HHS Reissues PHS 2013-02 SBIR and STTR Omnibus Grant Solicitations Implementing Venture Capital Provision and SBA Company Registry Requirement of the SBIR/STTR Reauthorization Act of 2011

Notice Number: NOT-OD-13-071

Update: The following update relating to this announcement has been issued:

  • September 17, 2013 - See Notice NOT-OD-13-116. New Program Certifications Required for SBIR and STTR Awards.

Key Dates
Release Date: May 30, 2013

Related Announcements
PA-13-234 (Re-issue SBIR Omnibus)
PA-13-235 (Re-issue STTR Omnibus)
PA-13-088 (now expired)
PA-13-089 (now expired)

Issued by
National Institutes of Health (NIH)
Centers for Disease Control and Prevention (CDC)
U.S. Food and Drug Administration (FDA)
Administration for Children and Families (ACF)


The PHS 2013-2 Omnibus Solicitation of the NIH, CDC, FDA, and ACF for SBIR/STTR Grant Applications and SF 424 (R&R) Application Guide for SBIR/STTR Grant Applications are now reissued. The reissued solicitation consists of: (1) re-issued parent funding opportunity announcement (FOA) for SBIR, (2) re-issued parent FOA for STTR, and (3) narrative descriptions of the programs and research topics (in PDF - 1 MB and MS Word - 1 MB formats). The remaining due dates for CY 2013 are August 5 and December 5, 2013.  AIDS and AIDS-related applications are due September 7, 2013 and January 7, 2014.

The original SBIR and STTR Omnibus solicitations, PA-13-088 (SBIR) and PA-13-089 (STTR) are now expired.  Applications can no longer be submitted to these FOAs, applicants will receive an error in their submission if these expired FOAs are used.  Applicants must download and use the reissued FOAs, PA-13-234 (SBIR) and PA-13-235 (STTR), for ALL SBIR and STTR Omnibus submissions for the remaining due dates listed above.  This includes resubmissions ('-A1s').   

HHS is committed to implementing all the provisions of the SBIR/STTR Reauthorization Act of 2011 (P.L. 112-81).  NIH has set up a new website to keep the small business research community abreast of its implementation plan for the many changes resulting from the reauthorization. The site will be updated as the implementation process moves forward.  SBA’s released the revised, final size rule on December 27, 2012, with a 30-day implementation window effective January 28, 2013. 

This re-issuance implements two additional provisions of the Reauthorization Act: 1) majority venture-capital owned companies may now apply to the NIH SBIR program and 2) all small business concerns must register in the SBA Company Registry.

1. NIH SBIR Application Certification for small business concerns majority-owned by multiple venture capital operating companies, hedge funds, or private equity firms.

The eligibility requirements for all small business concerns have been revised to be compliant with the issuance of revised size rules issued by the SBA and in effect for solicitation issued after 1/28/2013.

With this re-issuance small business concerns that are majority-owned by multiple venture capital operating companies (VCOCs), hedge funds and/or private equity firms ARE NOW ELIGIBLE to apply to the NIH SBIR program and compete for up to 25% of NIH's SBIR set-aside.

Implementation of this 'VCOC provision' is only available to applicants to the NIH SBIR program through this Omnibus FOA and any other NIH SBIR Funding Opportunity Announcement issued after January 28, 2013.

CDC, FDA, and ACF will not accept SBIR applications from majority-owned VCOC small business concerns. 

NIH will not accept STTR applications from majority-owned VCOC small business concerns.

Instructions are provided within all NIH SBIR FOAs issued after January 28, 2013 pertaining to applicant certification requirements for majority-owned VCOC small business concerns.

2. SBA Company registry

With this re-issuance and for all SBIR and STTR FOAs issued after January 28, 2013, all applicants to the SBIR and STTR programs are required to register at the SBA Company Registry prior to application submission and attach proof of registration.  If applicants have previously registered, you are still required to attach proof of registration. 

Instructions are provided within all SBIR and STTR FOAs issued after January 28, 2013 pertaining to SBA Company Registry requirements.

The below provisions are still implemented with current Omnibus re-issuance and include:

  • Revised award budget language implementing new award guidelines and maximum award size.
  • Allow applicants to sub-contract with a federal laboratory without the need for an SBA waiver (required previously).
  • Allow applicants to request up to $5,000 to obtain their own Technical Assistance vendor if they wish.  In doing so, applicants cannot qualify for the NIH-provided Technical Assistance Programs.

HHS will implement the provisions below as guidance from SBA is received and electronic system and form updates at NIH and SBA are realized, however at this time, the reissued Omnibus FOAs DO NOT currently allow the following:

  • Applicants cannot apply for Phase II SBIR funding based on a Phase I STTR award or conversely  a Phase II STTR based on a Phase I SBIR award. Similarly, applicants cannot apply for a Phase IIB SBIR or STTR based on a Phase II STTR or SBIR award, respectively.  This refers to the "switching mechanisms at Phase II" provision of the Act.

NIH is currently updating its electronic systems and forms to allow applicants to switch programs at Phase II.  Only NIH participates in the STTR program; CDC, FDA, and ACF do not.

  • Applicants cannot skip Phase I and apply directly for a Phase II SBIR award.  This refers to the "Direct to Phase II" provision of the Act. 

Per the reauthorization, this provision will only be available to NIH SBIR applicants once implemented.  NIH is currently updating its electronic systems and forms to allow applicants to apply for a Direct Phase II SBIR award.  Additionally, this provision will be piloted by NIH by issuing targeted FOA/s and will not be available on the Omnibus FOAs.  When issued, Direct to Phase II FOA/s may be found here.

NIH has many SBIR and STTR FOAs available for the community, many of which were issued prior to January 28, 2013.  Applicants are advised to read solicitations very carefully, as eligibility and budget requirements may differ, depending on when the FOA was issued.  Applicants are required to follow the guidance and instructions within the FOA they choose to apply for.

Applicants are always strongly encouraged to contact program officials prior to submitting any SBIR or STTR application for guidance.


Please direct all inquiries to:

NIH SBIR/STTR Program Office
Telephone:  301-435-2688
Fax: 301-480-0146
Email:  sbir@od.nih.gov
Website: http://sbir.nih.gov