The eligibility requirements for the SBIR and STTR programs are unique and do not correspond to those of other small business programs. To receive an SBIR or STTR award, the proposer must qualify as a Small Business Concern (SBC) as defined by 13 C.F.R. §§ 701-705 at time of award. Eligible SBCs must meet the following criteria:
 

1. Organized for profit, with a place of business located in the United States
2. More than 50% owned and controlled by one or more individuals who are citizens or permanent resident aliens of the United States, or by other small business concerns that are each more than 50% owned and controlled by one or more individuals who are citizens or permanent resident aliens of the United States; and
3. No more than 500 employees, including affiliates.

In addition:

• All R/R&D work must be performed by the SBC and its subcontractors in the United States
• The primary employment of the principal investigator must be with the small business at the time of the award and during the conduct of the proposed effort. Primary employment means that more than one-half of the principal investigator's time is spent with the small business.
• For the SBIR program, a minimum of two-thirds of the research work must be performed by the small business in Phase I and a minimum of one-half of the research work must be performed by the small business in Phase II.

The STTR program requires the small business to partner with a research institution. The research institution must be a college or university, Federally Funded Research and Development Center or non-profit research institution located in the United States.
 
In addition:

• The small business must manage and control the STTR funding agreement and establish an intellectual property agreement detailing the allocation of intellectual property rights and rights to carry out follow-on research, development or commercialization activities.
• STTR requires that the small business perform at least 40% of the R&D and a single partnering research institution perform at least 30% of the R&D.
• The STTR program allows the Principal Investigator to be primarily employed by the small business OR the partnering research institution.

 
For full, detailed eligibility requirements, please review the SBA's SBIR/STTR Eligibility Guide.

1. The Defense SBIR/STTR Innovation Portal (DSIP). DSIP is the official portal for DoD SBIR/STTR proposal submission. Proposers are required to submit proposals via DSIP. During the registration process, all users will be required to register for a login.gov account or link and existing login.gov account to their DSIP account. Job Aids and Help Videos to walk you through the process are in the Learning & Support section of DSIP.
2. SBIR.gov. Small businesses that intend on participating in the federal SBIR and STTR programs must register with the Small Business Administration and receive a unique SBC Control ID. This ID is required prior to DoD SBIR/STTR proposal submission.
3. SAM.gov. Prior to doing business with the federal government, the small business must be registered with SAM.gov. Through this registration, the small business will be guided through the process of obtaining a unique entity identifier (UEI), formerly the DUNS number, completing representations and certifications documentation, and receiving a CAGE code.

All DoD SBIR and STTR proposals must be prepared and submitted electronically through the Defense SBIR/STTR Innovation Portal (DSIP). Proposals submitted by any other means will be disregarded.

Proposers must review the applicable program Broad Agency Announcement (BAA) or Commercial Solution Opening (CSO) for complete DoD-wide program information, eligibility requirements, and proposal submission instructions. Guidance on allowable proposal content may vary by DoD Component.  Accordingly, it is the proposing small business’s responsibility to consult the applicable Component-specific instructions for detailed guidance, including required proposal documentation, cost and duration limitations, budget structure, technical and business assistance (TABA) allowance and proposal page limits for their research topic of interest.

1. The soundness, technical merit, and innovation of the proposed approach and its incremental progress toward topic or subtopic solution.
2. The qualifications of the proposed principal/key investigators, supporting staff, and consultants. Qualifications include not only the ability to perform the research and development but also the ability to commercialize the results.
3. The potential for commercial (Government or private sector) application and the benefits expected to accrue from this commercialization.

• Read and understand your contract.
• Execute technical milestones according to the contract.
• Submit monthly/quarterly/final reports on time.
• Notify Contracting Officer when 75% expended.
• Submit a No-cost Extension (NCE) request to your Contracting Officer at least 60 days in advance of the contract end date (submission does not guarantee approval).
• Notify Contracting Officer if changing the Principle Investigator, sub-contractors or other key items.

• Do NOT accelerate project schedule or funding expenditures without prior approval from your Contracting Officer.
• Do NOT leave money on the table – know when the funding on your contract expires. Do NOT assume it can be rolled over to another line item.
• Do NOT continue working past the contract end date.
• Do NOT deviate from the original scope of work – even if directed to. Contact your Contracting Officer.

• Each Contracting Agent requires submission of invoices in order to receive payment. For DoD Contracting Agents, this system is Wide Area Workflow (WAWF).
• Details of the invoicing system, requirements and instructions for use will be outlined in your contract and/or kick off meetings with your Contracting Officer Representation (COR).                                                               

• All awardees are required to submit progress reports (frequency and method will be outlined in the contract). The final report, prepared in accordance with DFARS 252.235-7011, shall document the results of the completed effort as set forth in the Statement of Work. Acceptance (or approval) of the final report shall not be based on results or findings, but on completion of work as outlined in the Statement of Work.
• SBIR and STTR awardees are required by SBA to update and maintain their organization’s Company Commercialization Report (CCR) on SBIR.gov. Commercialization information is required upon completion of the last deliverable under the funding agreement. Thereafter, SBIR and STTR awardees are requested to voluntarily update the information in the database annually for a minimum period of 5 years.