Office of Research and Innovation

Home > Grants & Contracts > Research Development > SBIR/STTR

SBIR/STTR

The Small Business Innovation Research (SBIR) and Small Business Technology Transfer (STTR) programs are established by the federal government to strengthen the role of innovative small business concerns in federally-funded research and development.

UT Dallas has a successful history of partnering with small business in SBIR/STTR projects. Over the past 10 years, over 52 faculty have collaborated with 54 different small businesses for a cumulative total award value of over $13.4M.

Introduction to SBIR/STTR Subcontracts

SBIR/STTR awards are limited to U.S.-based, for-profit small businesses. The small business concern (SBC) must submit the proposal. UT Dallas is not eligible to be an applicant for an SBIR/STTR grant.

UT Dallas participation in an SBIR/STTR will be in the form of a subcontract from the small business. To include UT Dallas in the proposal, the Principal Investigator at UT Dallas will need to contact OSP. The documents required are:

  • Letter of commitment signed by UT Dallas signatory
  • Scope of work
  • Budget and justification
  • Certification form approved by all key personnel through the OAR portal
  • Optional Allocation of Rights signed by UT Dallas and small business
NameSmall Business Innovation Research (SBIR)Small Business Technology Transfer (STTR)
WebsiteSmall Business Innovation Research WebsiteSmall Business Technology Transfer Website
GoalEncourage 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 businesses and nonprofit research institutions. Role is to bridge the gap between performance of basic science and commercialization of resulting innovations. Requires the small business to formally collaborate with a research institution in Phase I and Phase II.
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 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
Principal InvestigatorPrincipal investigator must have primary employment (>50% of his/her time) with the SBC at the time of award.The PI may be employed with the SBC or the participating non-profit research institution as long as s/he has a formal appointment with or commitment to the applicant SBC at the time of award.
Conflict of InterestUT Dallas researchers participating in an SBIR/STTR project at an SBC or through a subaward at UT Dallas need to complete a COI Disclosure form. NSF subaward eligibility rules prohibit any person who is an equity holder, employee, or officer of the SBC to be paid through an SBIR or STTR subaward budget. Exceptions can be made only with prior approval from the Program Official.

 

Contact COI for assistance 		UT Dallas researchers participating in an SBIR/STTR project at an SBC or through a subaward at UT Dallas need to complete a COI Disclosure form. NSF subaward eligibility rules prohibit any person who is an equity holder, employee, or officer of the SBC to be paid through an SBIR or STTR subaward budget. Exceptions can be made only with prior approval from the Program Official.

 

Contact COI for assistance
Research InstitutionCollaboration with research institution is optional

 

Contact OSP for submission assistance

Required for Phase I and II

 

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 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
Contact OSP for submission assistance
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 $150,000 for 6 months
  • Minimum 2/3 of research must be performed by SBC
  • 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
  • At least 40% of work must be performed by SBC and at least 30% of work performed by research institution
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
  • Minimum ½ research must be performed by SBC
  • 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
  • At least 40% of work must be performed by SBC and at least 30% of work performed by research institution
Participating Agencies