SMALL BUSINESS TECHNOLOGY TRANSFER RESEARCH (STTR)

The Small Business Technology Transfer (STTR) program was developed and is intended to 1) stimulate and foster scientific and technological innovation through cooperative research and development carried out between small business concerns and research institutions, 2) foster technology transfer between small business concerns and research institutions, 3) increase private sector commercialization of innovations derived from Federal research and development, and 4) foster and encourage participation of socially and economically disadvantaged small concerns and women-owned small business concerns in technological innovation. The Small Business Technology Transfer (STTR) program was established by the Small business Technology Transfer Act of 1992.

Federal legislation requires the Public Health Service (PHS), Department of Health and Human Services, and certain other federal agencies to reserve 0.15% of a federal agency’s extramural R&D effort into the STTR program.

For purposes of the STTR program, "research" or "research and development" R&D is defined as any activity which is: a) a systematic, intensive study directed toward greater knowledge or understanding of the subject studied; b) a systematic study directed specifically toward applying new knowledge to meet a recognized need; or c) a systematic application of knowledge toward the production of useful materials, devices, systems or methods, including design, development and improvement of prototypes and new processes to meet specific requirements.

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The STTR program consists of the following three phases

PHASE I: The objective of this phase is to determine the scientific, technical, and commercial merit and feasibility of the proposed cooperative effort and the quality of performance of the small business concern, prior to providing further federal support in Phase II. Phase I awards may not exceed $100,00 for direct costs, indirect costs, and negotiated fixed fee for a period normally not to exceed one year.

PHASE II: The objective of this phase is to continue the research or R&D efforts initiated in Phase I. Funding shall be based on the results of Phase I and the scientific and technical merit and commercial potential of the Phase II application (Only Phase I awardees are eligible to apply for Phase II funding and Phase II applications may be submitted only after the Phase I budget period has expired. If a no-cost time extension is granted, no application may be submitted for Phase II support while the extended Phase I budget period is in effect.) Awards may not exceed $500,000 for direct costs, indirect costs, and negotiated fixed fee for a period normally not to exceed two years. Phase II grants are non-renewable and only one Phase II award may be made for any STTR project.

PHASE III: The objective of this phase, where appropriate, is for the small business concern to pursue with non-federal funds the commercialization of the results of the research or R&D funded in Phases I and II. Phase III may involve follow-on, non-STTR funded R&D or production contracts for products and processes intended for use by the U.S. Government.

Deadlines

The grant application receipt dates are usually April 1st, August 1st, and December 1st (same dates each year).

Performance of Research and Analytical Work by the Applicant Organization

In Phase I and Phase II, at least 40% of the work must be performed by the small business concern and at least 30% of the work must be performed by the Research Institution (UCSF). The basis for determining the percentage of work to be performed by each of the cooperative parties will be the total of direct and indirect costs attributable to each party, UNLESS OTHERWISE DESCRIBED AND JUSTIFIED IN THE "CONTRACTUAL ARRANGEMENTS" PROTION OF THE "RESEARCH PLAN" SECTION OF THE APPLICATION.