Small Business Innovation Research Program Phase I Solicitation FY 2013 | Apply Online

Opportunity Summary:

The National Science Foundation (NSF) Small Business Innovation Research (SBIR) Program Phase I Solicitation for FY 2013 (NSF Publication 12-548; Funding Opportunity Number 12-548) is a competitive federal grant opportunity designed to help small businesses turn high-potential research and development ideas into innovative products and services with clear commercial promise. The program focuses on strengthening the role of U.S. small business concerns in meeting federal R and D needs, accelerating the commercialization of results that come from federally supported research, and broadening participation by encouraging proposals from socially and economically disadvantaged small businesses and women-owned small businesses. This solicitation reflects the SBIR and STTR Reauthorization Act of 2011 (Public Law 112-81), which emphasizes technological innovation and private-sector commercialization as central outcomes.

In practical terms, this Phase I solicitation supports early-stage feasibility research. Phase I awards are meant to help a company demonstrate that a proposed scientific or engineering concept is technically sound and that it has a credible pathway toward commercialization. NSF positions this program as a bridge between scientific discovery and real-world impact, with an expectation that successful Phase I projects can progress toward later development stages (including follow-on funding and market entry). To align with NSF's mission and areas of national interest, the solicitation uses broad topic areas rather than narrowly defined subtopics, allowing applicants to propose a wide range of cutting-edge technologies as long as they fit within NSF-relevant research and show commercial potential.

The solicitation identifies four main research topic areas that proposals must align with: Biological and Chemical Technologies (BC), Education Applications (EA), Electronics, Information and Communication Technologies (EI), and Nanotechnology, Advanced Materials, and Manufacturing (NM). These topic categories are intentionally wide, reflecting high-technology investment sectors and leaving room for applicants to propose innovative approaches across many industries and use cases. Applicants are directed to the solicitation's proposal instructions (Section V, Proposal Preparation and Submission Instructions, A.10. Research Topic) for the detailed definitions and expectations under each topic.

This opportunity is categorized as a discretionary grant program within the Science and Technology and other Research and Development activity area. NSF anticipated making around 100 awards under this solicitation, with an estimated total funding amount of $15,000,000. The award floor is listed as $150,000, and the program does not require cost sharing or matching funds, which reduces barriers for small businesses that may not have extensive capital available to support early-stage R and D.

Eligibility is limited to firms that qualify as a "small business concern" under the SBIR program's definitions. While the program is open to eligible small businesses broadly, it specifically encourages participation from socially and economically disadvantaged small business concerns and women-owned small business concerns. For Phase I projects, a key performance requirement is that at least two-thirds of the research effort, measured by the budget, must be performed by the small business itself. The remaining portion may be conducted through consultants and/or subcontractors. The solicitation allows proposals from joint ventures and partnerships as well, as long as the newly formed entity meets the SBIR small business concern eligibility requirements.

Although the small business must perform the majority of the work, NSF also explicitly encourages companies to leverage external research capabilities, such as collaborations with universities, colleges, national laboratories, and other research providers. These collaborations can be structured through subcontracts, consulting agreements, or hiring faculty as senior personnel, and can include employing graduate or undergraduate students as part of the project team. This design supports startups and small firms that have strong commercialization drive but need access to specialized facilities, domain expertise, or advanced research infrastructure.

Principal Investigator (PI) rules are also clearly defined. The PI's primary employment must be with the small business at the time of award, and the PI must be at least 51 percent employed by the small business. The PI must also commit a minimum of one calendar month of effort to the Phase I project. These requirements are meant to ensure that the project leadership is genuinely anchored in the small business and that the company is positioned to carry the innovation forward toward commercialization.

The application timeline for this solicitation is strict. The full proposal deadline is June 19, 2012, and proposals must be submitted within the specified submission window of May 19, 2012 through June 19, 2012. Proposals submitted outside that window are returned without review, meaning timing is treated as an eligibility gate rather than a flexible administrative detail. The posting and creation dates are March 21, 2012, and the archive date is July 19, 2012, reflecting the solicitation's availability period.

Administratively, the opportunity is associated with CFDA number 47.041 (Engineering Grants). Applicants needing help accessing the announcement or navigating submission issues are directed to Grants.gov support (grantsgovsupport@nsf.gov). The sponsoring agency is the National Science Foundation, and the solicitation emphasizes that proposals must be consistent with NSF's mission while demonstrating a strong, credible commercialization path, which is central to the SBIR program's purpose under the reauthorization law.

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