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Q:
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What is NIST's SBIR Program?
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A:
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The program consists of three phases: In Phase
1, a small business can receive up to $90,000 to establish the scientific
or technical merit or feasibility of ideas that appear to have commercial
potential. The successful completion of Phase 1 enables the awardee
to compete for a Phase 2 contract for up to $300,000 to continue
research in the same technical area. Phase 1 awardees have 6 months
to complete their work; Phase 2 awardees have up to 2 years. Phase
2 is the principal R&D effort. Under Phase 3, no SBIR funds
are available to pursue commercial applications of the technology.
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| Q. |
What makes
a small business eligible? |
| A. |
The pertinent regulation states that to be eligible
to compete for the award of funding agreements for Phases 1 and
2 of the SBIR Program, the business concern must:
(a) Be 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
(b) Not have more than 500 employees, including its affiliates.
13 C.F.R. § 121.702. The express terms of § 121.702(a)
require that the owners of the SBIR participant be "individuals"
who are "citizens of, or permanent resident aliens in, the
United States." The regulations nowhere provide that corporations
or other artificial entities may qualify as "individuals"
who are U.S. citizens, nor do they suggest that indirect ownership
of an SBIR participant by a U.S. citizen satisfies the ownership
requirements of § 121.702(a).
For example,
Example 1. Applicant to the SBIR Program is owned 100% by Company
A. Company A is owned 100% by U.S. citizens. The applicant is not
eligible for the program because it is not directly owned and controlled
51% by citizens of or permanent resident aliens in the United States.
Example 2. Applicant to the SBIR Program is owned 51% by U.S. citizens
and permanent resident aliens of the United States and 49% by a
corporation. It is eligible for the program, assuming it meets the
other eligibility requirements (such as size) because 51% of the
ownership rests directly with U.S. citizens and permanent resident
aliens of the United States.
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| Q: |
How does a
small business apply? |
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A:
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In October of each year, a program solicitation
document is published containing a list of R&D topics. Applicants
can choose from the research topics identified in the solicitation
and submit a proposal for any topic in which they feel qualified.
Proposals must adhere to the guidelines provided in the solicitation;
proposals that do not comply will not be considered. Unsolicited
proposals are not accepted. Proposals are due by mid-January.
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Q:
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How are the awardees selected?
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A:
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Each Phase 1 proposal is evaluated and numerically
scored by two Agency experts familiar with the topic, according
to prescribed criteria contained in the program solicitation. Selection
is based on those technical scores, combined with a priority ranking
provided by the laboratory management sponsoring the topic, with
heavy emphasis on the probability of commercialization of the technology.
The selection methodology is similar for Phase 2, and even greater
emphasis is given to the commercial potential of the project.
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| Q: |
May I include
in my SBIR proposal work that I intend to subcontract to a federal
lab? |
| A: |
NIST will not issue an SBIR
funding agreement that includes a provision for subcontracting any
portion of that agreement back to NIST, to any other Federal Government
agency, or to other units of the Federal Government. |
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| Q: |
I have applied for a
patent (or, considering to apply) on a great idea that could revolutionize
my field. Will the NIST SBIR Program fund the development of this
technology to bring it to market? |
| A: |
No, the R&D feasibility
study Phase 1 of the SBIR Program is a required component that cannot
be skipped. There are other sources of funding available to develop
product from technology already established, such as: angel investors,
venture capital, and loans. The SBA
website provides guidance in this area. |
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| Q: |
The NIST SBIR subtopic
### in the Solicitation states: "A prototype is expected at the
end of phase 1..." Is it reasonable to perform a feasibility
study, design and manufacture and test a prototype in 6 months with
a budget of $75K without having already done most of the work? |
| A: |
Of course, the complete
development of the functional system that meets all market demanded
specifications is not expected to be completed in six months with
a $75k budget!
The first phase, as a proving ground, provides the demonstration
of a new technology by designing, building and testing a prototype.
The resulting prototype from a Phase 1 effort may not have "bells
and whistles." For example, it may not be hand-held, or robust,
or whatever other higher-level requirement there may be. However,
the Phase 1 prototype would encapsulate the innovative technologies
researched during Phase 1 that are needed to overcome basic and
challenging technological gaps that exist in the state of the art.
Phase 2 would progress to the reduction of the demonstrated technology
toward a prototype more comparable to that which would hit the market
during the commercialization Phase 3.
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| Q: |
Is it permissible to
re-submit a proposal rejected from the prior year's Solicitaion? One
of the subtopics in this year's solicitation is similar to a topic
in last year's solicitation. Maybe a resubmission with updated material
would be appropriate and responsive to the current subtopic? |
| A: |
Provided it is updated to
include state-of-the-art technology and addresses deficiencies that
were noted in the reviewers' comments, you may resubmit. Please note
that if it is essentially the same proposal, it will be returned without
review. If it was deemed unacceptable once, it would meet the same
fate again and will not pass the screening stage. |
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|
 SBIR Home | Selection Process | Awards
| Schedule | FAQs | Links
| Contact SBIR
For
technical questions concerning the Small Business Innovation Research
Program, contact us:
Office
of Technology Partnerships, NIST, 100 Bureau Drive, Stop 2200, Gaithersburg,
MD 20899-2200
Phone: (301) 975-3085, Fax: (301) 548-0624, Email: sbir@nist.gov
Date created:
February 15, 2002
Last modified: March 13, 2008
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