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SBIR/STTR

Guidelines for UCI Employee Participation in the SBIR & STTR Grant Programs

UCI Guide and FAQs: SBIR and STTR Programs

Name

Small Business Innovation Research (SBIR)

Small Business Technology Transfer (STTR)

Goal

Encourage domestic small businesses to engage in Federal Research/Research & Development (R/R&D) with potential for commercialization

Expands public/private sector partnership to include the joint venture opportunities for small business and nonprofit research institutions

Small Business Concern (SBC) Eligibility

  • Organized for profit, with place of business located in the US;
  • At least 51% owned and controlled by either:
    • One or more citizen(s) or permanent resident alien(s) of the US
    • Another for-profit business concern that is 51% owned and controlled by 1 or more citizen(s) or permanent resident alien(s) of the US; and
  • No more than 500 employees, including affiliates
  • Organized for profit, with place of business located in the US;
  • At least 51% owned and controlled by 1 or more citizen(s) or permanent resident alien(s) of the US; and
  • No more than 500 employees, including affiliates

 

Principal Investigator

Principal investigator must have primary employment with the SBC (unless a waiver granted by agency)

Principal investigator does not have to be primarily employed by the SBC

Financial Disclosure Requirements

Phase 1: Principal Investigator and co-Principal Investigator (if applicable) completes Statement of Economic Interests for Principal Investigator (Form 700U)

 

Phase 2: Principal Investigator and co-Principal Investigator (if applicable) completes Statement of Economic Interests for Principal Investigator (Form 700U) and if prime sponsor has financial disclosure requirements, all Investigators with responsibility for design, conduct, or reporting of research must submit financial disclosures for prime sponsor

  • If prime sponsor is PHS: Annual Disclosure (KC COI)
  • If prime sponsor is NSF: Annual Disclosure and if necessary, NSF Disclosure (KC COI)

Phase 1: Principal Investigator and co-Principal Investigator (if applicable) completes Statement of Economic Interests for Principal Investigator (Form 700U)

 

Phase 2: Principal Investigator and co-Principal Investigator (if applicable) completes Statement of Economic Interests for Principal Investigator (Form 700U) and if prime sponsor has financial disclosure requirements, all Investigators with responsibility for design, conduct, or reporting of research must submit financial disclosures for prime sponsor

  • If prime sponsor is PHS: Annual Disclosure (KC COI)
  • If prime sponsor is NSF: Annual Disclosure and if necessary, NSF Disclosure (KC COI)

Nonprofit Research Institution

Not required

Required for Phase I and II

Nonprofit Research Institute Eligibility

  • Located in the US
  • Meet one of the following three definitions:
    • Nonprofit college or university
    • Domestic nonprofit research organization
    • Federally funded R&D center
  • Must establish an intellectual property agreement detailing the allocation of intellectual property rights and rights to carry out follow-on research, development or commercialization activities between SBC and Nonprofit Research Institution
  • SBC must perform at least 40% of the R&D and the single partnering research institution to perform at least 30% of the R&D

Phase I

  • Establish technical merit, feasibility, and commercial potential and determine quality of performance before providing further Federal support in Phase II
  • Usually not more than $150,00 for 6 months
  • Establish technical merit, feasibility, and commercial potential and determine quality of performance before providing further Federal support in Phase II
  • Usually not more than $100,00 for 1 year

Phase II

  • Continue R/R&D efforts of Phase I; funding based on results of Phase I and the scientific and technical merit and commercial potential of project proposed in Phase II
  • Usually not more than $1,000,000 total costs for 2 years
  • Continue R/R&D efforts of Phase I; funding based on results of Phase I and the scientific and technical merit and commercial potential of project proposed in Phase II
  • Usually not more than $750,000 total costs for 2 years

Phase III

  • When appropriate, small business pursues commercialization objects
  • SBIR does not fund Phase III
  • When appropriate, small business pursues commercialization objects
  • STTR does not fund Phase III

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