. 661,
et seq., are affiliates of one another when either directly or indirectly, (a) one concern controls or has the
power to control the other; or (b) third parties (or party) control(s) or has the power to control both.
Control can be exercised through common ownership, common management, and contractual
relationships. The term “affiliates” is defined in great detail in 13 CFR 121.3-2(a). The term “number of
employees” is defined in 13 CFR 121.3.2(t). Business concerns include, but are not limited to, any
individual, partnership, corporation, joint venture, association, or cooperative.
2.13 Socially and Economically Disadvantaged Small Business. A socially and economically
disadvantaged small business concern is one that is at least 51 percent owned by one or more socially and
economically disadvantaged individuals and whose management and daily business operations are controlled by
one or more such individuals. “Control” in this context means exercising the power to make policy decisions.
“Operate” in this context means being actively involved in the day-to-day management.
2.14 Socially and Economically Disadvantaged Individual. A member of any of the following groups:
Black Americans, Hispanic Americans, Native Americans, Asian-Pacific Americans, Subcontinent Asian
Americans, other groups designated from time to time by SBA to be socially disadvantaged, and any other
individual found to be socially and economically disadvantaged by SBA pursuant to Section 8(a) of the Small
Business Act, 15 U.S.C. § 637(a). (For more information on this definition, contact the SBA by phone at (202)
606-4000, extension 233, or by fax at (202) 606-4225.)
2.15 Subaward (a.k.a. contract or subcontract). Any agreement, other than one involving an
employer-employee relationship, entered into by the small business concern calling for supplies or services
required solely for the performance of the original funding agreement.
2.16 Technical Data. Data developed by the grantee during the performance of a Small Business
Innovation Research (SBIR) grant, such as information relating to an invention, a manufacturing process, or
software developed under the grant.
2.17 Women-Owned Small Business. A small business that is at least 51 percent owned by a woman or
women who also control and operate it is women-owned. “Control” in this context means exercising the power to
make policy decisions. “Operate” in this context means being actively involved in the day-to-day management.
3.0
PROPOSAL PREPARATION INSTRUCTIONS AND REQUIREMENTS
A particular proposal must be assigned to one, and only one, of the numbered topics listed in Section 8.0, Research
Topic Descriptions, in this document. The topic number and, if applicable, the appropriate subtopic letter, must be
identified on the cover sheet. A firm may submit separate proposals on different topics or different proposals on the
same topic under this Solicitation. Firms are encouraged to submit their best ideas in response to this Solicitation.
Multiple submissions will not necessarily result in multiple awards.
Projects involving research on human subjects must ensure that subjects are protected from research risks in
conformance with the Common Rule (Federal Policy for the Protection of Human Subjects). Awards involving
human subjects will require grantee compliance with the NSF regulation, entitled, “Protection of Human Subjects, 45
CFR 690. Projects involving vertebrate animals will comply with the Animal Welfare Act (7 USC §§ 2131-59) and
the regulations promulgated thereunder by the Secretary of Agriculture (CFR, Title 9, Subchapter A, Parts 1, 2, 3,
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and 4) pertaining to the care, handling and treatment of vertebrate animals held or used for research, teaching or
other activities supported by Federal Grants.
Proposals may respond to any of the topics or to specific subtopics. If duplicate proposals or equivalent proposals
are submitted to different topics, all proposals but one will be deemed inappropriate and returned without further
consideration .
Each proposal should be reviewed carefully by the proposer and by others knowledgeable on the subject to ensure
inclusion of enough substantive information for evaluation of technical merit and commercial potential. NSF
reserves the right not to submit to technical review any proposal that it finds to have insufficient scientific,
technical, or commercial potential information.
Be sure that the certification page and budget page contain the signatures of the Principal Investigator and/or
an authorized Company Officer. Additions and substitutions--including new information about the progress of a
project -- received after a proposal has entered the review process will not be considered.
NSF forms may be photocopied as required; however, one proposal should contain original signatures and should
be clearly marked as the “original.”
Limit proprietary information contained in the proposal. Proprietary information may be included in the body of
the proposal or set apart from other text. Any proprietary information included in the body of the proposal must be
clearly marked, by sentence or paragraph, as proprietary (see Section 5.5 Treatment and Protection of Proposal
Information).
CAUTION: If an overlapping, equivalent, or similar proposal has been or will be submitted to another agency,
follow the instruction in Section 3.1.12 Equivalent or Overlapping Proposals to Other Federal Agencies. NSF
will not make awards that essentially duplicates research funded (or expected to be funded) by other agencies.
(See Section 2.0, Definitions, for a complete definitions of the terms “overlapping” and “equivalent”.)
3.1
Phase I Proposal Preparation Instructions and Requirements
The Phase I proposal is limited to a total of 25 consecutively numbered pages (single- or double-spaced). The only
pages excluded from the page count are the following:
•
•
•
•
Information About Principal Investigator/Project Directors (NSF Form 1225, Attachment A)
Certification Page (which is the reverse side of the Cover Page)
Reverse side of the Proposal Budget page (Instructions for Use of Summary Proposal Budget)
Information on Prior Phase II Awards: Company Commercialization History (Attachment N)
Included in the page count are the following:
•
•
•
•
•
•
•
•
•
1
Cover Page
Project Summary
Table of Contents (if included; not required)
Main text
References
Vitae or biographical sketches and listing of publications appearing under qualifications of PI, Senior
Personnel, Consultants, and Subawardees
Publications of project personnel and other listed references
Summary Proposal Budget page for overall project
Summary Proposal Budget page for subcontract(s)1
Note, will count toward the proposal page count even if omitted from submission.
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•
•
•
•
Small Business Innovation Research
Details of subcontract effort, including letters from subawardees
Signed consultant statements (do not need to be separate full page(s))
Other appendices, enclosures, or attachments (such as leasing or rental agreements)
Reverse or second side of any two-sided page other than those explicitly excluded from the page count
Pages should be of standard size. Metric size A4 (210 mm X 297 mm) is preferred; however, 8 1/2" X 11" (216 mm
X 279 mm) may be used. In either case, margins should be not less than 25 mm and the type size must be clear and
readily legible. Font size must be 10 point or larger. If constant spacing is used, there should be no more than 12
characters per 2.5 cm, whereas proportional spacing should provide no more than an average of 15 characters per 2.5
cm. Supplementary materials, revisions, and substitutions will not be accepted in order to provide equitable
treatment for all. Proposals not meeting these requirements will be returned without further consideration. (See
Section 4.0, Method of Selection and Evaluation Criteria). When responding to this Solicitation, use the metric
system of weights and measures, unless impractical or inefficient.
NSF forms may be photocopied as required; however, one copy of the proposal should contain original signatures and
should be clearly marked as the original.
The proposal must include all of the following items in the order shown below.
3.1.1
Information about Principal Investigator/Project Directors (NSF Form 1225
Attachment A)
Attach this form to the proposal, placing it preceding the Cover Page of the copy of the original proposal only. This
form is not included in the page count for the proposal nor does it go to reviewers.
3.1.2
Cover Page (Attachment B-Front) and Certification Page (Attachment B-Back)
Complete the Cover Page (NSF Form 1207, 12/96) and use it as page 1 of the original and each copy of the proposal.
The reverse side of the Certification Page, must be completed, fully signed and included only with the original copy
of the proposal; it should not be included with any of the other copies of the proposal. The Certification Page is
required for all NSF SBIR proposals. Proposals not meeting this requirement will be returned without further
consideration.
Note, that the Cover Page is included in the proposal page count; but the Certification Page is not.
•
The period of performance for Phase I cannot exceed six months with a proposed start date of January 1,
1998. In cases where the research is better served, a later start date may be requested.
•
The title of the proposal should be brief, technically valid, intelligible to the nonspecialist, and suitable for
use in the public press. NSF may edit the title of the project before making an award.
3.1.3
Project Summary (Attachment C)
Complete this Form and use it as page 2 for all copies of the proposal. The Project Summary should not exceed 200
words and should be a self-contained description of the project written in a third-person narrative. The summary
should begin as follows: "This Small Business Innovation Research Phase I project...." The summary should
include a brief identification of the problem or opportunity, the research objectives, a description of the research, and
the anticipated results. The last paragraph of the summary should describe the potential commercial applications of
the research. The information on the form should be accurate, informative to other persons working in the same or
related fields, and understandable to the nonspecialist.
In the event of an award, the Project Summary page will become public information. NSF may edit the Project
Summary before making the information public.
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3.1.4
Small Business Innovation Research
Identification and Significance of the Problem or Opportunity
In this section, make a clear summary statement of the specific research problem or opportunity addressed and its
importance, including the anticipated benefits to the nation. This section will start page 3 of the proposal (or page 4,
if the body of the proposal is preceded by a table of contents).
3.1.5
Background and Technical Approach
In this section, describe in detail the background and technical approach to the problem or opportunity and the part
that the proposed research plays in attaining results. Review significant and recent research directly related to the
proposed effort, including any conducted by others in the field, the Principal Investigator, the proposing firm,
consultants, or subawardees, and indicate how it relates to the proposed research. Include a concise list of references
in this section or at the end of the proposal. These may be cited as appropriate throughout the proposal.
In this section, the proposer should take care to highlight the uniqueness/ingenuity of the proposed concept or
application as technological innovation. Major problems or barriers that must be overcome to achieve successful
commercialization should also be identified. Significant cost reduction may be an important part of technological
innovation.
3.1.6
Phase I Research Objectives
List and explain a few measurable, specific objectives to be accomplished in the course of the Phase I research,
including the questions that must be answered to determine the technical and commercial feasibility of the proposed
concept. Briefly describe the relationship to Phase II and Phase III efforts.
3.1.7
Phase I Research Plan
This section must provide a detailed description of the Phase I research approach. The description should indicate
what is planned and how the research will be carried out; it should include a technical discussion of the proposed
concept, the methods planned to achieve each objective or task, and the sequence of experiments, tests, and
computations involved. The research plan should be linked to the objectives and the questions which the Phase I
research effort is designed to answer.
Discuss problems or obstacles to be overcome which would determine whether or not the proposed concept is
feasible. Also, anticipate the questions and concerns that reviewers may have with regard to your research plan and
respond to these issues in this section.
Scheduling and staff activity charts may be useful. Such charts may include tasks, scheduled completion dates, and
decision points. They may also indicate which tasks are starting points for Phase II work.
3.1.8
Commercial Potential
NSF will evaluate this section to assess the commercial potential of your concept. Based on the experience of a
number of successful small business innovations, the following are key questions which serve as a useful frame of
reference to guide you at this stage in developing a strategy for commercialization. These include the following:
•
•
•
•
•
•
What are the potential customer needs that your type of product will fulfill?
Who are the customers?
How do customers satisfy those needs today and at what cost?
How big is the total market? (This is the number of customers with the needs times the cost for meeting the
needs.)
What are the major trends affecting this market and what is the outlook?
What are the competing methods for fulfilling those needs?
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•
•
•
Small Business Innovation Research
Who are the competitors?
Why will customers choose your type of product over doing nothing or using competing approaches? (The
answer should be made in the context of the economics of the customer’s business.)
How will you make and deliver your products?
As these questions suggest, the central issue for commercialization of research results is how well and efficiently
current and/or emerging customer needs might be fulfilled. Even if an innovation is likely to be more economical or
effective, arguments still need to be made showing that a significant number of potential customers would indeed
adopt the innovation. Thus, ultimately a careful description of the scope of the market is important for the
evaluation. Such a description would include not only estimates of direct applications of the innovative technology,
but also, where appropriate, imaginative applications which might be envisioned to emerge during the three-to-five
year period when research and commercialization activities would take place.
One approach for organizing commercialization information would be to describe a set of future circumstances under
which application of the innovation might be realized, while a second approach could focus on defined customer
needs and the proposed product’s ability to meet them. A plausible argument should be constructed about how the
successful Phase I and Phase II research projects would mesh with the anticipated and/or current market needs,
resulting in a highly successful commercial outcome. Either of these approaches could provide a coherent “story
line” which will be useful not only in developing a strategy for commercialization, but also in the sections of the
proposal describing significance, technical approach, research, and participants.
At the Phase I stage, the above questions should serve to direct and help you organize your thinking about the crucial
issues of commercialization. By the time you get to Phase II, your strategy for commercialization should have
evolved to a plan for commercialization with the answers to most of the above questions being well specified. At the
Phase II stage, a comprehensive assessment of the commercial potential of applications of research results based on
the proposing organization’s description of its commercialization plan will take place.
Phase I awardees are encouraged to think early about potential commercial applications of their research with
the same depth and creativity as they devote to the research problem itself. There may be diverse and distinct
applications of the same research, which have excellent commercial potential. By identifying multiple
product/process applications such as those in emerging technology areas, Phase I awardees can identify potential
partners, sources of funding commitments, and new markets. “Market pull” is the factor for successful
commercialization of SBIR projects.
Some of the strategies for commercializing your SBIR results are as follows:
•
•
•
•
•
Finance and do your own R&D, manufacturing, and marketing of the product;
Form a joint venture to do the R&D, manufacturing, and marketing of the product;
Subcontract the manufacturing to a competent company in the field but retain the marketing function;
Enter into a marketing agreement with a third party in the field but retain the manufacturing
function; or
License to other companies for separate markets, geographical areas, specific product lines, or foreign
markets.
An important reference that a small company may use to develop a commercialization plan, is the Business Plan
for Scientists and Engineers offered by:
Dr. Jenny Servo, President
Dawnbreaker, Inc.
2117 Buffalo Road, Suite 193
Rochester, NY 14624
Phone: (716) 264-0510
Fax: (716) 264-0782
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For further discussion, see Section 3.4.1 Phase II Commercialization Plan and Follow-On Funding Commitment(s)
(Appendix 2).
3.1.9
Principal Investigator and Senior Personnel
This section should persuade the reviewers that the Principal Investigator and the senior personnel have the
educational and professional experience to undertake the research effort. The Principal Investigator and senior
personnel must be employees of the small business concern. In addition to presenting the qualifications of the
Principal Investigator, it should identify the senior personnel who are participating in the Phase I research and
describe their qualifications. Provide only relevant biographical information for the Principal Investigator and the
senior personnel on present and past employment, education (highest degree and year), and professional experience.
List only relevant publications and when necessary summarize other contributions to the technical literature not
directly pertinent to this proposal. Note that pages devoted to vitae are included within the 25-page limit on the
proposal.
This section should also establish the eligibility of the Principal Investigator (see Section 1.4.3, Eligibility of the
Principal Investigator). Letters regarding employment releases and certifications of intent shall be required prior
to award and should be included with the proposal.
3.1.10
Consultants and Subawards
A minimum of two-thirds of the research as determined by total budget expenditures must be performed by the
proposing firm during Phase I.
Anticipated consultant services should be justified and information furnished on each individual's expertise, primary
organizational affiliation, normal daily compensation rate, number of days of expected service, and how his or her
efforts will contribute to the project. In addition, proposers must provide a signed statement from each consultant,
whether paid or unpaid, confirming his/her availability and commitment, role in the project, and agreed consulting
rate. Payment for a consultant's services, exclusive of expenses, may not exceed the consultant's normal rate or the
daily maximum rate established annually by NSF, whichever is less. The NSF maximum daily rate, including
expenses, is currently $453 per day.
Include signed statements from consultants which address the availability, time commitment, research role in the
project, and daily rate of the consultant. The number of days on the project may be specified in the consultant’s
statement or by referencing the proposal. Failure to include the statements will result in return of the proposal.
If subawards (including contracts, subcontracts and other arrangements) are used for research, describe the tasks to
be performed and how these are related to the overall project. No significant part of the research or substantive effort
under an NSF grant may be contracted or otherwise transferred to another organization without prior NSF
authorization (this excludes the procurement of items such as commercially available supplies, materials, equipment
or general support services allowable under the grant). The intent to enter into such arrangements should be disclosed
in the proposal.
For each subaward, use a Summary Proposal Budget form (Attachment D), providing detail of subaward costs by cost
category. The subawardee project director and an authorized subaward company representative must sign the
subaward budget form. Also enter the total amount under Subawards (Line G.5) of the budget for the overall
project.
Purchases of analytical or other routine services from commercial sources and the acquisition of fabricated
components from commercial sources are not regarded as reportable subaward activity. Such items -- routine
analytical or other routine services -- should be reported in the Budget (Attachment D) under Other Direct
Costs/Other (Item G.6).
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Include Proposal Budget forms (NSF Form 1030A) signed by both the subawardee project director and company
representative for each subaward. Failure to include subcontract(s) budget form(s) will result in the return of the
proposal.
3.1.11
Equipment, Instrumentation, Computers, and Facilities
Provide a description that specifies significant equipment, instrumentation, computers, and physical facilities
necessary to complete that portion of the research that is to be carried out by the proposing firm in Phase I. Do not
list equipment, instrumentation, computers, and facilities that are not necessary for the proposed project.
If the equipment, instrumentation, computers, and facilities for this research are not the property (owned or leased) of
the proposing firm, include a statement signed by the owner or lessor which affirms the availability of these facilities
for use in the proposed research, reasonable lease or rental costs for their use, and any other associated costs. A
statement confirming the availability of facilities for use necessary for the proposed effort should be submitted with
the proposal.
When purchasing equipment or a product under the SBIR funding agreement, purchase only American-made items
whenever possible.
3.1.12
Equivalent or Overlapping Proposals to Other Federal Agencies
A firm may elect to submit a proposal that contains the same or overlapping work to any other Federal agency.
Generally, overlapping work involves steps in the performance of work on one proposal that would not need to be
repeated to perform the work on the second proposal. Where an equivalent or overlapping proposal has already
been submitted or where one will be submitted in the near future to another Federal Agency, a statement on
Current and Pending Support must be included which provides the following information for each equivalent or
overlapping proposal:
•
•
•
•
•
The name, address and telephone contact of the sponsoring agency to which the proposal was or will be
submitted;
Date of proposal submission;
Title, number, and date of Solicitation under which the proposal was submitted or will be submitted;
Title and performance period of the proposal; and
Name and title of Principal Investigator (person-months (per year) (calendar-months) devoted by any
personnel on the equivalent or overlapping project who overlap with PI and senior personnel on this
proposal)
If no equivalent or overlapping proposals are under consideration, state none.
NSF will not make awards that essentially duplicate research funded (or expected to be funded) by other agencies,
although in some cases NSF may fund portions of work described in an overlapping proposal provided that the
budgets appropriately allocate costs among the various sponsors. If a proposer fails to disclose equivalent or
overlapping proposals as provided in this section, the proposer could be liable for administrative, civil, or criminal
sanctions. If NSF awards funds for research work that duplicates work being funded under an equivalent or
overlapping proposal that was not disclosed as provided in this section, the awardee could also be liable for
administrative, civil, or criminal sanctions.
3.1.13
Current and Pending Support of Principal Investigator and Senior Personnel
In this section, show that the Principal Investigator and senior personnel have the time available to perform the
proposed research during the grant period. The proposal should provide information about all research to which the
Principal Investigator and other senior personnel either have committed time or have planned to commit time (in the
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event that other pending projects are supported during the SBIR Phase I period of performance), whether or not
salary for the person involved is included in the budgets of the various projects. If none, state none.
For all on-going or proposed projects, excluding any proposals cited above in Section 3.1.12, Equivalent or
Overlapping Proposals to other Federal agencies, or proposals that will be submitted in the near future, involving the
Principal Investigator or senior personnel, provide the following information:
•
•
•
Name of sponsoring organization;
Title and performance period of the proposal; and
Person-months (per year) (calendar-months) devoted to the project by the Principal Investigator and each of
the senior personnel.
A Current and Pending Support statement should be included in the proposal at the time of submission.
3.1.14
Summary Proposal Budget (Attachment D)
The NSF SBIR Summary Proposal Budget (Form 1030A) must be used for Phase I (not the standard NSF Budget
Form). Read the Instructions for Use of Summary Proposal Budget on the reverse side of the budget page and
provide the required explanation of budget items. Phase I estimates must be shown in detail on the budget
explanation. The budget must be signed by both the Principal Investigator and an authorized company officer and
may not exceed $100,000 (including a fee of up to 7%) for the Phase I proposal. The budget should reflect the cost
for work to be done only after the effective date of the award. Note that an awardee may not expend funds for any
costs associated with the project before the effective date of the award document signed by the NSF Grants Officer.
List the Principal Investigator and senior personnel by name with their time commitments budgeted in personmonths (in the column headed by "CAL," which is an abbreviation for calendar) (to the nearest tenth of a personmonth) and in dollar amount for the six-month Phase I performance period. During the Phase I award performance
period, the Principal Investigator must commit at least one person-month to the proposed effort.
The reimbursement rates for consultants are a direct cost which cannot exceed the maximum daily rate paid to an
Executive Level IV or equivalent, currently $443 per day. Indicate the number of days proposed per consultant.
Consultant travel should be shown under the travel category. Note, Consultant travel counts toward the one-third
maximum effort not performed by the small business concern.
The budget should indicate in general terms the type of expendable materials and supplies required with their
estimated costs. The breakdown should be more detailed when the cost is substantial, i.e., more than $5,000.
Permanent equipment and foreign travel cannot be included in the Phase I budget. Travel to visit the National
Science Foundation should not be included in the Phase I budget.
Reasonable fees (estimated profit) will be considered under both phases of the Solicitation. The amount of the fee
approved by NSF will not exceed seven percent (7%) of total indirect and direct project costs. Cost sharing is
permitted; however, it is not required nor will it be a factor in the evaluation of a proposal.
Total NSF funding may exceed $100,000 only under the conditions described under Facilitation Awards for
Scientists and Engineers with Disabilities on the last page of this Solicitation.
3.1.15
Prior SBIR Phase II Awards: Company Commercialization History (Attachment N)
Firms that have received one or more SBIR Phase II awards from NSF or other Federal agencies within the past
10 fiscal years (since Oct. 1, 1987, FY88) must submit a report on Company Commercialization History
(Attachment N) as discussed in Section 3.4.2.
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If a firm has not received one or more Phase II awards in the past 10 fiscal years, include a statement to that effect.
Note that required information on prior Phase II Awards will not be counted towards the proposal page count.
Provide this information as an attachment only to the original copy of the proposal.
3.2
Phase II Proposal Preparation Instructions and Requirements
In general, Phase II proposals follow the format of Phase I proposals. While the page and type-size requirements
for the Phase II proposal are the same as those for the Phase I (see Section 3.1, Phase I Proposal Preparation
Instructions and Requirements), the Phase II proposal is limited to a total of 35 consecutively numbered pages
(single- or double-spaced).
The only pages excluded from the page count are:
•
•
•
•
•
•
•
Information About Principal Investigator/Project Directors (NSF Form 1225, Attachment A)
Certification Page (which is the reverse side of the cover page)
Reverse side of the Proposal Budget Page (Instructions for Use of Summary Proposal Budget)
Certificate of Current Cost or Pricing Data
Appendix 1 to the Phase II proposal: Payment Schedule and Project Milestone Chart
Appendix 2 to the Phase II proposal: Indicators of Commercial Potential
Appendix 3 to the Phase II proposal: Company Commercialization History (Attachment N)
The page count includes:
•
•
•
•
•
•
•
•
•
•
•
Cover Page
Project Summary
Table of Contents (if included; not required)
Main Text
References
Vitae or biographical sketches and publication listing appearing under qualification of PI, Senior
Personnel, Consultants, and Subawardees
Publications of project personnel and other listed references
Summary Proposal Budget page for the overall project
Summary Proposal Budget page(s) for subawardee(s)
Details of subawardee effort and letters from subawardees
Other appendices, enclosures, or attachments (such as leasing or rental agreements and letters from
consultants), and the second side of any two-sided page other than those explicitly excluded from the
page count.
Any proprietary information set apart from other text should be on a separate page and keyed to the text by
numbers. It should be confined to those critical items that, if disclosed, could jeopardize the obtaining of foreign or
domestic patents or could reveal trade secrets or commercial or other financial information that could jeopardize
the competitive position of the proposers. (See SBIR Phase II Grant General Conditions, Articles 7 and 8, for
information about rights in technical data and copyrightable material).
3.2.1
Information about Principal Investigator/Project Directors (Attachment A)
Complete one copy of this form and place it preceding the cover page of the original copy of the proposal only.
3.2.2
Phase II Proposal Cover Page (Attachment F-Front) and
Certification Page (Attachment F-Back)
Reference Section 3.1.2. The performance period for Phase II cannot exceed 24 months. The Phase I award
number must be included on the cover page.
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The title of the proposal should be the same as that shown in the Phase I award letter or clearly related to it.
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3.2.3
Small Business Innovation Research
Project Summary (Attachment C)
Complete this form and use it as page 2 for all copies of the proposal. The Project Summary should be a selfcontained description of the project written in a third-person narrative. The summary should begin as follows:
“This Small Business Innovation Research Phase II project . . . .” The summary should include a brief
identification of the problem or opportunity, the research objectives, a description of the research, and the
anticipated results. The last paragraph of the summary should describe the potential commercial applications of
the research. Also, complete the section entitled Key Words. The information on the form should be accurate,
informative to other persons working in the same or related fields, and understandable to a nonspecialist.
In the event of an award, the Project Summary page will become public information. NSF may edit Project
Summary pages before information is released to the public.
3.2.4
Synopsis of Phase I Research Results
Although the Phase I Final Report is made available to NSF Phase II external merit reviewers, you should include
a brief synopsis of the Phase I research results in the Phase II proposal. Limited to no more than 3-4 pages, the
synopsis should summarize the significant research findings of Phase I and include a discussion of background and
technical approach. This section will start page 3 of your proposal (or page 4, if the body of the proposal is
preceded by a table of contents).
Identification and Significance of the Problem or Opportunity. Make a clear summary statement of the specific
problem or opportunity addressed and its importance, including the anticipated benefits to the nation.
With regard to Background and Technical Approach. Describe the overall background and technical approach
to the problem or opportunity and the part that the proposed research plays in attaining results. While a Phase I
proposal also contains a section on review of significant and recent research directly related to the proposed effort
(including any conducted by others in the field, the Principal Investigator, the other personnel at the firm,
consultants, or sub-contractors), you should further demonstrate to reviewers your up-to-date familiarity with
recent, directly related research. For this purpose, review the pertinent scientific literature prior to writing the
proposal. Also, include a concise list of references in this section or at the end of the proposal. These references
may be cited as appropriate throughout the body of your proposal.
In this section, you should take care to highlight the uniqueness/ingenuity of the proposed concept or application as
technological innovation. Significant cost reduction may be an important aspect of technological innovation.
3.2.5
Phase II Research Objectives
In this section, list and explain a few measurable specific objectives to be accomplished in the course of the Phase
II research.
3.2.6
Phase II Research Plan
Provide a detailed description of the Phase II research plan (limited to 15 pages). The Project Milestone Chart is
to be submitted with the Phase II proposal as Appendix 1 to the proposal, and it should reflect the key
accomplishments to be achieved through the Phase II Research Plan. (See Section 3.3.9, Phase II Payment
Schedule and Project Milestone Chart (Appendix 1).) The plan should indicate what research is planned and
how the research will be carried out. The description should include a technical discussion of the proposed
concept, the methods planned to achieve each objective or task, and the sequence of experiments, tests, and
computations involved. It should be linked to the objectives and the questions that the Phase II research effort is
designed to answer.
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If concept feasibility was established in Phase I, discuss the problems or obstacles to be overcome which would
determine whether or not the proposed concept could be refined. Anticipate the questions and concerns that
reviewers may have with regard to your research plan and respond to these issues.
3.2.7
Commercial Potential
This section should summarize the contents of the Phase II Commercialization Plan and Follow-On Funding
Commitment(s) (Appendix 2) as discussed in Section 3.4.1.
3.2.8
Principal Investigator and Senior Personnel
Reference Section 3.1.9.
3.2.9
Consultant and Subaward Agreements
A minimum of one-half of the research and/or analytical effort as determined by budget expenditures must be
performed by the proposing firm during Phase II. For further clarification please reference Section 3.1.10.
3.2.10
Equipment, Instrumentation, Computers, and Facilities
Provide a detailed description of equipment, instrumentation, computers, and facilities necessary to complete that
portion of the research and/or analytical effort that is to be carried out by the proposing firm in Phase II. For
further clarification reference Section 3.1.11.
3.2.11
Equivalent or Overlapping Proposals to Other Federal Agencies
Reference Section 3.1.12.
3.2.12
Current and Pending Support of Principal Investigator and Senior Personnel
Reference Section 3.1.13.
3.2.13
Summary Proposal Budget (Attachment D)
The NSF Summary Proposal Budget page (Form 1030A) must be used for Phase II and it must show information
for the total project. Read the reverse side of the budget page and provide the required explanation of budget items
(see Section 3.3, Phase II Budget Preparation Instructions for further discussion).
3.2.14
Certificate of Current Cost or Pricing Data (Attachment G)
In addition to the explanation of budget items, a Certificate of Current Cost or Pricing Data must be submitted
with the Phase II proposal as Attachment G. (Note, Attachment G does not count in the proposal page count.)
3.2.15
Phase II Proposal Appendices
Each Phase II proposal must be accompanied by three additional components:
•
•
•
Payment Schedule and Project Milestone Chart (Appendix 1);
Commercialization Plan and Follow-On Funding Commitment(s) (Appendix 2); and
Company Commercialization History (Appendix 3).
These appendices are separate attachments to the Phase II proposal and are not counted against the 35-page count
limit. For additional information, please Sections 3.4.1 and 3.4.2, respectively.
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3.3
Small Business Innovation Research
Phase II Proposal Budget Preparation Instructions
The NSF Summary Proposal Budget page (Attachment D) must be used for Phase II. It should indicate financial
information for the entire project. The proposed costs indicated on the proposal budget should be consistent with
the scope of the proposed research effort and must be based on accurate, complete, and current cost or pricing data.
Phase II awards are typically up to $400,0002 and for up to 24 months.
3.3.1
Salaries and Wages.
Research effort is to be estimated in calendar person-months.
3.3.2
Principal Investigator
The commitment of the PI must be for at least 2 months per year. Enter the estimated number of NSF-funded
person-months (not in hours, rounded to the nearest 10th, appropriately in the column headed by “CAL an
abbreviation for calendar person-months).
3.3.3
Key Personnel
Enter the estimated number of NSF-funded person-months (not in hours, rounded to the nearest 10th, appropriately
in the column headed by “CAL”.
3.3.4
Permanent Equipment
Reference Section 2.8. Individual items must be justified in terms of their specific importance to the
proposed research. List permanent equipment on line D of the budget form. Requests should not be made for
routine equipment which a business in the field should be expected to have available.
3.3.5
Consultants
Reference Section 2.2. The proposal must include a signed statement from each consultant confirming
availability and commitment, research role in the project, and agreed consulting rate. The number of days on
the project may be specified in the consultant’s statement or by referencing the proposal. Costs proposed for a
consultant’s services, excluding expenses, may not exceed the NSF maximum daily rate, which is currently $443
per day.
3.3.6
Subawards
Reference Section 2.2. For each research subaward, use a NSF Form 1030A, Summary Proposal Budget form
(Attachment D), and provide details of subaward costs by cost category. An authorized subawardee company
representative must sign the subaward budget form. The total amount of subawards should be shown on Line G.5
of the budget for the overall project. Note a minimum of one-half of the research and/or analytical effort must
be performed by the proposing small business concern.
Purchases of routine analytical or other routine services from commercial sources are not regarded as reportable
subcontract activity. No letter is required for such activity. Routine analytical or other routine services should be
reported on the Proposal Budget under Other Direct Costs/Other (Item G.6) and described on the budget
explanation page.
2
Any Phase I award made prior to1995 (i.e., before the limited windows of opportunity for Phase II were invoked)
is not eligible for $400,000. Only Phase I proposals submitted in June 1996 or later are eligible for $400,000.
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3.3.7
Small Business Innovation Research
Indirect Costs
Indirect costs may be requested. The amount proposed should be based on the application of a substantiated
indirect cost rate (see Section 5.4 Accounting Systems and Indirect Cost Rates).
3.3.8
Fee
Phase II budgets may include a reasonable fee (shown on line K) of up to 7 percent of the total of the direct and
indirect costs for the project. The fee is subject to negotiation with NSF.
3.3.9
Payment Schedule and Project Milestone Chart (Appendix 1)
A payment schedule and project milestone chart are required components for the Phase II proposal. Label this
chart Appendix 1.
Based on the expected utilization of resources and expenditures of funds, if the standard payment schedule as
described in the SBIR Phase II Grant General Conditions, Article 6, is not appropriate, you must provide a list of
the number of payments, the percentage amount of each payment, and a brief justification for the departure from
the standard schedule (see Section 5.3, Payment Schedules, Phase II Payment, for further discussion).
The milestone (Gantt type) chart must show the duration and timing of major component tasks that are required to
implement your research plan. Milestone (^) markings indicating the initiation and completion of tasks should
appear clearly in the 24-month time line and in relation to other tasks.
In an attachment to the chart, briefly define each task in terms of how it contributes to the research plan, and
describe each milestone event in terms of a concrete accomplishment that marks significant technical progress
towards your proposed research objectives.
A sample of a Phase II Proposal milestone chart is shown below for purposes of illustration:
Project Milestone Chart
Task 1
Task 2
Task 3
Task 4
^_______________^ Task Name
^_____________________________^Task Name
^______________________^Task Name
^_____________^Task Name
Months Effort:
(List by Name:)
Key Personnel
Consultant(s)
Subcontract(s)
6
12
18
24
Cumulative
_______
_______
_______
_______
_______
_______
_______
_______
_______
_______
_______
_______
_______
_______
_______
Estimated
Expenditures
(List by Name)
Key Personnel
Consultant(s)
Subcontract(s)
Perm. Equip.
Other
Total
_______
_______
_______
_______
_______
_______
_______
_______
_______
_______
_______
_______
_______
_______
_______
_______
_______
_______
_______
_______
_______
_______
_______
_______
_______
_______
_______
________
________
________
Narrative: Attach brief description of each task; Other includes indirect costs, materials, travel, etc. *Note, payments are tied to technical progress; see
Section 5.3.2 Payment Schedules, Phase II Payment.
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Semi-Annual Key Resource Expenditures. For each 6-month period, enter certain key resource expenditures
charged against the grant milestones. These resources are defined as follows:
•
•
•
1.
2.
Levels of effort (in person-months) by the PI and/or key personnel during a 6-month period.
Levels of effort by Consultants and/or Subawardees during a 6-month period.
Permanent equipment and/or major purchases of supplies during a 6-month period.
IMPORTANT TO REMEMBER:
When each progress report is made, fill in milestone chart to show actual expenditures; always include a brief
description of each task. Make each successive chart cumulative.
By the end of the project, it will be possible to easily compare the full array of actual to expected expenditures.
3.4
Commercialization Documentation
The SBIR Program is designed to provide incentives for the conversion of Federally sponsored research to
technological innovation and commercial application. This research can serve as both a technical and pre-venture
capital basis for ideas that may have commercial potential. Proposers are asked to demonstrate that the research they
are proposing to NSF has commercial possibilities either for the proposed application and/or for other applications.
Phase II is intended to lead to Phase III, the pursuance of commercial application of the Phase II project. To insure
that the SBIR Program mission to increase private sector commercialization of Federal R&D innovations is
accomplished, Phase II proposal offerors must submit a Commercialization Plan and Follow-On Funding
Commitment(s), as well as a Company Commercialization History. These documents must be submitted as two
separate appendices to each Phase II proposal as discussed below.
3.4.1
Commercialization Plan and Follow-On Funding Commitment(s) (Appendix 2)
A Commercialization Plan must, and a Follow-on Funding Commitment should, be included as a separate
attachment to the Phase II proposal and referred to as Appendix 2.
The Commercialization Plan should provide information directly related to producing an innovative product,
process, or device and getting it into commercial production and sales; such a plan is often useful in obtaining
Phase II or Phase III follow-on funding commitments. Comprehensive business plans (that are company rather
than project-oriented) are not desired by NSF.
Indicators of commercial potential must be presented and should include (1) a clear identification of potential
customers and their needs which define the market pull as well as other indicators of commercial potential; (2)
the existence of acceptable funding commitments from the private sector or non-SBIR funding sources for
supplementing the Phase II research; and (3) the existence of acceptable follow-on-funding commitments from
the private sector or non-SBIR funding sources; and the small business’ history of success in commercializing
SBIR research. (NOTE: The company commercialization history is a narrative to be distinguished from the
Company Commercialization History – Attachment N, Appendix 3.) The Plan should include concise paragraphs
on each of the following areas:
•
Company - Brief description of your company including its principal field(s) of interest, present size
(annual sales level and number of employees), and any current products that have had significant sales.
•
SBIR Project - A concise lay description of the proposed project and its key technology objectives.
•
Commercial Applications - Potential commercial applications of the research results specifying
customers and the specific needs which will be satisfied by the technology, particularly those applications
with the greatest near term potential.
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•
Patent Status – Do you have or intend to file for one or more patents as a result of the SBIR project?
•
Innovation - What is particularly innovative about the anticipated technology or products? (Innovation
may be expressed in terms of applications, performance, technique efficiencies, or significantly reduced
cost.)
•
Competitive Advantages - What significant advantages in application, performance, technique,
efficiency, or costs, do you anticipate your new technology will have over existing technology?
•
Markets - What are the anticipated specific markets for the resulting technology, their estimated size,
classes of customers, and your estimated market share five years after the Phase II project is completed
and/or after the first sales?
•
Competition - Who are the major competitors in these markets, present and/or anticipated?
•
Production Plan - Briefly describe how you plan to produce your product. Do you intend to manufacture
it yourself, subcontract the manufacturing, enter into a joint venture or manufacturing agreement, license
the product, etc.? And when do you anticipate doing so? (With high technology products, early market
entrance is often critical to success.)
•
Marketing Plan - Briefly describe the approach and steps you plan to take in commercializing the
research results from the end of Phase II to significant sales. Do you plan to market the product yourself,
through dealers, contract sales, marketing agreements, a joint venture, sales representatives, foreign
companies, etc.?
•
Financing Plan - Briefly describe your plan to raise money to support your commercialization plan after
Phase II.
Follow-On Funding Commitment(s). At the end of the NSF SBIR Phase II funding, non-federal funding will
almost always be required to commercialize the results. In order to demonstrate a prior commitment to
commercialization, the small business is encouraged to provide its own commitment or to obtain a commitment for
follow-on Phase III funding from a third party. SBIR grantees are often able to interest potential partners in
investing using their Phase I results, the identification of the innovation, and the prospective competitive advantage
as shown in their Commercialization Plans.
If a partner commits funds during the SBIR Phase II period, these funds can be targeted to expand the scope of the
research, shorten the developmental cycle, conduct market research, formulate business plans, obtain intellectual
property protection, seek strategic business partners, and follow other creative avenues as long as the connection to
SBIR Phase II is clearly maintained. To document this support a separate signed budget detailing the planned
expenditures of the non-federal SBIR funds must be provided. No minimum amount is stipulated to encourage this
early risk sharing of non-federal partners. See Attachment H, Suggested Formats for Follow-On Funding
Commitments, for sample commitment letters.
The commitment agreement may be from any of a number of different sources. These sources include the SBIR
firm itself; private investors, venture capital firms, investment companies, joint ventures, R&D limited
partnerships, and strategic alliances. They also include research contracts; sales of prototypes; a recent public
offering; state finance programs; large, medium or small industrial firms with demonstrated financial ability;
existing investors; and multiple smaller (consortium type) commitments -- such as $25,000 for each of two years by
4-5 firms; or some combination of these sources. Phase III also may involve non SBIR-funded R&D or production
commitments with another Federal agency for potential products or processes intended for use by the United States
Government.
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To receive credit for having obtained a follow-on funding commitment in the Phase II proposal evaluation
process, a signed contingent commitment between the small business and a non-SBIR third party of its own
choice is required.
A few clearly defined and measurable key technical objectives should be stated in the commitment agreement
including indication of the threshold level that would justify private investment, if those technical objectives were
achieved in Phase II. The objectives do not have to be the same as those stated in the proposal, but they must be
attainable within the scope of the proposed Government-funded research.
The commitment agreement should set forth the specific amount of Phase III funds that will be made available to the
small firm and indicate the dates the funds will be provided. The commitment may be contingent upon: (1) the
receipt of a Phase II award; (2) Phase II achieving a few stated key technical objectives; (3) the resulting technology
not being bypassed in the marketplace during Phase II; and (4) the technology appearing to be economically viable.
If these objectives are met, the commitment should become exercisable and the Phase III funding should take place.
The terms cannot be contingent upon the obtaining of a patent due to the length of time this process requires. If a
commitment is obtained from a foreign source, it must state that production for the U.S. market will be carried
out in the U.S.
The commitment should be consistent with the terms outlined above and should be for a minimum of $400,000.
Section 4.3.1 discusses Evaluation of Follow-On Funding Commitment(s) and Commercialization Plan.
3.4.1.1 Non-Federal Phase II Funding Support
As discussed in Section, 3.2.7, Commercial Potential, NSF recommends starting early in seeking non-federal
funding. Browsing the World Wide Web (www) on the internet could be one starting point. The Small Business
Administration (SBA) is an excellent resource; their web address is: http://www.sbaonline.sba.gov. The SBA has
an internet service that matches entrepreneurs with “angel” investors. The internet address is:
http://www.accelerate.uci.edu.
To acquire directories of venture capital companies, contact one or both of the following associations:
National Venture Capital Association
1655 N. Ft. Myer Drive, #700
Arlington, VA 22209
(703) 351-5269
National Association of Small
Business Investment Companies
1199 No. Fairfax Street, Suite 200
Alexandria, VA 22314
(703) 683-1601
To obtain a list of large industrial companies that have indicated an interest in SBIR companies in specific areas,
you may contact:
Commercialization Matching System
SBA-SBIR
409 Third Street, S. W., 8th Floor
Washington, DC 20416
(202) 205-6450
Information on state agencies and programs that provide assistance to SBIR companies is contained in the BMDO
SBIR Outreach Notebook, Ballistic Missile Defense Organization, (updated annually); it may be obtained from
BMDO by calling 1-800-937-3150. Some of the state economic development organizations that can be contacted
are as follows: The Ben Franklin Partnership Program in Pennsylvania; Connecticut Innovations, Inc.; the
Massachusetts Technology Development Corporation; and the Utah Technology Finance Corporation.
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Commercialization assistance can often be obtained from many sources, such as trade journals; conferences;
consultants; venture capitalists; patent lawyers; some Small Business Development Centers (SBDCs); some Small
Business Administration Service Core of Retired Executives (SBA SCORE) personnel; the Kaufman Foundation;
and the various MIT Enterprise Forums.
Many relevant books are available, such as High Tech Ventures, by Gordon Bell, Addison-Wesley, 1991; Crossing
the Chasm, Geoffrey Moore, Harper Business, 1995; New Venture Experience, Karl Vesper, Vector Books, 1995;
Start Up, Jerry Kaplan, Viking Penguin, 1996; The Successful Business Plan: Secrets and Strategies, by Rhonda
Abrams, Oasis, 1993; and others.
3.4.2
Company Commercialization History (Appendix 3)
All Phase II proposals must be accompanied by a completed Company Commercialization History form (see
Attachment N). Proposing small businesses which have prior NSF or other federal agency SBIR support must
indicate the number of SBIR Phase I and Phase II awards that they have received and summarize the
commercialization status of each award. This listing should be submitted as a separate attachment and labeled as
Appendix 3.
•
•
•
•
•
•
•
•
Name of awarding agency;
Date of award;
Funding agreement number;
Topic or subtopic;
Title and Principal Investigator;
Funding agreement amount;
Follow-on amount; and
Source and date of commitment and commercialization status.
For firms with previous SBIR awards, information on those awards will be considered and evaluated in the merit
review process.
Commercialization of SBIR results or a return on the investment of federal funds is a key consideration in award
decisions.
4.0
METHOD OF SELECTION AND EVALUATION CRITERIA
4.1
Administrative Screening
Proposals will be screened to determine responsiveness to the specific requirements of the Solicitation. NSF will
review each proposal to determine that it satisfies all administrative requirements, described on the “STOP” page
preceding the proposal checklist. Proposers are advised that failure to satisfy any one of these administrative
requirements will render a proposal nonresponsive to this Solicitation. Nonresponsive proposals will be returned to
the proposer without further consideration.
4.2
Technical Screening
The following technical screening criteria will be applied to proposals. If the answer to any of the questions below is
“NO”, the proposal will be returned to the proposer without further consideration.
•
•
•
Does the proposal provide sufficient technical substance to enable review?
Does the proposal fall within the scope of the topic/subtopic as delineated in the topic/subtopic description?
Is appropriate research proposed in science, engineering or education?
The proposal will be returned if the research proposed is for any of the following purposes:
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•
•
•
Small Business Innovation Research
Weapons research;
Biomedical research (except bioengineering research , as discussed in Section 2.2, Program Purposes); or
Classified research
The proposal will also be returned if it is principally for demonstration, technical assistance, literature survey or
market research. Patent application and patent litigation costs are not supported under SBIR awards.
Proposals that are found to be responsive to this Solicitation will be competitively evaluated in a process of external
merit review by scientists, engineers, or educators knowledgeable in the appropriate fields and by individuals familiar
with commercial product development. Most reviewers are employed by universities or by the Federal Government.
Others may be employees of nonprofit research laboratories, recent retirees from industrial firms, and, on occasion,
employees of industrial organizations, including small business concerns. In all instances, proposals will be handled
on a confidential basis and care taken to avoid conflicts of interest. Evaluations will be confidential to NSF, to the
proposed Principal Investigator, and to the submitting small business concern, to the extent permitted by law.
Normally, more proposals will be found technically meritorious than can be supported. Evaluations by external
reviewers are advisory to the cognizant program officer for the topic or subtopic, who makes recommendations on
each proposal. Other factors that may enter into consideration include the following: the balance among NSF
programs; past commercialization efforts by the firm where previous awards exist; excessive concentration of awards
in one firm or with one principal investigator; participation by women-owned and socially and economically
disadvantaged small business concerns; distribution of awards across the States; importance to science or society; and
critical technology areas. The SBIR Program then makes its recommendations for awards to the Division of Grants
and Agreements (DGA).
4.3
Selection and Criteria
In the merit review process, reviewers will consider the following criteria:
Criterion 1. What is the intellectual merit of the proposed activity? This criterion addresses the overall quality of
the proposed activity to advance science and engineering through research and education.
• How important is the proposed innovation to advancing scientific and engineering knowledge and
understanding?
• Is the proposed plan a sound approach for establishing technical and commercial feasibility?
• To what extent does the proposal suggest and explore unique or ingenious concepts or applications?
• What will be the significant contribution of the project to the research and knowledge base of the field?
• Is there sufficient access to resources (equipment, facilities, etc.)?
• How well qualified is the team (the Principal Investigator, other key staff, consultants, and
subawardees) to conduct the proposed activity?
• For Phase II proposals: As a result of Phase I, did the firm succeed in providing a solid foundation for
the proposed Phase II activity?
Criterion 2. What are the broader impacts of the proposed activity? This criterion addresses the overall impact of the
proposed activity.
•
•
•
•
•
What is the potential use of the product or process developed in the project to advance NSF goals in
research and education?
What may be the commercial and societal benefits of the proposed activity?
Does the proposal lead to enabling technologies (instrumentation, software, etc.) for further discoveries?
How well does the proposed activity broaden the participation of underrepresented groups (e.g. gender,
ethnicity, disability, geography, etc.)?
Does the outcome of the proposed activity lead to a marketable product or process?
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•
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Evaluate the competitive advantage of this technology vs. alternate technologies that can meet the
market needs.
How well is the proposed activity positioned to attract further funding from non-SBIR sources once the
SBIR project ends?
NSF considers that commercial potential can probably be best demonstrated by the small business concern’s
record of commercializing SBIR or other research, and the existence of acceptable third-phase follow-on
funding commitments from private sector or non-SBIR funding sources. NSF will recognize the distinct issues
faced by a start-up or young company, which does not have a track record as compared to an older, more seasoned
operation. NSF also recognizes issues such as a company’s ability to retain control over the products, processes, or
techniques that can ultimately be developed as a result of research. However, it is incumbent upon the proposer
to make a persuasive case for a significant probability of commercial success.
Elaboration of what NSF considers to be an indicator of a strong Commercial Plan and evidence of an acceptable
Phase II follow-on funding commitment is described in Section 3.4.1, Phase II Commercialization Plan and
Follow-On Funding Commitment(s).
4.3.1
Evaluation of Follow-On Funding Commitment(s) and Commercialization Plan
In order to succeed in the SBIR Program, the small business must convert the research results into innovative,
competitive technology. A top-notch management team is obviously a necessary requirement for this part of the
process. The commercialization plan and the follow-on funding commitment play a key role in NSF’s evaluation.
Follow-on funding commitments are central to NSF’s evaluation of commercial potential of a project. The small
business must provide:
•
A signed contingent commitment for self-funding (if the company can demonstrate a net worth greater
than $1 million, documentation may be required); or
•
A signed contingent commitment between the small business and a third party of its own choice
(documentation from the third party partner may be required).
4.3.1.1 Conditions of Follow-On Funding Commitments
A major condition for the provision of additional investment to an innovation is in the achievement of research
results indicating that the technology is likely to be successfully implemented. A few clearly defined and
measurable technical objectives should be stated in the commitment agreement which, if achieved in Phase III
would justify private investment. The objectives do not have to be the same as those stated in the proposal, but they
must be attainable within the scope of the proposed government-funded research.
The commitment agreement should set forth the specific amount of Phase III funds that will be made available to
the small company and indicate the dates on which the funds will be provided. NSF expects a minimum
commitment of $400,000 for Phase III. The commitment may be contingent upon:
•
•
•
•
Receipt of the Phase II award;
Phase II achieving a few stated key technical objectives, which are agreed upon between the company and
the prospective third party provider;
The resulting technology not being bypassed in the marketplace during Phase II; and
The potential technology continuing to appear economically viable at the end of Phase II.
If these objectives are met, the Phase III funding should take place. The terms cannot be contingent upon the
grantee obtaining a patent because of the length of time this process requires. Reference Section 3.4.1.
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The commitments usually must be in the form of money to the SBIR company. Commitments for a third party to
spend the money directly or to provide in-kind services are not acceptable. However, instruments, computers,
software, equipment, etc., at fair market value to the SBIR company are acceptable. Commitments must be in
writing and signed by authorized officials of both the SBIR company and the organization providing the
commitment.
Each follow-on funding commitment involving a third party should contain the following certification: “The
undersigned certify that they agree to this funding commitment and that this information will be used by NSF
in evaluating the commercial potential of the company’s innovation and, therefore, that information will be a
significant factor in determining whether the SBIR Phase II proposal will be funded. They further understand
that willfully making a false statement or concealing a material fact in this commitment or any other
communication submitted to the NSF is a criminal offense.” (U.S. Code, Title 18, Section 1001)
A number of companies have requested a sample follow-on funding commitment letter. Although commitments
are highly case dependent, two suggested formats solely for guidance purposes may be found in Appendix H. One
is for investment in your company, and one is for licensing to others. (Investment commitments are normally for
the SBIR company to pursue commercialization itself, including product development, manufacturing, and
marketing with private or venture capital investments from a third party). We suggest you involve your lawyer in
any final agreement.
4.4
Debriefing of Unsuccessful Offerors
When an award or declination is made, verbatim copies of reviews, excluding the names of the reviewers; summaries
of review panel deliberations, if any; a description of the process by which the proposal was reviewed; and the context
of the decision (such as the number of proposals and award recommendations, and information about budget
availability) are mailed to the Principal Investigator. The company officer/organization representative is also
notified, but that individual only receives information as to whether an award or a declination was made.
Phase I proposals that have been declined or returned by NSF are not eligible for reconsideration under the same
program Solicitation; however, they can be resubmitted after suitable revision, under subsequent Solicitations.
Phase II proposals that have been declined are not eligible for resubmission.
5.0
OTHER CONSIDERATIONS
5.1
Awards
Both Phase I and Phase II awards are subject to the availability of NSF Funds. NSF anticipates that it will make
approximately 200 Phase I fixed-price grants of up to $100,000 each. Awards are for a six (6)-month period of
performance, usually January 1 - June 30, 1998. All grant funds must be used for research-related purposes.
Typically, approximately one-third of those grantees who receive Phase I awards will apply for Phase II awards. The
Phase II fixed-price grants typically will not exceed $400,000 per award. Awards normally will be made for a 24month period of performance.
Reasonable fees for profit will be considered under both phases of the solicitation. Cost-sharing is permitted;
however, it is not required, nor will it be a factor in the evaluation of a proposal.
Prior to making an award, the Foundation may require certain organizational, managerial, and financial information
for various administrative purposes. If a proposal is seriously being considered for Phase II funding, a preaward budget review will be conducted by NSF. The submitting small business concern will be requested at that
time to provide documentation which supports the costs proposed. This information should be returned to the
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requesting office as expeditiously as possible (see Section 5.4.2, Certification of Current Cost or Pricing Data
Supporting Documentation Requirements, for specific documentation requirements).
NSF is not responsible for any expenditures made by the offeror before award of any contract resulting from this
Solicitation.
After a Phase II proposal has been recommended for award by the SBIR Program Office, approximately 6090 days will be required for processing by the Division of Grants and Agreements and the Division of
Contracts, Policy, and Oversight, Cost Analysis and Audit Resolution Branch (CAARB).
5.2
Reporting Requirements
Phase I grantees must submit a Final Report; Phase II grantees submit progress reports as discussed below. Both
Phase I and Phase II Final Reports must carry the following acknowledgment and disclaimer on the cover page:
"This material is based upon work supported by the National Science Foundation under award number
____________. Any opinions, findings, and conclusions or recommendations expressed in this publication are
those of the author(s) and do not necessarily reflect the views of the National Science Foundation."
Acknowledgment of NSF support and the disclaimer also must appear in publications of any materials whether
copyrighted or not, including software, product literature accompanying sales, and any written material about the
product, technique, or process, based on, or developed under, NSF-supported projects. The disclaimer may be
omitted from any articles or papers published in scientific, technical, or professional journals.
All reports should be sent to the following address:
National Science Foundation
Small Business Innovation Research Program
4201 Wilson Blvd., Room 550
Arlington, VA 22230
Attn: <Name of Report>
5.2.1
Phase I Reporting
The Phase I Final Report and the Form 98A fulfill the two NSF reporting requirements for a Phase I grant. They
should be submitted by the 15th day of the month following the end of the Phase I six-month grant performance
period.
Phase I Final Report. Twelve (12) copies of a comprehensive Phase I Final Report, not to exceed 30 pages in
length, must be submitted by the 15th day of the month following the end of the Phase I six-month grant performance
period. Begin the final report with a verbatim statement of Phase I objectives from the proposal followed by a
summary description of the research carried out, the research findings or results, and the potential commercial
applications of the research. The balance of the report should then describe in detail these same topics as well as the
problems addressed and estimate of technical feasibility.
The Phase I Final Report, including technical data, may be made available to the public except for that portion of
the report containing technical data properly identified and marked as set forth in Section 5.5, Treatment and
Protection of Proposal Information. To the extent permitted by law, except for evaluation purposes, the
Government will not release properly identified and marked technical data outside the Government without the
approval of the grantee for a period of four years from the expiration of a Phase II grant or from the expiration of the
Phase I grant, when no Phase II award is made. The Phase I Final Report will be sent by NSF to the National
Technical Information Service (NTIS) four years following expiration of the Phase II grant or four years from the
expiration of the Phase I grant when no Phase II award is made.
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NSF Form 98A must be submitted to NSF at the same time as the Phase I Final Report. A Phase II proposal cannot
be processed for an award until the Phase I Final Report and the Form 98A have been received from the grantee
and accepted by NSF. Part II of Form 98A will be made available to the public. Therefore, do not include in your
summary in Part II of Form 98A any proprietary information or any technical data developed under the grant.
5.2.2
Phase II Reporting
Phase II grantees must submit Semi-Annual Progress Reports. In addition the Phase II Final Report (two copies),
NSF Form 98A (one copy) and the Commercialization Report (see below) must be submitted together no later than 90
days following the expiration of the grant. Final payments will not be made and pending or future proposals will not
be processed until these reports are received and accepted by NSF.
Semi-Annual Progress Reports showing the results of your efforts under Phase II grants are a requirement and
must be submitted using the SBIR Phase II Report Cover Page (Attachment I). The report is typically 3-5 pages in
length. (In addition, see the SBIR Phase II General Grant Conditions, Article 5). These reports provide
information, which justifies progress payments. Inadequate content, format or time expenditure details will delay
approval of progress payments.
Under the standard payment schedule for a 24-month grant, one report is required within one month after the end
of each respective progress period. The SBIR Phase II Progress Reporting Format can be found in Attachment J.
Each semi-annual progress report is required to contain an updated Project Milestone Chart as discussed in Section
3.3.9. Each chart should reflect the cumulative effort and expenditures. In addition to an updated milestone chart,
these reports must include an attachment providing details about progress and/or completion of approved
milestones.
In addition to providing a full technical report, not to exceed 35 pages in length, the Phase II Final Report shows
the actual effort and expenditures (for the same items that appeared in the progress reports) for the entire twoyear period of performance. State the Phase II objectives from the Phase II proposal followed by (1) a summary
description of the research carried out; (2) the extent to which the stated Phase II objectives were met (including
any commercial prototype products, processes or devices that were produced); (3) identified markets for the
research findings or results obtained; (4) problems remaining or unfulfilled research objectives; 5) the potential
commercial applications as a result of achieved research findings; and (6) a highlighting of any surprising
information or events that affected the project. All final reports must carry the acknowledgment found on the
cover page (see Section 5.2.1, Phase I Reporting).
Four years following expiration of the Phase II grant, the Phase II Final Report will be sent by NSF to the National
Technical Information Service (NTIS).
A Commercialization Report is a requirement of all Phase II grantees as part of the Phase II Final Report
package. Provide a commercialization report covering the entire grant performance period. It is also required that
a grantee continue reporting commercial results for up to 5 years after the award period ends. Two copies of the
report should be submitted under the same cover with the Phase II Final Report and the NSF Form 98A. The
commercialization report will cover the amount and type of continuing investment obtained to pursue
commercialization and any products, sales, royalties, patents, or spin-offs attributable to the SBIR project, as well
as changes in the company’s employment levels. The purpose of this report is to help assess the extent of the
commercial application derived from SBIR-supported research. There is particular interest in whether or not the
original follow-on funding commitment was/will be honored and/or whether additional and/or alternative
agreements have been put in place. (For further information or clarification contact the cognizant SBIR Program
Officer named in the Phase II award letter.)
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5.3
Small Business Innovation Research
Payment Schedules
5.3.1
Phase I Payment
No invoices are necessary under Phase I grants. Phase I payments will be made as follows: one-third approximately
3-4 weeks after the effective date of the award, one-third three months later, and the remainder upon acceptance of a
satisfactory Phase I Final Report by NSF. The first two payments are automatic. The final payment will only be
processed upon acceptance of the Phase I Final Report and the NSF Form 98A
5.3.2
Phase II Payment
Unless otherwise stated in the grant letter, payments will be made by NSF as follows:
•
Twenty-five percent (25%) advance payment will be made upon receipt of an SBIR Award Request
for Initial Payment Form;
•
Twenty percent (20%) upon acceptance by NSF of the first semi-annual progress report (usually about
the 6th month of the grant performance period);
•
Twenty percent (20%) upon acceptance by NSF of the second semi-annual progress report (usually
about the12th month of the grant performance period);
•
Twenty percent (20%) upon acceptance by NSF of the third semi-annual progress report (usually
about the18th month of the grant performance period); and
•
The remaining fifteen (15%) will be paid upon acceptance by NSF of the SBIR Phase II Final Report,
NSF Form 98A, and the Commercialization Report.
(See the SBIR Phase II General Grant Conditions, Articles 5 and 6).
5.4
Accounting Systems
Organizations receiving grant awards are required to have an adequate accounting system. Adequate accounting
systems provide assurances to the Federal Government that organizations can account for expenditure of federal
funds in accordance with applicable regulations, and terms and conditions of the award. At the very minimum,
adequate accounting systems provide for:
•
•
•
•
•
Detailed budget preparation with proposed costs based on actual historical cost data;
Identification of costs (budgeted costs and actual expenses) by project/grant;
Identification of costs as direct, indirect, and unallowable;
Complete and accurate financial reports (including balance sheets and income statements); and
Maintenance of adequate source documentation (purchase orders, invoices, canceled checks, etc.).
If the SBIR Program is considering a Phase II proposal for award, the proposing small firm will be required to
support the existence of an adequate accounting system. If an organization has been audited by Defense Contract
Audit Agency (DCAA), or has been audited by another Federal Agency, the organization should provide a copy of
the review and/or audit report resulting from the audit or review.
All firms should complete and provide a copy of the Information Concerning Financial Management Systems
form, (Attachment K). This form will be reviewed by the Cost Analysis and Audit Resolution Branch. Possible
accounting system deficiencies, and suggestions for correcting deficiencies, will be discussed with the submitting
organization.
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CAARB will not request submission of Information Concerning Financial Management Systems, or make
recommendations for correcting deficiencies unless the SBIR Program has indicated that a proposal is seriously
being considered for award.
5.4.1
Time and Effort Reporting
Time and effort records must be maintained for an organization’s employees so that salary charges to a grant can
be adequately supported. (See Article 5 of the SBIR Phase II Grant General Conditions.) An adequate time and
effort record contains the following information: (1) the name and signature of the employee; (2) the hours an
employee worked each day during a given pay period; (3) the activities of the employee during the pay period (i.e.,
project, general and administrative, vacation, sick, leave without pay, etc.); and, (4) the name and signature of the
employee’s supervisor.
Corrections to a time and effort record should be in ink and initialed by the employee.
Organizations should provide a copy of their time and effort record as an attachment to the “Information
Concerning Financial Management System” form. The following sample timesheet is provided to assist you in
creating a time and effort record form should your organization not currently maintain these records.
Bi-Monthly Time
Record
Employee Name ____________________
Employee Signature ______________________
Supervisor Name ____________________
Supervisor Signature ______________________
Month:
Project:
16
17
18
19
20
21
22
23
24
25 26
27
28
29
30
31
Total
Holiday
Vacation
Sick leave
Other:
Total
Note: Corrections should be made in ink and initialed by employee.
5.4.2
Certification of Current Cost Or Pricing Data
If a proposal is seriously being considered for funding, a pre-award budget review will be conducted by NSF.
The submitting small business concern will be requested at that time to provide documentation which supports the
costs proposed. (See below, for specific documentation requirements.) Subsequent to this review, but prior to NSF
making an award, the small business concern will be required to submit a second Certificate of Current Cost or
Pricing Data (Attachment G), certifying that the supporting documentation submitted is based on accurate,
complete, and current cost and pricing data.
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Under each budget category below the cost/pricing data which will be requested for each cost category is shown. It
should be noted that proposed costs which cannot be supported by adequate cost/pricing data will not be
funded and will result in a reduction in the requested amount of funding.
It should also be noted that unallowable costs will not be funded (either as direct costs or as part of the indirect cost
rate). Examples of unallowable costs are as follows: advertising (except when related to employment), bad debt,
contributions, donations, entertainment, fines, penalties, independent research and development, interest, lobbying,
losses on other contracts, pre-award costs, and Federal income taxes. More information on unallowable costs can
be found in Subpart 31.2 of the Code of Federal Regulations Title 48, Federal Acquisition Regulations (FAR),
Chapter 1 (Parts 1 though 51) which can be obtained by contacting the Government Printing Office at: (202) 5121800 or at http://www.arnet.gov/far
5.4.2.1 Current Cost Or Pricing
Requirements
Data Supporting Documentation
Salaries and Wages - (1) For each named individual who is presently employed by the organization, provide prior
year’s W-2 and/or current payroll register documenting current pay rate. (2) For each named individual who is not
presently employed by the organization, provide an employment agreement stating the rate of payment and also a
statement setting forth the organization’s considerations in determining the rate of pay offered. (3) For positions
where specific individuals have not been named, provide an explanation of how the rates were determined and any
related documentation (i.e., W-2 of an individual presently employed by the organization in the same or in a
similar position).
Fringe Benefits - If fringe benefits are not included in the indirect cost rate(s) and are instead proposed as a direct
cost item, provide the categories of costs (FICA, health benefits, etc.) included and the related amounts.
Permanent Equipment - Permanent equipment is defined as an item of nonexpendable, tangible personal
property, having a useful life of more than one year and an acquisition cost of $5,000 (five thousand) or more per
unit. For each item, provide cost data from three sources which can be in the form of written quotations and/or
copies of pricing information contained in catalogues, trade journals, etc. In situations where equipment can only
be provided by one specific source provide a sole source justification and a written quote from this source.
Travel - Provide an itemization of travel which should include the destination, purpose of travel, number of days
in travel status, and the estimated costs for items included in the amount (airfare, cab fare, car rental, per diem
rates, hotel, and other incidentals).
Materials and Supplies - Provide an itemized listing of all items included in the proposed amount. (Additional
supporting documentation could be requested when determined to be appropriate.)
Publication Costs/Documentation/Dissemination - Provide an explanation of items included in this amount and
the per item cost (e.g., the estimated number of pages and the per page cost).
Consultant Services - For each consultant, provide an agreement which includes the following information: (1)
the services to be provided; (2) the period of performance and the consultant’s availability; (3) the qualifications of
the consultant to perform the work; and (4) the rate of pay. It will also be necessary to provide evidence that the
consultant was chosen using a competitive selection process, in the form of other quotations for the same services,
or a sole source justification where services cannot be provided by other consultants.
Subawards - For each subaward agreement, provide a subaward which includes the following information: (1) the
services to be provided, the names of individuals expected to perform the work, and the expected level of effort for
each individual; (2) cost information broken out by cost category (salaries, fringe, travel, equipment, materials and
supplies, indirect costs, etc.). The organization will be requested to provide evidence that the subawardee was
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chosen using a competitive selection process, in the form of quotations for the same services, or a sole source
justification where services cannot be provided by other subawardees.
Indirect Costs - Provide a current indirect cost rate agreement negotiated by a Federal Agency. In the absence of a
current negotiated rate agreement, provide an indirect cost proposal and the related financial statements (income
statement and balance sheet) for the two most recently completed annual accounting fiscal periods. If an
organization has not had financial activity for these periods, indirect cost proposals should be based on what
activities the organization expects during the proposed award period. (See sample indirect cost proposal contained in
Attachment L). Questions relating to the indirect cost rate should be addressed to the Cost Analysis and Audit
Resolution Branch (CAARB) of the NSF Division of Contracts, Policy, and Oversight at (703) 306-1244.
5.5
Treatment and Protection of Proposal Information
Proposals may contain proprietary information. However, proposers should limit proprietary information to that
deemed essential to include for proper evaluation of the proposal. Proprietary information may be included in the
body of the proposal or set apart from other text. Proprietary information submitted to NSF will be treated in
confidence to the extent permitted by law if it is clearly identified, by sentence or paragraph in the proposal text, or
on a separate page. Any proprietary information included in the body of the proposal must be clearly marked,
by sentence or paragraph, as proprietary. Any proprietary information set apart from other text should be on a
separate page and keyed to the text by numbers. Proposers should be selective and confine proprietary information to
those critical items that, if disclosed, could jeopardize the obtaining of foreign or domestic patents or could reveal
trade secrets or commercial or other financial information that could jeopardize the competitive position of the
proposers. (Reference Attachment 0 and P.)
Without assuming any liability for inadvertent disclosure, NSF will limit dissemination of properly marked
information to its employees, and, as necessary for the evaluation of the proposal, to outside reviewers on a
confidential basis. However, proposals or reports that attempt to restrict dissemination of large amounts of
information may be found unacceptable by NSF and may result in return of the proposal.
Phase II proposals and Phase I Final Reports may also contain technical data developed under the Phase I grant. The
grantee must properly identify and mark such technical data as described in Section 5.6, Rights in Data Developed
under SBIR Grants.
Information contained in unsuccessful proposals will remain the property of the proposer, but NSF will retain file
copies of all proposals. Public release of information in any proposal or report delivered under a grant will be subject
to existing statutory and regulatory requirements
Because Final Reports by the Principal Investigator will be made available to the public, such reports should contain
no restrictive language purporting to limit their use, except for technical data described below (see Section 5.2
Reporting Requirements).
5.6
Rights in Data Developed Under SBIR Contracts
The grantee may retain rights in technical data, including software, developed under the NSF grant, except that the
Government shall have the right to use such data for governmental purposes. Final Reports delivered under the
grant, including technical data, may be made available to the public by the Government except for that portion of the
report containing technical data properly identified and marked as set forth below.
To the extent permitted by law, the Government will not release properly identified and marked technical data, such
as data relating to an invention or software, outside the Government except for evaluation purposes for a period of
four years from the expiration of a Phase II grant, or from the expiration of the Phase I grant when no Phase II award
is made, without the approval of the grantee. The grantee must properly identify such technical data in the text or
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on a separate page keyed to the text by numbers in any submission to the Foundation. Such data must be clearly
labeled as proprietary technical data and marked with a legend similar to the following:
"The following is proprietary technical data which (name of grantee) requests not be released to persons outside the
Government, except for purposes of evaluation, for a period of four years from the expiration date of Grant No.
________ or, the expiration date of a follow-on Phase II grant if awarded, whichever is later."
In addition to the rights vested in the Government to use proprietary technical data during the four-year period
mentioned above, the Government shall retain a royalty free, irrevocable, world-wide license to use the data right
after the conclusion of the four-year period whether or not the grantee has sought or obtained patent protection or
claimed copyright protection.
5.7
Copyrights
The grantee normally may copyright and publish (consistent with appropriate security considerations, if any) material
developed with NSF support. The National Science Foundation receives a royalty-free license for the Federal
Government and requires that each publication contain an acknowledgment and disclaimer statement as shown under
Section 5.2, Reporting Requirements.
5.8
Patents
Each award agreement will contain a patent rights clause under which small business firms normally may retain the
principal worldwide patent rights to any invention made with NSF support. NSF receives a royalty-free license for
Federal Government use, reserves the right to require the patent holder to license others in certain circumstances, and
requires that anyone exclusively licensed to sell the invention in the United States must normally manufacture it
domestically. To the extent authorized by 35 U.S.C. 205, NSF will not make public any disclosure by the grantee of
a NSF-supported invention for a four-year period to allow the grantee a reasonable time to file a patent application.
The time period for filing is specified in the patent rights clause and applicable Federal regulations (45 CFR §
650.4). Additional information may be obtained from the Office of the General Counsel, Room 1265, National
Science Foundation, 4201 Wilson Boulevard, Arlington, VA 22230.
5.9
Supplemental Funding - Research Experiences for Undergraduates (REU)
The SBIR can supplement a Phase II award to encourage young people to embark on research careers. Information
on NSF’s REU Program can be obtained by calling (703) 306-1601 and requesting that the REU Program
Announcement (NSF 96-102) be sent to you or at http://www.nsf.gov/nsf/nsfpubs/nsf96102/nsf96102.htm
Companies that receive a Phase II award from NSF may apply for REU support. They should send their applications
to the cognizant SBIR Program Officer named in the Phase II award letter. If the REU proposal is awarded, it will be
made as a separate identifiable supplement to an existing SBIR award.
5.10
Management Responsibility
The responsibility for the performance of the Principal Investigator and other employees or consultants who carry out
the proposed work lies with the management of the firm receiving an award.
5.11
Accuracy of Information
The proposing small business concern and the Principal Investigator are responsible for the accuracy and validity of
all the administrative, fiscal, and scientific information in the proposal. Deliberate withholding, falsification, or
misrepresentation of information could result in administrative actions such as declination of a proposal or the
suspension and/or termination of an award, as well as possible civil or criminal penalties.
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5.12
Small Business Innovation Research
Audits
Both Phase I and Phase II awards are subject to Federal audit as specified in the applicable Grant Terms and
Conditions.
5.13
Changes in Organization or Principal Investigator Status
The SBIR Program must be notified promptly if there is any change in the name or address of the firm or if the firm
no longer qualifies as a small business. Any change in the Principal Investigator under an active grant must be
requested in writing to the SBIR Program as discussed in Section 1.4.3, Eligibility of the Principal Investigator.
5.14
Inconsistencies
This Program Solicitation is intended for informational purposes and reflects current planning. If there are any
inconsistencies between the information contained herein and the terms of any resulting SBIR grant, the terms of
the grant are controlling.
6.0
SUBMISSION OF PROPOSALS
Both Phase I and Phase II proposals must arrive at the NSF by their respective deadlines. Proposers are cautioned to
consider unforeseen delays which can cause late arrivals of proposals.
Proposals that do not meet the deadline or that do not adhere to other requirements stated in this Solicitation will be
returned to the proposer without further consideration.
6.1
Deadlines
Phase I and Phase II proposals must be received by 5:00 p.m., East Coast Time at the NSF on their respective
deadline dates. The deadlines of receipt of the original proposal and its nine (9) copies are
•
•
Phase I – June 12, 1998
Phase II – November 12, 1998 or November 12, 1999.
A firm will have two opportunities to submit a Phase II proposal upon completion of a Phase I award. Phase II
proposals can be submitted to NSF up to 10 days prior to the respective deadline, but must be received no later than
the deadline. If both dates are missed, a firm becomes ineligible for a Phase II award.
6.1.1.
Phase I Submission Dates
The table below shows all the due dates in conjunction with the SBIR Phase I award, assuming a January 1, 1999
SBIR Phase I award effective date. It is an example provided solely for the purpose of guidance; it does not
necessarily correspond specifically to the dates for your project.
June 12, 1998* (5:00pm East Coast Time) Proposal due (original and 9 copies)
July 15, 1998
NSF mails notification of receipt of proposal
December 1998
NSF mails notification of awards and declinations
January 1, 1999
Phase I Award effective date
June 30, 1999
End of 6-Month Phase I grant performance period
July 15, 1999
Phase I Final Report due+ (12 Copies), NSF Form 98A (1 copy)
* This is a fixed date
+ See Section 5.2.1, Phase I Reporting
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6.1.2
Phase II Submission Dates
The anticipated schedule for Phase II is illustrated in the table below. The example dates assume a typical 24month grant)
Phase II Proposal - Submitted November 12, 1998
November 12, 1998
May 12, 1999
August 1, 1999
August 1, 1999 –
January 31, 2000
February 28, 2000
February 1, 2000 –
July 31, 2000
August 31, 2000
August 1, 2000 –
January 31, 2001
February 28, 2001
July 31, 2001
October 31, 2001
6.2
Phase II Proposal3 Due (10 copies)
Proposal Recommendations5
Phase II Award Effective Date
First Progress Period
First Progress Report Due
Second Progress Period
Second Progress Report Due
Third Progress Period
Third Progress Report Due
End of Phase II Grant
Support/Performance Period
Phase II Final Report, NSF Form
98A, and Phase II Commercialization
Report Due
Phase II Proposal - Submitted November 12, 1999
November 12, 1999
May 12, 2000
August 1, 2000
August 1, 2000 –
January 31, 2001
February 28, 2001
February 1, 2001 –
July 31, 2001
August 31, 2001
August 1, 2001 –
January 31, 2002
February 28, 2002
July 31, 2002
October 31, 2001
Phase II Proposal4 Due (10 copies)
Proposal Recommendations
Phase II Award Effective Date
First Progress Period
First Progress Report Due
Second Progress Period
Second Progress Report Due
Third Progress Period
Third Progress Report Due
End of Phase II Grant Support/Performance
Period
Phase II Final Report, NSF Form 98A, and
Phase II Commercialization Report Due
Physical Packaging Requirements
Do not use any special binding or covers. Staple the pages in the upper left-hand corner of each proposal. Secure
packaging is mandatory. The NSF cannot be responsible for proposals damaged in transit. The original plus nine
(9) copies of the proposal should be sent in the same package. Do not send separate “information” copies or several
packages containing parts of a single proposal.
NSF forms may be copied as needed, however, one copy of the Certification Page and Summary Proposal Budget
(Attachment D) must have the original signatures of the PI and the authorized Company Officer and be marked
“Original”. The other copies of the proposal need not contain original signatures.
6.3
Where to Send Proposals
The original and nine (9) copies should be mailed to the following address:
NSF SBIR Phase I or Phase II
National Science Foundation
Proposal Processing Unit
4201 Wilson Blvd., Room P60
Arlington, VA 22230
3
Phase II Proposal shall be a complete proposal package, which includes the following: Appendix 1, 2, and 3
Proposals recommended for award are forwarded to the Division of Grants and Agreements and to the Division of
Contracts, Policy and Oversight, Cost Analysis and Audit Resolution Branch (CAARB); this process can take up to
3 months.
4
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6.4
Small Business Innovation Research
Acknowledgement of Proposal Receipt
The NSF will acknowledge receipt of proposals by a postal card which will be mailed to the company official who
endorsed the proposal cover page. If a proposal acknowledgement card is not received from the NSF within 30 days
following the deadline, the proposer should call (703) 306-1395.
Evaluation and processing will require approximately six (6) months for completion, and no information on
proposal status will be available until formal notification is made.
6.5
Withdrawal of Proposals
Proposals may be withdrawn by written notice received any time prior to award. Proposals may also be withdrawn in
person by an offeror or authorized company representative upon presentation of personal identification and the
signing of withdrawal documentation.
6.6
Multiple Submissions
An offeror may submit any number of different proposals to any number of subtopics, but each proposal must be
based on a unique innovation, must be limited in scope to just one subtopic, and may be submitted only under that
subtopic.
7.0
SCIENTIFIC AND TECHNICAL INFORMATION SOURCES
Research Topic Descriptions (Section 8.0) are often followed by a list of references. Some of these references may be
to publications that are not commercially available. In some instances, information as to where such publications can
be obtained has been included immediately following those references.
Phase I proposers also may want to obtain additional scientific and technical information related to their proposed
effort as background or for other purposes. Literature searches, abstracts, publications and the names of potential
consultants in the specific research area can be obtained at good technical libraries, some state organizations, and
from the organizations listed below. Documents should be ordered soon after receipt of a Solicitation as it may take
some time to acquire them. To obtain this service or additional information, contact any of the following
organizations.
National Technical Information Service
5285 Port Royal Road
Springfield, VA 22161
(703) 487-4600
1-800-553-6847
National Technology Transfer (NTTC)
316 Washington Avenue
Duvall Center
Wheeling, WV 26003
1-800-678-6882
NERAC
1 Technology Drive
Tolland, CT 06084
(203) 872-7000
Knight-Ridder Information
1-800-334-2564
(Formerly DIALOG Information Services, Inc.)
Chemical Abstract Service
STN International
1-800-753-4227
NASA Technology Transfer Centers:
Center for Technology Commercialization, Inc.
Massachusetts Technology Park
100 North Drive
Westborough, MA 01581
(508) 870-0042
Great Lakes Industrial Technology Center
Battelle Memorial Institute
25000 Great Northern Corp. Ctr., Suite 260
Cleveland, OH 44070-5310
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(216) 734-0094
8.0 Research Topic Descriptions (For use in preparing Phase I Proposals only.)
Small Business Innovation Research (SBIR) proposals are solicited across the full scope of NSF-supported research
as defined in the 25 topic descriptions (numbered 1-10; 13-15, 17, 19-29) that follow. Most topics are in a one-toone correspondence with NSF research divisions (exceptions are topics 10, 25, 26, and 27.) Thus in general,
Subsection A, Scope of Research, under each topic describes the basic research areas funded by each research
division of NSF. Primarily universities and other nonprofit research institutions are recipients of basic research
funding. Subsection B, Suggested Subtopics, describes specific research areas that the divisions think may be
appropriate to the SBIR Program. Most topics are also open to other applications-oriented research ideas with
commercial potential that are relevant to the topic area. Some topics, however, state that interest is limited to the
areas described. Areas of emphasis described in Section 1.2.5, Program Emphasis for 1998-National Critical
Technologies are dispersed throughout the topics.
Some references, which are appropriate to all the topics, appear below:
National Science Foundation. 1997. Guide to Programs--Fiscal Year 1997. NSF 97-30. Arlington, Virginia NSF.
National Science Foundation. 1995. Grant Opportunities for Academic Liaison with Industry (GOALI). NSF 95111 and NSF 95-112. Washington, DC: NSF.
Note: Some topic descriptions have substantially changed since last year's solicitation. Some topic numbers
may have also changed; check the assignment of proposals to topic numbers carefully. Topic numbers 11 and
12 have been skipped in this solicitation to maintain consistency with previous solicitations’ topic numbers.
Note that as a result of a reorganization that affected the topics related to computer and information science
and engineering, topic numbers 16 and 18 have also been skipped and topics 28 and 29 have been added and
topic 17 has been reduced in scope. For information about computer and information science and engineering,
reference http://www.cise.nsf.gov
If a proposal falls within a topic, but not within any of the suggested subtopics (lettered a, b, c, etc.), leave the
subtopic designation blank on the cover page of the proposal. Otherwise, enter the letter of the selected subtopic.
Please note that the proposal must fall under a topic number and that topic number must be designated on the
proposal cover page.
TOPIC 1. PHYSICS
A. Scope of Research
The Division of Physics supports research studying the nature, structure, and interactions of matter and energy at
the most basic level in the following program areas of physics: Atomic, Molecular, and Optical Physics; Plasma
Physics; Elementary Particle Physics; Gravitational Physics; and Nuclear Physics. Proposals addressing topics in
physics should be based on the applications of basic concepts in these areas of physics in innovative ways. [Note:
Condensed Matter Physics and Materials Research are included in the NSF Division of Materials Research;
proposals based principally on work in those fields should be addressed to Topic 3.]
B. Suggested Subtopics
The following are some appropriate subtopics for SBIR projects in physics, based on the above areas of physics
research. This list is meant to be illustrative; proposals are not necessarily limited to these subtopics.
a. Particle and X-Ray Detectors
Development of new or significantly improved particle and x-ray detectors, including improved efficiency, damage
resistance, energy resolution, or spatial resolution.
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b. Electron, Ion, and X-Ray Sources
High-intensity, high-current, high-luminosity sources of radiation, steady-state or pulsed. Development of new or
special-purpose accelerators, such as compact, high-gradient, or high-current devices.
c. Gravitational Wave Detection
Major systems to detect and measure gravitational waves, such as the Laser Interferometric Gravitational Observatory
(“LIGO”), present many challenges in the areas of precision measurement. The needs of these systems include: lasers
that can operate cw at the high power levels required with significant improvements in the control of frequency and
power; environmental isolation systems that provide a platform with sufficiently attenuated seismic noise and small
motion due to thermal noise; and precision low absorption optical elements. These developments may have
substantial commercial applications in such areas as fabrication, computing, and electronic processes requiring
greater precision.
Instrumentation and data processing methods developed from current research in physics in the above areas,
including:
•
•
Electronics: analog or digital instruments for measurements, with such improvements as fast response, low
noise, or novel utilization of principles.
Data Processing Systems: development and application of hardware (such as new, high-performance data
acquisition systems, processors, or I/O devices) and/or software (such as data analysis and simulation
techniques.
d. Applications of Atomic, Molecular, Optical, and Plasma (“AMOP”) Physics
New or improved devices or instruments using the latest advances in AMOP Physics. Three examples are:
• Devices using elementary particles, ions, neutral atoms, or molecules confined in electromagnetic or optical
traps.
• Optical control and manipulation of elementary particles, ions, neutral atoms, or molecules.
• Theoretical modeling and/or simulation of AMOP processes in order to improve existing devices or to design
new ones.
[Note: See also Electrical and Communication Systems (Topic 20) before submitting proposals under these subtopics.]
TOPIC 2. CHEMISTRY
A. Scope of Research
The Division of Chemistry supports research in synthesis, structure, reactivity, and composition of matter in the
following programs: Analytical and Surface Chemistry; Organic and Macromolecular Chemistry; Inorganic,
Bioinorganic, and Organometallic Chemistry; and Experimental, Theoretical, and Computational Physical
Chemistry. Particular attention is drawn to opportunities for chemistry to provide solutions to major problems in
environmental, materials, and biological areas.
It should also be noted that certain aspects of chemistry research are supported by other programs in the
Foundation including: Solid State Chemistry and Polymers in the Division of Materials Research; Chemical
Reaction Processes, Thermal Systems, and Interfacial, Transport and Separation process programs in the Division
of Chemical and Transport Systems in the Engineering Directorate; Biochemistry and Molecular Structure and
Function in the Division of Molecular and Cellular Biosciences; Atmospheric Chemistry in the Division of
Atmospheric Sciences; Geochemistry in the Division of Earth Sciences; and Marine Chemistry in the Division of
Ocean Sciences.
B. Suggested Subtopics
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The Division of Chemistry has a special interest in fostering the unique interdisciplinary capabilities of small
businesses to promote new developments in chemistry and chemical technology. These research activities should
be directed logically toward the Phase II research and the Phase III development of a marketable product. SBIR
projects that involve the research programs in the Chemistry Division typically fall into three general categories.
These are broadly defined areas and are not exclusive of any other research having the potential to advance the
understanding and utility of chemistry.
a. Chemical Synthesis
Design and synthesis of new organic and inorganic substances that possess unusual properties that give rise to new
and improved properties or enable the testing of theoretical, mechanistic, or structural hypotheses. Examples
include but are not restricted to:
• Molecular-level approaches to the synthesis of organic, inorganic, and organometallic molecules that are
useful materials or materials precursors.
• Isolation and characterization of natural products that have well-defined commercial potential.
• Design and synthesis of molecular arrays of importance to molecular recognition, catalysis, separation science,
and other interfacial and biomimetic processes.
• Development of environmentally benign synthetic routes for the production of commercially important
chemical products.
• Combinatorial approaches to the discovery of new materials, catalysts, or molecular structures with
commercial potential.
• Electrosynthesis of value-added products offering advantages in materials cost, energy utilization, and reduced
environmental impact.
• Applications of chemistry in biotechnology and biotechnology in chemistry, e.g., modification or
immobilization of proteins for chemical applications.
b. Chemical Characterization
Physicochemical studies leading to the development of a marketable product or procedure for the improved
characterization of chemical systems. Such products and procedures often utilize new technologies and may
demonstrate new concepts for chemical instrumentation.
• New or improved chemical instruments and sensors having applications in chemistry, biotechnology, or
environmental sciences.
• Strategies and devices for characterization of real-world samples in the nanoscale regime and beyond.
• New approaches for the characterization of surfaces and interfaces.
• Comprehensive approaches for obtaining the maximum information from chemical data.
c. Computational Chemistry
Innovative approaches to computation in the chemical sciences.
• New or improved algorithms for chemical computation.
• Development of graphical user interfaces for computational chemistry software.
• Porting and development of new algorithms for chemical computation on emerging parallel architecture
computing platforms.
• Development of improved force field parameterizations for molecular simulations.
References
U.S. Environmental Protection Agency,
EPA /NSF Partnership for Environmental Research. EPA/600/F-96/016, Washington, DC: EPA.
National Science Foundation, Environmentally Benign Chemical Synthesis and Processing, NSF 92-13,
Washington, DC: NSF.
National Science Foundation, Biomolecular Materials, NSF 91-142, Washington, DC: NSF.
National Science Foundation, Biotechnology Opportunities, NSF 91-142 and NSF 91-56, Washington, DC: NSF.
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TOPIC 3. MATERIALS RESEARCH
A. Scope of Research
The Division of Materials Research supports materials science research with an emphasis on new materials with
superior properties, and on the interrelationships among synthesis, processing, structure, composition, properties,
and performance of materials at molecular, microscopic, and macroscopic levels. New approaches to materials
synthesis and processing, and to the full range of physical, chemical, and mechanical properties are relevant
research areas, with particular interest in those properties potentially important to devices and structures. Also of
interest is the design and synthesis of new materials with desirable properties by atomic level control of materials
and processes, including materials with hierarchical structures, artificially structured materials, nanostructured
materials, biomimetic materials, and smart materials. A wide range of materials is of interest, including:
electronic, magnetic, photonic, and optical materials; structural materials; and biomimetic materials. Excluded
from consideration, however, are wood, coal, waste materials, mineral processing, extractive metallurgy, and
manufacturing processes.
B. Suggested Topics
The Division of Materials Research is interested in fostering research at small businesses toward the development
of new or significantly improved materials and materials combinations with superior properties and functional
performance. Appropriate topics for SBIR proposals cover a wide spectrum of research activities including
condensed matter and materials physics, materials chemistry and chemical processing, materials theory and
modeling, materials science, and materials engineering. The development of new or significantly improved
instrumentation for materials synthesis and for chemical, structural, and physical property characterization is also
appropriate. More detailed descriptions of these areas are delineated in the Guide to Programs (NSF 97-30).
It should be noted that certain aspects of materials research are also supported by other programs in the
Foundation. The proposer is encouraged to carefully read research topical descriptions under Physics; Chemistry;
Earth Sciences; Molecular and Cellular Biosciences; Bioengineering and Environmental Sciences; Electrical and
Communications Systems; Design, Manufacture, and Industrial Innovation; Chemical and Transport Systems; and
Civil and Mechanical Systems, which are described in this program solicitation as well as in the Guide to
Programs.
Materials of interest are those of high quality and reproducibility, with superior properties for potential
applications, obtained through control of chemistry, morphology, microstructure, and processing variables. They
include ceramics, diamond and carbon-based materials, glasses, liquid crystals, metals, polymers, semiconductors,
and composite materials. The list below is illustrative; proposals are not limited to these examples/areas.
Electronic Materials - Thin films, heterostructures, nanostructures, superlattice structures, diagnostics, passive
materials.
Optical/Photonic Materials - Materials for displays, optical amplifiers, laser materials, short-wavelength emitters,
nonlinear materials.
Magnetic and Superconducting Materials - Superconductors, giant magnetoresistance materials, nanoparticles and
clusters for recording media, magnetic superlattices, materials for sensors and switches.
Structural Materials - High strength materials, lightweight/high strength alloys, high strength/high toughness
ceramics, high temperature/high strength polymers, novel matrices and reinforcements for composites, and
ceramic, metal, and polymer matrix composites.
Other- Catalytic materials, sensors, membranes, biomaterials, biomolecular and biomimetic materials.
References
National Research Council. 1989. Materials Science and Engineering for the 1990's: Maintaining Competitiveness
in the Age of Materials. Washington, DC: National Academy Press. [National Academy Press, 2101 Constitution
Avenue, NW, Washington, DC 20418.]
National Science Foundation. 1995. Guide to Programs—Fiscal Year 1997. NSF 95-138. Washington, DC: NSF.
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National Science Foundation. 1994. Instrumentation for Materials Research. NSF 94-108. Washington, DC: NSF
1995 Federal Research and Development Program in Materials Science and Technology, Materials Technology
Subcommittee, Committee on Civilian Industrial Technology, National Science and Technology Council,
Washington, DC: NIST
TOPIC 4. MATHEMATICAL SCIENCES
A. Scope of Research
The objectives of the Division of Mathematical Sciences research programs are to foster the creation of new
mathematical knowledge and to promote its application to foster a better understanding of physical, biological, and
social phenomena. The first of these objectives is achieved by the creation of new mathematical structures and
techniques and the analysis and study of relations that exist between them. The second objective is achieved by
translating phenomena of the physical, engineering, biological, environmental, and social sciences into
mathematical models and then finding solutions to the mathematical problems so formulated through the
development of new mathematics as necessary. Programs in Classical, Modern, and Geometric Analysis; Topology
and Foundations; Algebra and Number Theory; Applied Mathematics; Computational Mathematics; and Statistics
and Probability cover all aspects of the mathematical sciences, from the classification of abstract algebraic
structures to equations modeling industrial processes.
The mathematical sciences play a significant role in many interdisciplinary initiatives and activities.
These include the following: Global Change and Environmental Science, Learning and Intelligent Systems, HighPerformance Computing and Communications, Mathematics and Science Education.
Small businesses with interests in research, the development of mathematical models, statistical methodologies, or
algorithm development for these interdisciplinary areas are encouraged to explore these possibilities.
B. Suggested Subtopics
It is expected that proposals submitted under these subtopics would have substantive and significant
mathematical/statistical content.
Examples of research activities of substantial interest under the above programs that would be appropriate topics
for SBIR proposals include but are not limited to the following:
a. Analytic Methods
• Flows including properties of dusty gases, flow of oil and water in porous media, flow of slurries in pipes,
blood flow, flows with chemistry, and multiphase flows.
• Optimal design including minimal weight structures, drag reduction, optimal composition of composite
materials, and optimal shape design.
• Systems theory including parameter identification and control of nonlinear and/or distributed parameter
systems, nonlinear filtering, stochastic control, and discrete event control.
• Phenomena involving multiple scales including vortex structures in turbulent flows, polymer shapes,
combustion, phase transition, and quantum optics.
• Inverse problems including tomography, NMR, geophysical prospecting, conductivity, and nondestructive
evaluation.
• Nonlinear continuum mechanics including multivariate splines, large deformations in elastic materials, crack
formation, and turbulent fluid flow.
• Nonlinear optimization and optimal control.
b. Algebraic Methods
• Mathematical coding theory and cryptology.
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•
•
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Combinatorial complexity including algorithms, computer codes, and large-scale combinatorial optimization.
Combinatorics including computation and algorithms.
Symbolic computation.
c. Statistical Methods
• Optimal design including design for multifactor general linear models, for response surfaces, for robust
inference, for nonparametric and semiparametric models, and including adaptive design.
• Statistical computation and algorithms and Monte Carlo and probabilistic problem solving.
• Statistical graphics including graphical methods for high dimensional data, visualization, image
reconstruction, curve and surface fitting, and pattern recognition.
• Statistical modeling including nonparametric and semiparametric modeling, modeling for unequal probability
samples and unequal spacings, predictive modeling and expressions of model uncertainty, Bayesian modeling
of opinion and data, and modeling expert systems.
• Inferential methods such as robust procedures including re-sampling, and detection of change point
phenomena.
• Spatial statistics including modeling and mapping techniques, inference for remotely sensed data, and spatial
time series analysis.
• Statistical reliability including inference for truncated observations and data with informative censoring,
statistical process control.
• Studies related to problems in massive datasets and databases.
d. Geometric Methods
• Geometry of robotic devices.
• Geometry of DNA and polymer structures.
• Integral geometry, geometric probability, stochastic geometry, and pattern recognition.
• Packing and tiling.
• Geometric modeling for CAD/CAM.
• Computational geometry.
• Development and application of fractal techniques.
e. Stochastic Models
Construction, analytical and algorithmic development, and validation of stochastic models with emphasis on
realistic, data-driven models developed in close consultation with experts in areas such as biological systems,
ecology, environmental systems, geosciences, atmospheric sciences, materials science, and social sciences.
f. Computational Mathematics
Design and development of symbolic and numeric algorithms that better exploit current and future technological
developments related to simulation and computation. The focus is on development of critical computational
techniques from algorithm development through implementation. Interest ranges over various subjects including
dynamical systems, computational fluid dynamics, computer graphics and the mathematics of visualization,
parallel computing, symbolic computation, and computational statistics.
References
National Research Council. 1991. Applications of the Mathematical Sciences to Materials Science: Report of the
Panel on the Mathematical Sciences Applied to Materials Science, Board on Mathematical Sciences. Washington,
DC: NRC.
National Research Council. 1991. Mathematical Foundations of High-Performance Computing and
Communications: Report of the Panel on Mathematical Sciences in High-Performance Computing and
Communications, Board on Mathematical Sciences. Washington, DC: NRC.
National Research Council. 1991. Mathematical sciences, technology, and economic competitiveness: Report of the
Board on Mathematical Sciences. Washington, DC: NRC.
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TOPIC 5. ASTRONOMY
A. Scope of Research
The Division of Astronomical Sciences supports research to increase understanding of the origin of the universe,
its structure, and its energy sources. Research on instrumentation supporting these objectives is also funded.
B. Suggested Subtopics
In astronomical research there is a general need for instrumentation, including detectors and imaging systems.
Only instrumentation proposals will be considered under this topic. Research subtopics in instrumentation
include but are not limited to the following:
a. Visible Detector Arrays
Research is needed to decrease the cost of high-performance, solid-state detector arrays, such as charge coupled
devices (CCDs), for use in the visible region of the spectrum. Of prime importance is an increase in blue
sensitivity with dimensionality greater than 1000 x 1000 pixels.
b. Infrared Detector Arrays
Arrays of detectors that are sensitive in the atmospheric transmission windows at wavelengths longer than one
micron are required. These arrays need to be of very low noise equivalent power (NEP) and to be capable of
operation in the high thermal-radiation background typical of ground-based infrared observations.
c. Fast-Framing Arrays
Visible and infrared arrays, with a frame rate greater than 500 frames per second and dimensionality of 64 x 64 to
128 x 128 elements are needed for wavefront sensing in adaptive optical systems. Read noise for these devices
must be less than 10 electrons per second per pixel.
d. Millimeter Wavelength Instrumentation
Further development is needed in the technologies for the fabrication of receivers and coherent mixers used in the
millimeter and submillimeter wavelength regions. Techniques to assemble arrays of such detectors are desirable
e. Adaptive Optical and Image Interferometric Systems
Development of systems that apply recent concepts such as adaptive optics, interferometry, and artificial guide
stars to compensate for atmospheric and instrumental blurring in astronomical imaging systems is needed.
Reference
Astronomy and Astrophysics Survey Committee. 1991. The Decade of Discovery in Astronomy and Astrophysics.
Committee report. Washington, DC: National Academy Press.
TOPIC 6. ATMOSPHERIC SCIENCES
A. Scope of Research
The Division of Atmospheric Sciences supports research devoted to better understanding the physical, dynamical,
chemical, and electromagnetic processes that determine the behavior of the earth's atmosphere and the geospace
environment from the upper atmosphere to the sun. Research areas include the following: climate and its
variations; the general circulation; synoptic, mesoscale, and microscale weather phenomena; the chemical
composition and the cycle of species in the earth's atmosphere; remote sensing of the geospace environment and
sun; dynamics of the upper atmosphere; physics of the ionosphere, magnetosphere, and sun; and solar-terrestrial
interactions. In addition, the Division supports the acquisition of research observations and the development of
instrumentation necessary to obtain them.
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B. Suggested Subtopics
Proposals are solicited in all of the above research topics. Specific opportunities include, though not limited to, the
following:
a. Measurement of Physical Properties
Improved instruments are needed for remote and in situ measurement of precipitation, cloud characteristics, air
motion, water vapor, and atmospheric electricity, as well as the solar terrestrial environment.
b. Measurements of Chemical Properties
New techniques are needed for quantitative determination of trace species in the ambient atmosphere, including
both rapid and ultrasensitive measurement of transitory species concentrations and fluxes.
References
CEDAR Steering Committee. 1986. Coupling, Energetics, and Dynamics of Atmospheric Regions "CEDAR," Vol.
I: Overview.
Committee on Earth and Environmental Sciences. 1993. Our Changing Planet: the FY 1994 U.S. Global Change
Research Program. Washington, DC: Federal Coordinating Council for Science, Engineering, and Technology,
Office of Science and Technology Policy.
GEM Steering Committee. 1988. Geospace Environment Modeling "GEM."
National Academy of Sciences. 1992. Solar Influences on Global Change: Report to
the NRC Committee on Global Change Research. Washington, DC: NAS.
National Academy of Sciences. 1991. Assessment of Programs in Solar and Space
Physics 1991. Washington, DC: NAS.
National Academy of Sciences. 1990. Research Strategies for the U.S. Global
Change Research Program. Washington, DC: NAS.
National Academy of Sciences. 1984. Global Tropospheric Chemistry: A Plan for
Action. Washington, DC: NAS.
University Corporation for Atmospheric Research. 1987. The Atmospheric Sciences:
A Vision for 1989-1994. Report of the NSF-UCAR Long-Range Planning Committee.
Boulder, CO: UCAR.
TOPIC 7. EARTH SCIENCES
A. Scope of Research
The Division of Earth Sciences supports research on the full range of geoscience disciplines and is described more
fully in the brochure Earth Sciences Research at the NSF listed below. Much of this research is limited by the
available instrumentation and techniques for sensing and sampling the subsurface parts of the earth and by the
need for accurate chemical and physical analysis of rock, mineral, and fluid samples, both in the laboratory and in
deep drill holes.
B. Suggested Subtopics
Proposals are solicited in each of the earth science research programs. NSF would be especially interested,
however, in the development of new, improved, or less expensive instruments or techniques for the following
research areas:
a. Crustal Studies
Exploring the composition and structure of the earth's crust.
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b. Analytical Measurements
Chemical, isotopic, or microstructural analysis of rocks and minerals.
c. Field Measurements
Measurements of the Earth's gravitational or magnetic fields.
d. Stress/Strain Measurements
Monitoring of stress or strain in the Earth's crust, including borehole and modern geodetic measurements.
e. Seismological Measurements
Measurements of ground displacements or accelerations due to earthquakes and/or man-made sources.
f. Synthetic Materials
Laboratory synthesis of geological materials.
g. Physical Properties
Laboratory measurement of the physical properties of rocks and minerals at high temperatures and high pressures.
h. Deep Drilling and Logging Technology
Coring, fluid sampling, and measurement of physical and chemical properties at depths up to 15 kilometers.
i. Molecular Sensing
Development of chemical and biosensors for petroleum exploration and environmental clean up.
References
IRIS Consortium. January 1993. A National Program for Research in Continental Dynamics. CD/2020. Arlington,
VA: The IRIS Consortium. [The IRIS Consortium, 1616 N. Ft. Meyer Drive, Suite 1050, Arlington, VA 222093109.]
National Academy of Sciences. 1993. The National Geomagnetic Initiative. Washington, DC: NAS.
National Academy of Sciences. 1993. Solid-Earth Sciences and Society. Washington, DC: NAS.
National Academy of Sciences. 1991. International Global Network of Fiducial Stations. Washington, DC: NAS.
National Academy of Sciences. 1990. Facilities for Earth Materials Research. Washington, DC: NAS.
National Science Foundation. 1993. Earth Sciences Research at the NSF. NSF 93-66. Washington, DC: NSF.
TOPIC 8. OCEAN SCIENCES
A. Scope of Research
The Ocean Sciences Division supports research to improve understanding of the sea, including the seafloor and
the organisms in it, and its relationship to human activities. This research seeks to improve our understanding of
the factors controlling physical, chemical, geological, and biological processes in the ocean and at its boundaries
(the air-sea interface, the seafloor, and the coastline). These processes control the nature and distribution of
marine life, the composition and movement of ocean water, and the character of the ocean bottom.
B. Suggested Subtopics
Appropriate subtopics for SBIR proposals are included in the general range of research supported by the Ocean
Sciences Division in the following program areas: Marine Geology and Geophysics, Chemical Oceanography,
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Biological Oceanography, Physical Oceanography, Scientific Ocean Drilling, and Oceanographic Technology.
Areas of specific interest for SBIR support include but are not limited to the following:
a. Oceanographic Measurement, Sampling, and Reporting Systems
• Integrated and discrete measurement and reporting systems for unattended deployment on buoys and/or
moorings that provide high-frequency, real-time chemical, biological, and physical data to support
investigation of biologically important elements.
• Underway sampling techniques for physical, biological, or chemical parameters.
• Biological sampling equipment and automated analysis systems.
• Vertical profiling systems.
• Remote sensing of the ocean environment using acoustic, optical, or electromagnetic techniques.
• Systems for rapid and wide-scale measurements using satellite, airborne, or other remote techniques.
• Reliable sampling systems for the recovery and quantification of seafloor samples, particularly hardconsolidated rock samples using standard oceanographic ships as the deployment platform.
• Coring, sampling, and logging tools and techniques for use in scientific ocean drilling utilizing floating
drilling platforms. Systems for drilling and ample recovery in hard, often fractured oceanic crust. Devices for
recovery of pressurized cores. Measurement while drilling techniques. High-temperature drilling, coring, and
logging systems. Adaptation of mining drilling techniques for offshore use to drill in hard rock.
• Simplified techniques for assembling, managing, archiving, and disseminating large, diverse oceanographic
databases.
TOPIC 9. POLAR SCIENCE, ENGINEERING, AND OPERATIONS
A. Scope of Research
The Office of Polar Programs supports research to promote new discovery and knowledge of the Arctic and Antarctic.
These are regions of extreme cold and of long periods of light and darkness; they consist predominantly of snow, land and
sea ice, and frozen ground. The principal research interests are to understand and predict physical, chemical, and
biological properties and processes of materials and organisms at low or subfreezing temperatures and to understand their
relationships to human activities.
B. Suggested Subtopics
The following subtopics for polar and related cold regions of the earth are appropriate for SBIR support:
a. Remote sensing (space and airborne)
Remote sensing of the polar regions will increase in importance. We need low cost techniques for data acquisition,
processing, analysis, and interpretation. Researchers need systems that lower the cost and complexity of gaining access to
processed data products. Hardware intended for outdoor use must survive and function in the harsh polar environment.
Areas of interest include:
• low cost image processing systems
• low cost systems that collect and manipulate a variety of remote sensing data
• low cost, small size direct-readout satellite tracking/data acquisition systems
b. Autonomous instrumentation
We need systems for data collection with a reduced requirement for on-site people. Systems must function reliably in the
harsh polar environment and use existing or emerging telecommunications capabilities. Areas of interest include:
• telecommand/control and data retrieval via bandwidth-limited and episodic-contact communications channels
(control algorithms, hardware, software)
• low cost, high reliability, general purpose data acquisition and control systems for autonomous-remote data
acquisition platforms (ocean, terrestrial, and balloon-borne systems)
• remote operations via Internet (control algorithms, software)
• remote test and diagnostics via Internet (hardware, software, interface design for general purpose science equipment)
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low cost Internet based applications using emerging technologies such as the World Wide Web, multi-casting, video
teleconferencing, application sharing, voice over IP, etc., to synthesize tele-science products.
c. Telecommunications
Modern digital telecommunications is becoming a significant factor in the conduct of scientific research in the polar
regions. Researchers require innovations in telecommunications and related technologies to advance opportunities for
scientific research. Areas of interest include:
•
•
•
•
•
•
protocol development to improve TCP/IP throughput via geosynchronous communications satellites
use of low earth orbit (LEO) store/forward satellite technology for telecommand/control and data retrieval from
remote science data acquisition platforms (ocean, terrestrial, and balloon-borne systems)
integration of distress beacon reception into conventional terrestrial communications systems for real-time distress
notification (packet radio)
low cost Internet gateway for High Frequency (HF) radio data communication networks, using error correction HF
protocols, (hardware, software, control algorithms)
low cost meteorburst star-network data communications systems with simple interface requirements, and low base
station transmitter power
low cost, robust TCP/IP over HF radio systems for reliable, error-free computer-to-computer message exchange and
routing, such that operation in the polar environment is effective.
d. Small energy systems
The increased use of electronic technology for field communications and autonomous-remote science data acquisition
requires the parallel development of improved small scale energy systems to power these devices. Small energy systems
should be simple, reliable, operate in the harsh polar conditions, make maximum use of available natural, renewable
energy sources (wind, solar) and minimize the duty cycle of any integrated classical energy sources (fossil fuel). Areas of
interest include:
• small power systems for autonomous-remote scientific data acquisition systems (land, balloon, ocean -based systems)
• small power systems for small encampments (2-3 people), 500W average power
• intelligent power/energy management (hardware, software, control algorithms)
References
National Science Foundation. "Arctic Research of the United States," vol. 10, Spring/Summer 1996, Arlington, Virginia
22230.
Journal of Cold Regions Engineering. "Cold Regions Engineering Research--Strategic Plan,", Vol. 3, No. 4, December
1989.
TOPIC 10. BIOLOGICAL SCIENCES
The Biological Sciences topic spans three research divisions: The Division of Environmental Biology supports
research on organisms and their environment, including ecological studies, population biology, and systematics.
Interactions among organisms, and genetic and evolutionary bases for environmental adaptations, are investigated.
The Division of Integrative Biology and Neuroscience supports research in developmental biology, physiology,
animal behavior, and neuroscience. The major emphasis is on integration of molecular, cellular and systems
approaches to understand the development, function and behavior of organisms. The Division of Molecular and
Cellular Biosciences supports research in genetics, cell biology, biomolecular processes, and biomolecular
structure and function. Living systems and mechanisms are examined at the cellular and molecular level utilizing
biochemical, biophysical and genetic approaches.
Areas of interest to these divisions are not limited to the examples given below. However, proposals for medical
research, including animal models of disease or research directed toward drugs or drug development, are not
considered in these divisions.
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a. Biological Monitoring of Environment
Like canaries in coalmines, living organisms often provide the best indicators of environmental conditions.
Research is needed on physiological and behavioral processes that may serve as sensitive indicators of
environmental change. Plant, animal, or microbial systems may be most suitable for different applications.
b. Biorestoration/Bioremediation
The loss of biological diversity, pollution, and habitat degradation are major environmental problems. Mitigation
strategies for natural or managed ecosystems require knowledge of component organisms, both microbial and
macroscopic, and of processes that structure healthy communities. The goals of biorestoration research are to
modify species or consortia of species to restore viable populations and to develop technologies to restore or
enhance ecological functions. Ecologically sound techniques are needed to restore wetlands and streams and other
polluted communities, and to mitigate the effects of exotic introductions. Gene-pool protection and recovery of
endangered or threatened populations are also important. Research in bioremediation is needed to identify
organisms or consortia capable of metabolizing pollutants, toxins, or contaminating metals. In addition to
bioremediation projects on the isolation, taxonomic identification, biochemical, and genetic characterization of
microbes, research on plants or other organisms capable of carrying out desirable chemical transformations is
encouraged.
c. Foundations of Biotechnology
The foundation for biotechnology is the manipulation of subcellular components or capacities towards useful
commercial ends. Areas of interest in such technologies include but are not limited to the following:
• Manipulation of genes, proteins or other cellular processes to produce new useful compounds or biomaterials
(e.g., catalytic antibodies, adhesives, films, extremozymes, biodegradable polymers, etc.).
• Development of novel genetic technologies useful for the production of improved products (combinatorial
chemistry, cloning technologies, screening technologies, non-medical gene markers).
• Production of genetically altered organisms (plants, animals, or microbes) that can serve as a source of
products with commercial potential.
d. Other
Research on other commercializable, nonmedical, biological problems is of potential interest. This includes, but is
not limited to, aquaculture, biocontrol technologies, DNA fingerprinting, and the use of biological systems or
components (including organisms, cell or tissue culture) to modify or produce substances with a commercial
application.
References
ASM News. 1993. NSF to Expand, Reshape, Rename Microbiology Programs.
ASM News 59(7):324-325.
Byrom, D., Ed. 1991. Biomaterials. New York: Stockton Press.
National Research Council. 1989. Materials Science and Engineering for the 1990's. Washington, DC: National
Academy Press.
National Science Foundation. 1991. Biotechnology Opportunities: the NSF role. NSF 91-56. Washington, DC:
NSF.
Science. 1992. Molecular Advances-Biotech Special Report. Science 256:766-813.
Science. June 1987. Frontiers in Recombinant DNA. Science 236:1149-1400.
Uchida, T. 1988. Introduction of Macromolecules into Mammalian Cells by Cell Fusion. Exp. Cell Res. 178.
Science. 1994. The Chemistry of Life at the Margins. Science 265:471-472.
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SIM News. 1994. NSF Assumes Leadership Role in Addressing the Importance of Microbial Biology. SIM News
44(2):61-64.
University/Industry Workshop. Biomolecular Materials: Report of the University/Industry Workshop, October 1012, 1990.
FCCSET Committee on Life Sciences and Health. 1992. Biotechnology for the 21st Century. Washington, DC:
U.S. Government Printing Office.
National Science Board. 1989. Loss of Biological Diversity: A Global Crisis Requiring International Solutions.
NSB 89-171.
Washington, DC: National Science Foundation.
Ecological Society of America. 1991. The Sustainable Biosphere Initiative: An Ecological Research Agenda.
Ecology 72(2). Bethesda, MD: ESA.
Note: For continuity in SBIR topic numbers, there are no topic numbers 11 or 12 for this solicitation.
TOPIC 13. BIOLOGICAL INFRASTRUCTURE
A. Scope of Research
The Division of Biological Infrastructure supports research that will lead to new instrumentation or software for
research applications relating to the biological sciences. This research includes the development of innovative new
technological or methodological approaches, as well as substantial or radical improvements in currently available
instrumentation and software to increase performance and/or significantly reduce cost. Proposals directed
principally at medical or clinical research topics are not supported.
Biological instrumentation is an important industrial sector in both the United States and internationally. What
drives the market for this sector is the need for automation, higher sensitivity, accuracy and precision as well as
increased sample throughput and decreased unit cost. Careful analysis of the needs of this market can be used to
identify areas ripe for innovation, development and commercialization. The programs in the Division of
Biological Infrastructure encourage innovative research ideas from small businesses that could fill such marketdriven needs.
B. Suggested Subtopics
Proposals are solicited for development of both instrumentation and software that are appropriate for application in
the performance of research or industrial processes in the areas of environmental biology, plant biology,
neuroscience, animal behavior, physiology, biochemistry, biophysics, genetics, cell biology, and molecular biology.
Special consideration will be given to the development of instrumentation and software that have potential to
contribute to current NSF areas of interest in the biological sciences, including high-performance computing,
biomolecular materials, biotechnology, biodiversity, conservation biology, and instrumentation that is innovative
and of significantly lower cost.
In the area of Instrument Development, in addition to the general areas of focus of the Program, special interest is
attached to: improvements in X-ray detector technology, improvements in electron optics, high through-put
sequencing approaches, software targeting data acquisition and modeling involved in analytical
ultracentrifugation, solid state sensors, multi-photon nonlinear excitation microscopy and spectroscopy, laser lightscattering, and development of inexpensive unique immobilized arrays of molecules.
Other areas of interest include: small volume detectors for chromatography, rapid mixing methods--particularly
those amenable to protein folding studies, T-jump and other perturbation approaches to the characterization of
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biological systems, image analysis and enhancement technology and software, application of nanotechnology to the
study of biological systems, and application of novel optical probes of biological systems.
In the area of Computational Biology, special interest is attached to the development and implementation of
algorithms and software for: the characterization of the relationship of DNA and protein sequence to biological
function, analysis of complex dynamic systems, multi-scale ecological modeling, and development of approaches to
the analysis, manipulation and visualization of large and complex data sets related to biological structure and
function.
a. Biological Structure Research Technology
Research leading to new or improved methods for the analysis of biological structure. The general areas for these
methods may include optical or electron microscopy and macro-imaging, x-ray detectors, NMR, video image
analysis (including data acquisition and image processing hardware and software), and other appropriate tools such
as:
•
•
•
Novel or highly automated devices for the preservation or preparation of specimens for microscopy and
crystallography.
Imaging devices capable of providing for the visualization of new classes of biochemical or immunochemical
probes.
Devices for the automated measurement or characterization of plant or animal growth and development in the
laboratory or in the field.
While demand for immobilized DNA reagents continues to increase sharply, the manufacture of unique DNA
sequence arrays for large-scale biochemical and physiological experiments remains prohibitively expensive for
individual experiments. Innovative technologies that sharply reduce the current one-off manufacturing cost of
single custom arrays of synthetic and natural DNAs (or other molecular species) are required. To fully exploit its
commercial potential, the technology should reduce the cost per device by more than an order of magnitude over
current methods.
b. Bio-Analytical Research or Quality Control Technology
Research leading to new or improved instruments, separation systems, or detectors for the quantitative or
qualitative analysis of biological samples, such as:
•
•
•
•
Novel devices for the extraction and automated analysis of hard-to-handle specimens or analyses.
Devices that make analyses more rapid, more precise, more accurate or more cost-effective, or which allow for
the field analysis of samples conventionally analyzed in the laboratory.
Automation of genetic engineering procedures.
New or significantly improved instruments or accessories to existing instruments for the automation of
procedures for:
• Assay, isolation, cloning, manipulation and sequencing of nucleic acids.
• Assay, isolation, purification and sequencing of proteins, complex carbohydrates and other
macromolecules.
• Expression of gene products, including instrumentation for more rapid and sensitive assays of gene
expression.
•
Instrumentation for automation of procedures in microbiology, including equipment for:
• more rapid identification of microbial species.
• discovery of microbially-derived natural products.
• research in the field of microbial diversity.
•
Instrumentation to facilitate or automate procedures in living stock collections, such as collections of
microorganisms, plant and animal tissue cultures, insects (Drosophila), plants and rodents. Such automation
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might involve improved procedures for the processing, growth, cryogenic storage or distribution of genetic
stocks. New equipment that would improve the welfare of laboratory animals would also be welcome.
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c. Computer-Assisted Modeling
Research on more efficient or reliable algorithms and improved data handling and output display methods to assist
biological studies. Applications may range from macromolecular structure research to ecosystem modeling. Other
examples would include means for visualization of cellular and sub-cellular structures and modeling organ
development.
d. Biological Applications of Databases and Internet Information Servers
Research and development of components of the national biological information infrastructure
(http://www.nbs.gov/nbii) such as software for the federation of biological databases, techniques and methods for
operating multimedia, highly-interactive, networked knowledge databases, tools for more effective access to
biology databases or for the visualization of biological data, and software applications for authoring and verifying
database records and for collaborative database content maintenance.
e. Biological (Species) Diversity Assessment
Research on new techniques and methods for rapid biological diversity assays, inventories and biodiversity data
management leading to applications which would automate or replace traditional species diversity sampling
techniques. This would include techniques and devices for the acquisition of biodiversity information from dead or
living specimens in existing biological collections or from new field-based surveys of microbial to macroflora and
fauna. New software or hardware technologies for determining species identity, for quantitative analytical methods
of species characteristics and species diversity assessments would be relevant.
f. Biological Function Research Technology
Research leading to new or improved methods for the analysis of biological function in plant or animal systems,
such as remote sensing and real-time monitors and tracking systems, and new types of sensors based on physical or
chemical principles previously not applied to biological systems.
TOPIC 14. SOCIAL, BEHAVIORAL, AND ECONOMIC RESEARCH
A. Scope of Research
The Division of Social, Behavioral, and Economic Research supports research in a broad range of disciplines and
interdisciplinary areas. The goals of the Division are to advance fundamental scientific knowledge about (1)
cognitive and psychological capacities of human beings; (2) cultural, social, political, spatial, environmental, and
biological factors related to human behavior; (3) human behavior, interaction, and decision making; (4) social,
political, legal, and economic systems, organizations, and institutions; and (5) the intellectual and social contexts
that govern the development and use of science and technology. Research is supported in the fields of
anthropology, decision science, economics, geography, linguistics, management science, operations research,
political science, psychology, regional science, socio-legal studies, sociology, and science and technology studies.
B. Suggested Subtopics
Proposals are solicited in all areas of social, behavioral, and economic research in the fields indicated above.
Proposals must conform to standard research protocol in the social, behavioral, and economic sciences.
Proposers are encouraged to consult with academic researchers in crafting their research designs. Projects
involving a consulting service component as a product will not normally be supported. Specific subtopics of
interest include but are not limited to the following:
a. Anthropological Methods
Improved methods for social impact assessment, studies of the developmental process, screening human genetic
variation, and the physical anthropology of prosthetics.
b. Archaeological Methods
Improved methods of dating including radiocarbon, thermoluminescence, and others (these may include sample
preparation as well as measurement); analysis of archaeological materials (both inorganic and organic such as bone
and tooth); and remote and on-the-ground archeological site mapping techniques.
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c. Decision Analysis, Risk Analysis, and Management Science
Research should have relevance to an operational context, be grounded in theory, and be based on empirical
observation or be subject to empirical validation. Research should also include a significant behavioral and/or
social science component. Some areas of interest include the following:
•
•
•
•
Management science models including innovative advances in model development, implementation, and
application for planning, scheduling, and control of management operations in the private and public sectors.
Decision analysis models for individual and group decision making. Emphasis is on new and improved
methods to support tools such as software for creatively structuring decision problems and for evaluating
alternative actions and on the development or evaluation of theory-based decision aids for individuals or
organizations.
Inferential models including advances in technologies, such as inferential networks for handling massive
amounts of data, applications of these methods to novel problems, and improvements in methods and
applications of probabilistic inference.
Risk analysis and communications including improved methods for analysis of environmental health and
financial risks, enhanced technologies for communicating risk information, and management of low
probability-high consequence events, such as siting potentially hazardous facilities and process redesigning for
pollution prevention and cost reduction.
d. Economics
Data collection and access; software development for econometric analysis, economic modeling, laboratory
experiments, and other areas of computational economics; economic forecasting; and research in other areas of
economics such as finance, international economics, labor, and industrial organization.
e. Geography and Regional Science
The areas of interest include the following:
• Development and adaptation of Geographic Information Systems (GIS) for locational decision making and
other types of geographical analysis. Possible applications should be well-grounded in scientific
understanding of both GIS and the topic for which the analysis will be used. Applications should not be
narrowly focused.
• Development and applications of regional-science models to the analysis of urban and regional economies.
• Development of spatial-analysis programs for widespread use by researchers and analysts.
f. Cognitive and Social Psychological Research
Research grounded in theory and based on empirical observation that leads to product development in areas such as
the following:
• human learning
• human factors
• psychometrics
• assessment of physiological state
• enhancement of sensory systems
• computer-aided instruction
• deception detection
• processing of facial, vocal, and expressive information, including written materials
• improved methods/instrumentation for the collection and analysis of observational behavioral data
g. Law-Related Behaviors and Processes
Development of technologies, software, protocols, or procedures to enhance effectiveness or efficiency of
organizations, groups, and individuals whose work will have an impact on the criminal justice system; on dispute
processing and alternative dispute resolution; on legal decision making at the intersection of law, science, and
technology; or on other areas relevant to law and legal institutions. For example, proposals might focus on
computer software that is user-friendly and allows for archiving and sharing large legally relevant databases and
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related hardware or materials, training materials, or exemplary protocols or work procedures that have potential
commercial value. New procedures for reliably and sensitively interviewing witnesses to crimes (especially
children), for making reliable identifications of perpetrators, or for doing reliable DNA typing would be valuable.
Proposals should be grounded in, or should further enhance fundamental research in law and social science and
should demonstrate how fundamental research supports the development or dissemination of the proposed
technology, protocol, or procedure.
h. Linguistics
Studies of factors involved in second-language learning; studies of perception and comprehension of synthesized
and natural speech; and development of computer-based methods for semantic and syntactic analysis of natural
language.
i. Management of Technological Innovation
Studies of the innovation process in industry by teams with social and behavioral science expertise. The aim is to
make the innovation process both faster and more efficient. Phase I should proceed as far as testing instruments in
industry. Subjects might include software generation, entrepreneurism, decision support systems, etc.
j. Marketing Methodology
Development of general marketing methodology that is based heavily on psychological, economic, sociological,
and decision research concepts. Possible project areas include forecasting the impacts of product improvements
and/or price changes on sales. Specific product market research will not be supported.
k. Methodological Advances
Improved methods for survey research and the quantitative analyses of social, behavioral, and economic data.
Development of methodological or statistical software with commercial applications useful for the testing of social
science theories and/or the analysis of social, behavioral, and economic data.
1. Sociology and Human Resources
Technologies to enhance collection and analysis of social data; new tools and products for innovative teaching;
applications of cutting-edge sociological research to the solution of practical problems (other than forms of
consulting, which should not be a major component of projects under the Social, Behavioral and Economic
Research Topic). Among the areas of sociological research that might generate small business products and
marketable services are the following:
• Organizations and organizational behavior
• Population dynamics
• Social movements
• Social groups
• Labor force participation
• Stratification and mobility
• Family
• Social networks and exchange
• Socilization
• Gender roles
• Sociology of science and technology
m. Studies in Science, Technology, and Society
Studies of processes of research and technological innovation and their consequences; and of ethics activities in
organizations, laboratories, and classrooms.
•
•
Tracking and evaluating the impact of information technologies on the process of research across the fields of
learning
Developing computerized ethics tutorials for employees using computerized systems containing sensitive
information
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Such software could be used in both private and public sector organizations.
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TOPIC 15. ADVANCED COMPUTATIONAL RESEARCH
A. Scope of Research
Within the Division of Advanced Computational Infrastructure and Research (formerly Advanced Scientific
Computing), the focus of the Advanced Computational Research Program (formerly New Technologies) is
enabling technologies for computational science. The Program supports the range of technologies needed to
advance the state of the art in high performance computing and to bring advanced computing and simulation
capabilities to bear on fundamental problems throughout the sciences and engineering.
As pointed out in many documents and reports, computer simulation has now joined theory and experimentation as
a third path to scientific knowledge. Simulation plays an increasingly critical role in all areas of science and
engineering. However, as the uses of simulation expand, the need for high performance computing of increasing
power, flexibility, and utility grows proportionately. The Advanced Computational Research Program focuses on
the full spectrum of research activities designed to fill this need.
B. Suggested Subtopics
Programming environments and tools
• Parallel languages and compiler technology
• Performance evaluation and prediction
• Application specific environments
• Distributed/heterogeneous computing
Graphics and visualization
• Scientific visualization
• Applications of virtual reality in scientific computing
• Remote computing and remote collaboration
• Computational steering
High Performance Computing
• Innovative uses of high performance computing
• Parallel numerical algorithms and libraries
• Very high performance computing applications
This list of subtopics should be considered representative, rather than exclusive. Proposals dealing with all aspects
of high performance computing will be considered. However, proposals relating to the listed focus topics and to
combinations of them are especially welcome. Proposers interested in submitting proposals outside these areas
should contact the Director of the Advanced Computational Research Program beforehand to ascertain suitability.
In all cases, the relationship to high performance computing should be made explicit in the proposal. Novelty of
approach and development of new methodology should be stressed.
TOPIC 17. ADVANCED NETWORKING INFRASTRUCTURE AND RESEARCH
A. Scope of Research
Within the Division of Advanced Networking Infrastructure and Research (formerly Networking and
Communications Research and Infrastructure), the Networking Research Program (formerly Networking and
Communications Research) supports research in communication networks. Special emphases include optical
networks; networks integrating voice, data, and video; multimedia networks; wireless networks and wireless access
to networks; and very high speed networks.
B. Suggested Subtopics
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Examples of research topics include but are not limited to the following:
a. Network Architectures
Modeling, analysis, and design of network architectures and topologies.
b. Network Protocols
Protocol development including fast computation protocols for very high speed networks; formal models for
protocol development; distributed protocols; and protocol specification, verification, and performance.
c. Network Management
Routing, flow control, performance modeling and analysis, fault diagnosis, and distributed algorithms.
d. Optical Networks
New architectures especially designed for optical networks, performance comparisons among alternatives, new
architectures, and new approaches to high-speed switching and switch design.
e. Multimedia Networks
Techniques, protocols, algorithms, and architectures for the creation, transmission, storage and retrieval and
sharing of multimedia information.
f. Wireless Access
Architectures, protocols, signaling, network management, error control, addressing, mobility management, dropout
recovery and other aspects of wireless access to networked information resources and computing.
TOPIC 19. INFORMATION AND INTELLIGENT SYSTEMS
A. Scope of Research
Small Business Innovation Research of interest to the Information and Intelligent Systems Division (formerly
Information, Robotics, and Intelligent Systems) is concerned with understanding, improvement, and use of
advanced tools that involve interactions among people, automated physical or computational systems, and
information resources, using methods based on computing, cognitive, and information sciences and robotics, and
especially emphasizing the utility to people as users, or in heterogeneous, possibly mobile environments.
Pathways in this research include
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Finding and exploring new modes and environments for interaction among people, automated systems,
computing environments, and resources
Designing physical and informational systems that provide new intelligent extensions of human capabilities,
whether through direct interaction, via networks, or autonomously
Improving computing systems' perception and understanding of human expression in the forms of languages,
physical interaction, and other communication modalities
Understanding how to generate, capture, and manage very large dynamic and distributed collections of
information and knowledge in many modalities
Understanding how to enhance computing systems' effectiveness in providing information and information
services to people individually as well as to groups and organizations
Among the research issues addressed are data capture and storage; information management and access;
knowledge representation, delivery and distribution; intelligent human and computer interfaces; human-robot
interactions; group and organizational interactions; collaboration support, determination of usability and
adaptability; intelligent systems (for reasoning, learning, planning, perception, etc., perhaps with human
interaction); and programming paradigms and software environments tailored to problem domains and task
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specifications. The key challenge in this research is how to harness new information technologies for the benefits
of diverse end users.
Traditional work in this area has concentrated on computationally intensive models and tasks. Their focus has
been primarily on machines and on the solution of completely specified tasks or understanding, i.e., automation.
The emphasis now is on scientific principles of content creation and system design for human use, information
infrastructures that support the activities of people, and on augmentation of human performance. For example,
rather than create a program that automates a task, several programs might be built that interact together to create
a dynamic information space within which people can collaborate effectively. Such a transition from a focus
purely on automation to a focus on how automation can augment human performance requires enhancing the
bandwidth, flexibility, and modality of the human-machine interface, extending the sensor-effector range beyond
human capabilities, solving difficult planning, coordination, communication, and systems control issues, and
understanding the integration of computational systems in broader human contexts Some of the important
research tasks here are understanding how to deal with multiple modalities of input and output, multiple
communication media and multiple players. Further research tasks are to extend the human memory and
attentional capacities by offloading cognitive processes into familiar workspaces. Such workspaces would allow
learning on demand to allow exploration of details as needed rather than beforehand, or after the fact. The goal of
future human-centered systems must be to achieve ease of use (by ordinary citizens, specialists, groups and
organizations) as well as to simultaneously solve the problems of scale, heterogeneity, and evolution of user needs.
The results of this research typically take the form of both (a) articulation of scientific principles and (b) intelligent
systems and devices that represent, demonstrate and validate new capabilities.
B. Technological Components (Subtopics)
The underlying technological components which contribute to this research span a wide spectrum of devices,
computational models, algorithms, software environments, and integrated systems. They include the following:
(1) Intelligent sensors, input/output devices and systems, designed to collect or present information of different
kinds, including 2-d and 3-d sensors; robotics; image creation, processing, and high-performance displays; (2)
Database and knowledge processing technology for data capture and store, knowledge acquisition and
representation, information management and retrieval, and data mining; (3) Human-system interfaces, including
speech recognition, natural language understanding, speech synthesis, facial expressions, gestures, and other
modalities of human/machine communication; (4) Multi-media information technologies, including visualization
techniques, representation of multi-media objects, optimal delivery of multiple data streams, and low-power
storage hardware for mobile multi-media access devices; (5) Reasoning systems that automate planning and
scheduling and various types of reasoning; (6) Machine learning technology, enabling the system to adapt its
operations and interactions to each user's preferences and capabilities; (7) Collaboration technology, including
tools designed to enable resource-sharing, distributed reasoning, and effective coordination among groups of
people who may not be co-located in time or space; (8) Virtual environments, including both the advanced
simulation and modeling technology allowing the immersion of human experience in the computing environment
and the virtual enterprise technology enabling the restructuring of businesses and corporations in the distributed
workplace; (9) End-user enhancement technology, including large-scale robotics and very small-scale, embedded
systems, designed to assist the humans in performing complex physical or information management tasks; and (10)
Very large, integrated, and distributed knowledge repositories for the creation, preservation, distribution, and use
of digital information or objects in various knowledge domains over high speed networks.
TOPIC 20: ELECTRICAL AND COMMUNICATIONS SYSTEMS
A. Scope of Research
Technological progress in the 20th century has been dominated by the influence of electrical, electronic and
photonic systems, which have leveraged human capacities and revolutionized mankind's every-day existence.
Topic 20 (Electrical and Communications Systems) supports engineering research essential for innovation and
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advances in these systems, which have led to the information-rich, knowledge-oriented, technological society we
know today.
Topic 20 is divided into three synergistic subtopics, designed to enable visionary, engineering research endeavors
which promise substantial commercial impact. The Physical Foundations of Enabling Technologies subtopic and
the Knowledge Modeling and Computational Intelligence subtopic are designed to advance core engineering
competencies which impact electrical, electronic and photonic systems. The former subtopic focuses upon key
enabling technologies relevant to these systems, while the latter program focuses upon system control, optimization
and computational strategies. The Integrative Systems subtopic is designed to stimulate innovative systemsoriented activities, which promote the infusion and integration of research advances generated in the ECS
community, and linkages with other engineering and science communities. The small business community is
encouraged to seek out promising research advances generated within the academic community in each of these
subtopic areas, and to accelerate application of these advances in the commercial sector.
B. Suggested Subtopics
a. Physical Foundations of Enabling Technologies
The Physical Foundations of Enabling Technologies subtopic encourages creative research endeavors which
generate new knowledge, and contribute to the underlying physical structure of key enabling technologies in
electrical, optical, electronic and photonic systems. Research areas such as microelectronics, photonics, lasers and
optics, plasmas, electromagnetics, nanotechnology, micromachining, microelectromechanical sensors and systems,
to name a few, are expected to spur continued scientific and technological advances in areas important to the
nation's economic vitality. The subtopic has been designed to encourage submission of innovative proposals that
explore new engineering concepts and scientific phenomena; that identify emerging technologies which may
promise substantial applications impact; that can lead to advances in performance, through component, device and
materials optimization, design, modeling and simulation tool development, fabrication and processing advances,
and manufacturing effectiveness and/or related environmental issues; and that push the frontiers on applications of
these enabling technologies in the marketplace.
b. Knowledge Modeling and Computational Intelligence
The Knowledge Modeling and Computational Intelligence subtopic encourages creative research activities in
analytical, knowledge-based and computational methods for modeling, optimization and control of engineering
systems. The emphasis is on development of basic methodologies, tools and designs that are motivated by a wide
variety of fundamental systems issues, including nonlinearity, scaleability, complexity and uncertainty. The
subtopic is designed to enable leading-edge research in learning and intelligent systems, neural networks,
nonlinear and hybrid control, and advanced computational methods in distributed problem-solving and decisionmaking environments. These directions impact important industry sectors, including manufacturing and
production systems, electronics, electric power, and transportation, among others. Rapid technological advances
and paradigm shifts in many systems areas, as for example those occurring in modern interconnected power
networks, with environmental concerns and deregulation in their technical, social and economic manifestations,
are creating operational complexities that require innovative research approaches to expand the envelope of
understanding of their impact in the marketplace.
c. Integrative Systems
The Integrative Systems subtopic has been designed to stimulate innovative systems-oriented research activities
utilizing electrical, electronic, optical and/or photonic technologies. The promise of these activities might be
expected to spur significant scientific, technological and educational advances in communications, computing,
information, learning, sensing and instrumentation, healthcare and the life sciences, transportation, electric power,
manufacturing and other important and emerging areas. Visionary, systems-oriented research activities with
significant commercialization potential, and which promise clear technological and societal benefit are strongly
encouraged.
TOPIC 21: DESIGN, MANUFACTURE, AND INDUSTRIAL INNOVATION
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A. Scope of Research
The Division of Design, Manufacture, and Industrial Innovation supports research in the processes, machinery,
and systems of modern manufacturing, with the goal of making the country's manufacturing base more competitive
through innovation and responsiveness to changing needs. The approach is to create, develop, and expand the
scientific and engineering foundations of processing methods for current and future engineering materials and of
design and manufacturing methods and systems for making useful products from these materials. The Division
supports a blend of experimental, analytical, and computational efforts directed toward economically competitive
and environmentally compatible technologies.
Included are methodologies for concurrent design of materials, processing, and manufacturing methods for
products with engineered microstructures and properties, devices using innovative fabrication and assembly
procedures, and systems that integrate various unit processes. Manufacturing machine, sensor, and computer
control technologies for manufacturing processes and operations are of interest, as are operations research and
production systems methodologies that underlie the full range of engineering systems. Integration engineering
addresses a complete manufacturing enterprise and its infrastructural components.
B. Suggested Subtopics
Proposals should show a clear commercial application of the research to the current or prospective industrial
manufacturing environment. This is not to exclude proposals of a theoretical or speculative nature, but they must
exhibit strong commercial relevance. Proposals may be submitted on any subject within the scope of the Division.
Subtopics of particular interest include but are not limited to the following:
a. Tools for Design
Many critical economic problems can be traced to issues related to the design of products for quality, performance,
cost and environmental impact. New theories of and methodologies for design are needed, as are new applications
of computer and cognitive technologies to design systems. Specific areas include the following:
• Design for manufacturing and the life cycle, including research on human and computer systems that optimize
the performance/cost of a product over its entire life cycle and such related issues as manufacturability,
reliability, serviceability, and environmental impact;
• Design environments, including research on design language and geometric representations that enable design
using features, design at multiple levels of abstraction, and editing and analysis of multiple functional views;
and
• Complex design systems, including research on management and communication in large, complex design
projects and in the experimental validation of simultaneous or concurrent design concepts.
b. Rapid Prototyping
The ability to prototype a design rapidly reduces the lead-time to bring a new product to market. One means of
reducing the time to design a product may be through the use of virtual product prototyping in software, using
novel information technologies. To the extent possible, all phases of the product life cycle should be considered
simultaneously. Examples include the following: the synthesis of shape and geometry from engineering analysis,
the association of manufacturing processes with product features, the transformation from design geometry to
manufacturing procedures, and novel methods for the physical realization of electronic models.
c. Advanced Manufacturing Processes
Generic research toward advanced processing technologies and new processes for difficult-to-manufacture
materials. The goal is to reduce costs and improve productivity, quality, performance, and reliability of
manufactured products. The scope includes processing bulk materials into engineering materials (primary
processing) and processing engineering materials into discrete parts (secondary processing). Increasing
productivity means reducing the lead time between design and manufacture (leading to simultaneous engineering),
raising production rates, reducing costs, and improving product quality and reliability while meeting product safety
requirements both during manufacture and in service.
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Major advances in conventional processing techniques such as machining, grinding, polishing, forming, and
joining;
Low cost manufacturing processes for such difficult-to-process materials as composites, ceramics, polymers,
sprayed materials, and superalloys;
Nontraditional manufacturing processes (including hybrids) such as chemical vapor deposition (CVD),
electrical discharge machining (EDM), electrochemical machining (ECM), electrochemical grinding (ECG),
ultrasonic, microwave, laser, plasma, electron-beam, ion-implantation, and abrasive jet machining;
Ultra precision machining;
Near-net shape forming;
New advanced cutting tools and die materials; and
Process modeling and sensors for on-line intelligent computer control of process parameters.
d. Next Generation Manufacturing Machines and Equipment
Research on integratable, intelligent equipment and machines that support automation systems and manufacturing
processes. Specific areas include the following:
• Man-Machine interfaces that enhance the effectiveness of manufacturing people who are involved with vast
information flows. Expert systems to support interactive decision making for future flexible manufacturing
systems;
• Machines and equipment for individual unit processes, including research on machines and equipment to
extend the range of applicability of existing designs as innovative improvements are made in materials and
unit processes;
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Advanced machine tools, including research leading to more productive machine tools to produce parts of
greater accuracy from materials that are more difficult to machine. Advanced, light-weight, and rigid
machine components and structures from epoxy composites, ceramics, and other materials;
New design strategies for untended manufacturing, automation systems, and for the integration of machine
elements and subsystems in a fully automated environment; and
Sensors, including fusion of sensor data from similar and dissimilar sensors, high- speed data acquisition from
multiple sensors, and neural net concepts specifically applied to advanced manufacturing machines and
equipment to enable their rapid response to changing environments.
e. Next Generation Manufacturing Systems
NSF is interested in operational issues such as cost and performance analysis, inventory management, production
planning and control, scheduling, reliability, quality, facilities design, material handling, logistics, distribution and
man-machine integration within the production environment. While the main focus of the program is on
manufacturing systems, research with application to the full range of production systems including
communication, transportation, and distribution systems is also sought. Also of interest are advanced or innovative
systems for production planning, scheduling, materials management, and distribution.
f. Service Systems
Design and manufacturing may be viewed as the inner loop that supports a broader activity responsible for much of
the gross national product and the service industries. Some of the technologies derived from manufacturing
systems, such as resource allocation and scheduling, and those associated with automation systems, such as
networking and communication protocol, may be applied to automation in the service industries such as health
care, banking, transportation, delivery, and maintenance.
g. Operations Research
Improved understanding and modeling of production systems will ultimately lead to better system design and
operation and, consequently, to higher system performance. Research leading to the development of improved
analytical and computational techniques for modeling, analysis, design, optimization, and operation of natural and
man-made systems is supported. Research areas supported by the program range from new mathematical
techniques to application-oriented algorithmic procedures. The areas of interest focus on large-scale integrated
problems with a variety of tightly and loosely interconnected components that generally involve people,
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information, machines, and controls. Examples of specific areas of interest include basic research in optimization,
scheduling, routing, location, simulation, queuing theory, statistics, and stochastic processes.
h. Integration Engineering
The goal is to provide a framework upon which a manufacturing enterprise operates and within which a number of
components of engineering design, manufacturing, and sociotechnical aspects overlap. It has a design component
in the context of cross-functional drivers that deal with product realization. Its mission, however, is broad and
includes the complete product life cycle. Specific areas of interest include, but are not limited to the following:
• Development and prototyping of operational systems and procedures that enhance the interface of design and
manufacturing, including concurrent engineering research efforts;
• New quality paradigms at the enterprise level;
• Computer-integrated manufacturing methods and tools;
• Integrated manufacturing systems design; and
• Agile manufacturing theory, principles, tools, and demonstrations.
i. Environmentally Conscious-Manufacturing
The emphasis is on the development of resource and energy efficient design methodologies, production processes,
and manufacturing systems to minimize the process waste stream, and/or to utilize recycled material, waste
materials and energy as feedstock for subsequent processes. Specific areas of interest include, but are not limited to
the following:
• Software-based design methodologies for design for disassembly and recyclability, life cycle design/assessment
and material life cycle analyses;
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Techniques or systems for estimating the environmental costs associated with each stage in the product life
cycle, including metrics for enterprise-wide integration of product/process/waste management;
Improved techniques for recycling and for the processing recycled materials;
New processes and methods to promote improved resource utilization and energy efficiency in manufacturing;
and
Systems to facilitate the selection and/or substitution of low environmental impact materials in product design.
[Note: Also see Topic 27.d, which focuses on environmentally conscious manufacturing as it relates to
microelectronics manufacturing.
References
Compton, W.D. Ed. 1988. Design and Analysis of Integrated Manufacturing Systems. Washington, DC: National
Academy Press.
Improving Engineering Design: Designing for Competitive Advantage. 1991. Washington, DC: National Academy
Press.
Kegg, R.L.; Jeffries, N.P.; Eds. 1982. Directory of Manufacture Research Needed by Industry. Society of
Manufacturing Engineers.
Manufacturing Systems: Foundations of World-Class Practice. 1992. Washington, DC: National Academy Press.
Materials Research Agenda for the Automotive and Aircraft Industries. 1993. Washington, DC: National Academy
Press.
Merchant, M.E. Ed. March 11-12, 1987. Research Priorities for Proposed NSF Strategic Manufacturing Research
Initiative. Washington, DC: National Science Foundation.
Sutton, J.P. Project Leader. October 1980. Technology of Machine Tools: Machine Tool Task Force Reports.
VCRL-52960.
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Technology for a Sustainable Future: A Framework for Action. 1994. Washington, DC: The National Science and
Technology Council.
Towards a New Era in U.S. Manufacturing: The Need for a National Vision. 1986. Washington, DC: National
Academy Press.
U.S. Department of Defense. 1987. Proceedings of the Department of Defense, 1987 Machine Tool/Manufacturing
Development Conference. AFWAL-TR-4137. Dayton Convention Center, Dayton, OH. June 1-5, 1987.
TOPIC 22: CHEMICAL AND TRANSPORT SYSTEMS
A. Scope of Research
The Division of Chemical and Transport Systems supports research contributing to the knowledge base for a large
number of industrial processes involving the transformation and transport of matter and energy. The research lays
the foundation for technological innovation in many manufacturing industries, including petrochemical, advanced
materials, environmental systems, aerospace, electronics and communications, power production, natural
resources, biochemical, materials, food, pharmaceutical, and allied industries that use chemical, biochemical, and
thermal processes. Research support is organized in the following areas: kinetics and catalysis; process and
reaction engineering; interfacial, transport, and thermodynamics processes; particulate and multiphase processing;
separation and purification processes; thermal transport and thermal processing; and combustion and thermal
plasmas.
B. Suggested Subtopics
Proposals may be submitted on any subject within the programs of the Division of Chemical and Transport
Systems. Proposals on the following subtopics, however, are of particular interest:
a. Photochemical and Electrochemical Processes
Examination of processes using radiation or electric current to effect chemical reaction, including principles for
design of industrial-scale reactors for such processes. Included in the scope are photocatalytic and electrocatalytic
systems. Prime interest is in processes suitable for commercial chemical production or for environmental control.
b. Heterogeneous Catalysis
Generation of new catalysts or catalytic systems, or new uses for known catalysts, with applications in consumer
products, environmental control, and chemicals production. [Note: Proposals relating to fuels production or
utilization should be submitted to the Department of Energy rather than to NSF.] Of particular interest are
systems with promise of reducing the release of acid rain precursors and/or greenhouse gases or systems for the
production of high-value-added products, including pharmaceuticals.
c. Chemical Process Design and Control
Research on the control of chemical plants and studies of new design strategies for complex integrated chemical
processes as well as for system optimization. Software development, for example, is an appropriate area of
investigation.
d. Separation and Purification Processes
Since separation is often a major cost of chemical processing, improved and new separation processes are
increasingly important. Emerging technologies such as bioengineering and electronic materials processing are
primary examples of application areas where cost-effective separations are critical. Research of interest
encompasses highly selective, energy-efficient, and economic processes and mass separating agents for the
separation and purification of all types of substances. Example areas of support include supercritical extraction,
membrane processes, desalination, filtration, adsorption and chromatography, absorption, ion exchange,
fractionation, and crystallization. Research in novel separation processes and those based on a combination of
various techniques is encouraged. Specific areas of ongoing emphasis include the following:
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Energy-efficient separation and purification of organics (e.g., olefins);
Environmentally benign separation processes;
Recovery of critical and strategic metals; and
Research on fuel cell membranes is not appropriate for this subtopic area.
e. Interfacial, Transport, and Thermodynamic Phenomena
Recent needs and developments in information storage have led to an examination of small aggregates of
molecules that exhibit unusual interfacial and transport properties. Small businesses can play a major role in
applying this scientific concept to the design of artificial layers and structures at the molecular level; in the design
of chemical processes for new organic and inorganic chemicals and materials; and in making phase equilibria and
transport predictions for environmentally hazardous chemicals. Examples of relevant research are the following:
• Preparation and thermodynamic characteristics of micellar, self assembly molecular structures, and
microemulsion fluid systems as templates for solid electronic or separation microstructures;
• Transport characteristics, processing, and fabrication of vesicular and liposomal clusters for patterned
deposition for fluid systems;
• Near critical and Supercritical Phase Behavior and Environmentally benign physical processing;
• Langmuir-Blodgett film, self assembly, or other interfacial processing related to interfacially dominated
applications, such as printing lithography, coatings, printing, and/or sensors; and
• Interfacial diffusion processes between thin films, two layers, and experimental analysis and modeling of the
process.
f. Fluid, Particulate, and Hydraulic Systems
Supports research on mechanisms and phenomena governing single and multiphase fluid flow, particle formation
and transport, and fluid-particle system characterization. No bias exists with respect to methods, whether
analytical, numerical, experimental, or a combination of these. Research is sought that aims at markedly
improving our understanding of important fluid engineering processes or phenomena, and/or that creates advances
with high potential for significant industrial and environmental impacts. Since fluid and particulate behavior
control many processing and manufacturing technologies, the desired impact is improvement in the predictability,
precision, and control of existing systems, as well as in the suggestion of entirely new ones. Research support
areas under this program include the following:
• Large Reynolds number flow;
• Density stratified flows;
• Flow of complex fluids;
• Deliberate production and/or modification of small particles with controlled properties, via colloids, aerosols,
or crystallization;
• Particle attachment to or removal from surfaces;
• Efficient removal of particles from processing streams or plant effluents; efficient separation of particles based
on size, bulk composition, or surface composition; and
• Multiphase processes.
g. Thermal Transport and Thermal Processing
Innovative concepts and novel devices which relate to the use and transport of thermal energy, and to the
manipulation of thermal history and thermal gradients to accomplish engineering and manufacturing goals.
Examples include:
• Novel techniques or devices to achieve ultra-high heat fluxes;
• New concepts for insulation;
• New thermal processes with advantages in cost, reduced emissions, quality, etc. over existing processes;
• New thermal processes for producing materials with unique properties or structures; and
• Microscale thermal transport.
h. Combustion and Thermal Plasmas
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Innovative concepts that can lead to clean and efficient combustion of gaseous, liquid, and solid fuels, with a
concurrent reduction of pollutants. Also of interest are the combustion processes in low-grade fuels and toxic
materials, with a view toward an improvement in current combustor/incinerator technologies.
• The use of combustion reactions to synthesize a specific product, as opposed simply to liberate heat, is an area
of growing interest. The fundamental phenomena controlling the production of high-temperature materials
through solid-solid and solid-gas combustion reactions are subjects in need of study.
• Engineering research into plasma dynamics and chemistry, transport processes in ionized gases, interaction of
plasmas with boundaries, and diagnostic techniques in high-temperature media is supported by the program.
Interest is limited to the investigation of new concepts and ideas involving nonequilibrium thermal plasmas.
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i. Chemically Benign Manufacturing
This is a relatively new area in which proposals are also being sought. These proposals need to address pollution
prevention or reduction, not waste treatment. Projects should focus on chemical and synthetic processes and
should be design-oriented as opposed to analytical and computer-oriented. Typical ideas might include the
following: alternative chemical syntheses that bypass toxic feedstocks and solvents, improved membranes and
membrane/molecular sieve technologies that integrate selective catalysts to reduce by-product formation, recycling
foaming agents in polymer foam production, developing nonfiberglass in-wall insulation, and new chemistries for
on-demand, on-site production and consumption of toxic intermediates in manufacturing. Proposals that address
processes to remove pollutants from waste streams or that address conventional end-of-pipe environmental
engineering are not responsive to this interest.
TOPIC 23: CIVIL AND MECHANICAL SYSTEMS
A. Scope of Research
The Division of Civil and Mechanical Systems (CMS) enables knowledge creation, intellectual growth and new
technologies in the areas of construction, geotechnology, structures, dynamics and control, mechanics,
materials, and reduction of risks induced by earthquakes and other natural and technological hazards. In
addition, the Division also supports research to realize new technologies for integrated management of civil and
mechanical infrastructure. This SBIR topic encourages research, which explores new technologies in those
areas. The topic also encourages cross-disciplinary partnerships at the intersections of traditional disciplines to
promote leapfrog discoveries using innovative new technologies such as micro-electro-mechanical systems. NSF
will focus on breakthrough technological research initiatives that are high-risk yet offer potential for eventual
widespread commercialization and high pay-off. The ultimate goal must be full-scale deployment. The objective
is twofold: to encourage technological innovation within the small business community and to promote
commercialization of research findings originally developed within the academic community.
B. Suggested Subtopics
Although any proposal within the general scope of research of the Division may be considered, the following
subtopics are of particular interest.
1. Construction/Geotechnology/Structures – This subtopic emphasizes application of integrative discoveries for
the design, construction, maintenance and operation of safe, long-lived, efficient, environmentally acceptable and
economical facilities above and below ground. Applications derived from new geotechnical knowledge in:
contaminant transport in geomaterials; constitutive modeling and verification in geomechanics; remediation and
containment of geoenvironmental contamination; transferability of laboratory results to field scale; and nondestructive and in situ evaluation are also of interest. In addition, the subtopic encourages proposals that apply
new knowledge in advanced polymer materials, high performance steel and concrete materials, deterioration of
construction materials, safety and reliability of bridges, including condition assessment and indoor environmental
conditions, such as air quality and personnel comfort in buildings. Focus is also upon technologies for enhanced
design, analysis, diagnosis, repair, remediation, retrofit and performance of constructed facilities, and that utilize
knowledge about the interactions between natural and constructed environments to improve the management and
performance of new and existing infrastructure systems and facilities.
Typical research areas include:
a. Structural Systems-- New concepts for analysis of new, deteriorated, and repaired structures and systems.
Technologies for design, including performance and optimization for initial construction, operation, utilization,
and renewal or recycling of structures and systems. Pavement and subgrade technologies to assess and maintain
road performance under all conditions of environmental and loading effects. Techniques to measure rate of
corrosion for all types of construction materials, methods to detect sources of corrosion, remedies to eliminate the
corrosion effects. Technologies for bridge condition assessments and reliability investigations, including bridge
self-monitoring systems by fiber optics, or other novel methods. New bridge design concepts using advanced
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composites as well as innovative methods for repair, retrofit, and rehabilitation of existing bridges which have
deteriorated. This includes all types of bridges constructed with conventional and non-conventional materials and
emphasizes advanced composites for repair and rehabilitation.
b. Construction Processes-- High performance construction, including technologies to address the effects of
environments (seismic, wind, etc.), composition, microstructure and structure on the long term behavior, and
environmental compatibility of procedures to manufacture and process materials. Construction technology
including increased use of automation and novel robotics, new techniques and materials for initial construction,
renewal and recycling of infrastructure systems, and simulation techniques that can effectively assess downstream
life-cycle cost and performance.
c. Diagnostic Techniques for Large-Scale Systems-- Sensors, sensor systems and information management,
including development of advanced sensing and controls for inexpensive diagnosis of infrastructure component or
system condition over the whole life cycle of the constructed facility, and that evaluate damage tolerance of
components and constructed systems, with special interest in wireless sensors, in quantitative nondestructive
evaluation (NDE) and in situ testing (IST)
d. Building Systems-- Methods to coordinate building heating, ventilating, air conditioning, and lighting systems.
Techniques for determination and control of air quality and pollutants in building environments. Fire suppression
and control technologies are also of interest.
e. Manufacture and Stability of Geo-Structures -- Geotechnical technologies for improved characterization and
long term behavior monitoring for geomaterials and geostructures, construction and analysis of new geostructural
systems, new geo-materials (e.g., "intelligent" geocomposites), general in situ performance assessment of
geostructures, and techniques to evaluate and improve the reliability of geostructures.
f. Constitutive Modeling and Experimental Verification—techniques for property characterization and analytical,
numerical or experimental modeling of construction materials.
g. Innovative & Smart Materials--advanced polymer composites; high performance steel and concrete; compositereinforced wood laminates; geosynthetics and other new geo-materials in applications such as containment and
remediation, new construction and structural repair, retrofit and rehabilitation; smart materials; intelligent
structural control; materials with designed properties.
h. Deterioration Science—technologies to determine performance of construction materials and that can provide
enhanced assessment of deterioration processes and rates.
i. Geo-Environmental Assessment and Remediation-- Geo-environmental technologies which improve assessment
and remediation of hazards involved in geo-environmental management, including advances in knowledge and
technology available for contamination containment or restoration of the natural environment at contaminated
sites, with emphasis on multiphase flow and contaminant transport within and through geomaterials.
2. Control/Mechanics/Materials - This subtopic encourages proposals in the areas of dynamics and control,
mechanics, materials, tribology and surface engineering. Innovative research on materials-related technologies
which can take into account underlying microstructural states, origin, transformation and evolution to address
problems of deformation, fatigue, fracture and corrosion of all classes of materials, including composites, is of
interest. Techniques to apply knowledge about critical meso- and micro-structural features, to enhance macromechanical properties, of engineering materials, smart materials, effect of surface, near-surface and interface
material on the performance of mechanical components and structures subject to tribological conditions,
mechanical and thermal stresses and environmental degradation. Research on technologies to engineer surfaces
for optimal topography and microstructure that can lead to improved tribological materials, lubricants and coatings
for operation under severe conditions, dynamic behavior and control of machines, processes, structures, and other
engineered physical systems.
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Typical research areas include:
a. Technologies for Control of Engineering Systems--distributed networked sensing, measurement and actuation;
real-time system identification and dynamic adaptation; structural control under uncertain loading; intelligent
controller optimization; knowledge-based active and passive techniques for noise and vibration control.
b. Technologies for Nonlinear Dynamics Issues--stability, bifurcation, and chaos in parametrically excited
mechanical systems; vibration and control under transient and/or periodic loading or nonstationary frequency of
excitation.
c. Multibody Systems Techniques-- computer-aided kinematic and dynamic system modeling and model validation;
high-speed flexible micro-electro-mechanical devices for actuation and control; computer-controlled multiple
manipulator configurations.
d. Applications of Advances in Mechanical Behavior of Materials – basic material behavior at the intersection of
solid mechanics and microstructure of material; mechanistic and phenomenological constitutive relations;
modeling of property-microstructure-processing-composition relationships; computational approaches to materials
simulations.
e. Advanced Materials Applications -- micro-electro-mechanical and nano-scale materials events and properties;
smart materials and materials-based systems; environmentally compatible materials technologies; designer
materials with specified properties.
f. Technologies that Address Materials Failure and Degradation Problems -- deformation, instability, defects,
failure of materials and material systems.
g. Tribology -- basic behavior of surfaces under static exposure and dynamic loading, including corrosion, friction,
and wear, and its prediction.
h. Surface Engineering -- surface modification, including coatings, ion implantation, topology control for
resistance to deterioration and tribological events.
3. Hazard Reduction – This subtopic encourages proposals for technologies and engineering capabilities that
draw upon advanced engineering and related scientific knowledge to mitigate the impacts of earthquakes, extreme
floods and droughts, tsunamis, hurricanes and tornadoes, accelerated erosion, wind and water, ice and snow,
landslides, subsidence, expansive and liquefiable soils. Areas of interest include: Techniques and applications that
can reduce the impact of natural and technological hazards on structures, lifelines, foundations and the natural
environment. Research is supported for innovations that can enhance capabilities for: (a) verification of design
procedures and methodologies using data from laboratory and field experiments; (b) simulation of earthquakes; (c)
measurements during major events; and (d) post-earthquake reconnaissance inspections. This subtopic represents
one component of the NSF support for the National Earthquake Hazards Reduction Program (NEHRP).
Typical research areas include:
a. Innovative devices, equipment, and techniques for measurements and geographical information system (GIS)
representation of soil properties and site characterization.
b. Techniques for seismic design, construction and rehabilitation of geotechnical structures such as foundations;
retaining walls, slopes, earth dams, buried lifelines, soil and site remediation.
c. Structural control technologies--hardware, software and their integration--for engineering applications including
passive, active, semi-active, and hybrid control devices and systems.
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d. Processing of new smart materials, prototyping of smart structures and smart devices and elements, advanced
sensors and actuators, and wireless data transmission and signal processing techniques for use in condition
monitoring, diagnosis and dynamic response control of structures.
e. Tools for performance-based engineering and design.
f. Advanced technologies for earthquake and wind disaster mitigation such as on-line control, global hazard data
and information systems, technologies for rapid extinguishing and control of earthquake-induced urban fires,
rescue operation and emergency management, and global positioning satellite (GPS) and robotics technologies.
g. New devices, design technologies, and techniques for improved seismic safety inspection, maintenance, and
operation of lifeline systems such as pipelines, bridges, and tunnels.
h. Engineering tools such as internet technologies for real-time large data systems, innovative computer systems
for use of land-use planning, and seismic and wind insurance policies.
4. Civil and Mechanical Infrastructure Systems Integration This subtopic encourages proposals that address
broad-based issues associated with integration and optimization for complex civil and mechanical infrastructure
systems. Progress in civil infrastructure systems (CIS), for example, depends upon new knowledge in deterioration
science, assessment technologies, and renewal engineering, plus development of an integrated decision model for
sustainability, which depends upon input from environmental, social, economic, political, and public policy
disciplines, as well as the natural, mathematical, economic and geographic sciences.
Typical research areas include technologies that apply new discoveries in engineering design, decision science,
information science (i.e., sensors and sensor systems, data acquisition, data mining, knowledge creation and
management), socio-economic sciences (e.g., valuation, preference, privatization and impact of investment,
regulations and contract practice), and external effects (e.g., value of time, maintenance and environment), which
can be used for planning, performance assessment, risk evaluation, supply and demand analyses, investment
impact, and life cycle management.
References
American Society of Mechanical Engineers,1994, Research Needs and Opportunities in Friction, CRTD-Vol. 28.
Chong, K.P.; Moraff, H.; Albright, G.H., 1995, Fundamental Construction Automation Research in Civil
Infrastructures. In Infrastructure (Wiley). Vol. 1, No. 1, pp. 24-30.
Civil Engineering Research Foundation, 1991, Setting a National Research Agenda for the Civil Engineering
Profession: Report for NSF. CERF Report 91-F1003.
Civil Engineering Research Foundation, 1994, Materials for Tomorrow's Infrastructure: A Ten-Year Plan for
Deploying High-Performance Construction Materials and Systems, CERF Report 94-5011.
Komanduri, R.; Larsen-Basse, J, 1989, Tribology: The Cutting Edge. In Mechanical Engineering. Vol. 111,
January, pp. 74-79.
National Research Council, Board on Infrastructure and the Constructed Environment, 1995, Measuring and
Improving Infrastructure Performance, National Academy Press.
National Research Council, Board on Infrastructure and the Constructed Environment, 1994, Toward
Infrastructure Improvement: An Agenda for Research, National Academy Press.
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National Research Council, 1989, Materials Science and Engineering for the 1990's--Maintaining Competitiveness
in the Age of Materials, Washington, DC: National Academy Press.
National Science Foundation, 1993, Civil Infrastructure Systems Research: Strategic Issues, NSF Publication 93-5.
Washington, D.C.
National Science Foundation, 1994, Civil Infrastructure Systems (CIS) Strategic Issues, NSF Publication 94-129.
Washington, D.C.
Editors—Dan M. Frangopol and George Hearn, October 2-4, 1996, Structural Reliability in Bridge Engineering,
Proceedings of a Workshop at the University of Colorado at Boulder.
Think Tank on Priorities in Materials Science and Mechanics Research Report 96-6, Institute for Mechanics and
Materials (IMM) , UCSD, March 3-4, 1996.
K.M. Krishnan, S. Suresh, and T. Sands, Coupled Property Issues in Integrated Microstructures, Acta/Scripta
Materialia Workshop, April 4-6, 1997
M.F. Kanninen and C.H. Popelar, Identification of Basic Research Issues Arising from Industrial Uses of
Polymeric Structural Materials, Jan. 11-14, 1997, Snata Barbara, CA. IMM Report
Workshop on Scaling Effects in Composite Materials and Structures Report 94-6, Institute for Mechanics and
Materials (IMM) , UCSD, Nov 15-16, 1993
Fifth International Conference on the Fundamentals of Fracture (ICFF-V) Report 97-13, Institute for Mechanics
and Materials (IMM) , UCSD, Aug. 18-21, 1997
Workshop on Characterization of Multiscale and Stochastic Materials Microstructure and its Relation to Material
Aging Report 97-6, Institute for Mechanics and Materials (IMM) , UCSD, Feb. 23-27, 1997
TOPIC 24: BIOENGINEERING AND ENVIRONMENTAL SYSTEMS
A. Scope of Research
The Division of Bioengineering and Environmental Systems supports research which expands the knowledge
base of bioengineering and addresses problems at the interface of engineering with biology and clinical medicine;
or applies engineering principles to the prevention of the pollution of land, air, and water resources and to the
remediation of those that have been adversely affected by environmental pollution. The small business community
is encouraged to seek out promising research activities, alone or in cooperation with the academic community, in
each of the areas described below and to accelerate application of these advances in the commercial sector for the
benefit of the nation’s economic well-being and for the benefit of society.
B. Suggested Subtopics
a. Biomedical Engineering/Research To Aid Persons With Disabilities
The Biomedical Engineering/Research to Aid Persons with Disabilities subtopic supports fundamental engineering
research that has the potential to contribute to improved health care and the reduction of health care costs. Other
areas include models and tools for understanding biological systems. Areas of interest include, but are not limited
to, fundamental improvements in deriving information from cells, tissues, organs, and organ systems; extraction of
useful information from complex biomedical signals; new approaches to the design of structures and materials for
eventual medical use; and new methods of controlling living systems. This program is also directed toward the
characterization, restoration, and/or substitution of normal functions in humans. The research might lead to the
development of new technologies or the novel application of existing technologies. Projects are also supported that
provide "custom-designed" devices or software for persons with mental and/or physical disabilities.
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b. Biotechnology/Biochemical Engineering
The Biotechnology/Biochemical Engineering subtopic supports research that links the expertise of engineering
with life sciences in order to provide a fundamental basis for the economical manufacturing of substances of
biological origin. Projects are supported that utilize microorganisms for the transformation of organic, raw
materials (biomass) into useful products. Fermentation and recombinant DNA processes are important
technologies to this program. Food processing, especially the safety of the nation's food supply, is an emerging
area. Engineers or small groups of engineers and life scientists are encouraged to apply; synergy among the
various disciplines in these types of projects is a very important evaluation criterion. Research areas include, but
are not limited to, cell culture systems; metabolic engineering; sensor development; bioreactor design; separation
and purification processes; monitoring, optimization and control methods; and process integration.
c. Environmental Engineering and Technology
The Environmental Engineering and Technology subtopic supports research that applies engineering principles to
reduce adverse effects of solid, liquid, and gaseous discharges into land, fresh and ocean waters, and air that result
from human activity and impairs the value of those resources. This subtopic supports research on innovative
biological, chemical, and physical processes used alone or as components of engineered systems to restore the
usefulness of polluted land, water, and air resources. The subtopic includes engineering principles underlying
pollution prevention, sensors for environmental measurements, innovative production processes to avoid pollution,
waster reduction and recycling, and improving the cost of effectiveness of pollution abatement. The subtopic also
includes Ocean Engineering, which emphasizes improving the understanding and utilization of the ocean, and
supports research on sensors for monitoring, autonomous vehicles, and engineering systems functioning in the
coastal or deep ocean.
REFERENCES
“Basic Research Needs for Environmentally Responsive Technologies of the Future: An Integrated Perspective of
Academic, Industrial, and Government Researchers.” 1996. Workshop Sponsored by National Science Foundation
and the Department of Energy.
[http://pmi.princeton.edu/conference/environmental/]
“Biotechnology for the 21st Century: New Horizons” A report from the Biotechnology Research Subcommittee of
the Committee on Fundamental Science, National Science and Technology Council. 1995. U. S. Government
Printing Office (038-000-0590-11)
“Meeting the Challenge. A Research Agenda for America’s Health, Safety and Food.” National Science and
Technology Council, Committee on Health, Safety and Food. 1996. U. S. Government Printing Office (ISBN-016-048521-5)
National Research Council, Water Science and Technology Board. 1993. Managing Wastewater in Coast Urban
Areas. Washington, DC: National Academy Press.
National Science and Technology Council. 1995. Bridge to a Sustainable Future.
[http://www.gnet.org/gnet/GOV/usgov/whitehouse/bridge/BRIDGE.HTM]
Proceedings of the First International EPRI/NSF Symposium on Advanced Oxidation, EPRI TR-102927-V2
(November 1993), Prepared by CK & Associates for the Electric Power Research Institute, 3412 Hillview Avenue,
Palo Alto, CA 94304.
Research Priorities for the 21st Century. 1997. Environmental Science and Technology News, 31(1): 20A-27A.
“Strategies for the Future. The Role of Technology in Reducing Health Care Costs.” 1996. Sandia National
Laboratories, SAND 60-2469.
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TOPIC 25: EDUCATION AND HUMAN RESOURCES
A. Scope of Research
The Directorate for Education and Human Resources seeks to provide leadership in improving the quality of
science, mathematics, engineering, and technology education for all students (pre-kindergarten through graduate
studies); to increase the participation of underrepresented populations (women, minorities, and persons with
physical disabilities) in the scientific enterprise; and to expand opportunities for the public understanding of
science and technology. Proposals submitted under this topic must support one or more of the major long-term
goals of the Directorate:
• To ensure that a high-quality formal education in science, mathematics, and technology is available to every
student, enabling those with interest and talent to pursue scientific and technical careers at all levels and
providing a base of understanding of scientific and technological concepts.
• To ensure that individuals who select scientific, engineering, and advanced technology careers have available
the best possible education in their respective disciplines.
• To ensure that opportunities are available at the college level for interested non-specialists to broaden their
scientific and technical backgrounds.
B. Suggested Subtopics
Advanced technologies have revolutionized many segments of the economy. While showing great potential for the
education sector, this impact has been limited. Emerging technologies can play an important role in enhancing
student learning and participation in science, mathematics, engineering, and technology. Emphasis is on the
development of innovative hardware or software that promises (1) to improve the learning of scientific and
technical principles, as well as problem solving at all education levels; (2) to broaden access to quality science and
technology education; and (3) to promote equal access for those with physical disabilities. [Note: Research on the
reading process and learning to read through computer-aided and other means should be addressed to Topic
14.f.]
For further information to assist in developing an SBIR proposal or identifying other programs, proposers are
referred to the EHR announcement: Division of Elementary, Secondary, and Informal Education (NSF-98-4),
Division of Human Resource Development (NSF-96-144), and Division of Undergraduate Education (NSF-97-29).
Categories of proposals most strongly encouraged are as follows:
a. Development of Low-Cost Instrumentation, Data Acquisition, or Distance Learning Equipment
Development of low-cost instrumentation, data acquisition, or distance learning equipment that broadens
opportunities for quality laboratory experiences; provides access to data, enhancing research experiences in
classrooms; or provides access to quality learning experiences for teachers and students of science and mathematics
in geographic areas that are underserved.
b. Computer Simulation and Modeling
Computer simulation and modeling that promotes enhanced student learning through such means as virtual
experimentation, virtual instrumentation, and visualization.
c. Specialized Educational Equipment for Persons with Physical Disabilities
Specialized educational equipment for persons with physical disabilities that aids in the delivery, support, or access
of quality education in science and/or mathematics through such means as adaptive equipment, instructional
methods, and technologies.
Proposals are generally grouped by content area and targeted grade level and reviewed by a panel of individuals
with an appropriate mix of disciplinary, education, and technology expertise. To assist in identifying a panel most
appropriate for review of your proposal, you should indicate both the content category of the subtopic (a-c, as
shown above) and the educational level (1-4, as shown below). Education categories are as follows:
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1. Elementary (grades pre K-5).
2. Middle school (grades 6-8).
3. Secondary school (grades 9-12).
4. Undergraduate (both two- and four-year institutions) and graduate education.
For example, if the proposal primarily concentrates on developing a low-cost laboratory instrument for use at the
secondary school level, the cover page should list "a-3" as the "subtopic letter."
C. Education and Human Resources Specific Evaluation Criteria
Proposals submitted under this subtopic should be focused on establishing the feasibility of developing an
innovative and cost-effective product, which promises to have a major impact on science, mathematics,
engineering, and technology education. In addition to the five SBIR general research evaluation criteria specified
earlier in this solicitation, the following must be addressed, as appropriate:
a.
b.
c.
d.
e.
f.
Demonstrated need for the proposed product.
Evidence that the proposed product is unique and innovative, e.g., with promise to advance the state-of-the-art
in educational technologies.
Demonstrated knowledge of accepted content standards in science, mathematics, engineering, and technology.
Demonstrated awareness of research on student learning and teaching ensuring sound pedagogical techniques
and developmentally appropriate content and instructional strategies.
Demonstrated involvement of science, mathematics, engineering, and technology educators at appropriate
grade levels.
Promise of transportability (i.e., replication across sites) and scalability (i.e., increasing the number of users)
so as to maximize impact on the education community.
TOPIC 26: NEXT GENERATION VEHICLES
A. Scope of Research
The goal of this topic is to fund advanced research that will substantially further the effort to commercialize Next
Generation Vehicles (NGVs). Because many of the technological challenges of commercializing NGVs have been
resolved in recent years, the NSF seeks proposals that are aware of the progress made thus far in NGV-related
research and that address those technological issues that remain relevant to the commercialization of NGVs.
Proposals which involve more traditional forms of automotive research (e.g., development of new heat engines,
combustion research, etc.) will not be reviewed. Proposals, which do not address any of the subtopics below,
may be returned without review.
NGV activities will be funded by many agencies, in many different contexts. The NSF SBIR activity will focus on
high-risk efforts aimed at addressing the critical obstacles that continue to hinder the commercialization of NGVs.
Foremost among these obstacles is the ability to manufacture low-cost NGV components at mass production levels.
For example, recent advances in proton exchange membrane (PEM) fuel cell technology have largely resolved the
issues of power density and catalytic loading of the electrodes. Nevertheless, the commercial viability of PEM fuel
cell vehicles hinges on the ability to manufacture large quantities of PEM fuel cells at low cost without
compromising the advances made in either power density or catalytic loading.
Additional issues that need to be addressed in order to make NGVs commercially viable include the development
and integration of intelligent controls, sensors, and power systems for NGVs. Furthermore, because NGVs will be
introduced into the marketplace at modest levels, there is a significant need to develop technologies that will
enable the delivery of cost-competitive alternative fuels at low levels of demand.
The NSF seeks proposals that provide innovative solutions to the many diverse challenges of the long-term
component of the NGV initiative, with an emphasis on those challenges, which appear most difficult for
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conventional technology. Testbed applications of short-term value to industry are certainly acceptable, but the
evaluation will be based on the long-term potential and uniqueness of the work relative to what is already funded
elsewhere. The NSF will not support commercial vehicle development, but it will give due consideration to
research proposals, which demonstrate that their results, if successful, would be valuable to industry. Priority will
be given to projects, which reduce the lead-time or cost in manufacturing NGVs and their subsystems and to
projects, which would ultimately lead to better vehicle designs. Regardless of topic, priority will be given to new
collaborations across disciplines and/or institutions.
NSF will consider a wide range of advanced research within the various subtopics identified below. The issues of
cost reduction and improved manufacturability are central to almost all of these areas and will be major factors
considered by the reviewers.
B. Suggested Subtopics
a. Manufacturing, Process Control and Materials
Technology that will reduce the cost of manufacturing and enable the large volume production of critical NGV
components such as membranes, fuel cell membrane-electrode assemblies (MEAs), fuel cell stacks, energy storage
devices (e.g., batteries, flywheels and ultracapacitors), fuel processors and gaseous fuel storage systems. Issues
ranging from manufacturing process control to alternative materials are of potential interest if the issue of
manufacturing cost is credibly addressed. Strictly as an example, the characterization of conductive polymers
suitable for use as an alternative to bulky and heavy graphite bipolar plates in PEM fuel cell stacks would be of
interest.
b. Alternative Fuel Infrastructure and Utilization
Technologies that will enable the delivery of cost-competitive alternative fuels as well as their utilization on-board
vehicles. Proposals submitted under this subtopic should be limited to the investigation of technologies relevant to
the production, transport, delivery or on-board utilization (e.g., storage, reformation, etc.) of hydrogen, methanol
or distillate fuels.
The problems associated with low-level demand for alternative fuels in the short term need to be addressed. For
example, technology is currently available to reform natural gas into hydrogen for a station designed to serve a
fleet of approximately 300 vehicles. When NGVs are initially introduced, one may reasonably expect, however, a
fleet of only 30 vehicles to utilize such a station. Therefore, proposals investigating new approaches for delivering
cost-competitive alternative fuels at low levels of demand (such as small-scale, economic natural gas reformers to
produce on-site hydrogen) are of interest to the NSF.
Proposals addressing long-term issues of high-volume alternative fuel production, transport and delivery are also
encouraged. For example, developing cost-effective alternative paradigms for transporting hydrogen, methanol or
distillate fuels or new processes that would enable existing gasoline infrastructure to be converted to handle
methanol or distillate fuel would be of interest.
Because the DOE supports considerable work in “conventional” techniques for hydrogen storage and
methanol/distillate fuel reformation, the NSF’s support for technologies addressing the on-board utilization of
alternative fuels will be focused on those proposals that offer more novel approaches to these critical problems.
c. Intelligent Control, Sensors and Systems Integration
Advanced control designs applicable to a next generation automobile or to major subsystems such as the engine or
power plant. For example, some researchers have argued that the quality of thermal control may be important to
reducing the size of fuel processors used to convert on-board hydrocarbons to hydrogen for injection into a fuel
cell. Research using benchmark versions of this control problem or using/upgrading new intelligent control designs
could be of great interest. Reports on natural gas and methanol reformers based on work supported by DOE are
available from Los Alamos National Laboratories and from Arthur D. Little (ADL). Some of the NSF-supported
work in intelligent control is described in the Handbook of Intelligent Control, White and Sofge (eds.), Van
Nostrand, 1992 and the Website <http://www.nsf.gov/eng/ecs/enginsys.htm>. Development of solid-state, low
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cost “intelligent sensors” for gas concentrations and other key variables using on-chip pattern recognition could be
an important component of some research efforts within this topic. “Interesting” stand-alone sensors, however,
which do not fill critical gaps will not be funded.
In recent discussions, industry has reiterated the importance of demonstrating the feasibility (including
controllability) of more compact fuel cell power plants and reformers for natural gas, methanol or distillate fuel.
Access to credible models and data will be an important review consideration along with the level of innovation in
control approaches and choice of a problem where new results could have a real strategic impact.
d. Membrane Research
Improvement and analysis of membranes used in fuel cells with particular emphasis on PEM membranes. The
objective is to develop new membranes capable of being used in very compact fuel cells. The ultimate goal is to
develop low-cost, easy-to-manufacture membranes that demonstrate improved performance, lifetime, power
density and/or tolerance of a broad range of operating conditions. Fundamental research, which leads to a better
understanding of these characteristics, can also be supported.
e. Catalysis
Improved catalysts and manufacturing technologies for incorporating catalysts in fuel cells or fuel reformers.
Proposals developing improved techniques for integrating catalysts into fuel cell MEAs in a mass production
environment will be given priority consideration. Lower-cost alternatives to platinum such as macrocyclic catalysts
and methods to reduce catalyst loading and increase power density in PEM fuel cells will be given due
consideration. Catalysts for the environmentally benign direct oxidation of methanol are also of interest. NSF
would also support highly theoretical work related to this topic, such as the development of molecular modeling
and analysis tools, focused on the issue of improved capabilities to design such new catalysts or structures at
minimum cost, for use by the general research community. There would be special interest in novel algorithms
embodying the quantum mechanical calculations relevant to predicting the electrochemical properties of alternative
molecules.
f. Power Systems and Integration
Power management issues--including but not limited to control, power semiconductors, energy storage, and
strategies for coping with EMI interference--associated with systems-level design of NGVs. Los Alamos National
Laboratories has published a number of papers describing some of these challenges. Industry is particularly
concerned about cost and whole-cycle efficiency in this area along with the credibility and innovation issues
mentioned above.
g. Enterprise Integration and Design Technologies
Improved enterprise integration software, designed to minimize lead times in developing such vehicles. NSF
already supports generic work in enterprise integration and CAD/CAM systems. There are special issues, however,
in developing systems, which facilitate anticipatory design for whole-systems cost and dynamic performance of
NGVs, based on components, which are only now being built. There are further issues in developing systems,
which could provide the backbone for collaboration between multiple enterprises and universities, using
nationwide communications networks. The management of property rights within such networks is of some
importance; there are economic issues involved in maximizing efficiency, while maintaining the incentives of all
parties. Use of intelligent control techniques in simulation might also be used in design optimization with reference
to dynamic test regimes.
h. Social and Economic Issues
Research needed to better understand the social and economic processes of a transition to a whole new fuel
infrastructure, and the issues involved in labor conversion, and the speed of adoption and technology diffusion.
Particularly important would be research that improves our ability to calibrate and predict costs and markets in a
fundamental way, so as to provide better decision trees to guide investment and research.
i.
Environmental Issues
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Whole-systems environmental issues, ranging from recycling parts and fuel for a new class of vehicles to pollution
control during and after fuel production. Environmental issues in the process of transition to a new fuel
infrastructure are also of interest.
TOPIC 27: MICROELECTRONICS MANUFACTURING
A. Scope of Research
The microelectronics industry is passing through a critical stage where a new manufacturing facility can require
over $1 billion in capital investments. Technologies are urgently needed to reduce cost while significantly
improving product quality and manufacturing output and flexibility, and minimizing impact on the environment.
Microelectronics manufacturing also provides challenging research problems that will help in the development of
new knowledge and technology for complex engineering systems. For example, each new generation of electronics
products will incorporate integrated circuits with significantly higher performance and continued reduction in
geometric dimensions. This will require innovations in optimizing the performance/cost of a product over its
entire life cycle, including such issues as manufacturability, reliability, serviceability, and disposability.
Microelectronics manufacturing is funded by many agencies, in many contexts. NSF will consider proposals for
fundamental research that may be high-risk but which offers high potential for the next generation of electronics
manufacturing. The goal is to stimulate technological innovation in the small business sector and increase
commercial application of research and development results from academic institutions.
NSF will consider a wide range of research proposals in microelectronics manufacturing with emphasis on
cooperation and cross-fertilization of ideas between different disciplines in science and engineering. The list of
subtopics given below is intended to be illustrative, not comprehensive.
B. Suggested Subtopics
a. Materials and Processing Technologies
Chemicals and materials of interest in mainstream integrated circuit fabrication include high and low K dielectrics,
silicon-on-insulator technologies, resists, and interconnected metals among others. Other chemicals and materials
include those relevant flat panel display applications, and in mass storage, compound semiconductors for
microwave and radio frequency applications, and materials for optoelectronics applications including
communications and mass storage. This subtopic also includes tools and processes used to fabricate devices,
circuits and systems in all of the applications discussed above, including rapid thermal processing, dry etch
processing, and materials synthesis.
b. TCAD (Technology Computer Aided Design) for Improved Processes and Devices
Process development uses many tools to model and implement improved processes, active devices, multilevel metal
interconnect structures and integrated systems. TCAD is an array of tools linking data from various sources to
assess independently and optimize many of the trade-offs in process development. The scope includes the
development of robust TCAD (tools and software) to support all stages of IC design, manufacturing and testing as
well as design for manufacturability, reliability and performance.
c. Closed-loop Control, Sensors, and Equipment Automation
Classical statistical process control (SPC) will not meet the competitive requirements of advanced electronics
devices since it makes use of statistics to establish when undesirable products have been already produced and to
stop further production of bad product. The use of real-time sensors and closed-loop control systems will
significantly reduce the volume of defective materials that pass through the manufacturing line. In addition to
higher yields, the advanced control methods will greatly reduce set up times and improve the reliability of
processes and equipment. The development of sensors and actuators is also of major importance for
microelectronics manufacturing equipment and processes. Sensors and actuators of interest include chemical/gas
sensors for control and optimization, high-resolution sensors and actuators for sub-micron positioning in part
assembly, tactile sensors for part assembly, and thermal sensors for process control.
d. Environmentally Conscious Manufacturing
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The electronics industry is also facing new environmental regulations that will significantly add to manufacturing
costs. For example, Germany’s proposed Electronic Waste Ordinance will place new obligations on electronics
equipment manufacturers and distributors to take back used products for remanufacturing or recycling of materials.
While the U.S. industry has made efforts to remediate toxic pollution, these after-the-fact measures typically add
significant cost and reduce ability to compete. Explosive and toxic gases used in microelectronics manufacturing
continue to be a major safety and environmental concern. Sensors that monitor gas and chemical purity and
cleanliness are still not very reliable and are of major concern. Gas analyzers, mass controller calibrators, sensors
that are chemically selective and particle detectors are of interest in detecting process problems and generating
appropriate control actions. The scope includes advanced control/optimization methods and innovative designs of
chemically benign electronics manufacturing that will address pollution prevention or reduction, not waste
treatment.
e. Manufacturing Equipment and Systems
The next-generation of integrated circuits manufacturing requires affordable, intelligent, and reliable tools. Wafer
carriers must be non-contaminating, and they must integrate into flexible manufacturing systems. Handling of
components, such as wafer carriers, enclosures, stockers, and wafer handling robots must evolve to address the
process and contamination control requirements, factory automation capabilities, and operational requirements.
Another major challenge in microelectronics manufacturing is the complexity and repetitive use of many
processing operations. The machines are expensive, and many return repeatedly at different stages of their
production to the same service stations for further processing. The research interest includes new concepts and
designs for equipment manufacturing and the development of efficient scheduling policies to optimize and reduce
the cycle-time.
References
The National Technology Roadmap for Semiconductors. 1994. Semiconductor Industry Association, San Jose,
California.
The Greening of Home Electronics: Special Report, IEEE Spectrum, August 1994.
TOPIC 28. EXPERIMENTAL AND INTEGRATIVE ACTIVITIES
A. Scope of Research
The Division of Experimental and Integrative Activities (EIA) supports research in experimental computer and
information science and engineering as well as research programs that cut across all the divisions in Computer and
Information Science and Engineering (CISE) or that are NSF-wide. Experimental research supported in EIA
generally spans the expertise of many CISE areas and often involves infrastructure needs. NSF-wide programs that
expand and promote diversity in the CISE scientific workplace are supported in partnership with other NSF
divisions. These integrative roles of linking research and education, supporting a continuous range of theoretical
to experimental approaches to CISE research, and interdisciplinary research linking to other NSF research areas
are the principal activities of EIA. The division also supports special projects, such as studies and analyses on
issues of interest to the CISE disciplines, and coordinates integrative international activities.
B. Suggested Subtopics for FY98
Because the research areas of interest to EIA overlap the interests of many other divisions within NSF, other
divisions will cover most topics. EIA's SBIR topics of interest are therefore limited to a few narrowly defined focus
areas. Proposals falling within the subtopics described in this section will be appropriate for review within EIA.
a. Input/Output Systems
Experimental research that incorporates new input/output or mass storage devices into a computing system is
supported within EIA. High-performance I/O systems allow increasingly widespread computers to sense and affect
the world. The research under this topic should integrate advances in interface hardware and software with the
engineering of new I/O devices such as smart CMOS sensors to apply computer systems to new real-world tasks.
Phase I Solicitation and Phase II Instruction Guide
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National Science Foundation
Small Business Innovation Research
b. New Measures of System Performance
As computing systems advance from generation to generation, the crucial aspects of performance constantly shift.
Today's systems are much better measured by reliability, networking speed, memory hierarchy latency, system
safety, and other measures than they are by processor speed. Research projects that focus on defining new
benchmarks, on measuring a variety of computing systems against those benchmarks, and on interpreting
measurements to predict real-world performance are housed in EIA.
c. Learning Technologies
As the speed, memory, and communications bandwidth all increase for computers available in university and K-12
schools, the possibility of developing new interactive technologies for individualized learning becomes more
feasible. Proposals for next generation intelligent tutoring systems; authoring tools for instructional software; and
innovative software for modeling, implementing, and assessing different pedagogical approaches to teaching more
complex content at all levels of learning applications are encouraged. Of particular interest are proposals for early
childhood learning and K-12 learning.
TOPIC 29. COMPUTER-COMMUNICATIONS RESEARCH
A. Scope of Research
The new Division of Computer-Communications Research (C-CR) supports research in computer science,
computer engineering, communications, and signal processing systems aimed at order-of-magnitude improvements
in one or more of the subtopics below. Multi- and/or cross-disciplinary research is encouraged.
Research areas include the following:
•
•
•
•
•
•
design automation, computer architecture, software systems and engineering
design and implementation of computer languages
numerical, symbolic, and geometric computation
theory of computing
communications systems
signal processing systems
Continued progress requires developing newer algorithms, languages, tools, and hardware and software systems.
To develop new technologies, new (basic) research is required in theory, problem solving, design, and
implementation.
Basic themes for research in the Division are as follows:
• Biocomputing
• High confidence systems
• Problem-solving environments
• Parallel and distributed systems
For more detail, consult the C-CR homepage at http://www.cise.nsf.gov/ccr. To see which types of projects have
been recently supported, consult the Summary of Awards for both C-CR and SBIR.
B. Suggested Subtopics
Only proposals for development of original concepts in which scientific knowledge is applied in novel ways to one
or more of the areas listed below will be considered under Topic 29. Experimental approaches that produce
quantitative data to validate theoretical claims may be supported. All proposals must clearly specify an innovative
concept or technique for which feasibility is to be determined; delineate the scientific issues to be investigated;
include a detailed research plan; and identify potential benefits if successful.
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National Science Foundation
Small Business Innovation Research
a. Communications
Research supported under this subtopic addresses the efficient representation and transmission of information
through possibly unreliable media. Some of the research areas that fall within this program include the following:
•
•
•
•
Compression of speech, images, video, and/or data
Efficient modulation and coding for the reliable transmission of information over inherently unreliable (and/or
constrained) communication channels
Also included here: Similar techniques for data storage systems (e.g., magnetic and optical memories)
Multiple-access methodologies--e.g., CDMA, TDMA, etc.
Communications signal processing, including algorithms for the detection of signals in noise as well as the
estimation, acquisition, and tracking of signal parameters
b. Computer Systems Architecture
Under this subtopic, basic research on computer architecture, parallel and distributed architecture. hardware
performance evaluation, reliability and fault tolerance is supported. Novel computing structures and technologies
are emphasized. Important elements of evaluation are assessments of fault tolerance and performance through
both theoretical and small-scale experimental studies. Development of supporting system software may be
included in the research plan, when intimately connected to the architecture or hardware.
Special attention is currently given the following:
•
•
•
•
•
•
•
•
•
•
•
Metrics: benchmarks, new applications, non-performance metrics
Parallelism: including small-scale and mpps
Systems of systems: latency reduction, bandwidth increase, processor-in-memory, I/O, interconnects, new
device support
Small-scale MPs (roughly 2 to 100 nodes): synchronization, communication, protection, memory system
structure, reliability, performance metrics, compiler-architecture interaction
Memory: bandwidth, latency questions, hierarchy management
Interconnect: fault tolerance, dynamics of faults and recovery, reliability, quality of service
Processor-in-Memory (PIM): single and multiple PIMs, new architectures
Input/Output: availability, scalable I/O, performance, data stream management, low-overhead protection,
latency tolerance
Single-thread computing: Prediction and speculation, architectural support, control simplification
Multiple-thread computing: multiscalar, dynamic sharing, communication, synchronization, multiple
independent processors
Protection: non-trusted applications coming in off the net, security, privacy
c. Design Automation
Research under this subtopic investigates scientific methodologies, intellectual processes, abstractions, search
paradigms, and information models used in Electronic Design Automation (EDA) and those areas where VLSI
design technology is applicable. The latter include the following: systems-on-a-chip, embedded systems, and
multi-technology (optical, micro-electromechanical, etc.) systems. VLSI chips and systems of the future will be
very complex; thus paradigm shifts in design are needed, as are new abstractions which permit the designer to
better manage complexity. Problems of design re-use and deeper design-space exploration are changing the nature
of design and require new approaches.
Special attention is currently given to research on the following:
•
•
•
•
Multi-technology integration--e.g., MEMS design
Physical design of high-speed circuits and systems
Validation and analysis methods that guarantee functionality
Design and test for VLSI chips and embedded systems
Phase I Solicitation and Phase II Instruction Guide
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National Science Foundation
•
•
•
•
•
•
Small Business Innovation Research
Design aids for the early stages of the design process: Estimates of design parameters from incomplete
specifications
Tools for early simulation and analysis
Metrics and estimation tools for cost, power, test, and manufacturability
Incremental design and re-use of existing designs and components
Complete electronic systems design
Fault diagnosis and error detection
d. Numeric, Symbolic, and Geometric Computation
Innovative research is needed on algorithms, techniques, systems, tools, and environment for numeric, symbolic,
and algebraic computations. Other needs include numeric-symbolic interfaces, computer graphics, visualization of
scientific computations, scientific and engineering applications incorporating symbolic computing techniques, and
problem solving environments. Areas of interest include the following:
•
•
•
•
•
Tools and environments for scientific computation
Packages for mathematical programming and optimization
Computer graphics systems
Scientific and engineering application
Modeling in geometric computation
e. Operating Systems and Compilers
The focus of this subtopic is design and implementation of computing systems ranging from operating systems,
compilers, runtime systems, and libraries to middleware for the integration of various heterogeneous systems and
information sources. Special emphasis is placed on software architectures for parallel and distributed systems,
particularly those involving global scale networked applications. Areas of interest include the following:
•
•
•
•
•
•
•
•
•
•
•
Operating systems and extensible kernels
Middleware for the design of scalable services
Web-based distributed computing
Software support for mobile computing
Software systems for distributed problem solving
System resource management and QoS guarantees
Systems security and electronic commerce
Compilation methods for high-performance architectures, multiscalar architectures, and heterogeneous
environments
Compilers for object-oriented, functional and logic programming
Architectural support for efficient implementation of programming languages
Runtime and compilation techniques for mobile applications and transportable programs.
f. Signal Processing Systems
Research is primarily in the areas of Digital Signal Processing (DSP), analog signal processing, and supporting
hardware and software systems. A taxonomy of the core research areas, based on signal characteristics,
applications, and/or technology includes the following: One-Dimensional Digital Signal Processing (1-D DSP)-the representation of time-varying signals (e.g., audio, EKG, etc.) in digital form, and the processing of such
signals (e.g., (adaptive) filtering and equalization and time-frequency representations); Statistical Signal and Array
Processing (SSAP)--the use of statistical techniques for the processing of signals that may arise from multiple
sources; Image and Multi-Dimensional Digital Signal Processing (IMDSP--the acquisition, manipulation, and
display of multidimensional data using digital technology (e.g., image analysis, filtering, restoration, and
enhancement, image and video coding and vector quantization); and Analog Signal Processing (ASP)
--the processing of data without conversion to sampled-digital form (e.g., analog-to-digital conversion and analog
circuits and filters).
Special attention is currently given to research in:
Phase I Solicitation and Phase II Instruction Guide
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National Science Foundation
•
•
•
•
Small Business Innovation Research
Antenna array processing with application to wireless communications systems, especially cellular telephony,
Personal Communications Systems (PCS), and wireless local area networks
Signal compression for reduced data rate with applications to wireless communications systems
Scalable/progressive/multiresolution approaches in signal decomposition, compression, and other signal
processing signal processing techniques to support content analysis; data quality validation
Manufacturing applications, e.g., nondestructive test and evaluation, computed tomography, and SAR
[Note: The SBIR programs of the DoD have a strong component in signal processing that addresses defense
applications; proposals involving such problems are ineligible at NSF.] SBIR proposals containing innovative
research ideas for possible commercial applications are strongly encouraged.
h. Software Engineering and Languages
Research on complex software systems is of current importance, since software is frequently cited as the major
factor accounting for the high cost and unreliability of critical, complex, computer-based systems. Fundamental
issues in this area include methods of engineering safe, secure, failure-free, software systems and techniques for
reducing the cost of software systems evolution. Creation and utilization of programming languages and tools,
including domain-specific languages and visual languages, are covered by this subtopic, particularly as part of a
solution to a recognized problem in the development of software systems.
Research in this area should concentrate on methodologies and tools for the development, maintenance, and
management of sequential, parallel, distributed, or real-time software systems. Areas of interest include the
following:
•
•
•
•
•
•
•
•
Software prototyping
Software specification, design, and reuse
Software validation and verification
Software measurement and process
Software security
Software development environments
Design and semantics of programming languages of all kinds: imperative, declarative, functional, objectoriented, constraint, and other paradigms
Programming tools and environments
Phase I Solicitation and Phase II Instruction Guide
Page 85
Attachment A
INFORMATION ABOUT PRINCIPAL INVESTIGATOR/PROJECT DIRECTORS
Submit only ONE copy of this form with your proposal. Attach it on top of the cover page of the copy of your proposal that bears the
original signatures. Leave the back of the page blank. Do not include this form with any of the other copies of your proposal, as this
may compromise the confidentiality of the information.
Please check the appropriate answers to each question for all principal investigator(s)/project director(s) listed on the cover page, using the
same order in which they were listed there:
Principal
First
Second
Third
Fourth
Investigator/
Additional Additional
Additional Additional
Project Director
PI/PD
PI/PD
PI/PD
PI/PD
1. Is this person
Female
Male
2. Is this person a
U.S. Citizen
Permanent Resident
Other non-U.S. Citizen
3. Which one of these categories best describes this person’s ethnic/racial status? (If more than one
category applies, use the category that most closely reflects the person’s recognition in the community.)
American Indian or
Alaskan Native
Asian
Black, not of Hispanic Origin
Hispanic
Pacific Islander
White, not of Hispanic Origin
4. Does this person have a disability which limits a major life activity?
Yes
No
Check here if this person does
not wish to provide some of all
of the above information
REQUIRED: Check here if this person is currently serving (or has previously served) as PI, Co-PI or PD on any Federally funded project
AMERICAN INDIAN OR ALASKAN NATIVE: A person having origins in any of the original peoples of North American and who maintains
cultural identification through tribal affiliation or community recognition.
ASIAN: A person having origins in any of the original peoples of East Asia, Southeast Asia or the Indian subcontinent. This area includes for
example, China, India, Indonesia, Japan, Korea, and Vietnam.
BLACK, NOT HISPANIC ORIGIN: A person having origins in any of the black racial groups of Africa.
HISPANIC: A person of Mexican, Puerto Rico, Cuban, Central of South American or other Spanish culture or origin, regardless of race.
PACIFIC ISLANDER: A person having origins in any of the original peoples of Hawaii; the U.S. Pacific territories of Guam, American Samoa, and
the Northern Marinas; The U.S. Trust Territory of Palau; the islands of Micronesia and Melanesia; or the Philippines.
WHITE, NOT OF HISPANIC ORIGIN: A person having origins in any of the original peoples of Europe, North Africa, or the Middle East.
*Disabled: A person having a physical or mental impairment that substantially limits one or more major life activities; who has a record of such
impairment; or who is regarded as having such impairment.
WHY THIS INFORMATION IS BEING REQUESTED:
The Federal Government has a continuing commitment to monitor the operation of its review and award processes to identify and address any
inequities based on gender, race, ethnicity, or disability of the proposed principal investigators/project directors and co-principal investigators. To
gather the information needed for this important task, you should submit a single copy of this form with each proposal; however, submission of the
requested information is not mandatory and is not a precondition of award. Any individual not wishing to submit the information should check the
box provided for this purpose. (The exception is information about previous Federal support, the last question above.)
Information from this from will be retained by Federal agencies as an integral part of their Privacy Act Systems of Records in accordance with the
Privacy Act of 1974. These are confidential files accessible only to appropriate Federal agency personnel and will be treated as confidential to the
extent permitted by law. Data submitted will be used in accordance with criteria established by the respective Federal agency for awarding grants for
research and education, and in response to Public Law 99-383 and 42 USC 1885c.
NSF Form 1225 (SBIR 12/96)
CERTIFICATION PAGE
Certification for Principal Investigators
I certify to the best of my knowledge that:
(1) the statements herein (excluding scientific hypotheses and scientific opinions) are true and complete, and
(2) the text and graphics herein are as well as any accompanying publications or other documents, unless otherwise indicated, are the original work of
the signatories or individuals working under their supervision. I agree to accept responsibility for the scientific conduct of the project and to provide the
required progress reports if an award is made as a result of this application.
I understand that the willful provision of false information or concealing a material fact in this proposal or any other communication submitted to NSF is a
criminal offense (U.S. Code, Title 18, Section 1001).
Name (Typed)
PI/PD
Signature
Date
Certification for Authorized Organizational Representative or Individual Applicant
By signing and submitting this proposal, the individual applicant or the authorized official of the applicant institution is: (1) certifying that statements made
herein are true and complete to the best of his/her knowledge; and (2) agreeing to accept the obligation to comply with NSF award terms and conditions if
an award is made as a result of this application. Further, the applicant is hereby providing certification regarding Federal debt status, debarment and
suspension, drugfree workplace, and lobbying activities (see below), as set forth in the Grant Proposal Guide (GPG), NSF 98-2. Willful provision of false
information in this application and its supporting documents or in reports required under an ensuring award is a criminal offense (U.S. Code, Title 18,
Section 1001).
In addition, if the applicant institution employs more than fifty persons, the authorized official of the applicant institution is certifying that the institution has
implemented a written and enforced conflict of interest policy that is consistent with the provisions of Grant Policy Manual, Section 510; that to the best of
his/her knowledge, all financial disclosures required by that conflict of interest policy have been made; and that all identified conflicts of interest will have
conflict of interest policy. Conflicts which cannot be satisfactorily managed, reduced or eliminated must be disclosed to NSF.
Debt and Debarment Certifications
(If answer “yes” to either, please provide explanation.)
Is organization delinquent on any Federal debt?
YES
Is the organization or its principals presently debarred, suspended, proposed for debarment, declared
ineligible, or voluntarily excluded from covered transactions by a Federal Department or agency?
NO
YES
NO
Certification Regarding Lobbying
This certification is required for an award of a Federal contract, grant or cooperative agreement exceeding $100,000 and for an award of a Federal loan or a
commitment providing for the United States to insure or guarantee a loan exceeding $150,000.
Certification for Contracts, Grants, Loans and Cooperative Agreements
The undersigned certifies, to the best of his or her knowledge and belief, that:
(1) No Federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to
influence an officer of employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a member of Congress in
connection with the awarding of any federal contract, the making of any Federal grant, the making of any Federal loan, the entering into of any cooperative
agreement, and the extension, continuation, renewal, amendment, or modification of any Federal Contract, grant, loan, or cooperative agreement.
(2) If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or
employee of any agency, a Member of Congress, and officer or employee of Congress, or an employee of a Member of Congress in connection with this
Federal contract, grant, loan, or cooperative agreement, the undersigned shall complete and submit Standard Form-LLL, “Disclosure of Lobbying
Activities,” in accordance with its instructions.
(3) The undersigned shall require that the language of this certification be included in the award documents for all subawards at all tiers including
subcontracts, subgrants, and contracts under grants, loans, and cooperative agreements and that all subrecipients shall certify and disclose accordingly.
This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this
certification is a prerequisite for making or entering into this transaction imposed by section 1352, title 31, U.S. Code. Any person who fails to file the
required certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure.
Authorized Company Officier
Name /Title (Typed)
Telephone Number
Signature
Electronic Mail Address
Page 2 of 2
Date
Fax Number
Attachment B
NATIONAL SCIENCE FOUNDATION
Program Solicitation/Instruction Guide: NSF 98-54
Closing Date: June 12, 1998
SBIR PHASE I -- PROPOSAL COVER PAGE
TOPIC NO.
SUBTOPIC LETTER
(if any)
TOPIC TITLE
PROPOSAL TITLE
COMPANY NAME
EMPLOYER IDENTIFICATION NUMBER (EIN) OR
TAXPAYER IDENTIFICATION NUMBER (TIN)
ADDRESS (including address of Company Headquarters and zip code plus four digit extension)
REQUESTED AMOUNT
PROPOSED DURATION
PERIOD OF PERFORMANCE
$
6 months
THE SMALL BUSINESS CERTIFIES THAT:
1. It is a small business as defined in Section 2.12
2. It qualifies as a socially and economically disadvantaged business as defined in Section 2.14. FOR STATISTICAL
PURPOSES ONLY.
3. It qualifies as a women-owned business as defined in Section 2.17. FOR STATISTICAL PURPOSES ONLY.
4. NSF is the only Federal agency that has received this proposal (or an overlapping or equivalent proposal) from the
small business concern. If No, you must disclose overlapping or equivalent proposals and awards as required by this
solicitation. (See Section 3.1.12)
5. A minimum of two-thirds of the research will be performed by this firm in Phase I.
6. The primary employment of the principal investigator will be with this firm at the time of award and during the
conduct of the research.
7. It will permit the government to disclose the title and technical abstract page, plus the name, address and
telephone number of a corporate official if the proposal does not result in an award to parties that may be interested
in contacting the small business for further information or possible investment.
8. It will comply with the provisions of the Civil Rights Act of 1964 ( P. L. 88-352) and the regulations pursuant
thereto.
9. It has previously submitted proposals to NSF.
10. It previously submitted this proposal (which was declined) and significant modifications have been made as
described in Section 4.4.
PRINCIPAL INVESIGATOR / PROJECT DIRECTOR
NAME
TITLE
SOCIAL SECURITY NO.
TELEPHONE NO.
(
)
NAME
HIGHEST DEGREE / YEAR
Y/N
E-MAIL ADDRESS
FAX NO.
WEB ADDRESS
(
)
COMPANY OFFICER (FOR BUSINESS AND FINANCIAL MATTERS)
TITLE
TELEPHONE NO.
PRESIDENT’S NAME
OTHER INFORMATION
YEAR FIRM FOUNDED
NUMBER OF EMPLOYEES AVERAGE
PREVIOUS 12 MO.:
CURRENTLY:
PROPRIETARY NOTICE: See Section 5.5 concerning proprietary information.
(Check Here
if proposal contains proprietary information.)
NOTE: The signed Certification Page MUST be included immediately following this Cover Page with the original copy of the proposal only.
NSF FORM 1207-PI (SBIR 1/98)
Proposal Page No. 1
Attachment C
National Science Foundation
Small Business Innovation Research Program
Program Solicitation/Instruction Guide No: NSF 98-54
PROJECT SUMMARY
FOR NSF USE ONLY
NSF PROPOSAL NUMBER:
COMPANY NAME
ADDRESS
PRINCIPAL INVESTIGATOR (NAME AND TITLE)
TITLE OF PROJECT
TOPIC TITLE
TOPIC NUMBER AND SUBTOPIC LETTER
PROJECT SUMMARY
(200 words or less)
Potential Commercial Applications of the Research
Key Words to Identify Research or Technology (8 maximum)
NSF Form 1304 (SBIR 10/97)
Phase I Award No. (For Phase II proposals
only)
Attachment D
SUMMARY
(SEE INSTRUCTIONS ON REVERSE
FOR NSF USE ONLY
PROPOSAL BUDGET
BEFORE COMPLETING)
ORGANIZATION
PROPOSAL NO.
DURATION
(MONTHS)
Proposed
PRINCIPAL INVESTIGATOR/PROJECT DIRECTOR
AWARD NO.
A. SENIOR PERSONNEL: PI/PD and Other Senior Associates
(List each separately with title, A.6, show number in brackets)
NSF Funded
Person-mos.
Funds
Granted By NSF
(If Different)
Funds
Requested By
Proposer
CAL
1.
$
$
$
$
2.
3.
4.
5.
6. (
) OTHERS (LIST INDIVIDUALLY ON BUDGET EXPLANATION PAGE)
7. (
) TOTAL SENIOR PERSONNEL (1−5)
B. OTHER PERSONNEL (SHOW NUMBERS IN BRACKETS)
1. (
) POST DOCTORAL ASSOCIATES
2. (
) OTHER PROFESSIONALS (TECHNICIAN, PROGRAMMER, ETC.)
3. (
) GRADUATE STUDENTS
4. (
) UNDERGRADUATE STUDENTS
5. (
) SECRETARIAL - CLERICAL
6. (
) OTHER
TOTAL SALARIES AND WAGES (A+B)
C. FRINGE BENEFITS (IF CHARGED AS DIRECT COSTS)
TOTAL SALARIES, WAGES AND FRINGE BENEFITS (A+B+C)
D. PERMANENT EQUIPMENT (LIST ITEM AND DOLLAR AMOUNT FOR EACH ITEM EXCEEDING $5,000.)
(Do not use for Phase I)
TOTAL PERMANENT EQUIPMENT
E. TRAVEL 1. DOMESTIC (INCL. CANADA AND U.S. POSSESSIONS
2. FOREIGN (Do not use for Phase I)
F. PARTICIPANT SUPPORT COSTS
1. STIPENDS
$ _______________
2. TRAVEL
_______________
3. SUBSISTENCE
_______________
4. OTHER
_______________
(
) TOTAL PARTICIPANT COSTS
G. OTHER DIRECT COSTS
1. MATERIALS AND SUPPLIES
2. PUBLICATION COSTS/DOCUMENTATION/DISSEMINATION
3. CONSULTANT SERVICES (Attach confirmation letters) (Daily rate not over $443)
4. COMPUTER (ADPE) SERVICES
5. SUBAWARDS (PROVIDE A SEPARTE NSF FORM 1030 FOR EACH SUBAWARD)
6. OTHER
TOTAL OTHER DIRECT COSTS
H. TOTAL DIRECT COSTS (A THROUGH G)
I. INDIRECT COSTS (SPECIFY RATE AND BASE)
TOTAL INDIRECT COSTS
J. TOTAL DIRECT AND INDIRECT COSTS (H+I)
K. FEE (If requested; maximum equals 7% of J)
L. TOTAL COST AND FEE (J + K)
PI/PD TYPED NAME & SIGNATURE
DATE
CO. REP. TYPED NAME & SIGNATURE
DATE
FOR NSF USE ONLY
INDIRECT COST RATE VERIFICATION
NSF FORM 1030A (SBIR) (2/97)
Granted
Date Checked
Date of Rate Sheet
Initials-DGA
Attachment D (Continued)
INSTRUCTIONS FOR USE OF SUMMARY PROPOSAL BUDGET
(NSF FORM 1030A)
1. General
a. Each grant proposal, including requests for supplemental funding, must contain a Summary Proposal Budget in this
format unless a pertinent announcement/solicitation specifically provides otherwise. A Summary Proposal Budget need not
be submitted for incremental funding unless the original grant letter did not indicate specific incremental funding or if
adjustments to the planned increment exceeding the greater of 10% or $10,000 are being requested.
b. Copies of NSF Form 1030A and instructions should be reproduced locally.
c. For SBIR Phase II Proposals - a cumulative budget for the full term of the grant is required.
d. Completion of this summary does not eliminate the need to document and justify the amounts requested in each
category. Such documentation should be provided on additional page(s) immediately following the budget in the proposal
and should be identified by line item. The documentation page(s) should be titled "Budget Justification/Explanation Page."
e. If a revised budget is required by NSF, it must be signed and dated by the Authorized Organizational Representative and
Principal Investigator and submitted in at least the original and two copies.
2. Budget Line Items
A full discussion of the budget and the allowability of selected items of cost is contained in the Grant Proposal Guide, NSF
Grant Policy Manual (GPM). The following is a brief outline of budget documentation requirements by line item. (NOTE: All
documentation, justification/explanation required on the line items below should be provided on the Budget
Justification/Explanation Page(s).
A., B., and C. Salaries, Wages, and Fringe Benefits (GPM 611). List individually, all senior personnel who were grouped
under Part A, the requested person-months to be funded and rates of pay.
D. Equipment (GPM 612). Items exceeding $5,000 and 1 year’s useful life are defined as permanent equipment (unless
lower thresholds are established by the organization). List item and dollar amount for each item. Justify
E. Travel (GPM 614 AND GPM 760). Address the type and extent of travel (including consultant travel) and its relation to
the project. Itemize by destination and cost and justify travel outside the United States and its possessions, Puerto Rico,
Canada, and Mexico (foreign travel is normally not permitted for Phase I). Include dates of foreign visits or meetings. Fare
allowances are limited to round-trip, jet-economy rates.
F. Participant Support Costs (GPM 618). Normally, participant support costs may only be requested for grants supporting
conferences, workshops or symposia. Show number of participants in brackets. Consult GPG or specific program
announcement/solicitation for additional information.
G. Other Direct Costs.
1. Materials and Supplies (GPM 613). Indicate types required and estimate costs.
2. Publication, Documentation and Dissemination (GPM 617). Estimate costs of documenting, preparing,
publishing, disseminating, and sharing research findings.
3. Consultant Services (GPM 616). Indicate name, daily compensation (limited to individual’s normal rate or daily
rate paid for Level IV of the Executive Schedule whichever is less), and estimated days of service, and justify.
4. Computer Services (GPM 615). Include justification based on established computer service rates at the proposing
institution. Purchase of equipment is included under D.
5. Subawards (GPM 313). Also include a complete budget NSF Form 1030A for each subaward and justify details.
6. Other. Itemize and justify. Include computer equipment leasing.
I. Indirect Costs (GPM 630). Specify current rate(s) and base(s). Use current rate(s) negotiated with the cognizant Federal
negotiating agency. See GPM for special policy regarding grants to individuals, travel grants, equipment grants, doctoral
dissertation grants and grants involving participant support costs (GPM, Chapter VI)
PROPOSERS MUST NOT ALTER OR REARRANGE THE COST CATEGORIES AS THEY APPEAR ON THIS FORM WHICH HAS
BEEN DESIGNED FOR COMPATIBILITY WITH DATA CAPTURE BY NSF’S MANAGEMENT INFORMATION SYSTEM. IMPROPER
COMPLETION OF THIS FORM MAY RESULT IN RETURN OF PROPOSAL.
Attachment E
SMALL BUSINESS INNOVATION RESEARCH (SBIR) PHASE I REPORT COVER PAGE
NSF Award Number:
Project Title:
Date:
Period Covered by this Report:
Company Name:
PI Name:
Telephone Number:
Fax Number:
Company Address:
Please check as appropriate:
Plan to submit Phase II Proposal on
November 12, 1998
November 12, 1999
Report contains Proprietary Information
Acknowledgment of NSF support and disclaimer:
“This material is based upon work supported by the National Science Foundation under
Award Number:______________. Any opinions, findings, and conclusions or
recommendations expressed in this publication are those of the author(s) and do not
necessarily reflect the views of the National Science Foundation.”
Certifications:
I certify that the Principal Investigator currently is
, is not
grantee organization as defined in the SBIR Solicitation.
, “primarily employed” by the
I certify that the work under this project has
, has not , been submitted for funding to another
Federal agency and that it has
, has not , been funded under any other Federal grant, contract,
or subcontract.
I certify that to the best of my knowledge the work for which payment is hereby requested was
performed in accordance with the award terms and conditions and that payment is due and has not
been previously requested.
I certify that to the best of my knowledge (1) the statements herein(excluding scientific hypotheses and
scientific opinions) are true and complete, and (2) the text and graphics in this report as well as any
accompanying publications or other documents, unless otherwise indicated, are the original work of
the signatories or individuals working under their supervision. I understand that the willful provision
of false information or concealing a material fact in this report or any other communication submitted
to NSF is a criminal offense (U.S. Code, Title 18, Section 1001).
Authorized Company Officer
Signature:________________________________________________Date:_____________
P.I. Signature:____________________________________________ Date:_____________
NSF FORM 1372 (SBIR 10/97)
Attachment F
NATIONAL SCIENCE FOUNDATION
Small Business Innovation Research (SBIR)
SBIR PHASE II PROPOSAL COVER PAGE
Phase I Award No.
Topic No.
SubTopic Letter (if any)
Proposal Title
Company Name:
Employer Identification Number (EIN) or
Taxpayer Identification Number (TIN)
Address (including address of Company Headquarters and zip code plus four digit extension)
Requested Amount
Proposed Duration
Period of Performance
$
THE SMALL BUSINESS CONCERN CERTIFIES THAT:
1. It is a small business as defined Section 2.12.
2. It qualifies as a socially and economically disadvantaged business as defined Section 2.14. (FOR
STATISTICAL PURPOSES ONLY)
3. It qualifies as a women-owned business as defined in Section 2.17. (FOR STATISTICAL PURPOSES
ONLY)
4. NSF is the only Federal agency that has received this proposal (or an overlapping or equivalent
proposal) from the small business concern. If No, you must disclose overlapping or equivalent proposals
and awards as defined in Section 3.1.12
5. A minimum of one-half of the research will be performed by this firm in Phase II.
6. The primary employment of the Principal Investigator will be with this firm at the time of award and
during the conduct of the research.
7. It will permit the government to disclose the title and technical abstract page, plus the name, address
and telephone number of a corporate official, if the proposal does not result in an award, to parties that
may be interested in further information or possible investment.
8. It will comply with the provisions of the Civil Rights Act of 1964 ( P. L. 88-352) and the regulations
pursuant thereto.
PRINCIPAL INVESTIGATOR / PROJECT DIRECTOR
Name
Title
Social Security No.
Telephone Number
E-Mail Address
Fax Number
Name
Y/N
COMPANY OFFICER (FOR BUSINESS AND FINANCIAL MATTERS)
Title
Telephone Number
President’s Name
OTHER INFORMATION
Year Firm
Founded
Number of Employees
Average Previous 12 Mo.:
Currently:
PROPRIETARY NOTICE: See Section 5.5 for instructions concerning proprietary information.
Check here
if proposal contains proprietary information.
NOTE: The signed Certification Page must be included immediately following this Cover Page with the original copy of the
proposal only.
NSF FORM 1207-PII (SBIR 1/98)
Proposal Page No. 1
Attachment F
CERTIFICATION PAGE
Certification for Principal Investigators
I certify to the best of my knowledge that:
(1) the statements herein (excluding scientific hypotheses and scientific opinions) are true and complete, and
(2) the text and graphics herein are as well as any accompanying publications or other documents, unless otherwise indicated, are the original work of the signatories
or individuals working under their supervision. I agree to accept responsibility for the scientific conduct of the project and to provide the required progress reports if an
award is made as a result of this application.
I understand that the willful provision of false information or concealing a material fact in this proposal or any other communication submitted to NSF is a criminal offense
(U.S. Code, Title 18, Section 1001).
Name (Typed)
PI/PD
Signature
Date
Certification for Authorized Organizational Representative or Individual Applicant
By signing and submitting this proposal, the individual applicant or the authorized official of the applicant institution is: (1) certifying that statements made herein are true
and complete to the best of his/her knowledge; and (2) agreeing to accept the obligation to comply with NSF award terms and conditions if an award is made as a result of
this application. Further, the applicant is hereby providing certification regarding Federal debt status, debarment and suspension, drugfree workplace, and lobbying
activities (see below), as set forth in the Grant Proposal Guide (GPG), NSF 98-2. Willful provision of false information in this application and its supporting documents or
in reports required under an ensuring award is a criminal offense (U.S. Code, Title 18, Section 1001).
In addition, if the applicant institution employs more than fifty persons, the authorized official of the applicant institution is certifying that the institution has implemented
a written and enforced conflict of interest policy that is consistent with the provisions of Grant Policy Manual, Section 510; that to the best of his/her knowledge, all
financial disclosures required by that conflict of interest policy have been made; and that all identified conflicts of interest will have conflict of interest policy. Conflicts
which cannot be satisfactorily managed, reduced or eliminated must be disclosed to NSF.
Debt and Debarment Certifications
(If answer “yes” to either, please provide explanation.)
Is organization delinquent on any Federal debt?
YES
Is the organization or its principals presently debarred, suspended, proposed for debarment, declared
ineligible, or voluntarily excluded from covered transactions by a Federal Department or agency?
NO
YES
NO
Certification Regarding Lobbying
This certification is required for an award of a Federal contract, grant or cooperative agreement exceeding $100,000 and for an award of a Federal loan or a commitment
providing for the United States to insure or guarantee a loan exceeding $150,000.
Certification for Contracts, Grants, Loans and Cooperative Agreements
The undersigned certifies, to the best of his or her knowledge and belief, that:
(1) No Federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer of
employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a member of Congress in connection with the awarding of any
federal contract, the making of any Federal grant, the making of any Federal loan, the entering into of any cooperative agreement, and the extension, continuation,
renewal, amendment, or modification of any Federal Contract, grant, loan, or cooperative agreement.
(2) If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any
agency, a Member of Congress, and officer or employee of Congress, or an employee of a Member of Congress in connection with this Federal contract, grant, loan, or
cooperative agreement, the undersigned shall complete and submit Standard Form-LLL, “Disclosure of Lobbying Activities,” in accordance with its instructions.
(3) The undersigned shall require that the language of this certification be included in the award documents for all subawards at all tiers including subcontracts, subgrants,
and contracts under grants, loans, and cooperative agreements and that all subrecipients shall certify and disclose accordingly.
This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certification is a
prerequisite for making or entering into this transaction imposed by section 1352, title 31, U.S. Code. Any person who fails to file the required certification shall be
subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure.
Authorized Company Officer
Name /Title (Typed)
Telephone Number
NSF FORM 1207-PII (SBIR 1/98)
Signature
Electronic Mail Address
Proposal Page No. 1
Date
Fax Number
Attachment G
CERTIFICATE OF CURRENT COST OR PRICING DATA
This is to certify that, to the best of my knowledge and belief, the cost or pricing data (as
defined in section 15.801 of the Federal Acquisition Regulations), submitted either
actually or by specific identification in writing, to the Grant Officer or to the Grant
Officer’s representative in support of _____________________________* are accurate,
complete, and current as of ________________________.**
This certification includes the cost or pricing data supporting any advance agreements and
forward pricing rate agreements between the offeror and the Government that are part of
the proposal.
COMPANY NAME:_____________________________________
REPRESENTATIVE NAME:______________________________
REPRESENTATIVE TITLE:______________________________
REPRESENTATIVE
SIGNATURE:____________________________________
DATE OF
EXECUTION***:_________________________________
SBIR Organizations are required to submit this certificate with their proposal.
If the proposal is recommended for funding, a second certificate will be
requested by NSF subsequent to a pre-award budget review, but prior to award.
* NSF will provide the Proposal Award Number.
** (1) Insert the date, month, and year of proposal submission when submitting with
proposal, (2) or the date, month, and year when notified by NSF that the proposal has
been recommend for award and price negotiations are completed.
*** Insert the date, month, and year of signing
Attachment H
SUGGESTED FORMATS FOR FOLLOW-ON FUNDING
COMMITMENTS
NSF FOLLOW-ON FUNDING COMMITMENT
[Venture Capital Commitment]
Purpose
Whereas (venture capital firm or investor) of ___________________ is desirous of investing in (small
business firm) of _________________ contingent upon: (1) (small business firm) receiving a Phase II
award from the National Science Foundation. (2) the Phase II research achieving certain mutually agreed
upon technical objectives set-out in section D. (3) the planned technology not being by-passed in the
marketplace during Phase II, and (4) the technology appearing to be economically viable, it is therefore
agreed as set forth below:
A. TERM OF AGREEMENT
The initial term of this agreement shall be for four (4) years from the date of execution hereof and
thereafter renewable one (1) year at a time unless canceled by either party on 90 days notice prior to the
end of the initial or any renewable terms.
B. FOLLOW-ON FUNDING
Contingent upon meeting the specification in Section D, (investor) agrees to fund (small business firm) for
the commercial development (Phase III) of the project the sum of $________ beginning no later than the
completion of Phase II. The schedule of funding will be as follows: (for example: $50,000 at completion
of Phase II and three additional payments of $50,000 at 6 month intervals) (Investor) may choose to
accelerate the investment schedule at any time it feels such investment is justified by technical progress or
market conditions.
C. TERMS OF INVESTMENT
(Investor) agrees to make $_________as equity investment available to (small business) on the following
terms:__________________________________________________________________. In return for
this investment (small business firm) agrees to provide (investor) with _____shares of (small business
firm) common stock according to the following schedule:
a. _____shares on receipt of first investment
b. _____shares on receipt of second investment
c. _____shares on receipt of third investment
d. _____shares on receipt of fourth investment
(Or a statement that the number of shares will be determined prior to the completion of Phase II). If
(small business firm) fails to meet the requirements of Section D, the parties will negotiate to see what
investment may be justified in the case of partial success.
It is represented by (small business firm) that it possess (or will possess) and continue to possess
commercial rights to any resulting patents to convey such exclusive (or non-exclusive) license or sublicense and that such rights do not interfere with the right of others.
If (small business) falls to meet all the specifications stated in section D, the parties will negotiate to
determine what terms may be justified in the case of partial success.
Attachment H
D. TECHNICAL SPECIFICATION TO BE ACHIEVED IN PHASE II
The research to be carried out in Phase II shall achieve the following measurable technical objectives:
1.
2.
3.
Semi-annual meetings will be held during Phase II to review the technical progress and to consider
market and other conditions.
“The undersigned certify that they agree to this funding commitment and that they understand that this
information will be used by NSF in evaluating the commercial potential of the company’s innovation
and, therefore, that information will be a significant factor in determining whether the SBIR Phase II
proposal will be funded.. They further understand that willfully making a false statement or
concealing a material fact in this commitment or any other communication submitted to the NSF is a
criminal offense.” (U.S. Code, Title 18, Section 1001)
Authorized Officer
(Investor)
Authorized Officer
(Small Business Firm)
______________________________
Name Typed:
______________________________
______________________________
Signature:
______________________________
______________________________
Title:
______________________________
______________________________
Company:
______________________________
______________________________
Tel. No.
______________________________
______________________________
Date:
______________________________
Attachment H
NSF FOLLOW-ON FUNDING COMMITMENT
[Manufacturing Firm Commitment]
Purpose
Whereas (manufacturing firm) of (location)
is desirous of obtaining access to
technology being developed by (small business firm) contingent upon (1) (small business firm) receiving
Phase II award from the National Science Foundation, (2) the Phase II research achieving certain
mutually agreed upon technical objectives set-out in section E, (3) the research or resulting technology not
being by-passed in the marketplace during Phase II and (4) the technology appearing to be economically
viable, it is therefore agreed as set forth below:
A. TERM OF AGREEMENT
The initial term of this agreement shall be for four (4) years from the date of execution and thereafter
renewable for one (1) year at a time unless canceled by either party on 90 days notice prior to the end of
the initial or any renewable term.
B. FOLLOW-ON FUNDING
Contingent upon meeting the technical specification in Section E, (manufacturing firm) agrees to fund
(small business firm) for the commercial development (Phase III) of the project the sum of $________
beginning no later than the completion of Phase II. The schedule of funding will be as follows:
1.
2.
3.
4.
(Manufacturing firm) may choose to accelerate the funding schedule at any time it feels such investment is
justified by technical progress or market conditions.
C. LICENSE OR JOINT VENTURE
Should (manufacturing firm) fund this project as set forth above or on any other mutually agreed upon
basis, (small business) agrees to grant (manufacturing firm) an option to acquire an exclusive (or nonexclusive) license (or enter into a joint venture agreement) to exploit the technology for the following
applications:
1.
2.
3.
(or purchase (number) prototypes for an amount at least equal to the proposed Phase II award).
D. ROYALTIES OR INVESTMENT
In addition to the amount provided for the development phase a royalty should be paid by (manufacturing
firm) on net sales of __________________________________________in accordance with the following
royalty schedule:
1.
2.
3.
4.
_____% on the first $_____ of sales
_____% on the next $_____of sales
_____% on the next $_____ of sales
_____% on all additional sales.
(or an investment of $_____ will be made by (manufacturing firm) in the joint venture).
Attachment H
It is represented by (small business firm) that they possess (or will possess) and continue to possess
commercial rights to any resulting patents to convey such exclusive (or non-exclusive) license or sublicense and that such rights do not interfere with the rights of others.
It (small business) fails to meet all the specifications stated in E, the parties will negotiate to see what
terms may be justified in the case of partial success.
If, after commercial introduction (manufacturing firm) does not produce total sales exceeding $_____ in
the first two years or $_____ in the first four years after initial sales, then the license (or ownership) of the
technology) shall revert to (small business) unless (manufacturing firm) elects to pay royalties as if sales
had reached said amounts each year.
It is understood that (manufacturing firm) will (or will not) have the right to sublicense others for the
stated applications of the technology and in so doing will be responsible for paying (small business) the
same royalty fees as with its own use.
E. TECHNICAL SPECIFICATIONS TO BE ACHIEVED IN PHASE II
The research to be carried out in Phase II shall achieve the following measurable technical objectives:
1.
2.
3.
Semi-annual meetings will be held during Phase II to review technical progress and to consider market
and other conditions.
“The undersigned certify that they agree to this funding commitment and that they understand that this
information will be used by NSF in evaluating the commercial potential of the company’s innovation
and, therefore, that information will be a significant factor in determining whether the SBIR Phase II
proposal will be funded.. They further understand that willfully making a false statement or
concealing a material fact in this commitment or any other communication submitted to the NSF is a
criminal offense.” (U.S. Code, Title 18, Section 1001)
Authorized Officer
(Investor)
Authorized Officer
(Small Business Firm)
______________________________
Name Typed:
______________________________
______________________________
Signature:
______________________________
______________________________
Title:
______________________________
______________________________
Company:
______________________________
______________________________
Tel. No.
______________________________
______________________________
Date:
______________________________
Attachment I
SMALL BUSINESS INNOVATION RESEARCH (SBIR) PHASE II REPORT COVER PAGE
NSF AWARD NUMBER:
DATE:
PROJECT TITLE:
PERIOD COVERED BY THIS REPORT:
PRINCIPAL INVESTIGATOR:
COMPANY NAME:
COMPANY ADDRESS:
TELEPHONE NUMBER:
FAX NUMBER:
Please check as appropriate:
Progress Report*
Final Report*
* Report content requirements are identified in Article 5 of the SBIR Phase II Grant General Conditions
(9/95). This Cover Sheet is required for submission of all reports. Reports should be attached to this
Cover Sheet.
Acknowledgment of NSF support and disclaimer:
“This material is based upon work supported by the National Science Foundation under Award
Number:__________________. Any opinions, findings, and conclusions or recommendations expressed
in this publication are those of the author(s) and do not necessarily reflect the views of the National
Science Foundatioin.”
Certifications:
I certify that the Principal Investigator currently is
, is not
grantee organization as defined in the SBIR Solicitation.
, “primarily employed” by the
I certify that the work under this project has
, has not , been submitted for funding to another
Federal agency and that it has
, has not , been funded under any other Federal grant, contract,
or subcontract.
I certify that to the best of my knowledge the work for which payment is hereby requested was
performed in accordance with the award terms and conditions and that payment is due and has not
been previously requested.
I certify that to the best of my knowledge (1) the statements herein(excluding scientific hypotheses
and scientific opinions) are true and complete, and (2) the text and graphics in this report as well as
any accompanying publications or other documents, unless otherwise indicated, are the original
work of the signatories or individuals working under their supervision. I understand that the willful
provision of false information or concealing a material fact in this report or any other
communication submitted to NSF is a criminal offense (U.S. Code, Title 18, Section 1001).
Authorized Company Officer:___________________________________
Date:________
P.I. Signature:________________________________________________
Date:________
NSF Form 1372 (SBIR 11/96)
Attachment J
SBIR PHASE II PROGRESS REPORTING FORMAT
(PROGRESS REPORTS MUST BE ATTACHED TO A SMALL BUSINESS INNOVATIVE RESEARCH (SBIR)
PHASE II REPORT COVER SHEET (Attachment I).)
Reporting Period: (From)_________________(to)__________________
Total Estimated Expenditures* this reporting period: $_______________
Cumulative Estimated Expenditures*: $______________________________
Principal Investigator/
Key Personnel (Identify)
Estimated Level of Effort/
Person Months
___
1. ______________________
__________________________
2. ________________________
__________________________
3. ________________________
__________________________
4. ________________________
________________________
Consultant(s) Utilized and Services Provided:
____________________________________________________________
____________________________________________________________
____________________________________________________________
____________________________________________________________
Subcontractor(s) Utilized and Services Provided:
____________________________________________________________
____________________________________________________________
____________________________________________________________
____________________________________________________________
Identification of Permanent Equipment Purchased:
1.___________________________________________________________
2.___________________________________________________________
Attach technical report covering accomplishments, milestone progress or
completion, and problems encountered this reporting period (report against
milestone tasks stated on project milestone chart).
* “Estimated Expenditures” means a good faith estimate of actual expenditures for this award.
Attachment K
INFORMATION CONCERNING FINANCIAL MANAGEMENT SYSTEMS
INSTITUTION:
1.
2.
A. General Information
Has your organization been audited in the last two years by any agency of the Federal Government?
If yes, please attach a copy of the report, or in the absence of the report, provide the name and telephone number
of the office completing the review.
Yes
No
Has your organization been audited by an independent public accounting firm within the past two years?
If yes, please attach a copy of the report.
Yes
No
B. Accounting Systems
1. Which of the following best describes the
Accounting system?
Manual
Automated
Combination
5. Does the accounting system identify the receipt and
expenditure of funds separately for each grant and
contract?
Yes
No
2. Is there a chart of accounts?
Comments:
Comments:
Yes
3. Is a double entry accounting systems used?
Yes
Comments:
No
No
4. What books of account are maintained?
a. General Ledger
Yes
No
b. Project Cost Ledger
Yes
No
c. Cash Receipts Journal
Yes
No
d. Cash Disbursements Journal
Yes
No
e. Payroll Journal
Yes
No
f. Income (Sales) Journal
Yes
No
g. Purchase Journal
Yes
No
h. General Journal
Yes
No
i. Other (describe)
Yes
No
6. Does the accounting sysetm provide for the recording
of grant/contract costs according to categories of the
approved budget?
Yes
No
Comments:
7. Are time distribution records maintained for each
employee to account for his/her TOTAL effort (100%)?
Attach sample copy of completed timesheet.
Yes
No
Comments:
8. Is the organization familiar with the cost principles
(Federal Acquisition Regulations, Part 31.2, OMB
Circular A-21, or A-122 as appropriate) and procedures
for the determination and allowance of costs in
connection with federal grants and contracts? (OMB
circulars can be obtained by calling (202)395-7332,
FAR (202)783-3238.)
Yes
No
Coments:
Comments:
Attachment K
INSTITUTION:
C. Funds Management
1. Is a separate bank account maintained for Federal
2. If a separate account is not maintained, can the
grant/contract funds?
Federal grant/contract funds and related expenses be
Yes
No
readily identified?
Yes
No
Comments:
Comments:
3. Can the organization identify, by Federal agency, interest earned on grant and contract funds?
Yes
Comments:
No
4. Does the organization have procedures that minimize time elapsing between the transfer of funds from the U.S.
Treasury and disbursement by the organization whenever funds are advanced by the Federal Government?
Comments:
Yes
No
D. Internal Controls
2. Are checks signed by individuals whose duties
1. Are the duties of the bookkeeper/recordkeeper
exclude recording cash received, approving vouchers for
separated from cash functions (receipt or payment of
payment and payroll preparation?
cash)?
Yes
No
Yes
No
Comments:
Comments:
3. Are accounting entries supported by appropriate
documentation (e.g., purchase orders, vouchers, etc.)?
Yes
No
Comments:
4. Are employees who handle funds required to be
bonded against loss by reasons of fraud or dishonesty?
Yes
No
Comments:
E. Purchasing Equipment
1. Are inventory records maintained?
Yes
No
Comments:
2. Does your organization have policies relating to buy/lease analysis and competitive purchases over $25,000?
Yes
No
3. What is the dollar threshold for capitalization of equipment?___________
Prepared by:
___________________________________Telephone Number:___________________________
Title:
___________________________________Date:
_____________________
Attachment L
SAMPLE INDIRECT COST PROPOSAL
(Name of Organization)
Indirect Cost Rate Proposal
Actual (or Budgeted) Cost Data for the FY_____
(1)
Total
Actual or
Budgeted
Costs
Salaries & Wages:
Bill Able, President
John Brown, Scientist
Paul Dent, Engineer
Carl Kipe, Scientist
Nancy Wong, Scientist
Sally Smith, Typist
Mary Jones, Accting
FICA
Health & Life Insurance
Consultant Fees
Depreciation
Entertainment
Equipment
Legal & Accounting
Materials & Supplies
Office Supplies
Outside Computer Svcs
Postage & Telephone
Printing & Publications
Rent
Subawards
Travel
Indirect Cost Rate:
38,000
25,000
20,000
20,000
20,000
12,000
15,000
150,000
8,500
5,000
3,000
5,000
500
5,000
2,000
9,000
2,000
2,500
1,500
4,000
15,000
50,000
9,000
272,000
(2)
(3)
(4)
Eliminations
Total
Indirect
Costs
Total
Direct
Costs
6,000
0
2,000
15,000
23,000
2,100
800
32,000
25,000
20,000
20,000
20,000
10,000
(6)
*******
Project A
(NSF)
*******
Project B
(DOE)
*******
Project C
4,000
*******
Project D
*******
Research &
Development
10,000
5,000
3,000
10,000
5,000
2,000
8,000
5,000
9,000
10,000
5,000
3,000
127,000
(B)
32,000
21,000
40,000
12,000
22,000
6,400
4,200
3,000
1,650
1,100
500
1,100
700
1,000
1,900
1,250
500
600
400
1,150
750
1,000
9,000
3,000
2,000
3,000
1,000
2,000
500
500
500
500
4,000
500
500
1,000
2,000
7,500
163,100
(C)
2,500
41,750
2,000
28,800
1,000
49,150
15,000
9,000
10,000
5,000
2,000
5,000
2,000
5,000
500
5,000
2,000
2,000
500
1,500
15,000
50,000
55,500
1,500
53,400
(A)
13,000
2,000
30,400
(A)/ (B) - 42.00% of Direct Salaries and Wages or
(A)/(C) - 32.70% of Total Direct Costs less Capital Expenditures and Subaward Costs
(1) Two indirect cost proposals should be provided. One should be based on actual cost data for the most current ended
accounting period and should be submitted with the financial statements for that period. The total actual expenses as
reported in the related financial statements should agree with the total cost column (1) in the indirect cost rate proposal. The
second indirect cost proposal should be based on projected costs for the accounting period in which the proposed work will be
performed. If this indirect cost rate varies significantly from the rate determined on actual expenses, footnote the indirect cost
proposal to highlight cost areas which caused the variance and explain.
(2) Eliminations: Costs which will not be considered for the purposed of determining an indirect cost rate. These are direct costs
which do not generate the same level of indirect costs as other direct costs. Examples are subawards and equipment.
(3) Indirect Costs: Indirect costs are those costs that have been incurred for common or joint objectives and cannot be readily
identified with a particular final cost objective. Examples are rent, utilities, salaries for administrative and accounting personnel.
(4) Direct Costs: Direct costs are those costs that can be identified specifically with a particular final cost objective; i.e. a
particular award or project.
(5) Unallowable Costs: Costs which cannot be charged or included in the indirect cost rate. Examples are entertainment,
contributions, advertising and bad debts.
(6) Research and Development Costs are treated as direct costs.
NATIONAL SCIENCE FOUNDATION
4201 Wilson Blvd
Arlington, VA 22230
Attachment M
PI/PD Name and Address
NATIONAL SCIENCE FOUNDATION
FINAL PROJECT REPORT
PART I - PROJECT IDENTIFICATION INFORMATION
1. Program Official/Org.
2. Program Name
3. Award Dates (MM/YY)
4. Institution and Address
5. Award Number:
6. Project Title
NSF Form 98A (SBIR 11/97)
From:
To:
Attachment M
NSF Grant Conditions (Article 17, GC-1, and Article 9, FDP-II) require submission of a
Final Project Report (NSF Form 98A) to the NSF program officer no later than 60 days
after the expiration of the award. Final Project Reports for expired awards must be
received before new awards can be made (NSF Grant Policy Manual Section 677).
Below, or on a separate page attach to this form, provide a summary of the completed project and technical information. Be
sure to include your name and award number on each separate page. See below for more instructions.
PART II - SUMMARY OF COMPLETED PROJECT (for public use)
The summary (about 200 words) must be self-contained and intelligible to a scientifically literate reader. Without
restating the project title, it should begin with a topic sentence stating the project’s major thesis. The summary
should include, if pertinent to the project being described, the following items:
•
•
•
The primary objectives and scope of the project
The techniques or approaches used only to the degree necessary for comprehension
The findings and implications stated as concisely and informatively as possible
PART III - TECHNICAL INFORMATION (for program management use)
List references to publications resulting from this award and briefly describe primary data, samples, physical
collections, inventions, software, etc. Created or gathered in the course of the research and, if appropriate, how
they are being made available to the research community. Provide the NSF with Invention Disclosure number for
any invention.
Principal Investigator/Project Director Signature
Date
IMPORTANT:
MAILING INSTRUCTIONS
Return this with: Phase I Final Report
Phase II Final Report and Commercialization Report.
PART IV - FINAL PROJECT REPORT – SUMMARY DATA ON PROJECT PERSONNEL
NSF Form 98A (SBIR 11/97)
Attachment M
(To be submitted to cognizant Program Officer upon completion of project)
The data requested below are important for the development of a statistical profile on the personnel supported by
Federal grants. The information on this part is solicited in response to Public Law 99-383 and 42 USC 1885C. All
information provided will be treated as confidential and will be safeguarded in accordance with the provisions of
the Privacy Act of 1974. You should submit a single copy of this part with each final project report. However,
submission of the requested information is not mandatory and is not a precondition of future award(s). Check the
“Decline to Provide Information” box below if you do not wish to provide the information.
Please enter the number of individuals supported under this grant.
Do not enter information for individuals working less than 40 hours in any calendar year.
Senior
PostGraduate
UnderOther
Staff
Doctorals
Students
Graduates
Participants1
Male Fem. Male Fem. Male Fem. Male Fem. Male Fem.
A. Total U.S. Citizens
B. Total Permanent Residents
U.S. Citizens or Permanent Residents2
American Indian or Alaskan
Native
Asian
Black, Not of Hispanic Origin
Hispanic
Pacific Islander
White, Not of Hispanic Origin
C. Total Other Non-U.S. Citizen
Specify Country
1.
2.
3.
D. Total All Participants
(A + B + C)
Disabled3
Decline to Provide Information: Check box if you do not wish to provide this information (you
are still required to return this page along with Parts I – III.
1
Category includes, for example, college and precollege teachers, conference and workshop participates.
Use the category that best describes the ethnic/racial status for all U.S. Citizens with Permanent Residency. (If more than one category applies, use
the one category that most closely reflects the person’s recognition in the community.)
3
A person having a physical or mental impairment that substantially limits one or more major life activities; who has a record of such impairment; or
who is regarded as having such impairment. (Disabled individuals also should be counted under the appropriate ethnic/racial group unless they
are classified as “Other Non-U.S. Citizen.”)
2
AMERICAN INDIAN OR ALASKIAN NATIVE: A person having origins in any of the original peoples of North America, and who maintain
cultural identification through tribal affiliation or community recognition.
ASIAN: A person having origins in any of the original peoples of East Asia, Southeast Asia and the Indian subcontinent. This area includes for
example, China, India, Indonesia, Japan, Korea, and Vietnam.
BLACK, NOT OF HISPANIC ORIGIN: A person having origins in any of the black racial groups of Africa.
HISPANIC: A person of Mexican, Puerto Rican, Cuban, Central or South American or other Spanish culture or origin, regardless of race.
PACIFIC ISLANDER: A person having origins in any of the original peoples of Hawaii; the U. S. Pacific Territories of Guam, American Samoa, or
the Northern Marianas; the U. S. Territory of Palau; the islands of Micronesia or Melanesia; or the Philippines.
WHITE, NOT OF HISPANIC ORIGIN: A person having origins in any of the original people of Europe, North
Africa, or the Middle East.
NSF Form 98A (SBIR 11/97)
Attachment N
National Science Foundation
Small Business Innovation Research (SBIR) Program
COMPANY COMMERCIALIZATION HISTORY
[Failure to fill in all appropriate spaces may cause your proposal to be disqualified]
FIRM NAME:
MAILING ADDRESS:
CITY:
STATE:
ZIP:
•
How many Phase II SBIR or STTR awards has your firm received from the Federal Government, including NSF?
•
If your firm has received Phase II SBIR and/or STTR awards from the Federal Government and the first award was received prior to October1, 1987 what
percentage of your firm’s revenues during your last fiscal year is Federal SBIR and/or STTR funding?
•
Identify each Phase II SBIR/STTR project your firm has received and, for each project, provide the total revenue to date from resulting sales of new products
to government agencies or private sector customers. Also, provide total non-SBIR/STTR funding received from government and private sector sources to
further develop the SBIR technology (including R&D, manufacturing, marketing, etc.). Apportion sales revenue and non-SBIR/STTR funding among the
various Phase II projects without double-counting. (See back for further instruction.)
Agency:
Topic Number:
Contract/Grant Number:
Project Title:
Government Sales:
Private Sector Sales:
non-SBIR/STTR Government Funds:
non-SBIR/STTR Private Sector Funds:
Agency:
Topic Number:
Contract/Grant Number:
Project Title:
Government Sales:
Private Sector Sales:
non-SBIR/STTR Government Funds:
non-SBIR/STTR Private Sector Funds:
Agency:
Topic Number:
Contract/Grant Number:
Project Title:
Government Sales:
Private Sector Sales:
non-SBIR/STTR Government Funds:
non-SBIR/STTR Private Sector Funds:
Agency:
Topic Number:
Contract/Grant Number:
Project Title:
Government Sales:
Private Sector Sales:
non-SBIR/STTR Government Funds:
non-SBIR/STTR Private Sector Funds:
FIRM CORPORATE OFFICIAL
NAME:
TITLE:
TELEPHONE:
FAX:
SIGNATURE:
DATE:
(Page ____ of ____)
Attachment N
INSTRUCTIONS FOR COMPLETING APPENDIX 3
GENERAL:
The Company Commercialization History (Appendix 3) shall NOT be counted toward proposal page
count limitations.
Appendix 3 should be the last page(s) of your proposal.
Use as many Appendix 3 forms as needed to report ALL Phase II projects. (Make black and white copies
of this form, if necessary.) If multiple pages are submitted, fill in the “Page ____ of ____” in the lower
right corner.
Type in either a 10 or 12 character per inch font.
Use the Post Office two-letter abbreviation for the state (i.e. type NY not New York).
DEFINITIONS:
Sales:
sales of products resulting from the technology associated with this Phase
II project. Sales also includes the sale of technology or rights. Specify the
sales revenue in dollars (1) to government agencies (federal, state, local
and/or foreign) and (2) to the private sector. Include sales made by your
firm as well as by other firms that may have acquired the SBIR/STTRdeveloped technology.
Non-SBIR/STTR funding:
non-SBIR/STTR government or private sector funds to further develop the
technology (including R&D, manufacturing, marketing, etc.) associated
with this Phase II project.
Apportion sales/funding:
if two or more Phase II projects contributed to a single product or
technology right that has been sold or received non-SBIR/STTR funding
among the contributing projects. For example, Phase II projects A and B
lead to the sale of a new product/process/software . . . to the DOD for a
total of $10 million and to retail software stores for $12 million. Under the
heading of “Government Sales” put $ 5 million and under the heading
“Private Sector Sales” put $ 6 million for both Phase II projects A and B.
SUBMISSION:
ALL Phase I and Phase II proposals must include a Company Commercialization History (Appendix 3).
REQUEST FOR COPIES:
Black and white copies of this form are acceptable. Additional original forms may be obtained from:
National Science Foundation
SBIR/STTR Programs
4201 Wilson Blvd., Suite 590
Arlington, VA 22230
telephone: (703) 306-1390
fax:
(703) 306-0337
OMB 3145-0058
PT: 34
KW: 0901043
NSF 98-54
(Replaces NSF 97-64 + 97-84