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R41/R42

​Small Business Technology Transfer Grant (STTR)

The Small Business Technology Transfer Awards (STTR) (R41/R42) Program requires research partners at universities and other nonprofit research institutions to have a formal collaborative relationship with the small business concern (SBC).  At least 40 percent of the STTR research project is to be conducted by the SBC, and at least 30 percent of the work is to be conducted by the single "partnering" research institution.  The objective of Phase I is to establish the technical merit and feasibility of the proposed Research/Research & Development efforts and to determine the quality of performance of the small business awardee organization prior to providing further Federal support in Phase II.
 
All applications are peer reviewed by knowledgeable scientists in the relevant field of research.
 
NIH Guidance​ ​PHASE I (1 R41) ​PHASE II (2 R42) ​FAST-TRACK (1 R42)
​PURPOSE OF GRANT To support high-risk feasibility projects with research institution partnership To support second phase of high-risk project – with research institution partnership​

See Phase I and Phase II –allows concurrent review for both applications, shortens review to award process for Phase II

​ELIGIBILITY Small, for-profit organizations (40% minimum effort) plus research institution partner (30% minimum effort) Small, for-profit organizations (40% minimum effort) plus research institution partner (30% minimum effort)​ See Phase I/Phase II – same for Fast-track
​EFFORT REQUIRED 10% minimum for PI 10% minimum for PI​ 10% minimum for PI​
PERIOD OF SUPPORT​ 6 months to 1 year​ 2-3 years 6 months to 2 years - Phase I 2-3 years. Phase II combination not to exceed 4 years. SEPARATE PROJECT PERIODS FOR EACH PHASE See NIH Manual 54442​
AMOUNT OF SUPPORT​ Normally $150,000 total costs (DC F&A fee). Normally $1,000,000 for project period (DC F&A fee)​ Normally $1,150,000 for total project (Phase I & II) (DC F&A fee)​
​THIRD PARTY COSTS 30-60% of total costs​ 30-60% of total costs​ See Phase I/Phase II – same for Fast-track
FACILITIES AND ADMINISTRATIVE COSTS​ 40% maximum if no current negotiated rate. NIH will not negotiate for Phase I​ 40% max. or current negotiated rate; Grantee may negotiate with NIH​ See Phase I/Phase II – same for Fast-track​
FIXED FEE​ 7% maximum for grantee organization only 7% maximum for grantee organization only​ See Phase I/Phase II – same for Fast-track​
APPLICATION USED​ SF424 (R&R)​ SF424 (R&R)​ SF424 (R&R)
CONCURRENT APPLICATION & AWARDS​ No No​ No​
JUST-IN-TIME​ Additional Costs​ Additional Costs​ Additional Costs​
RESEARCH EXPERIENCE REQUIRED AND/OR ELIGIBLE DEGREE​ No​ No​ No​
SALARY RANGE​ NIH Salary Cap​ ​NIH Salary Cap NIH Salary Cap​
TRANSFER​​ Yes, to other eligible for-profit small business​ Yes, to other eligible for-profit small business Yes, to other eligible for-profit small business​
 

How to Apply

Eligible Institutions/Organizations:

Only United States small business concerns (SBCs) are eligible to submit SBIR applications.  An SBC is one that, on the date of award for both Phase I and Phase II funding agreements, meets all of the criteria as described in the current SBIR or STTR parent funding opportunity announcement available from the NIH Small Business Funding Opportunities website. 

Eligible Project Directors/Principal Investigators:

Individuals with the skills, knowledge, and resources necessary to carry out the proposed research are invited to work with their SBC to develop an application for support.  Individuals from underrepresented racial and ethnic groups, as well as individuals with disabilities, are always encouraged to apply for SBIR support.  On an SBIR application, the PD/PI must have his/her primary employment (more than 50%) with the SBC at the time of award and for the duration of the project.  Under the STTR Program, primary employment is not stipulated; on an STTR application, the PD/PI may be employed with the SBC or the participating nonprofit research institution as long as he/she has a formal appointment with or commitment to the applicant SBC, which is characterized by an official relationship between the SBC and that individual.
 
**The Phase I budget CAP is $225,000; applications with budgets over this amount will not be considered.  For Phase II applications, a commercialization plan is required, and duration (usually 2 years) and budget (up to $1,000,000) are increased.  The Phase II budget CAP is $1,500,000; applications with budgets over this amount will not be considered. 
 
Effective October, 2013, many of the Congressional Reauthorization mandates go into effect including:  Award-size CAPs, new/additional registration requirements prior to submission, commercialization benchmarks, and company Certification on fraud, waste and abuse.  More changes will be implemented in 2014.

Deadlines for Application

  • April 5
  • August 5
  • December 5
Effective January 2011- the 2-day Error Correction Window has been ELIMINATED- see NOT-OD-10-123.  Your SBIR/STTR applications must be submitted and error free by 5PM your local time on all receipt dates.  Submit early to ensure receipt by NIH, as staff CANNOT amend the NIH rules!
 
View R41/R42 and other Small Business funding opportunities.​​​
 

 Quick Facts

 

Grant Title
R41/R42 Small Business Technology Transfer Grant (STTR)

Application Deadlines

  • April 5
  • August 5
  • December 5