Fields 9-10 apply only to SBIR applications and will appear once you have chosen SBIR as the Program Type at the beginning of the form.
Fields 11-13 apply only to STTR applications and will appear once you have chosen STTR as the Program Type at the beginning of the form. Please note that if you are applying for an STTR award and you have previously received Phase II awards from the Federal Government that you will be required to attach the Company Commercialization Report (generated at SBIR.gov) to Field 12 of the “Research and Related: Other Project Information.”
Please note that if you selected “Both” as the Program Type at the beginning of the form and are applying for an SBIR and an STTR award, you will be required to answer SBIR-specific and STTR-specific questions.
SBIR-Specific Questions Instructions |
Field | Instructions |
9 | - Check the “Yes” box if you have received Phase II awards from the Federal Government.
- If you have received Phase II awards and you are submitting and SBIR application or and SBIR and an STTR application, provide a Company Commercialization Report generated at SBIR.gov using the “Add Attachment” selection at Field 9.
- Check the “No” box if you have not received Phase II awards from the Federal Government.
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10 | - Check “Yes” if the Project Director/Principal Investigator will have their primary place of employment with the small business at the time of award. Note that the PI’s primary employment must be with the small business at the time of award and during the conduct of the proposed research. Primary employment means no less than 20 hours per week is spent in the employment of the small business during the conduct of the project and no more than 19 hours per week spent in the employment of another organization.
- Check the “No” box if the Project Director/Principal Investigator will not have their primary place of employment with the small business at the time of award
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STTR-Specific Questions Instructions |
Field | Instructions |
11 | - Check the “Yes” box only if both of the following statements are true:
- Does the Project Director/Principal Investigator have a formal appointment or commitment either with the small business directly (as an employee or contractor) OR as an employee of the Research Institution, which in turn has made a commitment to the small business through the STTR application process; AND
- Will the Project Director/Principal Investigator devote at least 10% of their effort to the project?
- Check the “No” box if one or both statements are not true.
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12 | - Check “Yes” if a minimum of 40% of the joint research and development proposed in this project is performed by the small business and 30% of the proposed joint research and development is performed by the research institution named in the application.
- Check the “No” box if this is not the research and development work distribution breakdown.
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13 | Provide the UEI number of the non-profit research partner for the STTR applicant organization. |
