11. Responsibilities of SBA
(a) SBA's Office of Technology will annually obtain available
information on the current critical technologies from the National
Critical Technologies panel (or its successor) and the Secretary of
Defense and provide such information to the SBIR agencies.
(b) SBA will request this information in June of each year. The
data received will be submitted to each of the participating Federal
agencies and will also be published in the September issue of the SBIR
(c) Examples of SBIR Areas to be Monitored by SBA.
(1) SBIR Funding Allocations. The magnitude and source of each SBIR
agency's annual allocation reserved for SBIR awards are critical to the
success of the SBIR Program. The Act defines the SBIR effort (R/R&D),
the source of the funds for financing the SBIR Program (extramural
budget), and the percentage of such funds to be reserved for the SBIR
Program (2.5 percent). The Act requires that SBA monitor these annual
(2) SBIR Program Solicitation and Award Status. The accomplishment
of scheduled SBIR events, such as SBIR Program solicitation releases
and the issuance of funding agreements, is critical to meeting
statutory mandates and to operating an effective, useful program. SBA
monitors these and other operational features of the SBIR Program. SBA
does not plan to monitor administration of the awards except in
instances where SBA assistance is requested and is related to a
specific SBIR project or funding agreement.
(3) Follow-on Funding Commitments. SBA will monitor whether follow-
on non-Federal funding commitments obtained by Phase II awardees for
Phase III were considered in the evaluation of Phase II proposals as
required by the Act.
(4) Agency Rules and Regulations. It is essential that no policy,
rule, regulation, or interpretation be promulgated by the SBIR agencies
that are inconsistent with the Act or this Policy Directive. SBA's
monitoring activity will include review of policies, rules,
regulations, interpretations, and procedures generated to facilitate
intra- and interagency SBIR Program implementation.
(d) SBA develops, participates in, and, when appropriate and
feasible, sponsors seminars for innovative women-owned SBCs and
socially and economically disadvantaged SBCs to inform them of the SBIR
Program and Federal and commercial assistance and services available
for potential SBIR Program participants.
(e) Standardized Collection of Data--``Technology Resources Access
Network'' (Tech-Net) Database System Overview
(1) SBA's Office of Technology, as functional program manager for
the SBIR and the STTR Programs, is required to collect and report to
the Congress, information regarding awards made to SBCs by each Federal
agency participating in these programs.
(2) The Office of Technology maintains an internal database of
awards and uses the system to report on technology and demographical
statistics regarding the SBIR and the STTR Programs. The system also
stores the 200-word technical abstract for each SBIR and STTR award
that is prepared by the awardee summarizing the research effort that
has been supported by the Federal Government. The system also provides
the Office of Technology with the ability to perform keyword searches
in many areas, including any part of the name, address, and technical
abstract of the awardee. The system produces many reports that are used
in the conduct of audits performed by the General Accounting Office
(GAO) and to expose potential duplication of research and development
efforts funded by the SBIR agencies.
(3) The Office of Technology, in a joint effort with SBA's Office
of the Chief Information Officer, has redesigned the Office of
Technology's internal awards database system to operate on the
Internet. The Internet system is titled the ``Technology Resources
Network,'' or Tech-Net.
(4) Tech-Net offers a vast array of user-friendly capabilities, and
is accessible by the public at no charge. Tech-Net allows for the
online submission of SBIR/STTR awards data from all SBIR agencies.
Tech-Net also allows any end-user to perform keyword searches and
create formatted reports of SBIR/STTR awards information. Tech-Net will
allow 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. Tech-Net serves as an excellent marketing tool for the small,
high tech business community, allowing investors to view first-hand the
technical capabilities of SBIR/STTR awardees. This will ultimately
produce investments, partnerships, and strategic alliances resulting in
commercialization of SBIR/STTR research.
(5) Tech-Net also houses legislatively mandated information on all
SBIR and STTR awards, as well as confidential outcome and output
information that will be relevant to measuring the effectiveness and
success of the programs.
(6) Awardees can update their information and add project
commercialization and sales data with user names and passwords. User
name and passwords will be assigned only to awardees to provide access
to their respective awards information maintained in the Tech-Net
system. Award and commercialization data maintained in the Tech-Net database
can be changed only by the awardee, SBA, or the awarding SBIR /STTR
(7) Project commercialization and sales data can only be viewed by
Congress, GAO, agencies participating in the SBIR and the STTR
Programs, Office of Management and Budget (OMB), Office of Science and
Technology Policy (OSTP), Office of Federal Procurement Policy (OFPP),
and other authorized persons (for example, authorized contractors) who
are subject to a use and nondisclosure agreement with the Federal
Government covering the use of the database.
(8) To use the Tech-Net database system, visit the Web site http://
tech-net.sba.gov. Online help is available.
(9) Public Tech-Net Database (See Appendix II for Data Fields). The
public Tech-Net Database is a searchable, up-to-date, electronic
database that includes:
(i) the name, size, location, funding agreement number, and
identifying number assigned by the Administrator of each SBC that has
received an SBIR or STTR Phase I or Phase II award from a Federal
(ii) a description of each SBIR or STTR Phase I or Phase II award
received by the SBC including:
(A) an abstract of the project funded by the award, excluding any
proprietary information so identified by the awardee;
(B) the Federal agency making the award; and
(C) the date and amount of the award.
(iii) 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; and
(iv) information regarding mentors and Mentoring Networks, as
required in the Federal and State Technology (FAST) Partnership Program
described in Section 12 of this Policy Directive.
(10) Government Tech-Net Database. SBA, in consultation with the
Federal agencies participating in the SBIR and the STTR Programs,
develops and maintains a secure database that:
(i) contains, for each Phase II award:
(A) information on revenue from the sale of new products or
services resulting from the research conducted under each Phase II
(B) information on additional investment from any source, other
than Phase I or Phase II SBIR or STTR awards, to further the research
and development conducted under each Phase II award; and
(C) any other information received in connection with the award
that the Administrator, in conjunction with the SBIR program managers
of the participating agencies, considers relevant and appropriate;
(ii) includes any narrative information that a Phase II awardee
voluntarily submits to further describe the outputs and outcomes of its
(iii) includes for each applicant that does not receive a Phase I
or Phase II award:
(A) the name, size, location, and identifying number assigned by
SBA; (B) an abstract of the project; and (C) the Federal agency to
which the application was made;
(iv) includes any other data collected by or available to any
Federal agency that such agency considers to be useful for SBIR program
(v) is available for use solely for program evaluation purposes by
the Federal Government or, in accordance with Policy Directives issued
by SBA, by other authorized persons who are subject to a use and
nondisclosure agreement with the Federal Government covering the use of
(11) Data Collection for Government Tech-Net Database
(i) Each SBC applying for a Phase II award is required to update
the appropriate information in the Tech-Net database for any of its
prior Phase II awards. In meeting this requirement, the SBC may
apportion sales or additional investment information relating to more
than one Phase II award among those awards, if itnotes the
apportionment for each award.
(ii) Each Phase II awardee is required to update the appropriate
information in the Tech-Net database on that award upon completion of
the last deliverable under the funding agreement. In addition, the
awardee is requested to voluntarily update the appropriate information
on that award in the Tech-Net database annually thereafter for a
minimum period of 5 years.
(iii) Pursuant to 15 U.S.C. 638(k)(4), information provided to the
Government Tech-Net Database is 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).
(iv) SBA will minimize the data reporting requirements of SBCs,
make updating available electronically, and provide standardized