Building a Winning Team  

The team that the small business assembles for their proposal is crucial and should demonstrate to the review committee that the applicant has the necessary expertise, experience, and ability to carry out the proposed project. The merit review criteria specifically states that consideration will be given to the applicant’s “ability to carry out the project as evidenced by the qualifications of the PI, other key staff, subcontractors and consultants, if any, and the level of adequacy of equipment and facilities.”  Therefore, applicants should be selective when determining who should serve as PI and any other key personnel, consultants, or subcontractors. 

Along with the Principal Investigator, key personnel, consultants and/or subcontractors, applicants should also discern early in the process whether they want to partner with a non-profit research institution (RI) such as a university or a Federally Funded Research and Development Center (FFRDC), and if so, which university or RI to contact.  Please remember that in the case of STTR proposals, applicants are required to partner with a nonprofit research institution. 

Principal Investigator   

The PI is the key individual designated by the applicant to direct the project.  The PI must be knowledgeable in all technical aspects of the grant application and be capable of leading the research effort.  As DOE’s evaluation of the grant application is critically dependent on the qualifications of the PI, this individual should be chosen very carefully. There are several helpful questions to explore when determining who will serve as PI.  

  1. Does the proposed PI have the necessary educational background and experience to be considered “knowledgeable in all technical aspects of the application” and are they “capable of leading the research effort,” as required by the FOA?  
  2. Are the PI’s credentials and experience applicable to the specific subject area in which the small business is applying?  
  3. Is the intended PI an employee of the small business?  Is their primary employment (no less than 20 hours per week) with the small business applicant?   

 Alternatives to consider if the small business does not have a suitable employee to serve as PI. 

  1. Find a qualified candidate to commit to joining the small business as an employee if the proposal is successful.
  2. Submit an STTR proposal rather than an SBIR and select an appropriate employee of the RI team to serve as PI.  Note that the small business must still provide technical control and oversight of the project and that in this instance, the PI’s place of primary employment (no less than 20 hours per week) must be the RI.    

Consultants and Subcontractors 

Consultants and subcontractors can be an extremely valuable resource to small businesses applying for SBIR or STTR awards.  In the case of STTR awards, the small business is required to partner with a research institution as a subcontractor.  Nevertheless, whether working with a research institution, other company, subcontractor, or consultant, these collaborations can provide needed expertise, equipment and facilities, and demonstrate to proposal reviewers that the small business has the ability to carry out the project.  Such resources are extremely important for small businesses that may not have the necessary facilities for their research or significant numbers of qualified experts on staff. 

There are several helpful questions to consider when deciding whether to include subcontractors and/or consultants in the proposal. 

  1. Is the small business submitting an SBIR or STTR proposal?  If submitting an STTR, the small business must subcontract with a research institution.  
  2. Does the small business have access to the necessary facilities and equipment to carry out the proposed research, and if not, would partnering with a subcontractor provide that access?
  3. Does the small business have the necessary technical expertise to carry out the proposed research and does the experience and education of the proposed key persons demonstrate that expertise?  If not, would a collaboration with a well-established consultant or subcontractor provide that necessary expertise and education?  

Partnering with Federally Funded Research and Development Centers (FFRDCs)  

Although many small businesses partner with universities on their STTR proposals, Federally Funded Research and Development Centers (FFRDCs) are also a viable alternative.  In addition to participating as the research institution for STTR applications, FFRDCs may also participate as subcontractors in SBIR proposals.  Partnering with an FFRDC or a research institution can provide prestige and expertise that many small businesses may be lacking, in addition to access to equipment and facilities necessary to carry out the proposed research.   

Considerations for partnering with an FFRDC 

  1. If the small business does not already have an established relationship with an FFRDC, reach out to peers who have experience working with FFRDCs.  An additional option for finding a potential partner is to reach out to the Federal Laboratory Consortium (FLC).  For more information about FLC visit https://federallabs.org/engage/ways-to-engage/engage-with-flc.
  2. Keep in mind that the benefit to the FFRDC is that in partnering with a small business on an SBIR or STTR project is that it is serving the federal government’s best interests.
  3. It may be easier to work with an FFRDC that has previously served on an SBIR or STTR award.
  4. There are several types of mechanisms available for collaborating with FFRDCs, including but not limited to, Cooperative Research and Development Agreement (CRADA), Work for Others (WFO), User Facility Agreement, Licensing Agreement, and Technical Assistance Agreement.   

 Helpful DOE resources for developing partnerships with Federal Labs and entities: 

For a list of the 16 DOE National Labs (FFRDCs), their core competencies and contact information, please visit https://science.osti.gov/sbir/Applicant-Resources/National-Labs-Profiles-and-Contacts. The National Labs and their corresponding websites are also listed below.

DOE National Labs (FFRDCs) 

Facility 

Website 

Ames National Laboratory 

https://www.ameslab.gov/ 

Argonne National Laboratory 

http://www.anl.gov/ 

Brookhaven National Laboratory 

http://www.bnl.gov/ 

Fermi National Laboratory 

http://www.fnal.gov/ 

Idaho National Laboratory 

http://www.inl.gov/ 

Lawrence Berkeley National Laboratory 

http://www.lbl.gov/ 

Lawrence Livermore National Laboratory 

http://www.llnl.gov/ 

Los Alamos National Laboratory 

http://www.lanl.gov/ 

National Renewable Energy Laboratory 

http://www.nrel.gov/ 

Oak Ridge National Laboratory 

http://www.ornl.gov/ 

Pacific Northwest National Laboratory 

http://www.pnl.gov/ 

Princeton Plasma Physics Laboratory 

http://www.pppl.gov/ 

Sandia National Laboratories 

http://www.sandia.gov/ 

Savannah River National Laboratory 

http://srnl.doe.gov/ 

SLAC National Accelerator Laboratory 

https://www6.slac.stanford.edu/ 

Thomas Jefferson National Accelerator Facility 

http://www.jlab.org/ 



For a list of DOE-partnering resources, please visit:  https://science.osti.gov/sbir/Partnering-Resources 

DOE also maintains an SBIR/STTR Partnering Blog for small businesses looking for partners on specific projects at:  https://science.osti.gov/sbir/Partnering-Resources/blog.   




Pro tips 

  • Carefully consider what each team member, consultant, and/or subcontractor adds to the proposal before including them in the project.  For instance, does a particular consultant provide expertise that the small business does not have?  Does a subcontractor provide access to labs or equipment that the small business would not otherwise have?
  • Get an external expert to review your selections for PI and consultants and/or subcontractors.  An external review can provide a more objective view of the selected personnel and identify potential gaps in knowledge that may raise viability concerns with the merit review committee.  
  • Contact team members as early as possible to avoid delays in securing required documents for the application.
  • Applicants must be specific in their proposals when discussing key personnel and contractors/subcontractors.  
  • Research institutions and FFRDCs participating in STTR awards must conduct at least 30% but not more than 60% of the research proposed by the project. 
  • Research institutions and FFRDCs participating in SBIR awards can contribute up to 33% of the research proposed by the project.    

 


References:

Phase 0 podcast tutorial:  How to Assemble a Viable Team https://doetutorials.dawnbreaker.com/tutorials/tutorial-21/ 

Phase 0 tutorial pdf:  How to Assemble a Viable Team https://doetutorials.dawnbreaker.com/wp-content/uploads/2022/04/DOE_Tutorial_21_041922-508-Final.pdf 

Phase 0 tutorial podcast:  Principal Investigator (PI) and Applicant Requirements https://doetutorials.dawnbreaker.com/tutorials/tutorial-19/ 

Phase 0 tutorial pdf:  Principal Investigator (PI) and Applicant Requirements https://doetutorials.dawnbreaker.com/wp-content/uploads/2022/04/DOE_Tutorial_19_041922-Final-508.pdf 

Phase 0 tutorial podcast: What is the Difference Between a Consultant and a Subcontractor? https://doetutorials.dawnbreaker.com/tutorials/tutorial-22/ 

Phase 0 tutorial pdf: What is the Difference Between a Consultant and a Subcontractor? https://doetutorials.dawnbreaker.com/wp-content/uploads/2022/04/DOE_Tutorial_22_040822-508-Final-1.pdf   

Phase 0 tutorial podcast: What is the Value of Working with a Federal Lab? https://doetutorials.dawnbreaker.com/tutorials/tutorial-20/ 

Phase 0 tutorial pdf: What is the Value of Working with a Federal Lab? https://doetutorials.dawnbreaker.com/wp-content/uploads/2022/03/DOE_Tutorial_20_032222-Finalvs.pdf