Background
The Small Business Innovation Research (SBIR) and Small Business Technology Transfer (STTR) programs are federal programs for small businesses to engage in research with the potential for commercialization of inventions and intellectual property created under the project. While the SBIR program encourages partnerships with other institutions, the STTR program requires a collaboration through a subaward with a non-profit research institution.
University of Miami faculty frequently participate in these programs and it is not uncommon for the faculty member to be a co-founder or owner of the small business. Additionally, UM intellectual property may be involved in the project. For these reasons, these applications and awards require careful review prior to submission and award setup.
Conflicts of Interest
A conflict of interest exists when the UM faculty member has an interest in the small business and will also participate on the subaward to UM. While Disclosures and Scholarly Activities Management (DSAM) and the Conflict of Interest Committee will complete a full review at time of award, faculty should reach out to DSAM prior to proposal submission to proactively address any significant concerns.
Intellectual Property
The Office of Technology Transfer (OTT) reviews all SBIR/STTR applications to proactively address any intellectual property concerns prior to proposal submission. Additionally, the small business must contact OTT prior to submitting the application if UM intellectual property (IP) will be involved in the project to discuss the availability of the IP and whether or not an option or license is needed.
Reminders and Best Practices
- Applications must be routed to Research Administration a minimum of 5 business days prior to the deadline. This additional time is required as OTT reviews all applications prior to submission. Applications not submitted timely will not be submitted. The next NIH SBIR/STTR deadline is April 5th, so applications must be routed to Research Administration no later than Wednesday, March 29th.
- If a faculty member will serve as the PI at the small business with an SBIR award, they must either take a sabbatical, reduce their appointment or resign from UM.
- The PI at the small business and at UM (as PI of the subaward) cannot be the same person.
- All financial interests must be disclosed and managed prior to the initiation of the project.
- Intellectual concerns, terms and agreements must be resolved prior to initiation of the project.
Resources
SBIR/STTR Policy
Application Deadline Policy
FAQs
Conflict of Interest, Conflict of Commitment, Foreign Influence, and Institutional Conflict of Interest Policy
Please join me on Thursday, March 16th at 12:00 p.m. to discuss this topic further, I would love to hear from you!
Register in advance for the Zoom session here. You may also submit your question(s) and/or comment(s) in advance of the session.
