[Federal Register Volume 77, Number 200 (Tuesday, October 16, 2012)]
[Notices]
[Pages 63410-63411]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2012-25328]


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SMALL BUSINESS ADMINISTRATION


SBIR/STTR Phase I to Phase II Transition Benchmarks

AGENCY: U.S. Small Business Administration.

ACTION: Notice of Small Business Innovation Research and Small Business 
Technology Transfer Programs Phase I to Phase II Transition Benchmarks.

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SUMMARY: The Small Business Administration (SBA) is publishing the 
Small Business Innovation Research (SBIR) and the Small Business 
Technology Transfer (STTR) Phase I to Phase II transition rate 
benchmarks for the 11 participating agencies for public comment. The 
rates are the minimum required ratio of past Phase II to Phase I awards 
that an awardee firm must maintain to be eligible for a new Phase I 
award from a particular agency. This requirement is described in 
Section 4(a) of the SBIR Policy Directive and the STTR Policy Directive 
which implements section 5165 of the SBIR/STTR Reauthorization Act of 
2011.

DATES: Effective Date: December 17, 2012 and when published on 
www.sbir.gov.
    Comment Date: Comments to this notice must be received on or before 
November 15, 2012.

ADDRESSES: Comments on this notice may be submitted to Edsel Brown, 
Jr., Assistant Director, Office of Innovation, Small Business 
Administration, 409 Third Street SW., Washington, DC 20416; telephone 
(202) 205-6450; email ([email protected]).

FOR FURTHER INFORMATION CONTACT: Edsel Brown, Jr., Assistant Director, 
Office of Innovation, Small Business Administration, 409 Third Street 
SW., Washington, DC 20416; telephone (202) 205-6450; email 
([email protected]).

SUPPLEMENTARY INFORMATION: Section 4(a)(3)(iii) of the SBIR Policy 
Directive, which was published on August 6, 2012, at 77 FR 46806 and 
the STTR Policy Directive, which was published the same day at 77 FR 
46855, requires each agency to establish an SBA-approved Phase I-Phase 
II Transition Rate benchmark. The Phase I-Phase II Transition Rate 
benchmark sets, for each agency, the minimum required number of Phase 
II awards the applicant must have received for a given number of Phase 
I awards during a specified period. If an applicant has won prior SBIR/
STTR awards, and does not meet the benchmark rate of the agency to 
which it is applying, the applicant is not eligible for an SBIR or STTR 
Phase I award from that agency for a period of one year from the date 
of submission of the proposal or application. A firm's Phase II 
transition rate is calculated over a specified 5, 10, or 15 year 
period, as the ratio of previous Phase II awards to previous Phase I 
awards, expressed as a percentage. Each of the participating agencies 
has selected a rate and time period. These are presented below in Table 
1.
    SBA has reviewed and approved these benchmarks However, Sec.  5165 
of the SBIR/STTR Reauthorization Act of 2011 requires SBA to publish, 
at least 60 days before becoming effective, each agency's system and 
minimum performance standard, and each approval by SBA. SBA will review 
all comments received in response to this notice and issue the final 
transition rates within 60 days of the date this notice is published. 
These rates will be available at www.sbir.gov.

                                 Table 1
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                                                 Benchmark
                                                    rate      Length of
                    Agency                       (Phase II/     period
                                                  Phase I)     (years)
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Department of Agriculture.....................         0.25            5
Department of Commerce (National Institute of          0.25            5
 Standards and Technology)....................
Department of Commerce (National Oceanic and           0.25            5
 Atmospheric Administration)..................
Department of Defense.........................         0.25            5
Department of Education.......................         0.25           10
Department of Energy..........................         0.25            5

[[Page 63411]]

 
Department of Health and Human Services.......         0.25            5
Department of Homeland Security...............         0.25            5
Department of Transportation..................         0.45            5
Environmental Protection Agency...............         0.25           10
National Aeronautics and Space Administration.         0.25            5
National Science Foundation...................         0.25            5
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    For greater detail on the Phase I to Phase II transition rates, see 
Section 4(a)(3)(iii) of the SBIR Policy Directive and the STTR Policy 
Directive. [www.sbir.gov/node/379093]

    Authority:  15 U.S.C. 638(9).

Sean J. Greene,
Associate Administrator for Investment and Innovation.
[FR Doc. 2012-25328 Filed 10-15-12; 8:45 am]
BILLING CODE 8025-01-P