Guidance for Completing the Company Commercialization Report:
Instructions and Definitions

Instructions

For each SBIR and STTR Phase received to date from any Federal agency, provide current and accurate commercialization - sales and/or additional investment - resulting from, extending, or logically concluding the Phase II project. To view or print the information currently contained in the Company Commercialization Report, go to step 5 in the Company Commercialization Report section of the DoD SBIR Submission website.

Do's and Don'ts

  1. Do not include Phase I or Phase II SBIR/STTR awards in sales or investment.
  2. Do not count the same item as both "sales" and "additional investment".
  3. Additional R&D services should be recorded as additional investment, not sales.
  4. If two or more Phase II projects contributed to a single new product that has generated sales revenue and/or additional investment, apportion the sales and investment among the contributing projects without double-counting. Example: Phase II projects A and B lead to a new software product that has generated sales of $10 million to the Army and $12 million to retail software stores. For both projects A and B, enter $5 million for sales to DoD and $6 million for sales to the private sector.
  5. Count only actual sales and investment dollars received to date, and not projected sales and investment. For sales to or investment by the government, count only the amount of government funding that has been obligated to date and not the total award amount.
  6. Outside (non-SBIR/STTR) funding received through the Fast Track and/or Phase II Plus/Enhancement programs should be reported as additional investment, but do not include SBIR matching funds.
  7. For purposes of this report, your "firm" includes all affiliates. (reference 13CFR121.103)
  8. Only report sales and investment figures on Phase II awards received by your firm. In the case of novation or company acquisition, do not count commercialization accrued to the original firm prior to the novation or acquisition, and explain these special circumstances in the narrative.

Definitions

"Sales"
          includes cash revenue from the sale of new products or non-R&D services embodying the specific technology developed under this Phase II project.

"Sales" does not include:

"3rd Party Revenue" (if known):

Includes cash revenues received by an entity other than this SBIR/STTR firm from the sale of new products or non-R&D services derived from the specific technology developed under this Phase II project, for example through a license agreement or spin-off.  Only count the portion of 3rd Party 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.

"Additional Investment"
          includes investment by any source other than the federal SBIR/STTR program in activities that further the development and/or commercialization of the specific technology developed under the Phase II project.
Examples of such activities include:

These may be activities funded and conducted by your firm or by other entities.

"Manufacturing-related R&D"
          encompasses improvements in existing methods or processes, or wholly new processes, machines or systems in one of the following areas:

"Cost Savings/Cost Avoidance"
A decrease in elements of cost between the status quo and the alternative that resulted from the SBIR/STTR technology derived from this Phase II award. Cost savings are a quantifiable benefit demonstrated by: (a) a reduction or avoidance of actual costs by a user or (b) by measurable efficiencies in labor or supply utilization as a result of a change in operations. Examples are: