Award Guidelines
A.
SBIR/STTR
Phase II Preaward Financial and Administrative Reviews
B.
Awards
C.
Payment
Schedules
D.
Treatment
and Protection of Proposal Information
E.
Rights
in Data Developed Under SBIR/STTR Grants
F.
Copyrights
G.
Patents
H.
Supplemental
Funding--Research Experiences for Undergraduates (REU)
I.
Management
Responsibility
J.
Accuracy
of Information
K.
Audits
L.
Changes
in Organization or Principal Investigator Status
M.
Inconsistencies
A.
SBIR/STTR Phase II Preaward Financial and Administrative Reviews
Once
a proposal has been recommended for funding, the Cost Analysis and
Audit Resolution Branch (CAAR) of the NSF Division of Contracts,
Policy and Oversight will perform the following financial and administrative
reviews:
1.
Budget Review
2.
Accounting and Timekeeping System Review
3.
Financial Capability Review
A
description of each of these reviews and the related documentation
requirements are found at the following web site: http://www.nsf.gov/bfa/dias/start.htm
Proposed
costs that cannot be supported by adequate cost/pricing data will
not be funded and the requested amount of funding will be reduced
accordingly.
Questions
concerning these reviews should be directed to CAAR at 703-292-8244.
B.
Awards
SBIR/STTR
Phase I and Phase II awards are subject to availability of
funds. NSF has no obligation to make any specific number of SBIR/STTR
Phase I or Phase II awards based on a solicitation, and may elect
to make several or no awards under any specific technical topic
or subtopic.
SBIR/STTR
Phase I awards are fixed-price grants and will not exceed $100,000.
Typically, about 80% of those grantees that receive SBIR/STTR Phase
I awards will apply for SBIR/STTR Phase II awards. The SBIR/STTR
Phase II fixed-price grants typically will not exceed $500,000
per award. SBIR/STTR Phase II awards normally will be made for
a 24-month period of performance.
Reasonable
fees for profit will be considered under both phases (not to exceed
7%). 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. The submitting small business concern will be requested
at that time to provide documentation that supports the
costs proposed. This information should be returned to the requesting
office as expeditiously as possible (see Certification of Current
Cost or Pricing Data Requirements, for specific documentation
requirements).
C.
Payment Schedules for SBIR/STTR Phase
I and II.
C.1
SBIR Phase I Payment. No invoices
are necessary under Phase I grants. Phase I payments will be made
as follows: two-thirds approximately 3-4 weeks after the effective
date of the award provided that a Request for Initial Payment and
ACH Vendor/Miscellaneous Payment enrollment forms are received by
the NSF Division of Financial Management, and the remaining one-third
upon acceptance of a satisfactory Phase I Final Report by NSF. The
first payment is automatic. The final payment will only be processed
upon acceptance of the electronic submission of the Phase I Final
Report and signed report cover page.
C.2
STTR Phase I Payment. No invoices
are necessary under Phase I grants. Phase I payments will be made
as follows: two-thirds of the total award amount approximately 3-4
weeks after the effective date of the award provided that a Request
for Initial Payment and ACH Vendor/Miscellaneous Payment enrollment
form are received by the NSF Division of Financial Management and
the remaining one-third upon acceptance of a satisfactory Phase
I Final Report by NSF.
C.3
SBIR/STTR Phase II Payment. Unless otherwise
stated in the grant letter, NSF will typically make payments
as follows:
- Twenty-five
percent (25%) advance payment will be made upon receipt of an
SBIR/STTR Award Request for Initial Payment Form;
- Twenty
percent (20%) upon acceptance by NSF of the first interim progress
report (usually about the 6th month of the grant performance period);
- Twenty
percent (20%) upon acceptance by NSF of the second interim progress
report (usually about the 12th month of the grant performance
period);
- Twenty
percent (20%) upon acceptance by NSF of the third interim progress
report (usually about the 18th 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 and Commercialization Report.
(See
the SBIR Phase II General Grant Conditions, Articles 5 and 6, http://www.nsf.gov/cgi-bin/getpub?sbirii).
D.
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
http://www.nsf.gov/cgi-bin/getpub?sbiri for Phase I and
http://www.nsf.gov/cgi-bin/getpub?sbirii
for Phase II.)
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 Rights
in Data Developed under SBIR/STTR 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.
E.
Rights in Data Developed Under SBIR/STTR Grants.
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 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, worldwide 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.
F.
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 stated in
the Reporting
Requirements
section.
G.
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.
The
Interagency Edison project provides Federal grantee/contractor organizations
for invention reporting to the Government. For information
on the Interagency Edison project reference the NSF FastLane
Home Page
and select on the left-hand side the Edison Reporting button.
H.
Supplemental Funding - Research Experiences for
Undergraduates (REU).
The SBIR can supplement a Phase II award to encourage undergraduate
students to embark on research careers. NSF has expanded the REU
program to allow K-12 science teachers to participate. For more
information on the REU Program; reference the Program Announcement
at http://www.nsf.gov/pubsys/ods/getpub.cfm?ods_key=nsf04584.
Companies
that receive a Phase II or Phase IIB award from NSF may apply for
REU support. REU supplement requests are prepared and submitted
via FastLane (see REU
instructions).
The REU program announcement has instructions on how to apply.
If the REU proposal is awarded, it will be made as a separate identifiable
supplement to an existing SBIR/STTR award. The REU supplement
is typically for $6,000 per student or teacher (An administrative
allowance (limited to 25% of the participant stipend support only)
is allowed for the REU portion in lieu of indirect costs.
I.
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.
J.
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.
K.
Audits.
Both Phase I and Phase II awards are subject to Federal audit
as specified in the applicable Grant Terms and Conditions. For Phase
I reference: http://www.nsf.gov/cgi-bin/getpub?sbiri
and for Phase II reference: http://www.nsf.gov/cgi-bin/getpub?sbirii.
L.
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 via FastLane, (see PI
Change
Instructions).
M.
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.
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