Small Business Innovation Research (SBIR) and Small Business Technology Transfer (STTR)Commercialization Survey

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
DOE Survey Email Intro-Invite 3 28 12.docx	Supplementary Document	Uploaded 2012-04-09	Available
Supporting Statement final 4 09 12.docx	Supporting Statement A	Uploaded 2012-04-09	Available

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
201869	SBIR/STTR Commercialization Survey	Other-Survey	New

ICR Details

OMB Control No: 1910-5166	ICR Reference No: 201203-1910-001
Status: Historical Active	Previous ICR Reference No:
Agency/Subagency: DOE/DOEOA	Agency Tracking No: Chris O'Gwin
Title: Small Business Innovation Research (SBIR) and Small Business Technology Transfer (STTR)Commercialization Survey
Type of Information Collection: New collection (Request for a new OMB Control Number)	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Approved with change	Conclusion Date: 04/10/2012
	Date Received in OIRA: 03/01/2012
Terms of Clearance: In accordance with 5 CFR 1320, the information collection is approved for three years.

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	04/30/2015	36 Months From Approved
Responses	2,500	0	0
Time Burden (Hours)	2,500	0	0
Cost Burden (Dollars)	0	0	0

---

Abstract: DOE needs this information to satisfy the program requirements of the Small Business Act including requirements established in the SBIR/STTR program reauthorization legislation, P.L. 106-554 and P.L. 107-50. This data will be collected by DOE and provided to the SBA to maintain information about SBIR/STTR awards issued through the two programs. This data will be provided by DOE based on information collected from SBIR/STTR awardees. This data will be used by DOE, SBA, and Congress to assess the commercial impact of these two programs.

---

Authorizing Statute(s): PL: Pub.L. 102 - 564 (1), (ii) Name of Law: SBIR Program Reauthorization Act of 1992
   PL: Pub.L. 106 - 554 11.,(e), (10), (i) Name of Law: Small Business Reauthorization Act of 2000
  

Citations for New Statutory Requirements: None

---

Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
	Not associated with rulemaking

---

Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	76 FR 199	10/14/2011
30-day Notice:	Federal Register Citation:	Citation Date:
	77 FR 19	01/30/2012
Did the Agency receive public comments on this ICR? No

---

Number of Information Collection (IC) in this ICR: 1

table that charts list of burden

IC Title	Form No.	Form Name
SBIR/STTR Commercialization Survey

---

ICR Summary of Burden

table that charts list of burden

	Total Approved	Previously Approved	Change Due to New Statute	Change Due to Agency Discretion	Change Due to Adjustment in Estimate	Change Due to Potential Violation of the PRA
Annual Number of Responses	2,500	0	0	2,500	0	0
Annual Time Burden (Hours)	2,500	0	0	2,500	0	0
Annual Cost Burden (Dollars)	0	0	0	0	0	0

Burden increases because of Program Change due to Agency Discretion: Yes

Burden Increase Due to: Miscellaneous Actions

Burden decreases because of Program Change due to Agency Discretion: No

Burden Reduction Due to:

Short Statement: DOE has developed a survey designed to gather small business commercial activity data associated with technologies funded via the DOE SBIR/STTR programs. The information is necessary in order for DOE to meet its obligations as directed by the Small Business Reauthorization Act of 2000. Approximately 2,500 SBIR/STTR Phase II firms will be surveyed in the first fiscal year following OMB approval of this data collection. It is estimated that the online data collection instrument requires an average of one hour or less to compile financial data and complete the survey for a single SBIR or STTR award.

---

Annual Cost to Federal Government: $45,000

Does this IC contain surveys, censuses, or employ statistical methods? No

Is the Supporting Statement intended to be a Privacy Impact Assessment required by the E-Government Act of 2002? No

Is this ICR related to the Affordable Care Act [Pub. L. 111-148 & 111-152]? No

Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]? No

Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)? No

Is this ICR related to the Pandemic Response? Uncollected

---

Common Form ICR:  No

---

On behalf of this Federal agency, I certify that the collection of information encompassed by this request complies with 5 CFR 1320.9 and the related provisions of 5 CFR 1320.8(b)(3).

The following is a summary of the topics, regarding the proposed collection of information, that the certification covers:

(a) It is necessary for the proper performance of agency functions;

(b) It avoids unnecessary duplication;

(c) It reduces burden on small entities;

(d) It uses plain, coherent, and unambiguous language that is understandable to respondents;

(e) Its implementation will be consistent and compatible with current reporting and recordkeeping practices;

(f) It indicates the retention periods for recordkeeping requirements;

(g) It informs respondents of the information called for under 5 CFR 1320.8 (b)(3) about:

(i) Why the information is being collected;

(ii) Use of information;

(iii) Burden estimate;

(iv) Nature of response (voluntary, required for a benefit, or mandatory);

(v) Nature and extent of confidentiality; and

(vi) Need to display currently valid OMB control number;

(h) It was developed by an office that has planned and allocated resources for the efficient and effective management and use of the information to be collected.

(i) It uses effective and efficient statistical survey methodology (if applicable); and

(j) It makes appropriate use of information technology.

If you are unable to certify compliance with any of these provisions, identify the item by leaving the box unchecked and explain the reason in the Supporting Statement.

Certification Date: 03/01/2012

---