Logic Model for SBIR

SBIR LOGIC MODEL

INPUT

Funding (Phase I, II)
Initial discoveries in science and
engineering
Supplements (Ib and IIb):
Offered to support the further
refinement of innovation
research to meet the specific
demands of an investor.
Other coordinating entities

Project
Activities

Phase I: Proof of concept stage
involving mainly experimental
or theoretical investigation on
the proposed innovative
research or activity. Targeted at
developing innovative
technologies
Phase II: Activities focused on
translation research along with
a commercialization plan
including prototype
development activities .

Life of the award

OUTPUTS
AND
IMMEDIATE
OUTCOME

Phase I: The scientific and
technical merit, feasibility of
the proposed concept, and
validation of commercial
potential is determined
Phase II: Advancement of the
research/ technology /product
to a marketable prototype and
an development of an in depth
commercialization plan
including market analysis .

Year 1 -3 after the award

INTERMEDIATE
OUTCOME

LONG TERM
OUTCOME

Products, services or processes
emanating from the SBIR
technologies are identified
Additional funding (Phase IIb) is
provided only for projects
seeking matching funding from
angel investors/ venture
capitalists/ industrial partners/
product sales . This funds to be
used for further research

Products services or processes
are produced and commercial
markets are established
New jobs are created
Companies grow or are merged
/ acquired by larger ones.

Intellectual property is licensed
or acquired

Year 3-5 after the award

Year 6-10 after the award

• Percentage of grant
efforts with
commercialization
grade level 1 (products
in use by the target
consumer population)
• Percentage of grantees
acquired by partner
company
• Percentage of grantees
that receive equity
investment from
partner company
• Percentage of grantees
that enter into a Joint
Venture with partner
company
• Total products/ services
or processes sales since
the award
• Total jobs created by
the program (counted
as jobs created since
the award)

Products services or processes are produced and commercial markets are
established and companies grow or are acquired

LONG-TERM OUTCOMES:

• Percentage of
products/processes/
services with
commercialization
grade level 2 (i.e. based
on the grant effort
whose
commercialization is
underway and
significant product
income is starting to
flow)
• Number of products/
processes/ services
with strong patent
position
• Percentage of grantees
whose intellectual
property is acquired
• Percentage of grantees
whose intellectual
property is licensed to
partner company

Products, services or processes emanating from the SBIR technologies are
identified and intellectual property is licensed or acquired

INTERMEDIATE OUTCOMES:

• Number of
commercialization
plans
• Number of prototypes
developed
• Percentage of
companies applying to
Phase IIb supplements

Phase II: Advancement of the research/ technology /product to a
marketable prototype and an development of an in depth
commercialization plan including market analysis .

PROJECT OUTPUTS AND IMMEDIATE OUTCOMES:

• Percentage of awards
reporting positive
feasibility results as
reported in final report
• Percentage of
awardees applying to
Phase II grants
• Percentage of
awardees applying to
Phase Ib supplements

Phase I: The scientific and technical merit, feasibility of the proposed
concept, and validation of commercial potential is determined

PROJECT OUTPUTS AND IMMEDIATE OUTCOMES:

INDICATORS FOR DESIRABLE OUTPUTS AND OUTCOMES

INDICATOR

Percentage of awards reporting positive feasibility results as reported in final report
Percentage of awardees applying to Phase II grants
Percentage of awardees applying to Phase Ib supplements
Number of commercialization plans
Number of prototypes developed
Percentage of companies applying to Phase IIb supplements

Percentage of products/processes/ services with commercialization grade level 2 (i.e. based on the grant effort whose
commercialization is underway and significant product income is starting to flow)
Number of products/ processes/ services with strong patent position
Percentage of grantees whose intellectual property is acquired
Percentage of grantees whose intellectual property is licensed to partner company
Percentage of grant efforts with commercialization grade level 1 (products in use by the target consumer population)
Percentage of grantees acquired by partner company
Percentage of grantees that receive equity investment from partner company
Percentage of grantees that enter into a Joint Venture with partner company
Total products/ services or processes sales since the award
Total jobs created by the program (counted as jobs created since the award)

POTENTIAL
DATA SOURCE

PROJECT REPORT,
AWARD SERVER
(through the
enterprise data
warehouse)
DIMS
MONITORING
SYSTEM