U.S. Department of Energy
Small Business Innovation Research Program and
Small Business Technology Transfer Program

Frequently Asked Questions (FAQ's)
-updated 4/13/01-

OBTAINING THE SOLICITATION

Question:
How do I obtain a copy of the active solicitation?

Answer:
The FY 2001 SBIR/STTR solicitation has been posted on this homepage and may be printed directly from this site. The Table of Contents, General Information and Guidelines, Technical Topics, and Forms section of the solicitation has been formatted for downloading.

The SBIR/STTR Office has a limited number of hardcopies of the solicitation for those people without Internet access. If at all possible, we strongly encourage you to obtain the solicitation from our homepage.

FINAL REPORT

Question:
What is the format to use for interim and final reports?

Answer:
We do not require any specific format.  You should follow the guidelines given to you from the contracting officer at the field office that negotiation your grant.

DOWNLOADING THE SOLICITATION

Question:
How can I download the solicitation?

Answer:
The SBIR/STTR Office has set up the solicitation so that you may print it directly from the site. We suggest that you print off the General Information and Guidelines section, the topic area in which you are interested, and the Forms and the Certifications. The Forms may be downloaded into Word, WordPerfect or PDF.   The Table of Contents, General Information and Guidelines, Technical Topics, and Forms section of the solicitation has been formatted for downloading into a PDF.

JOINT VENTURE

Question:
We would like to apply as a Joint Venture, how do we fill out the cover page?

Answer:
Firm name should read: Joint Venture between ABC Company and XYZ Company.  Identify one person from either of the companies as the Corporate/Business Authorized Representative and one person as the Principal Investigator (these can be the same person). The total number of combined employees must NOT exceed 500.

Question:
We are applying as a Joint Venture with a 40%/60% split. Can the Principal Investigator be employed with the small business doing the smaller percentage?

Answer:
When two companies form a joint venture, they become one entity. Therefore, it does not matter with which firm the Principal Investigator is employed.

FONT SIZE

Question:
Is the 12 point type size required on Appendix B, Project Summary, and/or Appendix C, Grant Application Budget?

Answer:
No. You may use a smaller font since space is limited.

PAGE LIMITATION

Question:
Is it acceptable to reduce "Letters of commitment to and/or support of the project" to fit two on one page to stay within the 25 page limit?

Answer:
Yes, as long as they are legible.

BUDGET PAGE

Question:
Can fringe benefits be included in the hourly rate?

Answer:
Yes. If this is the case, state that they are included. Alternatively, fringe benefits may be included under "Indirect Costs."

Question:
What is the average fee?

Answer:
The allowable fee is determined by the Grants Specialist during the negotiation of the projects selected for award. The fee depends on a variety of factors including the risk taken on by the company (risks are small for grants). Usually, fees in the range from 7 to 8% are not challenged.

PRINCIPAL INVESTIGATOR

Question:
Can the PI be employed elsewhere during the conduct of the grant?

Answer:
The PI's primary employment must be with the small business at the time of the award and during the conduct of the proposed research. Primary employment means that more than one-half of the PI's time (21 or more hours of a 40 hour week) is spent in the employment of the small business. Also, employment with the small business precludes full time employment elsewhere.

COST SHARE

Question:
Can in-kind support be used as cost sharing?

Answer:
Yes.

APPLICATION SUBMISSION

Question:
Can our company apply for a grant by fax or e-mail?

Answer:
No.

PHASE III FOLLOW-ON FUNDING

Question:
For the Phase III follow-on funding, would commitments by private sector firms to purchase items developed under the Phase II be allowed?

Answer:
Yes, but they need to be firm commitments with a dollar amount attached.

PHASE II FOLLOW-ON FUNDING

Question:
For the Phase II non-SBIR funding and/or Phase II follow-on funding, are contributions from international companies allowed?

Answer:
Yes.

IN-KIND CONTRIBUTIONS

Question:
What are the guidelines for justification of in-kind contributions? Are there requirements for what proportion of the non-SBIR Phase II funding must be hard cash vs. in-kind contribution?

Answer:
Determine the value of in-kind support. No requirements.