Small Business Innovation Research (SBIR)
- What is the SBIR program?
- What are the three phases of the SBIR program?
- Do you have to be a Phase I awardee in order to be considered for Phase II of a project?
- What is the small business size standard for purposes of the SBIR program?
- How can a small business concern obtain funding under SBIR?
- What is an SBIR funding agreement?
- Who are the participants in the SBIR program?
- Can a firm go directly to a Phase II award without having to compete for Phase I?
- Is a small U.S. firm still eligible to compete for an SBIR award if it forms a 50-50 joint venture with a nonprofit or foreign firm?
- Are foreign-based firms eligible for SBIR awards?
- Are nonprofit concerns eligible for SBIR awards?
- May a portion of an SBIR award be subcontracted?
- Can a federal agency other than the one originating the Phase I award make the Phase II award under the same SBIR topic?
- What is the difference between SBIR solicitations and the SBIR Pre-Solicitation Announcement?
- Are data rights protected and for what length of time?
- Will innovations that have been patented or have patents pending be considered under SBIR?
- Can participating federal agencies provide funds for SBIR commercialization?
1. What is the SBIR program?
The Small Business Innovation Research (SBIR) program is a highly competitive three-phase award system that provides qualified small business concerns with opportunities
to propose innovative ideas that meet the specific research and development needs of the federal government.
2. 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.
3. Do you have to be a Phase I awardee in order to be considered for Phase II of a project?
Yes.
4. 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 that, including its affiliates, has a number of employees not
exceeding 500.
5. 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.
6. 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.
7. 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
8. 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.
9. Is a small
U.S.
firm still eligible to compete for an SBIR award if it forms a 50-50 joint venture with a nonprofit or foreign firm?
No.
10. Are foreign-based firms eligible for SBIR awards?
No. To be eligible for award of SBIR funding agreements, a small business concern must be independently owned and operated, have a principal place of business located in
the United States, and be at least 51 percent owned by U.S. citizens or lawfully admitted permanent resident aliens.
11. Are nonprofit concerns eligible for SBIR awards?
No.
12. 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.
13. Can a federal agency other than the one originating the Phase I award make the Phase II award under the same SBIR topic?
No. Awards of this type would be the result of an unsolicited proposal and therefore would be considered outside the scope of the SBIR program.
14. 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 that may result in the award of Phase I SBIR funding
agreements.
SBIR Pre-Solicitation Announcements, released by the SBA, contain pertinent data on SBIR solicitations that are about to be released by the participating federal agencies.
15. Are data rights protected and for what length of time?
Data rights are protected by agencies for a period of not less than four years from delivery of the last deliverable under the Phase I, II, or III award.
16. Will innovations that have been patented or have patents pending be considered under SBIR?
No. SBIR is a program for NEW high-tech innovations.
17. 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.
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