Small Business Grant Program

Introduction to the Program

The small business grant program at National Institutes of Health (NIH) is a congressionally mandated set-aside program to encourage research and development leading to commercialization. The program, as established by law, is intended to stimulate a partnership of ideas and technologies in the private sector and strengthen the role of small business in meting Federal research or research and development (R/R&D) needs. The small business program can support innovative ideas from the bench all the way up to a clinical trial.

Program Description

The National Institute of Neurological Disorders and Stroke (NINDS) small business program has two main component programs.

• Small Business Innovation Research (SBIR) Program- A set-aside program, currently 2.5% of the NINDS budget, for small business concerns to engage in federal R/R&D with the potential for commercialization.
• Small Business Technology Transfer (STTR) Program- A set-aside program, currently 0.3% of the NINDS budget, to facilitate cooperative R/R&D with the potential for commercialization between small business concerns and U.S. research institutions.

Both of these component programs are structured in three phases, the first two of which are supported using small business program funds.

• Phase I: feasibility study to establish the technical/scientific merit of the proposed innovative R/R&D efforts.
• Phase II: A full research study that continues the research or R&D efforts initiated in Phase I. Fast-track applications combine both Phases I and II into one application.
• Phase III: The commercialization of the product, which should be pursued with non-STTR/SBIR funds.

The NINDS small business program makes use of the following mechanisms, which correspond to the components above:

• R41: Small Business Technology Transfer (STTR) Grant, Phase I
• R42: Small Business Technology Transfer (STTR) Grant, Phase II and Fast-Track
• R43: Small Business Innovation Research (SBIR) Grant, Phase I
• R44: Small Business Innovation Research (SBIR) Grant, Phase II and Fast-Track
• U44: Cooperative Small Business Awards in Translational Research, Phase II and Fast-Track

Eligibility Requirements

NIH follows the eligibility rules set by the Small Business Association. In order to be eligible for the small business program, a business must have the following characteristics:

• U.S. business organized for profit
• All Research/ Research and Development must be preformed in the U.S.
• At least 51% U.S. owned by individuals and independently operated (e.g. subsidiaries of pharmaceutical companies or companies majority owned by venture capital are not eligible)
• 500 employees or fewer, including affiliates
• For the SBIR program, the principle Investigator’s primary employment (more than 50% commitment) must be with the small business concern at the time of the award and for the duration of the project period.
• For the STTR program, the principle investigator can be employed with the small business or the participating non-profit research institution but must have a formal (minimum 10%) commitment with the small business concern.  For the STTR program, the small business concern will conduct not less than 40% of the work and the, “partnering” research institution will perform not less than 30% of the work.

Note: If you intend to submit an application with human subjects contact one or both of these individuals:

Funding Opportunities

The NINDS accepts a broad range of small business applications that are significant, innovative, and relevant to its mission. Small businesses are invited to apply for NINDS funding through the Omnibus Solicitations (PA-08-050/PA-08-051). In addition, program staff will also solicit applications in specific program areas. Some specific program announcements include:

• PA-06-008/PA-06-009: Bioengineering Nanotechnology Initiative
• PA-06-012/PA-06-013: Manufacturing Processes of Medical, Dental, and Biological Technologies
• PA-06-018:  Development of PET and SPECT Ligands for Brain Imaging
• PA-06-021/PA-06-022: Probes for Microimaging the Nervous System
• PAR-07-160/PAR-07-161: Innovations in Biomedical Computational Science and Technology Initiative
• PA-07-395/PA-07-396: Advanced Tools and Technologies for Deep Brain Stimulation in Movement Disorders
• PA-07-389/PA-07-390: Neurotechnology Research, Development, and Enhancement
• PA-07-451/PA-07-452: New Technology for Proteomics and Glycomics
• PA-08-001/PA-08-002: High Throughput Tools for Brain and Behavior
• PA-08-056:  Competing Renewal Awards of SBIR Phase II Grants for Brain and Behavior Tools
• PA-08-071:  Lab to Marketplace:  Tools for Brain and Behavioral Research
• PA-08-146: Probes and Instrumentation for Monitoring and Manipulating Nervous System Plasticity
• PA-08-190/PA-08-191:  Research Supplements to Promote Diversity in Health-Related Research
• PAR-08-201/ PAR-08-202: Technological Innovations for Interdisciplinary Research Incorporating the Behavioral and Social Sciences
• PAR-08-235: NINDS Cooperative Program in Translational Research-Small Business Awards (SBIR[U44])
• NOT-OD-08-113: NIH Commercialization Assistance Program for SBIR Phase II awardees in the last 5 years.
• NOT-OD-08-100:  NIH Niche Assesment Program for SBIR Phase I awardees in FY2008 and FY2009.
• PAR-09-027: National Institutes of Health Rapid Access to Interventional Development (NIH-RAID) Program (X01)

More details about these opportunities can be found in the NIH Guide for Grants and Contracts. 

Useful Web Sites

Small Business Funding Opportunities
NIH Small Business Home Page
NIH Pipeline to Partnerships (P2P)
NIH SBIR-STTR Funding Opportunities LISTSERV

Questions?

Contact Dr. Randall Stewart NINDS Small Business Program Director rs416y@nih.gov.