Small Business Innovation Research

Small Business Technology Transfer

A set aside program for small business to engage in Federal R&D-with potential for commercialization.

A set aside program to facilitate cooperative R&D between small business concerns and U.S. research institutions-with potential for commercialization.

Program Eligibility and Requirements

1. Organized for profit, with a place of business located in the United States.
2. At least 51 percent owned and controlled by one or more individuals who are citizens of, or permanent resident aliens in, the United States.
3. No more than 500 employees, including affiliates.
4. PI’s primary employment must be with the small business (not a University) at the time of the award through completion. As of the revised Policy Directive, prospectively, SBA clarifies that when an SBC partners with research institutions that are performing less than 30% of the work, the principal investigator must be primarily employed by the SBC or the single research institution performing at least 30% of the work.
5. A minimum of two-thirds (66%) of the research work must be performed by the Small Business Concern (SBC) in Phase I, and one-half (50%) in Phase II. As of the revised Policy Directive, prospectively, small businesses may partner with more than one research institution, so long as at least 30% of the work is performed by a single research institution.
6. SBC partnership with a research institution is permitted (encouraged even), but is not required.

Program Eligibility and Requirements

1. Organized for profit, with a place of business located in the United States.
2. At least 51 percent owned and controlled by one or more individuals who are citizens of, or permanent resident aliens in, the United States.
3. No more than 500 employees, including affiliates.
4. The Principal Investigator does not have to be primarily employed by the SBC. As of the revised Policy Directive, prospectively, SBA clarifies that when an SBC partners with research institutions that are performing less than 30% of the work, the principal investigator must be primarily employed by the SBC or the single research institution performing at least 30% of the work.
5. Formal cooperative research and development effort has minimum percent breakouts (minimum 40% by small business, 30% by US research institution). As of the revised Policy Directive, prospectively, small businesses may partner with more than one research institution, so long as at least 30% of the work is performed by a single research institution.
6. US research institution can be a College or university; Other non-profit research organization; Federal research and development center
7. The SBC and partnering research institution are required to establish an intellectual property agreement detailing the allocation of intellectual property rights and rights to carry out follow up research, development or commercialization of activities. UTA form agreement found here.