SBIR PD 2002
Policy Directive - Section 10
Annual Report to the Small Business Administration
SBA Proposed Ammendments (in red) 5/19/2005
10. Annual Report to the Small Business Administration
The Act requires a ``simplified, standardized and timely annual
report'' from the SBIR agencies. The following paragraphs explain more
about this requirement, including the due date, the kinds of
information to be included, and the number of copies to be submitted to
(a) Annual Report Due Date and Number of Copies. Reporting must be
on an annual basis and will be for the period ending September 30 of
each fiscal year. A single, hard copy report is due to SBA by March 15
of each year. For example, the report for FY 2002 (October 1, 2001--
September 30, 2002) must be submitted to SBA by March 15, 2003. SBA
encourages agencies to submit their annual report before the March 15
due date. The report should be sent to the address noted in Section
5(b). However, if agencies choose to send an electronic version, it
should be sent to firstname.lastname@example.org.
(a) Annual Report Due Date and Format. Reporting must be on an annual basis and will be for the period ending September 30 of each fiscal year. The report must be submitted to SBA by March 15 of each year. For example, the report for FY 2005 (October 1, 2001- September 30, 2004) must be submitted to SBA by March 15, 2006. SBA encourages agencies to submit their annual report before the March 15 due date. The report must be submitted electronically to email@example.com, and a single hard copy should be sent to the address noted in Section 5(b). The award information contained in the annual report must be validated and complete upon submission to SBA on March 15.
(b) Annual Report Content Report 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 Section 9(a)(12) for minimum reporting requirements.
(1) 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.
(2) SBIR Program total fiscal year dollars derived by applying the
statutory percentum to the agency's extramural R/R&D total obligations.
(3) SBIR Program fiscal year dollars obligated through SBIR Program
funding agreements for Phase I and Phase II.
(4) Number of topics and subtopics contained in each program
(5) Number of proposals received by the agency for each topic and
subtopic in each program solicitation. Identify the number of proposals
received from HUBZone SBCs.
(6) For both Phase I and Phase II, the awardee's name and address,
solicitation topic and subtopic, solicitation number, project title,
and total dollar amount of funding agreement. Identify women-owned
SBCs, economically and socially disadvantaged SBCs, HUBZone SBCs, and
Phase II awardees with follow-on funding commitments.
(7) Justification for the award of any funding agreement exceeding
$100,000 for Phase I or $750,000 for Phase II.
(8) The number of awardees for whom the Phase I process exceeded 6
months, starting from the closing date of the SBIR solicitation to
award of the funding agreement.
(9) For an agency Phase III award using non-SBIR Federal funds to
continue a Phase II project, the agency must provide the name, address,
project title, and dollar amount obligated.
(10) 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. Information must be collected quarterly, but updated
in the agency's annual reports.
(11) 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.
(12) If applicable, report the number of National Critical
Technology topic or subtopic funding agreements issued, including an
identification of the specific critical technology topics, and the
percentage by number and dollar amount of the agency's total SBIR
awards to such National Critical Technologies topics.
(14) (13) Report the number and dollar value of each SBIR and non-SBIR
award over $10,000 and compare the number and amount of SBIR awards
with awards to other than SBCs.
(14) Report on the specific activities undertaken to implement Executive Order 13329, including, for example, solicitation notices and new topics; additional proposal evaluation criteria or procedures; internet-based activities to promulgate the Executive Order, and any other activities in support of the Executive Order. The Report shall include a description of all significant alternatives considered to implement the Executive Order, detailing the factual, policy, and legal reasons for selecting the alternative(s) adopted and the factual, policy, and legal reasons for rejecting the other significant alternatives considered.
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