Proposed STTR Policy Directive 2003
Section 11 - Annual Report to the Small Business Administration
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 STTR 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 STTR
(c) Examples of STTR Areas to be Monitored by SBA.
(1) STTR Funding Allocations. The magnitude and source of each STTR
agency's annual allocation reserved for STTR awards are critical to the
success of the STTR Program. The Act defines the STTR effort (R/R&D),
the source of the funds for financing the STTR Program (extramural
budget), and the percentage of such funds to be reserved for the STTR
Program (0.15 percent through 2003, 0.3 percent thereafter). The Act
requires that SBA monitor these annual allocations.
(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 STTR
Program and Federal and commercial assistance and services available
for STTR Program participants.
(2) STTR Program Solicitation and Award Status. The accomplishment
of scheduled STTR events, such as STTR Program solicitation release 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 STTR 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 STTR 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 STTR 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-or interagency STTR Program implementation.
(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 STTR and the SBIR 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 STTR and the SBIR Programs. The system also
stores the 200-word technical abstract for each STTR and SBIR 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 STTR 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
Access 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 STTR/SBIR awards data from all STTR agencies. Tech-Net also allows any end-user to perform
keyword searches and create formatted reports of STTR/SBIR awards
information. Tech-Net will allow for potential research partners to
view research and development efforts that are ongoing in the STTR and
the SBIR Programs, increasing the investment opportunities of the STTR/
SBIR 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 STTR/SBIR
awardees. This will ultimately produce investments, partnerships, and
strategic alliances resulting in commercialization of STTR/SBIR
(5) Tech-Net also houses legislatively mandated information on all
STTR and SBIR 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.
Username 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 STTR
/SBIR Federal agency.
(7) Project commercialization and sales data can only be viewed by
Congress, the General Accounting Office (GAO), agencies participating
in the STTR and the SBIR 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
(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
identification number assigned by the Administrator of each SBC that
has received an STTR or SBIR Phase I or Phase II award from a Federal
(10) Government Tech-Net Database. SBA, in consultation with the
Federal agencies participating in the STTR and the SBIR Programs,
develops and maintains a secure database that:
(i) Contains, for each Phase II award:
(ii) A description of each STTR or SBIR 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;
(iii) An identification of any business concern or subsidiary
established for the commercial application of a product or service for
which an STTR or SBIR award is made; and
(B) The Federal agency making the award; and
(C) The date and amount of the award.
(iv) Information regarding mentors and Mentoring networks, as
required in the Federal and State Technology (FAST) Partnership Program
established under section 35(d) of the Act and described on the SBA's
Internet site at http://www.sba.gov/sbir/indexfast.html.
(v) With respect to assistance under the STTR Program (as required
under section 9(k)(1) of the Act):
(A) Whether the SBC or the research institution initiated their
collaboration on each assisted STTR project;
(B) Whether the SBC or the research institution originated any
technology relating to the assisted STTR project;
(C) The length of time it took to negotiate any licensing agreement
between the SBC and the research institution under each assisted STTR
(D) The percentage allocated between the SBC and the research
institution of the proceeds from commercialization, marketing, or sale
of technology resulting from each assisted STTR project.
(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 STTR or SBIR awards, to further the research
and development conducted under each Phase II award; and
(11) Data Collection for Government Tech-Net Database.
(C) Any other information received in connection with the award
that the Administrator, in conjunction with the STTR 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, and identification 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 STTR 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
(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 it notes 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