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SBIR and STTR Comparison Chart

Related Extramural SOP: Small Business Innovation Research and Small Business Technology Transfer Grants SOP

Requirements SBIR STTR
Application form Electronic grant application package Electronic grant application package
PI requirements 51 percent or greater of the PD/PI’s time is spent in the employ of the small business concern.
 
 
Minimum 10 percent effort on project; total percent effort, including effort at academic institution, cannot exceed 100 percent.
Time

Phase I—normally not to exceed six months
Phase II—normally not to exceed two years

Phase I— normally not to exceed one year
Phase II—normally not to exceed two years

Maximum award (total costs) – can be exceeded with justification Phase I—$225,000
Phase II—$1.5 million
Phase I—$225,000
Phase II—$1.5 million
Subcontracts including consultants Guidelines say not to exceed 33 percent in phase I or 50 percent in phase II. Required subcontract of at least 30 percent to academic partner; total subcontracts (including that with the academic partner) and consultants cannot exceed 60 percent.
Performance site Grant funds must be used entirely in U.S.; part of research must take place in company-controlled research space.* Grant funds must be used entirely in U.S.; part of research must take place in company-controlled research space and part in that of academic partner.*

*For both Phase I and Phase II, the research or R&D project activity must be performed in the U.S.. However, under rare and unique circumstances, for example, if a supply or material or the study design (e.g., patient population) is not available in the U.S., NIH may allow that particular portion of the research or R&D work to be performed or obtained in a foreign country. Investigators must thoroughly justify the use of these sites in the application. These rare and unique situations will be considered on a case-by-case basis and should be discussed with NIH staff before application submission. Approval by the funding officer for such specific condition(s) must be in writing before NIAID issues an award. Whenever possible, non-SBIR/STTR funds should be used for other work outside of the U.S. that is necessary to the overall completion of the project.

Last Updated March 16, 2015

Last Reviewed July 17, 2015