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Small Business Innovation Research/ Small Business Technology Transfer Program Phase I




June 2, 2023



January 9, 2024





Award Floor:


Match Required?





Entity Types:

Small businesses

*Who May Submit Proposals: Proposals may only be submitted by the following: -;lt;ul;gt; ;lt;li;gt;Firms qualifying as a small business concern are eligible to participate in the NSF SBIR/STTR program (see;lt;a href=";Eligibility Guide;lt;/a;gt;for more information). Please note that the size limit of 500 employeesincludes affiliates. The firm must be in compliance with the;lt;a href=";SBIR/STTR Policy Directive(s);lt;/a;gt;and the Code of Federal Regulations (;lt;a href=";13 CFR Part 121;lt;/a;gt;). For STTR proposals, the applicant small business must also include a partner research institution in the project, see additional details below. AND;lt;/li;gt; ;lt;li;gt;Proposers that have received an official invitation to submit a proposal from the cognizant NSF SBIR/STTR Program Director within the past twelve months. To receive the invitation, potential proposers must submit a Project Pitch document and receive an official response (via email) from the cognizant Program Director.Please see section V.A for details.;lt;/li;gt; ;lt;/ul;gt; NSF does not fund proposals from companies that are majority-owned by one or more venture capital operating companies (VCOCs), hedge funds, or private equity firms. Proposals from joint ventures and partnerships are permitted, provided the proposing entity qualifies as a small business concern (see Eligibility Guide for more information). In compliance with the ;lt;a href=";CHIPS and Science Act of 2022;lt;/a;gt;, Section 10636 (Person or entity of concern prohibition) (;lt;a href=";42 U.S.C. 19235;lt;/a;gt;): No person published on the list under section 1237(b) of the Strom Thurmond National Defense Authorization Act for Fiscal Year 1999 (Public Law 105 261; 50 U.S.C. 1701 note) or ;lt;a href=";entity identified under section 1260h;lt;/a;gt; of the William M. (Mac) Thornberry National Defense Authorization Act for Fiscal Year 2021 (10 U.S.C. 113 note; Public Law 116 283) may receive or participate in any grant, award, program, support, or other activity under the Directorate for Technology, Innovation and Partnerships. "Collaborative Proposal from Multiple Organizations" (a special proposal type in are not allowed. Collaborations with research institutions are encouraged; however, only one proposal, submitted by the company and with subawards to the research institution(s), is allowed. *Who May Serve as PI: The primary employment of the Principal Investigator (PI) must be with the small business at the time of award and for the duration of the award, unless a new PI is named. Primary employment is defined as at least 51 percent employed by the small business. NSF normally considers a full-time work week to be 40 hours and considers employment elsewhere of greater than 19.6 hours per week to be in conflict with this requirement. The PI must have a legal right to work for the proposing company in the United States, as evidenced by citizenship, permanent residency, or an appropriate visa. The PI does not need to be associated with an academic institution. There are no PI degree requirements (i.e., the PI is not required to hold a Ph.D. or any other de




Source Type:


Introduction to the Program: In 1977, the National Science Foundation (NSF) piloted and subsequently instituted the Small Business Innovation Applied to National Needs program, a precursor to the Small Business Innovation Research (SBIR) program and a first of its kind within the federal government. The goal of this program was to catalyze the innovative capabilities of small firms within the United States by supporting high-risk, potentially high-payoff projects [1].The NSF SBIR/STTR program solicits proposals from small businesses based on groundbreaking scientific discoveries or significant engineering breakthroughs consistent with NSF;apos;s mission to promote the progress of science; to advance the national health, prosperity, and welfare; and to secure the national defense. This NSF program is governed by 15 U.S.C. 638 and the National Science Foundation Act of 1950, as amended (42 U.S.C. 1861 et seq.). The current NSF SBIR/STTR program continues this legacy of supporting the translation of scientific discovery into products and services with commercial potential and/or societal benefit. Unlike fundamental or basic research activities that focus on scientific and engineering discovery itself, the NSF SBIR/STTR program supports the creation of opportunities to move discoveries founded from fundamental science and engineering out of the lab and into the market or other use at scale, through startups and small businesses. The NSF SBIR/STTR program provides non-dilutive research and development funding at the earliest stages of technology development. Synopsis of Program: The NSF SBIR/STTR program supports moving scientific excellence and technological innovation from the lab to the market. By funding 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 with potential for broad impact; 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 NSF SBIR/STTR program welcomes proposals from many topics and does not have a specific technological focus (please see website at a listing of topics and cognizant Program staff). The program is open to proposals focusing on technical and market areas not explicitly noted, and such proposals should be submitted to "Other Topics". [1] R. T. Tibbetts, apos;s three-phase program helps the small-business innovator bootstrap an idea to commercial success," inIEEE Spectrum, vol. 15, no. 10, pp. 86-86, Oct. 1978, doi: 10.1109/MSPEC.1978.6367918.

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