SBIR/STTR Resource Center
Utah SBIR/STTR Assistance Program Frequently Asked Questions
1. What is SBIR/STTR?
The Office of Technology of the Small Business Administration (SBA) administers the Small Business Innovation Research (SBIR) and the Small Business Technology Transfer (STTR) programs. Through these two competitive programs, SBA ensures that the nation’s small, high-tech, innovative businesses are a significant part of the federal government’s research and development efforts. Eleven federal departments participate in the SBIR program; five departments participate in the STTR program, awarding $2.8 Billion to small high-tech businesses.
- SBIR – Small Business Innovation Research Program: The Small Business Innovation Research (SBIR) Program is a highly competitive, three-phase award system which provides qualified small business concerns with opportunities to propose innovative ideas that meet the specific research and development needs of the federal government with the potential for commercialization. SBIR program small business qualifications are listed in Question 2.
- STTR – Small Business Technology Transfer Program: STTR is a highly competitive, three-phase program that reserves a specific percentage of federal research and development funding for award to small businesses in partnership with nonprofit research institutions to move ideas from the laboratory to the marketplace, to foster high-tech economic development and to address the technological needs of the federal government. Research institutions are typically defined as universities, federally funded R&D centers or non-profit institutions. STTR program small business qualifications are listed in Question 2.
2. How do I qualify for a SBIR/STTR Grant?
SBIR Program: Small businesses must meet the following eligibility criteria to participate in the SBIR program.
- American-owned and independently operated
- For-profit
- Principal researcher is employed by business and devotes at least 51% of their time to concept development and/or supervision and does not work full time elsewhere
- Company size limited to 500 employees or less
STTR Program: Small businesses must meet the following eligibility criteria to participate in the STTR program.
- American-owned and independently operated
- For-profit
- Principal researcher need not be employed by small business
- Company size limited to 500 employees or less
- At least 30% of the award must fund research at a nonprofit research institution.
The nonprofit research institution must also meet certain eligibility criteria:
- Located in the US
- Meet one of three definitions
- Nonprofit college or university
- Domestic nonprofit research organization
- Federally funded R&D center (FFRDC)
Note: There is no size limit for nonprofit research institutions.
3.
How does the SBIR/STTR process work?
- SBIR: Each year the following eleven federal departments and agencies are required by SBIR to reserve a portion of their R&D funds for award to small business. These agencies designate R&D topics and accept proposals during specific annual deadlines.
- Department of Agriculture
- Department of Commerce
- Department of Defense
- Department of Education
- Department of Energy
- Department of Health and Human Services
- Department of Homeland Security
- Department of Transportation
- Environmental Protection Agency
- National Aeronautics and Space Administration
- National Science Foundation
- STTR: Each year the following five federal departments and agencies are required by STTR to reserve a portion of their R&D funds for award to small business/nonprofit research institution partnerships.
- Department of Defense
- Department of Energy
- Department of Health and Human Services
- National Aeronautics and Space Administration
- National Science Foundation
These agencies designate R&D topics and accept proposals.
- Small businesses may submit proposals for the development of the R&D topics designated by the appropriate agency.
4. How much money is available?
- SBIR has a Three-Phase Program:
Following submission of proposals, agencies make SBIR awards based on small business qualification, degree of innovation, technical merit, and future market potential. Small businesses that receive awards then begin a three-phase program. The award process takes approximately six to nine months to complete.
- Phase I is the startup phase. Awards of up to $150,000 for approximately 6 months support exploration of the technical merit or feasibility of an idea or technology.
- Phase II awards of up to $1,000,000, for up to 2 years, expand Phase I results. During this time, the R&D work is performed and the developer evaluates commercialization potential. Only Phase I award winners may be considered for Phase II awards.
- Phase III is the period during which Phase II innovation moves from the laboratory into the marketplace. No federal SBIR funds support this phase. The small business must find funding in the private sector or other non-SBIR federal agency funding.
- STTR has a Three-Phase Program:
Following submission of proposals, agencies make STTR awards based on small business/nonprofit research institution qualification, degree of innovation, and future market potential. Small businesses that receive awards then begin a three-phase program. The award process takes approximately six to nine months to complete.
- Phase I is the startup phase. Awards of up to $150,000 for approximately one year fund the exploration of the scientific, technical, and commercial feasibility of an idea or technology.
- Phase II awards of up to $1,000,000, for as long as two years, expand Phase I results. During this period, the R&D work is performed and the developer begins to consider commercial potential. Only Phase I award winners may be considered for Phase II awards.
- Phase III is the period during which Phase II innovation moves from the laboratory into the marketplace. No federal STTR funds support this phase. The small business must find funding in the private sector or other non-STTR federal agency funding.
5.
How often do agencies release their R&D Topics?
Release dates vary by agency. The Department of Defense releases its topics three times a year, while other agencies will only release their topics once a year.
Generally, there is a four to eight week deadline for submission of grant proposals and the award process takes approximately six to nine months.
6. How can I find an SBIR R&D Topic or an STTR R&D Topic that applies to my business?
- Check the web site for each government agency that participates in the SBIR/STTR program for grant opportunities that match your specialty.
- Contact your local SBIR/STTR Assistance Center representative (http://www.innovationutah.com/sbir.html) for assistance in matching your specialty with available grant opportunities. (There is a small charge for this service.)
7.
Where can I get help to write or edit my SBIR/STTR?
- Utilize the resources provided by the SBIR/STTR Resource Center. An SBIR/STTR Resource Center representative can assist you with the preparation of your grant proposal or they can give you access to a knowledgeable consultant. (There is a charge for this service.)
8.
How can I increase the odds of receiving an SBIR/STTR grant?
- Using an experienced grant writer to help you with your proposal can increase your odds of winning a successful grant award.
- Attend training provided through the SBIR/STTR Assistance Program to learn more about searching for government agency R&D topics and the preparation, editing and submission of grant proposals.
9. What services and resources does the SBIR/STTR Resource Center offer?
- Assist technology businesses and entrepreneurs anywhere in the State of Utah with:
- Searches for agency solicitations to match your technology business innovation/discovery concept
- Preparation of any SBIR/STTR grant proposal
- Completion of any SBIR/STTR grant proposal
- Provide for third party editing
- Submission of any SBIR/STTR grant proposals
- Provide information at your conferences, seminars and help bring more companies success in winning SBIR/STTR grants.
10.
How can I contact the SBIR/STTR center?
- The SBIR/STTR Assistance Center is found at the following:
- Call 801.957.5249 or 801.957.5239
Please complete the questionnaire found on the website http://www.innovationutah.com/sbir.html if you would like more information from the SBIR/STTR Assistance Center.