Deciding between SBIR and STTR
| Description of program features or requirements | SBIR | STTR |
|---|---|---|
| Partnering requirement | Allows partnering | Requires a non-profit research institution partner |
| Principal investigator | Primary employment (>50%) must be with the small business | PI may be employed by either the research institution partner or small business (check solicitation) |
| Work requirement | May subcontract up to: 33% (Phase I) 50% (Phase II) |
Minimum: 40% Small Business 30% Research Institution Partner |
| Program overall budget | FY19 - $3.28 billion | FY19 - $453 million |
| Participating agencies | 11 agencies (extramural R&D budget > $100M) | 5 agencies (extramural R&D budget > $1B) |
| IP Allocation Agreement required | No | Yes |
Partnering and budget allocations
An SBIR award gives flexibility in partnering with subcontractors and allows up to 33% of the funding to be used for partners.
An STTR award requires that 40% of the funding goes to a research institution, 30% goes to the small business applicant and 30% is discretionary.
IP Allocation Agreement
Before receiving an STTR award, a small business must negotiate a written agreement between the small business and the partnering research institution, allocating intellectual property rights and, if relevant, rights to carry out follow-on research, development or commercialization.
When partnering with the 推荐杏吧原创, please contact Enterprise & Innovation to receive guidance on the IP allocation agreement.
Working with the 推荐杏吧原创
You may decide to partner with the University with either SBIR or STTR awards, but the STTR requires the partnership. There are many benefits to partnering with a university, such as:
- Access to pre-existing, top-tier research and intellectual property
- Leveraging existing research infrastructure such as equipment, chemical and biological waste management, safety policies and procedures, and expertise
- Cultivating a long-term relationship around joint research and development
- Access to a large employment talent pool
- Utilizing support and compliance structures for grant and intellectual property management
Contact points at the 推荐杏吧原创
- Sponsored Projects for award management and compliance
- Enterprise & Innovation for intellectual property, technology licensing, and faculty matching.
| Agency | Participation in SBIR or STTR? | Contracting agency or granting agency? |
|---|---|---|
| Department of Agriculture (USDA) | SBIR | Granting agency |
Department of Commerce (DOC)
|
SBIR | Granting agency |
| Department of Education (ED) | SBIR | Contracting agency |
| Department of Homeland Security (DHS) | SBIR | Contracting agency |
| Department of Transportation (DOT) | SBIR | Contracting agency |
| Environmental Protection Agency (EPA) | SBIR | Contracting agency |
| Department of Defense (DOD) | STTR | Contracting agency |
| Department of Energy (DOE) | STTR | Granting agency |
Department of Health and Human Services (HHS)
|
STTR | Granting and contracting agency (mostly grants) |
| National Aeronautics and Space Administration (NASA) | STTR | Contracting agency |
| National Science Foundation (NSF) | STTR | Granting agency |
Differences between contracting agencies and granting agencies
Contracts are typically an opportunity where an agency puts forth a problem that needs to be solved, like “we need better batteries,” whereas grants are typically more open-ended, such as “we need a better energy solution – tell us your approach.”
Contracting agencies
- Agency establishes plans, protocols, requirements
- Highly focused topics
- Procurement mechanism
- More fiscal requirements
- Invoiced on progress
- Binding agreement between a buyer and seller for goods/services
Granting agencies
- Principal Investigator initiated approach
- Less-specific topics
- Assistance mechanism
- More flexibility
- Allows upfront payment
- Funds support a public purpose, best efforts in research