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Standard Operating Procedure Table of Contents
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Purpose
To fund small
business grants with set-aside funds
to support research and development of products or services that improve
public health in areas relevant to NIAID.
Procedure
NIAID awards Small Business Innovation Research (SBIR) and Small Business Technology Transfer (STTR) grants with set-aside funds mandated by Congress.
Recipients of small business awards must meet Small Business Administration requirements. Only for-profit organizations that have a majority ownership by U.S. citizens can apply for small business awards.
Eligible organizations must have fewer than 500 employees and control the laboratory space in which company research will take place. For SBIR awards, an organization must employ the PI at least half-time during the award period.
Applicants must submit SBIR and STTR applications electronically. See the Grant Application Guide of your funding opportunity announcement (FOA) for detailed instructions. Also see our Narrated Advice Presentations for SBIR and STTR.
NIAID will limit most awards to its established small business caps:
- For phase I, $300,000 a year in total costs for up to two years.
- For phase II, $1 million a year in total costs for up to three years.
Applicants that request support for clinical trials must use the application process described in the Investigator-Initiated Clinical Trial Planning and Implementation Grants SOP.
Grantees and PIs
- See the NIH Funding Opportunities Relevant to NIAID to identify the funding opportunities in which NIAID participates.
- Although some FOAs allow Small Business Innovation Research Fast Track applications, NIAID Fast Track Applications rarely receive a fundable score. Contact the Office of Innovation and Special Programs for advice on writing a Fast Track proposal.
- Read a FOA's recommendations on budget and length of award. See the NIAID Small Business High-Priority Areas of Interest.
- Submit your SBIR or STTR application through Grants.gov. Scroll through the SBIR parent announcement or STTR parent announcement and select the button that says "Apply for Grant Electronically."
- If you plan to request more than $300,000 a year in total costs for a phase I grant or $1 million a year for a phase II grant, contact the Office of Innovation and Special Programs director.
- If you're submitting a phase II, a phase II renewal, or an SBIR Fast Track application, respond to the additional review criteria listed in the Application Review Information section of NIH's SBIR and STTR Omnibus Solicitation.
- If you receive a just-in-time notification, submit the information listed in the Sample SBIR and STTR Just-in-Time Correspondence.
- Visit Contact Staff for Help for our list of scientific
programs and contacts by organization, to identify
collaborators and discuss the science in your proposal. Select the program person whose science area is closest to
yours, and call for science advice.
- If your research involves the use of federal facilities or personnel, contact the Office of Innovation and Special Programs to discuss requirements for a collaboration with federal facilities.
- Submit progress reports and final reports. See Section VI of PHS 2590 Instructions and Section 5.4 of SBIR/STTR Application Guide SF 424 (R&R).
- If you are a FY 2008 or 2009 SBIR Phase I awardee, you are eligible to participate in a Niche Assessment Program. Foresight Science and Technology assesses potential uses of technology in your grant and then provides a Technology Niche Analysis report, which may help you prepare the commercialization plan required in an SBIR Phase II application. For details, see the August 6, 2008, Guide notice.
Program Officers
- Encourage PI applicants to view the Narrated Advice Presentations for SBIR and STTR, the All
About Grants Tutorials, and NIAID's Grant Application portal before preparing their applications. Become familiar with our Narrated Advice Presentations.
- Advise applicants to include both science and business goals in the
application.
- Discuss with applicants the relevance of their project to NIAID's mission. Identify NIAID resources that may help applicants with their research.
- Identify additional funding opportunities that might be useful to applicants.
- If an SBIR applicant wants to use federal facilities or resources,
forward his or her waiver request to the appropriate grants management specialist.
- If an application's budget exceeds the funding caps, follow procedures in the Small Business Innovation Research and Small Business Technology Transfer Funding Caps SOP.
- Advise your division's small business representative on unfunded SBIR and STTR applications that other institutes may fund. Identify other institutes that may be scientifically appropriate for applications. Inform divisional representatives if you have discussed a possible transfer with other institutes.
- If an applicant or grantee needs further guidance, refer them to their divisional small business representative.
Grants Management Staff
Grants Management Eligibility Team
- Once the Budget Office issues a release list, review the application and complete the GMP SBIR/STTR Eligibility Checklist.
- Notify the grants management specialist if the organization is eligible or not and give the specialist the checklist and a print out of the organization's Web page.
- If you determine that a grant is ineligible, notify the specialist, who will remove the application from NPARS (see GMP's CAAP (Council Action & Approval Program) and NPARS (NIAID Planning and Reporting System) SOP for instructions).
Grants Management Specialist
Office of Innovation and Special Programs
- Advise potential small business applicants.
- Coordinate small business awards with the NIH SBIR coordinator and divisional small business representatives.
- Create an Excel spreadsheet listing all NIAID competitive SBIR and STTR applications for the fiscal year with priority scores and notes on intent to pay. Send the spreadsheet to divisional small business representatives.
- Receive recommendations from divisional small business representatives on applications that may be fundable at other institutes. Send recommendations to the NIH Small Business Office Coordinator.
- Track the funding of competitive small business awards and share data with divisional small business representatives and DEA management.
Contacts
Divisional Small Business Representatives
Office of Innovation and Special Programs -- Gregory Milman, gm16s@nih.gov,
301/496-8666
Grants Management Program -- Michael Wright -- mw406g@nih.gov, 301/451-2688
NIH Small Business Coordinator -- Jo Anne Goodnight -- jg128w@nih.gov, 301/435-2688
If you have knowledge to share or want more information on this topic, email deaweb@niaid.nih.gov with this link and your message. Thanks for helping us clarify and expand our knowledge base.
Links
424
Template files for PAs and RFAs
Cofunding SOP
Model SBIR Phase II Application and Summary Statement
NIH SBIR and
STTR Web page
Release of Funds for Solicited, Opportunity Pool, and Career Awards SOP
Repooling and Reprogramming SOP
Small Business Awards questions and answers
Small Business
Web page on the NIAID Funding Web site
SBIR Policy Directive Section 9: Responsibilities of SBIR Participating Agencies and Departments
SBIR and STTR Comparison Chart
Submission
Guidelines and Templates for Publications in the NIH Guide for Grants
and Contracts |