|
Q: |
What
is NIST's SBIR Program? |
|
A: |
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. |
| |
|
| 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. |
| |
|
| Q: |
How does a
small business apply? |
|
A: |
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. |
| |
|
|
Q: |
How
are the awardees selected? |
|
A: |
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. |
| |
|
| 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. |
| |
|
| 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. |
| |
|
| 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. |
| |
|
| 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. |
| |
|
| Q: |
My small business
was awarded an SBIR grant by an agency other than NIST (eg DoD, NIH,
NSF,…) and I would like to work with NIST on certain aspects
on that research because of NIST’s unique capabilities. Will
NIST provide me with technical assistance that I need? |
| A: |
NIST research labs may not
be considered as a resource for general product development research
in SBIR projects. SBIR funds should be spent in private sector research
labs whenever possible. However, NIST research labs could be used
under conditions where there is a very special piece of instrumentation/measurement/expertise
not available in the private sector which may facilitate the overcoming
of significant barriers in SBIR research. In such cases, a clear definition
of the measurement required (i.e. what exactly has to be measured)
should be identified and if the NIST resources are available, collaborative
efforts may be possible. Any use of the NIST research labs should
be aligned with the NIST mission of addressing new measurement needs
for innovation and industrial competitiveness. In most cases, any
research performed at NIST is open to the public.
If SBIR funds are to be used to fund the NIST effort, a waiver
from the SBA is required. This waiver is handled through the agency
that granted the SBIR funding agreement.
NIST has regular services that are available for small business
and SBIR awardees. For example, the Manufacturing Extension Partnerships
and Calibrations and Standards may be available.
|
|
 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) 975-3482, Email: sbir@nist.gov
Date created:
February 15, 2002
Last modified: March 2, 2009
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