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| Introduction | Background | Phases | Eligibility | Historical Statistics | Other Related Information | Contact Us |
INTRODUCTION.
The U.S. Congress established the Small Business Innovation Research (SBIR) Program to stimulate technological innovation, utilize small business to meet federal research and development needs, and increase private sector commercialization.
BACKGROUND.
There are 10 federal agencies which participate in this program. The program is administered similarly by each of these departments. The U.S. Department of Education (ED) generally holds one annual competition. In FY 2002, ED began to transition from a contract to grant award. The scheduled release date is for April and the closing date is in June. Awardees are notified in August; with a projected start date before September 30.
The program announcement provides comprehensive information, including:
- Background on the SBIR program;
- Topical/Priority areas;
- Information sources and Departmental contacts;
- Evaluation criteria; and,
- Other related program information (rights in technical data, copyrights, patents, and equipment).
PHASES.
SBIR is a highly competitive three-phase award program.
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Phase I is a feasibility study to evaluate the scientific and technical merit of an idea. Applications are evaluated based on published criteria by panels of expert reviewers. Awards are for periods up to 6 months in amounts up to $75,000. [Beginning in FY 2002]
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Phase II is to expand on the results of and to further pursue the development of Phase I. Phase II applicants must be Phase I awardees. Once again, applications are evaluated based on published criteria by panel of expert reviewers. Awards are for periods up to 2 years in amounts up to $500,000. [Beginning in FY 2003]
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Phase III is for the commercialization of Phase II results and requires the use of private sector or non-SBIR Federal funding.
ELIGIBILITY.
Small business concerns must meet certain eligibility criteria to participate:
- The company is at least 51% American-owned and independently operated;
- The small business concern is located in the U.S.:
- It is for-profit and employs no more than 500 employees; and,
- The principal researcher's primary employment is with the small business during the project.
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1997 |
1998 |
1999 |
2000 |
2001 |
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Number of Phase I topics areas |
18 |
17 |
11 |
14 |
11 |
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Phase I Proposals/Applications: |
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Received |
260 |
231 |
208 |
160 |
278 |
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Awarded |
50 |
41 |
40 |
50 |
39 |
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Percent Awarded |
19.2 |
17.82 |
19.2 |
31.3 |
14.0 |
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Phase II Proposals/Applications:
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Received |
17 |
49 |
34 |
33 |
48 |
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Awarded |
6 |
18 |
10 |
14 |
16 |
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Percent Awarded |
35.3 |
36.7 |
29.4 |
42.4 |
33.3 |
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Obligations (in $ millions):
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TOTAL
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4.5 |
5.1 |
5.3 |
5.9 |
6.8 |
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Phase I |
2.5 |
2.0 |
2.0 |
2.5 |
2.3 |
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Phase II |
2.0 |
3.1 |
3.3 |
3.4 |
4.4 |
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Total obligations as a percent of total extramural RD&D budget |
2.5 |
2.5 |
2.6 |
2.5 |
2.6 |
OTHER RELATED INFORMATION.
The US Small Business Administration (SBA) plays an important role as the coordinating agency for the SBIR program. It directs the 10 agencies' implementation of SBIR, reviews their progress, and reports annually to Congress on its operation. Further information about the Federal agency SBIR Program Announcements and Solicitations is available at:
For more information on the SBIR Program, please contact:
US Small Business Administration
Office of Technology
409 Third Street, SW
Washington, DC 20416
(202) 205-6450
To receive information on other SBA programs, please contact your local SBA office or call the SBA Answer Desk: 1-800-8-ASK-SBA.
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