Small Business Innovation Research

Small Business Innovation Research
and
Small Business Technology Transfer
Program Overview

FAQs

United States Special Operations Command (USSOCOM) Small Business Innovation Research (SBIR) / Small Business Technology Transfer (STTR) program supports the full spectrum of the Special Operations Forces (SOF) Acquisition Technology & Logistics - Science & Technology (AT&L-S&T) commodity areas by stimulating technology innovation with small businesses through contract awards aimed at discovering, developing, and rapidly inserting new capabilities to solve Special Operation Forces' needs. The Small Business Administration (SBA) manages the SBIR/STTR program across all agencies under the U.S. Government (USG). All USG agencies that have over $100M in extramural Research, Development, Technology and Experimentation (RDT&E) funds are required to have a SBIR/STTR program.

To be eligible for participation in the SBIR/STTR program, a business must meet the following criteria:

Be a U.S-owned and independently operated business.
Be for-profit and have the principal researcher employed by the business.
Be limited to a maximum of 500 personnel employed by the business.

USSOCOM SBIR/STTR Program Details
The USSOCOM SBIR/STTR program has the ability to release new and relevant topics in accordance with the DoD SBIR/STTR BAA schedule to meet USSOCOM needs. All DoD SBIR/STTR topics and proposal responses are submitted through the Defense SBIR/STTR Innovation Portal (DISP).

Phases and Funding
USSOCOM funds SBIR/STTR projects based on need (i.e, SOF peculiarity) utilizing both innovation and product development. USSOCOM SBIR/STTR Topics are initiated by SOF Government employees to champion a particular need and are referred to as Technical Points of Contact (TPOC). PHASE I: Awardees provide a feasibility study on a SBIR/STTR topic translated in a 5-page report. Typical funding is $175K (SBIR) or $210K (STTR) over 7 months. USSOCOM Phase I SBIR/STTR awardees are also offered the opportunity to bid to a Phase II for the respective awarded topic. PHASE II: Focus is on prototype development. Typical funding is $1.3M over 12-24 months. Up to two (2) Phase II awards can be made per awardee under the USSOCOM SBIR/STTR program. DIRECT to PHASE II: Allows for a Phase II award to be made without first conducting a Phase I effort; however the proposer must substantiate that the technical merit and feasibility of the objectives normally provided in a Phase I have been met. Up to two (2) Phase II awards can be made per awardee under the USSOCOM SBIR/STTR program. PHASE III: SBIR/STTR success! Commercialization is realized and the product is fully marketable. The Government may purchase the product or license the technology on a full production contract. There is no ceiling limit on funding and the contract does not need to be openly competed as the open competition requirement was met through a previous phase award.

Phases and Funding

USSOCOM funds SBIR/STTR projects based on need (i.e, SOF peculiarity) utilizing both innovation and product development. USSOCOM SBIR/STTR Topics are initiated by SOF Government employees to champion a particular need and are referred to as Technical Points of Contact (TPOC).

PHASE I: Awardees provide a feasibility study on a SBIR/STTR topic translated in a 5-page report. Typical funding is $175K (SBIR) or $210K (STTR) over 7 months. USSOCOM Phase I SBIR/STTR awardees are also offered the opportunity to bid to a Phase II for the respective awarded topic.
PHASE II: Focus is on prototype development. Typical funding is $1.3M over 12-24 months. Up to two (2) Phase II awards can be made per awardee under the USSOCOM SBIR/STTR program.
DIRECT to PHASE II: Allows for a Phase II award to be made without first conducting a Phase I effort; however the proposer must substantiate that the technical merit and feasibility of the objectives normally provided in a Phase I have been met. Up to two (2) Phase II awards can be made per awardee under the USSOCOM SBIR/STTR program.
PHASE III: SBIR/STTR success! Commercialization is realized and the product is fully marketable. The Government may purchase the product or license the technology on a full production contract. There is no ceiling limit on funding and the contract does not need to be openly competed as the open competition requirement was met through a previous phase award.

Differences between SBIR and STTR	Resources
Key differences between SBIR and STTR opportunities, include requirements that affect subcontracting partnerships outsourcing and level of effort. SBIR Projects: Subcontractors are allowed but not required. The small business may subcontract up to 33% of work under Phase I and 49% of work under Phase II. STTR Projects: Partnership with a university or other non-profit research institution is required. The minimum work requiements are 40% for the small business and 30% for the partner institution.	SBIR/STTR Journey FY Topics DSIP SOFWERX Learning SBIR.gov Tutorials DSIP tutorials General DOD SBIR/STTR Policy SBA Policy

Differences between SBIR and STTR

Resources

Key differences between SBIR and STTR opportunities, include requirements that affect subcontracting partnerships outsourcing and level of effort.

SBIR Projects:

Subcontractors are allowed but not required.
The small business may subcontract up to 33% of work under Phase I and 49% of work under Phase II.

STTR Projects:

Partnership with a university or other non-profit research institution is required.
The minimum work requiements are 40% for the small business and 30% for the partner institution.

SBIR/STTR Journey

FY Topics DSIP
SOFWERX

Learning

SBIR.gov Tutorials
DSIP tutorials

General

DOD SBIR/STTR Policy
SBA Policy

For more information on the USSOCOM SBIR/STTR programs, contact the Program Manager via email.
	Email: sbir@socom.mil