STTR Frequently Asked Questions
What is the STTR Program?
STTR is a highly competitive three-phase program that reserves a specific
percentage of Federal research and development funding for award to small
businesses in partnership with nonprofit research institutions to move ideas
from the laboratory to the marketplace, to foster high-tech economic development
and to address the technological needs of the Federal Government.
What are the three phases of the STTR Program?
Phase I is the startup phase for the exploration of the scientific,
technical, and commercial feasibility of an idea or technology. Awards are for
periods of up to one year in amounts up to $100,000.
Phase II is to expand Phase I results. During this period the R&D work
is performed and the developer begins to consider commercialization potential.
Awards are for periods of up to two years in amounts up to $750,000.
Phase III is the period during which Phase II innovation moves from the
laboratory into the marketplace. There is no STTR funding in this phase.
Must you be an established business when you propose?
No. However, you must be organized as a business at the time of award.
Who can propose?
Only small for-profit businesses can propose.
What is size criteria?
A small business concern with 500 or fewer employees including subsidiaries
and/or affiliates. The size of the nonprofit collaborator is not relevant.
How are future rights to projects developed under STTR determined?
The small business concern and the research institution must develop a
written agreement prior to a Phase I award. This agreement must be submitted
to the awarding agency if requested.
Who are the Federal participants in the STTR Program?
The following six Federal departments and agencies are eligible to
participate:
Can I skip Phase I and begin at Phase II?
No. Phase II awards can only be awarded to firms having successfully completed
Phase I at the same awarding agency.
Does SBA make any STTR awards?
No. The six participating Federal agencies have unilateral procurement authority.
Can you subcontract in STTR -- either party or both?
Yes. Either party may subcontract or they may jointly fund a subcontractor.
Can a small business concern participate in both SBIR and STTR
simultaneously at the same or differing agencies?
Yes, but they may not perform the same or essentially similar work under more than one contract or grant. Collecting
funds more than once for the same work is fraud.
Must a successful Phase I small business concern use the same
institution in Phase II?
No. The small business concern can change research institutions in Phase II.
Will an unsolicited proposal be accepted in the STTR Program?
No. Proposals must respond to the solicitation as published by one or more
of the participating agencies.
Who is the prime contractor or grantee?
The small business concern.
Must the small business concern and/or the research institution be
located in the United States?
Yes. Both the small business concern and the institution must be on U.S. soil.
Can a Phase III follow-on contract for funding be made, without
competition, to the firm that successfully completes Phase I and II?
Yes, the firm may be given a sole source contract in Phase III for further
work or production.
What is the minimum percent breakout for small firms and institutions in
conducting research?
Small business concerns must perform at least 40% and research institutions
must perform at least 30% of the work.
Who resolves problems concerning STTR topics, awards, audits, etc.?
The agency issuing the Program Solicitation. SBA handles program policy for
across the board uniformity, reporting to Congress and program oversight.
Where can I go for further information on how I get started or if there
is other assistance available?
For more information on STTR programs, visit www.sbirworld.com.
If you are an entrepreneur or researcher located in Arkansas interested in
learning more about STTR program, you are invited to contact Mildred Holley at
mxholley@ualr.edu, 501.324.9043 or 800.862.2040.
|
