Small Business Innovate Research (SBIR) and Small Business Technology Transfer (STTR)

Wichita State University (WSU) researchers may be interested in participating in the SBIR/STTR program offered by many federal agencies that encourage small business to engage in Federal Research/Research and Development.  In order to apply to the SBIR/STTR program, the applicant organization must be a small business concern (SBC).  As a state educational institution, WSU is not eligible to apply for SBIR/STTR grant funds directly but is eligible to collaborate as a subcontractor and serve as the Research Institution (RI).  Please contact the Office of Research Pre-Award Team at early in the process if you are interested in participating in the SBIR/STTR program.  All proposals that include collaboration with WSU must go through the Office of Research prior to proposal submission.


  Small Business Innovation Research (SBIR) Small Business Technology Transfer (STTR)

Phase I
Feasibility/Proof of Concept

Up to $150,000 for 6 months

Up to $225,000 for 12 months

Phase II

Up to $1,000,000 for 24 months

Up to $1,000,000 for 24 months

Small Business Concern (SBC)

American owned, for profit company that is independently operated and has 500 or fewer employees qualifies as SBC.

In phase I, the SBC must do a minimum of 2/3 of the work and can subcontract 1/3 of the work.  In phase II, the SBC must complete 50% of the work.

In phase I, the SBC must perform at least 40% of the work and the research institution must perform at least 30%.

Small Business Concern (SBC) Principal Investigator/Project Director (PI/PD)

The SBC PI/PD must be primarily employed with the SBC at the time of award and throughout the project period.  WSU employees may not serve as the PI/PD for both the SBC and WSU on the same proposal.

The Principal Investigator/Project Director (PD/PI) may be employed by either the SBC or collaborating Research Institution.  WSU employees may not serve as the PI/PD for both the SBC and WSU on the same proposal.

Research Institution (RI)

The RI may be a non-profit college or university, a domestic non-profit research organization, or a federally funded Research and Development Center.  WSU is eligible to participate as the RI.

Collaboration with a RI is optional.  The RI may only conduct up to 1/3 of the research in Phase I and up to 1/2 in Phase II.

Collaboration with a RI is required.  The RI must conduct at least 30% in Phase I.  The SBC may subcontract out up to 60% of the project.

Research Institution (RI) Principal Investigator/Project Director (PI/PD)/Personnel

Please see WSU Policy 9.23 / Eligibility to Serve as Principal Investigator to see if you are eligible to serve as a PI/PD for WSU.  WSU employees may not serve as the PI/PD for both the SBC and the RI on the same proposal.  No University student, staff member or Visiting Scholar may perform research related to WSU’s portion of the project while serving as an employee or intern of the SBC. 

Conflict of Interest (COI)

When WSU personnel collaborate with a company they, their spouse, domestic partner or dependent children have an ownership stake in, the relationship must be disclosed prior to proposal submission.  In such cases, a COI management plan must be in place prior to acceptance of award to manage any real and/or perceived conflicts of interest.  A final copy of the full proposal submitted by the SBC is required to be submitted to the Office of Research.