Small Business Innovation Research Program Phase I Solicitation FY 2014 (Release 2) | Apply Online

Opportunity Summary:

The National Science Foundation (NSF) Small Business Innovation Research (SBIR) Program Phase I Solicitation for FY 2014 (Release 2) is a competitive federal grant opportunity designed to help small businesses turn high-potential research ideas into early-stage technologies with a clear path to commercialization. The core aim is to stimulate private-sector technological innovation while ensuring small firms play a meaningful role in meeting national research and development needs. A major emphasis is placed on moving federally supported research toward real-world products and services that generate both economic value and broader public benefit, which aligns directly with the SBIR/STTR Reauthorization Act of 2011 (Public Law 112-81).

This Phase I solicitation targets early feasibility work, helping companies validate technical concepts, reduce key risks, and build a foundation for later-stage development and market entry. NSF frames the program around broad, high-technology investment sectors rather than narrow problem statements, which gives applicants flexibility to propose cutting-edge ideas that fit NSF's mission. The solicitation identifies nine main topic areas: Educational Technologies and Applications; Information and Communication Technologies; Semiconductors and Photonic Devices and Materials; Electronic Hardware, Robotics and Wireless Technologies; Advanced Manufacturing and Nanotechnology; Advanced Materials and Instrumentation; Chemical and Environmental Technologies; Biological Technologies; and Smart Health and Biomedical Technologies. If an innovation does not fit neatly into one topic, applicants are encouraged to contact the relevant NSF Program Director for guidance or select the closest matching topic and subtopic. Importantly, while topics help organize proposals for expert peer review, topic selection itself is not used as a deciding factor in making awards.

In terms of funding scope, NSF anticipated making around 200 awards under this solicitation, with an estimated total program funding level of about $30,000,000. The listed award floor for Phase I is $150,000. The opportunity is categorized as discretionary funding, uses a grant funding instrument, and falls under Science and Technology and other Research and Development. The CFDA listing provided is 47.041 (Engineering Grants), reflecting NSF's broader research and engineering mission areas that may support SBIR projects.

The application timing is strict and window-based. Proposals had to be submitted within the submission window of Nov. 2, 2013 through Dec. 2, 2013. Submissions outside that window were to be returned without review. Deadline timing is based on the proposer’s local time zone, defined by the time zone associated with the company address registered with NSF at the time of submission. The solicitation was posted on Sep. 4, 2013, with the same date listed for creation, and it was archived on Jan. 2, 2014.

Eligibility is limited to firms that qualify as a small business concern under SBIR rules and size standards, and the firm must comply with applicable SBIR/STTR Policy Directives and 13 CFR 121. A notable restriction is that NSF chose not to use the authority that would allow certain venture-backed majority-owned firms to participate. As a result, small businesses that are majority owned by one or more venture capital operating companies (VCOCs), hedge funds, or private equity firms are not eligible to submit proposals or receive awards through the NSF SBIR/STTR program under this solicitation. While the competition is open to eligible small businesses generally, NSF specifically encourages participation from socially and economically disadvantaged small business concerns and women-owned small businesses.

The solicitation also sets clear rules about who performs the work and who leads the project. For Phase I, at least two-thirds of the research effort (measured by the budget) must be performed by the small business itself, with up to one-third allowed to be outsourced through consultants and/or subcontractors. Joint ventures and partnerships may apply as long as the created entity qualifies as a small business concern under SBIR eligibility rules. NSF also encourages companies to leverage external research capabilities, including collaborations with universities, national laboratories, and other research providers, using tools such as subcontracts, consulting agreements, or hiring faculty and students to support the project.

Principal Investigator (PI) requirements are designed to ensure the project is genuinely company-led. The PI’s primary employment must be with the small business at the time of award, defined as at least 51 percent employed by the company. NSF treats a full-time work week as normally 40 hours and considers employment elsewhere greater than 19.6 hours per week to conflict with the primary employment requirement. In addition, the PI must commit a minimum of one calendar month of effort to the Phase I project.

Administratively, the opportunity is published as NSF Publication 13-599 and carries the funding opportunity number 13-599. Applicants needing technical assistance were directed to NSF Grants.gov support at grantsgovsupport@nsf.gov, especially if they had trouble accessing the announcement or submitting through the electronic systems. A programmatic note also advises applicants not to submit the same project idea to both the SBIR Phase I solicitation and the concurrent STTR Phase I solicitation, signaling NSF’s preference to avoid duplicate submissions and to keep proposals clearly aligned with the most appropriate program pathway.

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