If you’re considering applying for SBIR or STTR funding, one of the first questions you may have is whether you’re required to respond to a specific topic published by a federal agency—or if you can propose your own idea. The answer depends on which agency you’re applying to.
Some agencies require strict adherence to defined research topics in their solicitations. Others, like the National Science Foundation (NSF), provide flexibility to submit investigator-initiated proposals—as long as they fall within their broad scientific mission.
In this article, we’ll break down which agencies allow topic proposals, what open-topic solicitations actually mean, and how to decide the best approach for your small business.
Understanding SBIR/STTR Solicitations
At the heart of the SBIR/STTR application process is the concept of the solicitation. A solicitation is a formal announcement from a federal agency that it is accepting proposals in specific areas of interest. These documents go by different names depending on the agency—Funding Opportunity Announcements (FOAs), Broad Agency Announcements (BAAs), or Requests for Proposals (RFPs)—but their function is the same: to guide applicants toward R&D efforts the agency wants to fund.
Most SBIR/STTR solicitations include a list of specific topics or subtopics that align with the agency’s mission and current research priorities. These topics are usually developed through internal review and expert input to address national needs, scientific gaps, or emerging technologies.
That said, not all solicitations are narrow. Some agencies issue “open topic” solicitations or have flexible topic policies that allow small businesses more room to propose novel ideas that don’t neatly fit into a predefined category. Understanding which type of solicitation you’re dealing with is critical, as it determines how much creative freedom you have in shaping your proposal.
Agency-Specific Approaches to Topic Proposals
Each participating SBIR/STTR agency has its own rules about whether you must respond to a specific topic or can propose your own. Some agencies are strict about topic alignment, while others offer more flexibility.
- DoD
- NSF
- NIH
- DOE
Department of Defense (DoD)
- Generally requires proposals to align with published topics.
- Topics are tightly scoped and tied to specific military or defense needs.
- Some branches, like the Air Force, offer “Open Topic” opportunities through AFWERX, encouraging broader innovation.
National Science Foundation (NSF)
- Does not require topic alignment; accepts investigator-initiated ideas.
- Requires a preliminary “Project Pitch” to gauge fit with NSF’s mission.
- Ideal for high-risk, high-reward innovations grounded in science or engineering.
National Institutes of Health (NIH)
- Uses “Omnibus Solicitations” to allow broad proposal topics aligned with NIH’s public health mission.
- Applicants may also respond to specific Requests for Applications (RFAs) or Program Announcements (PAs).
- Proposed ideas must still demonstrate clear health relevance.
Department of Energy (DOE)
- Publishes well-defined topic lists prior to solicitation release.
- Proposals must clearly address one of the published topics.
- Even “broad” topics are typically tied to specific DOE program areas.
Understanding these differences is essential. A proposal that might be acceptable under NSF guidelines could be rejected outright by the DoD or DOE if it doesn’t match a specific topic.
Crafting a Successful Proposal
Once you know whether the agency you’re targeting accepts investigator-initiated proposals or requires strict topic alignment, the next step is to shape your idea into a compelling submission. Regardless of the agency, strong proposals share a few essential qualities.
First, make sure your idea aligns with the agency’s mission and goals. Even agencies with open-topic solicitations, like the NSF, expect proposals to be relevant to their broader objectives in science, engineering, or public welfare. Review past awards, funding priorities, and program descriptions to confirm fit.
Second, read the solicitation instructions carefully. Each agency outlines detailed proposal requirements, including formatting, evaluation criteria, and submission steps. Proposals that fail to follow these guidelines—even promising ones—can be deemed noncompliant and rejected without review.
Third, reach out to the agency’s program officers. These representatives can offer valuable insight into whether your idea fits the current solicitation and help clarify any confusing elements. This is especially helpful when considering a less conventional or cross-disciplinary proposal.
Pro Tip:
Always email or schedule a call with the relevant program officer before submitting. A short conversation can save you weeks of wasted effort.
Advantages and Considerations of Proposing Your Own Topic
Advantages
One of the biggest benefits of proposing your own topic is freedom. You’re not confined to someone else’s idea of what innovation looks like. This allows you to introduce novel technologies, emerging research areas, or interdisciplinary solutions that may not be reflected in current solicitations.
Open-topic opportunities can also be a better fit for businesses operating at the cutting edge of science or technology. If your idea is truly original, there may not be a matching solicitation—yet. Agencies like the NSF welcome this kind of forward-thinking innovation, especially if it has the potential for broad societal or commercial impact.
Considerations
Flexibility comes with trade-offs. Open-topic solicitations often attract a higher volume of applications because they cast a wider net. This can make the competition more intense and reduce your chances of being selected.
Additionally, without a specific topic to reference, you’ll need to work harder to demonstrate why your proposal matters. Reviewers need to see a clear connection between your innovation and the agency’s mission. This means providing strong evidence of market need, technical feasibility, and alignment with federal priorities.
Note:
Even in open-topic solicitations, your proposal must still align with the agency’s overarching mission and program objectives.