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NIH SBIR/STTR Omnibus Solicitation (Parent R43/R44 and R41/R42) is sponsored by National Institutes of Health (NIH). The primary federal vehicle for funding small business medical technology development, supporting feasibility (Phase I) and full R&D (Phase II) across all health domains. This investigator-initiated program covers everything from diagnostics to medical devices and therapeutics.
Official opportunity description and requirements excerpt:
Expired PA-24-246: PHS 2024-2 Omnibus Solicitation of the NIH and CDC for Small Business Innovation Research Grant Applications (Parent SBIR [R43/R44] Clinical Trial Required) This notice has expired. For NIH, in limited situations, applications may be accepted on a case-by-case basis for a short period after expiration to accommodate NIH late or continuous submission policies . Contact the eRA Service Desk for any submission issues. Check the NIH Guide for active opportunities and notices. Department of Health and Human Services Part 1. Overview Information Participating Organization(s) National Institutes of Health ( NIH ) Centers for Disease Control and Prevention ( CDC ) Components of Participating Organizations NATIONAL INSTITUTES OF HEALTH ( NIH ) National Eye Institute ( NEI ) National Heart, Lung, and Blood Institute ( NHLBI ) National Human Genome Research Institute ( NHGRI ) National Institute on Alcohol Abuse and Alcoholism ( NIAAA ) National Institute of Biomedical Imaging and Bioengineering ( NIBIB ) Eunice Kennedy Shriver National Institute of Child Health and Human Development ( NICHD ) National Institute on Deafness and Other Communication Disorders ( NIDCD ) National Institute of Diabetes and Digestive and Kidney Diseases ( NIDDK ) National Institute of Environmental Health Sciences ( NIEHS ) National Institute of Mental Health ( NIMH ) National Institute of Nursing Research ( NINR ) National Institute on Minority Health and Health Disparities ( NIMHD ) National Library of Medicine ( NLM ) National Center for Complementary and Integrative Health ( NCCIH ) National Cancer Institute ( NCI ) National Institute on Drug Abuse ( NIDA ) Participation Added July 10, 2024 ( NOT-DA-24-036 ) Office of Research on Women's Health ( ORWH ) Participation Added July 19, 2024 ( NOT-OD-24-152 ) CENTERS FOR DISEASE CONTROL AND PREVENTION ( CDC ) Global Health Center( GHC/CDC ) Office of Readiness and Response ( ORR - CPR/CDC ) National Center on Birth Defects and Developmental Disabilities ( NCBDDD/CDC ) National Center for Chronic Disease Prevention and Health Promotion ( NCCDPHP/CDC ) National Center for Emerging and Zoonotic Infectious Diseases ( NCEZID/CDC ) National Center for HIV/AIDS, Viral Hepatitis, STD, and TB Prevention ( NCHHSTP/CDC ) National Center for Injury Prevention and Control ( NCIPC/CDC ) National Center for Immunization and Respiratory Diseases ( NCIRD/CDC ) National Institute for Occupational Safety and Health ( NIOSH/CDC ) National Center for Environmental Health ( NCEH/CDC ) Funding Opportunity Title PHS 2024-2 Omnibus Solicitation of the NIH and CDC for Small Business Innovation Research Grant Applications (Parent SBIR [R43/R44] Clinical Trial Required) R43
Extracted from the official opportunity page/RFP to help you evaluate fit faster.
Expired PA-24-246: PHS 2024-2 Omnibus Solicitation of the NIH and CDC for Small Business Innovation Research Grant Applications (Parent SBIR [R43/R44] Clinical Trial Required) This notice has expired. For NIH, in limited situations, applications may be accepted on a case-by-case basis for a short period after expiration to accommodate NIH late or continuous submission policies . Contact the eRA Service Desk for any submission issues.
Check the NIH Guide for active opportunities and notices. Department of Health and Human Services Part 1.
Overview Information Participating Organization(s) National Institutes of Health ( NIH ) Centers for Disease Control and Prevention ( CDC ) Components of Participating Organizations NATIONAL INSTITUTES OF HEALTH ( NIH ) National Eye Institute ( NEI ) National Heart, Lung, and Blood Institute ( NHLBI ) National Human Genome Research Institute ( NHGRI ) National Institute on Alcohol Abuse and Alcoholism ( NIAAA ) National Institute of Biomedical Imaging and Bioengineering ( NIBIB ) Eunice Kennedy Shriver National Institute of Child Health and Human Development ( NICHD ) National Institute on Deafness and Other Communication Disorders ( NIDCD ) National Institute of Diabetes and Digestive and Kidney Diseases ( NIDDK ) National Institute of Environmental Health Sciences ( NIEHS ) National Institute of Mental Health ( NIMH ) National Institute of Nursing Research ( NINR ) National Institute on Minority Health and Health Disparities ( NIMHD ) National Library of Medicine ( NLM ) National Center for Complementary and Integrative Health ( NCCIH ) National Cancer Institute ( NCI ) National Institute on Drug Abuse ( NIDA ) Participation Added July 10, 2024 ( NOT-DA-24-036 ) Office of Research on Women's Health ( ORWH ) Participation Added July 19, 2024 ( NOT-OD-24-152 ) CENTERS FOR DISEASE CONTROL AND PREVENTION ( CDC ) Global Health Center( GHC/CDC ) Office of Readiness and Response ( ORR - CPR/CDC ) National Center on Birth Defects and Developmental Disabilities ( NCBDDD/CDC ) National Center for Chronic Disease Prevention and Health Promotion ( NCCDPHP/CDC ) National Center for Emerging and Zoonotic Infectious Diseases ( NCEZID/CDC ) National Center for HIV/AIDS, Viral Hepatitis, STD, and TB Prevention ( NCHHSTP/CDC ) National Center for Injury Prevention and Control ( NCIPC/CDC ) National Center for Immunization and Respiratory Diseases ( NCIRD/CDC ) National Institute for Occupational Safety and Health ( NIOSH/CDC ) National Center for Environmental Health ( NCEH/CDC ) Funding Opportunity Title PHS 2024-2 Omnibus Solicitation of the NIH and CDC for Small Business Innovation Research Grant Applications (Parent SBIR [R43/R44] Clinical Trial Required) R43 / R44 Small Business Innovation Research (SBIR) Grant - Phase I, Phase II, and Fast-Track Notices of Special Interest associated with this funding opportunity April 1, 2025 - Notice to Extend the Expiration Date of PA-24-246 PHS 2024-2 Omnibus Solicitation of the NIH and CDC for Small Business Innovation Research Grant Applications (Parent SBIR [R43/R44] Clinical Trial Required).
Based on current listing details, eligibility includes: United States small business concerns (SBCs) Applicants should confirm final requirements in the official notice before submission.
Current published award information indicates $300,000 - $2,000,000+ Always verify allowable costs, matching requirements, and funding caps directly in the sponsor documentation.
The current target date is April 5, 2026. Build your timeline backwards from this date to cover registrations, approvals, attachments, and final submission checks.
NIH Intramural Loan Repayment Program for General Research is sponsored by National Institutes of Health (NIH). Loan repayment for biomedical researchers conducting health-related research at NIH, potentially applicable to health promotion topics. Application snapshot: target deadline March 16, 2026; published funding information Up to $50,000 per year; eligibility guidance Individuals conducting research at NIH intramural, health professionals. Use the official notice and source links for final requirements, attachment checklists, allowable costs, and submission instructions before applying.
NIH R25 Summer Research Education Experience Program is sponsored by National Institutes of Health (NIH). Supports education programs (R25) such as summer research experiences—can target underserved youth in STEM. Official opportunity description and requirements excerpt: NIH Summer Research Experience Programs (R25) | National Institute of Environmental Health Sciences An official website of the United States government The .gov means it’s official. Federal government websites often end in .gov or .mil. Before sharing sensitive information, make sure you’re on a federal government site. The https:// ensures that you are connecting to the official website and that any information you provide is encrypted and transmitted securely. National Institute of Environmental Health Sciences Use this QR code to view the newest version of this document If you are giving a presentation about an environmental health topic or just looking for general information about environmental health research or the institute, this webpage will help. Explore Brochures & Fact Sheets Environmental Health Topics Explore Environmental Health Topics Environmental Health Science Basics Environmental Health Sciences Glossary Nutrition, Health, and Your Environment Temas Sobre Salud Ambiental Explore Science Education NIEHS Campus Tours & Information Sessions Science Education & Outreach Kids Environment | Kids Health A resource for kids, parents, and teachers to find fun and educational materials related to health, science, and the environment we live in today. Explore Kids Environment | Kids Health NIEHS is committed to conducting the most rigorous research in environmental health sciences, and to communicating the results of this research to the public. Explore Health & Education Intramural Research Division Translational Toxicology Division Shared and Core Facilities About the Extramural Research and Training Division Centers, Interagency Collaborations, and Consortia Environmental Exposure Research Institutional Research Training Time-Sensitive Research Opportunities in Environmental Health Translational Science, Outreach, and Education Connecting Health Outcomes Research and Data Systems (CHORDS) Disaster Research Response (DR2) Program East Palestine (Ohio) Train Derailment Research Response Environmental Health Language Collaborative Global Environmental Health NIH Program on Health and Extreme Weather NIH RADx Efforts at NIEHS Translational Research at NIEHS 2024 Road Map for Sequencing RNA and Its Modifications, New NASEM report 3D Structure of Twinkle Protein 15th Report on Carcinogens Autoimmunity May Be Rising in the United States Explore Resources for Scientists Electron Paramagnetic Resonance/Electron Spin Resonance (EPR/ESR) International Myositis Assessment & Clinical Studies Group (IMACS) Library & Information Services Seminars, Conferences, & Symposia Training and Visual Guides Data Management and Sharing Plan Development Data Management and Sharing Policies Data Science Funding Opportunities Frequently Asked Questions Maximizing the Value of Scientific Data Scientific Data Resources NIEHS research uses state-of-the-art science and technology to investigate the interplay between environmental exposures, human biology, genetics, and common diseases to help prevent disease and improve human health. Contacts for NIEHS Applicants Application snapshot: target deadline March 17, 2026; published funding information Varies; education project support; eligibility guidance U. S. institutions eligible for NIH grants (universities, nonprofits) Use the official notice and source links for final requirements, attachment checklists, allowable costs, and submission instructions before applying.
Application snapshot: target deadline April 5, 2026; published funding information $300,000 - $2,000,000+; eligibility guidance United States small business concerns (SBCs)
Use the official notice and source links for final requirements, attachment checklists, allowable costs, and submission instructions before applying.
See Notice NOT-OD-25-076 . March 31, 2025 - This funding opportunity was updated to align with agency priorities. Carefully reread the full funding opportunity and make any needed adjustments to your application prior to submission.
October 23, 2024 - Notice of Change to Award Budget for PHS 2024-02 Omnibus Solicitation of the NIH, CDC, and FDA for Small Business Innovation Research (SBIR) and Small Business Technology Transfer (STTR) Grant Applications. See Notice NOT-OD-25-013 . July 19, 2024 -Notice of ORWH's Participation in PA-24-246.
See Notice NOT-OD-24-152 . July 10, 2024 - Notice of NIDA's Participation in PA-24-246 "PHS 2024-2 Omnibus Solicitation of the NIH and CDC for Small Business Innovation Research Grant Applications (Parent SBIR [R43/R44] Clinical Trial Required)". See Notice NOT-DA-24-036 April 4, 2024 - Overview of Grant Application and Review Changes for Due Dates on or after January 25, 2025.
See Notice NOT-OD-24-084 . November 14, 2023 - Clarification of Implementation of the NIH SBIR and STTR Foreign Disclosure Pre-award and Post-Award Requirements. See Notice NOT-OD-24-029 .
June 12, 2023 - Implementation of the NIH SBIR and STTR Foreign Disclosure Pre-award and Post-Award Requirements. See NOT-OD-23-139 . February 23, 2023 - Notice of Change to Minimum Performance Standards for SBIR and STTR Applicants.
See NOT-OD-23-092 . August 31, 2022 - Implementation Changes for Genomic Data Sharing Plans Included with Applications Due on or after January 25, 2023. See Notice NOT-OD-22-198 .
August 5, 2022 - Implementation Details for the NIH Data Management and Sharing Policy. See Notice NOT-OD-22-189 .
Funding Opportunity Number (FON) Companion Funding Opportunity Small Business Innovation Research Grants (SBIR) - Phase I/ Small Business Innovation Research Grants (SBIR) - Phase II Small Business Technology Transfer (STTR) Grants - Phase I/ * Small Business Technology Transfer (STTR) Grants - Phase II Small Business Technology Transfer (STTR) Grants - Phase I/ * Small Business Technology Transfer (STTR) Grants - Phase II See Section III.
3. Additional Information on Eligibility. Assistance Listing Number 93.
286, 93. 173, 93. 847, 93.
865, 93. 867, 93. 273, 93.
879, 93. 233, 93. 837, 93.
838, 93. 839, 93. 840, 93.
361, 93. 172, 93. 143, 93.
113, 93. 142, 93. 393, 93.
394, 93. 395, 93. 213, 93.
866, 93. 307, 93. 242, 93.
279 Notice of Funding Opportunity Purpose This Notice of Funding Opportunity (NOFO), issued by the National Institutes of Health (NIH) and the Centers for Disease Control and Prevention (CDC), invites eligible United States small businesses to submit Small Business Innovation Research (SBIR) grant applications.
United States small businesses that have the research capabilities and technological expertise to contribute to the R&D mission(s) of the NIH and CDC awarding components identified in this NOFO are encouraged to submit SBIR grant applications in response to identified topics (see SBIR/STTR Program Descriptions and Research Topics for NIH, CDC, and FDA ).
This Parent Notice of Funding Opportunity requires that at least 1 clinical trial be proposed. The proposed project must be related to the programmatic interests of one or more of the participating NIH and CDC Institutes and Centers (ICs) based on their scientific missions. Open Date (Earliest Submission Date) Letter of Intent Due Date(s) The following table includes NIH standard due dates marked with an asterisk.
Dates in bold and italics reflect changes per NOT-OD-25-076 Renewal / Resubmission / Revision (as allowed) AIDS - New/Renewal/Resubmission/Revision, as allowed All applications are due by 5:00 PM local time of applicant organization. Applicants are encouraged to apply early to allow adequate time to make any corrections to errors found in the application during the submission process by the due date.
New Date September 06, 2025 per issuance of NOT-OD-25-076 (Original Expiration Date: April 06, 2025 ) Required Application Instructions It is critical that applicants follow the SBIR/STTR (B) Instructions in the How to Apply – Application Guide , except where instructed to do otherwise (in this NOFO or in a Notice from the NIH Guide for Grants and Contracts ).
Conformance to all requirements (both in the How to Apply – Application Guide and the NOFO) is required and strictly enforced. Applicants must read and follow all application instructions in the How to Apply – Application Guide as well as any program-specific instructions noted in Section IV. When the program-specific instructions deviate from those in the How to Apply – Application Guide , follow the program-specific instructions.
Applications that do not comply with these instructions may be delayed or not accepted for review. Part 1. Overview Information Part 2.
Full Text of Announcement Section I. Notice of Funding Opportunity Description Section II. Award Information Section III.
Eligibility Information Section IV. Application and Submission Information Section V. Application Review Information Section VI.
Award Administration Information Section VII. Agency Contacts Section VIII. Other Information Part 2.
Full Text of Announcement Section I. Notice of Funding Opportunity Description The Small Business Innovation Research (SBIR) and Small Business Technology Transfer (STTR) programs, also known as America's Seed Fund, are one of the largest sources of early-stage capital for technology commercialization in the United States.
These programs enable US-owned and operated small businesses to conduct research and development that has a strong potential for commercialization.
National Institutes of Health (NIH), Centers for Disease Control and Prevention (CDC), and the Food and Drug Administration (FDA) support small businesses through the SBIR and STTR programs to develop promising technologies and products that align with their mission to improve health and save lives.
As described by the Small Business Administration (SBA), the statutory purpose of the Small Business Innovation Research (SBIR) program is to strengthen the role of innovative small business concerns (SBCs) in federally-funded research or research and development.
The purpose of the Small Business Technology Transfer (STTR) program is to stimulate a partnership of ideas and technologies between innovative SBCs and non-profit Research Institutions. Federal agencies with extramural research budgets over $100 million are required to set-aside 3.
2% of their extramural research budget to the SBIR program, and those with extramural research budgets over $1 billion are required to set aside an additional 0. 45% to the STTR program.
This Notice of Funding Opportunity (NOFO) issued by the National Institutes of Health (NIH) and Centers for Disease Control and Prevention (CDC)) invites eligible United States small business concerns (SBCs) to submit Small Business Innovation Research (SBIR) Phase I, Phase II, Direct to Phase II (NIH Only), Fast-Track (NIH only), and Phase IIB (NIH only) grant applications.
Small business applicants interested in submitting an STTR grant application should submit to PA-24-247 or PA-24-248 . SBIR and STTR are phased programs. The main objective in SBIR and STTR Phase I is to establish the technical merit and feasibility of the proposed research and development efforts.
An SBIR and STTR Phase II continues the R&D efforts to advance the technology toward ultimate commercialization. At the conclusion of an SBIR/STTR Phase II, it is expected that the small business will fully commercialize their product or technology using non-SBIR/STTR funds (either federal or non-federal).
Small businesses that are eligible to submit Phase II applications for projects that were supported with a Phase I SBIR or STTR award are expected to submit the regular Phase II application as a "Renewal" application based on the awarded Phase I SBIR or STTR project. Only one Phase II application may be awarded for a specific project supported by a Phase I award.
NIH Fast-Track: An NIH SBIR Fast-Track incorporates a submission and review process in which both Phase I and Phase II applications are submitted and reviewed together as one application to reduce or eliminate the funding gap between phases.
NIH Direct to Phase II: For small businesses that have already demonstrated scientific and technical merit and feasibility but have not received a Phase I SBIR or STTR for that project, NIH can issue a Direct to Phase II award. The NIH will accept Direct to Phase II applications regardless of the funding source for the proof of principle work on which the proposed Phase II research is based.
Direct to Phase II awards should be submitted as New applications and not continuations ("Renewal") of Phase I SBIR or STTR projects. NIH Phase IIB: Some projects initiated with SBIR or STTR funding require considerable financing beyond the SBIR and STTR Phase II to achieve commercialization.
NIH Institutes and Centers (ICs) may allow small businesses who have been awarded a Phase II SBIR or STTR to submit a Phase IIB (second, sequential Phase II) SBIR or STTR application that will provide additional funding for Phase II SBIR or STTR projects.
These renewals are typically offered for those projects that require extraordinary time and effort, including those requiring regulatory approval or developing complex instrumentation, clinical research tools, and behavioral interventions. Commercial potential (i. e.
the probability that an application will result in a commercial product) will be strongly considered in review (refer to Section V. Application Review Information) and making funding decisions. An applicant's ability to secure substantial independent third-party investor funds will help validate the commercial potential of the proposed Phase IIB project.
Applicants are encouraged to secure substantial independent third-part investor funds (i. e. , third-party funds that equal or exceed the requested NIH funds).
Examples of third-party investors include, but are not limited to, another company, a venture capital firm, an angel investor, a foundation, a university, a research institution, a State or local government, or any combination of the above.
Applicants must provide a commercialization plan that describes the long-term commercialization strategy and details of any independent third-party investor funding that has already been secured or will be provided during the Phase IIB project period. If applicable, the application should include letters of support from third-party investors.
NIH ICs that accept Phase IIB applications, either through this SBIR NOFOs or other specific NOFOs, are listed in the current SBIR/STTR Program Descriptions and Research Topics for NIH, CDC, and FDA . Additional requirements and instructions (e. g.
, submission of a letter of intent) are available in the specific IC research topics section and in the NIH Targeted Funding Opportunities that allow Phase IIB applications. The SBIR/STTR Program Descriptions and Research Topics for NIH, CDC, and FDA represent scientific program areas that may be of interest to applicant small businesses in the development of projects that have potential for commercialization.
Small business concerns that have the research capabilities and technological expertise to contribute to the R&D mission(s) of the NIH and CDC awarding components identified in this NOFO are encouraged to submit SBIR grant applications in these areas. SBIR grant applications will also be accepted and considered in any area within the mission of the Components of Participating Organizations listed for this NOFO.
In addition to the general SBIR solicitations, some awarding components have additional, specific NIH Targeted Funding Opportunities of potential interest to small businesses. Applicants are not required to identify a potential awarding component prior to submission of the application but may request one on the Assignment Request Form.
Staff within the NIHs Center for Scientific Review (CSR) office, the single receiving point for all NIH and CDC grant applications, will assign all applications to the most appropriate Agency and Institute/Center (IC) based on their mission and the science proposed. For specific information about the mission of each NIH IC, visit the List of NIH Institutes, Centers, and Offices website.
All applications submitted to this Parent Notice of Funding Opportunity must propose clinical trial(s) . SBIR applications that do not propose clinical trial(s) should be submitted to PA-24-245 . Further information about the SBIR and STTR programs can be found at https://seed.
nih. gov . Frequently asked questions are available to assist applicants and can answer many basic questions about the program.
See Section VIII. Other Information for award authorities and regulations. Investigators proposing NIH-defined clinical trials may refer to the Research Methods Resources website for information about developing statistical methods and study designs.
Section II. Award Information Grant: A financial assistance mechanism providing money, property, or both to an eligible entity to carry out an approved project or activity. Application Types Allowed New (Phase I, Fast-Track, Direct Phase II) Renewal (Phase II, Phase IIB) Resubmission (All Phases) The OER Glossary and the How to Apply – Application Guide provide details on these application types.
Only those application types listed here are allowed for the NOFO. Required: Only accepting applications that propose clinical trial(s) Need help determining whether you are doing a clinical trial? Funds Available and Anticipated Number of Awards The number of awards is contingent upon NIH appropriations, reauthorization and extension of the SBIR and STTR programs, and the submission of a sufficient number of meritorious applications.
Total funding support (direct costs, indirect costs, fee) normally may not exceed $306,872 for Phase I awards and $2,045,816 for Phase II awards. For specific topics, NIH may exceed these total award amounts. The current list of approved topics can be found at https://seed.
nih. gov/sites/default/files/HHS_Topics_for_Budget_Waivers. pdf .
Each participating component may also set their own budget limit (higher or lower than the above) in the Limited Amount of Award Section of their respective topics section. Applicants are strongly encouraged to contact program officials prior to submitting any application in excess of the total award amounts listed above and early in the application planning process.
In all cases, applicants should propose a budget that is reasonable and appropriate for completion of the research project. Phase IIB budgets must be submitted in accordance with participating IC-specific budget limitations described in the current SBIR/STTR Program Descriptions and Research Topics for the NIH, CDC and FDA.
According to statutory guidelines, award periods normally may not exceed 6 months for Phase I and 2 years for Phase II. Applicants are encouraged to propose a project duration period that is reasonable and appropriate for completion of the research project. NIH grants policies as described in the NIH Grants Policy Statement will apply to the applications submitted and awards made from this NOFO.
Section III. Eligibility Information Only United States small business concerns (SBCs) are eligible to submit applications for this opportunity. A small business concern is one that, at the time of award of Phase I and Phase II, meets all of the following criteria: 1.
Is organized for profit, with a place of business located in the United States, which operates primarily within the United States or which makes a significant contribution to the United States economy through payment of taxes or use of American products, materials or labor; 2.
Is in the legal form of an individual proprietorship, partnership, limited liability company, corporation, joint venture, association, trust or cooperative, except that where the form is a joint venture, there must be less than 50 percent participation by foreign business entities in the joint venture; SBIR and STTR.
Be a concern which is more than 50% directly owned and controlled by one or more individuals (who are citizens or permanent resident aliens of the United States), other business concerns (each of which is more than 50% directly owned and controlled by individuals who are citizens or permanent resident aliens of the United States), an Indian tribe, ANC or NHO (or a wholly owned business entity of such tribe, ANC or NHO), or any combination of these; OR SBIR-only.
Be a concern which is more than 50% owned by multiple venture capital operating companies, hedge funds, private equity firms, or any combination of these.
No single venture capital operating company, hedge fund, or private equity firm may own more than 50% of the concern, unless that single venture capital operating company, hedge fund , or private equity firm qualifies as a small business concern that is more than 50% directly owned and controlled by individuals who are citizens or permanent resident aliens of the United States; OR SBIR and STTR.
Be a joint venture in which each entity to the joint venture must meet the requirements set forth in paragraph 3 (i) or 3 (ii) of this section. A joint venture that includes one or more concerns that meet the requirements of paragraph (ii) of this section must comply with § 121. 705(b) concerning registration and proposal requirements.
4. Has, including its affiliates, not more than 500 employees. If the concern is more than 50% owned by multiple venture capital operating companies, hedge funds, private equity firms, or any combination of these falls under 3 (ii) or 3 (iii) above, see Section IV.
Application and Submission Information for additional instructions regarding required application certification. If an Employee Stock Ownership Plan owns all or part of the concern, each stock trustee and plan member is considered an owner. If a trust owns all or part of the concern, each trustee and trust beneficiary is considered an owner.
Hedge fund has the meaning given that term in section 13(h)(2) of the Bank Holding Company Act of 1956 (12 U. S. C.
1851(h)(2)). The hedge fund must have a place of business located in the United States and be created or organized in the United States, or under the law of the United States or of any State. Portfolio company means any company that is owned in whole or part by a venture capital operating company, hedge fund, or private equity firm.
Private equity firm has the meaning given the term private equity fund in section 13(h)(2) of the Bank Holding Company Act of 1956 (12 U. S. C.
1851(h)(2)). The private equity firm must have a place of business located in the United States and be created or organized in the United States, or under the law of the United States or of any State. Venture capital operating company means an entity described in § 121.
103(b)(5)(i), (v), or (vi). The venture capital operating company must have a place of business located in the United States and be created or organized in the United States, or under the law of the United States or of any State. ANC means Alaska Native Corporation.
NHO means Native Hawaiian Organization. SBCs must also meet the other regulatory requirements found in 13 C. F.
R. Part 121. Business concerns, other than investment companies licensed, or state development companies qualifying under the Small Business Investment Act of 1958, 15 U.
S. C. 661, et seq.
, are affiliates of one another when either directly or indirectly, (a) one concern controls or has the power to control the other; or (b) a third-party/parties controls or has the power to control both. Business concerns include, but are not limited to, any individual (sole proprietorship) partnership, corporation, joint venture, association, or cooperative.
The How to Apply – Application Guide should be referenced for detailed eligibility information. Small business concerns that are more than 50% owned by multiple venture capital operating companies, hedge funds, private equity firms, or any combination of these are NOT eligible to apply to the NIH STTR program.
Performance Benchmark Requirements Phase I to Phase II Transition Rate Benchmark: In accordance with guidance from the SBA, the HHS SBIR/STTR Program is implementing the Phase I to Phase II Transition Rate benchmark required by the SBIR/STTR Reauthorization Act of 2011 and the SBIR and STTR Extension Act of 2022.
The benchmark establishes a minimum number of Phase II awards the company must have received relative to a given number of Phase I awards received during the 5-fiscal year time period.
The Transition Rate is calculated as the total number of SBIR and STTR Phase II awards a company received during the past 5 fiscal years divided by the total number of SBIR and STTR Phase I awards it received during the past 5 fiscal years excluding the most recently completed year.
The Transition Rate requirement, agreed upon and established by all 11 SBIR agencies, was published for public comment in a Federal Register Notice on October 16, 2012 (77 FR 63410) and amended on May 23, 2013 (78 FR 30951).
For SBIR and STTR Phase I applicants that have received more than 20 Phase I awards over the past 5 fiscal years (excluding the most recently-completed fiscal year): Companies that do not meet or exceed the benchmark minimum Transition Rate of 0. 25 will not be eligible to apply for a Phase I, Fast-Track, or Direct Phase II (if available) award for a period of one year from the date of the application submission.
This requirement does not apply to companies that have received 20 or fewer Phase I awards over the prior 5-fiscal year period. For application deadlines that fall on or after April 5, 2023: For SBIR and STTR Phase I applicants that have received more than 50 Phase I awards over the past 5 fiscal years (excluding the most recently-completed fiscal year): Companies that do not meet or exceed the benchmark minimum Transition Rate of 0.
5 will not be eligible to receive more than 20 total Phase I and Phase II awards for a period of one year from the date on which such determination is made. This requirement does not apply to companies that have received 50 or fewer Phase I awards over the 5-fiscal year period. On June 1 of each year, SBA will identify the companies that fail to meet minimum performance requirements.
SBA calculates individual company Phase I to Phase II Transition Rates using SBIR and STTR award information across all federal agencies. SBA will notify companies and the relevant officials at the participating agencies. More information on the Phase I to Phase II Transition Rate requirement is available at SBIR.
gov. Phase II to Commercialization Benchmark: In accordance with guidance from the SBA, the HHS SBIR/STTR Programs are implementing the Phase II to Commercialization Rate benchmark for Phase I applicants, as required by the SBIR/STTR Reauthorization Act of 2011 and the SBIR and STTR Extension Act of 2022.
The Commercialization Rate Benchmark was published in a Federal Register notice on August 8, 2013 ( 78 FR 48537 ), with a reopening of the comment period published on September 26, 2013 (78 FR 59410).
For companies that have received more than 15 Phase II awards from all agencies over the past 10 fiscal years (excluding the two most recently completed fiscal year): Companies that meet this criterion must show an average of at least $100,000 in revenues and/or investments per Phase II award or at least 0. 15 (15%) patents per Phase II award resulting from these awards during the past 10- fiscal year period.
Applicants that fail this benchmark will not be eligible to apply for New Phase I, Fast-track or Direct Phase II (if applicable) awards for a period of one year. This requirement does not apply to companies that have received 15 or fewer Phase II awards over the 10-fiscal year period, excluding the two most recently completed fiscal years.
For application deadlines that fall on or after April 5, 2023: For companies that have received more than 50 Phase II awards from all agencies over the past 10-fiscal years (excluding the two most recently completed Fiscal Year): Companies that meet this criterion must show an average of at least $250,000 of aggregated sales and investment per Phase II award over the past 10-fiscal year period.
Applicants that fail this benchmark will not be eligible to receive more than 20 total Phase I and Phase II awards for a period of one year from the date on which such determination is made. This requirement does not apply to companies that have received 50 or fewer Phase II awards over the 10-fiscal year period, excluding the two most recently completed fiscal years.
For application deadlines that fall on or after April 5, 2023: For companies that have received more than 100 Phase II awards from all agencies over the past 10-fiscal years (excluding the two most recently completed Fiscal Year): Companies that meet this criterion must show an average of at least $450,000 of aggregated sales and investment per Phase II award over the past 10-fiscal year period.
Applicants that fail this benchmark will not be eligible to receive more than 20 total Phase I and Phase II awards for a period of one year from the date on which such determination is made. This requirement does not apply to companies that have received 100 or fewer Phase II awards over the 10-fiscal year period, excluding the two most recently completed fiscal years. Non-domestic (non-U.
S.) Entities (Foreign Organizations) are not eligible to apply. Non-domestic (non-U.
S.) components of U. S.
Organizations are not eligible to apply. Foreign components, as defined in the NIH Grants Policy Statement , may be allowed. Applicant organizations must complete and maintain the following registrations as described in the How to Apply – Application Guide to be eligible to apply for or receive an award.
All registrations must be completed prior to the application being submitted. Registration can take 6 weeks or more, so applicants should begin the registration process as soon as possible. Failure to complete registrations in advance of a due date is not a valid reason for a late submission, please reference NIH Grants Policy Statement 2.
3. 9. 2 Electronically Submitted Applications for additional information.
System for Award Management (SAM) – Applicants must complete and maintain an active registration, which requires renewal at least annually . The renewal process may require as much time as the initial registration. SAM registration includes the assignment of a Commercial and Government Entity (CAGE) Code for domestic organizations which have not already been assigned a CAGE Code.
Unique Entity Identifier (UEI) – A UEI is issued as part of the SAM. gov registration process. The same UEI must be used for all registrations, as well as on the grant application.
SBA Company Registry – See How to Apply – Application Guide for instructions on how to register and how to attach proof of registration to your application package. Applicants must have a UEI to complete this registration. SBA Company registration is NOT required before SAM, Grants.
gov or eRA Commons registration. eRA Commons – Once the unique organization identifier is established, organizations can register with eRA Commons in tandem with completing their Grants. gov registration; all registrations must be in place by time of submission.
eRA Commons requires organizations to identify at least one Signing Official (SO) and at least one Program Director/Principal Investigator (PD/PI) account in order to submit an application. Grants. gov – Applicants must have an active SAM registration in order to complete the Grants.
gov registration. Program Directors/Principal Investigators (PD(s)/PI(s)) All PD(s)/PI(s) must have an eRA Commons account. PD(s)/PI(s) should work with their organizational officials to either create a new account or to affiliate their existing account with the applicant organization in eRA Commons.
If the PD/PI is also the organizational Signing Official, they must have two distinct eRA Commons accounts, one for each role. Obtaining an eRA Commons account can take up to 2 weeks.
Eligible Individuals (Program Director/Principal Investigator) Any individual(s) with the skills, knowledge, and resources necessary to carry out the proposed research as the Program Director(s)/Principal Investigator(s) (PD(s)/PI(s)) is invited to work with his/her organization to develop an application for support.
For institutions/organizations proposing multiple PDs/PIs, visit the Multiple Program Director/Principal Investigator Policy and submission details in the Senior/Key Person Profile (Expanded) Component of the SF424 (R&R) Application Guide. Under the SBIR program, for both Phase I and Phase II, the primary employment of the PD/PI must be with the small business concern at the time of award and during the conduct of the proposed project.
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