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Proposal Preparation And Submission Instructions

A. General Information:

Proposals submitted in response to this program solicitation should be prepared and submitted in Research.gov in accordance with the general guidelines contained in the solicitation and as noted below. If the solicitation and these guidelines do not provide sufficient guidance on any given topic, please reference the NSF Proposal and Award Policies and Procedures Guide (PAPPG) for guidance.

The complete text of the PAPPG is available electronically on the NSF website at: https://www.nsf.gov/publications/pub_summ.jsp?ods_key=pappg.

In the event of a conflict between the instructions in this solicitation and the PAPPG, this solicitation’s guidance takes precedence.

Here’s some additional guidance on preparing your full proposal:

  • DO NOT upload information beyond what is specifically permitted in the proposal (i.e., do not include marketing materials, research results, academic papers, patent applications, etc.).
  • DO NOT include samples, videotapes, slides, appendices or other ancillary items within a proposal submission. Websites containing demonstrations and uniform resource locators (URLs) (if applicable) must be cited in the “References Cited” section. Note: Reviewers are not required to access them. Please refer to the NSF PAPPG (Chapter II.C) for more details on accepted proposal fonts and format. The incorporation of URLs or websites within the proposal’s Project Description will not be accepted.
  • DO NOT submit a proposal that requests more than the maximum award amount as noted in the solicitation.
  • DO NOT submit a “Project Description” that exceeds the maximum length (15 pages for Phase I and Phase II, 16 pages for Fast-Track).

B. Proposal Contents:

SBIR/STTR proposals consist of the below components. All components are required unless otherwise noted. For additional details on each component, please click on its title. Note that the term “single copy document” below indicates the section of Research.gov in which to submit the relevant documents and also indicates that documents included in this section will not be made available to any external reviewers of the proposal.

Cover Sheet. This section requests general information about the proposal and proposing organization.

  • Other Federal Agencies (if applicable). If this proposal is also being submitted to another federal agency, state or local government or non-governmental entity, enter a reasonable abbreviation of up to 10 characters for each agency or entity. Only the first five agencies you enter will appear on the PDF version of the proposal, but all should be entered below. IT IS ILLEGAL TO ACCEPT DUPLICATE FUNDING FOR THE SAME WORK. IF A PROPOSER FAILS TO DISCLOSE EQUIVALENT OR OVERLAPPING PROPOSALS, THE PROPOSER COULD BE LIABLE FOR ADMINISTRATIVE, CIVIL AND/OR CRIMINAL SANCTIONS.
  • Human Subjects (if applicable). According to 45 CFR 46, a human subject is “a living individual about whom an investigator (whether professional or student) is conducting research:
    • Obtains information or biospecimens through intervention or interaction with the individual and uses, studies or analyzes the information or biospecimens; or
    • Obtains, studies, analyzes or generates identifiable private information or identifiable biospecimens.”

      The National Institutes of Health provides a Decision Tool to assist investigators in determining whether their project involves nonexempt human subject research, meets the criteria for exempt human subject research, or does not involve human subject research.

      Projects involving research with human subjects must ensure that subjects are protected from research risks in conformance with the relevant federal policy known as the “Common Rule” (Federal Policy for the Protection of Human Subjects, 45 CFR 690). All projects involving human subjects must either (1) have approval from an Institutional Review Board (IRB) before issuance of an NSF award; (2) obtain a statement from the IRB indicating research exemption from IRB review; or (3) obtain a “just in time” IRB designation and documentation. This documentation needs to be completed during due diligence discussions in accordance with the applicable subsection, as established in section 101(b) of the Common Rule. If certification of exemption is provided after submission of the proposal and before the award is issued, the exemption number corresponding to one or more of the exemption categories also must be included in the documentation provided to NSF. The proposer has three basic options with regards to human subject review:
    • Establish your own IRB (see the Office for Human Research Protections at the U.S. Department of Health and Human Services at https://www.hhs.gov/ohrp/irbs-and-assurances.html#registernew;
    • Use the review board of a (usually local) university or research institution either via consultants to the project, a project subcontract or directly through the board’s own contacts; or
    • Use a commercial provider.

      For projects lacking definite plans for the use of human subjects, their data or their specimens, pursuant to 45 CFR § 690.118, NSF can accept a determination notice that establishes a limited time period under which the Principal Investigator may conduct preliminary or conceptual work that does not involve human subjects. See more information and instructions regarding this documentation in the PAPPG.
  • Live Vertebrate Animals (if applicable). Any project proposing the use of vertebrate animals for research or education shall comply with the “Animal Welfare Act” (7 USC 2131, et seq.) and the regulations promulgated thereunder by the Secretary of Agriculture (9 CFR 1 .1 -4.11) pertaining to the humane care, handling and treatment of vertebrate animals held or used for research, teaching or other activities supported by federal awards. In accordance with these requirements, proposed projects involving use of any vertebrate animal for research or education must be approved by the submitting organization’s Institutional Animal Care and Use Committee before an award can be made. For this approval to be accepted by NSF, the organization must have a current Public Health Service (PHS) Approved Assurance. See also the PAPPG for additional information on the administration of awards that utilize vertebrate animals. This documentation must be completed before issuance of an NSF award.

SBIR (or STTR) Questionnaire. The questionnaire must be filled in completely. Required information includes SBIR/STTR Topic Code, Authorized Company Officer Information, Proposing Small Business Information, SBIR/STTR Award History, Affiliated Companies and Other Information. Phase I and Fast-Track proposers will also be asked for their eight-digit Project Pitch case number. Phase II proposers will also be asked for their seven-digit Phase I award number.

  • Other Information: Proprietary Information. To the extent permitted by law, the federal government will not release properly identified and marked technical and commercially sensitive data.

    If the proposal does not contain proprietary information, uncheck the relevant box in the SBIR/STTR Questionnaire. If the proposal does contain proprietary information, identify the proprietary technical data by clearly marking the information and also providing a legend. NSF SBIR/STTR data, including proposals, is protected from disclosure by the participating agencies for not less than 20 years from the delivery of the last report or proposal associated with the given project. Typically, proprietary information is identified in the text either with an asterisk at the beginning and end of the proprietary paragraph, underlining the proprietary sections, or choosing a different font type. An entire proposal should not be marked proprietary.

SBIR (or STTR) Phase I Certification Questions. This form must be filled in completely.

Project Summary [One (1) page MAXIMUM]. The project summary should be written in the third person, be informative to other people working in the same or related field(s) and insofar as possible, be understandable to a scientifically or technically literate lay reader. It should not be an abstract of the proposal. Do not include proprietary information.

The Project Summary should be completed with headers on three separate lines for the “Overview,” “Intellectual Merit” and “Broader Impacts” sections. To be valid, a heading must be on its own line with no other text. The document must be converted to PDF format to be uploaded in Research.gov.

  • Overview: Describe the potential outcome(s) of the proposed activity in terms of a product, process or service. Provide a list of keywords or phrases that identify the areas of technical expertise to be invoked in reviewing the proposal and the areas of application that are the initial target of the technology. Provide the subtopic name.
  • Intellectual Merit: This section MUST begin with “This Small Business Innovation Research (or Small Business Technology Transfer) Phase I project…” and should address the intellectual merits of the proposed activity. Briefly describe the technical hurdle(s) that will be addressed by the proposed research and development (R&D)(which should be crucial to successful commercialization of the innovation), the goals of the proposed R&D, and a high-level summary of the plan to reach those goals.
  • Broader Impacts: “Broader Impacts” are considered in two ways: 1) The direct impacts of this NSF-funded project on education, the environment, science, society, the nation and/or the world; and 2) the potential commercial impact that might result based on a successful commercial launch of the product or service described in the proposal. Explain the expected outcome in terms of both impacts. For “Commercial Potential,” describe how the proposed project will bring the innovation closer to commercialization under a sustainable business model. In this box, also describe the potential commercial and market impacts that such a commercialization effort would have if successful.

Project Description
See Project Description information

References Cited
Provide a comprehensive listing of relevant references, including websites or relevant URLs, patent numbers and other relevant intellectual property citations. A list of references cited must be uploaded into the system. If there are no references cited in the proposal, please indicate this by putting the statement “no references cited” in the module.

Budget(s)
See Budget information

Budget Justification(s). The Budget Justification is uploaded in the “Budget Justification” section of Research.gov as a single PDF file. Provide details for each nonzero line of the budget, including a description and cost estimates. Identify each line item by its budgeted letter/number code (e.g., G.5 for subaward costs).

If the budget includes subawards, each subaward also requires its own separate budget and budget justification.

Each nonzero line item should be described in the Budget Justification, but several types of costs also require more specific information as detailed below. There is a five-page limit for each Budget Justification (including Subaward Budget Justifications, where required). Additional information to help prepare your proposal budget is available here.

  • Lines A. and B. Personnel. Provide the names, titles and a brief description of the responsibilities of the PI, Co-PI (if STTR) and each of the Senior/Key Personnel. Also provide a concise description of their responsibilities in the project. Provide the actual annual, monthly or hourly salary rate, the time commitment and a calculation of the total requested salary.
  • Line C. Fringe Benefits. Describe what is included in fringe benefits and the calculations that were used to arrive at the amount requested. It is recommended that proposers allot funds for fringe benefits here ONLY if the proposer’s usual (established) accounting practices provide that fringe benefits be treated as direct costs. Otherwise, fringe benefits should be included in Line I. Indirect Costs.
  • Line D. Equipment. Equipment is defined as “nonexpendable, tangible personal property having a useful life of more than one year and an acquisition cost of $5,000 or more per unit.” However, organizations may elect to establish their capitalization threshold as less than $5,000. Equipment should be budgeted consistently with the proposing organization’s capitalization policy. Requests should not be made for general purpose or routine equipment that a business conducting research in the field should be expected to have available. The budget justification must explain the need for any equipment and include the item identification/description, vendor identification, quantity, price and extended amount. The budget justification should also include, as a separate document if needed, pricing documentation (e.g., quotes, invoices, links to online price lists, past purchase orders, etc.) for each budgeted piece of equipment.
  • Line E. Travel. For any budgeted travel, include the expected number of trips, number of people traveling, length of each trip, purpose and destination of each trip, and a rough breakdown of the expected cost of each trip. Please also justify why the travel is required for effective and efficient conduct of the proposed R&D.
  • Line G.1. Materials and Supplies. Provide an itemized list of the materials and supplies, with the quantity, unit cost and total cost for each item. Items with a total line item cost over $5,000 may require quote or pricing documentation after the proposal has been reviewed, as part of the NSF SBIR/STTR Program Officer’s due diligence efforts.
  • Line G.3. Consultant Services. Provide a copy of the signed “Letter of Commitment” in the proposal’s “Supplementary Documents” section. Each consultant, whether paid or unpaid, must provide a signed statement that confirms availability, time commitment, role in the project and the agreed upon consulting rate. The consulting rate under this solicitation can be a maximum of $1,000 per day (NSF defines a day as 8 hours). Consultant travel should be shown under the domestic travel category, Line E, but counts as an outsourcing expense for the purpose of determining whether the small business concern meets the minimum level of effort for an NSF SBIR/STTR proposal. The consultant agreement should identify the number of days and its associated daily rate.

    Biographical sketches for each consultant may be requested by the NSF SBIR/STTR Program Director after the proposal is reviewed, as part of their due diligence efforts.
  • Line G.4. Computer Services. Provide an itemized list of expected costs. Cost items with a total extended cost over $5,000 may require quote or pricing documentation after the proposal has been reviewed, as part of the NSF SBIR/STTR Program Officer’s due diligence efforts.
  • Line G.5. Subawards. Explicitly list who the research partner will be and provide a brief description of the work they will perform.
  • Line G.6. Other Direct Costs. Provide an itemized list of the materials and supplies, with the quantity, unit cost and total cost for each item. Items with a total line item cost over $5,000 may require quote or pricing documentation after the proposal has been reviewed, as part of the NSF SBIR/STTR Program Officer’s due diligence efforts.
  • Line I. Indirect Costs. Provide the calculations that were used to arrive at the amount requested. Please briefly indicate the major cost categories that are included as indirect costs. If the company is claiming the above-mentioned safe rate or de minimis rate, please state this. If the company has an existing negotiated rate with a federal agency, please give details.
  • Line K. Fee. Provide the calculation that was used to arrive at the amount requested.

Facilities, Equipment and Other Resources. Specify the availability and location of significant equipment, instrumentation, computers and physical facilities necessary to complete the portion of the research that is to be carried out by the proposing firm. 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. Upload images of the scanned statements into this section.

If a proposer wants to arrange the use of unique or one-of-a-kind government facilities, a waiver must be obtained from the Small Business Administration to approve such use.

Senior/Key Personnel Documents. For the PI, Co-PI and each person in the “Senior/Key Personnel” section, the four required documents are listed below.

  • Biographical Sketch(es). The biographical sketch is used to assess how well qualified the individual, team or organization is to conduct the proposed activities.

    A biographical sketch must be provided separately for each individual including the PI, Co-PI (if STTR) and Senior/Key Personnel (individuals with critical expertise who will be working on the project and are employed at the proposing company or at a subaward organization). Proposers must prepare biographical sketch files using SciENcv (Science Experts Network Curriculum Vitae), which will produce a compliant PDF. Senior/Key Personnel must prepare, save, certify and submit these documents as part of their proposal via Research.gov.

    Full requirements for these documents can be found in the current NSF Proposal and Award Policies and Procedures Guide. Frequently asked questions on using SciENcv can be found here.

  • Current and Pending (Other) Support. This information will provide reviewers with visibility into the potential availability of company personnel during the period of performance if awarded. All PIs, Co-PIs (if STTR), and Senior/Key Personnel must prepare Current and Pending (Other) Support files using SciENcv. Detailed information about the required content is available in the current PAPPG.

    For the PI, Co-PI (if STTR) and each of the Senior/Key Personnel listed on Line A or B of the budget, please provide the following information, regardless of whether the person will receive salary from the activity:

    • Name of sponsoring organization.
    • Total award amount (if already awarded) or expected award amount (if pending) for the entire award period covered (including indirect costs).
    • Title and performance period of the proposal or award.
    • Annual person-months (calendar months) devoted to the project by the PI or Senior/Key Personnel.

      Please report:
    • All current and pending support for ongoing projects and proposals (from any source, including “in kind” support or equity investment), including continuing grant and contract funding.
    • Proposals submitted to other agencies. Concurrent submission of a proposal to other organizations will not influence the review of the proposal submitted to NSF.
    • Upcoming submissions.
    • This current SBIR/STTR proposal is considered “pending” and therefore MUST appear in the “Current and Pending Support” form for each PI and Senior/Key Personnel.
  • Collaborators and Other Affiliations (COA) Information (Single Copy Document). This document must be provided for the PI, Co-PI (if STTR) and each Senior/Key Person. This document will not be viewable by reviewers but will be used by NSF to manage the selection of reviewers. Download the required Collaborators and Other Affiliations template and follow the instructions. Detailed information about the required content is available in the current PAPPG. Frequently asked questions about COA can be found here.
  • Synergistic Activities. Each individual identified as a senior/key person must provide a PDF document of up to one page that includes a list of up to five distinct examples that demonstrate the broader impact of the individual’s professional and scholarly activities and focus on the integration and transfer of knowledge as well as its creation. Examples of synergistic activities may include but are not limited to training junior scientists and engineers in innovation and entrepreneurship; developing new and novel products, tools and/or services based on deep technologies; broadening participation of groups underrepresented in STEM; service to the scientific and engineering communities outside the individual’s company; and/or participation in the national and/or international commercial market.

Data Management and Sharing Plan. Proposals MUST contain a supplementary PDF labeled “Data Management and Sharing Plan,” which should include the statement, “All data generated in this NSF SBIR/STTR project is considered proprietary.” This single sentence is sufficient to fulfill the Data Management and Sharing Plan requirement, but proposers may add more detail about how the resulting data will be managed, if they desire. The PDF cannot exceed two pages.

Mentoring Plan (Required if applicable). If a proposal requests funding to support postdoctoral scholars or graduate students at a research institution (through a subaward), a mentoring plan MUST be uploaded to the system. The mentoring plan must describe the mentoring that will be provided to all postdoctoral scholars or graduate students supported by the project, regardless of whether they reside at the submitting organization or at any subrecipient organization. Describe only the mentoring activities that will be provided to all postdoctoral scholars or graduate students supported by the project. The PDF cannot exceed one page.

For each NSF award that provides substantial support to postdoctoral scholars and graduate students, each individual must have an “Individual Development Plan,” which is updated annually. The IDP maps the educational goals, career exploration and professional development of the individual. NSF defines “substantial support” as an individual that has received one person month or more during the annual reporting period under the NSF award. Certification that a postdoctoral scholar(s) and/or graduate student(s) has an IDP must be included in the annual and final reports.

Other Supplementary Documents. See Other Supplementary Documents

List of Suggested Reviewers (Single Copy Document). This optional section can be used to suggest the names of reviewers who might be appropriate to assess the technical and commercial merits of the proposal. Reviewers who have significant personal or professional relationships with the proposing small business or its personnel should generally not be included.

List of Reviewers Not to Include (Single Copy Document). This optional section can be used to suggest names (or even specific affiliations) of reviewers that the proposer prefers not to be involved in the review of their proposal.

Deviation Authorization (Single Copy Document). This section should generally not be used unless NSF staff have specifically instructed the proposer to do so.

Additional Single Copy Document: ‘Project Pitch’ Invitation (required). In this section, proposers must submit a copy of the email invitation from an NSF SBIR/STTR program officer – in response to a submitted Project Pitch – inviting the company to submit a full proposal. Please convert this invitation email to a PDF before uploading.

C. Full Proposal Initiation:

Proposers are required to prepare and submit all proposals for this solicitation via Research.gov. Detailed instructions regarding the technical aspects or proposal preparation and submission via Research.gov are available at: https://www.research.gov/research-portal/appmanager/base/desktop?_nfpb=true&_pageLabel=research_node_display&_nodePath=/researchGov/Service/Desktop/ProposalPreparationandSubmission.html.

To initiate proposal preparation, complete the following steps in Research.gov.

  • Select “Prepare & Submit Proposals,” then “Letters of Intent and Proposals.”
  • Select “Prepare New” and from the drop-down menu select “Full Proposal.”
    1. Funding Opportunity. Either filter by “SBIR” or “STTR”, then select the button for the relevant solicitation (Phase I, Phase II or Fast-Track). Click “next.”
    2. Where to Apply. Select program: SBIR or STTR. Click “next.” Select the appropriate SBIR or STTR program (Phase I or Phase II). Click “next.”
    3. Proposal Type: SBIR or STTR. Click “next.”
  • Proposal details:
    • Is your organization a sole proprietorship?
    • Enter Proposal Title, then click on Prepare Proposal
  • You will now be on a new proposal page where you can select the appropriate submission window in the dropdown menu in the top right of the screen.

For additional detailed instructions on how to submit, visit: https://seedfund.nsf.gov/apply/full-proposal/.

For Research.gov user support, call the Research.gov Help Desk at 1-800-673-6188 or e-mail rgov@nsf.gov. The Research.gov Help Desk answers general technical questions related to the use of the Research.gov system. Specific questions related to this program solicitation should be referred to the NSF program staff contact(s) listed in the current SBIR/STTR funding opportunity.