SBIR/STTR Guidance for Faculty
Small Business Innovation Research and Small Business Technology Transfer Programs
Overview
The Small Business Innovation Research (SBIR) and Small Business Technology Transfer (STTR) programs are federal funding mechanisms that support research and development by eligible U.S. small businesses and promote the commercialization of innovative technologies.
Under both programs, the small business is the applicant and prime award recipient. 蘑菇传媒 is not eligible to apply directly as the prime applicant. 蘑菇传媒 may participate in a supporting role, generally as a subrecipient or consultant, when permitted by the applicable funding opportunity.
Faculty considering participation in an SBIR or STTR proposal should engage the Office of Sponsored Programs and Research (OSPAR) as early as possible to address institutional requirements, budgeting, approvals, and compliance considerations before submission.
Key Differences Between SBIR and STTR
| Feature | SBIR | STTR |
|---|---|---|
| Applicant and prime recipient | Eligible small business | Eligible small business |
| Research institution participation | Permitted but not required | Required |
| Typical 蘑菇传媒 role | Subrecipient or consultant, depending on the solicitation and proposed work | Nonprofit research institution participating with the small business, generally through a subaward |
| Proposal coordination and submission | Small business | Small business |
Roles and Responsibilities
The Small Business
- Serves as the applicant organization and prime award recipient.
- Leads proposal development and coordinates submission to the federal agency.
- Determines the proposal materials and deadlines applicable to 蘑菇传媒鈥檚 participation.
- Manages the overall project and the prime award鈥檚 administrative and compliance obligations.
蘑菇传媒
- Participates in the role permitted by the funding opportunity and approved by 蘑菇传媒, generally as a subrecipient or consultant.
- Provides the agreed research expertise, personnel, facilities, and other resources described in the proposed scope of work.
- Develops and approves the 蘑菇传媒 scope of work, budget, budget justification, and institutional documents.
- Reviews and approves 蘑菇传媒鈥檚 participation through its internal proposal review process before the small business submits the application.
Typical Information Requested from 蘑菇传媒
The small business may request some or all of the following items for its application:
- Statement of Work (SOW)
- Detailed budget and budget justification
- Biosketches and other investigator documents required by the agency
- Facilities and resources information
- Current and pending or other support information, if required
- Subrecipient commitment or institutional forms
- Institutional certifications and assurances
- Letters of collaboration or support
- Other agency- or solicitation-specific documents
Requirements vary by agency and funding opportunity. The small business should identify the specific materials and deadlines applicable to 蘑菇传媒.
Internal Review and Approval Requirements
蘑菇传媒 participation in an SBIR or STTR proposal requires institutional review and approval before the small business submits the application. Faculty should notify OSPAR as early as possible and provide:
- The funding opportunity or sponsor guidance.
- The name and contact information of the applicant small business.
- The proposed 蘑菇传媒 personnel and their roles.
- The anticipated 蘑菇传媒 scope of work and budget.
- The proposal deadline and the small business鈥檚 internal deadline for 蘑菇传媒 materials.
OSPAR will coordinate the review of 蘑菇传媒鈥檚 proposed participation and the institutional documents required for the application. Faculty and departments may not commit 蘑菇传媒 personnel, effort, facilities, equipment, or other institutional resources without the required approvals.
Faculty Ownership or Leadership in the Applicant Company
Additional institutional review may be required when an 蘑菇传媒 faculty member:
- Owns or has an equity or other financial interest in the applicant company.
- Serves as a founder, officer, director, executive, employee, or manager of the company.
- Proposes to participate on behalf of both 蘑菇传媒 and the company.
- Intends to use 蘑菇传媒 facilities, employees, students, equipment, intellectual property, or other resources in connection with the proposed project.
Faculty must disclose these relationships and contact OSPAR and the Office of Compliance as early as possible. Depending on the circumstances, review may involve conflict-of-interest, conflict-of-commitment, use-of-resources, intellectual property, legal, or other institutional considerations.
Frequently Asked Questions
No. Under both programs, the applicant and prime award recipient must be an eligible small business. 蘑菇传媒 may participate in a supporting role when permitted by the funding opportunity.
The small business is responsible for coordinating and submitting the proposal. It should communicate the required 蘑菇传媒 documents and deadlines to the faculty investigator and OSPAR.
It is required under STTR. Under SBIR, a research institution may participate, but participation is not required.
Normally, the small business submits the proposal. OSPAR reviews and approves 蘑菇传媒鈥檚 participation and provides the required institutional materials to the small business.
As soon as discussions begin. Early engagement allows time for budget development, internal routing, compliance review, and institutional approval.
Disclose the relationship and contact OSPAR and Compliance before proposal submission. Additional institutional review may be required.
Contact OSPAR
Faculty considering participation in an SBIR or STTR proposal should contact OSPAR as early as possible to discuss the opportunity, timeline, budget, required documents, and institutional review.
Email: grants@nyit.edu