Small Business Technology Transfer (STTR)
SMALL BUSINESS TECHNOLOGY TRANSFER AWARDS (STTR) R41/R42
The STTR Program requires research partners at universities and other non-profit research institutions to have a formal collaborative relationship with the small business concern. At least 40 percent of the STTR research project is to be conducted by the small business concern and at least 30 percent of the work is to be conducted by the single, "partnering" research institution. The objective of Phase I is to establish the technical merit and feasibility of the proposed R/R&D efforts and to determine the quality of performance of the small business awardee organization prior to providing further Federal support in Phase II.
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NIH GUIDANCE |
PHASE I (1 R41) |
PHASE II (2 R42) |
FAST-TRACK (1 R42) |
|
PURPOSE OF GRANT |
To support high-risk feasibility projects with Research Institution partnership |
To support second phase of high-risk project – with Research Institution partnership |
See Phase I and Phase II –allows concurrent review for both applications, shortens review to award process for Phase II |
|
ELIGIBILITY |
Small, for-profit organizations (40% minimum effort) plus Research Institution partner (30% minimum effort) |
Small, for-profit organizations (40% minimum effort) plus Research Institution partner (30% minimum effort) |
Small, for-profit organizations(40% minimum effort) plus Research Institution partner (30% minimum effort) |
|
EFFORT REQUIRED |
10% minimum for PI |
10% minimum for PI |
10% minimum for PI |
|
PERIOD OF SUPPORT |
SIX MONTHS TO ONE YEAR* |
TWO TO THREE YEARS* |
6 MO TO 2 YEARS – PHASE I* 2 TO 3 YEARS - PHASE II Combination not to exceed four years SEPARATE PROJECT PERIODS FOR EACH PHASE See NIH Manual 54442 |
|
AMOUNT OF SUPPORT |
Normally $100,000 total costs (DC + F&A + fee) |
Normally, $750,000 for project period (DC + F&A + fee) |
Normally. $850,000 for total project (Phase I & II) (DC + F&A + fee) |
|
THIRD PARTY COSTS |
30-60% of Total Costs |
30-60% of Total Costs |
30-60% of Total Costs |
|
FACILITIES AND ADMINISTRATIVE COSTS |
40% maximum if no current negotiated rate. NIH will not negotiate for Phase I |
25% or current negotiated rate; Grantee may negotiate with NIH |
See Phase I/Phase II – same for Fast-track |
|
FIXED FEE |
7% maximum for grantee organization only |
7% maximum for grantee organization only |
7% maximum for grantee organization only |
|
APPLICATION USED |
SF424 (R&R) |
SF424 (R&R) |
SF424 (R&R) |
|
CONCURRENT APPLICATION & AWARDS |
NO |
NO |
NO |
|
JUST -IN-TIME |
ADDITIONAL COSTS |
ADDITIONAL COSTS |
ADDITIONAL COSTS |
|
RESEARCH EXPERIENCE REQUIRED AND /OR ELIGIBLE DEGREE |
NO |
NO |
NO |
|
SALARY RANGE |
NIH SALARY CAP |
NIH SALARY CAP |
NIH SALARY CAP |
|
TRANSFER |
Yes, to other eligible for-profit small business |
Yes, to other eligible for-profit small business |
Yes, to other eligible for-profit small business |
Page last updated: November 25, 2008
