Opportunity Information: Apply for 13 501
Apply for 13 501
- The National Science Foundation in the science and technology and other research and development sector is offering a public funding opportunity titled "Small Business Technology Transfer Program Phase I Solicitation FY 2013" and is now available to receive applicants.
- Interested and eligible applicants and submit their applications by referencing the CFDA number(s): 47.041 Engineering Grants.
- This funding opportunity was created on Jun 26, 2014 and posted on Oct 4, 2012.
- Applicants must submit their applications by This opportunity has been archived.. (Agency may still review applications by suitable applicants for the remaining/unused allocated funding in 2026.)
- The funding agency has allocated a total of $5,625,000.00 to eligible and selected applicants.
- Each selected applicant is eligible to receive up to $225,000.00 in funding.
- The number of recipients for this funding is limited to 25 candidate(s).
- Eligible applicants include: Others (see text field entitled Additional Information on Eligibility for clarification).
- Organization Limit Proposals may only be submitted by the following Only firms qualifying as a a hrefhttp://www.nsf.gov/eng/iip/sbir/definitions.jsp#sbcsmall business concern/aare eligible to participate in the STTR program. Socially and economically disadvantaged small business concerns and women owned small business concerns are particularly encouraged to participate. For an STTR Phase I Proposal, a minimum of 40 of the research, as measured by the budget, must be performed by the small business concern and a minimum of 30 of the research, as measured by the budget, must be performed by the collaborating research institution. 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 graduate or undergraduate students as assistants by the small business. PI Limitp classMsoNormalspan stylefont family Verdana, sans serif color blackThe primary employment of the Principal Investigator (PI) must be with the small business concern at the time of the award. A PI must spend a minimum of two calendar months on an STTR Phase I project. Employment releases and certifications of intent shall be required prior to award. /span p classMsoNormalspan stylefont family Verdana, sans serif color blackPrimary employment is defined as 51 employed by the small business. /spanspan stylefont family Verdana, sans serif color blackNSF considers a fulltime work week to be normally 40 hours and considers employment elsewhere of greater than 19.6 hours to be in conflict with this requirement./span
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Opportunity Summary:
The National Science Foundation (NSF) Small Business Technology Transfer (STTR) Program Phase I Solicitation for FY 2013 (Funding Opportunity Number 13-501) was a discretionary grant opportunity designed to push early-stage, high-potential research from the lab toward real-world commercial use. The program focuses on strengthening the role of small businesses in meeting federal research and development needs while increasing the commercial application of results that come from federally supported research. A central feature of STTR is that it formally ties a small business to a university or other nonprofit research institution, requiring the research institution to have a meaningful intellectual role in the project. This structure is meant to help researchers translate promising ideas into marketable technologies without requiring them to leave their primary academic or nonprofit positions, effectively supporting spin-offs and technology transfer into the private sector. The program operates under Public Law 112-81, the SBIR/STTR Reauthorization Act of 2011, and it explicitly encourages participation by socially and economically disadvantaged small business concerns and by women-owned small businesses.
For this particular solicitation, the research focus area was "Accelerating Sustainability using Enabling Technologies (ASET)." The underlying theme is sustainability defined broadly: meeting human needs equitably, avoiding environmental harm, and preserving the ability of future generations to meet their needs. NSF framed the challenge as one that requires deeper understanding of the coupled system connecting society, the natural world, and human-driven changes to Earth. Projects were expected to contribute knowledge and innovations that can sustain or improve quality of life while maintaining a healthy Earth system, using enabling technologies as accelerators for sustainability outcomes. NSF also indicated it would host a webinar within about six weeks of the solicitation release to answer questions, with details to be posted on the NSF SBIR/STTR website.
From a funding standpoint, the solicitation anticipated about 25 awards with an estimated total funding level of $5,625,000. The maximum award amount (award ceiling) for a Phase I project under this solicitation was $225,000. The opportunity was categorized under Science and Technology and other Research and Development, listed under CFDA 47.041 (Engineering Grants). There was no cost sharing or matching requirement, which typically makes Phase I participation more accessible for smaller firms that may not have substantial non-federal funds available at the earliest proof-of-concept stage.
Eligibility requirements were specific and central to the STTR model. Only firms that qualify as a "small business concern" under NSF STTR definitions were eligible to submit proposals, including proposals submitted by a joint venture or partnership as long as the newly created entity itself qualified as a small business under the solicitation rules. The solicitation required a defined split of research effort measured by budget: at least 40% of the work had to be performed by the small business concern, and at least 30% had to be performed by the collaborating research institution. The remaining portion could be allocated across the partners and other allowable participants, which created flexibility to bring in additional expertise or capabilities. NSF also encouraged companies to leverage research facilities and talent available at universities, colleges, national laboratories, and other research providers through subcontracts, consulting agreements, or by engaging faculty and students as part of the project team.
The Principal Investigator (PI) requirements emphasized that the project leadership must primarily reside within the small business, reinforcing the program goal of building innovation capacity in the private sector. The PI had to have primary employment with the small business at the time of award, with "primary employment" defined as at least 51% employed by the small business. NSF also clarified that it considers a normal full-time work week to be 40 hours and that employment elsewhere of more than 19.6 hours per week conflicts with the primary employment requirement. In addition, the PI was required to devote at least two calendar months of effort to the Phase I project. Employment releases and certifications of intent were to be provided prior to award, reflecting NSF's emphasis on verifying that the small business truly has the leadership capacity and time commitment necessary to execute the work.
Key administrative details include that the opportunity was originally posted on October 4, 2012, with an original closing date of February 6, 2013. It was later archived (archive date June 26, 2014), meaning it is no longer open for applications. Applicants who needed help accessing the full announcement electronically were directed to NSF grants.gov support at grantsgovsupport@nsf.gov, and the full solicitation was referenced as NSF Publication 13-501.
FAQs: NSF STTR Phase I (FY 2013) Solicitation 13-501 - ASET Topic
1) What is this grant opportunity?
This opportunity was the National Science Foundation (NSF) Small Business Technology Transfer (STTR) Program Phase I Solicitation for FY 2013, Funding Opportunity Number 13-501 (also referenced as NSF Publication 13-501). It was a discretionary grant designed to move early-stage, high-potential research toward real-world commercial use.
2) What was the purpose of the NSF STTR Phase I program in this solicitation?
The solicitation aimed to strengthen the role of small businesses in meeting federal research and development needs while increasing the commercial application of results from federally supported research. A defining feature is the formal collaboration between a small business and a university or other nonprofit research institution, with the research institution expected to have a meaningful intellectual role.
3) What research topic or focus area did this solicitation target?
The research focus area for this solicitation was "Accelerating Sustainability using Enabling Technologies (ASET)." Projects were expected to use enabling technologies as accelerators for sustainability outcomes.
4) How did NSF describe "sustainability" for the ASET theme?
NSF described sustainability broadly as meeting human needs equitably, avoiding environmental harm, and preserving the ability of future generations to meet their needs. The solicitation emphasized understanding the coupled system connecting society, the natural world, and human-driven changes to Earth.
5) What kind of project outcomes were expected under ASET?
Projects were expected to contribute knowledge and innovations that can sustain or improve quality of life while maintaining a healthy Earth system, using enabling technologies to accelerate sustainability-related results.
6) Who was eligible to apply?
Only firms that qualified as a "small business concern" under NSF STTR definitions were eligible to submit proposals. Proposals could also be submitted by a joint venture or partnership, as long as the newly created entity itself qualified as a small business under the solicitation rules.
7) What role did a university or nonprofit research institution play in STTR?
The STTR model required a formal tie between the small business and a university or other nonprofit research institution. The research institution needed to have a meaningful intellectual role in the project, supporting technology transfer and enabling researchers to participate without leaving their primary academic or nonprofit positions.
8) How was the research effort required to be split between the small business and the research institution?
The solicitation required a defined allocation of research effort measured by budget: at least 40% of the work had to be performed by the small business concern, and at least 30% had to be performed by the collaborating research institution. The remaining portion could be allocated among the partners and other allowable participants.
9) Could the project include other participants beyond the small business and the research institution?
Yes. After meeting the minimum 40% (small business) and 30% (research institution) thresholds, the remaining effort could be distributed flexibly, allowing additional expertise or capabilities to be added where appropriate.
10) Did NSF encourage the use of outside facilities or talent?
Yes. NSF encouraged companies to leverage research facilities and talent available at universities, colleges, national laboratories, and other research providers through mechanisms such as subcontracts, consulting agreements, or engaging faculty and students as part of the project team.
11) What were the Principal Investigator (PI) employment requirements?
The PI had to have primary employment with the small business at the time of award. "Primary employment" was defined as at least 51% employed by the small business.
12) How did NSF define a full-time work week and outside employment limits for the PI?
NSF stated that a normal full-time work week is 40 hours. Employment elsewhere of more than 19.6 hours per week would conflict with the primary employment requirement.
13) What minimum time commitment did the PI have to provide to the Phase I project?
The PI was required to devote at least two calendar months of effort to the Phase I project.
14) Were any special documents required to confirm PI availability and employment status?
Yes. Employment releases and certifications of intent were to be provided prior to award, reflecting NSF's emphasis on verifying that the small business had the leadership capacity and time commitment needed to execute the work.
15) How much funding was available in total and how many awards were anticipated?
The solicitation anticipated about 25 awards with an estimated total funding level of $5,625,000.
16) What was the maximum award amount for a Phase I project under this solicitation?
The Phase I award ceiling under this solicitation was $225,000.
17) Was cost sharing or matching required?
No. The solicitation stated there was no cost sharing or matching requirement.
18) What was the CFDA number and general category for this opportunity?
The opportunity was listed under CFDA 47.041 (Engineering Grants) and categorized under Science and Technology and other Research and Development.
19) What law or authorization governed this STTR solicitation?
The program operated under Public Law 112-81, the SBIR/STTR Reauthorization Act of 2011.
20) Did the solicitation encourage participation by certain types of small businesses?
Yes. It explicitly encouraged participation by socially and economically disadvantaged small business concerns and by women-owned small businesses.
21) When was the solicitation posted and when did it close?
The opportunity was originally posted on October 4, 2012, with an original closing date of February 6, 2013.
22) Is this funding opportunity still open?
No. It was archived on June 26, 2014, which indicates it is no longer open for applications.
23) Did NSF plan any applicant support such as a webinar?
Yes. NSF indicated it would host a webinar within about six weeks of the solicitation release to answer questions, with details to be posted on the NSF SBIR/STTR website.
24) Where could applicants get help accessing the full announcement electronically?
Applicants needing help accessing the full announcement electronically were directed to NSF grants.gov support at grantsgovsupport@nsf.gov.
25) How was the solicitation identified for reference?
The full solicitation was referenced as NSF Publication 13-501, and the Funding Opportunity Number was 13-501.
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