Small business organizations may apply for research support through either the Small Business Innovation Research Grant Application program or the Small Business Technology Transfer Grant Application program. Both of these programs offer the option of a sequential submission of Phase I-Phase II applications or simultaneous submission of combined "Fast Track" Phase I-Phase II application. Small business applications are normally reviewed by Special Emphasis Panels.

INSTRUCTIONS:
Instructions for completing an application for an SBIR or STTR grant are contained in a number of documents and places.  Please be sure to read all the pertinent information prior to preparing and submitting your application.

PHS 398 (http://grants.nih.gov/grants/funding/phs398/phs398.pdf): The PHS 398 instructions contain information for preparing applications for:

            Public Health Service (PHS) Research Grants;
            Small Business Innovation Research (SBIR) Grants;
            Small Business Technology Transfer (STTR) Grants; and
            Other Awards.

The PHS 398 is required for all new, revised, competing continuation, and supplemental research grant and small business research grant applications.  It is formatted according to the following relevant sections:

            Section I:  Specific instructions for completing the application;
            Section II:  General information on submitting the application;
            Section III:  Definitions, assurances, and other relevant information; and
            Section VI:  Instructions for submitting SBIR and STTR applications.

These instructions (revised 05/2001) supersede all previous editions.  Applicants should give careful attention to the instructions, because an application that fails to meet the PHS requirements will be grounds for the PHS to return the application without peer review.  A properly prepared application will facilitate the administrative processing and peer review that must occur before an award can be made.  Applicants should read all above indicated sections as SBIR/STTR applications have many distinct requirements, e.g., page limitations, budgets, but also have many requirements in common with Research Grant applications.  Of particular note are the requirements for using human subjects and vertebrate animals: these are identical for both types of application.

PHS 2004-2 Omnibus Solicitation of the NIH, CDC, and FDA for SBIR and STTR Grant Applications:  Part I ¾ Program information, instructions & requirements, http://grants.nih.gov/grants/funding/sbirsttr1/index.pdf.

The purpose of this solicitation is to invite domestic small business concerns to submit Phase I or Fast Track (Phase I/Phase II) research grant applications under this program announcement entitled Small Business Innovation Research (SBIR) and Small Business Technology Transfer (STTR).  Program information, eligibility requirements for participants, the three program phases, and information for submitting responsive applications are contained therein.  These instructions are an expansion upon the materials contained within the PHS 398 and are more broad and comprehensive in nature.  They should be read and adhered to by applicants.

SBIR and STTR Grant Application:  Phase II http://grants.nih.gov/grants/funding/sbirsttr2/PhaseII_SBIRSTTR.pdf.

The purpose of this solicitation is to invite domestic small business concerns that have received an SBIR Phase I grant or an STTR Phase I grant to apply for SBIR or STTR Phase II funding, respectively, of that program.  The object of Phase II ¾ the principal research and development phase ¾ is to continue the research efforts initiated in Phase I.  Funding for Phase II is based on the results of Phase I (e.g., feasibility demonstration) and the scientific and technical merit and commercial potential of the Phase II application.  An SBIR/STTR Phase I award must have been received in order to obtain a Phase II award.  These instructions are an expansion upon the materials contained within the PHS 398 and are more broad and comprehensive in nature.  They should be read and adhered to by applicants.

Forms:
All SBIR and STTR applications (Phase I, Phase II, and Phase I/Phase II Fast Track) must be submitted using the Public Health Service Grant Application form pages, PHS 398 (http://grants.nih.gov/grants/funding/phs398/phs398.html), in accordance with all of the instructions indicated above.  These forms pages are available in Wordä or PDF format and are “fillable” for ease of completion and submission.  Also, see the 08/29/2003 NIH Guide Notice for information on the Update of the PHS 398, 2590 and 416 Forms.  Note that STTR applications require the signature of the duly authorized representative of the research institution on either the STTR Research Institution Budget Additional Page or STTR Additional Page Research Institution Certification.