Further Reading — Chapter 20: SBIR/STTR

SBIR/STTR rules, amounts, agency practices, and ownership eligibility change over time. Treat this chapter as the durable structure and always verify current specifics at the source — SBIR.gov and the specific agency's solicitation. The most important reading for any SBIR/STTR application is always that agency's current solicitation.

Official, Primary Sources (start here)

  • SBIR.gov. The federal hub for both programs: the company registry, a searchable database of open topics and solicitations across all participating agencies, past-awardee data, tutorials, and program rules. Your starting point and the government-wide registration (Sections 20.1, 20.5–20.6).
  • The specific agency's SBIR/STTR solicitation. The binding document for your application — eligibility, topics (for topic-driven agencies), format, page limits, review criteria, and budget rules. Build your checklist from it; it governs over any general guide.
  • The participating agencies' SBIR/STTR program pages. Each agency runs its own program with its own style, portal, and timelines — e.g., DOD (topic-driven, often contracts), NIH (investigator-initiated grants, health mission), NSF ("America's Seed Fund," broad innovation), DOE, NASA, USDA, ED, and others. Read the page for the agency whose mission your technology serves.
  • SAM.gov. Federal entity registration and the UEI — required, annually renewed; a binary gate (Chapter 15, 19). Start early.

On the Commercialization Plan and Customer Discovery

  • The NSF I-Corps program and the "customer discovery" / Lean Startup approach. The discipline of talking to real customers to build an evidence-based market case — the heart of Section 20.4. Many founders run customer-discovery interviews before writing, and some agencies tie I-Corps-style training to SBIR.
  • Blank, Steve, and Bob Dorf. The Startup Owner's Manual (and Steve Blank's customer-development writing). The foundational method for building a commercialization case on real customer evidence rather than assumption — directly applicable to the commercialization plan.
  • Osterwalder & Pigneur, Business Model Generation (the Business Model Canvas). A practical framework for thinking through market, value proposition, channels, and revenue — useful scaffolding for the commercialization plan's components.

On Strategy, the Phase Ladder, and Non-Dilutive Funding

  • Chapter 14 of this book (Sustainability and Dissemination). Commercialization is impact-and-sustainability thinking applied to technology — carrying an innovation beyond the grant to lasting real-world effect (Section 20.7 spaced review).
  • Chapter 9 (The Project Narrative / Approach). Phase I is a tightly scoped feasibility study; re-read Chapter 9 for proving feasibility and strategic detail (Section 20.2).
  • Your state's SBIR/STTR support center or Small Business Development Center. Many states fund assistance programs that help local companies find topics, understand eligibility, and strengthen proposals — sometimes with matching funds for awardees. A high-value, often-overlooked resource (Section 20.6, Best Practice).
  • Apex Accelerators (formerly PTACs) and SCORE/SBA resources. Government-contracting and small-business assistance that can help with registrations, eligibility, and the business side of an SBIR company.

On the Programs' Structure and Differences

  • STTR-specific solicitation provisions and your university's technology-transfer office. For STTR, the partnership, IP, and work-share rules are central (Case Study 20.2). Engage the tech-transfer office early — IP and partnership agreements take time.
  • The Small Business Administration's SBIR/STTR policy directives. The governing rules for both programs across agencies, including eligibility (size and ownership), the phase structure, and data rights. The authority behind the durable facts in this chapter.

Connections Within This Book

  • Chapter 19 (Government Grants). The binary gates and compliance regime SBIR/STTR shares (for grant agencies); read it first for the registration and 2 CFR 200 context.
  • Chapters 16–17 (NIH, NSF). Both agencies run SBIR/STTR; their investigator-initiated style carries over, and an NIH/NSF SBIR resembles a small, commercialization-focused version of their research grants.
  • Chapter 13 (Organizational Capacity). For SBIR, "capacity" means the ability to commercialize — business as well as technical talent on the team.

A note on secondary sources

A large consulting industry offers SBIR proposal help, and quality varies. Use reputable, often free public resources first — SBIR.gov, your state SBIR center, agency program managers, and university tech-transfer offices. As always, reconcile any general advice against the specific agency solicitation, which is the only binding authority for your application.