SMALL BUSINESS TECHNOLOGY TRANSFER PROGRAM NIH Guide, Volume 26, Number 39, December 5, 1997 P.T. National Institutes of Health Annual Grant Application Receipt Dates: April 1, August 1, and December 1 The purpose of this notice is to inform the public that, for purposes of the Small Business Technology Transfer (STTR) program, the Small Business Administration (SBA) has clarified the definition of "research institution" to include "nonprofit medical and surgical hospitals," per se. Further discussion of this clarification and the STTR program itself is set forth below. Innovative technologies and methodologies fuel progress in biomedical and behavioral research and represent an increasingly important area of the economy. The STTR program provides support to small business concerns -- IN COLLABORATION WITH U.S. RESEARCH INSTITUTIONS -- for research and development (R&D) of new technologies and methodologies that have the potential to succeed as commercial products. In addition to federal R&D centers (government-owned, contractor- operated facilities, such as Argonne National Laboratory), "research institutions" are defined as nonprofit institutions "owned and operated exclusively for scientific or educational purposes." This phrase had been interpreted to mean that hospitals NOT owned by educational institutions are NOT eligible to be the single, partnering research institution in an STTR project. The clarification by the SBA encompasses these "stand-alone" nonprofit hospitals within the definition of research institution, as follows: "Nonprofit medical and surgical hospitals are eligible to collaborate with small businesses on STTR projects as these institutions are exclusively engaged in scientific research and/or the application of scientific principles and techniques. Therefore, nonprofit medical and surgical hospitals are eligible to participate with small business in the STTR program." The STTR program offers significant funding opportunities to small business concerns, as well as to scientists at research institutions, INCLUDING COLLEGES AND UNIVERSITIES. The applicant organization must be the small business concern. At least 40 percent of the project is to be performed by the small business concern and at least 30 percent of the project is to be performed by the research institution. It is estimated that about $16 million of fiscal year 1998 funds will be set aside by the National Institutes of Health (NIH) to make STTR grant awards. The STTR program consists of the following three phases: Phase I: The objective of this phase is to determine the scientific and technical merit, feasibility, and potential for commercialization of the project and the quality of performance, before consideration of further federal support in Phase II. Normally, awards do not exceed $100,000 for direct costs, indirect costs, and negotiated fixed fee for a period normally not to exceed one year. (These are guidelines and NOT ceilings.) Phase II: The objective of this phase is to continue, in depth, the research efforts initiated in Phase I. Funding is based on the results achieved in Phase I and the scientific and technical merit and commercial potential of the Phase II application. Normally, awards do not exceed $500,000 for direct costs, indirect costs, and negotiated fixed fee for a period normally not to exceed two years, that is, normally, a two-year project does not cost more than $500,000 for that project. (These are guidelines and NOT ceilings.) A Phase I award must have been received in order to obtain Phase II funding. Phase III: The objective of this phase, where appropriate, is for the small business concern to pursue, WITH NON-STTR FUNDS, the commercialization of the results of the research project supported in Phases I and II. Both Phase I and Phase II applications -- initial and revised -- will be accepted on the application receipt dates identified above. However, the NIH will accept no more than two revised (amended) applications within a time period of two years from the receipt date of the initial, unamended application. INQUIRIES Eligibility requirements, definitions, submission procedures, review considerations, application forms and instructions, and other pertinent information are contained in the OMNIBUS SOLICITATION OF THE NATIONAL INSTITUTES OF HEALTH FOR SMALL BUSINESS TECHNOLOGY TRANSFER GRANT APPLICATIONS. This solicitation, including application forms, is available electronically from the NIH's "Small Business Funding Opportunities" home page at https://grants.nih.gov/grants/funding/sbir.htm on the World Wide Web. A limited number of hard copies of the solicitation for calendar year 1998 receipt dates will be produced. Subject to availability, they may be obtained from: SBIR/STTR Solicitation Office 13687 Baltimore Avenue Laurel, MD 20707-5096 Telephone: (301) 206-9385 FAX: (301) 206-9722 Email: a2y@cu.nih.gov
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