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小企業(yè)創(chuàng)新研究計(jì)劃,SBIR,The SBIR The Small Business Innovation Research
小企業(yè)創(chuàng)新研究資助計(jì)劃（SBIR計(jì)劃）”和“小企業(yè)技術(shù)轉(zhuǎn)移資助計(jì)劃（STTR計(jì)劃）”。
1977年，為了適應(yīng)小微企業(yè)快速發(fā)展的現(xiàn)狀和充分發(fā)揮小企業(yè)在高科技產(chǎn)業(yè)中機(jī)制靈活的優(yōu)勢，解決政府研究機(jī)構(gòu)產(chǎn)出的高科技研究成果難以迅速轉(zhuǎn)化為商品的問題，美國國家科學(xué)基金會試辦了這項(xiàng)面向全國高科技小企業(yè)的資助計(jì)劃。幾年之后，這項(xiàng)試驗(yàn)取得了很大的成功，很多高新技術(shù)小企業(yè)得到迅速發(fā)展。

隨后，在1982年美國國會通過了《小企業(yè)發(fā)展法》，規(guī)定聯(lián)邦政府中的國防部、能源部、教育部、國家健康研究院和國家科學(xué)基金會等十一個政府部門需依法實(shí)施SBIR計(jì)劃。這項(xiàng)規(guī)定明確表示，這些部門每年必須撥出其研究經(jīng)費(fèi)的1.25%用于支持高科技型小企業(yè)的技術(shù)創(chuàng)新與開發(fā)活動。1992年，國會對這項(xiàng)法案進(jìn)行了修改，要求上述十一個聯(lián)邦政府部門要撥出在該機(jī)構(gòu)以外（大學(xué)、大企業(yè)等）進(jìn)行研究與開發(fā)經(jīng)費(fèi)的2.5%用于支持小企業(yè)創(chuàng)新。

STTR則指的是Small Business Technology Transfer Program，即小企業(yè)技術(shù)轉(zhuǎn)移資助計(jì)劃。這個計(jì)劃是美國在1992年根據(jù)《小企業(yè)技術(shù)轉(zhuǎn)移法》設(shè)立的，目前在商務(wù)部、能源部等五個聯(lián)邦政府部門中實(shí)施。這個計(jì)劃要求各政府部門將其研究經(jīng)費(fèi)中的0.3%調(diào)撥用于STTR計(jì)劃， 資助高校或非贏利性研究機(jī)構(gòu)與小企業(yè)的合作及其技術(shù)轉(zhuǎn)移。


The Small Business Innovation Research (SBIR) program is a highly competitive program that encourages domestic small businesses to engage in Federal Research/Research and Development (R/R&D) that has the potential for commercialization. Through a competitive awards-based program, SBIR enables small businesses to explore their technological potential and provides the incentive to profit from its commercialization. By including qualified small businesses in the nation's R&D arena, high-tech innovation is stimulated and the United States gains entrepreneurial spirit as it meets its specific research and development needs.

SBIR Mission and Program Goals

The mission of the SBIR program is to support scientific excellence and technological innovation through the investment of Federal research funds in critical American priorities to build a strong national economy.

The program’s goals are four-fold:

• Stimulate technological innovation

• Meet Federal research and development needs.

• Foster and encourage participation in innovation and entrepreneurship by socially and economically disadvantaged persons.

• Increase private-sector commercialization of innovations derived from Federal research and development funding.

SBIR-Participating Agencies

Each year, Federal agencies with extramural research and development (R&D) budgets that exceed $100 million are required to allocate 2.5 percent of their R&D budget to these programs. Currently, eleven Federal agencies participate in the program:

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Each agency administers its own individual program within guidelines established by Congress. These agencies designate R&D topics in their solicitations and accept proposals from small businesses. Awards are made on a competitive basis after proposal evaluation.

Three-Phase Program

The SBIR Program is structured in three phases:

Phase I. The objective of Phase I is to establish the technical merit, feasibility, and commercial potential of the proposed R/R&D efforts and to determine the quality of performance of the small business awardee organization prior to providing further Federal support in Phase II. SBIR Phase I awards normally do not exceed $150,000 total costs for 6 months.

Phase II. The objective of Phase II is to continue the R/R&D efforts initiated in Phase I. Funding is based on the results achieved in Phase I and the scientific and technical merit and commercial potential of the project proposed in Phase II. Only Phase I awardees are eligible for a Phase II award. SBIR Phase II awards normally do not exceed $1,000,000 total costs for 2 years.

Phase III. The objective of Phase III, where appropriate, is for the small business to pursue commercialization objectives resulting from the Phase I/II R/R&D activities. The SBIR program does not fund Phase III. Some Federal agencies, Phase III may involve follow-on non-SBIR funded R&D or production contracts for products, processes or services intended for use by the U.S. Government.

SBIR Program Eligibility

Only United States small businesses are eligible to participate in the SBIR program. Business must meet all of the following criteria at the time of Phase I and II awards:

• Organized for profit, with a place of business located in the United States;

• At least 51 percent owned and controlled by one or more individuals who are citizens of, or permanent resident aliens in, the United States, or

• At least 51 percent owned and controlled by another for-profit business concern that is at least 51% owned and controlled by one or more individuals who are citizens of, or permanent resident aliens in, the United States; and;

• No more than 500 employees, including affiliates.

SBIR differs from STTR in two important aspects:

1. The principal investigator must have primary employment with the SBC (unless a waiver is granted by the agency).

2. SBIR encourages but does not require the SBC to partner with a research institution.

Congressional History

The SBIR program was established under the Small Business Innovation Development Act of 1982 (P.L. 97-219) with the purpose of strengthening the role of innovative small business concerns in Federally-funded research and development (R&D). Through FY2009, over 112,500 awards have been made totaling more than $26.9 billion.

In December 2000, Congress passed the Small Business Research and Development Enhancement Act (P.L. 102-564), reauthorizing the SBIR program until September 30, 2000. The program was reauthorized until September 30, 2008 by the Small Business Reauthorization Act of 2000 (P.L. 106-554). Subsequently, Congress passed numerous extensions, the most recent of which extends the SBIR program through 2017.

Competitive Opportunity for Small Business

SBIR targets the entrepreneurial sector because that is where most innovation and innovators thrive. However, the risk and expense of conducting serious R&D efforts are often beyond the means of many small businesses. By reserving a specific percentage of federal R&D funds for small businesses, SBIR protects the small business and enables it to compete on the same level as larger businesses. SBIR funds the critical startup and development stages and it encourages the commercialization of the technology, product, or service, which, in turn, stimulates the U.S. economy. Since its enactment in 1982, the SBIR program has helped thousands of small businesses to compete for federal R&D awards. Their contributions have enhanced the nation's defense, protected our environment, advanced health care, and improved our ability to manage information and manipulate data.

SBA Role

The US Small Business Administration serves as the coordinating agency for the SBIR program. It directs the agencies' implementation of SBIR, reviews their progress, and reports annually to Congress on its operation. SBA is also the information link to SBIR program.

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

All of SBA's programs and services are extended to the public on a nondiscriminatory basis.