Overview

The NSF Engines: Southwest Sustainability Innovation Engine (SWSIE) invites project pitches for grant funding in the range of $100,000 to $250,000. This non-dilutive funding opportunity supports sustainability-related projects that address critical challenges and provide innovative solutions in energy, water, and carbon sectors.  

Eligible primary awardees are limited to startup and growth phase for-profit companies; however, nonprofit organizations, industry, and/or research/academic institutions located in the Southwest may be included by primary awardees in the project as collaborators. 

Eligibility

Each project pitch will be evaluated based on the following criteria:

1. Market Potential: The anticipated demand and scalability of the project’s proposed solution in relevant markets.
2. Strength of Core Team: Expertise and experience of key team members essential to project success.
3. Strength of Partnerships and Leverage: Strategic alliances and partnerships that will support the project’s goals, with an emphasis towards Southwest partners. Note that partners may include investors and do not necessarily need to be collaborators.
4. Financial Leverage: Strategy to secure additional funding beyond SWSIE’s grant.
5. Competitive Advantage: How the project has a clear competitive advantage and value proposition for customers. 
6. IP/Technology Validation: Clear demonstration of IP status, including IP protection strategy and validation of the technology at Technology Readiness Level (TRL) 6 or higher. This means at a minimum, a fully functional prototype or representational model is available. 
7. Community Impact: Path to long-term economic sustainability along with high potential for positive impacts to historically underserved communities and/or those disproportionately impacted by the climate crisis.
8. Use of Funds: A detailed plan for using SWSIE’s grant to achieve project objectives.

Q: Is this funding coming directly from NSF and are there the usual regulations and requirements around commercial firms receiving federal funds?

A: The funding originates from a National Science Foundation (NSF) Innovation Engine award to Arizona State University (ASU). However, the funds are not provided directly by NSF to recipients. Instead, they are distributed to recipients through ASU or a Southwest Sustainability Innovation Engine (SWSIE) partner.

While the awards are not subject to the specific federal grant terms and conditions that apply to ASU as the lead organization, recipients will need to adhere to a set of terms and conditions established by SWSIE. These will include requirements related to milestone reporting and ensuring the appropriate use of funds, in line with NSF’s overall objectives.

Q: A proposer would like an NDA signed prior to submitting the proposal. How is this handled? Is the proposer’s NDA used or is there an existing NDA at ASU/SWSI that can be used?

A: For the initial Request for Project Pitch stage, no confidential, proprietary, or business-sensitive information should be included in the submission. Given the broad scope and concise nature of the proposal requirements, a non-disclosure agreement (NDA) is not required at this stage. During the second round of project review, which involves video interviews between applicants and the reviewer team, the same no-NDA policy will apply. However, exceptions may be considered on a case-by-case basis, depending on the nature and level of technical information that needs to be disclosed. If an exception is granted, a SWSIE-originated NDA may be negotiated at that time.

Q: Who will be reviewing the proposals?  Both at the initial stage and at the final stage?

A: Proposals at both stages will be reviewed by a SWSIE review team, which includes a diverse group of technical experts. This team comprises representatives from SWSIE-affiliated research institutions, industry partners, venture capital fund managers, incubator and accelerator program managers, and experienced advisors specializing in technology startups.

Q: Leveraged funds are important for a successful proposal. How do these leveraged funds need to be accounted for (tracked and documented) in the proposal? 

A: Leveraged funds should be described in the Strength of Partnerships and Leverage section of the proposal. At this initial stage, there is no requirement to provide supporting documentation. However, during the second stage of the review process, applicants may be asked to submit additional materials, such as letters of support or intent, to validate the stated leverage.

Q: Information in the Email notification and web site are not consistent regarding non-commercial entities.

A: The SWSIE Innovation Grant is specifically intended for startup and growth-phase for-profit companies as primary awardees. However, nonprofit organizations, industry partners, and research or academic institutions located in the Southwest can participate as collaborators on these projects.

While the grant funds are awarded solely to for-profit companies, recipients may propose to allocate a portion of these funds to engage vendors or contractors, which can include nonprofits, industry partners, communities, or universities, to execute specific parts of the proposed scope of work. Applicants should carefully evaluate any applicable indirect rates associated with such arrangements.

It is important to note that the total grant funds will be disbursed to the for-profit company, which bears the responsibility for establishing agreements, contracts, and payment processes with vendors and contractors. Collaborators who contribute to the project without requiring grant funding may also be included in the pitch proposals, allowing for flexibility in forming partnerships.

Q: Will there be a second round in the proposal process?

A: Yes, there will be a second round. Applicants will be notified of the review committee’s decision to advance them to the second round no later than December 20, 2024. Those advancing to the next round may be asked to address additional questions posed by the round one reviewers. Final-round applicants will then be required to present their proposed project in a videoconference pitch to the SWSIE review panel.

Q: Can additional partners be brought in between rounds?

A: Applicants selected to advance in the review process may mention the inclusion of additional partners in their project if given the opportunity via a question from reviewers during the second round. Applicants may also include an updated partner list during the final videoconference pitch. However, it is important to ensure that the inclusion of new partners does not fundamentally alter the scope or objectives of the proposed project, as significant deviations from the initial proposal may result in disqualification.

Q: Is there a page limit on the first round of proposals?

A: SWSIE utilizes ASU’s InfoReady online portal for application submissions. Each question within the InfoReady form specifies a maximum word limit. Applicants should adhere to these word limits and ensure their responses remain concise and within the stated boundaries.

Q: Will the review committee make suggestions on merging proposals if they see a complementary intersection?

A: Due to SWSIE’s funding timeline, it is unlikely that the review committee will suggest merging proposals. However, reviewers may recommend modifications to projects if such changes are deemed beneficial to the project’s success or alignment with program goals.

Q: Are there any restrictions on what funding can be used for (e.g. equipment, personnel)?

A: There are no specific restrictions at this time. However, proposed budgets must clearly demonstrate how the funding will be used efficiently to achieve a successful project outcome. If reviewers identify potential issues with the proposed spending plan, they may request budget modifications to ensure alignment with project objectives.

Q: What is the preferred duration for the project period of performance, if any?
A: SWSIE generally seeks projects with a realistic and feasible plan to achieve a significant technical or commercial milestone within a 12-month or shorter timeframe. However, proposals with a duration extending beyond 12 months will not be disqualified. The key consideration is a well-structured project plan that is both achievable and has the potential to deliver meaningful impact.