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What are the three phases of SBIR/STTR awards?

Phase I is a feasibility study to evaluate the scientific and technical merit of an idea or technology. Awards are for periods of up to six months (SBIR) to one year (STTR) in amounts up to $150,000.  

Phase II expands on the results of Phase I and allows consideration of commercialization potential. Awards are for periods up to two years in amounts up to $1,000,000.

Phase III awards support commercialization of the results of Phase II and require the use of private sector or non-SBIR/STTR federal funding.

What federal agencies participate in the SBIR program?
The Departments of Agriculture, Commerce, Defense, Education, Energy, Health and Human Services, and Transportation, as well as the Environmental Protection Agency, National Aeronautics and Space Administration, and National Science Foundation.

What federal agencies participate in the STTR program?
The Departments of Defense, Department of Energy, National Aeronautics and Space, Department of Health and Human Services, and National Science Foundation.

May a portion of an SBIR award be used to pay for outside services or assistance from a university or other nonprofit research institution?
Yes: Phase I, up to 1/3 of the award can be used for outside assistance, and in Phase II, up to 1/2 of the award.

For STTR awards, what is the minimum percentage of research that can be conducted by the small firm and institution receiving an award?
Small business must perform at least 40 percent of the work and research institutions must perform at least 30 percent.

What are the chances of receiving funding?
To date, approximately one out of eight Phase I proposals have been funded, and about one third of Phase I recipients have received Phase II funding, but the odds vary among the agencies.

When are the proposal deadlines?
They vary depending on the agency. Contact us for more information on deadlines.

For more information on how OIPTT can help your company with SBIR/STTR projects, please contact:
Kris Johansen


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