Q.
What is the SBIR Program?
The Small Business Innovation Research (SBIR) Program is a highly competitive
three-phase award system which provides qualified small business concerns
with opportunities to propose innovative ideas that meet the specific
research and research and development needs of the Federal Government.
Q. What are
the three phases of the SBIR Program?
Phase I is a feasibility study to evaluate the scientific and technical
merit of an idea. Awards are for periods of up to six months in amounts
up to $100,000.
Phase II is to expand
on the results of and further pursue the development of Phase I. Awards
are for periods of up to two years in amounts up to $750,000.
Phase III is for the
commercialization of the results of Phase II and requires the use of private
sector or non-SBIR Federal funding.
Q. Do you have
to be a Phase I awardee in order to be considered for Phase II of a project?
Yes.
Q. What is
the small business size standard for purposes of the SBIR Program?
A small business concern for purposes of award of any funding agreement
under the SBIR Program is one which, including its affiliates, has a number
of employees not exceeding 500.
Q. How does the Small
Business Administration define "small business concern" for the purposes of the SBIR
program?
It is defined as a concern that, on the date of award for both Phase I and
Phase II funding agreements:is organized for profit, with a place of business located in 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;
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 can be
no more than 49 percent participation by foreign business entities in the joint venture;
is at least 51 percent owned and controlled by one or more individuals who are citizens of,
or permanent resident aliens in, the United States; and
has, including its affiliates,
not more than 500 employees.
Q. How can
a small business concern obtain funding under SBIR?
A small business can obtain funding under SBIR by being the recipient
of a competitively awarded SBIR funding agreement.
Q. What is
an SBIR funding agreement?
An SBIR funding agreement is a contract or grant entered into between
an SBIR participating Federal agency and a small business concern for
the performance of experimental, developmental, or research work funded
by the Federal Government.
Q. Does the
Small Business Administration make any awards under the SBIR Program?
No. The SBA has authority and responsibility for monitoring and coordinating
the Government-wide activities of the SBIR Program and reporting its results
to Congress.
The Federal agencies
participating in SBIR have the responsibility for:
(a) selecting SBIR
topics
(b) releasing
SBIR solicitations
(c) evaluating
SBIR proposals
(d) awarding
SBIR funding agreements on a competitive basis
Q. Who are
the participants in the SBIR Program?
The following Federal agencies are eligible to participate:
- Department of Agriculture
- Department of Commerce
- Department of Defense
- Department of Education
- Department of Energy
- Department of Health
and Human Services
- Department of Transportation
- Environmental Protection
Agency
- National Aeronautics
and Space Administration
- National Science
Foundation
Q. Can a firm
go directly to a Phase II award without having to compete for Phase I?
No. The SBIR Program was created for NEW innovations to meet existing
Federal R&D needs. The results of a Phase I are a determining factor
in deciding whether there will be a Phase II award to continue the effort.
Q. Does SBA
designate any of the topics cited in SBIR solicitations or make any awards
under SBIR?
No. The legislation governing the SBIR Program gives unilateral authority
and responsibility for these functions to each of the Federal agencies
participating in the program.
Q. Since the
SBIR is a program to assist small business innovators, can SBA or the
other Federal participating agencies provide direct funding for a project
which a firm has initiated on its own?
No. SBA does not fund SBIR projects and such an endeavor would be
considered an unsolicited proposal, which is outside the scope of the
SBIR Program.
Q.Will innovations
that have been patented or have patents pending be considered under SBIR?
No. SBIR is a program for NEW high tech innovations.
Q. Is a small
US firm still eligible to compete for an SBIR award if it forms a 50-50
joint venture with a nonprofit or foreign firm?
No.
Q. Are foreign-based
firms eligible for SBIR awards?
No. To be eligible for award of SBIR funding agreements, a small business
concern has to meet the following qualifications:
- be independently
owned and operated
- principal place
of business is located in the United States
- at least 51 percent
owned or in the case of a publicly owned business, at least 51% of its
voting stock is owned by United States citizens or lawfully admitted
permanent resident aliens.
Q. Are nonprofit
concerns eligible for SBIR awards?
No.
Q. May a portion
of an SBIR award be subcontracted?
For Phase I, a minimum of two thirds of the research and/or analytical
effort must be performed by the proposing firm, and for Phase II, a minimum
of one-half of the research and/or analytical effort must be performed
by the proposing firm.
Q. Can a Federal
agency other than the one originating the Phase I award make the Phase
II award under the same SBIR topic?
Yes. The SBIR Policy Directive (September 2002) states that: "An SBIR
Phase II award may be issued by a Federal agency other than the one that made
the Phase I award. The Phase I and Phase II agencies should document their
files appropriately, providing clear rationale for the transfer of the Phase
II proposal to, and award by, the funding Federal agency."
Q. What is
the difference between SBIR solicitations and the SBIR Pre-Solicitation
Announcement?
SBIR solicitations are specific Requests for Proposals released by
the Federal agencies participating in the program which may result in
the award of Phase I SBIR funding agreements.
SBIR Pre-Solicitation
Announcements, released by SBA, contain pertinent data on SBIR solicitations
that are about to be released by the participating Federal agencies.
Q. Can participating
Federal agencies provide funds for SBIR commercialization?
No. Private sources
of capital should be used. However, the agencies can provide support for technical
assistance. SBIR awardees are encouraged to seek information on all of the services
made available to the small business community.
Q. Are data rights protected
and for what length of time?
Data rights are protected by agencies for a period of
not less than 4 years from delivery of the last deliverable under the Phase I, II, or III
award.