小企业创新研究计划,SBIR,The SBIR The Small Business Innovation Research
小企业创新研究资助计划（SBIR计划）”和“小企业技术转移资助计划（STTR计划）”。
1977年，为了适应小微企业快速发展的现状和充分发挥小企业在高科技产业中机制灵活的优势，解决政府研究机构产出的高科技研究成果难以迅速转化为商品的问题，美国国家科学基金会试办了这项面向全国高科技小企业的资助计划。几年之后，这项试验取得了很大的成功，很多高新技术小企业得到迅速发展。

随后，在1982年美国国会通过了《小企业发展法》，规定联邦政府中的国防部、能源部、教育部、国家健康研究院和国家科学基金会等十一个政府部门需依法实施SBIR计划。这项规定明确表示，这些部门每年必须拨出其研究经费的1.25%用于支持高科技型小企业的技术创新与开发活动。1992年，国会对这项法案进行了修改，要求上述十一个联邦政府部门要拨出在该机构以外（大学、大企业等）进行研究与开发经费的2.5%用于支持小企业创新。

STTR则指的是Small Business Technology Transfer Program，即小企业技术转移资助计划。这个计划是美国在1992年根据《小企业技术转移法》设立的，目前在商务部、能源部等五个联邦政府部门中实施。这个计划要求各政府部门将其研究经费中的0.3%调拨用于STTR计划， 资助高校或非赢利性研究机构与小企业的合作及其技术转移。


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.