SBIR/STTR
Basics
General Features
and
Agency Nuances
Joe Graben, Director
USM Business & Innovation Assistance Center
June 2013
www.usm.edu/biac/
SBIR/STTR Stand For:
SMALL BUSINESS
INNOVATION RESEARCH
(SBIR) PROGRAM
&
SMALL BUSINESS
TECHNOLOGY TRANSFER
(STTR) PROGRAM
Program Descriptions
• SBIR: Set-aside program for small business
concerns to engage in federal R&D -with potential for commercialization.
• STTR: Set-aside program to facilitate
cooperative R&D between small
business concerns and U.S. research
institutions -- with potential for
commercialization.
3 Phase Programs
• PHASE I
 Feasibility study
 $100-250k and 6 months (SBIR)
or 12 months (STTR)
• PHASE II
 Full R/R&D
 2-Year Award and $1m (SBIR)
or $750k (STTR)
• PHASE III
 Commercialization Stage
 Use of non-SBIR Funds
Eligibility Checkpoints
 Organized for- profit U.S. business
 At least 51% U.S.-owned and
independently operated
 Small Business located in the U.S.
 P.I.’s primary employment with small
business during project
 500 or fewer employees
Facts to Remember
• Eligibility is determined at time of award
• No appendices allowed in Phase I
• The PI is not required to have a Ph.D.
• The PI is required to have expertise to oversee
project scientifically and technically
• Applications may be submitted to different
agencies for similar work
• Awards may not be accepted from different
agencies for duplicative projects
SBIR-STTR Differences
Research Partner
SBIR: Permits (encourages) research
institution partners
[ 33% Phase I and 50% Phase II R&D]
STTR: Requires research institution
partners (e.g., universities)
[ 40% small business and 30%
research institution]
AWARD ALWAYS MADE TO SMALL BUSINESS
Critical Differences
Principal Investigator
SBIR: Primary (>50%) employment
must be with small business
concern
STTR: Primary employment not
stipulated
(PI can be from research institution
and/or from small business concern)
Participating Agencies
TOTAL ~ $2.4 B
FY 2008
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DOD
HHS
NASA
DOE
NSF
DHS
USDA
DOC
EPA
DOT
ED
SBIR/STTR
SBIR/STTR
SBIR/STTR
SBIR/STTR
SBIR/STTR
SBIR/STTR
SBIR
SBIR
SBIR
SBIR
SBIR
Agency Differences
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R&D Topic Areas
Dollar Amount of Award (Phase I and II)
Receipt Dates / Number and Timing of Solicitations
Proposal Review Process
Proposal Success Rates
Type of Award (Contract or Grant)
Many other details:
 Profit or fee allowed
 Phase I to Phase II gap funding
 Payment types and schedule
Agency Differences
Contracting Agencies
 Agency establishes plans,
protocols, requirements
 Highly focused topics
 Procurement mechanism
for DOD and NASA
 More fiscal requirements
DOD
NASA
EPA
DHS
HHS/NIH*
DOC
DOT
ED*
Granting Agencies
 Investigator initiates
approach
 Less-specified topics
 Assistance mechanism
 More flexibility
HHS/NIH*
NSF
ED*
* Awards Grants
and Contracts
DOE
USDA
Words of Advice

Don’t judge an agency’s interests by
its “name ”

Understand agency’s mission & needs

Get to know your agency Program
Manager

Read solicitation and follow
instructions
Words of Advice
 Don’t depend solely on SBIR funding

Don’t go it alone - use support systems

Have an outcome

Win or lose - get and review evaluations

Be
PERSISTENT
Contact
To learn more about how the MS-FAST
Program can help your company compete in
the federal SBIR/STTR programs contact:
Joe Graben, MBA
Director – USM/BIAC
Phone: (228) 688-2280
E-mail: Joseph.Graben@usm.edu
"This U.S. Small Business Administration (SBA) Cooperative Agreement
is partially funded by the SBA. SBA's funding is not an endorsement of
any products, opinions, or services. All SBA funded programs are
extended to the public on a nondiscriminatory basis."