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Warren R. DeVries
Division Director

SBIR/STTR FAQS

Q. I have a business.  However,  I am not federally registered (thus I don't have an EIN/TIN).  Can I still apply to this program?

A. Yes, then apply and receive your EIN/TIN.

Q. I have created the proposal.  I am listed as the PI and this needs to be changed.  How can I change who is listed as the PI?

A. You are not able to change the PI on an SBIR/STTR proposal.  To correct this, the PI must log in using his/her login information and create a new SBIR/STTR proposal.  Unfortunately, the proposal information must be re-entered into the new proposal.

Q. How do I add a subaward/subcontract budget to my proposal?

A. For step by step instructions,  please click on the following link:  Adding a Sub-Budget

Q. Can SBIR/STTR use the EXCEL spreadsheet option for creating the proposal budget?

A. The SBIR/STTR program is now supported by the EXCEL spreadsheet option.  Most proposers use the FastLane form to input information directly.

Q. I am listed as a subaward/subcontract on this SBIR/STTR proposal.  How can I submit the proposal?

A. The small business/lead organization actually submits the proposal.

Q. If I am applying to the STTR program (not SBIR), what should the performing research institution be set to on the cover sheet - the Small Business or the Institution?

A. The Research Institution is the "Performing" Institution and the Small Company is the "Awarding" Institution.

Q. How would you define Research Institution Investigator (located on the Cover Sheet)?

A. The Research Institution Investigator is a single individual designated by the Research Institution who is responsible for the scientific and technical direction of the project.  If this is an STTR proposal, please fill in the requested information for the Research Institution Investigator on the Cover Sheet.  

Q. I am applying to the STTR program (not SBIR).  On the cover sheet, I am given the opportunity to add a Co-PI.  Is this correct?  Must the Co-PI be the Research Investigator?

A. Yes, the STTR Research Investigator is treated as a Co-PI.

Q. How can both the business and the research institution sign the Cover Sheet for an STTR proposal?

A. The proposal should be electronically signed by the small business. For instructions, click on the following link: Electronic Signature

Q. What is a DUNS number?

A. The DUNS number is a nine-digit number assigned by Dun and Bradstreet Information Services. If the proposer does not have a DUNS number, they must contact Dun and Bradstreet by telephone directly at (800) 333-0505 to obtain one. A DUNS number should be provided immediately by telephone at no charge. 

Q. I have a DUNS number.  How do I enter it on my proposal?

A. The DUNS is added when you submit the proposal.  The system will prompt you to enter the DUNS number.

Q. How can I submit my proposal if I cannot obtain a DUNS number prior to submission?

A. If you do not have a DUNs number at the time of submission, you may type in a 9-digit place holder in order to allow the submission to go through. For example, type in a series of the same digit such as using number 1 to fill the field.

You may obtain your DUNs number at a later time and edit the number through the Research Administration module of FastLane using the “Review/Revise Organizational Information” section.

Q. When can I apply for a Phase II proposal?   Is it July or January?

A. This depends on when your Phase I proposal started.  Check with your SBIR/STTR Program Manager for the exact due dates. Each Phase I grantee has two opportunities to submit.  A Phase I Final Report must be submitted prior to submission of the Phase II proposal.

Q. I need to choose the Topic program and Subtopic letters.  Where can I find this information? 

A. Links to find the Topic and Subtopic letters can be found in the program solicitation or program specifications (found on the SBIR/STTR homepage).  The topics are listed below along with their links:

Manufacturing Innovation (MI)

Q. How can I choose more than one topic/subtopic on the cover sheet?

A. Designate one, and only one, of the topics. The topic name and the appropriate subtopic letter MUST be identified on the cover sheet. A firm may submit separate proposals on different topics or different proposals on the same topic under this Solicitation. Proposals found to be non-responsive to the solicitation topics will be returned to the proposer without further consideration.

Q. I have filled out my Cover Sheet.  However, the Unit of Consideration shows up as DMI - SMALL BUSINESS PHASE I or II.  It should be DMI - SMALL BUS TECH TRANS PROGRAM.

A. If you are working on an STTR proposal, you must change the unit of consideration.  The unit of consideration was automatically assigned when proposal was started.  However, that unit applies to the SBIR not STTR proposals.  If you need to change the Unit of Consideration, please follow these instructions:

1. Click on the GO button next to NSF Unit Consideration Current List of selected NSF UNITS: 

2. On the next page, highlight the DMI - SMALL BUS TECH TRANS PROGRAM (located in the Programs box) and click on the Select Program button.

3. The next page that appears will tell you that the unit was added.  You will also see two programs listed.  Highlight the program DMI - SMALL BUSINESS PHASE I or II and click on the Remove button. 

4. The next page will inform you that "The top unit was removed and replaced by a unit related to the program announcement."  You can now click on the Go Back button. 

Q. Is it mandatory to fill out the checklist on the Cover Sheet?  What will happen if I do not fill out all of the requested information?

A. The SBIR/STTR checklist MUST be completed; all questions must be answered.  If a company fails to do so, the proposal may be returned without review.

Q. I have completed the budget but the requested amount is not showing up on the Cover Sheet.  How can we correct this?

A. After budget is complete, you can manually change the requested amount  on the cover sheet (if the amount is not showing correctly)

Q. What is the maximum number of pages one can have for the biographical sketch?  Is it 2 pages per person (as stated in the GPG)?

A. It is preferred that you try to keep each bio to 2 pages per person, but if you go over this will not disqualify your proposal

Q. Must a biosketch and current and pending support for the consultants/subawards be uploaded to Fastlane?

A. A biosketch is needed on PI and Key personnel for the company.  If you have a consultant or subcontractor associated with the project a biosketch is required as well for these individuals.   Current and pending support is only for the company personnel.

Q. What is the maximum number of pages one can have for the budget justification?  Is it up to 3 pages (as stated in the GPG)? If so, are they allowed 3 pages for each budget or 3 pages for all budgets combined?

A. No limit.  It is required that ALL budget line items be explained.

Q. The GPG says that the font size can be no smaller than 10 pt.  Does this apply to the text for graphics?

A. The font size only pertains to the proposal text.  The text for pictures, graphs, etc. can be smaller.

Q. For STTR, the Cooperative Research Agreement must be obtained.  Is it correct that it should be filled out entirely and upload it to the supplementary documents section without signatures, because it will be signed after it's awarded?

A. A "signed" cooperative agreement is necessary upon award.  A letter stating that the two parties are working on a cooperative agreement is all that is necessary at the time of submission.

Q. Is it mandatory to list Suggested Reviewers?

A. Listing suggested reviewers is optional.  The suggested reviewers may or may not be considered by NSF.  The suggested reviewers are those that the SBIR/STTR applicant knows are qualified and will not have a conflict of interest.  There is not a list of reviewers to choose from.

Q. What are "key words?"

A. The key words should associate the project with a specific technology.

Q. Should  I print, sign, and mail the cover sheet?

A. Electronic Signature takes care of all requirements.  No paper copies (of anything) are needed.

Q. Do I have to mail a copy of the signed budget to NSF?

A. NO

Q. What is Phase IIB?

A. The Phase IIB Option helps bridge the gap in funding between Phase II and Phase III. The Phase IIB Option will provide additional funds to Phase II grantees that obtain third party funds. The objective of the Phase IIB Option is to extend the R&D efforts beyond a current grant to meet the product/process/software requirements of a third party investor and to also accelerate the Phase II project to the commercialization stage. The Phase IIB Option extends the Phase II grant for only one year and the combined Phase II and IIB will not typically exceed 3 years in duration. The Phase IIB option only applies to active Phase II grants, a no cost extension disqualifies a grantee from the Phase IIB option.  Make sure that a Phase IIB is applied for during the original performance period of the Phase II grant (for further information call your Program Officer). Phase IIB proposals are due by March 1 and November 1. 

Q. I am using a Macintosh.  When I print my document, the margins and fonts are smaller than what we chose.

A. If a Macintosh user says they printed their document but the margins and fonts are small than what they had chosen in their original document, you can have them check:

1.  The margin size and make sure they followed the GPG.

2.  When they print, the Acrobat executable file pops up.  They should choose their File (pop down menu) and choose Page Setup.  Have them look at Paper (option within Page Setup).   The Mac may have defaulted to US Letter Small instead of US Letter.  Change this option to US Letter.

Q. The Project Summary states a 200-word summary for intellectual merit and a 200-word summary for broader impacts; does this include the, key words, restatement of the topic/subtopic designation?

A.  The 200-word summary that pertains to the identification of the problem, the research objectives and the anticipated results of the project (i.e. the technical merits of the proposal).  Another 200-word summary addressing the commercial applications (i.e. broader impacts) of the project, key words, restatement of the topic/subtopic. Please keep this section to one page.

Q. Where do letters of commitment go in a Phase I proposal?

A.  Letters of commitment go in the Project Description Section of the proposal.  They do count toward the page count.  We suggest that you reduce the letters to save space and then email or mail the full size letters to the appropriate Program Officer.

Q. Is permanent equipment allowed in Phase I projects?

A. No permanent equipment is allowed in Phase I

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Last updated:
23-Jul-2004