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SBIR/STTR funding is administered through the UNC Office of Sponsored Research. Please review the procedural guidelines and forms prior to submitting a proposal.

Click on a scenario to expand.

  • Company must carry out 2/3 of work for phase I, 1/2 of work for phase II
  • UNC may carry out up to 1/3 of work for phase I, up to 1/2 of work for phase II
  • UNC waives overhead for phase I subawards
  • Company must provide a copy of the full prime proposal to UNC with grant submission or no later than time of award
  • IP of all UNC employees is assigned to UNC with option for company to license IP arising from subaward
  • Company CANNOT directly utilize UNC internal resources, facility use agreements not available
  • Company CAN utilize UNC service centers that offer external services only at standard commercial rates
  • Restrictions apply to private engagement of UNC employees or students outside of SBIR subaward, verify that individuals have met all compliance guidelines before engaging them as consultants or employees

  • Company must collaborate with a research institution
  • Company must carry out 40% of the work
  • UNC may carry out at least 30% of the work
  • UNC waives overhead for phase I subawards
  • Company must provide a copy of the full prime proposal to UNC with grant submission or no later than time of award
  • IP of all UNC employees is assigned to UNC with option for company to license IP arising from subaward
  • Company CANNOT directly utilize UNC internal resources, facility use agreements not available
  • Company CAN utilize UNC service centers that offer external services only at standard commercial rates
  • Restrictions apply to private engagement of UNC employees or students outside of STTR subaward, verify that individuals have met all compliance guidelines before engaging them as consultants or employees

  • Company must carry out 2/3 of work for phase I, 1/2 of work for phase II
  • UNC may carry out up to 1/3 of work for phase I, up to 1/2 of work for phase II
  • UNC waives overhead for phase I subawards
  • Overall PI must be >50% employed by company (no UNC employees unless they are <50% FTE at UNC)
  • Company must provide a copy of the full prime proposal to UNC with grant submission or no later than time of award
  • IP of all UNC employees is assigned to UNC with option for company to license IP arising from subaward
  • Company
    • CANNOT directly utilize UNC internal resources except where authorized in a UNC facility use agreement (not all resources are accessible even under a facility use agreement)
    • CANNOT use a UNC address for grant proposals, advertising, corporate, or agency registrations even with facility use agreement in place
    • CAN utilize UNC service centers offering external services only at standard commercial rates
  • UNC employee or family member with company relationship and/or serving as UNC PI
    • CANNOT be the company administrative official or contact with the SBIR funding agency
  • UNC employee or family member
    • CANNOT be company signatory or representative for facility use agreement
    • CANNOT be company signatory or representative for UNC subaward
  • Restrictions apply to private engagement of UNC employees or students – see UNC investigator SBIR/STTR guidance and verify that individuals have met all compliance guidelines before engaging them as consultants or employees

  • Company must collaborate with a research institution
  • Company must carry out 40% of the work
  • UNC may carry out at least 30% of the work
  • UNC waives overhead for phase I subawards
  • Company must provide a copy of the full prime proposal to UNC with grant submission or no later than time of award
  • Overall PI may be UNC employee
    • UNC PI must have effort and activity in the UNC subaward budget/SOW dedicated to overall scientific management of the grant
    • CANNOT pay for this directly from company budget
    • Company employee must serve as company administrative official or contact with the SBIR funding agency
  • IP of all UNC employees is assigned to UNC with option for company to license IP arising from subaward
  • Company
    • CANNOT directly utilize UNC internal resources except where authorized in a UNC facility use agreement (not all resources are accessible even under a facility use agreement)
    • CANNOT use a UNC address for grant proposals, advertising, corporate, or agency registrations even with facility use agreement in place
    • CAN utilize UNC service centers offering external services only at standard commercial rates
  • UNC employee or family member with company relationship and/or serving as UNC PI
    • CANNOT be the company administrative official or contact with the SBIR funding agency
  • UNC employee or family member
    • CANNOT be company signatory or representative for facility use agreement
    • CANNOT be company signatory or representative for UNC subaward
  • Restrictions apply to private engagement of UNC employees or students – see UNC investigator SBIR/STTR guidance and verify that individuals have met all compliance guidelines before engaging them as consultants or employees
  • Example budget justification where UNC employee serves as overall PI:
    UNC PI leads design and execution of the overall scientific work, coordinates with overall collaborators and consultants with respect to scientific matters for the overall grant.
    As the UNC PI, engages with company administrator on subaward administrative and budgetary matters, submits scientific reports to the company administrator.
    Company administrator is contact person and signing official for communications with funding agency for all administrative matters, responsible for submitting all reports to the funding agency, coordinates with collaborators and consultants with respect to administrative and budgetary matters