SBIR / STTR Frequently Asked Questions



Find answers and general information about the SBIR/STTR programs.


Differences between the SBIR and STTR program include:

  • SBIR允许与非盈利研究机构或联邦研究实验室合作, like a university and STTR requires it
  • 每个凯时kb88手机版app的资金数额与SBIR代表了最大的资金数额
  • Definitions of a pricipal investigator

There is no right or wrong program. 选择一个凯时kb88手机版app是基于公司的情况和需求的战略性决策. 然而, 这两个凯时kb88手机版app在资助水平和资格规则方面存在一些显著差异. More agencies participate in the SBIR program than the STTR program. Thus, SBIR programs have more total funds available. 然而, STTR奖项, the businesses do not need to employ the Principal Investigator, 因此,如果需要,PI可以继续为大学或非营利研究机构工作.

What are the qualifications a 小型企业es to participate?

  • Meet the qualifications by SBA regulation 13 C.F.R. §§ 701-705 at the time of the award
  • 至少持有51%的股份, or have at least 51% of its voting stock owned, by US Citizen or lawfully admitted permanent
  • Be for-profit located in the US




SBIR pre-solicitation announcements, 小企业管理局发布的, 包含有关SBIR征集的数据,如即将由参与的联邦机构发布的研究主题领域.

How would I benefit from the SBIR/STTR program?

There is over $2 billion available annually in SBIR/STTR awards! SBIR/STTR资金是一个很好的方式启动你的业务与非稀释资本, so you're not giving up equity or assuming debt. Other benefits include:

  • 赢得SBIR/STTR奖通常有助于吸引后续融资和/或许可交易,因为它通常提供了技术可能具有商业价值的验证
  • Your firm retains rights to the intellectual property developed with an award
  • SBIR/STTR合同使小型企业有资格与资助机构就已开发的技术进行非竞争性的单一来源合同投标
  • 该计划旨在帮助60%以上的第一阶段赠款受助者,其员工人数在25人以下

What is the difference between a grant and a contract?

Funding agencies vary on providing grants or contracts as the funding mechanism. 补助金是一项协议,你可以进行你的研究,以换取金钱的资助. 联邦政府以这种方式资助公共利益的研究和创新. Grant topics are generally initiated by the researcher applying for the grant, also known as the Principal Investigator an academic setting. A granting agency does not wish to become your customer.

合同是授予合同的机构提供所需产品或服务的协议. 一个例子就是国防部采购新的军事技术. In this instance, the military becomes your customer.

Who is the Principal Investigator?

首席研究员通常是负责监督研究的人, this individual has designed and overseen research efforts in the past, although if you have not done so, we can help you find ways to compensate for that.

The Principal Investigator, 或者π, 必须致力于领导凯时kb88手机版app,通常包括在获奖时至少部分在小企业工作. This does not preclude partial employment at a university or elsewhere, 在某些情况下, there are exceptions to this rule.

How much time will it take to complete my SBIR/STTR Phase I proposal?

For first-time SBIR/STTR proposal writers, 建议你在截止日期前至少8周就开始准备第一阶段的提案. Successful proposals require a substantial amount of work. 提案作者应在起草过程的每个阶段主动征求经验丰富的审稿人的反馈.

What are the solicitations dates?

Solicitation close dates vary by agency, 尽管一个重要的考虑是,其中许多每年只发生一次. Please see us for assistance or visit our 开放的请求 部分以了解更多.

Who reviews my SBIR/STTR proposals?

根据机构, SBIR/STTR proposals may undergo an internal review, 外部审核, or a review that incorporates both internal and external reviewers. With internal reviews, agency members review the SBIR proposal. External reviews involve a review by people outside of the agency, such as university personnel or other experts in the field.

The 国防部, the Department of Advanced Research Projects Agency, and the Department of Transportation all use an internal review process. NASA uses both internal reviewers and at least two independent reviewers. 美国国立卫生研究院 uses dual review systems comprised of an external peer review panel, 和顾问小组, and an internal review group. The NSF uses ad hoc external review panels. USDA proposals are reviewed by a separate review panel for each topic area; proposals are subsequently reviewed by an ad hoc review panel.

How do I know if I meet the funding agency's requirements?


  • 技术水平
  • 团队的资格
  • 机构的价值
  • Potential for Commercialization
  • 成本/成本的现实主义

Each SBIR agency has different priorities in terms of these evaluation criteria. 还记得, it is important to receive specific agency SBIR and STTR review criteria, 因此,在机构网站上咨询SBIR凯时kb88手机版app信息,并联系机构SBIR/STTR凯时kb88手机版app负责人. 请给SBIR/STTR凯时kb88手机版app负责人足够的时间来回应您的请求,并注意截止日期.

Can I apply for a Phase II without competing for a Phase I?

从技术上来说,是的. 美国国立卫生研究院, 国防部, DoEd最近被授权向之前未获得第一阶段奖励的公司授予第二阶段奖励. These three agencies are allowed, but not required to offer this provision. 在提交提案之前,您需要与凯时kb88手机版app经理确认这一点.


The proposal can be tailored to match the interests, priorities and unique requirements of multiple agencies. (Since 每一个机构 has different needs and areas of emphasis, it is important to custom tailor each proposal to fit the agency.)

这些机构确实要求你在每份提案中披露你是否向其他机构提交了“类似或相关的想法”. 重要的是,不仅要披露多个提案提交可能有多相似, but also how they are different. 如果提交给多个机构的提案之间存在实质性和重要的差异, and more than one agency wants to give you an award, it is possible to accept multiple awards, as long as the agencies agree to it.

然而, if the proposals are duplicative, and multiple agencies are interested in giving your company a SBIR/STTR award, then you can legally only accept one offer.

Can I submit the same proposal multiple times within the same agency?

各机构在如何看待其招标中关于一个主题的多个提案方面存在很大差异. 对于在多个提案中提交同一个想法,他们可能有不同的规则, 以及是否可在SBIR和STTR计划下提交一项构想供考虑. 在多次向同一机构提交提案之前,仔细阅读该机构的征集指南是很重要的.

如果我已经收到风险投资,我是否有资格获得SBIR/STTR资助, 对冲基金, 或私人股本?


是的,你可以. 然而, to be eligible for SBIR funding, 首席研究员必须在获奖时主要受雇于企业. There are nuances about this matter, 所以最好与你的CTC顾问讨论,并彻底阅读代理招标.

What are my chances of winning an SBIR Award?

SBIR success ratios for Phase I range from between 1 to 5 and 1 to 15.

SBIR success ratios for Phase II range from between 1 to 2 and 1 to 3.

Angel funding success rations 在1 - 5%之间

看看 每一个机构 for more details on the funding ratios. 记住,与天使投资和风投基金不同,SBIR/STTR基金是非稀释性的.