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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

  • See the NIAID Funding Opportunities List to identify the funding opportunities in which NIAID participates.
  • Although some FOAs allow Small Business Innovation Research Fast Track applications, NIAID Fast Track applications rarely receive a fundable score. Contact the Office of Research Training and Special Programs for advice on writing a Fast Track proposal.
  • Read a FOA's recommendations on budget and length of award. See the NIAID Small Business High-Priority Areas of Interest.
  • Submit your SBIR or STTR application through by scrolling down the SBIR funding opportunity announcement or the STTR funding opportunity announcement and selecting the button that says "Apply for Grants Electronically."
  • If you plan to request more than $300,000 a year in total costs for a phase I grant or $1 million a year for a phase II grant, contact the Office of Research Training and Special Programs director.
  • If you're submitting a phase II, a phase II renewal, or an SBIR Fast Track application, respond to the additional review criteria listed in the Application Review Information section of NIH's SBIR and STTR Omnibus Solicitation.
  • If you receive a just-in-time notification, submit the information listed in the notice, including an SBIR or STTR Funding Agreement Certification before an award.
  • Visit Communicating With NIAID—How to Get Help for our list of scientific programs and contacts by organization, to identify collaborators and discuss the science in your proposal. Select the program person whose science area is closest to yours, and call for science advice.
  • If your research involves the use of federal facilities or personnel, contact the Office of Research Training and Special Programs to discuss requirements for a collaboration with federal facilities.
  • Submit progress reports and final reports.
  • Submit an SBIR or STTR Life Cycle Certification once you reach certain milestones during your project period. See the“SBIR and STTR Grants” section on NIH Forms & Applications.
  • If your company is going to experience a name change, merger, or successor-in-interest, you must give NIH advance notice. Contact Mary Kirker, director of our Grants Management Program.

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

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 October 29, 2014

Last Reviewed April 02, 2012