SBIR
What is the SBIR program?
Who are the Federal agencies involved with the SBIR
program?
What is the objective of the SBIR program?
What research topics do the SBIR program fund?
What are the three phases of the SBIR program?
Do you have to be a Phasae I awardee in order to be
considered for Phase II?
What is a principle investigator (PI)?
Does the PI have to be employed by the small business?
What are the eligibility requirements for the SBIR
applicant?
Must you be an established business when you propose?
What are the responsibilities of the federal agencies
participating in SBIR programs?
Are foreign-based firms eligible for SBIR awards?
Are non-profit 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?
STTR
What is the STTR program?
Who are the federal agencies involved with the STTR
program?
What is the objective of the STTR program?
What is unique about the STTR program?
Who is considered as a non-profit research institute?
What research topics do the STTR program fund?
What are the three phases of the STTR program?
What is the purpose of a solicitation?
What is a principle investigator (PI)?
Does the PI have to be employed by the small business?
Must you be an established business when you propose?
Who can propose?
What as the size criterion?
How are future rights to projects developed under
STTR determined?
Can a firm go directly to a Phase II award without
having to compete for Phase I?
Can a small business concern participate in both SBIR
and STTR simultaneously at the same or differing agencies?
Must a successful Phase I small business concern use
the same institution in Phase II?
Will an unsolicited proposal be accepted in the STTR
program?
Who is the prime contractor or grantee?
Must the small business concern and/or the research
institution be located in the United States?
Can a Phase III follow-on contract for funding be
made, without competition, to the firm that successfully completes Phase
I and II?
May a portion of an STTR award be subcontracted?
Fast Track
What is a Fast-Track application?
How does Fast-Track application work?
SBIR FAQ
Q. What is the SBIR program? -top
The Small Business Innovation Research (SBIR) program is administered
by Federal agencies with extramural research and development budgets
over $100 million. These Federal agencies set-aside 2.5% of their budget
for small companies to conduct innovative research or research and development
that has potential for commercialization and public benefit.
Q: Who are the Federal agencies involved with
the SBIR program? -top
Currently ten Federal agencies participate in the SBIR program:
Department of Health and Human Services (DHHS)
Department of Agriculture (USDA)
Department of Commerce (DOC)
Department of Defense (DOD)
Department of Education (DoED)
Department of Energy (DOE)
Department of Transportation (DOT)
Environmental Protection Agency (EPA)
National Aeronautics and Space Administration (NASA)
National Science Foundation (NSF)
Q. What is the objective of the SBIR program?
-top
The SBIR program uses small business to:
(a) stimulate technological innovation,
(b) strengthen the role of small business in meeting Federal R&D
needs,
(c) increase private sector commercialization of innovations,
(d) foster and encourage participation by socially and economically
disadvantaged small businesses and women-owned business concerns.
Q. What research topics do the SBIR program
fund? -top
Small businesses are encouraged to submit SBIR grant applications in
response to research topics identified in an agency's solicitation.
The application will be accepted and considered in any area within the
mission of the awarding components identified in the solicitation.
Q. What are the three phases of the SBIR program?
-top
Phase I is a feasibility study to establish the technical and scientific
merit of the proposed research and development effort. SBIR Phase I
awards normally may not exceed $100,000 total costs for a period normally
not to exceed 6 months.
Phase II is to continue the research or research and development efforts
initiated in Phase I. Funding for Phase II awards is based on the results
of Phase I, scientific and technical merit and commercial potential.
SBIR Phase II awards normally may not exceed $750,000 in total costs
for a period normally not to exceed two years.
Phase III is for the small business concern to pursue the commercialization
objectives resulting from the research funded in Phases I and II with
non-SBIR/STTR funds (either Federal or non-Federal)
Q. Do you have to be a Phase I awardee in order
to be considered for Phase II? -top
Yes! Only Phase I grantees are eligible to obtain Phase II funding,
and only one Phase II award may be made for a single SBIR project.
Q. What is a principle investigator (PI)? -top
The PI is the "single individual designated by the grantee in the
grant application" who is responsible for the scientific and technical
direction of the project. Documentation to verify the eligibility of
the PI will be required.
Q. Does the PI have to be employed by the small
business? -top
Routinely, the primary employment of the PI must be with the small business
concern at the time of the award and during the conduct of the proposed
project.
Q. What are the eligibility requirements for
the SBIR applicant? -top
Each organization submitting an SBIR grant application must be:
(a) For-profit US business firm
(b) At least 51% US-owned and independently operated
(c) Small business located in the US
(d) Principle Investigator's primary employment with small business
during project
(e) 500 or fewer employees
Q. Must you be an established business when
you propose? -top
No. However, you must be organized as a business at the time of award.
Q. What are the responsibilities of the federal
agencies participating in SBIR programs? -top
(a) selecting SBIR topics
(b) releasing SBIR solicitations
(c) evaluating SBIR proposals
(d) awarding SBIR funding agreements on a competitive basis
Q. Are foreign-based firms eligible for SBIR
awards? -top
No! A US-owned small business is required.
Q. Are nonprofit concerns eligible for SBIR
awards? -top
No! A for-profit business is required.
Q. May a portion of an SBIR award be subcontracted?
-top
In Phase I, normally, a minimum of two-thirds or 67% of the research
and analytical effort must be carried out the small business concern.
In Phase II, normally, a minimum of one-half or 50% of the research
or analytical effort must be carried out by the small business concern.
Q. Can a federal agency other than the one originating
the Phase I award make the Phase II award under the same SBIR topic?
-top
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.
STTR
FAQ
Q. What is the STTR program? -top
The Small Business Technology Transfer Research (STTR) program is administered
by Federal agencies with extramural research and development budgets
over $1 billion. These Federal agencies set-aside 0.15% of their budget
for small companies to conduct innovative research or research and development
that has potential for commercialization and public benefit. The set-aside
will increase to 0.30% in FY 2004.
Q: Who are the federal agencies involved with the STTR program? -top
Currently five Federal agencies participate in the STTR program:
Department of Health and Human Services (DHHS)
Department of Defense (DOD)
Department of Energy (DOE)
National Aeronautics and Space Administration (NASA)
National Science Foundation (NSF)
Q. What is the objective of the STTR program? -top
The STTR program is similar to the SBIR program in that both programs
seek to increase the participation of small business businesses in Federal
research and development and to increase private sector commercialization
of technology developed through Federal research and development.
Q. What is unique about the STTR program? -top
A non-profit research institute must perform at least 30% of the work
and at least 40% of the work must be performed by the small business
for both Phase I and II projects. In addition, unlike the SBIR, primary
employment of the principle investigator (PI) is not stipulated under
the STTR program.
Q. Who is considered as a non-profit research institute? -top
Such institutions include universities, non-profit hospitals, and other
non-profit organizations as well as federally funded research and development
centers.
Q. What research topics do the STTR program fund? -top
Small businesses and non-profit organizations are encouraged to submit
STTR grant applications in response to research topics identified in
an agency's solicitation. The application will be accepted and considered
in any area within the mission of the awarding components identified
in the solicitation.
Q. What are the three phases of the STTR program? -top
Phase I is a feasibility study to establish the technical and scientific
merit of the proposed research and development effort. SBIR Phase I
awards normally may not exceed $100,000 total costs for a period normally
not to exceed 12 months.
Phase II is to continue the research or research and development efforts
initiated in Phase I. Funding for Phase II awards is based on the results
of Phase I, scientific and technical merit and commercial potential.
SBIR Phase II awards normally may not exceed $500,000 in total costs
for a period normally not to exceed two years.
Phase III is for the small business concern to pursue the commercialization
objectives resulting from the research funded in Phases I and II with
non-SBIR/STTR funds (either Federal or non-Federal)
Q. What is the purpose of a solicitation? -top
The purpose of the solicitation is to invite Phase I or Fast-Track (Phase
I/Phase II) SBIR and STTR grant applications from domestic small business
concerns that have the technological expertise to contribute to the
R& D missions(s) of the selected Federal agencies.
Q. What is a principle investigator (PI)? -top
The PI is the "single individual designated by the grantee in the
grant application" who is responsible for the scientific and technical
direction of the project. Documentation to verify the eligibility of
the PI will be required.
Q. Does the PI have to be employed by the small business? -top
The PI on an STTR may be from the small business or the research institution
as long as s/he has a formal appointment with or commitment to the applicant
small business concern, which is characterized by an official relationship
between the small business concern and that individual.
Q. Must you be an established business when you propose? -top
No. However, you must be organized as a business at the time of award.
Q. Who can propose? -top
Only small for-profit businesses can propose.
Q. What is the size criterion? -top
A small business concern must have 500 or fewer employees including
subsidiaries and/or affiliates. The size of the nonprofit collaborator
is not relevant.
Q. How are future rights to projects developed under STTR determined? -top
The small business concern and the research institution must develop
a written agreement prior to a Phase I award. This agreement must be
submitted to the awarding agency if requested.
Q. Can a firm go directly to a Phase II award without having to
compete for Phase I? -top
No. The SBIR Program was created for new innovations to meet existing
Federal research and development 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. Can a small business concern participate in both SBIR and STTR
simultaneously at the same or differing agencies? -top
Yes, but they may not perform the same or essentially similar work under
more than one contract or grant. Obtaining funds more than once for
the same work is considered as fraud.
Q. Must a successful Phase I small business concern use the same
institution in Phase II? -top
No. The small business concern can change research institutions in Phase
II.
Q. Will an unsolicited proposal be accepted in the STTR program? -top
No. Proposals must respond to the solicitation as published by one or
more of the participating agencies.
Q. Who is the prime contractor or grantee? -top
The small business concern.
Q. Must the small business concern and/or the research institution
be located in the United States? -top
Yes. Both the small business concern and the institution must be on
U.S. soil.
Q. Can a Phase III follow-on contract for funding be made, without
competition, to the firm that successfully completes Phase I and II. -top
Yes, the firm may be given a sole source contract in Phase III for further
work or production.
Q. May a portion of an STTR award be subcontracted? -top
In Phase I and phase II, at least 40% of the work must be performed
by the small business concern and at least 30% of the work must be performed
by the Research Institution.
Fast
Track FAQ
Q. What is a Fast-Track application? -top
The Fast-track mechanism expedites the decision and award of SBIR and
STTR Phase II funding for scientifically meritorious applications that
have high potential for commercialization.
Q. How does Fast-Track application work? -top
Fast Track incorporates a review process, in which both Phase I and
Phase II grant applications are submitted and reviewed together. The
Phase I portion of a Fast Track must specify clear, measurable goals
(milestones) that should be achieved prior to initiating Phase II work.
In addition Fast Track application must present a Product Development
Plan that addresses specific points.
Sources: www.sba.gov/sbir/
and grants1.nih.gov/grants/funding/sbir.htm
