SBIR and STTR

The federal Small Business Innovation Research (SBIR) and Small Business Technology Transfer (STTR) programs support the research and development activities of small businesses. Under SBIR and STTR funding mechanisms, small businesses are encouraged to partner with a research university to perform innovative research and/or to assist in technology transfer from the university. Universities may only participate as subcontractors and must negotiate appropriate terms and conditions through their campus, at UC Berkeley through the Industry Alliances Office (IAO).

Although the federal regulations for these programs do not prohibit faculty from being both a principal in the company and the Principal Investigator (PI) for the campus subcontract, California State law and University of California policies restrict such a relationship, requiring stricter guidelines.


COI Disclosure Requirements

Phase I SBIR/STTR

For Phase I of both SBIR and STTR, the PI must complete the State of California Statement of Economic Interests for Principal Investigators (Form 700-U) and submit it with the proposal.

Phase II SBIR/STTR

For Phase II of both SBIR and STTR, the PI must complete the State of California Statement of Economic Interests for Principal Investigators (Form 700-U) and submit it with the proposal.

If the prime sponsor is a PHS agency, the PI and key personnel must additionally follow the PHS Financial Disclosure requirements.

If the prime sponsor is NSF or other federal non-PHS agency, the PI and key personnel must additionally follow the NSF and Other Non-PHS Federal Financial Disclosure requirements.