SMALL BUSINESS INNOVATION RESEARCH PROGRAM

Release Date:  August 11, 2000

NOTICE:  OD-00-047

National Institutes of Health
Centers for Disease Control and Prevention

Contract Proposal Receipt Date:  November 3, 2000

Innovative technologies and methodologies fuel progress in biomedical and 
behavioral research and represent an increasingly important area of the 
economy.  The Small Business Innovation Research (SBIR) program provides 
support for research and development (R&D) of new or improved technologies and 
methodologies that have the potential to succeed as commercial products. 

The purpose of this notice is to (1) announce the issuance of the SOLICITATION 
OF THE PUBLIC HEALTH SERVICE FOR SMALL BUSINESS INNOVATION RESEARCH CONTRACT 
PROPOSALS (PHS 2001-1) with a due date of NOVEMBER 3, 2000 for receipt of SBIR 
CONTRACT proposals; and (2) inform the public about the opportunities that the 
SBIR program offers to small business concerns as well as to scientists at 
research institutions.  The SBIR legislation requires the Public Health 
Service (PHS), Department of Health and Human Services, and certain other 
federal agencies to reserve 2.5 percent of their extramural research or R&D 
budgets for an SBIR program.  The PHS SBIR set-aside requirement for FY 2001 
is estimated to be $370 million.

The offeror organization must be a small business concern, and the PRIMARY 
EMPLOYMENT of the principal investigator MUST be with the small business 
concern at the time of award and during the conduct of the proposed project.  
In accord with the intent of the SBIR program to increase private sector 
commercialization of innovations derived from federal R&D, scientists at 
research institutions can play an important role in an SBIR project by serving 
as consultants and/or subcontractors to the small business concern.  
Generally, one-third of the Phase I budget may be spent on consultant and/or 
subcontractual costs, and, generally, one-half of the Phase II budget may be 
spent on such costs.  In this manner, a small business concern with limited 
expertise and/or research facilities may benefit from teaming with a 
scientist(s) at a research institution; for the scientist(s) at a research 
institution, this team effort provides support for R&D not otherwise obtained.

The SBIR program consists of the following three phases:

PHASE I: The objective of this phase is to determine the scientific and 
technical merit and feasibility and potential for commercialization of the 
proposed research or R&D efforts and the quality of performance of the small 
business concern, before consideration of further federal support in Phase II. 
Generally, Phase I SBIR awards do not exceed $100,000 for direct costs, 
indirect costs, and negotiated fixed fee for a period generally not to exceed 
six months.

PHASE II: The objective of this phase is to continue the research or R&D 
efforts initiated in Phase I.  Funding shall be based on the results of Phase 
I and the scientific and technical merit and commercial potential of the Phase 
II proposal.  Only Phase I contractors are eligible to apply for Phase II 
funding, and Phase II proposals may be submitted upon the request of the 
Contracting Officer ONLY.  (However, see “Fast-Track” Initiative below.) 
Generally, Phase II awards do not exceed $750,000 for direct costs, indirect 
costs, and negotiated fixed fee for a period generally not to exceed two 
years.  That is, generally, a two-year Phase II project does not cost more 
than $750,000 for that project.  Only one Phase II award may be made for any 
SBIR project.

PHASE III: The objective of this phase, where appropriate, is for the small 
business concern to pursue, with non-SBIR funds, the commercialization of the 
results of the research or R&D funded in Phases I and II.

“FAST-TRACK” INITIATIVE: (Applicable only to proposals submitted to the 
National Institutes of Health [NIH] and only if an awarding component 
indicates it is accepting Fast Track proposals for a particular topic.)

The “Fast-Track” initiative is a parallel review option available to those 
small business concerns (offeror organizations) whose proposals satisfy 
additional criteria that enhance the probability of the project's commercial 
success. The Fast-Track initiative offers two major advantages: 1) an 
opportunity for small business concerns to submit both a Phase I and Phase II 
proposal for concurrent review, and 2) the potential to minimize any funding 
gap between Phase I and Phase II.  Proposals must be prepared in accordance 
with Phase I and Phase II proposal preparation instructions.

Following are the research topics contained in the SOLICITATION OF THE PUBLIC 
HEALTH SERVICE FOR SMALL BUSINESS INNOVATION RESEARCH CONTRACT PROPOSALS (PHS 
2001-1) for the contract proposal RECEIPT DATE of NOVEMBER 3, 2000:

NATIONAL INSTITUTES OF HEALTH 

National Institute on Alcohol Abuse and Alcoholism (NIAAA)

o Search of Human Heart Genes Differentially Expressed Following Moderate 
Alcohol Consumption/Exposure (DBR)

National Cancer Institute (NCI)

o Isolation of Natural Products Using Super Critical Fluid Technology

National Institute of Child Health and Human Development (NICHD)

o Development of A Web-Based Resource of Rehabilitation Engineering Solutions

National Institute of Diabetes and Digestive and Kidney Diseases (NIDDK)

o Assays for Identification of High Risk Individuals for the Development of 
Insulin Dependent Diabetes (IDDM) 

o Transplantation of Human Islets or Beta Cells 

o Improved Methods for Production of Clinical Gene Therapy Vectors for 
Diseases of Interest to NIDDK 

o New Noninvasive Body Iron Test

o Mechanical Approaches to Achieving Euglycemia

o Measurement of Pancreatic Beta-Cell Mass or Inflammation in the Diabetic 
Patient

o Generation of cDNA Libraries from Hematopoietic Lineages

o Development of Arrayed Libraries and Bio-informatics for Use in cDNA 
Microarrays

o mRNA/cDNA Standard for Microarray Experiments

o Detection and assessment of urologic and renal diseases

o Minimally invasive evaluation of urolithiasis

o Methods To Enhance Procurement and Rapid Utilization of Human Pancreata for 
Islet Isolation and/or Transplantation

o Prospective identification and purification of stem/progenitor cells from 
the pancreas

National Institute on Drug Abuse (NIDA)

o Drug Supply Services Support 

o Chemical Libraries for Drug Development 

o Prevention Training

o Development Of Science Education Materials Or Programs

o Medicinal Chemistry – Design and Synthesis of Treatment Agents for Drug 
Abuse

o High Performance Chemistry – Directed Analog Synthesis

o Dosage Form Development

o Develop Drug Abuse Screening/Assessment and Intervention for Youth for 
Primary Care/Managed Care Providers

o Develop New Technologies for Drug Abuse Prevention Delivery:  Translation 
of Empirically Validated Prevention Strategies and Programs into New 
Technologies

o Instrument Development for Assessing Community Factors that Affect Drug Use 
Consequences

o Develop Methods for Gathering Data and Completing Social Network Analysis 
in Drug Abuse Prevention

o Novel Drug Delivery System for the Mouse

o High-throughput screening of functional activity of proteins using 
biosensor-based technology

o Methods for detecting chemically induced mutations in mouse embryonic stem 
cells

o Fluorescent Probes

National Institute of Environmental Health Sciences (NIEHS)

o Development of Genetically-altered rodent models for toxicity and 
carcinogenicity studies

o Development of Surrogate biomarkers for safety evaluation of chemicals
           
o Development of Alternatives to Animals for Toxicity Testing
	
o Mouse Model for Prostate Cancer

o Three-Dimensional Atlas of Mouse Anatomy/Pathology
 	
o Development of a Database of Genetic Alterations from Environmental 
Chemicals

o Development of a Loss of Heterozygocity Assay for Determining the Mutagenic 
Basis for Tumor Induction.

National Institute of Mental Health (NIMH)

o Development of New Dissemination Tools for the Delivery of Empirically-
Based Psychosocial Interventions

o Development of a Web Site on Resources for Suicide Prevention

o Multimedia Assessment and Remediation for Informed Consent

o New Methods for Rating Patients, Training Raters, and Assessing Reliability

o Electronic Source Documents

National Institute of Neurological Disorders and Stroke (NINDS)

o NIRS Device Development for Cerebral Monitoring in the Infant and Child

o Development of Systems to Express Functional Eukaryotic Membrane Proteins 
For Crystallization

o Development of Pain Model Systems and Assessment Tools

CENTERS FOR DISEASE CONTROL AND PREVENTION (CDC)

National Center for Chronic Disease Prevention and Health Promotion (NCCDPHP)

o Family-Based Detection of Hemochromatosis 
 
National Immunization Program (NIP) 

o Technologies to Overcome the Drawbacks of Needles and Syringes

o Operations Research for Expanded Vaccine Selection Algorithm

INQUIRIES

Eligibility requirements, definitions, submission procedures, review 
considerations, contract proposal forms and instructions, and other pertinent 
information, including the “Fast-Track” Initiative, are contained in the 
SOLICITATION OF THE PUBLIC HEALTH SERVICE FOR SMALL BUSINESS INNOVATION 
RESEARCH CONTRACT PROPOSALS (PHS 2001-1) for the proposal receipt date of 
November 3, 2000. The PHS SBIR Contract Solicitation PHS 2001-1, including 
proposal forms, is available electronically through the National Institutes of 
Health’s “Small Business Funding Opportunities” home page at 
http://grants.nih.gov/grants/funding/sbir.htm on the World Wide Web. 

Note: The SBIR Phase I Contract Solicitation will only be available via 
electronic means. Printed copies of the solicitation will not be distributed. 
 Potential proposers are encouraged to check the NIH SBIR/STTR home page for 
updates on the program. Any updates or corrections to the solicitation will be 
posted there.

Those interested in the PHS SBIR/STTR GRANT program may access electronically 
(http://grants.nih.gov/grants/funding/sbir.htm) the OMNIBUS SOLICITATION OF 
THE PUBLIC HEALTH SERVICE FOR SMALL BUSINESS INNOVATION RESEARCH (SBIR) and 
SMALL BUSINESS TECHNOLOGY TRANSFER (STTR) GRANT APPLICATIONS (PHS 2000-2) for 
the calendar year 2000 grant application receipt dates of April 1, August 1, 
and December 1 (same dates each year). 


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