SBIR Policy Directive Updated Jan 8, 2014
Unofficial Presentation by SBIR Insider - www.zyn.com/sbir
10. Agency and SBIR Applicant/Awardee Reporting Requirements
** Jan 8, 2014 Amendments in Blue **
10. Agency and SBIR Applicant/Awardee Reporting Requirements
(a) General. The Small Business Act requires agencies to collect
meaningful information from SBCs and ensure that reporting requirements
are streamlined to minimize the burden on small businesses.
(1) SBA is required to collect data from agencies and report to the
Congress information regarding applications by and awards to SBCs by
each Federal agency participating in the SBIR program. SBIR agencies
and SBA will report data using standardized templates that are
provided, maintained, and updated by SBA.
(b) Summary of SBIR Databases.
(2) The Act requires a ``simplified, standardized and timely annual
report'' from each Federal agency participating in the SBIR program
(see Sec. 3 for the definition of Federal agency), which is submitted
to SBA. In addition, agencies are required to report certain items
periodically throughout the year to SBA. Agencies may identify certain
information, such as award data information, by the various components
of each agency. SBA will collect reports electronically, to the extent
possible. The reports will be uploaded to
databases attached to Tech-Net--located at www.SBIR.gov. If the
databases attached to Tech-Net are unavailable, then the report must be
emailed to [email protected].
(3) To meet these requirements, the SBIR program has the following
(i) Make updating data available electronically;
(ii) Centralize and share certain data through secure interfaces to
which only authorized government personnel have access;
(iii) Have small business enter the data only once, if possible;
(iv) Provide standardized procedures.
(1) The Act requires that SBA coordinate the implementation of
electronic databases at the SBIR agencies, including the technical
ability of the agencies to share the data. In addition, the Act
requires the reporting of various data elements, which are clustered
together in the following subsections:
(i) Solicitations Database (to include the Master Schedule);
(ii) Tech-Net, which includes the following databases:
(A) Company Registry Database;
(B) Application Information Database;
(C) Award Information Database;
(D) Commercialization Database;
(E) Annual Report Database; and
(F) Other Reporting Requirements Database.
(2) The subsections below describe the data reporting requirements,
including reporting mechanisms, the frequency of data collection and
reporting, and whether this information is shared publicly or is
protected and only available to authorized personnel. The table below
summarizes the data collection requirements for each database; however,
there may be some divergences at the individual data field level. Refer
to Appendices III-IX for the detailed reporting requirements at the
data field level. SBA notes that not all of the information will be
collected starting with fiscal year 2012. Rather, beginning in fiscal
year 2012, SBA will begin a phased implementation of this data
Database Reporting mechanism frequency Public/government
Solicitations...................... Agency XML or manual Within 5 business Public
upload to http:// days of solicitation
SBIR.gov. open date.
Company Registry................... SBC reports data to Register or reconfirm Government only
Tech-Net. Agency at time of
receives .pdf from application.
Application Information............ Agency provides XML Quarterly............ Government only
or manual upload to
Award Information.................. XML or manual upload Quarterly............ Public
Commercialization.................. Agencies + companies Agencies update in Government only
report to Tech-Net. real time SBC
updates prior to
Annual Report...................... Agency XML or manual Annually............. Public
upload to Tech-Net.
Other Reports...................... As set forth in the As set forth in the Public
(3) SBIR awardees will have user names and passwords assigned in
order to access their respective awards information in the system.
Award and commercialization data maintained in the database can be
changed only by the awardee, SBA, or the awarding SBIR/STTR Federal
(c) Master Schedule & the Solicitations Database.
(1) SBA posts an electronic Master Schedule of release dates of
program solicitations with links to Internet Web sites of agency
solicitations on www.SBIR.gov.
(i) On or before August 1, each agency representative must notify
SBA in writing or by email of its proposed program solicitation release
and proposal due dates for the next fiscal year. SBA and the agency
representatives will coordinate the resolution of any conflicting
agency solicitation dates by the second week of August. In all cases,
SBA will make final decisions. Agencies must notify SBA in writing of
any subsequent changes in the solicitation release and close dates.
(2) SBA will manage a searchable public database that contains all
solicitation and topic information from all SBIR agencies. Agencies are
required to update the Solicitations Database, hosted on Tech-Net
(available at www.SBIR.gov), within 5 business days of a solicitation's
open date for applications and/or submissions for SBCs. Refer to
Appendix III: Solicitations Database for detailed reporting
requirements. The main data requirements include:
(ii) For those agencies that use both general topic and more
specific subtopic designations in their SBIR solicitations, the topic
data should accurately describe the research solicited.
(iii) Agencies must post on their Internet Web sites the following
information regarding each program solicitation:
(A) List of topics upon which R/R&D proposals will be sought;
(B) Agency address, phone number, or email address from which SBIR
Program solicitations can be requested or obtained, especially through
(C) Names, addresses, and phone numbers of agency contact points
where SBIR-related inquiries may be directed;
(D) Release date(s) of program solicitation(s);
(E) Closing date(s) for receipt of proposals; and
(F) Estimated number and average dollar amounts of Phase I awards
to be made under the solicitation.
(i) Type of solicitation--SBIR/STTR;
(ii) Phase--I or II;
(iii) Topic description;
(iv) Sub-topic description;
(v) Web site for further information; and
(vi) Applicable contact information per topic or sub-topic, where
applicable and allowed by law.
(d) Company Registry Database.
(1) SBA will maintain and manage a company registry to track
ownership and affiliation requirements for all companies applying to
the SBIR Program, including participants that are majority-owned by
multiple VCOCs, private equity firms, or hedge funds.
(2) Each SBC applying for a Phase I or Phase II award must register
on Tech-Net prior to submitting an application. The SBC will report
and/or update ownership information to SBA prior to each SBIR
application submission. The SBC will also be able to view all of the
ownership and affiliation requirements of the program on the registry
(3) Data collected in the Company Registry Database will not be
shared publicly. Refer to Appendix IV for details on specific fields
(4) The SBC will save its information from the registration in a
.pdf document and will append this document to the application
submitted to a given agency unless the information can be transmitted
automatically to SBIR agencies.
(5) Refer to Appendix IV for detailed reporting requirements. The
main data requirements include:
(i) Basic identifying information for the SBC;
(ii) The number of employees for the SBC;
(iii) Whether the SBC has venture capital, hedge fund or private
equity firm investment and if so, include:
(A) The percentage of ownership of the awardee held by the VCOC,
hedge fund or private equity firm;
(iv) Information on the affiliates of the SBC, including:
(B) the registration by the SBC of whether or not it is majority-
owned by VCOCs, hedge funds, or private equity firms. Please note that
this may be auto-populated through the individual calculations of
investments in the SBC already submitted.
(A) The names of all affiliates of the SBC;
(B) The number of employees of the affiliates;
(e) Application Information Database.
(1) SBA will manage an Application Information Database on
information on applications to the SBIR program across agencies.
(2) Each agency must upload application data to the Application
Database at Tech-Net at least quarterly.
(3) The data in the applicant database is only viewable to
authorized government officials and not shared publicly.
(4) Refer to Appendix V for detailed reporting requirements. The
main data requirements for each Phase I and Phase II application
(i) Name, size, and location of the applicant, and the identifying
(ii) An abstract and specific aims of the project;
(iii) Name, title, contact information, and position in the small
business of each key individual that will carry out the project;
(iv) Percentage of effort each key individual identified will
contribute to the project;
(v) Federal agency to which the application is made and contact
information for the person responsible for reviewing applications and
making awards under the program.
(5) The Applicant Information Database connects and cross-checks
information with the Company Registry and government personnel can see
(f) Award Information Database.
(1) SBA will manage a database to collect information on awards
made within the SBIR program across agencies.
(2) Each agency must update the Award Information Database
quarterly, if not more frequently.
(3) Most of the data available on the Award Information Database is
viewable and searchable by the public on Tech-Net.
(4) Refer to Appendix VI for detailed reporting requirements. The
main data requirements for each Phase I and Phase II application
(i) Information similar to the Application Information Database--if
not already collected;
(5) The Award Information Database connects and cross-checks
information with the Company Registry and Application Information
Database, and government personnel can see connected data.
(ii) The name, size, and location of, and the identifying number
(iii) An abstract and specific aims of the project;
(iv) The name, title, contact information, and position in the
small business of each key individual that will carry out the project;
(v) The percentage of effort each key individual identified will
contribute to the project;
(vi) The Federal agency making the award;
(vii) Award amount;
(viii) Principal investigator identifying information--including
name, email address, and demographic information;
(x) More detailed information on location of company;
(xi) Whether the awardee:
(A) Has venture capital, hedge fund or private equity firm
investment and if so, the amount of such investment received by SBC as
of date of award and amount of additional capital awardee has invested
in SBIR technology;
(xii) an identification of any business concern or subsidiary
established for the commercial application of a product or service for
which an SBIR or STTR award is made.
(B) is a WOSB or has a woman as a principal investigator;
(C) is an SDB or has a socially and economically disadvantaged
individual as a principal investigator;
(D) is owned by a faculty member or a student of an institution of
higher education (as defined in 20 U.S.C. Sec. 1001); and
(E) has received the award as a result of the Commercialization
Readiness Pilot Program for Civilian Agencies set forth in Sec. 12(c)
of the directive.
(g) Commercialization Database.
(1) The Commercialization Database will store information reported
by awardees on the commercial activity resulting from their past SBIR
(2) SBA and SBIR agencies will have two options to collect this
information from SBCs. First, SBA may collect commercialization data
directly from awardees into a central commercialization database.
Alternatively, agencies may collect commercialization data from
awardees, and then upload the data to the central commercialization
database for real-time availability for SBA and other SBIR agencies.
The central commercialization database may be maintained by SBA or
another Federal agency, as long as there is an interagency agreement
addressing the database and stating, at a minimum, that all data in the
database will be available in real-time to authorized Government
(4) SBIR awardees are required to update this information on their
prior Phase II awards in the Commercialization Database when submitting
an application for an SBIR Phase II award and upon completion of the
last deliverable for that award.
(5) Commercialization data at the company level will not be shared
publicly. Aggregated data that maintains the confidentiality of
companies may be reported in compliance with the statute.
(6) Refer to Appendix VII for detailed reporting requirements. The
main data requirements include for every Phase II award:
(i) Any business concern or subsidiary established for the
commercial application of a product or service for which an SBIR award
(ii) Total revenue resulting from the sale of new products or
services, or licensing agreements resulting from the research conducted
under each Phase II award;
(iii) Additional investment received from any source, other than
Phase I or Phase II awards, to further the research and development
conducted under each Phase II award; and
(iv) Any narrative information that a Phase II awardee voluntarily
submits to further describe the commercialization efforts of its awards
and related research.
(7) The SBC may apportion sales or additional investment
information relating to more than one Phase II award among those
awards, if it notes the apportionment for each award. Companies are
requested to update their records in this database on a voluntary
basis for at least 5 years following the completion of award.
(8) Awardees will update their information and add project
commercialization and sales data using their user names and passwords.
SBA and SBIR agencies will coordinate data collection to ensure that
small businesses will not need to report the same data more than once.
(9) Note that the Award Information and Commercialization Databases
will contain the data necessary for agencies to determine whether an
applicant meets the agency's benchmarks for progress towards
(h) Annual Report.
(1) Agencies must submit their report to SBA on an annual basis and
will report for the period ending September 30 of each fiscal year. The
report is due to SBA by March 15 of each year. For example, the report
for FY 2012 (October 1, 2011-September 30, 2012) must be submitted to
SBA by March 15, 2013.
(2) SBA will provide a template for the Annual Report via Tech-Net
to agencies to populate with the information below. SBA reserves the
right to add further detail to the annual report data and performance
metrics via the template beyond the information provided below and the
(3) After agencies submit the annual report to SBA, SBA will also
calculate the required data, if the supporting data for that
calculation has already been submitted to SBA (e.g., total SBIR dollars
obligated, the percentage of extramural budget allocated to SBIR,
number of awards exceeding the statutory thresholds). SBA will work
with the agencies to resolve any data inconsistencies.
(4) The report must include the following:
(i) Agency total fiscal year, extramural R/R&D total obligations as
reported to the National Science Foundation pursuant to the annual
Budget of the United States Government.
(ii) SBIR Program total fiscal year dollars derived by applying the
statutory per centum to the agency's extramural R/R&D total
(iii) SBIR Program fiscal year dollars obligated through SBIR
Program funding agreements for Phase I and Phase II.
(iv) Number of topics and subtopics contained in each program
(v) Number of proposals received by the agency for each topic and
subtopic in each program solicitation.
(vi) For all applicants and awardees in the applicable fiscal
year--where applicable, the name and address, solicitation topic and
subtopic, solicitation number, project title, total dollar amount of
funding agreement, and applicable demographic information. The agency
is not required to re-submit applicant and award information in the
annual report that it has already reported to SBA through Tech-Net as
required under Appendices IV, V, and VI.
(vii) Justification for the award of any funding agreement
exceeding the award guidelines set forth in Sec. 7(h) of this
directive, the amount of each award exceeding the guidelines, the
identity and location of the awardee, whether the awardee has received
any venture capital, hedge fund, or private equity firm investment, and
whether the awardee is majority-owned by a venture capital operating
company, hedge fund or private equity firm.
(viii) Justification for awards made under a topic or subtopic
where the agency received only one proposal. Agencies must also provide
the awardee's name and address, the topic or subtopic, and the dollar
amount of award. Awardee information must be collected quarterly--in
any case, but updated in the agency's annual reports.
(ix) An accounting of Phase I awards made to SBCs that have
received more than 15 Phase II awards from all agencies in the
preceding 5 fiscal years. Each agency must report: name of awardee;
Phase I funding agreement number and date of award; Phase I topic or
subtopic title; amount and date of previous Phase II funding; and
commercialization status for each prior Phase II award.
(x) All instances where the SBIR Phase II awardee did not receive
an SBIR Phase I award.
(xi) All instances in which an agency pursued R/R&D, services,
production, or any combination of a technology developed by an SBIR
awardee and determined that it was not practicable to enter into a
follow-on funding agreement with non-SBIR funds with that concern. See
Sec. 9(a)(12) for minimum reporting requirements.
(xii) The number and dollar value of each SBIR and non-SBIR award
(includes grants, contracts and cooperative agreements as well as any
award issued under the Commercialization Program) over $10,000 and
compare the number and amount of SBIR awards with awards to other than
(xiii) Information relating to the pilot to allow for funding of
administrative, oversight, and contract processing costs, including the
money spent on each activity and any other information required in the
approved work plan to measure the benefits of using these funds for the
specific activities--especially, as it pertains to the goals outlined
in the work plan. See Sec. 9(e)(3) concerning the Pilot to Allow for
Funding of Administrative, Oversight, and Contract Processing Costs.
(xiv) An analysis of the various activities considered for
inclusion in the Commercialization Readiness Pilot Program for Civilian
Agencies set forth in Sec. 12(c) of the directive and a statement of
the reasons why each activity considered was included or not included.
(xv) A description and the extent to which the agency is increasing
outreach and awards to SDBs and WOSBs.
(xvi) General information about the implementation of and
compliance with the allocation of funds for awardees that are majority-
owned by multiple VCOCs, hedge funds or private equity firms.
(xvii) A detailed description of any appeals filed on Phase III
awards pursuant to Sec. 4(c)(8) of the directive and notices of
noncompliance with the policy directive filed by SBA.
(xviii) Information relating to each Phase III award made by that
agency either as a prime or subcontract, including the name of the
business receiving the Phase III award, the dollar amount, and the
awarding agency or prime contractor.
(xix) An accounting of funds, initiatives, and outcomes under the
commercialization programs set forth in Sec. 12(b) & (c) of this
(xx) By October 13, 2013, and then subsequently in each annual
report, information relating to the agency's enhancement of
manufacturing activities, if the agency awards more than $50,000,000
under the SBIR and STTR Programs combined in a fiscal year. The report
(A) A description of efforts undertaken by the agency to enhance
U.S. manufacturing activities;
(B) A comprehensive description of the actions undertaken each year
by the agency in carrying out the SBIR or STTR Programs to support
Executive Order 13329 (relating to manufacturing);
(C) An assessment of the effectiveness of the actions taken at
enhancing the R&D of U.S. manufacturing technologies and processes;
(D) A description of efforts by vendors selected to provide
discretionary technical assistance to help SBIR and STTR business
concerns manufacture in the U.S.; and
(E) Recommendations from the agency's SBIR and STTR program
managers of additional actions to increase manufacturing activities in
(5) Before the end of each fiscal year, each agency must submit a
report to SBA on those SBCs that submitted an application and were
found to not meet the agency's benchmarks with respect to progress
towards commercialization. This report must include the name and
employer identification number of the SBC, the closing date of the
solicitation to which it proposed, and the agency that issued the
(6) The annual report also includes the performance metrics
information set forth in the next section, Performance Metrics and
(i) Performance Areas, Metrics and Goals.
(1) As part of the agency's work plans, which are submitted
pursuant to Sec. 9(f) of the directive, SBA will set performance
criteria. The performance criteria will measure each agency's
accomplishments in meeting certain performance areas against the
agency's goals. The Small Business Act establishes broad performance
areas for the program, including commercialization, streamlining,
outreach, etc. The metrics used to measure the agency's accomplishments
in these performance areas will be set with input from the SBIR agency.
Agencies must report their progress on the performance criteria at the
end of the fiscal year as part of their annual report.
(2) The metrics and performance areas will evolve over time and can
be found at www.SBIR.gov. Examples of performance areas and metrics can
be found at Appendix IX.
(j) Other Reporting Requirements.
(1) SBA will set forth a list of reports that agencies are required
by statute to submit, in a table format, which will be available at
(2) The system will include a list of any individual or small business concern that has received an SBIR award and that has been convicted of a fraud-related crime involving SBIR funds or found civilly liable for a fraud-related violation involving SBIR funds, of which SBA has been made aware.
(3) Agencies must submit to SBA's Administrator, not later than 4
months after the date of enactment of its annual Appropriations Act, a
report describing the methodology used for calculating the amount of
its extramural budget. The report must also include an itemization of
each research program excluded from the calculation of its extramural
budget and a brief explanation of why it is excluded.
(4) Agencies must provide notice to SBA of any case or controversy
before any Federal judicial or administrative tribunal concerning the
SBIR Program of the Federal agency. This does not include agency level
protests of awards unless and until the protest is before a Federal
court or administrative body. The agency must provide notice to SBA
within 15 business days of the agency's written notification of the
case or controversy.
(5) Agencies must provide notice of all instances in which an
agency pursued research, development, production, or any such
combination of a technology developed by an SBC using an award made
under the SBIR Program of that agency, where the agency determined that
it was not practicable to enter into a follow-on non-SBIR Program
funding agreement with that concern. The agency must provide notice to
SBA within 15 business days of the agency's award. The report must
include, at a minimum:
(i) The reasons why the follow-on funding agreement with the
concern was not practicable;
(ii) The identity of the entity with which the agency contracted to
perform the research, development, or production; and
(iii) A description of the type of funding agreement under which
the research, development, or production was obtained.
(6) Agencies must provide information supporting the agency's
achievement of the Interagency Policy Committee's policy
recommendations on ways to improve program effectiveness and
efficiency. This includes qualitative and quantitative data as
appropriate, which would measure the agency's progress. The agency must
provide this information to SBA at the end of each fiscal year.
(7) Agencies must provide an annual report to SBA, Senate Committee
on Small Business and Entrepreneurship, House Committee on Small
Business, and the House Committee on Science, Space, and Technology on
SBIR and STTR programs and the benefits of these programs to the United
States. Prior to preparing the report, the agency shall develop metrics
to evaluate the effectiveness and benefit to the United States of the
SBIR and STTR programs. The metrics must be science-based and
statistically driven, reflect the mission of the agency, and include
factors relating to the economic impact of the programs. The report
must describe in detail the agency's annual evaluation of the programs
using these metrics. The final report must be posted online so it can
be made available to the public.
(8) By December 31, 2012, agencies must provide a report to the
SBA, Senate Committee on Small Business and Entrepreneurship, House
Committee on Small Business, and the House Committee on Science, Space,
and Technology describing actions taken during the prior year to
increase coordination between the SBIR Program and the Experimental
Program to Stimulate Competitive Research or the Institutional
Development Award Program, if the agency participates in those
(9) By December 31, 2014, agencies must provide a report to the
SBA, Senate Committee on Small Business and Entrepreneurship, House
Committee on Small Business, and the House Committee on Science, Space,
and Technology analyzing whether actions taken to increase coordination
between the SBIR Program and the Experimental Program to Stimulate
Competitive Research or the Institutional Development Award Program
have been successful in attracting entrepreneurs into the SBIR Program
and increasing the participation of States with respect to which there
has been a historically low level of SBIR awards, if the agency
participates in those programs.
(10) NIH, DoD and the Department of Education must provide the
written determination to SBA anytime it issues a Phase II award to a
small business concern that did not receive a Phase I award for that R/
R&D. The determination must be submitted prior to award.
(11) SBA will compile data and report to Congress on the Federal
and State Technology (FAST) Partnership Program, described in Sec. 12
of this Policy Directive. If required by the FAST grant, the grantees
will report a comprehensive list of the companies that received
assistance under FAST and if those companies received SBIR or STTR
awards and any information regarding mentors and Mentoring Networks, as
required in the Federal and State Technology (FAST) Partnership
(k) Further Clarification on Availability of SBC Information
(1) Unless stated otherwise, the information contained in the
Company Registry Database, the Application Information Database, and
the Commercialization Database are solely available to authorized
government officials, with the approval of SBA. This includes Congress,
GAO, agencies participating in the SBIR and the STTR Programs, Office
of Management and Budget, OSTP, Office of Federal Procurement Policy,
and other authorized persons who are subject to a nondisclosure
agreement with the Federal Government covering the use of the
databases. These databases are used for the purposes of evaluating and
determining eligibility for the SBIR Program, in accordance with Policy
Directives issued by SBA. Pursuant to 15 U.S.C. Sec. 638(k)(4),
certain information provided to those databases are privileged and
confidential and not subject to disclosure pursuant to 5 U.S.C. 552
(Government Organization and Employees); nor must it be considered to
be publication for purposes of 35 U.S.C. 102 (a) or (b).
(2) Most of the information in the Award Information and Annual
Reports Databases will be available to the public. Any information that
will identify the confidential business information of a given small
business concern will not be disclosed to the public. Those databases
are available at Tech-Net and offer a vast array of user-friendly
capabilities that are accessible by the public at no charge. The Award
Information Database allows for the online submission of SBIR/STTR
awards data from all SBIR agencies. It also allows any end-user to
perform keyword searches and create formatted reports of SBIR/STTR
awards information, and for potential research partners to view
research and development efforts that are ongoing in the SBIR and the
STTR Programs, increasing the investment opportunities of the SBIR/STTR
SBCs in the high tech arena.
(1) Agencies must request an extension for additional time between
the solicitation closing date and notification of recommendation for
award. SBA will respond to the request for an extension within 5
business days, as practicable. See Sec. 7(c)(1) of the directive for
(2) Agencies must request a waiver to exceed the award guidelines
for Phase I and Phase II awards by more than 50% for a specific topic.
See Sec. 7(i)(4) of the directive for further information.
(3) Agencies must request a waiver to not use its SBIR funds, as
part of the pilot allowing for the use of such funds for certain SBIR-
related costs, to increase participation by SDBs and WOSBs in the SBIR
Program, and small businesses in states with a historically low level
of SBIR awards. See Sec. 9(f)(3)(ii) of the directive for further
(4) Agencies must request a waiver to issue a funding agreement
that includes a provision for subcontracting a portion of that
agreement back to the issuing agency if there is no exception to this
requirement in the directive. See Sec. 9(f)(4) of the directive for
unofficial copy annotated by Zyn Systems