Small Business Technology Transfer (STTR) Program

See active R41/R42 funding opportunities

A set-aside program designed to support innovative research that has the potential for commercialization of the subject research conducted cooperatively by a small business concern and a research institution. Innovation and the potential for commercialization are two important aspects of the review criteria considered in the scientific and technical merit evaluation process. At least 40% of the research project is to be conducted by the small business concern, and at least 30% of the work is to be conducted by the single, partnering research institution.

Phases:

• Phase I (R41): Normally provided for one year/$150,000, which includes direct cost, facilities and administrative cost (F&A/indirect), and fee. The F&A/indirect cost maximum is 40%, if no current negotiated rate.
• Phase II (R42): Normally provided for two years/$1,000,000, which includes direct cost, F&A/indirect cost, and fee. The F&A/indirect cost maximum is 40% or current negotiated rate. The applicant may negotiate with NIH.

A reasonable fee, not to exceed 7% of total costs (direct and indirect) for each Phase (I and II) of the project, can be requested solely to small business concerns receiving awards under the STTR program.

With appropriate justification from the applicant, total funding support (direct costs, indirect costs, and fees) can be requested exceeding the amounts described above, but normally may not exceed the amounts defined by the SBA, which can be found on the NIH SEED website. We encourage applicants to contact the program officials prior to submitting any application in excess of the guidelines.

Applications Due: April 5, September 5, January 5
Additional Information: Office of Extramural Research: Small Business Innovation Research (SBIR) and Small Business Technology (STTR) Programs.

Small Business Innovation Research (SBIR) Program

Active R43/R44 funding opportunities

A set-aside program designed to support innovative research that has the potential for commercialization of the subject research conducted by a small business concern. Innovation and the potential for commercialization are two important aspects of the review criteria considered in the scientific and technical merit evaluation process.

Phases:

• Phase I (R43) is normally provided for six months/$150,000, which includes direct cost, facilities and administrative (F&A/indirect) cost and fee. The F&A/indirect cost maximum is 40%, if there is no current negotiated rate. In Phase I, normally, a minimum of two-thirds or 67% of the research or analytical effort must be carried out by the small business concern. The total amount of all consultant and contractual arrangements to third parties for portions of the scientific and technical effort generally may not exceed 33% of the total amount requested.
• Phase II (R44) is normally two years/$1,000,000, which includes direct cost, F&A/indirect cost and fee. The F&A/indirect cost maximum is 40% or the current negotiated rate. The applicant may negotiate with NIH. In Phase II, normally, a minimum of one-half or 50% of the research or analytical effort must be carried out by the small business concern. The total amount of consultant and contractual arrangements to third parties for portions of the scientific and technical effort generally may not exceed 50% of the total Phase II amount requested.

A reasonable fee, not to exceed 7% of total costs (direct and indirect) for each Phase (I and II) of the project, can be requested solely to small business concerns receiving awards under the SBIR program.

With appropriate justification from the applicant, total funding support (direct costs, indirect costs, and fees) can be requested exceeding the amounts described above, but normally may not exceed the amounts defined by the SBA, which can be found on the NIH SEED website. We encourage applicants to contact the program officials prior to submitting any application in excess of the guidelines.

Contact: Xibin Wang wangx1@mail.nih.gov
Applications Due: April 5, September 5, January 5
Additional Information: Office of Extramural Research: Small Business Innovation Research (SBIR) and Small Business Technology (STTR) Programs

Commercialization Readiness Program

Active SB1 funding opportunities

To support follow-on awards to small businesses for technology development, testing, evaluation, and commercialization assistance for SBIR or STTR Phase II technologies or for awards to small businesses to support the progress of research, research and development, and commercialization conducted under the SBIR or STTR programs to Phase III.

Small Business Innovation Research (SBIR) Cooperative Agreements—Phase II

Active U44 SBIR funding opportunities

To support in-depth development of R&D ideas whose feasibility has been established in Phase I and that are likely to result in commercial products or services (also Fast Track).
Contact: Xibin Wang (SBIR/STTR)