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Open Recommendations

Small Business Innovation Research: Most Agencies Did Not Implement Required Commercialization Pilot
GAO-24-107155
Sep 25, 2024
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2 Open Recommendations
Agency Affected Recommendation Status
Congress If Congress wishes to reauthorize CAPP, it should consider clarifying which agencies are required to implement CAPP because not all SBIR participating agencies offer sequential Phase II awards (Matter for Consideration 1).
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When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
Small Business Administration If the CAPP program is reauthorized, the Administrator of SBA should direct the SBIR Program Office to collect and report information from SBIR participating agencies on CAPP—such as implementation status, number of awards, and dollars awarded (Recommendation 1).
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When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.

Small Business Innovation Research: Better Data and Clarity on Eligibility of Venture Capital-Owned Businesses Are Needed
GAO-24-107004
Feb 13, 2024
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2 Open Recommendations
Agency Affected Recommendation Status
Department of Defense The Secretary of Defense should ensure that the DOD SBIR/STTR Program Office in OUSD(R&E) or other appropriate entity monitors the effectiveness of the recent efforts to improve the quality of the data used to identify its SBIR awards to "qualified small businesses" (awarded under 15 U.S.C. § 638(dd)), including through periodic evaluations of the accuracy of DOD's data in identifying awards to such businesses. (Recommendation 1)
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When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
Small Business Administration The Administrator of the SBA should take steps—such as clarifying the SBIR policy directive or eligibility guide or suggesting model language for SBIR solicitations—to ensure that all agencies participating in the SBIR program fully understand the eligibility of small businesses with differing levels of ownership by VCOCs, hedge funds, or private equity firms. (Recommendation 2)
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When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.

National Institute of Standards and Technology: Strengthening Disclosure Requirements and Assessing Training Could Improve Research Security
GAO-24-106074
Dec 14, 2023
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2 Open Recommendations
Agency Affected Recommendation Status
National Institute of Standards and Technology The Director of NIST should, consistent with applicable statutes and regulations, collect and review disclosures from domestic associates—including information on positions and appointments, current and pending research support, and participation in foreign talent recruitment programs—and require updates to these disclosures, as appropriate. (Recommendation 2)
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NIST intends to expand their review process for domestic associates by leveraging the information collection template used for foreign national associates. NIST plans to complete corresponding modifications to the information system used to collect and store this information by July 2024. Starting in September 2024, NIST intends to adopt the new form for use with domestic associates and the NIST research security team will review any concerning cases.
National Institute of Standards and Technology The Director of NIST should, in coordination with the Secretary of Commerce as appropriate, evaluate the effectiveness of research security training courses for NIST staff. For example, this could include collecting and analyzing employee feedback. (Recommendation 3)
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NIST intends to coordinate with Commerce's Office of Security to evaluate the effectiveness of their research security training efforts. To do so, NIST will administer a survey to collect NIST employees' feedback on these training efforts. NIST intends to complete these actions by June 2024.

National Science Foundation: Additional Steps Would Improve Cost Estimate for Antarctic Research Infrastructure Project
GAO-24-106380
Dec 05, 2023
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1 Open Recommendations
Agency Affected Recommendation Status
National Science Foundation The Director of NSF should ensure that the Antarctic Infrastructure Modernization for Science cost estimate meets the well-documented characteristic of a reliable cost estimate, as defined in GAO's cost guide. (Recommendation 1)
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When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
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