Small Business Technology Transfer Program Phase I Solicitation FY 2012 | Apply Online

Opportunity Summary:

The National Science Foundation (NSF) Small Business Technology Transfer (STTR) Program Phase I Solicitation for FY 2012 (Funding Opportunity Number 11-561) is a discretionary grant opportunity aimed at moving early-stage, high-potential research toward commercialization by formally teaming small businesses with U.S. research institutions. The central purpose of the STTR program is to stimulate technological innovation in the private sector, strengthen the role of small business in meeting federal research and development needs, accelerate the commercial use of results that come from federally supported research, and broaden participation among socially and economically disadvantaged small businesses and women-owned small businesses. A defining feature of STTR, compared to other small business R&D programs, is that university and nonprofit researchers are not just optional contributors; they are required to play a significant intellectual role in each project, enabling researchers to help spin out commercially promising ideas while remaining primarily employed at their institutions. The program operates under Public Law 112-17.

This particular solicitation highlights NSF interest in innovations that support national broadband goals and address the increasing strain on limited radio spectrum resources. The opportunity emphasizes that improving spectrum access is not only a technical challenge but also a strategic one, requiring new approaches, enabling technologies, and sometimes policy innovations that allow more flexible and efficient use of spectrum. The solicitation frames the stakes in competitive terms: the organizations and nations that develop key intellectual property for efficient spectrum use, and that adopt effective spectrum regulations, are positioned to gain advantages in communications-system manufacturing and overall productivity enabled by these technologies.

As a Phase I STTR solicitation, the funding is intended for feasibility-stage work: exploring the scientific, technical, and commercial merit of an innovation and reducing early risk before larger investments. NSF anticipated making about 35 awards under this solicitation, with an estimated total program funding level of $5,250,000. Individual awards have a ceiling of $150,000. The funding instrument is a grant, categorized under Science and Technology and other Research and Development, and tied to CFDA 47.041 (Engineering Grants). There is no cost sharing or matching requirement stated for this opportunity, which can make participation more accessible for early-stage companies that may not yet have significant capital.

Eligibility is limited to firms that qualify as a small business concern under NSF STTR definitions. While the solicitation encourages participation from socially and economically disadvantaged and women-owned small businesses, the fundamental eligibility requirement is small business status. Joint ventures and partnerships may apply only if the newly formed entity itself qualifies as a small business under the solicitation. The STTR structure also requires a formal collaboration with a nonprofit research institution (such as a university), and it includes specific minimum workshare requirements that are measured by the budget. For Phase I, at least 40 percent of the research effort (by budget) must be performed by the small business, and at least 30 percent (by budget) must be performed by the collaborating research institution. The remaining portion can be allocated among the small business, the research institution, or other allowable participants, consistent with program rules. The solicitation also encourages companies to leverage research expertise and facilities available at universities, colleges, national laboratories, and other research providers through subcontracts, consulting arrangements, hiring faculty as senior personnel, and employing graduate or undergraduate students as assistants.

Principal Investigator (PI) requirements are clearly defined and reflect STTRs emphasis on commercialization leadership residing in the small business. The PI must have primary employment with the small business at the time of award, with primary employment defined as 51 percent employed by the small business. The PI must also commit a minimum of two calendar months of effort to the Phase I project. The solicitation notes that employment releases and certifications of intent are required prior to award, reinforcing that PI availability and affiliation are not informal expectations but compliance items tied to award issuance.

The timeline for this FY 2012 Phase I solicitation includes an initial posting date of July 21, 2011, with the opportunity created on November 17, 2011. The original full proposal deadline was November 17, 2011, and the current closing date reflects an updated full proposal deadline of December 16, 2011. A procedural constraint is also stated: proposals were not to be submitted prior to October 17, 2011, and any submitted earlier would be returned without review. Applicants were directed to NSF Publication 11-561 for the full announcement details and to consult the relevant topic information referenced in section A.10. For technical access issues, the solicitation points applicants to Grants.gov support at grantsgovsupport@nsf.gov.

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