SBIR Policy Directive 2012
11. Responsibilities of SBA
11. Responsibilities of SBA
(1) SBA will establish policy and procedures for the program by
publishing and updating the SBIR Policy Directive and promulgating
regulations. Policy clarification of any part or provision of the
directive or regulations may be provided by SBA.
(2) It is essential that SBIR agencies do not promulgate any
policy, rule, regulation, or interpretation that is inconsistent with
the Act, this Policy Directive, or SBA's regulations relating to the
SBIR Program. SBA's monitoring activity will include review of
policies, rules, regulations, interpretations, and procedures generated
to facilitate intra- and interagency SBIR Program implementation.
(3) Waivers providing limited exceptions to certain policies can be
found at Sec. 10 of the directive.
SBA conducts outreach to achieve a number of
(c) Collection and publication of program-wide data.
(1) Educating the public about the SBIR Program via conferences,
seminars, and presentations;
(2) Highlighting the successes achieved in the program by
publishing (via press releases and www.SBIR.gov) success stories, as
well as hosting awards programs;
(3) Maintaining SBIR.gov, which is an online public information
resource that provides comprehensive information regarding the SBIR
Program. This information includes: A listing of solicitation
information on currently available SBIR opportunities, award
information on all Phase I and Phase II awards, summary annual award
information for the whole program, and contact information for SBA and
agency program managers.
and maintains program-wide data within the Tech-Net data system. This
data includes information on all Phase I and II awards from across all
SBIR agencies, as well as Fiscal Year Annual Report data. See Sec. 10
of the directive for further information about reporting and data
(d) Monitoring implementation of the program and annually reporting
SBA is responsible for providing oversight and monitoring the
implementation of the SBIR Program at the agency level. This monitoring
(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. The Act requires that SBA monitor these annual allocations.
(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 and publishes
information relating to notice of and application for awards under the
SBIR Program for each SBIR agency at SBIR.Gov or Tech-Net. 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) Fraud, Waste, and Abuse (FWA). SBA will ensure that each SBIR
agency has taken steps to maintain a FWA prevention system to minimize
its impact on the program.
(5) Performance Areas, Metrics, and Goals. SBA is responsible for
defining performance areas consistent with statute (e.g., reducing
timelines for award, simplification) against which agencies will set
goals. SBA will work with the agencies to set metrics, in order to
measure an agency's accomplishments of its goals against the defined
performance areas. The purpose of these metrics and goals is to assist
SBA in evaluating and reporting on the progress achieved by the
agencies in improving the SBIR Program. For further information on
Performance Areas, Metrics and Goals see Sec. 10(i).
(e) Additional efforts to improve the performance of the program.
SBA, in its continuing effort to improve the program, will make
recommendations for improvement within the framework of the Program
Managers' meetings. This may include recommending a ``best practice''
currently being utilized by an agency or business, or open discussion
and feedback on a potential ``best practice'' for agency adoption. This
may also involve program-wide initiatives.
(1) Federal and State Technology Partnership (FAST) Program. SBA
coordinates the FAST program. SBA develops the solicitation, reviews
proposals, and oversees grant awards. FAST provides awardees with
funding to assist in outreach, proposal preparation, and other
technical assistance to developing innovation oriented SBCs.
(2) Critical Technologies. SBA 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. SBA will
request this information in June of each year. The data received will
be submitted to each of the SBIR agencies and will also be published in
the September issue of the SBIR Pre-Solicitation Announcement.
unofficial copy annotated by Zyn Systems