[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 by the awardee. Phase II - minimum 1/2 of research or analytical effort must be performed by the awardee. Occasional deviations from these requirements 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 Principal 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 agreement officer), a portion of the R/R&D work may be performed or obtained in a country outside of the United States.
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.
[x] Registration and Certifications for Proposal and Award
(i.) 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.
(ii.) Each applicant must register in SBA's Company Registry Database (see Appendix IV of the SMALL BUSINESS INNOVATION RESEARCH (SBIR) PROGRAM POLICY DIRECTIVE) and submit a .pdf of the registration with its application.
(iii.) 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 (of the SMALL BUSINESS INNOVATION RESEARCH (SBIR) PROGRAM POLICY DIRECTIVE) 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,
(i.) Company Information
(ii.) Customer and Competition
(iv.) Intellectual Property
(vi.) Assistance and Mentoring
For details on these, visit the SMALL BUSINESS INNOVATION RESEARCH (SBIR) PROGRAM POLICY DIRECTIVE, 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 V-VI to DHS 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
Find the Opportunity (Solicitation) on FedBizOpps for which you'd like to apply:
In the Keyword/Solicitation # search box, type "SBIR" as your input.
In the Agency search box, type "DHS" as your input.
Opportunities may be divided into:
* Pre solicitation
* Full solicitation
In the DHS SBIR Submissions Portal:
(1) Under SOLICITATIONS -> Current Solicitation,
select the solicitation identified at
(2) Find details of the solicitation such as...
* Latest Amendments
* Notices on FedBizOpps
* Specific Topics within the Solicitation
(3) Prepare to Apply...
[x] Proposal/Application Specifics
Access the DHS SBIR Submissions Portal: and...
(1) Register your company on DHS Submissions Portal, if not already done, using the "PORTAL LOGIN" (located in the top right corner) followed by "Register Now". Receive Log-In Account.
(2) Submit a Pre-Submission Inquiry, if applicable.
(3a) Log in and submit a Phase I Proposal (complete applicable sections):
(3b) Log in and submit a Phase II Proposal (complete applicable sections):
(4) When you believe all required documents are ready for review, click on SUBMIT and ensure all buttons read "Complete".
[x] Proposal Evaluation
(1) The Proposals will be evaluated in accordance to the evaluation criteria specified for the Solicitation.
(2) All properly submitted Proposals that conform to the SBIR requirements will be evaluated by a review panel comprised of Government technical experts drawn from staff within DHS S&T and other Federal agencies.
(3) Once the proposal evaluation process is complete, offerors will be notified of selection or non-selection for an award.
[x] Proposal Awarded
After Receiving Award, You're expected to...
(1) Conduct research or develop technology as per the proposal submission.
(2) Provide periodic status reports.
(3) Minimize Period of Performance Extensions or modifications 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.
For more in depth information on any of the steps above, please visit the SMALL BUSINESS INNOVATION RESEARCH (SBIR) PROGRAM POLICY DIRECTIVE.