Small Business Innovation Research (SBIR) and Small Business Technology Transfer (STTR) Tech-Net Database

Appendices

Appendix IV: Company Registry Database

The fields below describe the data collected for the Company Registry. The Company Registry is collected directly from SBC applicants through the SBA, online. SBC applicants are expected to register this information before their first application to the program at any participating agency; thereafter, the SBC applicant is required to update this information upon every application. Information in this database is privileged and confidential and not subject to disclosure pursuant to 5 U.S.C. § 552, Freedom of Information Act. The information is only accessible to government personnel. The data will be protected using Point-To-Point Session Encryption. All logins are protected by "https," the industry standard for encryption.

This information is expected to be submitted in conjunction with the data for the Application database. The total estimated burden for both databases will be 1 hour for those applicants that are not owned by a venture capital, hedge fund, or private equity majority backed firm. This time will include reading reporting directions, gathering information, and filling out the online data forms.

SBA estimates that the reporting burden for the collection of the Company Registry and Applicant Information Database will be 5 hours for applicants who must also report ownership information on venture capital, hedge fund, or private equity majority backed firms. This time will include reading reporting directions, gathering information, and filling out the online data forms.

You are not required to respond to this collection of information unless it displays a currently valid OMB control number. (3245-0356). Comments on this burden or other aspects of this collection of information should be submitted to Chief, Administrative Information Branch, 409 Third Street, SW, Washington , DC 20416, and/or SBA Desk Officer, Office of Management and Budget, New Executive Office Bldg., Rm. 10202, Washington, DC 20503. You may also send comments to SBA via email to [email protected]

Company Registry Field name	Reporting Mechanism	Agency interaction	Collection Frequency		Public Data (Y/N)		Advanced (Y/N)	New Field (Y/N)
Agency Tracking #	Company reports data to SBA	Receives pdf from Company	Register or reconfirm at time of application		N		N	N
SBA Firm ID	Company reports data to SBA	Receives pdf from Company	Register or reconfirm at time of application		N		N	Y
Company URL	Company reports data to SBA	Receives pdf from Company	Register or reconfirm at time of application		N		N	Y
HQ Address 1	Company reports data to SBA	Receives pdf from Company	Register or reconfirm at time of application		N		N	N
HQ Address 2	Company reports data to SBA	Receives pdf from Company	Register or reconfirm at time of application		N		N	N
HQ City	Company reports data to SBA	Receives pdf from Company	Register or reconfirm at time of application		N		N	N
HQ Zip Code	Company reports data to SBA	Receives pdf from Company	Register or reconfirm at time of application		N		N	N
HQ Zip Code +4	Company reports data to SBA	Receives pdf from Company	Register or reconfirm at time of application		N		N	N
HQ State	Company reports data to SBA	Receives pdf from Company	Register or reconfirm at time of application		N		N	N
Company Name	Company reports data to SBA	Receives pdf from Company	Register or reconfirm at time of application		N		N	N
Number of Employees	XML or manual upload to Tech-Net	Agency collects data, provides to SBA. Also updated as a part of commercialization information	Register or reconfirm at time of application		N		N	N
Flag for External Funding	Company reports data to SBA	Receives pdf from Company	Register or reconfirm at time of application		N		N	Y
Investment Ownership Percentage	Company reports data to SBA	Receives pdf from Company	Register or reconfirm at time of application		N		N	Y
Majority-Owned by External Funding Firms	Company reports data to SBA	Receives pdf from Company	Register or reconfirm at time of application		N		N	Y
Affiliate Name	XML or manual upload to Tech-Net	Agency collects data, provides to SBA		Register or reconfirm at time of application		N	Y	Y
Affiliate Address 1	XML or manual upload to Tech-Net	Agency collects data, provides to SBA		Register or reconfirm at time of application		N	Y	Y
Affiliate Address 2	XML or manual upload to Tech-Net	Agency collects data, provides to SBA		Register or reconfirm at time of application		N	Y	Y
Affiliate City	XML or manual upload to Tech-Net	Agency collects data, provides to SBA		Register or reconfirm at time of application		N	Y	Y
Affiliate Zip Code	XML or manual upload to Tech-Net	Agency collects data, provides to SBA		Register or reconfirm at time of application		N	Y	Y
Affiliate Zip Code + 4	XML or manual upload to Tech-Net	Agency collects data, provides to SBA		Register or reconfirm at time of application		N	Y	Y
Affiliate Number of Employees	XML or manual upload to Tech-Net	Agency collects data, provides to SBA		Register or reconfirm at time of application		N	Y	Y
Additional Funding Type	XML or manual upload to Tech-Net	Agency collects data, provides to SBA		Register or reconfirm at time of application		N	N	N
Additional Funding Amount	XML or manual upload to Tech-Net	Agency collects data, provides to SBA		Register or reconfirm at time of application		N	N	N
Investment Type [VC, Hedge, PE]	Company reports data to SBA	Receives pdf from Company		Register or reconfirm at time of application		N	N	Y
Investment Firm Name	Company reports data to SBA	Receives pdf from Company		Register or reconfirm at time of application		N	N	Y
Investment Not US-Based	Company reports data to SBA	Receives pdf from Company		Register or reconfirm at time of application		N	N	Y
Investment Amount	Company reports data to SBA	Receives pdf from Company		Register or reconfirm at time of application		N	N	N

Appendix V: Application Information Database

The fields below describe the data collected for the Application Information Database. The Application Information Database is collected directly from SBC applicants through the participating agencies, online and in paper form. SBC applicants are expected to submit this data with every application to any participating agency every time. Agencies in turn provide quarterly updates of application data to SBA. Information in this database is privileged and confidential and not subject to disclosure pursuant to 5 U.S.C. § 552, Freedom of Information Act. The information is only accessible to government personnel. The data will be protected using Point-To-Point Session Encryption. All logins are protected by "https," the industry standard for encryption

This information is expected to be submitted in conjunction with the data for the Company Registry. The total estimated burden for both databases will be 1 hour for those applicants that are not owned by a venture capital, hedge fund, or private equity majority backed firm. This time will include reading reporting directions, gathering information, and filling out the online data forms.

SBA estimates that the reporting burden for the collection of the Company Registry and Applicant Information Database will be 5 hours for those applicants that must also report ownership information on venture capital, hedge fund, or private equity majority backed firms. This time will include reading reporting directions, gathering information, and filling out the online data forms.

You are not required to respond to this collection of information unless it displays a currently valid OMB control number. (3245-0356). Comments on this burden or other aspects of this collection of information should be submitted to Chief, Administrative Information Branch, 409 Third Street, SW, Washington , DC 20416, and/or SBA Desk Officer, Office of Management and Budget, New Executive Office Bldg., Rm. 10202, Washington, DC 20503. You may also send comments to SBA via email to [email protected]

Application Info Field Name

Reporting Mechanism

Agency interaction

Collection Frequency

Public Data (Y/N)

Type

Advanced (Y/N)

New Field (Y/N)

Company Name

XML or manual upload to Tech-Net

Agency collects data, provides to SBA

Report at time of application

N

int(10) unsigned

N

N

Program [SBIR/STTR]

XML or manual upload to Tech-Net

Agency collects data, provides to SBA

Report at time of application

N

varchar(4)

N

N

Agency Tracking #

XML or manual upload to Tech-Net

Agency creates this number for tracking – not submitted by SBC

Report at time of application

N

varchar(50)

N

N

Agency

XML or manual upload to Tech-Net

Agency collects data, provides to SBA

Report at time of application

N

int(10) unsigned

N

N

Solicitation Number

XML or manual upload to Tech-Net

Agency collects data, provides to SBA

Report at time of application

N

int(10) unsigned

N

N

Solicitation Topic Number

XML or manual upload to Tech-Net

Agency collects data, provides to SBA

Report at time of application

N

varchar(20)

N

N

Contact First Name

XML or manual upload to Tech-Net

Agency collects data, provides to SBA

Report at time of application

N

varchar(25)

N

N

Contact Middle Name

XML or manual upload to Tech-Net

Agency collects data, provides to SBA

Report at time of application

N

varchar(1)

N

N

Contact Last Name

XML or manual upload to Tech-Net

Agency collects data, provides to SBA

Report at time of application

N

varchar(35)

N

N

Contact Title

XML or manual upload to Tech-Net

Agency collects data, provides to SBA

Report at time of application

N

varchar(40)

N

N

Contact Phone

XML or manual upload to Tech-Net

Agency collects data, provides to SBA

Report at time of application

N

varchar(255)

N

N

Contact Email

XML or manual upload to Tech-Net

Agency collects data, provides to SBA

Report at time of application

N

varchar(255)

N

N

EIN #

XML or manual upload to Tech-Net

Agency collects data, provides to SBA

Report at time of application

N

varchar(255)

N

N

RI EIN# (STTR only)

XML or manual upload to Tech-Net

Agency collects data, provides to SBA

Report at time of application

N

varchar(255)

N

N

Phase Number

XML or manual upload to Tech-Net

Agency collects data, provides to SBA

Report at time of application

N

int(11)

N

N

Solicitation Close Date

XML or manual upload to Tech-Net

Agency collects data, provides to SBA

Report at time of application

N

varchar(20)

N

N

Solicitation Year

XML or manual upload to Tech-Net

Agency collects data, provides to SBA

Report at time of application

N

int(11)

N

N

Company URL

XML or manual upload to Tech-Net

Agency collects data, provides to SBA

Report at time of application

N

varchar(255)

N

N

Solicitation Topic

XML or manual upload to Tech-Net

Agency collects data, provides to SBA

Report at time of application

N

int(10) unsigned

N

N

Address 1

XML or manual upload to Tech-Net

Agency collects data, provides to SBA

Report at time of application

N

N

N

Address 2

XML or manual upload to Tech-Net

Agency collects data, provides to SBA

Report at time of application

N

N

N

City

XML or manual upload to Tech-Net

Agency collects data, provides to SBA

Report at time of application

N

N

N

Zip Code

XML or manual upload to Tech-Net

Agency collects data, provides to SBA

Report at time of application

N

N

N

Zip Code +4

XML or manual upload to Tech-Net

Agency collects data, provides to SBA

Report at time of application

N

N

N

State

XML or manual upload to Tech-Net

Agency collects data, provides to SBA

Report at time of application

N

N

N

HubZone Certified

XML or manual upload to Tech-Net

Agency collects data, provides to SBA

Report at time of application

N

N

N

SDB

XML or manual upload to Tech-Net

Agency collects data, provides to SBA

Report at time of application

N

N

N

Women-Owned

XML or manual upload to Tech-Net

Agency collects data, provides to SBA

Report at time of application

N

N

N

Women PI

XML or manual upload to Tech-Net

Agency collects data, provides to SBA

Report at time of application

N

N

Y

Socially and Economically Disadvantaged PI

XML or manual upload to Tech-Net

Agency collects data, provides to SBA

Report at time of application

N

N

Y

Student/Faculty Owned

XML or manual upload to Tech-Net

Agency collects data, provides to SBA

Report at time of application

N

N

Y

FAST Assistance

XML or manual upload to Tech-Net

Agency collects data, provides to SBA

Report at time of application

N

N

Y

Allow EDO's to Have Contact Info

XML or manual upload to Tech-Net

Agency collects data, provides to SBA

Report at time of application

N

N

Y

Key Individual Percentage of Effort

XML or manual upload to Tech-Net

Agency collects data, provides to SBA

Report at time of application

N

Y

Y

Project Aims

XML or manual upload to Tech-Net

Agency collects data, provides to SBA

Report at time of application

N

Y

Y

Abstract

XML or manual upload to Tech-Net

Agency collects data, provides to SBA

Report at time of application

N

N

N

Key Individual First Name

XML or manual upload to Tech-Net

Agency collects data, provides to SBA

Report at time of application

N

Y

Y

Key Individual Middle Name

XML or manual upload to Tech-Net

Agency collects data, provides to SBA

Report at time of application

N

Y

Y

Key Individual Last Name

XML or manual upload to Tech-Net

Agency collects data, provides to SBA

Report at time of application

N

Y

Y

Key Individual Position/Title

XML or manual upload to Tech-Net

Agency collects data, provides to SBA

Report at time of application

N

Y

Y

Key Individual Email

XML or manual upload to Tech-Net

Agency collects data, provides to SBA

Report at time of application

N

Y

Y

Key Individual Phone

XML or manual upload to Tech-Net

Agency collects data, provides to SBA

Report at time of application

N

Y

Y

Criminally Liable Flag

XML or manual upload to Tech-Net

Agency collects data, provides to SBA

Report at time of application

N

Y

Y

CL First Name

XML or manual upload to Tech-Net

Agency collects data, provides to SBA

Report at time of application

N

Y

Y

CL Middle Name

XML or manual upload to Tech-Net

Agency collects data, provides to SBA

Report at time of application

N

Y

Y

CL Last Name

XML or manual upload to Tech-Net

Agency collects data, provides to SBA

Report at time of application

N

Y

Y

CL Company Associated

XML or manual upload to Tech-Net

Agency collects data, provides to SBA

Report at time of application

N

Y

Y

Appendix VII: Commercialization Database

The fields below describe the data collected for the Commercialization Database. The Commercialization Database is collected directly from SBC applicants through a centralized collection, online.. SBC applicants are expected to register this information after their first application after the receipt of a Phase II award to the program at any participating agency; thereafter, the SBC applicant is required to update this information upon every application and/or update the information annually – whichever period comes first.

Information in this database is privileged and confidential and not subject to disclosure pursuant to 5 U.S.C. § 552, Freedom of Information Act. The information is only accessible to government personnel. The data will be protected using Point-To-Point Session Encryption. All logins are protected by "https," the industry standard for encryption.

The estimated reporting burden for the collection of information in the Commercialization Database will be 1.5 hours to read the directions, gather the required information, and to complete the survey each year. You are not required to respond to this collection of information unless it displays a currently valid OMB control number. (3245-0356). Comments on this burden or other aspects of this collection of information should be submitted to Chief, Administrative Information Branch, 409 Third Street, SW, Washington , DC 20416, and/or SBA Desk Officer, Office of Management and Budget, New Executive Office Bldg., Rm. 10202, Washington, DC 20503. You may also send comments to SBA via email to [email protected]

Commercialization Field Name	Reporting Mechanism	Agency interaction	Collection Frequency	Public Data (Y/N)	Type	Advanced (Y/N)	New Data Request (Y/N)
Firm Level Commercialization
Company Name	Agencies + companies report to Tech-Net	XML or manual upload to Tech-Net	1) In real time 2) SBC updates prior to subsequent award application	N	int(10) unsigned	N	N
Agency Tracking #	Agencies + companies report to Tech-Net	XML or manual upload to Tech-Net	1) In real time 2) SBC updates prior to subsequent award application	N	int(10) unsigned	N	N
SBA Firm ID	Agencies + companies report to Tech-Net	XML or manual upload to Tech-Net	1) In real time 2) SBC updates prior to subsequent award application	N	int(10) unsigned	N	N
IPO	Agencies + companies report to Tech-Net	XML or manual upload to Tech-Net	1) In real time 2) SBC updates prior to subsequent award application	N	YES/NO	N	N
IPO Value	Agencies + companies report to Tech-Net	XML or manual upload to Tech-Net	1) In real time 2) SBC updates prior to subsequent award application	N	int(11)	N	N
IPO Amount	Agencies + companies report to Tech-Net	XML or manual upload to Tech-Net	1) In real time 2) SBC updates prior to subsequent award application	N	decimal(20,2)	N	N
IPO Year	Agencies + companies report to Tech-Net	XML or manual upload to Tech-Net	1) In real time 2) SBC updates prior to subsequent award application	N	int(11)	N	N
Merger/Acquired	Agencies + companies report to Tech-Net	XML or manual upload to Tech-Net	1) In real time 2) SBC updates prior to subsequent award application	N	YES/NO	N	N
M&A Value	Agencies + companies report to Tech-Net	XML or manual upload to Tech-Net	1) In real time 2) SBC updates prior to subsequent award application	N	decimal(20,2)	N	N
M&A Year	Agencies + companies report to Tech-Net	XML or manual upload to Tech-Net	1) In real time 2) SBC updates prior to subsequent award application	N	int(11)	N	N
Narrative	Agencies + companies report to Tech-Net	XML or manual upload to Tech-Net	1) In real time 2) SBC updates prior to subsequent award application	N	longtext	N	N
Comm Contact First Name	Agencies + companies report to Tech-Net	XML or manual upload to Tech-Net	1) In real time 2) SBC updates prior to subsequent award application	N	varchar(25)	N	Y
Comm Contact Middle Name	Agencies + companies report to Tech-Net	XML or manual upload to Tech-Net	1) In real time 2) SBC updates prior to subsequent award application	N	varchar(1)	N	Y
Comm Contact Last Name	Agencies + companies report to Tech-Net	XML or manual upload to Tech-Net	1) In real time 2) SBC updates prior to subsequent award application	N	varchar(35)	N	Y
Comm Contact Title	Agencies + companies report to Tech-Net	XML or manual upload to Tech-Net	1) In real time 2) SBC updates prior to subsequent award application	N	varchar(50)	N	Y
Comm Contact Phone	Agencies + companies report to Tech-Net	XML or manual upload to Tech-Net	1) In real time 2) SBC updates prior to subsequent award application	N	varchar(255)	N	Y
Comm Contact Email	Agencies + companies report to Tech-Net	XML or manual upload to Tech-Net	1) In real time 2) SBC updates prior to subsequent award application	N	varchar(255)	N	Y
	Agencies + companies report to Tech-Net	XML or manual upload to Tech-Net	1) In real time 2) SBC updates prior to subsequent award application	N	int(10) unsigned	N	N
Sales Amount	Agencies + companies report to Tech-Net	XML or manual upload to Tech-Net	1) In real time 2) SBC updates prior to subsequent award application	N	decimal(20,2)	N	N
Investment Amount	Agencies + companies report to Tech-Net	XML or manual upload to Tech-Net	1) In real time 2) SBC updates prior to subsequent award application	N	decimal(20,2)	N	N
Patent #'s	Agencies + companies report to Tech-Net	XML or manual upload to Tech-Net	1) In real time 2) SBC updates prior to subsequent award application	N	int(11)	N	Y
Number of Patents	Agencies + companies report to Tech-Net	XML or manual upload to Tech-Net	1) In real time 2) SBC updates prior to subsequent award application	N	decimal(10,2)	N	Y
Investment Types	Agencies + companies report to Tech-Net	XML or manual upload to Tech-Net	1) In real time 2) SBC updates prior to subsequent award application	N		N	Y
Sales Type	Agencies + companies report to Tech-Net	XML or manual upload to Tech-Net	1) In real time 2) SBC updates prior to subsequent award application	N		N	Y
Award Level Commercialization
Product Launched	Agencies + companies report to Tech-Net	XML or manual upload to Tech-Net	1) In real time 2) SBC updates prior to subsequent award application	N	int(11)	Y	Y
Names of Company Established for Product/Commercialization	Agencies + companies report to Tech-Net	XML or manual upload to Tech-Net	1) In real time 2) SBC updates prior to subsequent award application	N	int(11)	Y	Y
Sales Amount	Agencies + companies report to Tech-Net	XML or manual upload to Tech-Net	1) In real time 2) SBC updates prior to subsequent award application	N	int(10) unsigned	Y	N
Investment Amount	Agencies + companies report to Tech-Net	XML or manual upload to Tech-Net	1) In real time 2) SBC updates prior to subsequent award application	N	int(11)	Y	N
Patent #'s	Agencies + companies report to Tech-Net	XML or manual upload to Tech-Net	1) In real time 2) SBC updates prior to subsequent award application	N	longtext	Y	Y
Number of Patents	Agencies + companies report to Tech-Net	XML or manual upload to Tech-Net	1) In real time 2) SBC updates prior to subsequent award application	N	int(11)	Y	Y
Investment Types	Agencies + companies report to Tech-Net	XML or manual upload to Tech-Net	1) In real time 2) SBC updates prior to subsequent award application	N	int(11)	Y	N
Sales Type	Agencies + companies report to Tech-Net	XML or manual upload to Tech-Net	1) In real time 2) SBC updates prior to subsequent award application	N	int(11)	Y	N
Phase III Value	Agencies + companies report to Tech-Net	XML or manual upload to Tech-Net	1) In real time 2) SBC updates prior to subsequent award application	N	int(10) unsigned	Y	Y
Phase III Launched/Implemented [CRP]	Agencies + companies report to Tech-Net	XML or manual upload to Tech-Net	1) In real time 2) SBC updates prior to subsequent award application	N	int(11)	Y	Y
Phase III Narrative [CRP]	Agencies + companies report to Tech-Net	XML or manual upload to Tech-Net	1) In real time 2) SBC updates prior to subsequent award application	N	int(11)	Y	Y

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