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SBIR/STTR

For Phase I of the Small Business Innovation Research (SBIR) (R43) and Small Business Technology Transfer (STTR) (R41) projects, the PI must complete California Form 700-U and submit it with the proposal.  Phase I of both SBIR and STTR programs are exempt from the federal requirements concerning disclosure of financial interests. 

For Phase II of the SBIR (R44) and STTR (R42) projects, the PI must complete California Form 700-U and the federal PI Certification form.  If any “Participant” (a defined term on the federal Disclosure of Financial Interests form) on the grant has a financial interest, then he/she must complete the federal Disclosure of Financial Interests form.  All forms are due with the submission of the proposal.

For detailed information about these two small business programs, please see the Industry Contracts Division's website.