R43/R44: Small Business Innovation Research Grant (SBIR)
Most recent NIDDK funding announcement: R43/R44 and other Small Business awards
The R43/R44 at NIDDK
The Small Business Innovation Research Awards (SBIR) (R43/R44) program exists to stimulate technological innovation, strengthen the role of small businesses in meeting Federal Research/Research & Development (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 (R43) 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 (R44).
Please visit our NIDDK SBIR-STTR Programs website for detailed information on programmatic divisions, funding opportunities, news and events, and a comprehensive list of resources for grantees.
The table below compares Phase I, Phase II, and Fast-Track funding mechanisms. The NIH SBIR STTR website also contains Frequently Asked Questions that help delineate differences between these mechanisms, including the Direct Phase II authority.
|NIH Guidance||Phase I (1 R43)||Phase II (2 R44)
Direct Phase II (1 R44)
|Fast-Track (1 R44)|
|Purpose of Grant||To support high-risk feasibility projects||To support continued research & development||See Phase I and Phase II; allows concurrent review of both; shortens review to award process for Phase II|
|Institution Eligibility||Small, for-profit organizations (67% minimum effort by SBC)||Small, for-profit organizations (50% minimum effort by SBC)||Small, for-profit organizations (minimum effort dependent on phase; See Phase I and Phase II)|
|PI Criteria||PI employed (51% or greater) with small business concern||PI employed (51% or greater) with small business concern||PI employed (51% or greater) with small business concern|
|Period of Support||6 Months to 1 Year||2 to 3 Years||6 Mo. to 1 Yr. Phase I; 2-3 Yr. Phase II; Combination not to exceed four years|
|Amount of Support||Normally up to $150,000 total costs (DC + F&A + fee)||Normally up to $1,000,000 total costs (DC + F&A + fee)||Normally up to $1,150,000 total costs (Phase I + Phase II; DC + F&A + fee)|
|Third Party Costs||Up to 33% of total costs||Up to 50% of total costs||See Phase I and Phase 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)|
|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|
Abbreviations used: Direct Costs (DC), Facilities & Administrative/Indirect Costs (F&A).
Potential applicants who are considering research involving human subjects are strongly encouraged to contact NIDDK program staff before submission. The NIDDK will not support clinical trials submitted through the Omnibus SBIR and STTR solicitations. SBIR Phase II, Direct Phase II, Phase IIB, and Fast-Track applications with NIH-defined clinical trials can be submitted in response to a targeted Clinical Trials Allowed Funding Opportunity Announcement. It is critical that applicants correctly identify whether their application contains a clinical trial before applying as application forms and funding opportunities will be different than for those without a clinical trial.
Human Subjects Research
Potential applicants who are considering research involving human subjects are strongly encouraged to contact NIDDK Small Business Program Staff before submission. Please also visit the NIDDK Human Subjects Research page.
According to statutory guidelines, total funding support (direct costs, indirect costs, fee) normally may not exceed $150,000 for Phase I awards. With appropriate justification from the applicant, Congress will allow awards to exceed these amounts by up to 50% as a hard cap ($225,000 for Phase I). However, NIH has received a waiver from SBA, as authorized by statute, to exceed the hard cap specific topics.
According to statutory guidelines, total funding support (direct costs, indirect costs, fee) normally may not exceed $1,000,000 for Phase II awards. With appropriate justification from the applicant, Congress will allow awards to exceed these amounts by up to 50% as a hard cap ($1,500,000 for Phase II). However, NIH has received a waiver from SBA, as authorized by statute, to exceed the hard cap specific topics. Phase II awards are for longer periods and require a commercialization plan.
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 the criteria as described in the current SBIR or STTR parent funding opportunity announcement available from the NIH Small Business Funding Opportunities website. Alternatively find Small Business Eligibility Criteria at the NIH SBIR/STTR website.
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 (51% or greater) with the SBC at the time of award and for the duration of the project.
Application instructions can be found within funding opportunity announcements. The NIH SBIR STTR website also contains a number of useful resources related to applying.
There have been updates to application instructions and review language intended to enhance reproducibility through rigor and transparency. Please visit the Rigor and Reproducibility page for goals, guidance, resources, news, and references.
Many SBIR & STTR funding opportunities use standard due dates, but check the funding opportunity announcement to confirm. Beginning September 2015, new standard due dates will be in effect:
- September 5
- January 5
- April 5
Effective for applications submitted for due dates on or after January 25, 2015, NIH has simplified the NIH policy for late application submission (see NOT-OD-15-039). The policy will not be applied retroactively; for prior policies see NOT-OD-11-035 and NOT-OD-10-123 . Submit early to ensure receipt by NIH, as staff cannot amend the NIH rules!
All applications are peer reviewed by knowledgeable scientists in the relevant field of research.
Contact the appropriate NIDDK Small Business Program Staff.