3245-0356 SBIR_Gov_PRA_3245-0356 4-12-2023

Field

SBIR.gov Company Registry Fields
Requirement

Example

Description

UEI
UEI

Field
Definition

Mandatory

12 Alphanumeric

F847A1795XXX

Company
Information
Company Name

The Unique Entity Identifier (SAM) for
the entity. The firm must be registered
with SAM to obtain this number. This
number is used to run SAM.gov
verification.

Mandatory

ABC Firm

Address 1

Mandatory

123 Main Street

The Name of the Firm or Company
registering.
The Address of the Firm registering

Address 2

Optional

City

Mandatory

Sterling

City of the registering firm.

State

Mandatory

VA

State of the registering firm

Zip Code

Mandatory

21673

Zip code of the registering firm.

Company Website

Optional

www.abcfirm.com

The website of the registering firm

Company Profile

Optional

Year Company
Founded
Ownership
Information
Is the SBC majorityowned by multiple
venture capital
operating companies,
hedge funds or
private equity firms?

Optional

4 numeric
digits

2023

Description of the registering firm,
Firms can provide details that they
want the public to know about them (a
firm’s bio.)
Year the company was founded

Mandatory

"YES" or "NO"
radio button

YES

Investor Name

Optional

Investor A

Investor Ownership
Percentage
Is the Investor a
U.S. citizen or

Optional

0-50
characters
0-3 characters

If "YES" is selected an additional
question will display
What percentage (%) of the SBC is
majority-owned by multiple venture
capital operating companies, hedge
funds or private equity firms?
Name of investor(s)

20%

Percentage owned by investor (s)

"YES" or "NO"
radio button

YES

Optional

1-80
characters
0-80
characters
1-40
characters
2 characters
and in the US
Postal
Service’s list
of valid state
codes
5 numeric
digits, or 9
numeric digits
with hyphen
after 5 digits
0-255
characters
0-255
characters

Field
permanent resident
alien?
Is the investor an
entity organized
under the laws of a
U.S. State or the
United States?
Number of
Employees including
all affiliates:
Women-owned small
business

Socially/Economically
Disadvantaged small
business

HUBZone-Owned
small business

Electronic Consent
Do you allow for your
contact information
to be released to
Economic

SBIR.gov Company Registry Fields
Requirement

Field
Definition

Example

Optional

"YES" or "NO"
radio button

YES

Mandatory

Text Field

50

Mandatory

"YES" or "NO"
or
"Unavailable"
radio button

YES

Mandatory

"YES" or "NO"
or
"Unavailable"
radio button

Mandatory

"YES" or "NO"
or
"Unavailable"
radio button

Mandatory

"YES" or "NO"
radio button.

YES

YES

Description

Firms having more than 500
employees including all affiliates are
not eligible to apply for a new
SBIR/STTR award.
To qualify as a women-owned small
business (WOSB), a business must
meet the following requirements
identified in Policy Directive definition
section (ss): Women-Owned SBC
(WOSB) An SBC that is at least 51% owned
by one or more women, or in the case of any
publicly owned business, at least 51% of the
stock is owned by women, and women control
the management and daily business operations.

Part of the SBA "8(a) Business
Development Program." A firm can
register as Disadvantaged under
SAM.gov using the following criteria:

The firm must be 51% or more owned
and control by one or more
disadvantaged persons.
The disadvantaged person or persons
must be socially disadvantaged and
economically disadvantaged.
The firm must be small, according to
SBA’s size standards
HUBZone is a United States Small
Business Administration (SBA) program
for small companies that operate and
employ people in Historically
Underutilized Business Zones
(HUBZone). Firms will need to reside
within an area that has been
determined to be a HUBZone, meet
eligibility requirements and register
with the SBA

Field

SBIR.gov Company Registry Fields
Requirement

Field
Definition

Business Points of
Contact
Title

Mandatory

First Name

Mandatory

Drop Down
selection
1 - 50
Characters

Middle Initial

Optional

0-1
Character

Last Name

Mandatory

1 - 50
Characters

Primary Business
Phone
Business Email

Mandatory

10 numerical
characters
1-50
characters

Development
Organizations?

Mandatory

Example

Description

Title/ position of firm Point of Contact
The first name of the Point of Contact
as wanting to display on firm
associated portal and documentation.
The last name of the Point of Contact
as wanting to display on firm
associated portal and documentation.
The middle initial of the Point of
Contact as wanting to display on firm
associated portal and documentation.
Format should be: “999-999-9999”,
“(999) 999-9999”, 9999999999
email address of point of contact

Commercialization Database Fields - Web form Guide

Commercialization Database Web Form Guide
COMPANY COMMERCIALIZATION INFORMATION
Short Title

Long Title / Question

Description

Commercialization Information
Company Name
Company Information
Address

SBC Control ID
Company URL
Company POC
Title
Full Name

Address 1
Address 2
City
State
Zip

Company Information is auto
populated from company registry
data.

Company Website

Title
First Name
Middle Name
Last Name
Business Phone
Phone
Business Phone Ext
Phone Ext
Business Email
Email
Additional Company Information
Year first Phase I award:
Year first Phase I Award was received.
Year first Phase II award:
Year first Phase II Award was received.
Phase I Awards:
Total number of Phase I Awards
Phase II Awards:
Total number of Phase II Awards
# Employees Currently:
Current Number of Employees (including all
affiliates):
Employees at first Phase II
Number of firm employees (including all
award:
affiliates):
Total revenue for last fiscal
Your firm's total revenue for the last fiscal
year:
year:
Mergers and Acquisition within
Did your SBC merge with, acquire, or
past 2 years:
become acquired by another company, within
the past two years?
Year Founded:
When was your company founded?
Spin-offs resulting from
SBIR/STTR:
Socially and Economically
Disadvantaged:
IPO resulting from SBIR/STTR |
Year of IPO:

Patents
% Revenue for last fiscal year
from SBIR/STTR funding:
SBC majority-owned by multiple
VCOC, HF, PE firms | By what
percent (%):

Has your SBC produced any spin-off
companies as a result of the work conducted
under SBIR and/or STTR programs?
Socially and Economically Disadvantaged?
Has your company successfully completed an
Initial Public Offering ("IPO") of stock since
receiving its first Phase II award that was the
result, in part, of technology your company
developed under the Federal SBIR and/or
STTR programs? |
Year of IPO:
Number of Patents resulting from SBIR or
STTR Awards
What percentage of your company's revenue
during the last fiscal year was Federal SBIR
and/or STTR funding (Phase I and/or Phase
II? *
Is your company majority-owned by multiple
venture capital operating companies, hedge
funds, or private equity firms? |

1

Point of Contact Information is auto
populated based on user profile.

Award information is auto
populated from SBIR.gov award
data.
Information auto-populated from
company registry data.
Text Field
Dropdown
Yes/No
Information auto-populated from
company registry data.
Yes/No
Information auto-populated from
company registry data.
Yes/No | Years must be in the correct
format which is “YYYY”

Information auto-summed based on
individual award reporting.

Information auto-populated from
company registry data.

Commercialization Database Fields - Web form Guide

Woman-Owned:

What percentage (%) of the company is
majority-owned by multiple venture capital
operating companies, hedge funds, or private
equity?
Women-Owned?

HUBZone-Certified:

HUBZone Certified?

Additional Investment

Additional Investment Amount ($)

Additional Investment Description
Additional Sales

Additional Investment from:

DoD Contracts or DoD
Subcontracts
Angel Investors $:
Venture Capital $:
Self-Funded $:
Private Sector $:
Other Federal Contracts/grants
$
Other Sources $:
Additional Investment
Total Investment
Phase III Sales to:

Information auto-populated from
company registry data.
Information auto-populated from
company registry data.
If you have additional investment
results from your firm's SBIR/STTR
work that is not accounted for above
and you do not have an associated
Phase II award number, please
indicate so here and we will work with
you to address the issue.
Additional Investment Description is
required when Additional Investment
Amount is greater than zero
If you have sales results from your
firm's SBIR/STTR work that is not
accounted for above and you do not
have an associated Phase II award
number, please indicate so here and
we will work with you to address the
issue.

Additional Sales Description
"Additional Investment" includes investment by any source other than SBIR/STTR
Phase I or Phase II awards in activities that further the development and/or
commercialization of the specific technology developed under this Phase II project.
Examples of such activities include:
•
Additional R&D on the Phase II technology;
•
Manufacturing/production start-up;
•
Purchase of plant and equipment for manufacturing/production;
•
Protection of intellectual property;
•
Obtaining certifications;
•
Marketing start-up and marketing; and
•
Training of workforce to manufacture or sell new products embodying the
Phase II technology.
These may be activities funded and conducted by other entities or by your firm itself.
DoD Contracts or DoD Subcontracts
DOD New field
Angel Investors $:
Venture Capital $:
Self-Funded $:
Private Sector $:
Other Federal Contracts/grants $
Other Sources $:
If Other Sources, please provide description:
Additional Investment Amount ($)
Additional Investment Description

"SALES" is broadly defined to include all cash revenue from the sale of new products or
non-R&D services embodying the specific technology developed under this Phase II
project. It also includes any revenues from the sale or licensing of technology,
technological know-how, or intellectual property developed under the Phase II.
Count only such revenue accruing to your firm and not to other entities. If your firm sold
or licensed the technological know-how developed under a Phase II award to another
entity, enter the cash revenue accruing to the other entity from its sale of new products
or non-R&D services embodying the Phase II technology in the "3rd Party Revenue"
field, not with your firm's sales figures.

2

Commercialization Database Fields - Web form Guide
Count only the sales directly related to the Phase II work. If the new product/service
embodying the Phase II technology is a component of a larger product/service (e.g., an
improved coating on an existing optical lens product), count only the sales attributable
to the component rather than the larger product/service.
Do not count SBIR/STTR contracts or grants (Phase I or II), or revenue from any other
R&D activities, including follow-on R&D contracts or grants. "R&D activities" include any
activities directed toward reducing the technical risk of the technology.

DoD or DoD prime contractors
Private Sector $:

Export Markets $:
Other Federal Agencies $:

Additional Comm. By 3rd Party
$:

Other Customers $:

Additional Sales
Total Sales
Are any of the reported Phase
III sales considered a covered
sale?
Commercialization Narrative
Commercialization Narrative
Commercialized Awards
Agency/Branch:
Program/Phase/Year:
Topic #
Contract/Grant #:
Achieved a cost saving or cost
avoidance?
If “Yes”

Do not include revenue from your firm's sales to an affiliate of your firm.
(13CFR121.103)
DoD or DoD prime contractors
DOD new fields
Private Sector $:
If you reported sales to a prime
contractor above under Federal
agencies or Prime Contractor, do not
report it again here
Export Markets $:
Other Federal Agencies $:
If you include sales to a prime
contractor here, do not report those
sales again below under Private
Industry
Additional Comm. By 3rd Party $:
Enter cash revenues received by an
entity other than this SBIR/STTR firm
from the sale of new products or nonR&D services derived from the specific
technology developed under this
Phase II project, for example through a
license agreement or spin-off. As with
the other categories, only count the
portion of such revenues that accounts
for the SBIR/STTR technology’s share
of the total product or service.
Example: If a new coating for
helicopter blades developed under a
SBIR/STTR Phase II project is used by
a 3rd Party Manufacturer, count only
the 3rd Party revenues attributed to
the blade coating, not the entire
helicopter.
Other Customers $:
Revenue from other sources other
than above
If Other Customer, please provide
description:
Additional Sales Amount ($)
Additional Sales Description
Covered sales apply to small business
concerns subject to increased minimum
performance standards, please see help text
for further guidance on requirements of 15
U.S.C. § 638 (qq)(3).

Yes/No

Commercialization Narrative
Agency/Branch:
Program/Phase/Year Awarded
Topic #
Contract #
Has the technology developed under this
project achieved a cost saving or cost
avoidance for the government or end user?
If yes

3

Yes/No

Commercialization Database Fields - Web form Guide
a. Agency/End user:
b. System/Program:
c. Cost Savings:
d. Cost Savings Type:
e. Explanation:
Manufacturing related

Subsidiaries
Subsidiary 1:
Subsidiary 2:
Subsidiary 3:
Subsidiary 4:
Subsidiary 5:
Other contributing SBIR/STTR
awards
Used in Federal or acquisitions
program?
If “Yes”

a. Primary Agency:
b. System/Program:
c. Phase III Contract #:

Patents
If “Yes”

U.S. Patent number
U.S. Patent title
Phase III Sales to:
DoD or DoD prime contractors
Private Sector $:
Export Markets $:
Other Federal Agencies $:
Additional Comm. By 3rd Party
$:
Other Customers $:
If Other Customer, please
provide description:
Are any of the reported Phase
III sales considered a covered
sale?
Additional Investment from:
DoD Contracts or DoD
Subcontracts
Angel Investors $:
Venture Capital $:
Self-Funded $:
Private Sector $:
Other Federal Contracts/grants
$
Other Sources $:
If Other Sources, please
provide description:

Indicate agency/end user realizing the savings
Enter the system or program realizing the
savings:
Enter the cost savings:
Cost Savings Type
Explain how cost savings was calculated
Is the technology developed under this project
related to manufacturing? If yes
Select type of manufacturing
Names of Companies established for
Product/Commercialization:
Subsidiary 1:
Subsidiary 2:
Subsidiary 3:
Subsidiary 4:
Subsidiary 5:
List other SBIR or STTR awards that can also
be contributed to this commercialization
success. (List as semicolon delimited)
Has the technology developed under this
project been used in a fielded Federal system
or acquisition program?
(a) indicated the primary agency using it
(b) Specify the system or program
(c) If funded by a federal agency, provide the
Phase III contract number
Do you have any U.S. patents resulting from
this award?

Yes/No

Yes/No

Yes/No

Patent Number
Patent Title
DoD or DoD prime contractors
Private Sector $:
Export Markets $:
Other Federal Agencies $:
Additional Comm. By 3rd Party $:
Other Customers $:
If Other Customer, please provide
description:
Covered sales apply to small business
concerns subject to increased minimum
performance standards, please see help text
for further guidance on requirements of 15
U.S.C. § 638 (qq)(3).
DoD Contracts or DoD Subcontracts
Angel Investors $:
Venture Capital $:
Self-Funded $:
Private Sector $:
Other Federal Contracts/grants $
Other Sources $:
If Other Sources, please provide description:

4

Yes/No

Commercialization Database Fields - Web form Guide
Are any of the reported
Additional Investment
considered a covered sale?
If the project is a STTR Award
Who initiated the collaboration?
Who initiated the technology?
Number of months to negotiate
the Allocation of Rights
agreement:
Percentage of proceeds going
to the small business:
Percentage of proceeds going
to the research institution:
Phase III Awards
Funding Agreement/Contract #
Agency
Project Title
Award Year

Covered sales apply to small business
concerns subject to increased minimum
performance standards, please see help text
for further guidance on requirements of 15
U.S.C. § 638 (qq)(3).

Yes/No

Research Institution or Small Business
Concern
Research Institution or Small Business
Concern
Text Field

Radio Button
Radio Button

Percentage
Percentage
Funding Agreement/Contract#
Agency (Please select one or more agencies
below)
Project Title
Year of Award

Years must be in the correct format
which is “YYYY”

Funding Amount
Funding amount obligated (to-date)
Awarding Agency
Awarding Agency Branch
Covered Sales Documentation
If Yes to any Covered Sales questions, upload documentation in support of any reported covered sales.
Submit Commercialization Report
Certify/Submit
I have read and agree to the statement above
No phase I or II SBIR or STTR funds have been counted as "sales" or "investment."
Your reported "sales" includes only cash revenue from the sale of new products or non-R&D services
embodying the specific technology developed under the SBIR or STTR award.
If your new product/service embodying the SBIR or STTR award technology is a component of a
larger product/service.
Your reported "additional investment" includes only investment in activities that further the
development and/or commercialization of the specific technology developed under the SBIR or STTR
award.
Your commercialization report apportions sales and investment among contributing SBIR or STTR
projects without double-counting.
For sales to or investment by the government, only the amount of government funding that has been
obligated to date, and not the total award amount, is counted as "sales" or "investment."
Your reported "sales" includes only the sales accruing to your firm or another entity to which your firm
sold or licensed the technological know-how.
Your reported "sales" does not include revenue from the sale or license of technological know-how,
does not include revenue from any R&D activities, and does not include sales to an affiliate of your
firm.
Certify/Submit Commercialization

5

Checkbox
Checkbox
Checkbox
Checkbox
Checkbox
Checkbox
Checkbox
Checkbox
Checkbox
Button