[Program Guideline] NSF 97-64 Small Business Innovation Research Program
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Title : NSF 97-64 Small Business Innovation Research Program
Type : Program Guideline
NSF Org: ENG
Date : April 28, 1997
File : nsf9764
National Science Foundation
SBIR
Small Business Innovation Research Program
Program Solicitation
Closing Date: June 12, 1997
NSF 97-64
(Replaces 96-67)
NOTE: This electronic version does NOT include the forms. Please refer to
the following URL for the forms:
http://www.nsf.gov/cgi-bin/getpub?nsf9764
NATIONAL SBIR CONFERENCES
ORLANDO, FL
April 2-4, 1997
Washington, DC
Fall, 1997
PHOENIX, AZ
October 27-29, 1997
SAN FRANCISCO, CA
Spring, 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 awardee 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.
4201 Wilson Blvd., Suite 590
Arlington, VA 22230
Telephone:703/306-1390
Fax: 703/306-0337
email: sb...@nsf.gov
National Science Foundation
4201 Wilson Blvd., Suite 590
Arlington, VA 22230
Telephone: 703/306-1390
Fax: 703/306-0337
email: sb...@nsf.gov
February 6, 1997
Dear SBIR Proposer:
I wanted to personally take this opportunity to share with you some important
points. The first being that the NSF SBIR program is very proud of the fact
that we processed all proposals we received last June within the 6 month
mandated deadline. The second point is that some very significant changes to
the solicitation has taken place since the last cycle. Some of the changes
that I want to point out are:
* The award size for Phase I and Phase II has increased: Phase I will be
$100,000 and Phase II will be $400,000.
* The administrative screening of items that will cause a proposal to be
rendered ineligible has been simplified and is consistent with the SBA
requirements. We have captured this in the "STOP" page which follows this
letter.
* The section describing the Eligibility of Firm (section 1.8 ) has changed to
encourage participation from universities and faculty.
* The cover page has two additional questions.
* The number of topics has been reduced and significant modifications to most
topics have also occurred.
In light of these changes, I encourage every potential proposer to take the
time to read thoroughly the solicitation. During the last cycle, a number of
companies found that their proposals were returned because they did not follow
the instructions. I urge you to carefully go through the Proposal Checklist,
in order to double check and ensure that you completed the proposal package
correctly. It might be a good idea to send your proposal well in advance of
the deadline time of 5:00 p.m. EDT on June 12, 1997.
The NSF SBIR program will continue to make changes to the process in order to
better serve you, our customers. I wish you the very best luck in your
preparation of your new SBIR proposal.
Sincerely,
Kesh Narayanan
Director, Industrial Innovation Programs
STOP
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 MUST be at least 10-point or larger (Microsoft Word or
WordPerfect will be used as the standard measure) and margins should not be
less than 25 mm. (Reference Section: 3.3)
2. The proposal MUST NOT exceed 25 consecutive pages (Reference Section 3.3).
The only pages excluded from the page count are the following:
* NSF Form 1225
* Certification Page
* Reverse side of the Budget Page
* Information on Prior SBIR Awards
3. A signed Certification Page (which is the reverse side of the Cover Page)
MUST be included in the proposal package. (Reference Section 3.3B)
4. The proposal must arrive at NSF's Proposal Processing Unit (PPU) by 5:00
p.m. (EDT), June 12, 1997
NSF SMALL BUSINESS INNOVATION RESEARCH PROGRAM
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 1997 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 (Appendix A),
the CERTIFICATION PAGE (reverse side of Appendix B), and statements on PRIOR
SBIR AWARDS.
[ ] COVER PAGE is complete (Appendix B)
[ ] CERTIFICATION PAGE is signed (reverse side of Appendix B)
[ ] Project duration does not exceed 6 months (Section 3.3.B.1.)
[ ] Proposal is submitted under ONLY one topic (Section 3.2.)
[ ] PROJECT SUMMARY is complete (Appendix C)
[ ] Principal Investigator is primarily employed by this firm - if not,
required documentation is included (Sections 1.8. and 3.3.I).
[ ] 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 (Sections 1.8.A. and
B.)
[ ] Consultant and/or subaward documentation is completed and signed.
(Section 3.3.J.)
[ ] 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 (Section 3.3.L.)
[ ] 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) (Sections 1.1. and 3.3.J. and Appendix
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 (Section
3.3.K.)
[ ] Proposal and PROJECT SUMMARY describe commercial potential (Section
3.3.H. and Appendix C).
[ ] Proposal Budget (NSF 1030 A (Appendix 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,; and budget excludes foreign travel
and permanent equipment purchases.
[ ] Proprietary information is limited and is clearly identified in the text
or placed on a separate page (Cover Page and Section 5.4.A.).
[ ] An original and 9 copies of the proposal are submitted (Section 6.2.)
[ ] Deadline for receipt of proposal at the NSF is 5:00 p.m. EDT, June 12,
1997 (Section 6.1.)
TABLE OF CONTENTS
1. PROGRAM DESCRIPTION
1.1 The Federal SBIR Program
1.2 The NSF SBIR Program
1.3 Program Emphasis for 1997 - National Critical Technologies
1.4 SBIR Program Goals in Support of NSF Core Strategies
1.5 Phase I - Concept Feasibility
1.6 Phase II - Concept Refinement
1.7 Phase III - Commercialization
1.8 Eligibility of Firm
1.9 Eligibility of Principal of Investigator
A. Academic Affiliation
B. Research Support through an Academic Institution
C. Other Employment
1.10 Schedule
A. Estimated Phase I Dates
B. Estimated Phase II Dates
2. DEFINITIONS
2.1. Principal Investigator
2.2. Research
2.3. Development
2.4. Overlapping Work
2.5. Overlapping Proposals
2.6. Equivalent Proposals
2.7. Technical Data
2.8. Proprietary Data
2.9. Subaward
2.10. Consultant
2.11. Permanent Equipment
2.12. Small Business
2.13. Socially and Economically Disadvantaged Small Business
2.14. Women-Owned Small Business
3. PHASE I PROPOSAL PREPARATION INSTRUCTIONS
AND REQUIREMENTS
3.1 Contact with NSF
3.2 Proposal Preparation
3.3 Phase I Proposal Format
A. NSF Form 1225 (Appendix A)
B. Cover Page and Certification Page (Front & Back -
Appendix B)
C. Project Summary (Appendix C)
D. Identification and Significance of the Problem or
Opportunity
E. Background and Technical Approach
F. Phase I Research Objectives
G. Phase I Research Plan
H. Commercial Potential
I. Principal Investigator and Senior Personnel
J. Consultant and Subawards
K. Equipment, Instrumentation, Computers and Facilities
L. Current and Pending Support of Principal Investigator and
Senior Personnel
M. Equivalent or Overlapping Proposals to Other Federal
Agencies
N. Budget (Appendix D)
O. Prior SBIR Phase II Awards
3.4 Resubmission of a Proposal Previously Submitted
3.5 Proposal Checklist
3.6 Sample Proposals
4. SELECTION PROCESS AND EVALUATION CRITERIA
4.1 Administrative Screening
4.2 Technical Screening
4.3 Merit Review
4.4 Selection for Award
4.5 Debriefing
5. OTHER CONSIDERATIONS
5.1 Awards
5.2 Reports
A. Phase I Final Report
B. NSF Form 98A
5.3 Payment Schedule
5.4 Proprietary Information, Technical Data, Inventions, Copyrights,
and Patents
A. Proprietary Information in Proposals and Reports
B. Rights in Technical Data Developed Under SBIR
C. Copyrights
D. Patents
5.5 Grantee Commitments
5.6 Phase II Considerations
A. Guidelines for Phase II
B. Eligibility
C. Awards
D. Phase II Evaluation Criteria
E. Follow-on Funding Commitments
F. American-Made Equipment and Products
G. Annual Commercialization and Progress Report
5.7 Additional Critical Information
A. Management Responsibility
B. Accuracy of Information
C. Audits
D. Changes in Organization or Principal Investigator Status
E. Inconsistencies
6. SUBMISSION OF PROPOSALS
6.1 Deadline for Proposals
6.2 Proposal Submission
A. Packaging
B. Bindings and Covers
7. SCIENTIFIC AND TECHNICAL INFORMATION SOURCES
8. RESEARCH TOPIC DESCRIPTIONS
1. Physics
2. Chemistry
3. Materials Research
4. Mathematical Sciences
5. Astronomy
6. Atmospheric Sciences
7. Earth Sciences
8. Ocean Sciences
9. Polar Science, Engineering, and Operations
10. Biological Sciences
*13. Biological Infrastructure
14. Social, Behavioral, and Economic Research
15. Advanced Scientific Computing
16. Computer and Computation Research
17. Networking and Communications Research and Infrastructure
18. Microelectronic Information Processing Systems
19. Information, Robotics, and Intelligent Systems
20. Electrical and Communication Systems
21. Design, Manufacture, and Industrial Innovation
22. Chemical and Transport Systems
23. Civil and Mechanical Systems
24. Bioengineering and Environmental Systems
25. Education and Human Resources
26. Next Generation Vehicles
27. Microelectronics Manufacturing
*NOTE: Topic numbers 11 and 12 are skipped in this solicitation to maintain
consistency in topic numbering from previous years.
FORMS AND CERTIFICATIONS (Page numbers do not appear on the actual forms)
Appendix A (NSF Form 1225 - Information about Principal Investigators/
Project Directors
Appendix B (Proposal Cover Page (front) Proposal Certification Page (back)
Instruction for Certification
Appendix C (Project Summary Form)
Appendix D (Proposal Budget (front) Proposal Budget Instructions (back)
This program solicitation is issued pursuant to the authority of the National
Science Foundation Act of 1950, as amended (42 U.S.C. section1861 et seq.) for
the purpose of supporting research or related activities and 15 U.S.C. section
638 (PL 97-219, 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
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.
NSF is not able to provide status information on individual proposals during
the review process.
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 1997 Program Solicitation carefully before preparing your 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: sb...@nsf.gov
web address: www.nsf.gov/eng/dmii/sbir
NATIONAL SCIENCE FOUNDATION
PROGRAM SOLICITATION FOR
SMALL BUSINESS INNOVATION RESEARCH (SBIR)
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). 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. PROGRAM DESCRIPTION
1.1 The Federal SBIR Program
Eligible small businesses are invited to propose innovative ideas that meet
the specific research or research and development missions of the Federal
Government. 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.
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. Currently, ten Federal agencies have SBIR programs.
SBIR uses a uniform process having three phases. Phase I determines
scientific, technical, and commercial merit and feasibility of concepts.
Phase II further develops proposed concepts taking into consideration
scientific, technical, and commercial merit and feasibility, Phase I results,
and other relevant information. Phase III is the non-SBIR funded
commercialization of the R&D.
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: a minimum of one-half of the research must be performed by the
proposing firm.
1.2 The NSF SBIR Program
The primary objective of the NSF 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 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.
The objective of Phase III follow-on funding is to support development efforts
using non-SBIR and usually non-Federal funding for commercial application of
the research supported by NSF under Phases I and II.
The NSF SBIR Program does not support projects that are primarily for
demonstration, technical assistance, literature survey, market research, or
preparation of patent applications.
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.
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 sections 2131-59) and the regulations
promulgated thereunder by the Secretary of Agriculture (CFR, Title 9,
Subchapter A, Parts 1, 2, 3, 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.
This solicitation is for Phase I proposals only. It does, however, provide an
overview of the three-phase SBIR process.
1.3 Program Emphasis for 1997-National
Critical Technologies
The NSF SBIR Program encourages proposals across all fields of science and
engineering supported by the Foundation. (See Section 8, Research Topic
Descriptions.) Within that framework, the following critical technology areas
of national importance are emphasized:
-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.
1.4 SBIR Program Goals in Support of NSF
Core Strategies
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.
NSF Core Strategies and the SBIR Program Goals in Support of these Strategies
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 which more
fully support such SBIR program goals may be given extra consideration in the
evaluation process.
1.5 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 which 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.
Under this solicitation NSF anticipates that it will make about 200 Phase I
awards of up to $100,000 each. Research results are to be submitted to NSF in
a comprehensive Phase I Final Report.
The required Phase I Final Report is due at the end of the six-month
performance period.
Phase I proposals submitted under this program solicitation that have been
declined or returned by NSF are not eligible for reconsideration under the
same program solicitation. They may be revised and resubmitted under a
subsequent solicitation. A declined proposal may be resubmitted only after it
has undergone substantial revision. Resubmittals that have not clearly taken
into account the major comments or concerns resulting from the prior NSF
review may be returned without further review. A resubmitted proposal must be
identified by indication in the appropriate question on the proposal cover
page.
1.6 Phase II--Concept Refinement
Phase II further develops the proposed concept, building on the feasibility
project undertaken in Phase I. 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 which
NSF will provide to all Phase I grantees. (See Schedule, Section 1.9, and
Phase I Final Report, Section 5.2.A.)
Phase II awards, for a maximum of up to $400,000 and 24 months, will be made
to those small businesses with projects that appear most technically and
commercially promising.
Resubmission of a declined Phase II proposal is not permitted.
1.7 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.
1.8 Eligibility of Firm
A proposing firm must qualify under the definition of a small business given
in Section 2.12 of this solicitation. 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 students as assistants by the small business.
To be eligible, a minimum of two-thirds of the research as determined by
budget expenditures must be performed by the proposing firm during Phase I,
and a minimum of one-half of the research in Phase II must be performed by
the proposing firm.
Therefore, a maximum of one-third of the research and/or research services as
determined by budget expenditures may be used for faculty/university and/or
other consultant/subcontractor 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/subcontractor.
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.
1.9 Eligibility of 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 calendar-month
basis. Primary employment with a small business precludes full-time employment
at another organization.
Note that if the individual who is proposed as PI is not a 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 by the Grants Officer.
A. Academic Affiliation - Individuals employed full-time by an academic
institution may become eligible to serve as the Principal Investigator if the
individual provides a statement signed by their 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 award be made.
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.
B. 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 3.3L of this
solicitation.
Overlapping or equivalent proposals to other research support will not be
funded and the primary employment requirements in Section 1.9 apply.
C. 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.
1.10 Schedule
The anticipated schedule for Phase I and Phase II awards under this
solicitation is illustrated on the following page.
Schedule for Phase I and II Activities under this Solicitation
A. Estimated Phase I Dates
June 12, 1997* (5:00pm EDT) Proposal due (original and 9 copies)
July 15, 1997 NSF mails notification of receipt of
proposal
December, 1997 NSF mails notification of awards and
declinations
December 1997-January 1998 NSF mails instructions for completing
the Phase I process and preparing
for Phase II
January 1, 1998 Phase I Award effective date
June 30, 1998 End of 6-Month Phase I grant
performance period
July 15, 1998 Phase I Final Report due (12 Copies)
* This is a fixed date.
B. Estimated Phase II Dates
October 12, 1998**(5:00 p.m. EDT) Phase II Proposal including Appendix 2
(original and 9 copies) due
July 1, 1999*** Estimated Phase II Award effective date
**Firms whose Phase II submissions miss the October 12, 1998 deadline may
submit a Phase II proposal for the October 11, 1999 proposal due date
thereafter the proposal becomes ineligible for the Phase II process.
***For Proposals which meet the October 12, 1998 deadline. Awards made for
proposals submitted for the October 11, 1999 due date, would have an
estimated Phase II Award effective date of July 1, 2000.
2. DEFINITIONS
The following definitions apply for the purposes of this solicitation:
2.1 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."
2.2 Research
Any activity which is a systematic, intensive study directed toward greater
knowledge or understanding of the subject studied or a systematic study
directed specifically toward applying new knowledge to meet a recognized need.
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 products, processes or techniques to meet
specific requirements.
2.4 Overlapping Work
Any steps in the performance of work on one proposal that would not need to be
repeated to perform the work on the second proposal.
2.5 Overlapping Proposals
One proposal involves the performance of work that partially overlaps work to
be performed under the second proposal.
2.6 Equivalent Proposals
The performance of work in one proposal completely overlaps the work to be
performed under the second proposal.
2.7 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.
2.8 Proprietary Information
Trade secrets or commercial or financial information submitted by a proposer
or grantee that is privileged or confidential. Information is confidential if
disclosure of the information is likely to cause substantial harm to the
competitive position of the proposer or grantee.
2.9 Subaward
Any agreement, other than one involving an employer-employee relationship,
entered into by the small business concern calling for services required
solely for the performance of the original funding agreement. Subawards
include contracts, subcontracts and other arrangements.
2.10 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.
2.11 Permanent Equipment
Permanent equipment is an article of non-expendable, tangible personal
property having a useful lifetime of more than one year and an acquisition
cost of $5,000 (five thousand) or more per unit.
2.12 Small Business
A business concern that at the time of Phase I and Phase II awards meets the
following criteria:
(1) 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;
(2) 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; and
(3) 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. section 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 have the power to
control both. Control can be exercised through common ownership, common
management, and contractual relationships. The term "affiliates" is defined
in greater detail in 13 CFR 121.103. The term "number of employees" is
defined in 13 CFR 121.106, which states "The average number of employees of
the concern is used (including the employees of its domestic and foreign
affiliates) based upon numbers of employees for each of the pay periods for
the preceding completed 12 calendar months. 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:
(1) that is at least 51 percent owned by (i) an Indian tribe or a native
Hawaiian organization, or (ii) one or more socially and economically
disadvantaged individuals, and
(2) whose management and daily business operations are controlled by one or
more such individuals.
A socially and economically disadvantaged individual is defined as a member of
any of the following groups:
(1) Black Americans
(2) Hispanic Americans
(3) Native Americans
(4) Asian-Pacific Americans
(5) Subcontinent Asian Americans
(6) Other groups designated from time to time by SBA to be socially
disadvantaged; or
(7) 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. section
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.)
2.14 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. "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 of the firm.
3. PHASE I PROPOSAL PREPARATION
INSTRUCTIONS AND REQUIREMENTS
3.1 Contact with NSF
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 590, National Science Foundation, 4201
Wilson Boulevard, Arlington, VA 22230, telephone (703) 306-1391.
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.
Requests for copies of the solicitation may be addressed to the SBIR Program
at the above address. The solicitation may also be accessed electronically
via the World Wide Web on the National Science Foundation Home Page. (See
page following the title page of this solicitation for information on how to
access the solicitation at the NSF Web site.)
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.
3.2 Proposal Preparation
A particular proposal must be assigned to one, and only one, of the numbered
topics listed in Section 8, Research Topic Descriptions, in this solicitation.
This 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.
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 .
A proposal must contain adequate information to be reviewed as research. NSF
reserves the right not to submit to merit review any proposal which it finds
to have insufficient scientific, technical, or commercial potential
information.
3.3 Phase I Proposal Format
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:
-- NSF Form 1225
-- Certification Page (which is the reverse side of the Cover Page)
-- Reverse side of the Proposal Budget page (that is, "Instructions for Use of
Summary Proposal Budget")
-- Information on Prior Phase II Awards
Included in the page count are the following:
-- 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 Subcontractors
-- Proposal Budget page for overall project
-- Proposal Budget page for subcontract
-- Details of subcontract
-- Signed consultant statements (does not need to be a separate full page)
-- 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. Supplementary
materials, revisions, and substitutions will not be accepted for
administrative reasons and in the interest of equitable treatment for all.
Proposals not meeting these requirements will be returned without further
consideration. (Reference Stop-Page and section 4.1 for further details on
items that will administratively screen your proposal out.)
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.
A. NSF Form 1225 (Appendix 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.
B. Cover Page (Appendix B-Front) and Certification Page (Appendix
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 this form,
the Certification Page, must be completed and fully signed. 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.
(1) The period of performance of 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.
(2) 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.
C. Project Summary (Appendix 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.
The following Sections, 3.3.D through 3.3.G, relate to the first three review
criteria outlined in Section 4.2, Merit Review.
D. 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.
E. 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. Significant problems or barriers that must be overcome to achieve
successful commercialization should also be identified.
F. Phase I Research Objectives--In this section, 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.
G. Phase I Research Plan--This section must provide a detailed description of
the Phase I research approach. The plan should indicate what 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. 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.
The following Section, 3.3.H, directly relates to the fourth review criterion
outlined in Section 4.2, Merit Review.
H. 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 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? * 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 for 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 strategy 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.
The following Sections, 3.3.I through 3.3.K, relate to the fifth review
criterion outlined in Section 4.2, Merit Review.
I. Principal Investigator and Senior Personnel--This section should persuade
the reviewers that the Principal Investigator and the senior personnel have
the knowledge and 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 1.8.) Letters regarding employment releases and
certifications of intent shall be required prior to award and should be
included with the proposal.
J. Consultants and Subawards--Since a minimum of two-thirds of the research
as determined by budget expenditures must be performed by the proposing firm
during Phase I, it follows that the total amount of all consultant and
subaward agreements may not exceed one-third of the total grant budget.
(1) Consultants--In this section, 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 is currently $443 per
day.
Include signed statements from consultants which address the availability,
time commitment, role and daily rate of the consultant. Failure to include the
statements will result in return of the proposal.
(2) Subawards (including contracts, subcontracts and other arrangements) --
Excluding the procurement of items such as commercially available supplies,
materials, equipment or general support services allowable under the grant,
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. The intent to enter into such arrangements should
be disclosed in the proposal.
In this section, if subawards are used for research, describe the tasks to be
performed and how these are related to the overall project. For each
subaward, use a Proposal Budget form (Appendix 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.
Include Proposal Budget forms (NSF Form 1030A) signed by both the subawardee
project director and company representative for each subaward. Failure to
include the budget form will result in the return of the proposal.
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 (Appendix D) under
Other Direct Costs/Other (Item G.6).
K. Equipment, Instrumentation, Computers, and Facilities--In this section,
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.
L. 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 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, or proposals that will be submitted in
the near future, involving the Principal Investigator or senior personnel,
provide the following information:
-- Title and performance period of the project;
-- Name of sponsoring organization; and
-- Person-months (per year) (Calendar-months) devoted to the project by the
Principal Investigator and each of the senior personnel.
Current and pending support statement should be included in the proposal at
the time of submission.
M. 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
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.
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 that is described in an overlapping proposal provided 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.
N. Budget (Appendix 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
official 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 person-months (in the column headed by "CAL," which is
an abbreviation for calendar) ( to the nearest tenth of a person-month) 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 number of days proposed per consultant. Consultant
travel should be shown under the travel category. 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.
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 inside cover of this solicitation.
O. Prior SBIR Phase II Awards--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, 1986, FY87) must submit the following information for
each award:
-- 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.
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 Attachment I only to the original copy of the
proposal.
3.4 Resubmission of a Proposal Previously Submitted to the NSF SBIR Program
A declined SBIR proposal may be resubmitted only after it has undergone
substantial revision. Resubmissions that have not clearly taken into account
the major comments or concerns resulting from the prior NSF review may be
returned without further review. The Foundation will treat the revised
proposal as a new proposal, subject to the standard review procedures. The
firm can determine the most convenient method to mark, highlight or otherwise
indicate changes to the text in the proposal, but changes must be marked in
some fashion.
3.5 Proposal Checklist
The Proposal Checklist (a perforated page which can be easily removed from the
solicitation), which appears as page iii, has been included for your
convenience; it should not be submitted as part of your proposal.
3.6 Sample Proposals
A proposal which was submitted under a previous SBIR Solicitation and which
resulted in a Phase I award is provided as a sample at the NSF Web site at:
A sample proposal is provided for general guidance. Note that some
information has been deleted from the proposals to protect confidentiality.
4. SELECTION PROCESS AND EVALUATION CRITERIA
Proposals will be screened to determine responsiveness to the specific
requirements of the solicitation. Proposals passing this screening will then
be evaluated to determine the most promising approaches. Each proposal will
be evaluated on its merits and judged on a competitive basis. NSF may request
additional information to evidence awardee responsibility for project
completion. NSF is under no obligation to fund any proposal or any specific
number of proposals on a given topic.
4.1 Administrative Screening
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.
Proposers are urged to "STOP" and read carefully the administrative screening
page included in this solicitation preceding the proposal checklist.
4.2 Technical Screening
The following technical screening criteria will be applied to all Phase I
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 meet the topic/subtopic limitations or criteria included
in the subtopic description, if any?
* 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:
* weapons research,
* biomedical (except bioengineering*) research, 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.
*See Section 1.2 above.
4.3 Merit Review
Proposals that are found to be responsive to this solicitation are
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.
In the Phase I merit review process, approximately equal consideration will be
given to each of the following five criteria:
(1) The scientific, engineering, and/or educational significance of
the proposed research.
(2) The soundness of the research plan to establish the probable
technical and commercial feasibility of the concept.
(3) The uniqueness/ingenuity of the proposed concept or application as
technological innovation.
(4) The potential of the proposed concept for significant commercial
applications.
(5) The educational and professional experience of the Principal
Investigator, other key staff, consultants and subcontractors, in
relation to the proposed research; the time commitment of the
Principal Investigator (NSF requires a minimum of one month); and the
availability of instrumentation and facilities.
FIRMS WITH PAST SBIR PHASE II AWARDS WILL ALSO BE EVALUATED ON THE FOLLOWING
CRITERIA:
(6) Past SBIR Commercialization Progress or Success
4.4 Selection for Award
Normally, more Phase I proposals will be found technically and commercially
meritorious than can be supported.
Evaluation scores and comments from review panels and/or external reviewers
are advisory only. Recommended proposals are ranked after comparison with
other proposals received on the same topic or category. Recommended proposals
are then reviewed by SBIR program officers who consider past performance,
commercial potential, emphasis areas, program balance, and other factors in
addition to the technical ranking. The SBIR Program then makes its
recommendations for awards.
4.5 Debriefing
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 of the proposal's outcome.
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.
5. OTHER CONSIDERATIONS
5.1 Awards
NSF anticipates making about 200 Phase I fixed-price grants of up to $100,000
each. Awards will be made for a six (6)-month period of performance, usually
January 1 - June 30, 1998. All grant funds must be used for research-related
purposes.
Reasonable fees will be considered under both phases of the solicitation. See
Budget in Section 3.3 Cost-sharing is permitted; however, it is not required
nor will it be a factor in the evaluation of a proposal.
Prior to any award, the Foundation may require additional organizational,
management, and financial information for administrative purposes to assure
that the applicant adheres to certain business and financial standards. When
requested, this information should be returned to the NSF requesting office as
expeditiously as possible.
5.2 Reports
A. 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 6-month grant performance period.
Submit the report to Industrial Innovation Programs, Room 590, National
Science Foundation, 4201 Wilson Boulevard, Arlington, VA 22230, ATTN: Phase I
Final Report. 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 estimates of
technical feasibility.
Additional instructions will be sent to Phase I grantees prior to the
scheduled completion of the Phase I performance period.
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 5.4.B below. 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 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.
All Phase I 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.
B. NSF Form 98A--The investigator is required to submit a Form 98A: National
Science Foundation Final Project Report to the NSF SBIR Program Officer. Form
98A is distinct from, and not to be confused with, the Phase I Final Report.
The Form 98A must be submitted to NSF at the same time as the Phase I Final
Report, by the 15th day of the month following the end of the Phase I 6-month
grant performance period. Together ,the Phase I Final Report and the Form 98A
fulfill the two NSF reporting requirements for a Phase I grant. 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. See Section 5.4 below.
5.3 Payment Schedule
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.
5.4 Proprietary Information, Technical Data, Inventions, Copyrights, and
Patents
Proposals may contain proprietary information. In addition, Phase II
proposals and Final Reports delivered under a grant may also contain technical
data developed under the grant. The grantee may have rights in these
technical data.
A. Proprietary Information in Proposals and Reports--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.
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. 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
which, 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.
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.
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.
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.
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 directly below in Section 5.4.B.
Because Final Reports by the Principal Investigator will be made available to
the public (see Section 5.2.A above), such reports should contain no
restrictive language purporting to limit their use, except for technical data
described in Section 5.4.B below.
B. Rights in Technical Data Developed Under SBIR--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 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 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.
C. 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, Reports.
D. 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 an 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 section
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.
5.5 Grantee Commitments
In the event of an award, the awardee will be required to make certain legal
commitments through acceptance of the terms and conditions of the Phase I
funding agreements. Copies of complete terms and conditions are available
upon request.
5.6 Phase II Considerations
A. Guidelines for Phase II--Guidelines for submittal of Phase II proposals
which are more specific than those noted below will be provided to Phase I
awardees by the SBIR Program during the first three months of the Phase I
performance period. These guidelines will include specific instructions
relating to the Phase II proposal, the demonstration of commercial potential,
and the annual commercialization progress report. However, because obtaining
an acceptable Phase II follow-on funding commitment may be time consuming and
proposers will want to start pursuing this matter early, this subject is
outlined in Section K. below.
B. Eligibility--Only those NSF Phase I grantees whose Phase I Final Reports
are accepted are eligible to submit Phase II proposals to NSF. Any change of
Principal Investigator between Phase I and Phase II must be requested in
writing to the SBIR Program.
If a Phase II proposal has been declined, it is not eligible for resubmission.
C. Awards--The budget request and period of performance in Phase II should
depend upon the scope of research proposed, but will typically be for up to
$400,000 and will not normally exceed 24 months.
It is anticipated that about one-third of the Phase I awardees under this
solicitation will receive Phase II grants, depending upon availability of
funds. Phase II awardees will be notified within approximately nine months
after submission of Phase II proposals. Another 60-90 days may be required
for final processing.
Phase II awards are expected to be "Firm Fixed Price" with a definitive
payment schedule based on receipt and acceptance of required progress reports.
Progress reports will reflect technical progress against milestones
established in the Phase II proposal. All grant funds must be used for
research-related purposes.
D. Phase II Evaluation Criteria(subject to change)-In evaluation of Phase II
proposals, approximately equal consideration will be given to each of the
following criteria in the initial phase of the review: (1) Degree to which the
Phase I objectives were met (from the Phase I Final Report).
(2) The scientific, engineering, or educational significance of the proposed
research, and the soundness of the research plan to attain a laboratory
prototype or equivalent for Phase III product development and
commercialization.
(3) The uniqueness/ingenuity of the proposed concept or application as
technological innovation.
(4) The educational and professional experience of the Principal Investigator,
other key staff, and consultants relative to the proposed research; the time
commitment of the Principal Investigator; and the availability of proposed
instrumentation and facilities.
(5) Reasonableness of the budget requested for the work proposed.
(6) The potential of the proposed concept for significant commercial
applications as evidenced by:
(a) the small business concern's record of commercializing SBIR or other
research;
(b) the strength of acceptable Phase II funding commitments from
private sector or non-SBIR funding sources;
(c) the strength of acceptable Phase III follow-on funding commitments for the
commercialization of the research; and
(d) the strength of business and marketing plan and/or other indicators of
commercial potential of the idea including the existence of phase II
matching funds from third-party investors. (e) E. Follow-On Funding
Commitments--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 base for ideas which may have commercial potential.
Proposers are asked to consider whether the research they are proposing to NSF
has commercial possibilities either for the proposed application or for other
applications. Proposers are encouraged to obtain a contingent commitment for
follow-on funding to pursue further development of the commercial potential
without interruption after the completion of the government-funded Phase II.
Phase III private or non-SBIR funding pays for development related to
commercial objectives.
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.
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.
Further information will be provided to Phase I grantees. If commitments are
obtained from foreign sources, they must state that production for the U.S.
market will be carried out in the U.S.
Follow-on funding commitments are a component in the evaluation of commercial
potential of a project. 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. The commitment should be consistent with the
terms outlined above and should be for a minimum of $200,000.
F. American-Made Equipment and Products--It is Congress' intent that firms
receiving SBIR awards should, to the extent possible, purchase only
American-made equipment and products with these funds.
G. Commercialization Progress Report--Phase II grantees are required to
provide a commercialization progress upon completion of the grant and are
expected to continue reporting commercial results annually for five years
after the award period. The report would include 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 company employment levels. The purpose of this report is
to help monitor the extent of the commercial application derived from
SBIR-supported research.
5.7 Additional Critical Information
A. 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.
B. 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.
C. Audits--Both Phase I and Phase II awards are subject to Federal audit as
specified in the applicable Grant Terms and Conditions.
D. 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. (See also, Section 1.8, Eligibility of Principal
Investigator.)
E. 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. SUBMISSION OF PROPOSALS
6.1 Deadline for Proposals
Deadline for receipt (original and 9 copies) at the National Science
Foundation is 5:00 p.m., EDT, June 12, 1997. Proposals that do not meet the
deadline or that do not adhere to other requirements of this solicitation will
be returned to the proposer without further consideration.
Proposers are cautioned to be careful about unforeseen delays which can cause
late arrival of proposals at the Foundation.
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.
6.2 Proposal Submission
Proposals (original and 9 copies) should be addressed to:
Solicitation 97-64 (SBIR Program)
National Science Foundation PPU
4201 Wilson Blvd Room P60
Arlington, VA 22230
A. Packaging--Secure packaging is mandatory. The Foundation cannot be
responsible for the processing of proposals damaged in transit. The original
plus 9 copies of a proposal shall 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 required, however, one proposal, clearly
marked as the "original," must be signed as an original on the Certification
Page and the Summary Proposal Budget page by the Principal Investigator and
the authorized Company Officer. The other copies of the proposal need only
contain copies of the original signatures.
B. Bindings and Covers--Do not use any special binding or cover. Staple the
pages in the upper left-hand corner of the cover sheet of each proposal.
7. SCIENTIFIC AND TECHNICAL
INFORMATION SOURCES
Research Topic Descriptions, Section 8, 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.
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
(216) 734-0094
The Mid-Atlantic Technology
Applications Center
823 William Pitt Union
University of Pittsburgh
Pittsburgh, PA 15260
1-800-257-2725
NASA Far West Regional
Technology Transfer Center
3716 S. Hope Street, Suite 200
Los Angeles, CA 90007
CA Only (800) 642-2872
Other 1-800-872-7477
NASA Mid-Continent
Technology Transfer Center
Texas A & M University System
237 Wisenbaker Engineering
Research Center
College Station, TX 77843-8000
(409) 845-8762
1-800-472-6785
NASA/Southern
Technology Applications Center
University of Florida
College of Engineering
1 Progress Boulevard, Box 24
Alachua, FL 32615
1-800-472-6785
8. RESEARCH TOPIC DESCRIPTIONS
Small Business Innovation Research (SBIR) proposals are solicited across the
full scope of NSF-supported research as defined in the 25 topic descriptions
(numbered 1-27) that follow. 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 1.3, Program Emphasis for 1997, 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 95-111 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.
If a proposal falls within a topic (numbered 1-27) 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
(numbered 1-27) and that topic number must be designated on the proposal cover
page.
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 include the
applications of basic concepts in physics in innovative ways to problems in
such applied areas as manufacturing, diagnostics, communication, or control.
Proposals may be submitted in any subject that falls into the above scope of
the Division of Physics. [Note: Condensed Matter Physics and Materials
Research are included in the Division of Materials Research; proposals based
principally on work in those fields should be addressed to Topic 3.] The
feasibility of devices or systems, including associated software, having
applications in a broad range of scientific and industrial areas can also be
considered.
B. Suggested Subtopics
The following are some appropriate subtopics for SBIR projects in physics.
This list is meant to be illustrative; proposals are not necessarily limited
to these subtopics. [Note: See also Electrical and Communication Systems
(Topic 20) before submitting proposals under these subtopics.]
a. Optical Devices
Instruments for control or use of light at the classical or quantum level,
using new developments in atomic and optical physics.
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. Particle Detectors
Development of new or significantly improved particle detectors, including
high efficiency, damage resistance, good energy resolution, good spatial
resolution, or other special-purpose detectors.
d. Electronics
Analog or digital instruments for measurements in the above subfields of
physics, with such improvements as fast response, low noise, or novel
utilization of principles.
e. 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), derived from research programs in the
areas of physics listed above under Scope of Research.
f. Particle Traps
Application of electromagnetic or optical traps for confinement, study, and
manipulation of elementary particles, ions, neutral atoms, clusters of atoms,
or biological cells.
2. CHEMISTRY
A. Scope of Research
The Division of Chemistry supports research in synthesis, structure,
reactivity, energetics, 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; 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; Marine Chemistry in the
Division of Ocean Sciences; and several programs in the Division of Chemical
and Transport Systems in the Engineering Directorate.
B. Suggested Subtopics
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, separations 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.
3. MATERIALS RESEARCH
A. Scope of Research
The Division of Materials Research supports research on both the physics and
chemistry of materials necessary to develop 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, but particular interest exists in
those properties potentially important to structures, devices, and machines.
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, and extractive metallurgy.
B. Suggested Subtopics
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 subtopics for SBIR proposals cover a wide spectrum
of research activities including condensed matter and materials physics,
materials chemistry and chemical processing, materials modeling, materials
science, and materials engineering. The development of new or significantly
improved research instruments for chemical, structural, and physical property
characterization of materials is also appropriate. Also appropriate is
modeling related to the materials of interest listed below. More detailed
descriptions of these areas are delineated in the Guide to Programs (NSF
97-30).[LJS1]
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.
a. Advanced Materials
Advanced materials are those of high quality and reproducibility, with
superior properties for potential applications, obtained through control of
chemistry, morphology, microstructure, and processing variables. Materials of
interest include ceramics, diamond and carbon-based materials such as
fullerenes and carbon nitride, 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.
* Optical/Photonic Materials
Materials for displays, optical amplifiers, laser materials, short-wavelength
emitters, nonlinear materials.
* Magnetic 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, novel matrices and
reinforcements for composites, high temperature/high strength polymers,
coupling agents for polymer composites.
b. Novel Materials
Design and synthesis of new materials, beyond those listed above, with
desirable properties by atomic level control of materials and processes.
Examples include:
* Novel materials with hierarchical structures;
* Materials of great structural and/or chemical complexity with superior
properties;
* Artificially structured materials, such as electronic materials, composites,
coatings, and phase-separated systems;
* Nanostructured materials;
* Biomimetic materials with superior properties that mimic those found in
biologically produced materials;
* Development of smart materials that sense changes in their environment for
use in devices, structures, and machines.
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; 2101 Constitution Avenue, NW, Washington, DC 20418.
National Science Foundation. 1994. Instrumentation for Materials Research. NSF
94-108. Washington, DC.
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.
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, High-Performance
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.
* 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.
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.
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.
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.
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.
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 22209-3109.]
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.
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, 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 hard consolidated 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 data bases.
b. Marine/Estuarine Aquaculture
Research proposals are requested are directed toward improving cultivation
practices for marine organisms. Selected species or processes should have a
clear-cut commercial potential and the need for further acquisition of
scientific data to illustrate their value or utility. Areas of emphasis
include the following:
* Application to Biological Research - culture of organisms for use in
scientific laboratories, biotechnology research, and for stock enhancement
purposes.
* Application to Food Production - new approaches to increase production
efficiency, e.g., genetic improvements, reproductive biology, disease control,
and polyculture systems.
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)
* 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.
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.
a. Biological Monitoring of Environment
Like canaries in coal mines, 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.
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 10-12, 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.
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 market-driven 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 targetting data acquisition and modeling
involved in analytical ultracentrifugation, solid state sensors, multi-photon
nonlinear excitation microscopy and spectroscopy, laser light-scattering, 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 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 imageprocessing 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.
* New means of detecting spoilage, pathogens, toxins, or parasites for food
inspection.
* 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.
* more rapid and effective tests for nutritional requirements, substrate
utilization.
* 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 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.
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.
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 services 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.
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; and
* 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 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; studies of the
ways that individuals and groups function in a variety of contexts, including
the following:
* Computer software and related technologies for collecting information about
social institutions, structures and processes; techniques for analyzing,
reducing, and applying sociological data; systems for distributing raw data
and findings from sociological research studies.
* Sociology of work including studies of the effects of new technologies on
the organization of work; small-firm ownership and the economic integration of
new immigrants; organizational form and firm success; and determinants of
entrepreneurship. Development of models for analyzing the effects of work
environments on worker satisfaction and productivity.
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. Such software could be used in both
private and public sector organizations.
15. ADVANCED SCIENTIFIC
COMPUTING
A. Scope of Research
The focus of the New Technologies Program 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 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 New Technologies 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 topics should be considered representative, rather than
exclusive. The Program will consider proposals dealing with all aspects of
high performance computing. 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
Program Director in advance 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.
16. COMPUTER AND COMPUTATION
RESEARCH
A. Scope of Research
The Division of Computer and Computation Research supports fundamental
research in the science of computation and the engineering of computer
systems. The research ranges from mathematical studies of algorithms and
models of computation to the principles of engineering advanced computer
software and innovative computer systems. Basic themes of this work include
parallel and distributed systems, the study of algorithms in the context of
their applications, innovations in computer architecture, numeric and symbolic
computation, and computer languages. The Division supports interdisciplinary
research that makes a substantial contribution to computer science and
engineering, including research on Grand Challenge problems and in
computational biology.
Much of the research is aimed at order-of-magnitude improvements in
capabilities of computing systems that cannot be obtained by incremental
improvements in the underlying electronics. Experimental approaches that can
produce quantitative data to validate claims are particularly welcomed.
Parallel and distributed computation is a basic theme for much of the research
that has been supported. Promising new parallel and distributed architectures
are key technologies for future advances in high-performance computing.
Further progress in effective high performance computing requires newer
algorithms, languages, tools, and software systems. To develop these
technologies, new research is required in theory, problem solving, design, and
implementation.
Research on complex software systems is also of current importance, since
software is frequently cited as the major factor accounting 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.
B. Suggested Subtopics
Research should focus on techniques and mechanisms that will increase the
utility of computers and their application to commercial problems. Only
proposals for development of original concepts in which scientific knowledge
is applied to one of the areas listed below will be considered under Topic 16.
Moreover, a proposal must clearly specify the innovative concept or technique
for which feasibility is to be determined, the scientific issues to be
investigated, and the proposed research plan. A statement of need and
potential benefits is not sufficient.
Investigators should avoid producing tools that are widely available (e.g.,
screen editors). In addition, implementations of large, complex, software
systems are unlikely to succeed within the time frame of the SBIR program.
[Note: Research on computerized ethics should be addressed to Topic 14.m]
a. Software Engineering--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 are the following:
* Software prototyping.
* Software specification design and reuse.
* Software validation and verification.
* Software measurement and process.
* Software development environments.
b. Operating Systems and Systems Software--Research in this area deals with
operating systems, systems tools, and libraries for all levels of computers
and networked resources, with emphasis on systems software for
high-performance environments. Areas of interest are the following:
* Operating systems.
* Software tools for systems programming.
* Communication and cooperation of researchers in parallel and distributed
computers.
* Systems resource management.
* Systems security.
c. Computer Systems Architecture
Research in this is needed on the design, evaluation, analysis, and
development of computer architectures and related algorithms and software
systems. Research should focus on computer architectures at a high level of
abstraction and their supporting theory, models, software, and algorithms.
Areas of interest include the following:
* Tools for performance evaluation.
* Fault-tolerance and reliability.
* Caches and memory management.
* Parallel architecture.
* Special-purpose architecture.
* Simulation and modeling techniques.
d. Numeric, Symbolic, and Geometric Computation
Innovative research is needed on algorithms, techniques, systems, and tools
for symbolic and algebraic computations. Other needs include
computationally-oriented numerical analysis, numeric-symbolic interfaces,
visualization of scientific computations, scientific and engineering
applications based on symbolic computing techniques, and development of
parallel algorithms for numeric, symbolic, and geometric computations. Areas
of interest include the following:
* Computer algebra systems.
* Scientific and engineering applications.
* Packages for mathematical programming and optimization.
* Modeling in geometric computation.
* Tools and environments for scientific computation, including numerical,
symbolic, and geometric techniques.
e. Computer Graphics
This aspect of the program includes research in the computer science issues of
computer graphics. Areas of interest include the following:
* Algorithms and data structures.
* New input and display methods.
* Image synthesis.
* Geometric modeling of physical objects.
* Representation of curves and surfaces.
* Computer animation.
f. Programming Languages and Compilers
This area deals with all aspects of programming language research and compiler
development. The area seeks to further the integration of programming
language research with advances in high performance computing. Areas of
interest include the following:
* Compilers and computation techniques.
* Compiler-based tools.
* Special-purpose language.
* Languages and compilers for parallel computers.
* Languages and compilers for object-oriented, functional, and logic
programming.
References
Boyle, A.; Caviness, B.F.; Eds. 1990. Future Directions for Research in
Symbolic Computation. Philadelphia, PA: Society for Industrial and Applied
Mathematics, 3600 University City Science Center, Philadelphia, PA 19104-2688.
Committee on Physical, Mathematical, and Engineering Sciences. 1993. Grand
Challenges: High Performance Computing and Communications, To Supplement the
Presidents Fiscal Year 1993 budget. National Science Foundation, 4201 Wilson
Boulevard, Arlington, VA 22230.
Computer Science and Telecommunications Board, Computing the Future,1992,
Washington, DC: National Research Council,
Gallopoulos, E.; Houstis, E.; Rice, J.R. Future, Research Directions in
Problem Solving Environments for Computational Science, Champaign, IL:
University of Illinois at Urbana-Champaign.
National Academy Press. 1991. Computers at Risk. Washington, DC: NAP.
National Academy Press, 2101 Constitution Avenue, NW, Washington, DC 20418.
National Science Foundation Blue Ribbon, Panel on High Performance Computing,
August 1993. From Desktop to Teraflop: Exploiting the U.S. Lead in High
Performance Computing. Washington, DC, NSF.
Siegel, H.J. December 11D13, 1991. Grand Challenges in Computer Architecture
for the Support of High Performance Computing. West Lafayette, IN: Purdue
University.
Messina, P., Sterling T.; Eds. 1993. System Software and Tools for High
Performance Computing Environments. Society for Industrial and Applied
Mathematics, 3600 University City Science Center, Philadelphia, PA
19104-2688.
Committee on Physical, Mathematical and Engineering Sciences. 1994. High
Performance Computing and Communications: Toward a National Information
Infrastructure. Federal Coordinating Council for Science, Engineering and
Technology, Office of Science and Technology Policy, Washington, DC.
17. NETWORKING AND
COMMUNICATIONS
RESEARCH AND INFRASTRUCTURE
A. Scope of Research
The Networking and Communications Research Program of the Division of
Networking and Communications Research and Infrastructure supports research in
communication and information theory and systems, including their treatment in
the context of communication networks. Special emphases include optical
networks; networks integrating voice, data, and video; multimedia networks,
wireless networks and wireless access to networks; and representation,
transmission, storage and retrieval of data, voice, image, and video
information. High-definition video systems, cellular radio systems, packet
radio systems, satellite communications systems, high capacity storage
systems, and very high speed networks are examples of information technology
applications areas.
B. Suggested Subtopics
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 alternative, 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, 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.
g. Data Compression
Source coding, scalar and vector quantization, pattern recognition, transform
coding, and nonstationary source statistics, with applications to
communications and networks.
h. Image Processing
Representation and coding of image information for storage, retrieval,
transmission, and sharing in network environments.
i. Modulation and Coding
Coding and modulation for efficient and reliable transmission and storage of
information, particularly in very high speed electronic or optical systems, in
wireless access systems, for fading and dispersive channels, and for very high
capacity storage systems.
j. Communications Signal Processing
Detection, estimation, acquisition, and tracking of signal parameters;
nonlinear receivers, non-Gaussian additive or multiplicative channel noise or
interference, random or time-varying channel transmission parameters, adaptive
signal processing, and algorithms and architectures for implementation.
k. Network and Communication Security
Encryption/decryption algorithms, efficient hardware implementation, key
generation and distribution, m-ary security systems, and security management
systems.
Reference
National Science Foundation. May 12-14, 1994. Research Priorities in
Networking and Communications. NSF 94-165. [Available on-line through STIS.]
Arlington, VA: NSF.
18. MICROELECTRONIC INFORMATION
PROCESSING SYSTEMS (MIPS)
A. Scope of Research
The advent of gigabit networks, high-performance microprocessors, and parallel
systems is dramatically impacting research on systems-level architecture of
high-performance computing systems. The area of computing systems that
involves the structure of computers is central to the Division of
Microelectronic Information Processing Systems today and will be even more so
in the future. This is a core area of computer science and engineering, and in
the 1990's it encompasses much more than just hardware. Computing systems
deals with computer architecture, hardware implementation, networking, and
data storage systems.
The emphasis in MIPS is on real systems, both analog and digital. Special
weight is placed on design, prototyping, evaluation, and novel use of
computing systems and on the tools needed to design and build them. This
involves technology-driven and application-related research, experimental
research, and theoretical studies. The MIPS programs support research in the
following areas: high-level design (design automation and CAD tools);
systems-level architecture studies; experimental systems research projects
that build and evaluate hardware/software systems; signal processing
algorithms and systems; knowledge of applications; methodologies, tools, and
packaging technologies for rapid prototyping at the system level; and
infrastructure needed to support MIPS educational and research activities.
Research on device physics and the fabrication process is not supported by
MIPS.
B. Suggested Subtopics
Central research issues are managing the complexity of design, creating new
functional capabilities, and developing application specific computers. A
major goal of the Division's research is producing the knowledge and
mechanisms permitting the economical and simplified creation of new and
special purpose information processing and computing devices. Only proposals
for development of original concepts in which scientific knowledge is applied
to one of the areas listed below will be considered under Topic 18. Moreover,
a proposal must clearly describe the innovative concept or technique for which
feasibility is to be determined, the scientific issues to be investigated, and
the proposed research plan. A statement of need and potential benefits is not
sufficient.
a. Design Automation
The Design Automation Program supports research in Electronic Design
Automation (EDA) and those areas where VLSI design technology is applicable;
for example, systems-on-a-chip, embedded systems, and multi-technology
(optical, micro-electro-mechanical, etc.) systems. Grantees in the Program
investigate scientific methodologies, intellectual processes, abstractions,
search paradigms, and information models used in VLSI design. Research covers
all phases of the EDA design cycle.
The technology of VLSI circuits changes rapidly, and the demand for computing
systems of great complexity, performance and trustworthiness is high. Thus,
VLSI chips and systems of the future will be complex and incorporate
technologies ranging from traditional CMOS to optical and mechanical (MEMS).
Paradigm shifts in design are needed, as are new abstractions which permit the
designer to better manage complexity. New design methodologies are needed to
cope physical phenomena which are especially important. The need for design
re-use and deeper design-space exploration are changing the nature of design
and require new approaches.
The Design Automation Program has an active interest in:
* Multi-technology integration such as in micro-electro-mechanical systems;
* Physical design of high-speed circuits and systems;
* Validation and analysis methods that guarantee functionality;
* Design and test for systems-on-a-chip, embedded systems, and
high-performance ASICs;
* Design aids for the early stages of the design process: Estimates of design
parameters from incomplete specifications;
* Tools for early simulation and analysis thus enabling fuller exploration of
the design space;
* Metrics and accompanying estimation tools for aspects such as cost, power
consumption, test, and manufacturability;
* Incremental design and re-use of existing designs and components;
* Research on the design capture, documentation, and validation;
* Issues that address complete systems design;
* Team research that includes other disciplines (in groupings such as
hardware-software-mechanical or logic-circuits-interconnect); and
* Fault diagnosis and error detection.
b. Computer Systems Research
Research is on computing systems and methods for their design, with emphasis
on physically realizable systems. Particular interest is on designs of new
computer systems architectures brought about by the impact of either new
technologies or new applications or both. Technologies include the following:
VLSI, ULSI, wafer-scale integration, optoelectronic and optical interconnect,
multichip modules, and field programmable arrays. Applications include
scientific computing, graphics, manufacturing, education, digital signal
processing, communications, neuro-computing, symbolic processing, and
knowledge and data engineering. Subjects of interest are as follows:
* Designs and methodologies for innovative microsystems at the physical chip
level (chip, wafer and multichip), as well as at the abstract conceptual level
that can better utilize emerging technologies to achieve more efficient
architectures;
* Special purpose computing systems for applications whose computational
requirements cannot be met by conventional architectures in the foreseeable
future;
* Innovative parallel architectures;
* Fault tolerant systems;
* Memory system architectures; and
* I/O system architectures.
c. Signal Processing Systems (formerly Circuits and Signal Processing)
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, include: 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; 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; and Analog Signal
Processing (ASP) - the processing of data without conversion to
sampled-digital form. Special attention is currently given to research in:
* data quality validation
* scalable/progressive/multi-resolution approaches in signal decomposition,
compression, and other signal processing
* signal processing techniques to support content analysis
* 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
* manufacturing applications, e.g., nondestructive test and evaluation
* computed tomography and SAR (non-military applications)
For more detail, the reader should consult the Signal Processing Systems
homepage at http://www.cise.nsf.gov/mips/CSPhome.html, especially, the
discussion of the Signal Processing Systems Program under the Program Scope.
One should also consult the Summary of Awards for both MIPS and SBIR to see
which types of projects have recently been supported.
[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.
d. Prototyping Tools and Methodology
Research is on technologies, tools, and methodologies needed for the
prototyping of information processing systems for experimental use. Emphasis
is on issues that arise in creating, in a timely way, prototypes of systems
and on automating the microchip fabrication process. Recent efforts seek to
explore the extension of VLSI design methods to Microelectromechanical Systems
(MEMS) and Solid Freeform Fabrication (SFF).
In systems prototyping, ways are sought to rapidly prototype systems of chips
and boards that can provide realistic and timely feedback for overall system
design. In automating the microchip fabrication process, ideas on modeling,
simulating, measuring, automating, and improving the fabrication are sought.
Areas of interest include the following:
* Board-level design frames;
* Experimentation with new system interfaces;
* Development of new prototyping techniques and services;
* Use of new packaging and integration techniques, such as multichip modules
possibly incorporating MEMS components;
* Tools to aid in the rapid prototyping of systems, e.g., simulation, layout,
and intelligent aids to design;
* Tools to promote automation of the microchip fabrication process, e.g.,
tools to model, simulate, measure, and control the fabrication system; and
* Interconnect tools.
Research on device physics and the fabrication process is not supported here.
[Note: Topic 20.a covers research in these areas.]
e. Microelectronics Education
Support here includes development of curriculum and course materials and of
educational support services, such as field programmable gate arrays (FPGA's).
Areas of interest are the following:
* Development of teaching materials.
* Tools for lab use, such as system building kits that permit experimentation
with FPGA's, multichip modules, MEMS, etc.
References
National Science Foundation, 1996, 1995, 1994, 1993. Microelectronics
Information Processing Systems Division Summaries of Awards for FY 1996-FY93.
Washington, DC; Arlington, VA: NSF.*
National Science Foundation. Microelectronics Information Processing Systems
Division Program Announcement: Experimental Systems. Washington, DC: NSF.*
National Science Foundation. October 1992. NSF Workshop on CAD Design, Tools
and Test. Workshop Report. Washington, DC: NSF.*
Workshop on CAD Needs for System Design, Final Report. Boulder, CO, April 3-4,
1995. Workshop on Future Directions in CAD for Electronic Systems: "putting
the 'D' Back in CAD", Final Report. Seattle Washington, May 13-14, 1996.
Wolf, W.A.; Moyer, S. June 1993. National Science Foundation Workshop on High
Performance Memory Systems: Final Report. Computer Science Report No.
TR-93-35. Charlottesville, VA: University of Virginia.
NSF Workshop on Critical Issues in Computer Architecture Research
(http://www.cise.nsf.gov/mips/MSAWorkshop96/index.html).
Gray, R.; 1995. Signal Processing for the NII: Workshop/Panel Report, Ballston
VA.
Zoltowski, M.; 1996. Signal Processing for Smart Sensor Arrays: From Research
to Application-Rich Technology Insertion -- Workshop Proceedings. Arlington,
Virginia, April 27-28, 1995.
Antonsson, E. K.; 1996. Structured Design Methods for MEMS. Workshop Report,
Pasadena, CA.*
Mukherjee, A.; Hilibrand, J.; 1994. New Paradigms for Manufacturing. Workshop
report, Arlington, VA. NSF Publication 94-123 *
Siewiorek, D. P.; 1995. Design Methodologies for Solid Freeform Fabrication.
Workshop Report, Pittsburgh, PA. * (http://black.edrc.cmu.edu/proc/DMSFF95/)
Antonsson, E. K.; 1996. Structured Design Methods for MEMS. Workshop Report,
Pasadena, CA. * http://design.caltech.edu/NSF_MEMS_Workshop/
NSF; 1996. Integration of Education and Research in Microelectronics. Workshop
report, Arlington, VA.
(*Available from the MIPS Division Office.)
19. INFORMATION, ROBOTICS,
AND INTELLIGENT SYSTEMS
A. Scope of Research
Research in the Information, Robotics and Intelligent Systems Division is
concerned with improving the interactions among humans, computing systems, and
information resources. It builds on the foundations of computing and
information sciences, with a special emphasis on human users being an
essential component. Pathways in this research include finding and exploring
new modes and environments for communication between these three components;
improving the computing system's perception and understanding of human
expression in the forms of languages and other communication modalities;
enhancing the computing system's effectiveness in providing information and
information services to the human user; and development of physical devices as
intelligent extensions of human capabilities. Among the research issues
addressed are data capture and store; information management and access;
knowledge representation, delivery and distribution; intelligent human and
computer interfaces; group and organizational interactions; determination of
usability and adaptability; and programming paradigms and software
environments tailored to problem domains and task specifications. The key
challenge in this research is how to harness new information technologies for
the benefits of diverse end users. Work in this area in the past has
encompassed several fields of studies from symbolic computation, artificial
intelligence, models of cognition, databases and information retrieval, expert
systems technology, to robotics. Traditionally, these studies have
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. With humans being in the center of
computing and communication, the new emphasis is on content creation,
information infrastructures, and information transfer and on augmentation of
human performance. For example, rather than create a program that automates
a task, several programs might be created that operate in parallel to create
an information space with multiple choices within which humans can function
effectively. Such a transition from a focus on automation to a focus on
augmentation requires increasing the bandwidth of the human-machine interface,
as well as extending the sensor-effector range beyond human capabilities. The
important research tasks here are dealing 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 before hand, or after the fact. The goal of future human-centered
systems must be to achieve ease of use (by ordinary citizens and specialists)
as well as to simultaneously solve the problems of scale, heterogeneity, and
evolution of user needs.
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: (1) Intelligent sensors
and input/output devices, designed to collect or present information of
different kinds in the system, including 2-d and 3-d sensors, 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 knowledge 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) Machine learning
technology, enabling the system to adapt its operations and interactions to
each user's preferences and capabilities; (6) Collaboration technology,
including tools designed to allow resource-sharing and enable effective
coordination among groups of people who may not be co-located in time or
space; (7) Virtual environments, including both the advanced simulation and
modeling technology allowing the emersion of human experience in the computing
environment and the virtual enterprise technology enabling the restructuring
of businesses and corporations in the distributed workplace; (8) 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 (9) Integrated, very large knowledge
repositories for the creation, preservation, distribution, and use of digital
information or objects in various knowledge domains over high speed networks.
References
National Science Foundation. Computer and Information Science and
Engineering. Information, Robotics, and Intelligent Systems Division.
http://www.cise.nsf.gov/iris/.
Computing, Information, and Communications R&D (CIC R&D) Subcommittee.
Description of Program Component Areas, http://www.hpcc.gov/CIC-R&D/pca.html.
National Science and Technology Council. Technology in the National Interest.
http://www.ta.doc.gov/techni/techni.htm
Survey of the State of the Art in Human Language Technology, Ronald A. Cole et
al. http://www.cse.ogi.edu/CSLU/HLTsurvey/HLTsurvey.html.
Imielinski, T. and Korth, H. (Eds.) MOBIDATA: NSF Workshop on Mobile and
Wireless Information Systems, Workshop Report, November 1994;
http://athos.rutgers.edu/~badri/mobidata.ps
Jain, R. (Ed.) Workshop Report: NSF-ARPA Workshop on Visual Information
Management Systems, Boston, MA, June 1995;
http://www.virage.com/vir-res/reports/
Ullman, J. (Ed.) Database Systems: Achievements and Opportunities Into the
21st Century; NSF Workshop Report, May 1995;
http://db.stanford.edu/pub/ullman/1995/lagii.ps/
References and information on software and hardware for shared interactive
environments:
http://www.consensus.com/groupware/
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 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 systems-oriented 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,
neuro networks, nonlinear and hybrid control, and advanced computational
methods in distributed problem-solving and decision-making 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.
21. DESIGN, MANUFACTURE,
AND INDUSTRIAL INNOVATION
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.
* 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;
* 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, 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;
* 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.
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.
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:
* 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
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.
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.
23. CIVIL AND MECHANICAL SYSTEMS
A. Scope of Research
The Division of Civil and Mechanical Systems supports research driven both by
intrinsic interest in fundamental phenomena and by the need for solutions to
problems in civil and mechanical engineering, mechanics, and materials. NSF
will focus on breakthrough fundamental research initiatives that are high-risk
yet offer potential for eventual widespread commercialization and high
pay-off. The ultimate goal, though it need not be realized in the proposed
research initiative itself, must be full-scale deployment. The objective is
thus twofold: to encourage technological innovation within the small business
community and to promote commercialization of research developments originally
developed within the academic community.
Problems of interest are related to the design and behavior of new materials,
mechanical systems, structures, geosystems, infrastructure systems and
construction processes. Research focus is placed on the analysis and
synthesis of mechanical and structural component systems, including surface
engineering, tribology, dynamics, geotechnics and geo-environmental
applications, bridge engineering systems, composites for construction,
nondestructive evaluation and improved materials with enhanced useful life and
performance in extreme environments. The Division also supports research to
strengthen and implement the knowledge base on the following subjects: (1)
the physical phenomena of natural hazards such as earthquakes, hurricanes and
tornadoes, floods and droughts, landslides, subsidence and other ground
failures; (2) the interactions of natural hazards with, and their impacts on,
populations, the natural environment, and constructed facilities; (3) methods
of assessing the nature, magnitude, risk, and costs of these impacts; (4) the
prediction of natural hazard occurrences (except earthquakes); and (5) the
creation and dissemination of technical information for mitigating and
preventing the consequences of disasters.
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.
a. Mechanics and Materials
Proposals are sought in the design, mechanical response, and failure of all
classes of solids. Theoretical, experimental, and computational
investigations of deformation, fatigue, fracture and corrosion, accounting for
the underlying phase, defect, and microstructural state and its origin,
transformation, and evolution are emphasized.
* Constitutive equations and damage, including experimental, computational,
and analytical investigations into the manner in which solid materials and
composites deform (stress-strain relations) and fail (damage mechanics,
fracture mechanics, fatigue) under static and dynamic uniaxial and multiaxial
states of stress and various thermal environments. These include the
following: the analytical modeling of experimentally observed phenomena;
correlation of experimental observations with analytical predictions; and
integration between the macroscopic approach of continuum mechanics and the
microscopic approach of materials science. Research that bridges the
traditional boundaries between solid mechanics and materials science and
engineering is preferred.
* Materials processing and manufacturing, including modeling and computer
simulation of thermal and/or mechanical aspects of materials processing and
manufacturing, spanning the range of new understanding of well-established
processes to new processes, including those involving smart, optical, and
electronic materials and devices.
b. Civil Infrastructure Materials,
Structures, and Systems
Advanced technologies must be utilized to meet the demands of the next century
in terms of improved life-cycle cost and performance, safety, and
environmental sensitivity. Innovations are sought which lead to enhancements
for design, construction, maintenance, operation and recycling of safe,
long-lived, efficient, and economical civil engineering systems and
facilities. Also sought is research on a deteriorating civil infrastructure
and actions that can be taken to diagnose, repair, restore, retrofit, and
enhance the performance of existing components, facilities, and systems.
Proposals that focus on traditional construction methodologies and do not
involve any of the subtopics described below will not be reviewed.
* New structural systems, including new concepts for: analysis of new,
deteriorated, and repaired structures and systems; and design including
performance and optimization for initial construction, operation, utilization,
and renewal or recycling of structures and systems.
* High performance construction, including research on the effects of
environments (seismic, wind, etc.), composition, microstructure and structure
on the long term behavior, and environmentally compatible 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 capture
impacts on downstream life-cycle cost and performance.
* 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).
* Geotechnical research aimed at 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.
* 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.
* Urban Civil Infrastructure Systems research which concentrates on the
interactions among the large and complex engineering systems present in urban
environments, and strategies for management of infrastructure for overall
system performance evaluation and optimization .
c. Dynamic Systems and Control
Research on the dynamic behavior and control of machines, processes,
structures, and vehicles, including physical modeling of all types of dynamic
systems to improve the knowledge base for analyzing performance and control.
Areas of particular interest include the following:
* Modeling and simulation of Physical Systems.
* Improved analytical and experimental techniques for machine dynamics.
* Dynamics and control of nonlinear systems.
* Sensor and actuator dynamics and control.
* Intelligent control of multibody mechanical systems.
d. Surface Engineering and Tribology
Research on the characterization, structure, properties, modification,
behavior, and life prediction of surfaces; corrosion, friction, tribosensing
and wear; lubrication and modeling of tribosystems; and coatings and
tribomaterials. Current emphasis is on innovative research leading to new
ways of generating or characterizing surfaces that are engineered for optimal
mechanical properties, topography, and microstructure leading to improved
tribological materials, lubricants, and coatings for operation under severe
condition. Modeling of tribosystems and the use of signals from tribological
events for tribosensing and process control are also supported as well as
tribological problems in materials processing and manufacturing.
e. Earthquake Hazard Mitigation
Research to minimize the impacts of earthquakes, including investigation of
ground motion and ground failure due to earthquakes for different kinds of
sites; development of analytical methods for prediction of effects on
structures, lifelines, and foundations and for the experimental verification
of predictions; new passive and active systems of sensors and instruments for
monitoring and control of structural motions; improved ways of designing
earthquake-resistant structures; new methods for reducing the impact of
tsunamis on coastal areas and structures; and dissemination of research
results to users.
f. Natural and Technological Hazard Mitigation
NSF seeks new knowledge needed to design engineering systems that cope with
natural hazards such as extreme floods and droughts, hurricanes and tornadoes,
accelerated erosion, wind and water, ice jams and snow drifts, landslides,
subsidence, and expansive soils.
g. Bridge Engineering
To include self-monitoring systems by fiber optics, or other novel methods,
new design concepts using the advanced composites, innovative methods for
repair, retrofit, and rehabilitation of existing bridges which have
deteriorated for one reason or another. This includes all types of bridges
built with the usual construction materials, and preferably the composites for
the repair, etc. Condition assessment and reliability investigations may be
included.
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.
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.
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 Suptopics
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.
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 Systems
The Environmental Systems subtopic supports sustainable development research
with the goal of applying 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 impair the value of those resources.
This subtopic also 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 emphasizes engineering principles underlying pollution avoidance as
well as pollution treatment and reparation. Improved sensors, innovative
production processes, waste reduction and recycling, and industrial ecology
are important to this subtopic. Research may be directed toward improving the
cost effectiveness of pollution avoidance as well as developing fresh
principles for pollution avoidance technologies.
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-0-16-048521-5)
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.
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.]
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:
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. Demonstrated need for the proposed product.
b. Evidence that the proposed product is unique and innovative, e.g., with
promise to advance the state-of-the-art in educational technologies.
c. Demonstrated knowledge of accepted content standards in science,
mathematics, engineering, and technology.
d. Demonstrated awareness of
research on student learning and teaching ensuring sound pedagogical
techniques and developmentally appropriate content and instructional
strategies.
e. Demonstrated involvement of science, mathematics,
engineering, and technology educators at appropriate grade levels.
f. 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.
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
componentry 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 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-competive 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 distallate 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
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.
g. 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.
h. Environmental Issues
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.
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
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.
NOTE: This electronic version does NOT include the forms. Please refer to
the following URL for the forms:
http://www.nsf.gov/cgi-bin/getpub?nsf9764
NSF 97-64 (Replaces 96-67)
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