FY 2018 Small Business Innovation Research (SBIR) Program | 2018 NIST SBIR 01

FAQs: FY 2018 NIST SBIR Program (Phase I) - Opportunity 2018 NIST SBIR 01

What is this funding opportunity?

This is the FY 2018 Small Business Innovation Research (SBIR) Program Phase I research funding competition run by the National Institute of Standards and Technology (NIST). It supports early-stage research and development (R&D) proposals from science- and technology-based small businesses that align with NIST priorities.

What type of award is NIST offering under this opportunity?

The opportunity is offered as a cooperative agreement and is described as a discretionary funding opportunity under the science and technology and other research and development activity category.

What is the opportunity title and number?

The funding opportunity title is "FY 2018 Small Business Innovation Research (SBIR) Program" and the opportunity number is 2018 NIST SBIR 01.

What is the CFDA number for this program?

The CFDA number listed for this opportunity is 11.620.

What phase of SBIR is being solicited?

NIST is specifically seeking Phase I research applications under this Notice of Funding Opportunity (NOFO).

Who is this opportunity intended for?

It is designed for science- and technology-based small businesses that can propose early-stage R&D work aligned with NIST priorities and that meet the small business eligibility requirements described in the NOFO.

What does it mean for a proposal to be "responsive" to the NOFO?

NIST states that only proposals that directly address one of the defined subtopics listed in Section 9 of the NOFO are considered responsive. If a proposal does not clearly map to one of those Section 9 subtopics, it will be treated as non-responsive and is not expected to move forward for funding.

If our idea is strong but does not match a Section 9 subtopic, can we still be considered?

Based on the NOFO description provided, no. NIST indicates that proposals that do not directly address one of the Section 9 subtopics are treated as non-responsive and are not expected to be funded.

What small business eligibility standard applies?

The applicant must qualify as a small business concern for R/R&D purposes as defined in Section 1.05 of the NOFO.

When must the applicant meet the small business eligibility requirement?

The small business concern qualification must be true at the time of award (not just at the time of submission).

What are the principal investigator (PI) employment requirements?

The PI must have their primary employment with the applicant company at the time the award is made and throughout the project period.

How does NIST define "primary employment" for the PI?

NIST defines primary employment as the PI spending more than half of their time working for the small business. NIST also notes that primary employment with the small business rules out full-time employment with another organization.

Can the PI be employed full-time by another organization while serving as PI on this award?

The NOFO language provided indicates that primary employment with the small business rules out full-time employment with another organization.

Are exceptions to the PI primary employment requirement allowed?

Exceptions may be possible, but they are not automatic. Any deviation must be approved in writing by the NIST Grants Officer, and that approval occurs only after consultation with the SBIR Program Manager.

If we receive an award, can we change the PI later?

Not freely. Replacing the PI on a Phase I SBIR award requires prior written approval from the NIST Grants Officer.

Do workers obtained through a Professional Employer Organization (PEO) count as employees of the company?

The NOFO clarifies that workers obtained through a PEO or similar employee leasing arrangements may still be treated as employees of the awardee. This can be relevant for staffing and employment-related requirements.

Where must the funded research and development work be performed?

The funded R&D work is required to be performed in the United States.

Can any of the R&D work be performed outside the United States?

NIST allows an applicant to request an exemption, but the request must be submitted in writing at the time the application is submitted, and NIST indicates that only rare and unique circumstances will be considered. An exemption is not valid unless the NIST Grants Officer approves it in writing and sets the terms of that approval.

When must a request for an exemption to the U.S. performance requirement be submitted?

The exemption request must be submitted in writing at the time the application is submitted.

Who has authority to approve an exemption for non-U.S. performance?

An exemption is only valid if approved in writing by the NIST Grants Officer, who sets the terms of that approval.

Are venture capital-backed or private equity-backed companies eligible under this NOFO?

NIST states it will not use the SBIR authority that would allow certain majority-venture-backed structures to participate. Specifically, it will not allow participation by venture capital operating companies (VCOCs), hedge funds, or private equity firms under that expanded eligibility authority.

What happens if the work would be performed by a venture capital operating company (VCOC)?

NIST indicates that applications in which the work would be performed by VCOCs will not be considered for award.

What is the original closing date listed for this opportunity?

The posting indicates an original closing date of April 4, 2018.

What is the creation date listed for this opportunity?

The creation date listed is January 18, 2018.

Does the summary information specify an award ceiling or the expected number of awards?

No. The summary information provided does not specify an award ceiling or the expected number of awards in the source fields shown.

What are the main compliance risks highlighted in the description?

The description emphasizes several areas where applicants can be found ineligible or non-responsive: failing to directly align the proposal with a Section 9 subtopic, not meeting small business concern eligibility at the time of award, not meeting the PI primary employment requirement (or lacking written approval for any deviation), attempting to replace the PI without prior written approval, and planning to perform R&D work outside the United States without a properly requested and approved exemption.