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?