SBIR/STTR Program

The Small Business Innovation Research (SBIR) and Small Business Technology Transfer (STTR) programs are competitive federal grant programs designed to spur economic development and stimulate technological innovation and commercialization through small businesses, including faculty startups. For both grant programs, the application is always submitted by the small business, not by the University.

SBIR Program Overview

The SBIR program was established to engage small businesses in federal research and development with potential for commercialization. Key features include:

Eligibility: US-owned and operated small businesses with fewer than 500 employees
Funding structure:
- Phase I: Feasibility studies (typically $50,000-$250,000 for 6 months)
- Phase II: R&D work (typically $750,000-$1,700,000 for 2 years)
- Phase III: Commercialization (no SBIR funds, but potential for non-SBIR government/private funding)
Participating agencies: 11 federal agencies with R&D budgets over $100 million (including DOD, HHS/NIH, NSF, DOE, NASA)

STTR Program Overview

The STTR program is similar to SBIR, but requires small businesses to formally collaborate with a research institution. Key features include:

Eligibility: Same as SBIR, plus formal collaboration with a nonprofit research institution
Research institution partnership: Requires the small business to partner with a nonprofit research institution (university, federal laboratory, etc.)
Funding structure: Similar to SBIR with Phase I, II, and III
Participating agencies: Five federal agencies (DOD, HHS/NIH, NSF, DOE, NASA)
Work allocation: Small business must perform at least 40% of the work; research institution must perform at least 30%

SBIR & STTR: What’s Different?

Research institution partnership: Required for STTR, optional for SBIR
Principal investigator location: For STTR, some federal agencies permit the PI to be primarily employed by either the small business or research institution; for SBIR, the PI must be primarily employed by the small business
Number of participating agencies: 11 for SBIR, 5 for STTR

Benefits of These Programs

Non-dilutive funding (no equity given up)
Retention of intellectual property rights
Validation of technology through federal support
Potential for follow-on funding and contracts
Technical and business assistance provided by many agencies

Engage with UK Innovate to Support your SBIR/STTR Grant Efforts

UK Innovate has multiple team members who work together to support your SBIR/STTR journey, whether you’re working with an outside company or have created your own. Please complete this form and the appropriate UK Innovate team member will reach out to you.

SBIR/STTR interest Form

Internal UK Processes & Resources to Support Faculty Engaging in SBIR/STTR Grants

As soon as a company contacts you about an SBIR or STTR collaboration opportunity, or you’ve legally formed and named a new faculty startup company, contact UK Innovate’s Tech Commercialization team to sign a non-disclosure agreement (NDA) between the company and UK to cover discussions about UK innovations, grant proposals, product development plans, and agreement negotiations.

UK does allow faculty to engage in research with outside companies, as well as faculty engaging in research for their own startup companies. However, if you have a faculty-led startup, you must be mindful of “wearing multiple hats” and managing this conflict.

As a first step, complete a Conflict-of-Interest Management Plan to disclose and manage your hats.
- Contact: Emily M. Bradford, Ph.D., Office of Sponsored Projects.
UK Innovate has a comprehensive “Wearing Multiple Hats” overview document. Please contact our office at ukinnovate@uky.edu

We support these grant applications in multiple ways:

Put in place non-disclosure agreements to protect confidential information for both parties
Help you manage your relationship with the company
Help manage the University created Intellectual Property (IP)
Provide required letters of support for the small business to submit for the application
Manage and negotiate associated IP agreements (options, licenses, etc.)
Help you navigate the internal grants and contracting process
Provide monthly SBIR Unplugged webinars where you can ask questions, network, and
And more!

Resources and Helpful Links

Department of Defense (DoD): https://www.defensesbirsttr.mil/

National Insititute of Health (NIH) Small business Education and Entrepreneurial Development (“SEED”) Office: https://seed.nih.gov/

National Science Foundation (NSF) Seed Fund: https://seedfund.nsf.gov/

Centers for Disease Control and Prevention (CDC): https://www.cdc.gov/technology-and-innovation/php/small-business-innovation-research/index.html

Department of Energy (DoE): https://www.energy.gov/science/sbir/small-business-innovation-research-and-small-business-technology-transfer

National Aeronautics and Space Administration (NASA): https://www.nasa.gov/sbir_sttr/

Department of Agriculture (USDA): https://www.nifa.usda.gov/grants/programs/sbir-sttr

National Oceanic and Atmospheric Administration (NOAA): https://techpartnerships.noaa.gov/sbir/

National Institutes of Standards and Technology (NIST): https://www.nist.gov/tpo/small-business-innovation-research-program-sbir

Department of Education (ED): https://ies.ed.gov/funding/research/programs/small-business-innovation-research-sbir

Department of Homeland Security (DHS): https://www.dhs.gov/science-and-technology/sbir

Department of Transportation (DoT): https://www.volpe.dot.gov/work-with-us/small-business-innovation-research

Environmental Protection Agency (EPA): https://www.epa.gov/sbir

There are many training and informative resources available through UK Innovate’s Ecosystem pillar. The Ecosystem Team has several valuable training courses that will help you gain information to help strengthen an SBIR/STTR grant application, including Launch Blue’s UAccel-Regional I-Corps Hub: https://www.launchblue.org/uaccel

A federally-funded program for the university research related to UK innovation product development. Dr. Feni Kadakia is UK’s program manager for the REACH3 funding program. The REACH3 funds are specifically designed for product development which include milestone-driven, “killer” experiments but can also be used for consultants and contract research organizations. It is a great way to fund further develop the UK innovation and de-risk it. The program funds the academic research, and the results can be used to general preliminary product development data to strengthen an SBIR/STTR grant application. There are spring and fall cycles of the REACH3 program.

“SBIR Unplugged” takes place via zoom every third (3^rd) Thursday afternoon of each month at 4pm ET: https://sbirunplugged.eventbrite.com/ 

SBIR Unplugged is an SBIR-focused meetup group serving KY-affiliated SBIR/STTR startups. SBIR Unplugged is hosted by Eric Hartman of UK Innovate and Kristine McNiel of KY Innovation at the Kentucky Cabinet for Economic Development.  Kristine McNiel heads the SBIR/STTR matching program for Kentucky (see: https://www.kyinnovation.com/sbir/).

Frequently Asked Questions

Typically, the University subaward packet will include the University budget, budget justification, overview of facilities, resources, and equipment to be used, a letter of support from all University Key Personnel, a letter of support from UK Innovate, a letter of support from OSPA, and Key Personnel biosketches. Some agencies have other requirements so please consult with PDO, CGS, and UK Innovate to ensure all documentation is covered.

SBIR/STTR Program

SBIR Program Overview

STTR Program Overview

SBIR & STTR: What’s Different?

Benefits of These Programs

Engage with UK Innovate to Support your SBIR/STTR Grant Efforts

Internal UK Processes & Resources to Support Faculty Engaging in SBIR/STTR Grants

Establish Confidentiality with UK

Update your Conflict-of-Interest Management Plan

Work with UK Innovate

Resources and Helpful Links

Agency Specific SBIR/STTR Websites & Resources (DOD, HHS/NIH, NSF, DOE, NASA, etc.)

Innovation and Startup Training

KSEF (Kentucky Science & Engineering Foundation)

KYSBIR Network

MidSouth REACH3 Funding Opportunity

“SBIR Unplugged”

Southeast Xlerator Network

Additional Resources

Frequently Asked Questions

As a University subaward, what documentation do I need to provide to the small business?

Can I be the PI on an SBIR grant as a full-time University faculty member?

I’m not sure who to contact to form a company?

Contact us

SBIR/STTR Program

SBIR Program Overview

STTR Program Overview

SBIR & STTR: What’s Different?

Benefits of These Programs

Engage with UK Innovate to Support your SBIR/STTR Grant Efforts

Internal UK Processes & Resources to Support Faculty Engaging in SBIR/STTR Grants

Resources and Helpful Links

Frequently Asked Questions

Contact us

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