Small Business Innovation Research and Small Business Technology Transfer Programs Phase I

Eligible Applicants

Additional Requirements

Eligibility RequirementsApplicants for the SBIR/STTR Phase I must meet all the requirements discussed in this RFA. Failure to meet the eligibility criteria by the application deadline may result in exclusion from consideration or preclude NIFA from making an award. For those new to Federal financial assistance, NIFAs Grants Overview provides highly recommended information about grants and other resources to help understand the Federal awards process.Each applicant must qualify as an SBC through registration with the SBA for R/R purposes at the time of selection (see Definitions in section APPENDIX III of this RFA). Failure to meet an eligibility criterion by the application deadline may result in the application being excluded from consideration or, even though an application may be reviewed, it will preclude NIFA from making an award.). Failure to meet an eligibility criterion by the application deadline may result in the application being excluded from consideration or, even though an application may be reviewed, will preclude NIFA from making an award.SBIR/STTR eligibility requirements are in place to ensure that the funds go only to small, independent U.S. businesses. The regulations include restrictions about (1) the type of firm, (2) its ownership structure, and (3) the firms size in terms of the number of employees.Type of Firm The purpose of the requirement regarding type of firm is to target awards to firms with an economic interest in developing the idea or research into a commercial application.1. An SBIR/STTR small business awardee must be a business concern it must be organized as a for-profit concern and meet all of the other requirements for a business concern in 13 C.F.R. 121.105. Non-profit entities are not eligible (except as the partnering research institution under the STTR Program).2. If an awardee is a joint venture, limited partnership, or venture capital, each party to the joint venture must be a concern that satisfies all program eligibility requirements. Ownership Control The purpose of the ownership requirement is to limit the program to independent firms controlled by U.S. citizens or permanent resident aliens as a way of maximizing the likelihood that the funding will stimulate innovative activity within the U.S. economy.A majority (more than 50%) of the firms equity (e.g., stock) must be directly owned and controlled by one of the following: 1. One or more individuals who are citizens or permanent resident aliens of the United States. 2. Other for-profit small business concerns (each of which is directly owned and controlled by individuals who are citizens or permanent resident aliens of the United States). 3. A combination of (1) and (2) above. 4. Multiple venture capital operating companies, hedge funds, private equity firms, or any combination of these, so long as no one such firm owns or controls more than 50% of the equity. Note: This option is allowed only for SBIR awards from agencies that are using the authority provided in the SBIR/STTR Reauthorization Act (majorityVCowned authority), 15 U.S.C. 638(dd)(1).Notes: 1. If an Employee Stock Ownership Plan owns all or part of the concern, each stock trustee and plan member is considered an owner. If a trust owns all or part of the concern, each trustee and trust beneficiary is considered an owner. 2. A potential grantee that is a subsidiary must show that the parent company or parent companies are also a small business entity, and the parent company or parent companies must provide documentation supporting their small business status (the documentation should be included in the Research and Related (R) Other Project Information form under Other Attachments, as directed by Part IV of this RFA). If the parent company or one of the parent companies is a nonprofit organization, then the subsidiary is not eligible to submit an SBIR/STTR application.SizeThe pur

Geographic Eligibility

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