Frequently Asked Questions - Other SBIR/STTR Questions

May a portion of an SBIR award be subcontracted?

Yes.  For Phase I, the proposing firm must perform a minimum of two-thirds of the research and/or analytical effort.  One third may be subcontracted to another firm or research organization/facility.  For Phase II, the proposing firm must perform a minimum of one-half of the research and/or analytical effort.

May a portion of an STTR award be subcontracted?

Yes.  Both the small business and the research institution may subcontract or they may jointly fund a subcontractor, but no more than 30% of the total work can be subcontracted to a third party. The STTR program requires that the small business performs at least 40% of the R&D and the single partnering research institution to perform at least 30% of the R&D.

Does SBIR/STTR provide funding for self-initiated projects that do not address topics listed in solicitations?

No. The SBIR/STTR program does not fund unsolicited proposals (proposals that do not refer to and address a specific topic in a current agency SBIR/STTR solicitation). However, applicants should review the current SBIR/STTR solicitations across the participating agencies to see if any are relevant to the work the applicant would like to propose.

Is there any guidance on combining the results of multiple Phase I and Phase II efforts into a single Phase III contract?

This is allowed, however there is no specific guidance on this at the SBIR/STTR-wide level of the Policy Directive. You will have to check with each agency on their guidance on this.

Can a small business participate in both SBIR and STTR simultaneously at the same or differing agencies?

Yes, but they may not perform the same or essentially equivalent work under more than one contract or grant.  Collecting funds more than once for the same work is fraud.