SBIR Policy Directive 2012
L. Appendix--Instructions for SBIR Program Solicitation Preparation
SBA amended this section of the Policy Directive to address the certification requirements set forth in section 5143 of the Reauthorization Act. Specifically, section 5143 recommends that SBCs receiving an SBIR award certify their eligibility for the program and award.
SBA has created three new certifications to be used by agencies. The first certification is for SBIR applicants that are majority-owned by multiple VCOCs, hedge funds or private equity firms. The certification, to be submitted to the agency by the SBC with its application, states that the SBC has registered with the Company Registry Database and meets the statutory requirements for eligibility of such small businesses.
The second certification is required for all SBCs that receive an SBIR award, although agencies may request that SBCs provide a certification at the time of application, as well. This certification addresses the ownership and control requirements for the program set forth in SBA's regulations and the performance of work requirements for the small business and principal investigator. The certification also addresses whether all or a portion of the work under the project has been submitted to another agency for consideration of an award and whether the other agency has or has not funded the work. The purpose of this part of the certification is to ensure that two or more agencies do not fund the same or similar work.
The third certification is required for all SBIR awardees that are working on an SBIR award. This is referred to as the life cycle certification. It seeks to ensure that once awarded the SBIR funding agreement, the small business concern continues to meet the program's requirements (e.g. performing the required percentage of work, employing the principal investigator). Agencies will set forth in the funding agreement those specific points in time that the small business must submit the certification during the life of the award.
Finally, this section of the directive also addresses the requirement in section 5140 of the Reauthorization Act that agencies request permission from SBCs to disclose the title and abstract of the proposed project, as well as the name and other information of the corporate official of the SBC, to appropriate local and state economic development organizations, if the proposal does not result in an SBIR award. Every applicant must include this information in its proposal cover sheet.
unofficial copy annotated by Zyn Systems