Small Business Technology Transfer Program Phase II (STTR Phase II) PROGRAM SOLICITATION NSF 21-566 REPLACES DOCUMENT(S): NSF 20-546 National Science Foundation Directorate for Engineering Industrial Innovation and Partnerships Submission Window Date(s) (due by 5 p.m. submitter's local time): February 16, 2021 - March 04, 2021 March 05, 2021 - June 03, 2021 June 04, 2021 - September 02, 2021 September 03, 2021 - December 02, 2021 IMPORTANT INFORMATION AND REVISION NOTES The NSF SBIR/STTR Program has four submission windows that allow small businesses the flexibility to submit a full proposal at any time within the year. Please refer to specific quarterly window dates listed at the top of this document. The proposal submission system (FastLane) will shut down at 5:00 p.m. "proposer's time" on each submission window closing date but, with the exception of the final submission window which closes in December, the system will reopen for new submissions the next day. Effective October 5, 2020, NSF requires all NSF proposals (including SBIR/STTR proposals) to include Biographical Sketches and Current and Pending Support documents using NSF-approved formats. A proposal without the Biographical Sketches and Current and Pending Support documents in the NSF-approved format will be returned without review. For SBIR or STTR proposals submitted to NSF, please follow the guidance provided in Section V.A of this solicitation (Proposal Preparation and Submission Instructions) for both Biographical Sketches and Current and Pending Support documentation. Step-by-step guidance can also be found here. To extend flexibility to small businesses during the COVID-19 crisis, NSF is extending the Phase II submission deadline (typically 6-24 months from the start date of their award) for the eligible SBIR/STTR Phase I awardees: All SBIR/STTR Phase I awardees with Phase I start dates between December 4, 2018, and December 4, 2019, will have a three-month extension to submit their Phase II proposal. Additional Information about this Program: A small business may apply for a National Science Foundation (NSF) Phase II Small Business Innovation Research (SBIR) or Small Business Technology Transfer (STTR) award only if it has received an NSF Phase I award, and only for continued research toward commercialization of the technology developed under the Phase I award. Small businesses are eligible to submit a Phase II proposal between 6 and 24 months after the start date of their relevant NSF SBIR/STTR Phase I award. Reference the Phase I award notice for the exact start date of the Phase I award. Proposals submitted outside of their eligible Phase II time-frame will be returned without review. *** Please see "Important Information and Revision Notes" section for a Phase II submission extension for eligible Phase I awardees.*** The proposal submission system (Fastlane) will shut down at 5:00 p.m. "proposer's time" on the submission window closing date. See section V.A of this document for more details. The Authorized Organizational Representative (AOR) must sign the Cover Sheet at the time of proposal submission. Proposals cannot be accepted without the signature of the AOR. Proposals submitted to this solicitation which are considered meritorious and which meet all the requirements of the concurrent SBIR Phase II solicitation may, based on budgetary considerations and NSF's discretion, be considered for award as SBIR Phase II projects. For the purpose of this solicitation, the following definitions apply: Funding Agreement: As used in this solicitation, the funding agreement is a Fixed Amount Cooperative Agreement – a legal instrument of financial assistance between NSF and an awardee, consistent with 31 USC 6302-6305 and as noted in the NSF Proposal & Award Policies Guide (PAPPG) Introduction, Section D ("Definitions & NSF-Grantee Relationships"). Small Business Concerns (SBCs): SBCs are independently owned and operated businesses that are not dominant in the field of operation. For this 1 solicitation, firms qualifying as a small business concern are eligible to participate in the SBIR/STTR program (see Section IV. "Eligibility Information" of this solicitation for more details). Please note that the size limit of 500 employees includes affiliates. The firm must be in compliance with the SBA SBIR/STTR Policy Directive and the Code of Federal Regulations (13 CFR 121). SBIR/STTR Data: As defined by the SBA SBIR/STTR Policy Directive, SBIR/STTR Data is all Data developed or generated in the performance of an SBIR or STTR award, including Technical Data and Computer Software developed or generated in the performance of an SBIR or STTR award. The term does not include information incidental to contract or grant administration, such as financial, administrative, cost or pricing or management information. SBIR/STTR Data Rights: As noted in the SBA SBIR/STTR Policy Directive, the Federal Government may, use, modify, reproduce, perform, display, release, or disclose SBIR/STTR Data that are Technical Data within the Government; however, the Government shall not use, release, or disclose the data for procurement, manufacturing, or commercial purposes; or release or disclose the SBIR/STTR Data outside the Government except as permitted by paragraph 10(B) of the SBIR/STTR Policy Directive's Data Rights Clause or by written permission of the Awardee. Research and Development (R&D): broadly defined in 2 CFR § 200.8, but specified for the NSF SBIR/STTR program as follows: the application of creative, original and potentially transformative concepts to systematically study, create, adapt, or manipulate the structure and behavior of the natural or man-made worlds; the use of the scientific method to propose well-reasoned, well-organized activities based on sound theory, computation, measurement, observation, experiment, or modeling; the demonstration of a well-qualified individual, team, or organization ready to deploy novel methods of creating, acquiring, processing, manipulating, storing, or disseminating data or metadata; and/or the adequate resources to carry out the applications and novel integration of new theories, analysis, data, or methods regarding cognition, heuristics, and related phenomena. Deep Technologies: technologies based on discoveries in fundamental science and engineering. Non-Dilutive Funding: financing that does not involve equity, debt, or other elements of the business ownership structure. Technical Risk: Technical risk assumes that the possibility of technical failure exists for an envisioned product, service, or solution to be successfully developed. This risk is present even to those suitably skilled in the art of the component, subsystem, method, technique, tool, or algorithm in question. If the new product, service, or solution is successfully realized and brought to the market, it would be difficult for a well-qualified, competing firm to reverse-engineer or otherwise neutralize the competitive advantage generated by leveraging fundamental science or engineering research techniques. Any proposal submitted in response to this solicitation should be submitted in accordance with the NSF Proposal & Award Policies & Procedures Guide (PAPPG). SUMMARY OF PROGRAM REQUIREMENTS General Information Program Title: Small Business Technology Transfer Program Phase II (STTR Phase II) Synopsis of Program: Introduction to the Program: The NSF STTR program focuses on transforming scientific discovery into products and services with commercial potential and/or societal benefit. Unlike fundamental or basic research activities that focus on scientific and engineering discoveries themselves, the NSF STTR program supports the creation of opportunities to move fundamental science and engineering out of the lab and into the market at scale; That is, the program promotes startups and small businesses representing "deep technology ventures." The NSF STTR Program funds advanced research and development. The program is designed to provide non-dilutive financing and entrepreneurial support at the earliest stages of company and technology development. Synopsis of Program: The STTR program is intended to support scientific excellence and technological innovation that is moving from the lab to the market. By investing federal research and development funds into startups and small businesses, NSF hopes to build a strong national economy and stimulate the creation of novel products, services, and solutions in the private sector; strengthen the role of small business in meeting federal research and development needs; increase the commercial application of federally supported research results; and develop and increase the US workforce, especially by fostering and encouraging participation by socially and economically disadvantaged and women-owned small businesses. The STTR program at NSF solicits proposals based on groundbreaking scientific discoveries or significant engineering breakthroughs from the small businesses consistent with NSF's mission to promote the progress of science; to advance the national health, prosperity, and welfare; and to secure the national defense. The program is governed by Public Law 114-328 (SBIR/STTR Reauthorization Act of 2017). SBIR/STTR policy is provided by the Small Business Administration (SBA) through the SBA Policy Directive. A main purpose of the legislation is to stimulate technological innovation and increase private sector commercialization. The NSF SBIR/STTR program is therefore in a unique position to meet both the goals of NSF and