NIAID offers two small business programs: Small Business Innovation Research (SBIR) and Small Business Technology Transfer (STTR) programs. On this page, you can learn about:
If you have additional questions about NIAID Small Business Programs, email NIAIDSBIR@mail.nih.gov.
SBIR/STTR Program Structure
Both programs are structured in three Phases. The stated Phase I and Phase II award levels and project periods are statutory guidelines, not ceilings. The budgets of SBIR and STTR applications will be evaluated to assess the appropriateness of the budget to the timeliness of the research goals. Budgets may be reduced on a case-by-case basis as recommended by NIAID reviewers.
The major difference between the SBIR and STTR programs is that STTR requires the small business to formally collaborate with a nonprofit research institution during the first two Phases of the program, with the goal of fostering cooperation and technology transfer between small businesses and research organizations. SBIR does not have this requirement, though it does allow collaboration.
Some other differences described in the NIH small business Eligibility Criteria are related to the role of the principal investigator and subcontractors. Specific eligibility information will be located in Section III of your chosen notice of funding opportunity (NOFO).
Learn more on NIH’s Understanding SBIR and STTR page.
Funding Mechanisms
The SBIR and STTR programs award funding through several mechanisms:
- Approximately 80 percent of NIH SBIR awards are made through grants, whose topics and research are driven by the awardee.
- Additional awards are established through contracts, which are procured based on the sponsor’s (NIAID) needs.
- A cooperative agreement is another form of funding award similar to a grant and includes a high level of involvement from the sponsor.
The table below outlines the differences between SBIR grants and SBIR contracts. The STTR program does not award contracts.
| SBIR Grants | SBIR Contracts | |
|---|---|---|
| Scope of the proposal | Investigator-defined within the mission of NIAID | Defined (narrowly) by NIAID |
| Questions During Solicitation Period | May speak with any program officer | Must contact the contracting officer |
| Receipt Dates | Three times each year for Omnibus | Only once each year |
| Peer Review Site | NIH Center for Scientific Review (CSR) | NIAID Scientific Review Program |
| Basis for Award | Peer review score, program assessment | Peer review score, negotiation of technical deliverables, budget |
| Reporting | One final report (Phase I), annual reports (Phase II) | Kickoff presentation, quarterly progress reports, final report, commercialization plan |
| Set-Aside Funds for Particular Areas | No | Yes |
| Program Staff Involvement | Low | High |
Types of Awards Available
R43/R44 – Small Business Innovation Research (SBIR)
SBIR (R43/R44) is a government-wide program that promotes research and development (R&D) at small businesses. The R&D must be in support of technologies with potential for commercialization.
NIAID funds SBIR (R43/R44) grant applications to program announcements and program announcements with special receipt, referral, and/or review considerations according to NIAID Paylines. Applications that score beyond the payline may be selected for funding (generally in score order) depending on availability of funds.
R41/R42 – Small Business Technology Transfer (STTR)
STTR (R41/R42) is a government-wide grant program that promotes R&D with the potential for commercialization at small businesses. It differs from the SBIR program in requiring a formal collaborative relationship with a university or other nonprofit research institution.
NIAID funds STTR (R41/R42) grant applications to program announcements and program announcements with special receipt, referral, and/or review considerations according to NIAID Paylines. Applications that score beyond the payline may be selected for funding (generally in score order) depending on availability of funds.
SB1 – Commercialization Readiness Pilot (CRP)
The CRP Program offers 1) follow-on grants to small businesses for technology development, testing, evaluation, and commercialization assistance for SBIR or STTR Phase II technologies and 2) awards to small businesses to support the progress of research, R&D, and commercialization conducted under the SBIR or STTR programs to Phase III.
CRP (all activity codes) applications are not funded according to NIAID Paylines. Funding depends on several factors, including technical merit, relative program priority, sufficiency of proposed budget, and available funds.
U44 – Small Business Innovation Research (SBIR) Cooperative Agreement
The SBIR Cooperative Agreement (U44) is an NIAID program that supports clinical testing of products whose feasibility has been established in Phase I and that are likely to result in commercial products or services. Cooperative agreements are similar to grants and permit substantial involvement from NIH program or scientific staff.
SBIR Cooperative Agreement (U44) applications are not funded according to NIAID Paylines. Funding depends on several factors, including technical merit, relative program priority, sufficiency of proposed budget, and available funds.
R&D Contracts – Small Business Innovation Research (SBIR)
NIAID participates in the annual HHS Small Business Innovation Research (SBIR) Contract Solicitation. Small businesses with the capability to conduct R&D in NIAID topic areas described in the solicitation and commercialize the results of that R&D are encouraged to participate. For this and other contract opportunities, go to NIAID Contract Solicitations.
Additional Resources
NIAID offers guidance and advice on the Small Business Grant Application Process. Also check Small Business Sample Grant Applications, SBIR (R43/R44) and STTR (R41/R42), along with sample forms, sharing plans, biographical sketches, and more.
For NIAID-specific information on funding support and research topics, check NIAID’s section of the current SBIR and STTR Grant Applications Program Descriptions and Research Topics document. NIAID received a budgetary guideline waiver from the Small Business Administration (SBA) to exceed the hard cap for a limited list of specific topics.
No funding is available for Phase III of the program. Phase III may involve R&D or production contracts for products, processes, or services intended for use by the U.S. government. NIH’s programs that provide Support for Small Businesses or the Regulatory Affairs Support Program in NIAID’s Division of Microbiology and Infectious Diseases may be helpful for small businesses that reach Phase III.