How to Apply

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How it Works "RoadMap"

Eligibility

ELIGIBILITY

[x] Qualify as SBC

To receive SBIR funds, SBIR Phase I or Phase II awardees must qualify as an SBC at the time of award and at any other time set forth in SBA's regulations, by submitting a certification stating such qualifying status ...

[x] Minimum Research per Phase

  • Phase I - minimum 1/3 of research or analytical effort must be performed.
  • Phase II - minimum 1/2 of research or analytical effort must be performed. Occassional deviations from these requirments must be approved in writing by the funding agreement officer after consultation with the agency SBIR Program Manager/Coordinator. An agency can use total contract dollars or labor hours to measure this research or analytical effort.

[x] Primary Employment for Principle Investigator

Phase I, II - primary employment of the principal investigator must be with the SBC at the time of award and during the conduct of the proposed project, precluding full-time employment with another organization.

[x] Location of R/R&D

Phase I, II - R/R&D work must be performed in the United States.
In unique circumstance (with approval from the funding agreeement officer), a portion of the R/R&D work may be
performed or obtained in a country outside of the United States.

[x] Successors

SBIR awardee and SBIR work may include person(s) identified via a "novated" or "successor in interest", or person(s)
that have reorganized with the same key staff, even if they have been assigned a different tax identification number.

Proposal (Application) Requirements

PROPOSAL REQUIREMENTS

[x] Registration and Certifications for Proposal and Award

  1. Each Phase I and Phase II applicant that is majority-owned by multiple venture capital operating companies, hedge funds, or private equity firms must register with SBA in the Company Registry Database at www.SBIR.gov and submit a certification with its SBIR application to the SBIR agency.
  2. Each applicant must register in SBA's Company Registry Database (see Appendix IV) and submit Proof of Registration PDF with its application if the agency is unable to obtain this information via Tech-Net.
  3. Agencies may request the SBIR applicant to submit a certification at the time of submission of the application or offer, which requires the applicant to state that it intends to meet the size, ownership and other requirements of the SBIR Program at the time of award of the funding agreement, if selected for award. See Appendix I for the required text of the certification.

[x] Commercialization Plan -- A succinct commercialization plan must be included with each proposal for an SBIR Phase II award moving toward commercialization. Elements of a commercialization plan will include the following,

  1. Company information
  2. Customer and Competition
  3. Market
  4. Intellectual Property
  5. Financing
  6. Assistance and Mentoring
For details on these, visit SMALL BUSINESS INNOVATION RESEARCH (SBIR) PROGRAM POLICY DIRECTIVE at http://www.sbir.gov/sites/default/files/sbir_pd_with_1-8-14_amendments_2..., section 6b.

[x] Data Collection

Each Phase I and II applicant will be required to provide information in www.SBIR.gov (see Appendix IV) as well as the other information required by Appendices VVI to the agency or www.SBIR.gov. Each SBC applying for a Phase II award is required to update the appropriate information in the database for any of its prior Phase II awards

[x] Location of R/R&D

Phase I, II - R/R&D work must be performed in the United States. In unique circumstance (with approval from the funding agreeement officer), a portion of the R/R&D work may be performed or obtained in a country outside of the United States.

[x] Successors

SBIR awardee and SBIR work may include person(s) identified via a "novated" or "successor in interest", or person(s)that have reorganized with the same key staff, even if they have been assigned a different tax identification number.

Identify Opporturnity
IDENTIFY OPPORTUNITY

[x] Indentify Opportunity

Find the Opportunity (Solicitation) on SBIR.Gov for which you'd like to apply.
You may also find the Opportunity (Solicitation) on FedBizOpps

Opportunites maybe divided into:
  • Pre solicitation
  • Full solicitation
Locate Opportunity
LOCATE OPPORTUNITY ON SBIR.GOV

[x] Match Opportunity

On SBIR.Gov Portal:

  1. Under Open/Future Solicitations, select a Solicitation.
  2. Find Details of Solicitation such as...
    • Latest Amendments
    • Notices on SBIR.Gov
    • Specific Topics within the Solicitation
Portal Requirements
PORTAL-SPECIFIC REQUIREMENTS

[x] Proposal/Application Specifics

Steps for proposal submission may vary by Agency as each has its own proposal submission guidelines. However, the steps below provide general guidance for how to submit an application. Agencies post solicitations describing the technical areas and seek proposals from small businesses. A few agencies follow an annual solicitation proposal cycle, while others float solicitations as the need arises. Agencies post solicitations on their sites as well as grants.gov." In general, an SBIR Phase I proposal submission package has the following components:

  1. Register your company on SBIR.Gov if you have not already done so. You will receive login account credentials.
  2. Submit a Pre-Submission Inquiry if applicable
  3. Login with your credentials and Submit a Phase I Proposal (complete applicable sections which may include):
    • Business Plan
    • Executive summary
    • Cost Proposal
    • Technical Proposal
  4. Login and Submit a Phase II Proposal (complete applicable sections which may include): Commercialization Plan

Portal Review

REVIEW

[x] Selection Process and Review Criteria

  1. Selection Process and Review Criteria
    1. In order for a small business to receive SBIR or STTR funding, every application must go through a peer review process. Agencies use a rigorous peer review system to ensure only the most meritorious scientific proposals are funded.
    2. Wondering about grant deadlines or when to expect your award money?
      Check out Review and Funding Schedule on the respective agency websites.
    3. Login and Submit a Phase II Proposal (complete applicable sections) Commercialization Plan
Post Award
POST AWARD

[x] Proposal Awarded

After Receiving Award, You're expected to...

  1. Conduct Research or Develop Technology as per the Proposal Submission.
  2. Provide Period Status Reports.
  3. Minimize Period of Performance Extension or Modification of Funding Agreement for increased dollar amounts.
  4. NOT submit an "Essentially Equivalent Work" to another sponsoring agency.
  5. Certify no "Essentially Equivalent Work" has been submitted to another sponsoring agency.

Agency Micro-sites

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