Table of Contents Introduction to the Oregon SBIR & STTR Resource Guide Overview of the SBIR and STTR Programs The Oregon SBIR/STTR Program Matching Grant Program Proposal Writing Basics Oregon’s SBIR/STTR Performance Other SBIR/STTR Resources  Previous Next

Overview of the SBIR and STTR Programs

The Small Business Innovation Research (SBIR) and Small Business Technology Transfer (STTR) programs are two competitively awarded Federal Government grant programs. The programs are designed to stimulate technological innovation by small businesses throughout the country. In fiscal year 2006 SBIR and STTR awards totaled approximately $2.2 billion. Each program has three phases outlined below:

PHASE I

•    Feasibility study of new technology

•    Awards are made up to $100,000

•    Limited to 6-month research projects for SBIR or 12-month projects for STTR

PHASE II

•    Develop a prototype and evaluate the commercialization potential

•    Only Phase I awardees are considered for Phase II awards

•    Awards are made up to $750,000

•    2-year research project for both SBIR and STTR

PHASE III

•    Commercialization stage

•    Use of non-SBIR/STTR funds to bring the product to market

Small Business Innovation Research (SBIR)

The Small Business Innovation Research (SBIR) program strives to stimulate technological innovation and provide opportunities for small businesses to conduct research and commercialize new technologies. Eleven Federal agencies solicit SBIR applications.

1.    Department of Agriculture (USDA)   

2.    Department of Commerce (DOC)   

3.    Department of Defense (DOD)   

4.    Department of Education (ED)   

5.    Department of Energy (DOE)   

6.    Department of Health and Human Services (DHHS)

7.    Department of Homeland Security (DHS)   

8.    Department of Transportation (DOT)

9.    Environmental Protection Agency (EPA)

10.    National Aeronautics and Space Administration (NASA)

11.    National Science Foundation (NSF)

SBIR Eligibility

•    American-owned and independently operated

•    For-profit business

•    Principal researcher employed by business

•    500 or fewer employees (including affiliates)

For more information about the SBIR program, visit http://www.sba.gov/sbir/indexsbir-sttr.html. In addition, Federal agencies maintain department-specific SBIR program web pages, visit http://www.sbirworld.com/federalAgencyLinks.asp?mnuFed=1 for a list.

Small Business Technology Transfer (STTR)

The Small Business Technology Transfer Research (STTR) program strives to stimulate technological innovation through partnerships between small businesses and nonprofit research institutions. Six Federal agencies solicit STTR applications.

1.    Department of Defense (DOD)   

2.    Department of Energy (DOE)   

3.    Department of Health and Human Services (DHHS)

4.    Department of Homeland Security (DHS)   

5.    National Aeronautics and Space Administration (NASA)

6.    National Science Foundation (NSF)

STTR Eligibility

•    American-owned and independently operated

•    For-profit business

•    Principal researcher employed by business

•    500 or fewer employees (including affiliates)

•    Nonprofit research institution that must be located in the US and be one of the following: 

      (1) Nonprofit college or university or

      (2) Domestic nonprofit research organization or

      (3) Federally funded R&D center (FFRDC)

For more information about the STTR program, visit http://www.sba.gov/sbir/indexsbir-sttr.html. In addition, Federal agencies maintain department-specific STTR program web pages, visit http://www.sbirworld.com/federalAgencyLinks.asp?mnuFed=1 for a list.

SBIR/STTR Federal agency solicitations contain the following information:

•    A description of the program

•    Deadline for submissions

•    Information on funding levels, instructions for applying, method of selection & review criteria

•    Research topics and scope of work

Solicitation Topics

Participating Federal agencies issue solicitations for SBIR/STTR proposal topics throughout the year. Each agency has a different process for issuing solicitations. Some agencies issue one solicitation per year while other have multiple solicitations throughout the year. In addition, proposal deadlines vary from solicitation to solicitation. Some solicitations have one deadline per year while others have multiple deadlines throughout the year. SBIRworld.com maintains a valuable database of past, current and future solicitations at http://www.sbirworld.com/solicitations/solicitations.asp?mnuSol=1

SBIR/STTR Award Types: Contract or Grant

Just as Federal agencies differ in their solicitation processes, they also differ in the way they administer SBIR/STTR awards. If and when your small business obtains an SBIR or STTR the award will be disbursed to you as either a contract or a grant. The key differences between these two award types are outlined below.

Contracted SBIR/STTR Awards

•    Agency establishes plans, protocols, and requirements

•    Highly focused research topics

•    More fiscal requirements

•    Used as a procurement mechanism for DOD & NASA

•    Contracting agencies: DOD, NASA, EPA, DOC, DOT, ED, HHS

Granted SBIR/STTR Awards

•    Investigator initiates research approach

•    Broad research topics

•    More flexible fiscal requirements

•    Granting Agencies: HHS, ED, DOE, USDA, NSF

Proposal Review Process

Federal agencies have differing processes for reviewing applications. Some review applications internally by agency staff, other have external review processes which utilize experts from the public and private sectors. Proposal reviews are based on the following:

•    Merit—technical and/or scientific

•    Importance of the problem—response to agency need, relevance to agency mission

•    Innovation—technical and/or scientific

•    Potential opportunities & commercialization plan

•    Credibility of research team

•    Budget—appropriateness & justification

•    Completeness of proposal

Go To:  SBIR/STTR Grants

SBIR/STTR Grants Introduction to the Oregon SBIR & STTR Resource Guide Overview of the SBIR and STTR Programs The Oregon SBIR/STTR Program Matching Grant Program Proposal Writing Basics Oregon’s SBIR/STTR Performance Other SBIR/STTR Resources  Previous Next

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