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Small Business Innovation Research (SBIR) and Small Business Technology Transfer Grant (STTR) SOP

Lock icon: This link will not work for public visitors.Some links will work for NIAID staff only.

This standard operating procedure (SOP) includes the following sections: Purpose, Procedure, Contacts, and Links.


To fund small business grants with set-aside funds to support research and development of products or services that improve public health in areas relevant to NIAID.


NIAID awards Small Business Innovation Research (SBIR) and Small Business Technology Transfer (STTR) grants with set-aside funds mandated by Congress.

Recipients of small business awards must meet Small Business Administration requirements. Only for-profit organizations that have a majority ownership by U.S. citizens can apply for small business awards.

Eligible organizations must have fewer than 500 employees and control the laboratory space in which company research will take place. For SBIR awards, an organization must employ the PI at least half-time during the award period.

Applicants must submit SBIR and STTR applications electronically. See the SF 424 Application Guide of your funding opportunity announcement (FOA) for detailed instructions. Also see our How to Apply for SBIR and STTR awards.

NIAID will limit most awards to its established small business caps:

  • For phase I, $225,000 in total costs.
  • For phase II, $1.5 million in total costs.

Applicants who request support for clinical trials must use the application process described in the Investigator-Initiated Clinical Trial Planning and Implementation Awards SOP.

Applicants, Grantees and PIs

Program Officers

  • Encourage applicants to view the Applicant Resources for SBIR and STTR, the All About Grants: Tutorials and Samples, and NIAID's Application portal before preparing their applications. Become familiar with our Narrated Advice Presentations.
  • Advise applicants to include both science and business goals in the application.
  • Discuss with applicants the relevance of their project to NIAID's mission. Identify NIAID resources that may help applicants with their research.
  • Identify additional funding opportunities that might be useful to applicants.
  • If an SBIR applicant wants to use federal facilities or resources, forward his or her waiver request to the appropriate grants management specialist.
  • If an application's budget exceeds the funding caps, follow procedures in the Lock icon: This link will not work for public visitors.Small Business Innovation Research and Small Business Technology Transfer Funding Caps SOP.
  • Advise your division's small business representative on unfunded SBIR and STTR applications that other institutes may fund. Identify other institutes that may be scientifically appropriate for applications. Inform divisional representatives if you have discussed a possible transfer with other institutes.
  • If an applicant or grantee needs further guidance, refer them to their divisional small business representative.

Grants Management Staff

Follow these procedures.

Grants Management Eligibility Team
  • Once the Budget Office issues a release list, review the application and complete the GMP SBIR or STTR Eligibility Checklist.
  • Notify the grants management specialist if the organization is eligible or not and give the specialist the checklist and a print out of the organization's Web page.
  • If you determine that a grant is ineligible, notify the specialist, who will remove the application from NPARS (GMP staff can see GMP's Lock icon: This link will not work for public visitors.CAAP (Council Action & Approval Program) and NPARS (NIAID Planning and Reporting System) SOP for instructions).
Grants Management Specialist

Office of Research Training and Special Programs

  • Advise potential small business applicants.
  • Coordinate small business awards with the NIH SBIR coordinator and divisional small business representatives.
    • Create an Excel spreadsheet listing all NIAID competitive SBIR and STTR applications for the fiscal year with overall impact scores and notes on intent to pay. Send the spreadsheet to divisional small business representatives.
    • Receive recommendations from divisional small business representatives on applications that may be fundable at other institutes. Send recommendations to the NIH Small Business Office Coordinator.
    • Track the funding of competitive small business awards and share data with divisional small business representatives and DEA management.


Divisional Small Business Representatives

Office of Research Training and Special Programs—Natalia Kruchinin

Grants Management Program—Deanna Ingersoll

NIH Small Business Coordinator—Matthew Portnoy

If you have knowledge to share or want more information on this topic, email with this link and your message. Thanks for helping us clarify and expand our knowledge base.


Small Business Awards questions and answers

Small Business Awards portal on the NIAID Funding Web site

SBIR and STTR Comparison Chart

NIH Guide Lock icon: This link will not work for public visitors.Template Instructions for PAs and RFAs

Lock icon: This link will not work for public visitors.Cofunding SOP

Lock icon: This link will not work for public visitors.NIAID Planning and Reporting System (NPARS)

NIAID Planning and Reporting System (NPARS) SOP

NIH Small Business Research Funding Opportunities Web page

Opportunities and Guidelines to Facilitate Scientific Collaborations portal on the NIAID Funding Web site

Lock icon: This link will not work for public visitors.Release of Funds for Solicited, Opportunity Pool, and Career Awards SOP

Lock icon: This link will not work for public visitors.Repooling and Reprogramming SOP

Grants Timeline for Fiscal Year

SBIR Policy Directive Section 9: Responsibilities of SBIR Participating Agencies and Departments

Last Updated November 05, 2013

Last Reviewed April 02, 2012