How much money does NIDCR plan to award in SBIR/STTR grants in FY 2007, and how many separate awards does that translate into?
The overall NIH budgets for the SBIR and STTR programs are driven by the enabling legislation, and are set at 2.5% and 0.3%, respectively, of the commitment to extramural research support. NIDCR will fund as many applications of exceptional merit as possible. Since this represents a combination of Phase I and Phase II awards, it is not possible to predict exact numbers because Phase II awards are so much larger, and the individual project budgets vary.
What was the range of scores of successful NIDCR SBIR/STTR applications last year?
Because of the mix of Phase I and Phase II applications, the “pay line” is a rather meaningless term. The percentage of successful applications (see below) conveys more useful information.
What percentage of applicants were funded last year?
Recent data shows that across the Institute’s SBIR and STTR programs, the funding levels have been about 25% of the total applications submitted. This information is available in greater detail on the NIH Office of Extramural Research Award Data web page.
How long will the review process take? How involved is the review? How soon after I submit my application can I start my research?
The grant review process occurs in two stages. Technical merit is judged by a chartered Scientific Review Group (“study section”) which produces priority scores and summary statements sent to the applicant within eight weeks of the review meeting. Thereafter, the National Advisory Dental and Craniofacial Research Council advises the Institute after reviewing the application against a broad background of considerations including relevance, program goals, and the appropriateness of the scientific review, and advises the Institute. Applicants are apprised of their funding status shortly after these Council meetings. The entire process takes about nine months. Check the NIH Office of Extramural Research web page on Submitting Competing SBIR/STTR Grant Applications for more information about the review cycle. You should also review the SBIR/STTR site for other pertinent information that could delay the start date of a project.
Commercialization potential is an important criteria in judging the merit of SBIR/STTR applications. It would be a stretch to envision that some projects would have much profit potential, even though the societal benefits could be substantial. How are such issues seen in the evaluation?
A goal of the SBIR/STTR program is to advance the commercialization of products or services of high scientific merit and societal impact that might be a challenge to private investment channels. Often this is because the initial market for the technology is small, even if the diffusion potential may be large. All things considered, excellent science in the broad national interest “trumps” other considerations. But excellence here includes an important problem than needs a practical solution. So, while all small business proposals must have some commercial potential, broad societal benefit can be a significant factor in the consideration of an application.
Are the funding ceilings real? Some say that these limits are largely ignored by applicants and NIH.
The guidelines for funding limits are: six months and $100,000 for Phase I applications and two years and $750,000 for Phase II applications. These guidelines may be exceeded with the permission of the NIDCR SBIR/STTR Program Director. Decisions are usually based on the nature of what needs to be accomplished within the scope of the work, and areas of technology that are particularly costly (e.g. animal testing, complex engineering, clinical studies). Applicants who do not obtain such a waiver run the risk of having the review committee and/or program staff consider their application unresponsive to the solicitation.
The Omnibus Solicitation is published once a year, so new interests may emerge before there is an update. How does industry keep up to date on the timeliest topics at the NIDCR?
The Omnibus Solicitation offers broad categories of interest. However, NIDCR in general realizes that priorities may evolve as challenges and new frontiers in science emerge. Thus, all applications with potential for improving health, high technical merit, and sound commercial potential are welcomed. Since innovation is prized in the small business program, applicants are encouraged to apply the latest developments to practical ends. It is prudent to fully explain the impact of the newest technologies within the “background” section of the proposal.
Is there any advantage of application to either the SBIR or STTR program?
The choice of funding mechanism should be driven by the science that needs to be done and the most appropriate team available to carry out the research plan. If the pursuit of the research involves largely the parent company with a Principal Investigator on (or available for) the company’s payroll, then the SBIR program is the appropriate course. If the major driver of the project has principal employment at a university or non-profit organization, then the most appropriate mechanism is STTR. The budget allocations and percent effort differ across the programs. Check the NIH SBIR/STTR web site for a more detailed comparison between the programs.