Small Business Innovation Research Program Policy Directive, 28975-28979 [05-9973]

Download as PDF Federal Register / Vol. 70, No. 96 / Thursday, May 19, 2005 / Notices Ombudsman will hold a public hearing on Friday, June 3, 2005, at 8:30 a.m. The public hearing will be held at the Rock Valley College ‘‘Woodward Technology Center, 3301 North Mulford Road, Room 117, Rockford, IL 61114, phone (815) 921–2081, to receive comments and testimony from small business owners, small government entities, and small non-profit organizations concerning regulatory enforcement and compliance actions taken by federal agencies. Anyone wishing to attend or to make a presentation must contact Gary Peele, in writing or by fax, in order to be put on the agenda. Gary Peele, Supervisory Marketing Specialist, SBA Illinois District Office, 500 West Madison Street, Chicago, IL 60661, phone (312) 353–7353, fax (202) 481–2031, e-mail: gary.peele@sba.gov. For more information, see our Web site at https://www.sba.gov/ombudsman. Matthew K. Becker, Committee Management Officer. [FR Doc. 05–9972 Filed 5–18–05; 8:45 am] BILLING CODE 8025–01–P SMALL BUSINESS ADMINISTRATION RIN: 3245–AF21 Small Business Innovation Research Program Policy Directive U.S. Small Business Administration. ACTION: Notice of proposed amendments to Policy Directive. AGENCY: SUMMARY: This document proposes amendments to the Small Business Innovation Research (SBIR) Program Policy Directive. These proposed amendments reflect the requirements that the Executive Order, Encouraging Innovation in Manufacturing, imposes on the Small Business Administration (SBA) and the Federal agencies that participate in the SBIR program. This document also provides guidelines and directives to Federal agencies for the general conduct of the program as it relates to implementing the Executive Order. DATES: Public comments on the proposed amendments to the SBIR Policy Directive must be received on or before June 20, 2005. ADDRESSES: You may submit comments, identified by RIN 3245–AF21, by any of the following methods. (1) The Federal eRulemaking portal: www.regulations.gov; (2) e-mail at technology@sba.gov (include RIN in the subject line of the message); (3) mail, addressed to Edsel M. Brown, Jr., Assistant Administrator for Technology, VerDate jul<14>2003 22:14 May 18, 2005 Jkt 205001 Office of Technology, Office of Policy, Planning, and Liaison; Office of Government Contracting and Business Development, U.S. Small Business Administration, 409 3rd Street, SW., Washington, DC 20416. FOR FURTHER INFORMATION CONTACT: Edsel M. Brown, Jr., Office of Technology, Office of Policy, Planning, and Liaison, Office of Government Contracting and Business Development, at (202) 205–6450 or at technology@sba.gov. SUPPLEMENTARY INFORMATION: In 1982, Congress enacted the Small Business Innovation Development Act of 1982 (SBIDA), Public Law 97–219 (codified at 15 U.S.C. 638), which established the SBIR Program. The statutory purpose of the Small Business Innovation Research (SBIR) Program is to strengthen the role of innovative small business concerns (SBCs) in Federally-funded research and research and development (R/R&D). The SBIR Program is a phased process, uniform throughout the Federal Government, of soliciting proposals and awarding funding agreements for R/R&D to meet stated agency needs or missions. To stimulate and foster scientific and technological innovation, including increasing commercialization of Federal R/R&D, the program must follow a uniform competitive process of three phases: Phase I, Phase II, and Phase III. SBIDA requires the SBA to ‘‘issue Policy Directives for the general conduct of the SBIR programs within the Federal Government.’’ 15 U.S.C. 638(j)(1). SBA proposes to amend the most recent SBIR Policy Directive which was published on September 24, 2002, at 67 FR 60072– 60098. On February 24, 2004, the President signed Executive Order 13329, ‘‘Encouraging Innovation in Manufacturing.’’ The purpose of the Executive Order is to ensure that Federal Government agencies and departments properly and effectively assist the private sector in its manufacturing innovation efforts through the use of the SBIR and the Small Business Transfer Technology (STTR) Programs. Pursuant to the Executive Order, the SBA is required to: (1) Establish, after consultation with the Director of the Office of Science and Technology Policy (OSTP), formats and schedules for submission of reports by the heads of departments and agencies; and (2) issue to departments and agencies guidelines and directives (in addition to the formats and schedules) as the SBA Administrator determines from time to time are necessary to implement the Executive Order, after such guidelines and directives are PO 00000 Frm 00075 Fmt 4703 Sfmt 4703 28975 submitted to the President, through the Director of OSTP, and are approved by the President. In addition, the Executive Order requires the heads of the agencies and departments with one or more SBIR or STTR programs to perform the following: (1) To the extent permitted by law and in a manner consistent with the mission of that department or agency, give high priority within such programs to manufacturing-related research and development to advance innovation in manufacturing through small business; and (2) to submit reports annually to the Administrator of the SBA and the Director of the OSTP concerning the efforts of such departments or agencies in implementing the Executive Order. SBA proposes to amend the SBIR Policy Directive in order to fulfill its responsibilities under Executive Order 13329 and to provide the guidelines and requirements that the participating agencies and departments need to implement the provisions of the Executive Order as set forth above. Section-by-Section Analysis Section 2 of the SBIR Policy Directive contains a summary of the legislative provisions applicable to the SBIR Program. SBA is proposing to amend this section to include an overview of the requirements imposed by Executive Order 13329 and to amend the section heading to more accurately reflect the scope of the section. Section 3 of the SBIR Policy Directive sets forth definitions pertinent to the SBIR program. SBA proposes to add a definition for ‘‘Manufacturing-related’’ research and development. The definition was initially developed by the OSTP, the National Institute of Standards and Technology, and the National Science Foundation and was reviewed by the National Science and Technology Council. The definition encompasses research and development that improves existing methods or processes, including machine technologies, systems technologies, and environmental or societal technologies. In addition, to facilitate the proper placement of this new definition, it will be necessary to redesignate several paragraphs in section 3. Section 4 of the Policy Directive includes a description of the structure and purpose of Phases I, II, and III of the SBIR Program and the standards for evaluating grant proposals. In section 4(a)(2) of the Policy Directive, SBA is proposing to add that agencies may, to the extent permitted by law, give additional consideration to manufacturing-related proposals. E:\FR\FM\19MYN1.SGM 19MYN1 28976 Federal Register / Vol. 70, No. 96 / Thursday, May 19, 2005 / Notices Section 9 of the Policy Directive sets forth the responsibilities of the participating agencies and departments under the SBIR Program. In the amendments to the Policy Directive, SBA is proposing to add those responsibilities imposed by Executive Order 13329. Specifically, as amended, the SBIR Policy Directive will require agencies and departments to develop an Action Plan for the implementation of Executive Order 13329, identifying procedures used for giving priority to manufacturing-related R&D and provide information regarding Executive Order 13329 on their SBIR Web site. In addition, the SBA proposes deleting a dated reference to the National Critical Technologies panel. Section 10 of the Policy Directive discusses the content, structure, and submission requirements for the report that each participating agency and department must submit to the SBA by March 15 of each year. SBA proposes to amend section 10(a) to make electronic reporting of agencies’ annual report mandatory and amend section 10(b) to add the requirement for each agency and department to also report on its activities related to the implementation of Executive Order 13329. In addition, the SBA proposes deleting a dated reference to the National Critical Technology topic number. Section 11 of the Policy Directive sets forth SBA’s responsibilities with respect to the SBIR program. SBA proposes to amend this section to delete a dated reference to the National Critical Technology panel. Finally, in order to clarify the reporting requirements, SBA proposes to reformat Appendix II, changing the description in some fields, and adding fields that were not previously listed. SBA proposes consolidating the file format to a single file and numbering all fifty-eight (58) fields required for reporting. SBA has identified those fields which are mandatory for all records, mandatory for STTR projects, and mandatory for Phase II projects. SBA also proposes renaming the field formerly named ‘‘Minority’’ as ‘‘Socially and Economically Disadvantaged Small Business.’’ As described in the most recent publication of the SBIR policy directive, the STTR reauthorization legislation, Public Law 107–50, requires collection of information on awardees’ HUBZone certification. However, the requirement was omitted from the Appendix as a reporting field. To rectify this, SBA proposes adding ‘‘HUBZone Certified’’ as field 12. VerDate jul<14>2003 22:14 May 18, 2005 Jkt 205001 Paperwork Reduction Act SBA has determined that the proposed amendments to the SBIR Policy Directive, as a result of Executive Order 13329, do not impose additional reporting or recordkeeping requirements under the Paperwork Reduction Act, 44 U.S.C. Chapter 35. Notice of Proposed Policy Directive; Small Business Innovation Research Program To: The Directors, Small Business Innovation Research Program Subject: Executive Order 13329, ‘‘Encouraging Innovation in Manufacturing,’’ Revisions to the Small Business Innovation Research Program Policy Directive. 1. Purpose. Section 9(j)(3) of the Small Business Act (15 U.S.C. 638(j)(3)) requires the U.S. Small Business Administration (SBA) Administrator to modify the Small Business Innovation Research (SBIR) Program Policy Directive as required for the general conduct of the SBIR Program within the Federal Government. 2. Authority. This proposed Policy Directive is issued under the authority of 15 U.S.C. 638(j). 3. Procurement Regulations. The Federal Acquisition Regulations may need to be modified to conform to the requirements of the Reauthorization and a final Policy Directive. Regulatory provisions that pertain to the areas of SBA responsibility will require approval of the SBA Administrator or designee. The Office of Technology, Office of Policy, Planning, and Liaison, Office Government Contracting/Business Development, SBA, is the appropriate office for coordinating such regulatory provisions. 4. Personnel Concerned. All Federal Government personnel who are involved in the administration of the program, including those involved with the issuance and management of funding agreements of the SBIR Program and the establishment of goals for small business concerns (SBCs) in research or research and development procurements or grants. 5. Distribution. Federal Government agencies and departments participating in the SBIR Program and those required to establish small business research development goals as directed by section 9 of the Small Business Act (15 U.S.C. 638(j)). 6. Originator. Office of Technology, Office of Policy, Planning, and Liaison, Office of Government Contracting and Business Development, SBA. 7. Dates. The SBIR Program is authorized through September 30, 2008. PO 00000 Frm 00076 Fmt 4703 Sfmt 4703 A final Policy Directive will be effective when issued as final in the Federal Register. Authorized By: Allegra McCullough Associate Deputy Administrator, Government Contracting/Business Development, U.S. Small Business Administration For the reasons set forth in the preamble, SBA proposes to amend the SBIR Policy Directive as follows: 1. Revise the heading of § 2 to read as follows: Relevant Legal Provisions 2. Amend § 2 by adding a new paragraph (g) to read as follows: (g) Under Executive Order 13329, ‘‘Encouraging Innovation in Manufacturing,’’ Federal agencies have an important role in helping to advance innovation, including innovation in manufacturing, through small businesses. Agencies must give high priority to SBIR projects that are focused on manufacturing related R&D, in a manner consistent with the missions of the agencies and the purpose of the SBIR program. Participating agencies must report annually to the SBA Administrator and the Director of the Office of Science and Technology Policy on its efforts to carry out Executive Order 13329. The Executive Order directs the SBA to establish formats and schedules for this reporting and to issue guidelines and directives as necessary to implement the Executive Order. 3. Amend section 3 by redesignating paragraphs (s) through (gg) as (t) through (hh) and adding new paragraph (s) to read as follows: (s) Manufacturing-related. Activities that relate to manufacturing processes, equipment and systems, or manufacturing workforce skills and protection including, unit process level technologies; machine level technologies; systems level technologies; and environmental or societal level technologies. 4. Amend section 4(a)(2) by adding the following after the second sentence: The proposal evaluation process shall also, to the extent permitted by law and in a manner consistent with the mission of the agency and the purpose of the SBIR program, give consideration to manufacturing-related research. 5. Amend section 9(a)(2) by deleting ‘‘(i) the National Critical Technologies panel (or its successor) in reports required under 42 U.S.C. 6683, or (ii).’’ 6. Amend section 9 to add paragraphs (g) and (h) to read as follows: (g) To the extent permitted by the law, and in a manner consistent with the mission of that agency and the purpose of the SBIR program, each participating E:\FR\FM\19MYN1.SGM 19MYN1 Federal Register / Vol. 70, No. 96 / Thursday, May 19, 2005 / Notices agency must give priority in the SBIR program to manufacturing-related research and development, including the following: (1) Unit process level technologies that create or improve manufacturing processes, including: (i) Fundamental improvements in existing manufacturing processes that deliver substantial productivity, quality, or environmental benefits; or (ii) Development of new manufacturing processes, including new materials, coatings, methods, and associated practices. (2) Machine level technologies that create or improve manufacturing equipment, including: (i) Improvements in capital equipment that create increased capability (such as accuracy or repeatability), increased capacity (through productivity improvements or cost reduction), or increased environmental efficiency (safety, energy efficiency, environmental impact); or (ii) New apparatus and equipment for manufacturing, including additive and subtractive manufacturing, deformation and molding, assembly and test, semiconductor fabrication, biologics, biomaterials, vaccines or drug production, and nanotechnology. (3) Systems level technologies for innovation in the manufacturing enterprise, including: (i) Advances in controls, sensors, networks, and other information technologies which improve the quality and productivity of manufacturing cells, lines, systems, and facilities; (ii) Innovation in extended enterprise functions critical to manufacturing, such as quality systems, resource management, supply change integration, and distribution, scheduling and tracking; or (iii) Technologies that enable integrated and collaborative product and process development, including computer-aided and expert systems for design, tolerancing, process and materials selection, life-cycle cost estimation, rapid prototyping, and tooling. (4) Environmental or societal level technologies that improve workforce abilities, productivity, and manufacturing competitiveness, including: (i) Technologies for improved workforce health and safety, such as human factors and ergonomics; or (ii) Technologies that aid and improve workforce manufacturing skill and technical excellence, such as educational systems incorporating improved manufacturing knowledge and instructional methods. (h) Agencies must develop an Action Plan for implementing Executive Order 13329, which identifies activities used to give priority in the SBIR program to manufacturing-related research and development. These activities should include adding information on the Executive Order to the agency’s SBIR program website. 7. Amend § 10(a) to read as follows: (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 28977 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 technology@sba.gov, 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. 8. Amend § 10(b) by deleting paragraph 12 and redesignating paragraphs 13 and 14 as 12 and 13 and adding paragraph 14 to read as follows: (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. 9. Amend § 11(a) by deleting ‘‘the National Critical Technologies panel (or its successor) and’’. 10. Amend Appendix II to read as follows: TECH-NET DATA FIELDS FOR ALL AGENCY SBIR/STTR ANNUAL DATA SUBMISSIONS TO THE SBA Field name Required code Type 1. Program Identification ........................................... MA ........... Numeric ... 1 2. Company .............................................................. 3. Company Division ................................................. 4. Street1 .................................................................. 5. Street2 .................................................................. 6. City ....................................................................... 7. State ..................................................................... 8. Zip ......................................................................... 9. Zip4 ....................................................................... 10. Socially and Economically Disadvantaged Small Business. MA ........... .................. MA ........... .................. MA ........... MA ........... MA ........... MA ........... MA ........... Char ......... Char ......... Char ......... Char ......... Char ......... Char ......... Numeric ... Numeric ... Numeric ... 80 80 80 80 40 2 5 4 1 11. Women ............................................................... MA ........... Numeric ... 1 12. HUBZone Certified ............................................. MA ........... Numeric ... 1 13. Contact First ....................................................... 14. Contact Last ....................................................... 15. Contact Middle Initial .......................................... MA ........... MA ........... .................. Char ......... Char ......... Char ......... 40 40 1 16. Contact Title ....................................................... 17. Contact Phone .................................................... .................. MA ........... Char ......... Char ......... 40 10 VerDate jul<14>2003 22:14 May 18, 2005 Jkt 205001 PO 00000 Frm 00077 Fmt 4703 Sfmt 4703 Width Description SBIR/STTR Award Program Identifier (0=STTR; 1=SBIR). Company Name. Company Division. Street Address 1. Street Address 2. City. State. Zip. Zip + 4. Socially and Economically Disadvantaged Small Business indicator (Allowable values: 0 = yes; 1 = no). Women-owned company indicator (Allowable values: 0 = yes; 1 = no). HUBZone Certified Small Business Concern (Allowable values: 0 = yes; 1 = no). Company Official contact first name. Contact last name. Contact middle initial (One character only—no periods or full names). Contact Official title. Contact Official phone (Ten characters only, for example 9999999999). E:\FR\FM\19MYN1.SGM 19MYN1 28978 Federal Register / Vol. 70, No. 96 / Thursday, May 19, 2005 / Notices TECH-NET DATA FIELDS FOR ALL AGENCY SBIR/STTR ANNUAL DATA SUBMISSIONS TO THE SBA—Continued Required code Field name 18. 19. 20. 21. 22. 23. 24. 25. Contact Email Address ....................................... Employees .......................................................... Agency ................................................................ Branch ................................................................ Phase 1 Award Year .......................................... Phase 1 Projected Total Amount ....................... Phase 2 Award Year .......................................... Phase 2 Projected Total Amount ....................... Width Description ........... ........... ........... ........... ........... ........... ........... ........... Char ......... Numeric ... Numeric ... Number .... Numeric ... Numeric ... Numeric ... Numeric ... 50 5 2 1 4 10 4 10 26. PI First ................................................................ 27. PI Last ................................................................ 28. PI Middle Initial ................................................... MA ........... MA ........... .................. Char ......... Char ......... Char ......... 40 40 1 29. PI Title ................................................................ 30. PI Phone ............................................................. .................. .................. Char ......... Char ......... 40 10 31. 32. 33. 34. 35. 36. 37. 38. 39. 40. 41. 42. 43. PI Email Address ................................................ Topic Code ......................................................... RI TYPE ............................................................. RI Name ............................................................. RI Street 1 .......................................................... RI Street 2 .......................................................... RI City ................................................................. RI State .............................................................. RI Zip .................................................................. RI Zip4 ................................................................ RI Official First .................................................... RI Official Last .................................................... RI Official Initial .................................................. .................. MA ........... MT ........... MT ........... MT ........... .................. MT ........... MT ........... MT ........... .................. .................. .................. .................. Char ......... Char ......... Numeric ... Char ......... Char ......... Char ......... Char ......... Char ......... Numeric ... Numeric ... Char ......... Char ......... Char ......... 50 15 1 80 80 80 40 2 5 4 40 40 1 44. RI Official Phone ................................................ .................. Char ......... 10 45. Tracking Number ................................................ 46. TIN/EIN ............................................................... MA ........... MA ........... Char ......... Char ......... 20 10 47. 48. 49. 50. 51. 52. 53. 54. Contract/Grant Num ........................................... Solicitation Number ............................................ Solicitation Year .................................................. Title ..................................................................... Abstract .............................................................. Results ................................................................ Comments .......................................................... Project Initiator .................................................... MA ........... MA ........... MA ........... MA ........... MA ........... .................. .................. MT ........... Char ......... Char ......... Numeric ... Char ......... Char ......... Char ......... Char ......... Char ......... 20 20 4 800 1500 1000 1000 1 55. Technology Used ................................................ MT ........... Char ......... 1 56. Time to establish license agreement (months) .. MT ........... Numeric ... 2 57. STTR Proceeds Distribution to SBC (%) ........... MT ........... Numeric ... 2 58. STTR Proceeds Distribution to RI (%) ............... MT ........... Numeric ... 2 Note: Required codes: Required fields are noted by: MA Mandatory for ALL project M2 Mandatory for Phase 2 projects MT Mandatory for STTR projects Optional field Each agency must submit a file that contains all 58 fields for each record. Each agency must ensure that data submitted to the SBA includes all of the data fields above, VerDate jul<14>2003 22:14 May 18, 2005 Jkt 205001 MA MA MA MA MA MA M2 M2 Type Contact email address. Number of employees. Awarding agency (see below). Awarding DOD branch name (see below). Phase 1 Year. Phase 1 Projected Total Amount. Phase 2 Year (Phase 2 records only). Phase 2 Projected Total Amount (Phase 2 records only). Principal Investigator First Name. Principal Investigator Last Name. Principal Investigator middle initial (one character only—no periods or full names). Principal Investigator Title. Principal Investigator phone (Ten characters only; for example 9999999999). Principal Investigator email address. Agency Solicitation Topic Number. Type of research institution (see below). Research institution (STTR only). Research institution address (STTR only). Research institution address (STTR only). Research institution city (STTR only). Research institution State (STTR only). Research institution Zip (STTR only). Research institution Zip + 4. Research institution Official First Name. Research institution Official Last Name. Research institution Official Middle Initial (One character only no periods or full names). Research institution Official’s phone # (Ten characters only; for example, 9999999999). Agency key identifier (Internal number scheme). Taxpayer/Employer Identification number Prefix with 1 for EIN; 2 for Social Security Number. This field must be exactly 10 digits in size and must be a valid EIN or TIN. Agency Award. Solicitation Number. Year of the Solicitation. Title of research project. Technical Abstract. Project anticipated results. Project comments. Initiator of STTR collaborative effort (Allowable values: S = Small Business Concern; R = Research Institution) (STTR only). SBC or RI originate any technology used in the STTR project (Allowable values: S = Small Business Concern; R = Research Institution) (STTR only). Time duration to establish any STTR license agreement (STTR only). Allocation of proceeds from sale of STTR technology (STTR only). Allocation of proceeds from sale of STTR technology (STTR only). even if the field is empty. For example, since DOD is the only agency using field #21 (Branch), other agencies must include a blank field 21 in their data submissions. (Field 1) Program Identification Code 0 STTR 1 SBIR (Field 20) Agency Code 1 DOD 2 DOE 3 NASA PO 00000 Frm 00078 Fmt 4703 Sfmt 4703 4 5 6 7 8 9 10 11 12 13 14 E:\FR\FM\19MYN1.SGM HHS NSF DOT EPA (No longer used) ED USDA DOC (No longer used) (No longer used) DHS 19MYN1 Federal Register / Vol. 70, No. 96 / Thursday, May 19, 2005 / Notices 15 HUD (Field 21) Branch Code 1 AF 2 ARMY 3 MDA 4 DARP 5 DTRA 6 NAVY 7 OSD 8 SOCO 9 NGA 10 CBD If any new codes should be added, please notify SBA’s Office of Technology. (FIELD 33) RESEARCH INSTITUTION TYPE Code Research institution types 1 .................... Nonprofit college or university. Domestic nonprofit research organization. Federally Funded R&D Center (FFRDC). 2 .................... 3 .................... The SBA will accept data in only the following formats: • Tab delimited text files • Microsoft Excel files • Microsoft Access files If you have any questions regarding TechNet Data submissions, please contact SBA’s Office of Technology at (202) 205–6450 or Technology@sba.gov. Michael McHale, Acting Associate Deputy Administrator, Government Contracting/Business Development, U.S. Small Business Administration. [FR Doc. 05–9973 Filed 5–18–05; 8:45 am] BILLING CODE 8025–01–P DEPARTMENT OF STATE [Public Notice 5085] Determination and Certification Under Section 40A of the Arms Export Control Act Pursuant to section 40A of the Arms Export Control Act (22 U.S.C. 2781), and Executive Order 11958, as amended, I hereby determine and certify to the Congress that the following countries are not cooperating fully with United States antiterrorism efforts: Cuba Iran Libya North Korea Syria I hereby notify that the decision to retain Libya on the list of countries not fully cooperating with U.S. antiterrorism efforts comes in the context of an on-going and comprehensive review of Libya’s record VerDate jul<14>2003 22:14 May 18, 2005 Jkt 205001 of support for terrorism. Although this process is not complete, Libya has taken significant steps to repudiate its past support for terrorism. When our review of Libya’s overall record is complete, we will be pleased to consult with the Congress further. This determination and certification shall be transmitted to the Congress and published in the Federal Register. Dated: May 13, 2005. Condoleezza Rice, Secretary of State, Department of State. [FR Doc. 05–10018 Filed 5–18–05; 8:45 am] BILLING CODE 4710–10–P TENNESSEE VALLEY AUTHORITY Paperwork Reduction Act of 1995, as Amended by Public Law 104–13; Submission for OMB Review; Comment Request Tennessee Valley Authority. Submission for OMB Review; comment request. AGENCY: ACTION: The proposed information collection described below will be submitted to the Office of Management and Budget (OMB) for review, as required by the Paperwork Reduction Act of 1995 (44 U.S.C. Chapter 35, as amended). The Tennessee Valley Authority is soliciting public comments on this proposed collection as provided by 5 CFR 1320.8(d)(1). Requests for information, including copies of the information collection proposed and supporting documentation, should be directed to the Agency Clearance Officer: Alice D. Witt, Tennessee Valley Authority, 1101 Market Street (EB 5B), Chattanooga, Tennessee 37402–2801; (423) 751–6832. (SC: 001DCCB) Comments should be sent to the OMB Office of Information and Regulatory Affairs, Attention: Desk Officer for the Tennessee Valley Authority June 20, 2005. SUPPLEMENTARY INFORMATION: Type of Request: Regular submission. Title of Information Collection: Reservoir Operations Study (ROS)— Recreation User Data. Frequency of Use: Annually for a period of five years. Type of Affected Public: Individual recreation users at public and commercial recreation areas and recreation users from private water front homes. Small Businesses or Organizations Affected: No. Estimated Number of Annual Responses: 3,000. Estimated Total Annual Burden Hours: 900. SUMMARY: PO 00000 Frm 00079 Fmt 4703 Sfmt 4703 28979 Estimated Average Burden Hours Per Response: 0.33 hours. Need For and Use of Information: As part of system wide re-evaluation of TVA reservoirs and tailwaters, TVA conducted a survey of recreation use on 13 representative reservoirs and 6 representative tailwaters during calendar year 2002. Recreation use estimates were made for public use areas, commercial marinas, river outfitters, and private home owners. In each case, information was collected on the amount of recreation use, length of stay, facility preference, trip origin, expenditures and economic impact. These data now form the foundation for a TVA reservoir and tailwater recreation database—the first systemwide estimates on recreation use in the Valley collected since 1978. TVA recognizes the value of this database and proposes to keep it up-to-date and, improving its utility by refining the survey design and conducting additional surveys of recreational use on representative reservoirs and tailwaters. Paula C. Cooper, Manager, Systems Engineering, Enterprise Operations, Information Services. [FR Doc. 05–9984 Filed 5–18–05; 8:45 am] BILLING CODE 8120–08–P DEPARTMENT OF TRANSPORTATION Surface Transportation Board Agency Information Collection Activities: Proposed Collections; Comment Request Surface Transportation Board. 60-day notice and request for comments. AGENCY: ACTION: SUMMARY: The Surface Transportation Board (Board), as part of its continuing effort to reduce paperwork burdens, and as required by the Paperwork Reduction Act of 1995, 44 U.S.C. 3501 et seq. (PRA), gives notice that the Board proposes to request approval of the seven existing information collections described below. Office of Management and Budget (OMB) control numbers were obtained in the past, but have expired, for six of the seven information collections that are the subject of this notice. For the most part, the collections listed below continue current Board reporting requirements without revision. As described below, a minor revision has been made to Collection No. 1, Class I Railroad Annual Report. Comments are requested regarding any of the collections of information described below concerning (1) whether the particular collection of information E:\FR\FM\19MYN1.SGM 19MYN1

Agencies

[Federal Register Volume 70, Number 96 (Thursday, May 19, 2005)]
[Notices]
[Pages 28975-28979]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 05-9973]


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SMALL BUSINESS ADMINISTRATION

RIN: 3245-AF21


Small Business Innovation Research Program Policy Directive

AGENCY: U.S. Small Business Administration.

ACTION: Notice of proposed amendments to Policy Directive.

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SUMMARY: This document proposes amendments to the Small Business 
Innovation Research (SBIR) Program Policy Directive. These proposed 
amendments reflect the requirements that the Executive Order, 
Encouraging Innovation in Manufacturing, imposes on the Small Business 
Administration (SBA) and the Federal agencies that participate in the 
SBIR program. This document also provides guidelines and directives to 
Federal agencies for the general conduct of the program as it relates 
to implementing the Executive Order.

DATES: Public comments on the proposed amendments to the SBIR Policy 
Directive must be received on or before June 20, 2005.

ADDRESSES: You may submit comments, identified by RIN 3245-AF21, by any 
of the following methods. (1) The Federal eRulemaking portal: 
www.regulations.gov; (2) e-mail at technology@sba.gov (include RIN in 
the subject line of the message); (3) mail, addressed to Edsel M. 
Brown, Jr., Assistant Administrator for Technology, Office of 
Technology, Office of Policy, Planning, and Liaison; Office of 
Government Contracting and Business Development, U.S. Small Business 
Administration, 409 3rd Street, SW., Washington, DC 20416.

FOR FURTHER INFORMATION CONTACT: Edsel M. Brown, Jr., Office of 
Technology, Office of Policy, Planning, and Liaison, Office of 
Government Contracting and Business Development, at (202) 205-6450 or 
at technology@sba.gov.

SUPPLEMENTARY INFORMATION: In 1982, Congress enacted the Small Business 
Innovation Development Act of 1982 (SBIDA), Public Law 97-219 (codified 
at 15 U.S.C. 638), which established the SBIR Program. The statutory 
purpose of the Small Business Innovation Research (SBIR) Program is to 
strengthen the role of innovative small business concerns (SBCs) in 
Federally-funded research and research and development (R/R&D).
    The SBIR Program is a phased process, uniform throughout the 
Federal Government, of soliciting proposals and awarding funding 
agreements for R/R&D to meet stated agency needs or missions. To 
stimulate and foster scientific and technological innovation, including 
increasing commercialization of Federal R/R&D, the program must follow 
a uniform competitive process of three phases: Phase I, Phase II, and 
Phase III.
    SBIDA requires the SBA to ``issue Policy Directives for the general 
conduct of the SBIR programs within the Federal Government.'' 15 U.S.C. 
638(j)(1). SBA proposes to amend the most recent SBIR Policy Directive 
which was published on September 24, 2002, at 67 FR 60072-60098.
    On February 24, 2004, the President signed Executive Order 13329, 
``Encouraging Innovation in Manufacturing.'' The purpose of the 
Executive Order is to ensure that Federal Government agencies and 
departments properly and effectively assist the private sector in its 
manufacturing innovation efforts through the use of the SBIR and the 
Small Business Transfer Technology (STTR) Programs. Pursuant to the 
Executive Order, the SBA is required to:
    (1) Establish, after consultation with the Director of the Office 
of Science and Technology Policy (OSTP), formats and schedules for 
submission of reports by the heads of departments and agencies; and (2) 
issue to departments and agencies guidelines and directives (in 
addition to the formats and schedules) as the SBA Administrator 
determines from time to time are necessary to implement the Executive 
Order, after such guidelines and directives are submitted to the 
President, through the Director of OSTP, and are approved by the 
President.
    In addition, the Executive Order requires the heads of the agencies 
and departments with one or more SBIR or STTR programs to perform the 
following: (1) To the extent permitted by law and in a manner 
consistent with the mission of that department or agency, give high 
priority within such programs to manufacturing-related research and 
development to advance innovation in manufacturing through small 
business; and (2) to submit reports annually to the Administrator of 
the SBA and the Director of the OSTP concerning the efforts of such 
departments or agencies in implementing the Executive Order. SBA 
proposes to amend the SBIR Policy Directive in order to fulfill its 
responsibilities under Executive Order 13329 and to provide the 
guidelines and requirements that the participating agencies and 
departments need to implement the provisions of the Executive Order as 
set forth above.

Section-by-Section Analysis

    Section 2 of the SBIR Policy Directive contains a summary of the 
legislative provisions applicable to the SBIR Program. SBA is proposing 
to amend this section to include an overview of the requirements 
imposed by Executive Order 13329 and to amend the section heading to 
more accurately reflect the scope of the section.
    Section 3 of the SBIR Policy Directive sets forth definitions 
pertinent to the SBIR program. SBA proposes to add a definition for 
``Manufacturing-related'' research and development. The definition was 
initially developed by the OSTP, the National Institute of Standards 
and Technology, and the National Science Foundation and was reviewed by 
the National Science and Technology Council. The definition encompasses 
research and development that improves existing methods or processes, 
including machine technologies, systems technologies, and environmental 
or societal technologies. In addition, to facilitate the proper 
placement of this new definition, it will be necessary to redesignate 
several paragraphs in section 3.
    Section 4 of the Policy Directive includes a description of the 
structure and purpose of Phases I, II, and III of the SBIR Program and 
the standards for evaluating grant proposals. In section 4(a)(2) of the 
Policy Directive, SBA is proposing to add that agencies may, to the 
extent permitted by law, give additional consideration to 
manufacturing-related proposals.

[[Page 28976]]

    Section 9 of the Policy Directive sets forth the responsibilities 
of the participating agencies and departments under the SBIR Program. 
In the amendments to the Policy Directive, SBA is proposing to add 
those responsibilities imposed by Executive Order 13329. Specifically, 
as amended, the SBIR Policy Directive will require agencies and 
departments to develop an Action Plan for the implementation of 
Executive Order 13329, identifying procedures used for giving priority 
to manufacturing-related R&D and provide information regarding 
Executive Order 13329 on their SBIR Web site. In addition, the SBA 
proposes deleting a dated reference to the National Critical 
Technologies panel.
    Section 10 of the Policy Directive discusses the content, 
structure, and submission requirements for the report that each 
participating agency and department must submit to the SBA by March 15 
of each year. SBA proposes to amend section 10(a) to make electronic 
reporting of agencies' annual report mandatory and amend section 10(b) 
to add the requirement for each agency and department to also report on 
its activities related to the implementation of Executive Order 13329. 
In addition, the SBA proposes deleting a dated reference to the 
National Critical Technology topic number.
    Section 11 of the Policy Directive sets forth SBA's 
responsibilities with respect to the SBIR program. SBA proposes to 
amend this section to delete a dated reference to the National Critical 
Technology panel.
    Finally, in order to clarify the reporting requirements, SBA 
proposes to reformat Appendix II, changing the description in some 
fields, and adding fields that were not previously listed. SBA proposes 
consolidating the file format to a single file and numbering all fifty-
eight (58) fields required for reporting. SBA has identified those 
fields which are mandatory for all records, mandatory for STTR 
projects, and mandatory for Phase II projects. SBA also proposes 
renaming the field formerly named ``Minority'' as ``Socially and 
Economically Disadvantaged Small Business.'' As described in the most 
recent publication of the SBIR policy directive, the STTR 
reauthorization legislation, Public Law 107-50, requires collection of 
information on awardees' HUBZone certification. However, the 
requirement was omitted from the Appendix as a reporting field. To 
rectify this, SBA proposes adding ``HUBZone Certified'' as field 12.

Paperwork Reduction Act

    SBA has determined that the proposed amendments to the SBIR Policy 
Directive, as a result of Executive Order 13329, do not impose 
additional reporting or recordkeeping requirements under the Paperwork 
Reduction Act, 44 U.S.C. Chapter 35.

Notice of Proposed Policy Directive; Small Business Innovation Research 
Program

    To: The Directors, Small Business Innovation Research Program
    Subject: Executive Order 13329, ``Encouraging Innovation in 
Manufacturing,'' Revisions to the Small Business Innovation Research 
Program Policy Directive.
    1. Purpose. Section 9(j)(3) of the Small Business Act (15 U.S.C. 
638(j)(3)) requires the U.S. Small Business Administration (SBA) 
Administrator to modify the Small Business Innovation Research (SBIR) 
Program Policy Directive as required for the general conduct of the 
SBIR Program within the Federal Government.
    2. Authority. This proposed Policy Directive is issued under the 
authority of 15 U.S.C. 638(j).
    3. Procurement Regulations. The Federal Acquisition Regulations may 
need to be modified to conform to the requirements of the 
Reauthorization and a final Policy Directive. Regulatory provisions 
that pertain to the areas of SBA responsibility will require approval 
of the SBA Administrator or designee. The Office of Technology, Office 
of Policy, Planning, and Liaison, Office Government Contracting/
Business Development, SBA, is the appropriate office for coordinating 
such regulatory provisions.
    4. Personnel Concerned. All Federal Government personnel who are 
involved in the administration of the program, including those involved 
with the issuance and management of funding agreements of the SBIR 
Program and the establishment of goals for small business concerns 
(SBCs) in research or research and development procurements or grants.
    5. Distribution. Federal Government agencies and departments 
participating in the SBIR Program and those required to establish small 
business research development goals as directed by section 9 of the 
Small Business Act (15 U.S.C. 638(j)).
    6. Originator. Office of Technology, Office of Policy, Planning, 
and Liaison, Office of Government Contracting and Business Development, 
SBA.
    7. Dates. The SBIR Program is authorized through September 30, 
2008. A final Policy Directive will be effective when issued as final 
in the Federal Register.
    Authorized By: Allegra McCullough
    Associate Deputy Administrator, Government Contracting/Business 
Development, U.S. Small Business Administration
    For the reasons set forth in the preamble, SBA proposes to amend 
the SBIR Policy Directive as follows:
    1. Revise the heading of Sec.  2 to read as follows:

Relevant Legal Provisions

    2. Amend Sec.  2 by adding a new paragraph (g) to read as follows:
    (g) Under Executive Order 13329, ``Encouraging Innovation in 
Manufacturing,'' Federal agencies have an important role in helping to 
advance innovation, including innovation in manufacturing, through 
small businesses. Agencies must give high priority to SBIR projects 
that are focused on manufacturing related R&D, in a manner consistent 
with the missions of the agencies and the purpose of the SBIR program. 
Participating agencies must report annually to the SBA Administrator 
and the Director of the Office of Science and Technology Policy on its 
efforts to carry out Executive Order 13329. The Executive Order directs 
the SBA to establish formats and schedules for this reporting and to 
issue guidelines and directives as necessary to implement the Executive 
Order.
    3. Amend section 3 by redesignating paragraphs (s) through (gg) as 
(t) through (hh) and adding new paragraph (s) to read as follows:
    (s) Manufacturing-related. Activities that relate to manufacturing 
processes, equipment and systems, or manufacturing workforce skills and 
protection including, unit process level technologies; machine level 
technologies; systems level technologies; and environmental or societal 
level technologies.
    4. Amend section 4(a)(2) by adding the following after the second 
sentence:
    The proposal evaluation process shall also, to the extent permitted 
by law and in a manner consistent with the mission of the agency and 
the purpose of the SBIR program, give consideration to manufacturing-
related research.
    5. Amend section 9(a)(2) by deleting ``(i) the National Critical 
Technologies panel (or its successor) in reports required under 42 
U.S.C. 6683, or (ii).''
    6. Amend section 9 to add paragraphs (g) and (h) to read as 
follows:
    (g) To the extent permitted by the law, and in a manner consistent 
with the mission of that agency and the purpose of the SBIR program, 
each participating

[[Page 28977]]

agency must give priority in the SBIR program to manufacturing-related 
research and development, including the following:
    (1) Unit process level technologies that create or improve 
manufacturing processes, including:
    (i) Fundamental improvements in existing manufacturing processes 
that deliver substantial productivity, quality, or environmental 
benefits; or
    (ii) Development of new manufacturing processes, including new 
materials, coatings, methods, and associated practices.
    (2) Machine level technologies that create or improve manufacturing 
equipment, including:
    (i) Improvements in capital equipment that create increased 
capability (such as accuracy or repeatability), increased capacity 
(through productivity improvements or cost reduction), or increased 
environmental efficiency (safety, energy efficiency, environmental 
impact); or
    (ii) New apparatus and equipment for manufacturing, including 
additive and subtractive manufacturing, deformation and molding, 
assembly and test, semiconductor fabrication, biologics, biomaterials, 
vaccines or drug production, and nanotechnology.
    (3) Systems level technologies for innovation in the manufacturing 
enterprise, including:
    (i) Advances in controls, sensors, networks, and other information 
technologies which improve the quality and productivity of 
manufacturing cells, lines, systems, and facilities;
    (ii) Innovation in extended enterprise functions critical to 
manufacturing, such as quality systems, resource management, supply 
change integration, and distribution, scheduling and tracking; or
    (iii) Technologies that enable integrated and collaborative product 
and process development, including computer-aided and expert systems 
for design, tolerancing, process and materials selection, life-cycle 
cost estimation, rapid prototyping, and tooling.
    (4) Environmental or societal level technologies that improve 
workforce abilities, productivity, and manufacturing competitiveness, 
including:
    (i) Technologies for improved workforce health and safety, such as 
human factors and ergonomics; or
    (ii) Technologies that aid and improve workforce manufacturing 
skill and technical excellence, such as educational systems 
incorporating improved manufacturing knowledge and instructional 
methods.
    (h) Agencies must develop an Action Plan for implementing Executive 
Order 13329, which identifies activities used to give priority in the 
SBIR program to manufacturing-related research and development. These 
activities should include adding information on the Executive Order to 
the agency's SBIR program website.
    7. Amend Sec.  10(a) to read as follows:
    (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 technology@sba.gov, 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.
    8. Amend Sec.  10(b) by deleting paragraph 12 and redesignating 
paragraphs 13 and 14 as 12 and 13 and adding paragraph 14 to read as 
follows:
    (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.
    9. Amend Sec.  11(a) by deleting ``the National Critical 
Technologies panel (or its successor) and''.
    10. Amend Appendix II to read as follows:

                Tech-Net Data Fields For All Agency SBIR/STTR Annual Data Submissions to the SBA
----------------------------------------------------------------------------------------------------------------
             Field name                  Required code             Type           Width         Description
----------------------------------------------------------------------------------------------------------------
1. Program Identification..........  MA..................  Numeric............          1  SBIR/STTR Award
                                                                                            Program Identifier
                                                                                            (0=STTR; 1=SBIR).
2. Company.........................  MA..................  Char...............         80  Company Name.
3. Company Division................  ....................  Char...............         80  Company Division.
4. Street1.........................  MA..................  Char...............         80  Street Address 1.
5. Street2.........................  ....................  Char...............         80  Street Address 2.
6. City............................  MA..................  Char...............         40  City.
7. State...........................  MA..................  Char...............          2  State.
8. Zip.............................  MA..................  Numeric............          5  Zip.
9. Zip4............................  MA..................  Numeric............          4  Zip + 4.
10. Socially and Economically        MA..................  Numeric............          1  Socially and
 Disadvantaged Small Business.                                                              Economically
                                                                                            Disadvantaged Small
                                                                                            Business indicator
                                                                                            (Allowable values: 0
                                                                                            = yes; 1 = no).
11. Women..........................  MA..................  Numeric............          1  Women-owned company
                                                                                            indicator (Allowable
                                                                                            values: 0 = yes; 1 =
                                                                                            no).
12. HUBZone Certified..............  MA..................  Numeric............          1  HUBZone Certified
                                                                                            Small Business
                                                                                            Concern (Allowable
                                                                                            values: 0 = yes; 1 =
                                                                                            no).
13. Contact First..................  MA..................  Char...............         40  Company Official
                                                                                            contact first name.
14. Contact Last...................  MA..................  Char...............         40  Contact last name.
15. Contact Middle Initial.........  ....................  Char...............          1  Contact middle
                                                                                            initial (One
                                                                                            character only--no
                                                                                            periods or full
                                                                                            names).
16. Contact Title..................  ....................  Char...............         40  Contact Official
                                                                                            title.
17. Contact Phone..................  MA..................  Char...............         10  Contact Official
                                                                                            phone (Ten
                                                                                            characters only, for
                                                                                            example 9999999999).

[[Page 28978]]

 
18. Contact Email Address..........  MA..................  Char...............         50  Contact email
                                                                                            address.
19. Employees......................  MA..................  Numeric............          5  Number of employees.
20. Agency.........................  MA..................  Numeric............          2  Awarding agency (see
                                                                                            below).
21. Branch.........................  MA..................  Number.............          1  Awarding DOD branch
                                                                                            name (see below).
22. Phase 1 Award Year.............  MA..................  Numeric............          4  Phase 1 Year.
23. Phase 1 Projected Total Amount.  MA..................  Numeric............         10  Phase 1 Projected
                                                                                            Total Amount.
24. Phase 2 Award Year.............  M2..................  Numeric............          4  Phase 2 Year (Phase 2
                                                                                            records only).
25. Phase 2 Projected Total Amount.  M2..................  Numeric............         10  Phase 2 Projected
                                                                                            Total Amount (Phase
                                                                                            2 records only).
26. PI First.......................  MA..................  Char...............         40  Principal
                                                                                            Investigator First
                                                                                            Name.
27. PI Last........................  MA..................  Char...............         40  Principal
                                                                                            Investigator Last
                                                                                            Name.
28. PI Middle Initial..............  ....................  Char...............          1  Principal
                                                                                            Investigator middle
                                                                                            initial (one
                                                                                            character only--no
                                                                                            periods or full
                                                                                            names).
29. PI Title.......................  ....................  Char...............         40  Principal
                                                                                            Investigator Title.
30. PI Phone.......................  ....................  Char...............         10  Principal
                                                                                            Investigator phone
                                                                                            (Ten characters
                                                                                            only; for example
                                                                                            9999999999).
31. PI Email Address...............  ....................  Char...............         50  Principal
                                                                                            Investigator email
                                                                                            address.
32. Topic Code.....................  MA..................  Char...............         15  Agency Solicitation
                                                                                            Topic Number.
33. RI TYPE........................  MT..................  Numeric............          1  Type of research
                                                                                            institution (see
                                                                                            below).
34. RI Name........................  MT..................  Char...............         80  Research institution
                                                                                            (STTR only).
35. RI Street 1....................  MT..................  Char...............         80  Research institution
                                                                                            address (STTR only).
36. RI Street 2....................  ....................  Char...............         80  Research institution
                                                                                            address (STTR only).
37. RI City........................  MT..................  Char...............         40  Research institution
                                                                                            city (STTR only).
38. RI State.......................  MT..................  Char...............          2  Research institution
                                                                                            State (STTR only).
39. RI Zip.........................  MT..................  Numeric............          5  Research institution
                                                                                            Zip (STTR only).
40. RI Zip4........................  ....................  Numeric............          4  Research institution
                                                                                            Zip + 4.
41. RI Official First..............  ....................  Char...............         40  Research institution
                                                                                            Official First Name.
42. RI Official Last...............  ....................  Char...............         40  Research institution
                                                                                            Official Last Name.
43. RI Official Initial............  ....................  Char...............          1  Research institution
                                                                                            Official Middle
                                                                                            Initial (One
                                                                                            character only no
                                                                                            periods or full
                                                                                            names).
44. RI Official Phone..............  ....................  Char...............         10  Research institution
                                                                                            Official's phone
                                                                                             (Ten
                                                                                            characters only; for
                                                                                            example,
                                                                                            9999999999).
45. Tracking Number................  MA..................  Char...............         20  Agency key identifier
                                                                                            (Internal number
                                                                                            scheme).
46. TIN/EIN........................  MA..................  Char...............         10  Taxpayer/Employer
                                                                                            Identification
                                                                                            number Prefix with 1
                                                                                            for EIN; 2 for
                                                                                            Social Security
                                                                                            Number. This field
                                                                                            must be exactly 10
                                                                                            digits in size and
                                                                                            must be a valid EIN
                                                                                            or TIN.
47. Contract/Grant Num.............  MA..................  Char...............         20  Agency Award.
48. Solicitation Number............  MA..................  Char...............         20  Solicitation Number.
49. Solicitation Year..............  MA..................  Numeric............          4  Year of the
                                                                                            Solicitation.
50. Title..........................  MA..................  Char...............        800  Title of research
                                                                                            project.
51. Abstract.......................  MA..................  Char...............       1500  Technical Abstract.
52. Results........................  ....................  Char...............       1000  Project anticipated
                                                                                            results.
53. Comments.......................  ....................  Char...............       1000  Project comments.
54. Project Initiator..............  MT..................  Char...............          1  Initiator of STTR
                                                                                            collaborative effort
                                                                                            (Allowable values: S
                                                                                            = Small Business
                                                                                            Concern; R =
                                                                                            Research
                                                                                            Institution) (STTR
                                                                                            only).
55. Technology Used................  MT..................  Char...............          1  SBC or RI originate
                                                                                            any technology used
                                                                                            in the STTR project
                                                                                            (Allowable values: S
                                                                                            = Small Business
                                                                                            Concern; R =
                                                                                            Research
                                                                                            Institution) (STTR
                                                                                            only).
56. Time to establish license        MT..................  Numeric............          2  Time duration to
 agreement (months).                                                                        establish any STTR
                                                                                            license agreement
                                                                                            (STTR only).
57. STTR Proceeds Distribution to    MT..................  Numeric............          2  Allocation of
 SBC (%).                                                                                   proceeds from sale
                                                                                            of STTR technology
                                                                                            (STTR only).
58. STTR Proceeds Distribution to    MT..................  Numeric............          2  Allocation of
 RI (%).                                                                                    proceeds from sale
                                                                                            of STTR technology
                                                                                            (STTR only).
----------------------------------------------------------------------------------------------------------------


    Note: Required codes: Required fields are noted by:

MA Mandatory for ALL project
M2 Mandatory for Phase 2 projects
MT Mandatory for STTR projects
Optional field

    Each agency must submit a file that contains all 58 fields for 
each record. Each agency must ensure that data submitted to the SBA 
includes all of the data fields above, even if the field is empty. 
For example, since DOD is the only agency using field 21 
(Branch), other agencies must include a blank field 21 in their data 
submissions.

(Field 1) Program Identification Code
    0 STTR
    1 SBIR
(Field 20) Agency Code
    1 DOD
    2 DOE
    3 NASA
    4 HHS
    5 NSF
    6 DOT
    7 EPA
    8 (No longer used)
    9 ED
    10 USDA
    11 DOC
    12 (No longer used)
    13 (No longer used)
    14 DHS

[[Page 28979]]

    15 HUD
(Field 21) Branch Code
    1 AF
    2 ARMY
    3 MDA
    4 DARP
    5 DTRA
    6 NAVY
    7 OSD
    8 SOCO
    9 NGA
    10 CBD

    If any new codes should be added, please notify SBA's Office of 
Technology.

                  (Field 33) Research Institution Type
------------------------------------------------------------------------
                   Code                      Research institution types
------------------------------------------------------------------------
1.........................................  Nonprofit college or
                                             university.
2.........................................  Domestic nonprofit research
                                             organization.
3.........................................  Federally Funded R&D Center
                                             (FFRDC).
------------------------------------------------------------------------

    The SBA will accept data in only the following formats:
     Tab delimited text files
     Microsoft Excel files
     Microsoft Access files
    If you have any questions regarding Tech-Net Data submissions, 
please contact SBA's Office of Technology at (202) 205-6450 or 
Technology@sba.gov.

Michael McHale,
Acting Associate Deputy Administrator, Government Contracting/Business 
Development, U.S. Small Business Administration.
[FR Doc. 05-9973 Filed 5-18-05; 8:45 am]
BILLING CODE 8025-01-P
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