Opportunity Information: Apply for 13 598
Apply for 13 598
- 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 2014 (Release 2)" 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 Sep 4, 2013 and posted on Sep 4, 2013.
- Applicants must submit their applications by Dec 4, 2013 Proposals submitted outside the window of Nov. 4, 2013 Dec. 4, 2013 will be returned without review. Proposers time is defined as the time zone associated with the companys address as registered with NSF at the time of proposal submission.. (Agency may still review applications by suitable applicants for the remaining/unused allocated funding in 2026.)
- The funding agency has allocated a total of $10,890,000.00 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 47 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://sbir.gov/sites/default/files/eligsizecomplianceguide.pdfsmall business concern/aare eligible to participate in the STTR program. The firm must be in compliance with the SBIR /STTR Policy Directive(s) and 13 CFR 121. Please note that NSF has elected not to use the authority given under 15 U.S.C. sect 638(dd)(1) (also sect5107 of the SBIR/STTR Reauthorization Act). Hence, 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 from the NSF SBIR/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 a hrefhttp://sbir.gov/sites/default/files/eligsizecomplianceguide.pdfsmall business concern/ain 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 Limit The 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. Primary employment is defined as 51 employed by the small business. NSF 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.
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Opportunity Summary:
The National Science Foundation (NSF) Small Business Technology Transfer (STTR) Program Phase I Solicitation FY 2014 (Release 2) is a competitive grant opportunity designed to help small U.S. businesses turn early stage, research-driven innovations into commercially viable products and services. The STTR program is meant to push technological innovation in the private sector while ensuring that federally supported research has a clearer path to real-world use. A defining feature of STTR is that it formally connects a small business with a university or other nonprofit research institution, requiring that the research institution play a meaningful intellectual role rather than serving as a minor subcontractor. In practical terms, it supports situations where academic or nonprofit researchers can help “spin out” promising ideas through a partnered small company, while those researchers may remain primarily employed at their home institution. The solicitation is governed by the SBIR/STTR Reauthorization Act of 2011 (Public Law 112-81).
This particular Phase I solicitation places special emphasis on “NSF funding lineage,” meaning it is strongly preferred that the core innovation proposed can be linked to prior fundamental research that was funded by NSF. Applicants are expected to document that linkage directly in the Project Description, showing how earlier NSF-funded research outcomes (ideas, methods, results, prototypes, discoveries, or enabling science) connect to the proposed commercial technology. Importantly, the solicitation makes clear that it is not required for the original NSF-funded researchers to be involved in the STTR project. What matters is that the innovation itself can be credibly traced back to NSF-supported fundamental research, and that the proposal explains that connection in a concrete, documented way.
Proposed projects must fit within one of nine broad topic areas used for organizing the merit review process: Educational Technologies and Applications (EA); Information and Communication Technologies (IC); Semiconductors and Photonic Devices and Materials (S/PH); Electronic Hardware, Robotics and Wireless Technologies (EW); Advanced Manufacturing and Nanotechnology (MN); Advanced Materials and Instrumentation (MI); Chemical and Environmental Technologies (CT); Biological Technologies (BT); and Smart Health and Biomedical Technologies (SH/BM). The solicitation recognizes that some high-potential innovations do not map neatly to a topic, and encourages applicants to consult the relevant NSF SBIR/STTR Program Director or to select the closest matching topic and subtopic. While topics help NSF route proposals to appropriate expert review panels, they are not stated to be a deciding factor for making award selections beyond facilitating an informed review.
The program structure requires a real division of labor between the small business and the collaborating research institution. For an STTR Phase I proposal, at least 40 percent of the research effort (measured by the budget) must be performed by the small business, and at least 30 percent must be performed by the partnering research institution. This requirement reflects the intent that both partners actively contribute to the R&D. Joint ventures and partnerships may apply as long as the proposing entity qualifies as a small business concern under the applicable rules. The solicitation also encourages companies to leverage additional expertise and facilities at universities, national laboratories, and other research providers through subcontracts, consulting agreements, or by employing faculty and students on the project, as long as the STTR workshare requirements are met.
Eligibility is limited to firms that qualify as a “small business concern” and comply with SBIR/STTR policy directives and the SBA size regulations at 13 CFR 121. NSF specifically notes that it is not using the eligibility expansion authority for firms majority owned by venture capital operating companies, hedge funds, or private equity firms; as a result, companies that are majority owned by those investors are not eligible to submit to, or receive awards from, NSF’s SBIR/STTR program under this solicitation. The solicitation also explicitly encourages participation by socially and economically disadvantaged small businesses and women-owned small businesses as part of its broader goal of expanding participation in federally supported innovation.
The Principal Investigator (PI) requirements are also clearly defined. The PI’s primary employment must be with the small business at the time of award, where “primary employment” is defined as at least 51 percent employment by the company. NSF treats a standard full-time work week as 40 hours, and it considers outside employment greater than 19.6 hours per week to conflict with the primary employment requirement. In addition, the PI must commit at least two calendar months of effort to the Phase I project, and employment releases and certifications of intent are required prior to award. These rules are designed to ensure that the small business is genuinely leading the work and has the managerial and technical commitment needed to move the technology forward.
From a funding and timeline standpoint, this is a discretionary grant opportunity in the Science and Technology/Research and Development category (CFDA 47.041, Engineering Grants). NSF anticipated making about 47 awards under this release, with an estimated total funding amount of $10,890,000. The Phase I award ceiling is $225,000, and the solicitation states there is no cost sharing or matching requirement. The posting date and creation date were both September 4, 2013, and proposals were only accepted during a defined submission window: November 4, 2013 through December 4, 2013. Submissions outside that window would be returned without review, and “proposer time” is based on the time zone associated with the company’s address in NSF’s registration records at the time of submission. The archive date for the opportunity was January 6, 2014.
The solicitation also includes a practical process warning: submitting the same project idea to both this STTR Phase I solicitation and the concurrent NSF SBIR Phase I solicitation is strongly discouraged. While the text does not spell out penalties, the message is that applicants should choose the best fit rather than duplicating submissions across the two programs. Administrative support is routed through NSF’s Grants.gov support for access issues, and additional details are provided through NSF Publication 13-598, which is the formal solicitation document associated with Funding Opportunity Number 13-598.
NSF STTR Phase I (FY 2014 Release 2) - Frequently Asked Questions
What is the NSF STTR Program Phase I Solicitation (FY 2014 Release 2)?
The National Science Foundation (NSF) Small Business Technology Transfer (STTR) Program Phase I Solicitation FY 2014 (Release 2) is a competitive, discretionary grant opportunity designed to help small U.S. businesses advance early-stage, research-driven innovations toward commercially viable products and services, while strengthening the pathway from federally supported research to real-world use.
What is the main purpose of the STTR program?
The STTR program aims to stimulate technological innovation in the private sector and ensure that outcomes from federally funded research have a clearer route to commercialization and practical impact.
What makes STTR different from other small business R&D programs?
A defining feature of STTR is the formal collaboration requirement: the small business must partner with a university or other nonprofit research institution, and that research institution must play a meaningful intellectual role in the project rather than acting as a minor subcontractor.
Is a university or nonprofit research institution required as a partner?
Yes. This solicitation describes STTR as requiring a formal connection between a small business and a university or other nonprofit research institution, with an active R&D contribution from both parties.
How must the R&D work be divided between the small business and the research institution?
For an STTR Phase I proposal, at least 40% of the research effort (as measured by the budget) must be performed by the small business, and at least 30% must be performed by the partnering research institution.
Can we involve additional partners beyond the required research institution?
Yes. The solicitation encourages leveraging additional expertise and facilities (such as universities, national laboratories, and other research providers) through subcontracts, consulting agreements, or by employing faculty and students, as long as the STTR workshare requirements are still met.
Are joint ventures or partnerships allowed to apply?
Yes. Joint ventures and partnerships may apply as long as the proposing entity qualifies as a small business concern under the applicable rules.
What is meant by "NSF funding lineage" and why does it matter?
This Phase I solicitation places special emphasis on "NSF funding lineage," meaning it is strongly preferred that the core innovation can be linked to prior fundamental research funded by NSF. Applicants are expected to document that linkage directly in the Project Description.
What kind of evidence should be included to document NSF funding lineage?
The proposal is expected to explain, in a concrete and documented way, how earlier NSF-funded research outcomes (such as ideas, methods, results, prototypes, discoveries, or enabling science) connect to the proposed commercial technology.
Do the original NSF-funded researchers have to be part of the STTR project team?
No. The solicitation explicitly states it is not required for the original NSF-funded researchers to be involved. The key requirement is that the innovation itself can be credibly traced back to NSF-supported fundamental research and that the proposal documents that connection.
What topic areas can proposals be submitted under?
Proposed projects must fit within one of nine broad topic areas used to organize the merit review process: Educational Technologies and Applications (EA); Information and Communication Technologies (IC); Semiconductors and Photonic Devices and Materials (S/PH); Electronic Hardware, Robotics and Wireless Technologies (EW); Advanced Manufacturing and Nanotechnology (MN); Advanced Materials and Instrumentation (MI); Chemical and Environmental Technologies (CT); Biological Technologies (BT); and Smart Health and Biomedical Technologies (SH/BM).
What if my innovation does not fit neatly into one topic area?
The solicitation recognizes that some innovations do not map neatly to a topic and encourages applicants to consult the relevant NSF SBIR/STTR Program Director or select the closest matching topic and subtopic.
Do the topic areas affect award selection?
The solicitation indicates topics are used to route proposals to appropriate expert review panels and are not stated to be a deciding factor for award selections beyond facilitating an informed review.
Who is eligible to apply?
Eligibility is limited to firms that qualify as a "small business concern" and comply with SBIR/STTR policy directives and the SBA size regulations at 13 CFR 121.
Are companies majority owned by venture capital operating companies, hedge funds, or private equity firms eligible?
No. NSF notes it is not using the eligibility expansion authority for such firms under this solicitation. As a result, companies that are majority owned by venture capital operating companies, hedge funds, or private equity firms are not eligible to submit or receive awards under this NSF SBIR/STTR solicitation.
Does NSF encourage participation by certain types of small businesses?
Yes. The solicitation explicitly encourages participation by socially and economically disadvantaged small businesses and women-owned small businesses as part of its goal of expanding participation in federally supported innovation.
What are the Principal Investigator (PI) employment requirements?
The PI's primary employment must be with the small business at the time of award. "Primary employment" is defined as at least 51% employment by the company.
How does NSF interpret full-time work and outside employment for the PI?
NSF treats a standard full-time work week as 40 hours and considers outside employment greater than 19.6 hours per week to conflict with the primary employment requirement.
What is the minimum effort commitment for the PI during Phase I?
The PI must commit at least two calendar months of effort to the Phase I project.
Are any PI-related documents required before award?
Yes. The solicitation states that employment releases and certifications of intent are required prior to award.
What is the maximum Phase I award amount under this solicitation?
The Phase I award ceiling is $225,000.
Is cost sharing or matching required?
No. The solicitation states there is no cost sharing or matching requirement.
How many awards and how much total funding did NSF anticipate under this release?
NSF anticipated making about 47 awards under this release, with an estimated total funding amount of $10,890,000.
What is the CFDA number and program category for this opportunity?
The opportunity is listed under CFDA 47.041 (Engineering Grants) and is categorized as Science and Technology/Research and Development.
When was this opportunity posted?
The posting date and creation date were both September 4, 2013.
What was the proposal submission window?
Proposals were only accepted during the defined submission window of November 4, 2013 through December 4, 2013.
What happens if a proposal is submitted outside the submission window?
The solicitation states that submissions outside the window would be returned without review.
How is the submission deadline time determined?
The solicitation specifies that "proposer time" is based on the time zone associated with the company's address in NSF's registration records at the time of submission.
What was the archive date for this opportunity?
The archive date was January 6, 2014.
Is it acceptable to submit the same project idea to both NSF STTR Phase I and the concurrent NSF SBIR Phase I solicitation?
The solicitation strongly discourages submitting the same project idea to both this STTR Phase I solicitation and the concurrent NSF SBIR Phase I solicitation. The guidance implies applicants should choose the best fit rather than duplicating submissions across programs.
What law governs this STTR solicitation?
The solicitation is governed by the SBIR/STTR Reauthorization Act of 2011 (Public Law 112-81).
Where can applicants find the formal solicitation identifier and publication reference?
The formal solicitation document is NSF Publication 13-598, associated with Funding Opportunity Number 13-598.
Where is administrative support directed for Grants.gov access issues?
The solicitation indicates administrative support is routed through NSF's Grants.gov support for access issues.
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