STTR Phase I — Department of Defense

Who qualifies

• For-profit US small business concern with 500 or fewer employees (including all affiliates)
• More than 50% owned and controlled by US citizens or permanent legal residents
• Must formally partner with a single US research institution — eligible partners are federally funded R&D centers (FFRDCs), universities and colleges accredited by a recognized US accrediting body, and nonprofit research organizations chartered in the US
• The research institution must perform at least 30% of the Phase I work measured in dollars — same statutory minimum as NIH STTR
• The small business must perform at least 40% of the Phase I work directly
• PI may be employed at the small business OR the research institution (greater flexibility than DoD SBIR which requires PI to be primarily employed at the SBC)
• A written Research Institution Agreement (RIA) governing IP rights and work allocations must be in place before submitting the proposal
• Active SAM.gov registration with valid UEI required
• Registered in SBA SBIR Company Registry at sbir.gov
• DSIP account required for proposal submission
• No cost-sharing required for Phase I

Hard requirements

• Must be incorporated
• 51%+ US ownership required
• Requires a research-institution partner

What it covers

How to apply

1. 1

   Register in SAM.gov, SBIR Company Registry, and DSIP

   Complete all three separate registrations: SAM.gov (for UEI, takes 2–3 weeks for new registrations), SBA SBIR Company Registry at sbir.gov (1–3 business days), and DSIP at dodsbirsttr.mil (immediate, but requires SAM UEI). All three must be active before you can submit. Do this first, before writing a single word of the proposal.

   ~5 hrs

2. 2

   Identify a defense-relevant STTR topic and research institution partner

   Browse the current DoD BAA in DSIP and filter for STTR topics (look for the 'STTR' designation — topics are divided between SBIR and STTR within the same BAA). Simultaneously identify a research institution partner whose expertise aligns with the topic. DARPA and ONR (Navy) are the most common STTR topic issuers — their topics tend toward fundamental science adjacent to deployment. Start institution negotiations immediately — 4–8 weeks needed for the Research Institution Agreement.

   ~15 hrs

3. 3

   Negotiate and execute the Research Institution Agreement (RIA)

   DoD requires a signed RIA before proposal submission — the agreement must cover IP rights allocation, work performance percentages, publication rights, and export control considerations. Defense STTR research often involves ITAR-sensitive topics — confirm with your university's TTO whether the research area triggers ITAR/EAR controls before signing. Some universities have a pre-negotiated DoD STTR template; ask the TTO upfront. ITAR restrictions may bar certain non-US-citizen faculty from the research team.

   ~20 hrs

4. 4

   Submit Q&A during the topic's Q&A window

   Use DSIP to submit technical questions to the STTR topic author during the published Q&A window. STTR topic authors are typically research scientists at DoD labs or program offices rather than contracting officers — they are often more forthcoming about technical alignment than SBIR PMs because STTR topics are explicitly research-oriented. Read all posted Q&As publicly available in DSIP before writing the proposal.

   ~5 hrs

5. 5

   Write the technical volume

   DoD STTR technical proposals are similar in length and format to SBIR technical volumes — typically 20–30 pages. Address the specific STTR topic's requirements with emphasis on the research institution's contribution and how the partnership enables research that the small business could not do alone. Clearly map the 30%/40% work split in the proposal narrative. Describe the IP commercialization path explicitly — DoD STTR topics are selected for dual-use or defense transition potential.

   ~70 hrs

6. 6

   Prepare and submit the cost volume in DSIP

   Cost volumes include the small business's direct labor, materials, and indirect rates PLUS the research institution's subcontract budget. Both budgets are submitted through DSIP. The research institution must provide a detailed cost proposal through their authorized contracting official. DoD contracting officers will negotiate both cost volumes — allow 30–90 days post-close for negotiations and contract execution.

   ~15 hrs

SBIR / STTR details

NAICS codes: 541715, 541714, 541511, 541512, 336411, 336412, 541330, 334511, 334220, 325411

Deadline & timing

DoD STTR runs on the same annual cycle schedule as DoD SBIR — approximately three BAA releases per fiscal year with SBIR and STTR topics released together. STTR topic counts are typically much smaller than SBIR within each BAA (roughly 10–20% of total topics are designated STTR). When no STTR-specific topics are open, the program is effectively between-intakes. DoD STTR topics are flagged distinctly from SBIR topics in DSIP — filter by program type to find them. The Q&A window rules (2–4 weeks before close) apply equally to STTR topics.

Programs that stack well

• Research & Development Tax Credit (Section 41)
• SBIR Phase I — Department of Defense
• STTR Phase I — NIH (PHS Omnibus)
• NIST Manufacturing Extension Partnership (MEP)
• SBIR Phase I — NSF (America's Seed Fund)

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