What Are SBIR and STTR Programs?
These programs were established to promote collaborations between small businesses and non-profit organizations for the purpose of developing science-based commercially viable products that help meet the goals of different federal agencies. At NIH, both programs are funded from set-a-side budgets. For detailed information about the programmatic objectives, structure, receipt dates, and organizational and investigator eligibility, see: http://grants1.nih.gov/grants/funding/sbirsttr_programs.htm .
Differences Between the Programs
Small Business Innovation Research
(SBIR – R43/R44)
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Small Business Technology Transfer Program
(STTR - R41/R42)
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Purpose – to increase private sector commercialization of innovations derived from Federal research and development. |
Purpose – Same as SBIR |
The small business concern may conduct the entire SBIR project without outside collaboration. |
The STTR Program requires the small business concern (applicant organization) to collaborate with a non-profit research institution or organization in the research and development of a commercially viable product. |
The SBIR program requires that the Principal Investigator have his/her primary employment (>50%) with the small business concern at the time of award and during the conduct of the project. |
The Principal Investigator may have his/her primary employment with an organization other than the small business concern, including the research institution. However, there must be an official relationship between the Principal Investigator and the small business concern. Principal Investigator must devote not less than 10% effort to the project. |
The total amount of all contractual costs and consultant fees normally may not exceed 33% for Phase I, or 50% for Phase II of the total costs requested. |
At least 40% of the work is performed by the small business concern, and at least the research institution performs 30% of the work. (% based on costs in award) |
Research space must be occupied by the small business, generally not shared with another organization, and is under the exclusive control of the awardee. |
Research Space – Same as SBIR |
At least 51% of the small business concern (as defined by SBA) must be owned by a U.S. Citizen or lawfully admitted resident alien. |
Ownership – Same as SBIR |
Phase I normally not to exceed $100,000 DC, F&A, and fee for a period normally not to exceed 6 months. May exceed these levels. |
Phase I normally not to exceed $100,000 for DC, F&A, and fee for a period normally not to exceed one year. May exceed these levels. |
Phase II: Awards normally may not exceed $750,000/ for DC, F&A, and fee for a period normally not to exceed 2 years. May exceed these levels. |
Phase II Funding and Duration of Grant: Same as SBIR |
Phase III: The objective of this phase is for the small business concern to pursue with non-SBIR funds the commercialization of the results of the research or R&D funded in Phases I and II. |
Phase III: Same objective. In some federal agencies, Phase III may involve follow-on non-STTR funded R&D or production contracts for products or processes intended for use by the U. S. government. |
Receipt dates: April 5, August 5, December 5. |
Same receipt dates. |
How Does SBIR/STTR Research Differ From Other Funding Mechanisms?
SBIR/STTR funded research must result in a commercially viable product. In this program, products include, but are not limited to, cancer-related PC software; interactive DVDs; CD-ROMs; wireless products; TV or radio programs; videos or public service announcements with a web backup; health care systems; internet applications; interventions; resources for cancer survivors and their family members; decision making tools; educational and/or training tools; devices that improve health behaviors or change lifestyle habits; and screening, assessment, or management programs. |
