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University of Colorado Denver

Office of Grants and Contracts
 

Small Business Innovation Research Implementation Policies

Office of Grants and Contracts


NIH Information:

Several federal agencies fund SBIR grants. The most likely federal sponsor for programs in the research areas of interest to the UC Denver is the National Institutes of Health (NIH). Key information on eligibility for and the awards from NIH SBIR programs, is identified below. It is followed by a Question and Answer section which identifies the implementation of the SBIR programs at UC Denver.

Eligibility:

The organization submitting a grant application under the SBIR Program must qualify as a small business in accordance with the definition provided in the SBIR program announcement. Mainly the definition identifies a small business as: a U.S. company which is independently owned and operated and has not more than 500 employees. Please see the announcement for a complete definition.

Research space occupied by an SBIR awardee must be space which is not generally shared with another organization and over which the SBIR awardee has control.

The Principal Investigator (PI) must have primary employment with the small business. Primary employment precludes full time employment at another organization. If the Principal Investigator is currently employed or appears to be employed at another organization, a letter must be provided by each employing organization confirming that the principal investigator, if a SBIR grant is awarded, is or will become a less-than-half-time employee of such organization and will remain so for the duration of the SBIR project.

Awards:

Phase I Grants:

The objective of this phase is to establish the technical merit and feasibility of proposed research or R & D efforts and to determine the quality of performance of the small business grantee organization prior to providing further federal support in Phase II. Direct and indirect costs and fixed fee may normally not exceed $100,000 for NIH. The total amount of all contractual costs and consultant fees to third parties for portions of the scientific/technical effort normally may not exceed 33 percent of the total award.

Phase II Grants:

The objective of this phase is to continue the research or R & D efforts initiated in Phase I. Funding shall be based on the results of Phase I and the scientific and technical merit and commercial potential of the Phase II application. Direct and indirect costs and fixed fee may normally average about $750,000 for NIH. The total amount of all contractual costs and consultant fees to third parties for portions of the scientific/technical effort normally may not exceed 50 percent of the total award.

Frequently Asked Questions for faculty interested in pursuing an SBIR:

 
Can I use University staff and equipment for work related to my SBIR?
Do I need to route my proposal through the University?
Can my small business subcontract with the University?
What disclosures do I have to make to University officials?
Are there conflict of interest rules I should be aware of?
Are there other policies I should be aware of?
What portion of my salary can the University cover?
Can I use the University's name and or my UC Denver title in promotional material for my small business?
What about rights to data, copyrights, and patents?
Do I need to rent my own space?
Who is liable for my products and services?
How are my fringe benefits handled?
Can graduate students be involved with the project?
Where can I get more information?
Who can I call?
University of Colorado Denver

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