Small Business Innovation Research Program (SBIR) Phase II

NIDILRR’s mission is to generate new knowledge and to promote its effective use to improve the abilities of individuals with disabilities to perform activities of their choice in the community and to expand society’s capacity to provide full opportunities and accommodations for its citizens with disabilities. An application to NILDRR’s SBIR program must support this mission. All SBIR projects funded by NIDILRR must address the needs of individuals with disabilities (see 29 U.S.C. 760). Applicants should present a sound approach to the investigation of an important technological, engineering, or scientific question that it is worthy of support under the stated criteria of this program announcement. The applicant should review the program announcement carefully to ensure that information and data essential for evaluation are included. The scientific and technical merit of the proposed research and research and development (R/R&D) is the primary concern for all work supported by NIDILRR.The Small Business Administration defines the following activities as Research or Research and Development (R/R&D):(1) A systematic, intensive study directed toward greater knowledge or understanding of the subject studied;(2) A systematic study directed specifically toward applying new knowledge to meet a recognized need; or(3) A systematic application of knowledge toward the production of useful materials, devices, and systems or methods, including design, development, and improvement of prototypes and new processes to meet specific requirements.NIDILRR’s SBIR program can support each of these types of activities toward new knowledge or products that can be used to improve the health and function, employment, or community living and participation outcomes of people with disabilities.The application's R/R&D must be responsive to NIDILRR’s SBIR program objectives, and it should also serve as the basis for technological innovation, new commercial products, or processes or services that may benefit the public.A firm must not propose market research, patent applications, or litigation. Where necessary, the research may be carried out through construction and evaluation of a laboratory prototype.The purpose of the Federal SBIR program is to stimulate technological innovation in the private sector and to strengthen the role of small business in meeting Federal research or research and development (R/R&D) needs. The specific purpose of NIDILRR’s SBIR program is to increase the commercial application of research and development results and improve the return on investment from research and development that can be used to improve the lives of individuals with disabilities.NOTE: An applicant should consult NIDILRR’s Long-Range Plan for Fiscal Years 2018-2023 (the Plan) when preparing its application. The Plan is organized around the following outcome domains:(1) Community living and participation;(2) Health and function;(3) EmploymentApplicants for these SBIR projects must specify in their abstract and project narrative which of these major outcome domains of individual well-being their proposed project will focus on. Although applicants may propose projects that address more than one domain, they should select the primary domain addressed in their proposed project.An applicant must demonstrate, in its original application, that people with disabilities from diverse racial and ethnic communities will be included in proposed samples in sufficient numbers to generate knowledge or products that are relevant to the racial and ethnic diversity of the population of people with disabilities being addressed. The applicant must describe and justify, in its original application, the planned racial and ethnic distribution of people with disabilities who will participate in the proposed R/R&D activities.Applicants should describe the approaches they expect to use to collect empirical evidence demonstrating the effectiveness of the knowledge or products they are proposing to create. This empirical evidence should facilitate the assessment of the efficacy and usefulness of the knowledge or products.Consultative or other arrangements between applicant firms and universities or other nonprofit organizations are permitted, but the small business concern must serve as the grantee. For Phase II projects, at least one-half of the research or analytic activities must be performed by the small business concern grantee.Note: NIDILRR encourages all applicants to adhere to universal design principles and guidelines. The term “universal design” is defined as “the design of products and environments to be usable by all people, to the greatest extent possible, without the need for adaptation or specialized design” (The Center for Universal Design, 1997). Universal design of consumer products minimizes or alleviates barriers that reduce the ability of individuals with disabilities to effectively or safely use standard consumer products. (For more information: http://www.naric.com/?q=en/node/76NIDILRR SBIR Funding Restrictions:A firm must not propose market research, patent applications, or litigation. Projects that propose service provision without a research/development component will not be considered.Starting in FY 2020, NIDILRR will not review SBIR applications or make SBIR awards that are used exclusively for research and development toward mobile applications (apps). A mobile application is defined as a program or software application designed to run on a mobile hardware device such as a smart phone, tablet, or watch. NIDILRR will only support development of mobile applications through its SBIR program if the mobile application is integral to a piece of hardware that is also being developed through the SBIR grant funding.At current funding levels, grantees who receive NIDILRR SBIR Phase I and Phase II funding receive a total of $675,000. This funding is provided over a course of three years, at a minimum. This funding level is significantly higher than available estimates for the development of mobile applications (Jones, Mueller, Morris, 2016). Mobile applications developed over the course of a three-year funding period also face serious risks of being obsolete by the end of the grantee performance period. The three phases of the SBIR program are:Phase I – Phase I is intended to determine, insofar as possible, the scientific or technical merit and feasibility of ideas submitted under the SBIR program. The application should concentrate on research that will significantly contribute to establishing the scientific or technical feasibility of the approach or concept, a prerequisite to further ACL support in Phase II. Applications are evaluated by panels of expert reviewers. Awards are for periods up to six months. The maximum award amount includes both direct and indirect costs and any reasonable profit/fee requested.Phase II – Phase II is intended to expand on the results of and to further pursue the development of Phase I projects. Phase II is the principal research or R&D effort. It requires a more comprehensive application, outlining the effort in detail including its commercial potential. All Phase I awardees who have completed their Phase I work in the past three years with approaches that appear sufficiently promising are eligible to apply for Phase II.Phase II awards are for periods up to two years. The maximum award amount includes both direct costs, indirect costs and fee. Applicants are required to distribute the funding for the two-year performance period in equal amounts for each budget period. The second year of the award will be approved contingent upon submission of an annual performance report and the demonstration of adequate progress in the first year.Phase III – In Phase III, the small business must use non-SBIR capital to pursue commercial applications of the research or research and development. Also, under Phase III Federal agencies may award non-SBIR follow-on funding for products or processes that meet the needs of those agencies. NIDILRR does not participate in Phase III. Please review the definitions relevant to this program:The Small Business Administration (SBA) developed the following definitions relevant to the Small Business Innovation Research (SBIR) Program:Definitions: Act. The Small Business Act(15 U.S.C. 631, et seq.), as amended.ApplicantThe organizational entity that qualifies as an SBC at all pertinent times and that submits a contract proposal or a grant application for a funding agreement under the SBIR/STTR programs.AwardeeThe organizational entity that receives an SBIR or STTR Phase I, Phase II, or Phase III award. An “SBIR/STTR Awardee.”CommercializationThe process of developing products, processes, technologies, or services and the production and delivery (whether by the originating party or others) of the products, processes, technologies, or services for sale to or use by the Federal Government or commercial markets.Computer DatabaseA collection of data recorded in a form capable of being processed by a computer. The term does not include Computer Software.Computer ProgramsA set of instructions, rules, or routines recorded in a form that is capable of causing a computer to perform a specific operation or series of operations.Computer SoftwareComputer Programs, source code, source code listings, object, code listings, design details, algorithms, processes, flow charts, formulae, and related material that would enable the software to be reproduced, recreated, or recompiled. Computer Software does not include Computer Databases or Computer Software Documentation.Computer Software DocumentationOwner's manuals, user's manuals, installation instructions, operating instructions, and other similar items, regardless of storage medium, that explain the capabilities of the Computer Software or provide instructions for using the software.Covered Small Business Concern(SBIR only) A small business concern that: (1) was not majority-owned by multiple venture capital operating companies (VCOCs), hedge funds, or private equity firms on the date on which it submitted an application in response to a solicitation under the SBIR program; DataAll recorded information, regardless of the form or method of recording or the media on which it may be recorded. The term does not include information incidental to contract or grant administration, such as financial, administrative, cost or pricing or management information.Essentially Equivalent WorkWork that is substantially the same research, which is proposed for funding in more than one contract proposal or grant application submitted to the same Federal agency or submitted to two or more different Federal agencies for review and funding consideration; or work where a specific research objective and the research design for accomplishing the objective are the same or closely related to another proposal or award, regardless of the funding source.Federal AgencyAn executive agency as defined in 5 U.S.C. §105, and a military department as defined in 5 U.S.C. 102 (Department of the Army, Department of the Navy, Department of the Air Force), except that it does not include any agency within the Intelligence Community as defined in Executive Order 12333, §3.4(f), or its successor orders.Form, Fit, and Function DataData relating to items, components, or processes that are sufficient to enable physical and functional interchangeability, and data identifying source, size, configuration, mating and attachment characteristics, functional characteristics, and performance requirements. For Computer Software it means data identifying source, functional characteristics, and performance requirements, but specifically excludes the source code, algorithms, processes, formulas, and flow charts of the software.Funding AgreementAny contract, grant, or cooperative agreement entered into between any Federal agency and any SBC for the performance of experimental, developmental, or research work, including products or services, funded in whole or in part by the Federal Government.Government PurposeAny activity in which the United States Government is a party, including cooperative agreements with international or multi-national defense organizations or sales or transfers by the United States Government to foreign governments or international organizations. Government purposes include competitive procurement, but do not include the rights to use, modify, reproduce, release, perform, display, or disclose Technical Data or Computer Software for commercial purposes or authorize others to do so.InnovationSomething new or improved, having marketable potential, that includes the development of new technology, the refinement of existing technology, or the development of new applications for existing technology. (u) Intellectual Property. The separate and distinct types of intangible property that are referred to collectively as “Intellectual Property,” including but not limited to: patents, trademarks, copyrights, trade secrets, and mask works.Joint VentureSee 13 CFR 121.103(h).Key IndividualThe Principal Investigator/Project Manager and any other person named as a “key” employee in a proposal submitted in response to a Program Solicitation.Participating Agency(ies)A federal agency with an SBIR or STTR program. An “SBIR/STTR Agency.”Principal Investigator/Project ManagerThe one individual designated by the Applicant to provide the scientific and technical direction to a project supported by the Funding Agreement.Program SolicitationA formal solicitation for proposals issued by a Federal Agency that notifies the small business community of its R/R&D needs and interests in broad and selected areas, as appropriate to the agency, and requests for proposals from SBCs in response to these needs and interests.PrototypeA product, material, object, system, or process, or a model thereof, that is in development, regardless of whether it is in tangible, electronic, graphic or other form, at any stage of development prior to its intended ultimate commercial production and sale. The term “Prototype” includes Computer Programs embedded in hardware or devices.Research InstitutionOne that has a place of business located in the United States, which operates primarily within the United States or which makes a significant contribution to the U.S. economy through payment of taxes or use of American products, materials or labor, and is: (1) A non-profit institution as defined in section 4(3) of the Stevenson-Wydler Technology Innovation Act of 1980 (that is, an organization that is owned and operated exclusively for scientific or educational purposes, no part of the net earnings of which inures to the benefit of any private shareholder or individual); or (2) A Federally-funded R/R&D center (FFRDC) as identified by the National Science Foundation (NSF) in accordance with the Federal Acquisition Regulation issued in accordance with section 35(c)(1) of the Office of Federal Procurement Policy Act (or any successor regulation). A non-profit institution can include hospitals and military educational institutions, if they meet the definition above.Research or Research and Development (R/R&D)Any activity that is: (1) a systematic study directed toward greater knowledge or understanding of the subject studied; (2) a systematic study directed specifically toward applying knowledge and innovation to meet a recognized but unmet need; or (3) a systematic application of knowledge and innovation toward the production of useful materials, devices, and systems or methods, including design, development, and improvement of Prototypes and new processes to meet specific requirements.SBIR/STTR Computer Software RightsThe Federal Government’s rights during the SBIR/STTR Protection Period in specific types of SBIR/STTR Data that are Computer Software.(1) The Federal Government may use, modify, reproduce, release, perform, display, or disclose SBIR/STTR Data that are Computer Software within the Federal Government. The Government may exercise SBIR/STTR Computer Software Rights within the Government for:(i) Use in Government computers;(ii) Modification, adaptation, or combination with other Computer Software, provided that the Data incorporated into any derivative software are subject to the rights in paragraph and that the derivative software is marked as containing SBIR/STTR Data;(iii) Archive or backup; or(iv) Distribution of a computer program to another Government agency, without further permission of the Awardee, if the Awardee is notified of the distribution and the identity of the recipient prior to the distribution, and a copy of the SBIR/STTR Computer Software Rights included in the Funding Agreement is provided to the recipient prior to the distribution. The agency in receipt of the distributed SBIR/STTR Data is subject to the data rights provisions in the SBIR/STTR Awardees SBIR/STTR funding agreement.(2) The Government shall not release, disclose, or permit access to SBIR/STTR Data that is Computer Software for commercial, manufacturing, or procurement purposes without the written permission of the Awardee. The Government shall not release, disclose, or permit access to SBIR/STTR Data outside the Government without the written permission of the Awardee unless:(i) The non-Governmental entity has entered into a non-disclosure agreement with the Government that complies with the terms for such agreements outlined in § 8 of this Policy Directive; and(ii) The release or disclosure is— (A) To a Government support service contractor or their subcontractor in the performance of a Government support services contract for internal Government use or activities, including evaluation, diagnosis and correction of deficiencies, and adaptation, combination, or integration with other Computer Software, provided that SBIR/STTR Data incorporated into any derivative software are subject to the rights in paragraph (ee), and provided that the release is not for commercial purposes or manufacture; or(B) Necessary to support certain narrowly-tailored essential Government activities for which law or regulation permits access of a non-Government entity to a contractors’ data developed exclusively at private expense, nonSBIR/STTR Data, such as for emergency repair and overhaul.SBIR/STTR DataAll Data developed or generated in the performance of an SBIR or STTR award, including Technical Data and Computer Software developed or generated in the performance of an SBIR or STTR award. The term does not include information incidental to contract or grant administration, such as financial, administrative, cost or pricing or management information.SBIR/STTR Data RightsThe Government’s license rights in properly marked SBIR/STTR Data during the SBIR/STTR Protection Period as follows: SBIR/STTR Technical Data Rights in SBIR/STTR Data that are Technical Data or any other type of Data other than Computer Software and SBIR/STTR Computer Software Rights in SBIR/STTR Data that is Computer Software. Upon expiration of the protection period for SBIR/STTR Data, the Government has a royalty-free license to use, and to authorize others to use on its behalf, these Data for Government Purposes, and is relieved of all disclosure prohibitions and assumes no liability for unauthorized use of these Data by third parties. The Government receives Unlimited Rights in all Form, Fit, and Function Data, OMIT Data, and unmarked SBIR/STTR Data.SBIR/STTR Protection PeriodThe period of time during which the Government is obligated to protect SBIR/STTR Data against unauthorized use and disclosure in accordance with SBIR/STTR Data Rights. The SBIR/STTR Protection Period begins at award of an SBIR/STTR Funding Agreement and ends not less than twenty years from that date. (See § 8(b)(4) of this Policy Directive).SBIR/STTR Technical Data RightsThe Federal Government’s rights during the SBIR/STTR Protection Period in SBIR/STTR Data that are Technical Data or any other type of Data other than Computer Software.(1) The Government may, use, modify, reproduce, perform, display, release, or disclose SBIR/STTR Data that are Technical Data within the Federal Government; however, the Federal Government shall not use, release, or disclose the data for procurement, manufacture or commercial purposes; or release or disclose the SBIR/STTR Data outside the Government except as permitted by paragraph (2) below or by written permission of the Awardee.(2) SBIR/STTR Data that are Technical Data may be released outside the Federal Government without any additional written permission of the Awardee only if the non-Governmental entity or foreign government has entered into a non-disclosure agreement with the Federal Government that complies with the terms for such agreements outlined in § 8 of this Policy Directive and the release is:(i) Necessary to support certain narrowly-tailored essential Government activities for which law or regulation permits access of a non-Government entity to a contractors’ data developed exclusively at private expense, non-SBIR/STTR Data, such as for emergency repair and overhaul;(ii) To a Government support services contractor in the performance of a Government support services contract for internal Government use or activities, including evaluation, diagnosis or modification provided that SBIR/STTR Technical Data incorporated into any derivative Data are subject to the rights in paragraph (ii), and the release is not for commercial purposes or manufacture; (iii) To a foreign government for purposes of information and evaluation if required to serve the interests of the U.S. Government; or (iv) To non-Government entities or individuals for purposes of evaluation.Small Business Concern (SBC)A concern that meets the SBIR/STTR program eligibility requirements set forth in 13 CFR 121.702, “What size and eligibility standards are applicable to the SBIR and STTR programs?”. Socially and Economically Disadvantaged Individual. See 13 CFR 124.103 and 124.104.Socially and Economically Disadvantaged SBC (SDB)See 13 CFR. Part 124, subpart B.SubcontractAny agreement, other than one involving an employer-employee relationship, entered into by an Awardee of a Funding Agreement calling for supplies or services for the performance of the original Funding Agreement.Technical DataRecorded information, regardless of the form or method of the recording, of a scientific or technical nature (including Computer Software Documentation and Computer Databases). The term does not include Computer Software or financial, administrative, cost or pricing, or management information, or other data incidental to contract or grant administration. The term includes recorded Data of a scientific or technical nature that is included in Computer Databases.United StatesThe 50 states, the territories and possessions of the Federal Government, the Commonwealth of Puerto Rico, the District of Columbia, the Republic of the Marshall Islands, the Federated States of Micronesia, and the Republic of Palau.Unlimited RightsThe Federal Government’s rights to use, modify, prepare derivative works, reproduce, release, perform, display, disclose, or distribute Data in whole or in part, in any manner and for any purpose whatsoever, and to have or authorize others to do so.Women-Owned SBC (WOSB)An SBC that is at least 51% owned by one or more women, or in the case of any publicly owned business, at least 51% of the stock is owned by women, and women control the management and daily business operations.