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Frequently Asked Questions

Is there a maximum amount of funding that can be awarded for an individual SBIR/STTR project?

The maximum amount of funding that can be awarded for an SBIR/STTR project depends upon its “phase” of development. That is, the amount awarded to the SBIR/STTR applicant will depend upon whether the research qualifies as a “Phase I”, “Phase II”, or “Phase III” project.

What are the differences between the three phases of the SBIR program?

SBIR awards are divided into three phases: Phase I, Phase II, and Phase III. Phase I is a six-month feasibility study funded in an amount up to $100,000. Once feasibility is shown by the applicant, Phase II funding in an amount of up to $750,000 for a period of two years can be sought. Upon successful completion of Phase II, however, an applicant is expected to commercialize the results using only private sector or non-SBIR Federal funding.

If I have already demonstrated the “feasibility” of my research outside the context of the SBIR area, do I still need to seek Phase I funding before I can apply for Phase II of the SBIR program?

Yes. Successful completion of Phase I is a prerequisite to seeking funding under Phase II of the of the SBIR program.

What are the differences between the three phases of the STTR program?

A Phase I award is made in an amount of up to $100,000 for a period of up to one year so as to allow an applicant to the ability to demonstrate the scientific, technical, and commercial feasibility of his or her research. Once this is shown, an applicant may seek Phase II funding in an amount of up to $500,000 for a period of up to two years. Like with the SBIR Program, however, no STTR Federal funding is available for Phase III commercialization of the project.

Is successful completion of Phase I a prerequisite to seeking funding under Phase II of the STTR Program?

Yes.

When does a business qualify as a “small business” within the requirements of the SBIR/STTR Programs?

A business will qualify as a “small business” so long as the number of its employees does not exceed 500.

Which federal agencies participate in the SBIR Program?

Federal agencies participating in the SBIR Program include the following: 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, and National Science Foundation.

Which federal agencies participate in the STTR Program?

Federal agencies participating in the STTR Program include the following: Department of Defense, Department of Energy, National Aeronautics and Space Administration, Department of Health and Human Services, Department of Homeland Security, and National Science Foundation.

May any portion of an SBIR award be subcontracted?

Yes. However, there are limits as to the amount of work that can be subcontracted. During Phase I of an SBIR project, for example, at least two-thirds of the research must be conducted by the small business applicant. One-half of a Phase II SBIR project can be subcontracted out to another entity.

May any portion of an STTR award be subcontracted?

Both the small business applicant of the research institution may subcontract any portion of their respective share of the STTR project.

As a small business, can I apply for both the SBIR and STTR Programs?

Yes. However, you are prohibited from performing similar work under more than one contract or grant.

Still have questions about the SBIR and STTR Programs? Check out SBIRworld.com for answers to more FAQ!

 

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