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R43/R44

​Small Business Innovation Research Grant (SBIR)

The Small Business Innovation Research Awards (SBIR) (R43/R44) Program exists to stimulate technological innovation, strengthen the role of small business in meeting Federal R/R&D needs, increase private-sector commercialization of innovations developed through SBIR R&D, and increase small business participation in R/R&D.  The objective of Phase I is to establish the technical merit and feasibility of the proposed R/R&D 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 R43)​ PHASE II (2 R44)​ FAST-TRACK (1 R44)​
PURPOSE OF GRANT To support high-risk feasibility projects To support second phase of high-risk project See Phase I and Phase II –allows concurrent review for both, shortens review to award process​
ELIGIBILITY Small, for-profit organizations (67% minimum effort) Small, for-profit organizations (67% minimum effort)​ Small, for-profit organizations (67% minimum effort)
EFFORT REQUIRED PI employed > 51% with grantee organization PI employed > 51% with grantee organization​ PI employed > 51% with grantee organization
PERIOD OF SUPPORT 6 MONTHS TO 1 YEAR 2 TO 3 YEARS​ 6 MO TO 1 YEAR – PHASE I 2 TO 3 YEARS - PHASE II Combination not to exceed four years SEPARATE PROJECT PERIODS FOR EACH PHASE See NIH Manual 4442
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 + Phase II) (DC + F&A + fee)​
THIRD PARTY COSTS​ 33% OF TOTAL COSTS​ 50% OF TOTAL COSTS​ SAME AS PHASE I AND II​
FACILITIES AND ADMINISTRATIVE COSTS 40% maximum if no current negotiated rate; NIH will not negotiate for Phase I 40% 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​ 7% maximum for grantee organization only
APPLICATION USED​ SF424 (R&R) SF424 (R&R)​ SF424 (R&R)​
CONCURRENT APPLICATION & AWARDS ​ NO NO YES
JUST-IN-TIME​ YES ​YES ​YES
​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. 

**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 R43/R44 and other Small Business funding opportunities.​​​​​​​

 

 Quick Facts

 

Grant Title
R43/R44 Small Business Innovation Research Grant (SBIR)

Application Deadlines

  • April 5
  • August 5
  • December 5