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SBIR-STTR Guidance

ARPA-E SBIR/STTR awards are governed by Section 9 of the Small Business Act (15 U.S.C. 638), as recently amended by the National Defense Authorization Act for Fiscal Year 2012 and The Small Business Administration (SBA) Small Business Size Regulations, 13 C.F.R. part 121. 

Prime Recipients and Subrecipients should review Section 9 of the Small Business Act to ensure compliance with applicable statutory requirements throughout the duration of an award. Prime Recipients and Subrecipients should also review the following sections of the Small Business Size Regulations to ensure compliance with size eligibility requirements throughout the duration of an award:

Provisions of General Applicability

    • §121.101 – What are SBA size standards?
    • §121.102 – How does SBA establish size standards?
    • §121.103 – How does SBA determine affiliation?
    • §121.104 – How does SBA calculate annual receipts?
    • §121.105 – How does SBA define “business concern” or “concern”?
    • §121.106 – how does SBA calculate number of employees?
    • §121.107 – How does SBA determine a concern’s “primary industry”?
    • §121.108 – What are the penalties for misrepresentation of status?

Size Eligibility Requirements for the Small Business innovation Research (SBIR) Program

    • §121.701 – What SBIR programs are subject to size determinations?
    • §121.702 – What size standards are applicable to the SBIR program?
    • §121.703 – Are formal size determinations binding on parties?
    • §121.704 – When does SBA determine the size status of a business concern?
    • §121.705 – Must a business concern self-certify its size status?

SBA SBIR/STTR Policy Directives

ARPA-E SBIR awards are governed by SBA’s SBIR Program Policy Directive (www.sbir.gov)

ARPA-E STTR awards are governed by SBA’s STTR Program Policy Directive (www.sbir.gov)

Prime Recipients and Subrecipients should review the applicable Policy Directive to ensure compliance with SBA guidance throughout the duration of an award.