Back in November of 2018, we noted that the SBIR/STTR Statute (15 U.S.C. §638) establishes a cap for the maximum dollar amount of SBIR and STTR awards, above which an agency must request an SBA-approved waiver, AND that as of 11/20/2018, agencies may issue a Phase I award (including modifications) up to $252,131 and a Phase II award (including modifications) up to $1,680,879 without seeking SBA approval.
Any award above those levels will require a waiver. Agencies considering this authority should review §7(i)(5) for additional information.
Total funding support (direct costs, indirect costs, fee) normally may not exceed $252,131 for Phase I awards and $1,680,879 for Phase II awards.
In addition, NIH has received a waiver from SBA, as authorized by statute, to exceed these total award amount hard caps for specific topics. The current list of approved topics can be found at https://sbir.nih.gov/funding#omni-sbir. Navigate to the “Program Descriptions and Research Topics” document, Appendix A or the “2019 SBA approved topics list for budget waivers”.
VIP: before adjusting your budget on your upcoming proposal, check with the participating SBIR funding agency to confirm budget adjustments.
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