NIH Guide, Volume 26, Number 39, December 5, 1997


National Institutes of Health

Annual Grant Application Receipt Dates:  April 1, August 1, and December 1

The purpose of this notice is to inform the public that, for purposes of the
Small Business Technology Transfer (STTR) program, the Small Business
Administration (SBA) has clarified the definition of "research institution" to
include "nonprofit medical and surgical hospitals," per se.  Further discussion
of this clarification and the STTR program itself is set forth below.

Innovative technologies and methodologies fuel progress in biomedical and
behavioral research and represent an increasingly important area of the economy. 
The STTR program provides support to small business concerns -- IN COLLABORATION
WITH U.S. RESEARCH INSTITUTIONS -- for research and development (R&D) of new
technologies and methodologies that have the potential to succeed as commercial
products.  In addition to federal R&D centers (government-owned, contractor-
operated facilities, such as Argonne National Laboratory), "research
institutions" are defined as nonprofit institutions "owned and operated
exclusively for scientific or educational purposes."  This phrase had been
interpreted to mean that hospitals NOT owned by educational institutions are NOT
eligible to be the single, partnering research institution in an STTR project. 
The clarification by the SBA encompasses these "stand-alone" nonprofit hospitals
within the definition of research institution, as follows:

"Nonprofit medical and surgical hospitals are eligible to collaborate with small
businesses on STTR projects as these institutions are exclusively engaged in
scientific research and/or the application of scientific principles and
techniques.  Therefore, nonprofit medical and surgical hospitals are eligible to
participate with small business in the STTR program."

The STTR program offers significant funding opportunities to small business
concerns, as well as to scientists at research institutions, INCLUDING COLLEGES
AND UNIVERSITIES.  The applicant organization must be the small business concern. 
At least 40 percent of the project is to be performed by the small business
concern and at least 30 percent of the project is to be performed by the research
institution.  It is estimated that about $16 million of fiscal year 1998 funds
will be set aside by the National Institutes of Health (NIH) to make STTR grant

The STTR program consists of the following three phases:

Phase I:  The objective of this phase is to determine the scientific and
technical merit, feasibility, and potential for commercialization of the project
and the quality of performance, before consideration of further federal support
in Phase II.  Normally, awards do not exceed $100,000 for direct costs, indirect
costs, and negotiated fixed fee for a period normally not to exceed one year. 
(These are guidelines and NOT ceilings.)

Phase II:  The objective of this phase is to continue, in depth, the research
efforts initiated in Phase I.  Funding is based on the results achieved in Phase
I and the scientific and technical merit and commercial potential of the Phase
II application.  Normally, awards do not exceed $500,000 for direct costs,
indirect costs, and negotiated fixed fee for a period normally not to exceed two
years, that is, normally, a two-year project does not cost more than $500,000 for
that project.  (These are guidelines and NOT ceilings.)  A Phase I award must
have been received in order to obtain Phase II funding.

Phase III:  The objective of this phase, where appropriate, is for the small
business concern to pursue, WITH NON-STTR FUNDS, the commercialization of the
results of the research project supported in Phases I and II.

Both Phase I and Phase II applications -- initial and revised -- will be accepted
on the application receipt dates identified above.  However, the NIH will accept
no more than two revised (amended) applications within a time period of two years
from the receipt date of the initial, unamended application.


Eligibility requirements, definitions, submission procedures, review
considerations, application forms and instructions, and other pertinent
solicitation, including  application forms, is available electronically from the
NIH's "Small Business Funding Opportunities" home page at  on the World Wide Web.

A limited number of hard copies of the solicitation for calendar year 1998
receipt dates will be produced.  Subject to availability, they may be obtained

SBIR/STTR Solicitation Office
13687 Baltimore Avenue
Laurel, MD  20707-5096
Telephone:  (301) 206-9385
FAX:  (301) 206-9722

Return to Volume Index

Return to 1997 Index

Return to NIH Guide Main Index

Office of Extramural Research (OER) - Home Page Office of Extramural
Research (OER)
  National Institutes of Health (NIH) - Home Page National Institutes of Health (NIH)
9000 Rockville Pike
Bethesda, Maryland 20892
  Department of Health and Human Services (HHS) - Home Page Department of Health
and Human Services (HHS) - Government Made Easy

Note: For help accessing PDF, RTF, MS Word, Excel, PowerPoint, Audio or Video files, see Help Downloading Files.