Congress established the STTR program as a 3-year pilot in FY 1994 to provide opportunities for small businesses and research institutions to participate in Federal government-sponsored research and development (R&D). The STTR Program must be reauthorized by Congress for its continued administration. The reauthorization process gives Congress the opportunity to assess, adjust, or refocus the program and funding in key ways to meet emerging needs and trends. The purpose of the STTR Program is to stimulate a partnership of ideas and technologies between innovative small business concerns (SBCs) and research institutions through Federally funded research or research and development (R/R&D). By providing awards to SBCs for cooperative R/R&D efforts with research institutions, the STTR Program assists the small business and research communities by commercializing innovative technologies.
A Congressional mandate requires all Federal agencies with an annual extramural R&D budget exceeding $1 billion participate in the STTR program. The STTR program budget is computed as 0.3 percent of the extramural R&D budget.
Phase I is a feasibility study that determines the scientific, technical, and commercial merit and feasibility of a selected concept. Phase I projects are competitively selected from proposals submitted against solicitations. Each solicitation contains topics seeking specific solutions to stated Federal government needs. The Phase I selection process is highly competitive, with about one of 10 submitted Phase I proposals receiving awards.
Phase II represents a major research and development effort, culminating in a well defined deliverable prototype (i.e., a technology, product, or service). The Phase II selection process is also highly competitive. Successful Phase I contractors are invited to submit Phase II proposals as there are no separate Phase II solicitations.
In Phase III, the small business or research institution is expected to obtain funding from the private sector and/or non-STTR government sources to develop the prototype into a viable product or service for sale in the government or private sector markets.
Eligibility Requirements
The STTR program is open to any team consisting of a small business (as defined previously) and a research institution. Central to the program is expansion of the public/private sector partnership to include the joint venture opportunities for small business and the nation’s premier nonprofit research institutions. STTR’s most important role is to foster the innovation necessary to meet the nation’s scientific and technological challenges in the 21st century. The research institution may be any U.S.-based nonprofit research institution, Federally funded research and development center (FFRDC), or university or college. The small business must perform at least 40 percent of the Phase I and Phase II work. The research institution must perform at least 30 percent of the Phase I and Phase II work. Up to 30 percent of the work may be subcontracted.
For STTR program Phase I and II efforts, the principal investigator may be primarily employed with either the small business or the research institution.
The Phase I and Phase II work must be performed in the United States, to include the Commonwealth of Puerto Rico, the Commonwealth of the Northern Mariana Islands, the Trust Territory of the Pacific Islands, and the District of Columbia.
Solicitations
DoD generally issues two STTR solicitations each year. The table below cites specific months of the year, but the actual dates are usually announced. DARPA currently participates in the .B STTR solicitation. Check the DoD SBIR/STTR website at www.acq.osd.mil/osbp/sbir/ for the latest solicitation dates.
| Solicitation |
SBIR 20xx.1 (e.g., 2009.1) |
SBIR 20xx.2 (e.g., 2009.2) |
| Pre-solicitation |
January |
July |
| Opens |
February |
August |
| Closes |
March |
September |
STTR Phase II Instructions
The following information provides instructions for submitting a Phase II STTR proposal. (download .pdf)
DARPA-Funded Research Involving Human Subjects and/or Animals
The following information provides guidance on Human Subjects for Small Business Innovation Research (SBIR) and Small Business Technology Transfer Research (STTR). The information on Animal Subjects is being updated at this time and will be available soon. (download .pdf)