Eligibility Criteria

SBIR

Small Business Innovation Research

Only United States small business concerns (SBCs) are eligible to submit SBIR applications. A small business concern is one that, at the time of award of SBIR Phase I and Phase II, meets all of the following criteria:

• Is organized for profit, with a place of business located in the United States, which operates primarily within the United States or which makes a significant contribution to the United States economy through payment of taxes or use of American products, materials or labor;
• Is in the legal form of an individual proprietorship, partnership, limited liability company, corporation, joint venture, association, trust or cooperative, except that where the form is a joint venture, there can be no more than 49 percent participation by foreign business entities in the joint venture;
• Is at least 51 percent owned and controlled by one or more individuals who are citizens of, or permanent resident aliens in, the United States, or it must be a for-profit business concern that is at least 51% owned and controlled by another for-profit business concern that is at least 51% owned and controlled by one or more individuals who are citizens of, or permanent resident aliens in, the United States, except in the case of a joint venture, where each entity to the venture must be 51 percent owned and controlled by one or more individuals who are citizens of, or permanent resident aliens in, the United States; and;
• Has, including its affiliates, not more than 500 employees.

STTR

Small Business Technology Transfer

The Small Business Technology Transfer Program is similar in structure to SBIR but funds cooperative research and development projects involving a small business and a research institution (i.e., university, federally-funded center, nonprofit research institution). The purpose of STTR is to create an effective vehicle for moving ideas from our nation's research institutions to the commercial market.

To participate in the STTR Program, a company must be:

• a U.S. for-profit small business of 500 or fewer employees; there is no size limit on the research institution
• located in the United States
• at least 51 percent U.S.-owned and independently operated,
• engaged in a formal cooperative research and development effort with the research institution:
  • the effort must be managed by the small business and an minimum of 40 percent of the work must be done by the small business
  • the research institution must be a U.S. college or university, federally-funded research and development center, or non-profit research institution
• and, the principal investigator may be employed at the small business or research institution