HR 5789 IHCommentsClose CommentsPermalink

To reauthorize the Small Business Innovation Research (SBIR) Program and the Small Business Technology Transfer (STTR) Program, and for other purposes.CommentsClose CommentsPermalink

April 15, 2008

Mr. WU (for himself, Mr. GORDON of Tennessee, Mr. BAIRD, and Mr. WILSON of Ohio) introduced the following bill; which was referred to the Committee on Small Business, and in addition to the Committee on Science and Technology, for a period to be subsequently determined by the Speaker, in each case for consideration of such provisions as fall within the jurisdiction of the committee concernedCommentsClose CommentsPermalink

To reauthorize the Small Business Innovation Research (SBIR) Program and the Small Business Technology Transfer (STTR) Program, and for other purposes.CommentsClose CommentsPermalink

Be it enacted by the Senate and House of Representatives of the United States of America in Congress assembled,CommentsClose CommentsPermalink

SECTION 1. SHORT TITLE; TABLE OF CONTENTS.

(a) Short Title- This Act may be cited as the `Science and Technology Innovation Act of 2008'.CommentsClose CommentsPermalink





(b) Table of Contents- The table of contents for this Act is as follows:CommentsClose CommentsPermalink





Sec. 1. Short title; table of contents.CommentsClose CommentsPermalink

TITLE I--REAUTHORIZATION OF PROGRAMS

Sec. 101. Extension of SBIR and STTR Programs.CommentsClose CommentsPermalink

TITLE II--FEDERAL INNOVATIONS INVESTMENTS

Sec. 201. SBIR cap increase.CommentsClose CommentsPermalink





Sec. 202. STTR cap increase.CommentsClose CommentsPermalink





Sec. 203. Adjustments in SBIR and STTR award levels.CommentsClose CommentsPermalink





Sec. 204. Majority equity investment in SBIR and STTR firms.CommentsClose CommentsPermalink

TITLE III--UTILIZATION SUPPORT

Sec. 301. Agency databases to support program evaluation.CommentsClose CommentsPermalink





Sec. 302. Agency databases to support technology utilization.CommentsClose CommentsPermalink





Sec. 303. Interagency Policy Committee.CommentsClose CommentsPermalink

TITLE IV--OUTREACH AND TECHNICAL ASSISTANCE

Sec. 401. Use of program funds for administrative costs.CommentsClose CommentsPermalink





Sec. 402. SBIR discretionary technical assistance.CommentsClose CommentsPermalink

TITLE V--IMPLEMENTATION

Sec. 501. Conforming amendments to the SBIR and STTR policy directives.CommentsClose CommentsPermalink





Sec. 502. National Research Council SBIR Study.CommentsClose CommentsPermalink

TITLE I--REAUTHORIZATION OF PROGRAMS

SEC. 101. EXTENSION OF SBIR AND STTR PROGRAMS.

(a) SBIR Program- Section 9(m) of the Small Business Act (15 U.S.C. 638(m)) is amended by striking `2008' and inserting `2010'.CommentsClose CommentsPermalink





(b) STTR Program- Section 9(n)(1)(A) of the Small Business Act (15 U.S.C. 638(n)(1)(A)) is amended by striking `2009' and inserting `2010'.CommentsClose CommentsPermalink

TITLE II--FEDERAL INNOVATIONS INVESTMENTS

SEC. 201. SBIR CAP INCREASE.

Section 9(f)(1) of the Small Business Act (15 U.S.C. 638(f)(1)) is amended--CommentsClose CommentsPermalink





(1) in subparagraph (B), by striking `and' at the end;CommentsClose CommentsPermalink





(2) in subparagraph (C), by striking `each fiscal year thereafter,' and inserting `each of fiscal years 1997 through 2008; and'; andCommentsClose CommentsPermalink





(3) by adding after subparagraph (C) the following new subparagraph:CommentsClose CommentsPermalink





`(D) not less than 3 percent in fiscal year 2009 and each fiscal year thereafter,'.CommentsClose CommentsPermalink

SEC. 202. STTR CAP INCREASE.

Section 9(n)(1)(B) of the Small Business Act (15 U.S.C. 638(n)(1)(B)) is amended--CommentsClose CommentsPermalink





(1) in clause (i), by striking `and' at the end;CommentsClose CommentsPermalink





(2) in clause (ii), by striking `fiscal year 2004 and each fiscal year thereafter.' and inserting `each of fiscal years 2004 through 2008; and'; andCommentsClose CommentsPermalink





(3) by adding after clause (ii) the following new clause:CommentsClose CommentsPermalink





`(iii) 0.6 percent for fiscal year 2009 and each fiscal year thereafter.'.CommentsClose CommentsPermalink

SEC. 203. ADJUSTMENTS IN SBIR AND STTR AWARD LEVELS.

(a) SBIR Adjustments- Section 9(j)(2)(D) of the Small Business Act (15 U.S.C. 638(j)(2)(D)) is amended--CommentsClose CommentsPermalink





(1) by striking `$100,000' and inserting `$300,000'; andCommentsClose CommentsPermalink





(2) by striking `$750,000' and inserting `$2,200,000'.CommentsClose CommentsPermalink





(b) STTR Adjustments- Section 9(p)(2)(B)(ix) of the Small Business Act (15 U.S.C. 638(p)(2)(B)(ix)) is amended--CommentsClose CommentsPermalink





(1) by striking `$100,000' and inserting `$300,000'; andCommentsClose CommentsPermalink





(2) by striking `$750,000' and inserting `$2,200,000'.CommentsClose CommentsPermalink





(c) Annual Adjustments- Section 9 of the Small Business Act (15 U.S.C. 638) is amended--CommentsClose CommentsPermalink





(1) in subsection (j)(2)(D), by striking `and an adjustment of such amounts once every 5 years to reflect economic adjustments and programmatic considerations' and inserting `and a mandatory annual adjustment of such amounts to reflect economic adjustments and programmatic considerations'; andCommentsClose CommentsPermalink





(2) in subsection (p)(2)(B)(ix), by striking `greater or lesser amounts' and inserting `with a mandatory annual adjustment of such amounts to reflect economic adjustments and programmatic considerations, and with lesser amounts'.CommentsClose CommentsPermalink





(d) Limitation on Certain Awards- Section 9 of the Small Business Act (15 U.S.C. 638) is amended by adding at the end the following:CommentsClose CommentsPermalink





`(z) Limitation on Phase I and II Awards- No Federal agency shall issue an award under the SBIR program or the STTR program if the size of the award exceeds the amounts established under subsections (j)(2)(D) and (p)(2)(B)(ix).CommentsClose CommentsPermalink





`(aa) Subsequent Phases-CommentsClose CommentsPermalink





`(1) IN GENERAL- A small business concern which received an award from a Federal agency under this section shall be eligible to receive an award for a subsequent phase from another Federal agency, if the head of each relevant Federal agency makes a written determination that the topics of the relevant awards are the same.CommentsClose CommentsPermalink





`(2) CROSSOVER BETWEEN PROGRAMS- A small business concern which received an award under this section under the SBIR program or the STTR program may, at the discretion of the granting agency, receive an award under this section for a subsequent phase in either the SBIR program or the STTR program.CommentsClose CommentsPermalink





`(3) PHASE II SBIR APPLICATIONS- An agency may permit an applicant to apply directly for a Phase II award, as described in subsection (e)(4)(B), without first completing a Phase I award, as described in subsection (e)(4)(A), if the applicant can demonstrate that project feasibility was achieved without SBIR or other Federal funding.CommentsClose CommentsPermalink





`(4) PHASE II STTR APPLICATIONS- An agency may permit an applicant to submit proposals for Phase II awards, as described in subsection (e)(6)(B), without first completing a Phase I award, as described in subsection (e)(6)(A), if the applicant can demonstrate it has accomplished Phase I through cooperative research and development achieved without STTR or other Federal funding.CommentsClose CommentsPermalink





`(bb) Waiver of Minimum Work Requirement- A Federal agency making an SBIR or STTR award under this section may waive the minimum small business concern or research institution work requirements under subsection (e)(7) if the agency determines that to provide such waiver would be consistent with the purposes of this section and consistent with achieving the objectives of the award proposal.'.CommentsClose CommentsPermalink

SEC. 204. MAJORITY EQUITY INVESTMENT IN SBIR AND STTR FIRMS.

Section 9 of the Small Business Act (15 U.S.C. 638), as amended by this Act, is further amended by adding at the end the following:CommentsClose CommentsPermalink





`(cc) Majority Equity Investment in SBIR and STTR Firms-CommentsClose CommentsPermalink





`(1) QUALIFICATION REQUIREMENTS- No small business concern shall be excluded from participation in the SBIR or STTR program on the ground that such small business concern is owned in majority part by more than 1 equity provider, except that no single equity provider shall be permitted to own more than 49 percent of such small business concern.CommentsClose CommentsPermalink





`(2) DEFINITIONS- For purposes of this subsection--CommentsClose CommentsPermalink





`(A) the term `equity provider' means a venture capital operating company; andCommentsClose CommentsPermalink





`(B) the term `venture capital operating company' means a business concern that--CommentsClose CommentsPermalink





`(i) is a venture capital operating company, as that term is defined in regulations promulgated by the Secretary of Labor under the Employee Retirement Income Security Act of 1974;CommentsClose CommentsPermalink





`(ii) is registered under the Investment Company Act of 1940 (15 U.S.C. 80a-51 et seq.); orCommentsClose CommentsPermalink





`(iii) is an investment company, as defined in section 3(c)(14) of such Act (15 U.S.C. 80a-3(c)(14)), which is not registered under such Act because it is beneficially owned by less than 100 persons.'.CommentsClose CommentsPermalink

TITLE III--UTILIZATION SUPPORT

SEC. 301. AGENCY DATABASES TO SUPPORT PROGRAM EVALUATION.

Section 9(k) of the Small Business Act (15 U.S.C. 638(k)) is amended--CommentsClose CommentsPermalink





(1) in paragraph (2)(A)--CommentsClose CommentsPermalink





(A) by striking `and' at the end of clause (ii);CommentsClose CommentsPermalink





(B) by inserting `and' at the end of clause (iii); andCommentsClose CommentsPermalink





(C) by adding at the end the following new clause:CommentsClose CommentsPermalink





`(iv) information on the ownership structure of award recipients, both at the time of receipt of the award and upon completion of the award period;';CommentsClose CommentsPermalink





(2) by amending paragraph (3) to read as follows:CommentsClose CommentsPermalink





`(3) UPDATING INFORMATION FOR DATABASE-CommentsClose CommentsPermalink





`(A) IN GENERAL- A Federal agency shall not make a Phase I or Phase II payment to a small business concern under this section unless the small business concern has provided all information required under this subsection with respect to the award under which the payment is made, and with respect to any other award under this section previously received by the small business concern or a predecessor in interest to the small business concern.CommentsClose CommentsPermalink





`(B) APPORTIONMENT- In complying with this paragraph, a small business concern may apportion sales or additional investment information relating to more than one second phase award among those awards, if it notes the apportionment for each award.CommentsClose CommentsPermalink





`(C) ANNUAL UPDATES UPON TERMINATION- A small business concern receiving an award under this section shall--CommentsClose CommentsPermalink





`(i) in the case of a second phase award, update information in the databases required under paragraphs (2) and (6) concerning that award at the termination of the award period;CommentsClose CommentsPermalink





`(ii) in the case of award recipients not described in clause (iii), be requested to voluntarily update such information annually thereafter for a period of 5 years; andCommentsClose CommentsPermalink





`(iii) in the case of a small business concern applying for a subsequent first phase or second phase award, be required to update such information annually thereafter for a period of 5 years.'; andCommentsClose CommentsPermalink





(3) by adding at the end the following new paragraph:CommentsClose CommentsPermalink





`(6) AGENCY PROGRAM EVALUATION DATABASES- Each Federal agency required to establish an SBIR or STTR program under this section shall develop and maintain, for the purpose of evaluating such programs, a database containing information required to be contained in the database under paragraph (2). Each such database shall be designed to be accessible to other agencies that are required to maintain a database under this paragraph.'.CommentsClose CommentsPermalink

SEC. 302. AGENCY DATABASES TO SUPPORT TECHNOLOGY UTILIZATION.

Section 9(k) of the Small Business Act (15 U.S.C. 638(k)), as amended by this Act, is further amended by adding at the end the following new paragraph:CommentsClose CommentsPermalink





`(7) AGENCY DATABASES TO SUPPORT TECHNOLOGY UTILIZATION- Each Federal agency with an SBIR or STTR program shall create and maintain a technology utilization database, which shall be available to the public and shall contain data supplied by the award recipients specifically to help them attract customers for the products and services generated under the SBIR or STTR project, and to attract additional investors and business partners. Each database created under this paragraph shall include information on the other databases created under this paragraph by other Federal agencies. Participation in a database under this paragraph shall be voluntary, except that such participation is required of all award recipients who received supplemental payments from SBIR and STTR program funds above their initial Phase II award.'.CommentsClose CommentsPermalink

SEC. 303. INTERAGENCY POLICY COMMITTEE.

(a) Establishment- The Director of the Office of Science and Technology Policy shall establish an Interagency SBIR/STTR Policy Committee comprised of one representative from each Federal agency with an SBIR program.CommentsClose CommentsPermalink





(b) Cochairs- The Director of the Office of Science and Technology Policy and the Director of the National Institute of Standards and Technology shall jointly chair the Interagency Policy Committee.CommentsClose CommentsPermalink





(c) Duties- The Interagency Policy Committee shall review the following issues and make policy recommendations on ways to improve program effectiveness and efficiency:CommentsClose CommentsPermalink





(1) The public and government databases described in section 9(k)(1) and (2) of the Small Business Act (15 U.S.C. 638(k)(1) and (2)).CommentsClose CommentsPermalink





(2) Federal agency flexibility in establishing Phase I and II award sizes, and appropriate criteria to exercise such flexibility.CommentsClose CommentsPermalink





(3) Commercialization assistance best practices in Federal agencies with significant potential to be employed by other agencies, and the appropriate steps to achieve that leverage, as well as proposals for new initiatives to address funding gaps business concerns face after Phase II but before commercialization.CommentsClose CommentsPermalink





(d) Reports- The Interagency Policy Committee shall transmit to the Committee on Science and Technology and the Committee on Small Business of the House of Representatives, and to the Committee on Small Business and Entrepreneurship of the Senate--CommentsClose CommentsPermalink





(1) a report its review and recommendations under subsection (c)(1) not later than 1 year after the date of enactment of this Act;CommentsClose CommentsPermalink





(2) a report its review and recommendations under subsection (c)(2) not later than 18 months after the date of enactment of this Act; andCommentsClose CommentsPermalink





(3) a report its review and recommendations under subsection (c)(3) not later than 2 years after the date of enactment of this Act.CommentsClose CommentsPermalink

TITLE IV--OUTREACH AND TECHNICAL ASSISTANCE

SEC. 401. USE OF PROGRAM FUNDS FOR ADMINISTRATIVE COSTS.

Section 9 of the Small Business Act (15 U.S.C. 638) is amended--CommentsClose CommentsPermalink





(1) in subsection (f)(2)(A), by striking `any' and inserting `more than 3.0 percent'; andCommentsClose CommentsPermalink





(2) in subsection (n)(2)(A), by striking `any' and inserting `more than 3.0 percent'.CommentsClose CommentsPermalink

SEC. 402. SBIR DISCRETIONARY TECHNICAL ASSISTANCE.

Section 9(q) of the Small Business Act (15 U.S.C. 638(q)) is amended--CommentsClose CommentsPermalink





(1) in paragraph (1)--CommentsClose CommentsPermalink





(A) by striking `paragraph (2)' and inserting `paragraph (2)(A), or another Federal agency under paragraph (2)(B),';CommentsClose CommentsPermalink





(B) by striking `and' at the end of subparagraph (C);CommentsClose CommentsPermalink





(C) by striking the period at the end of subparagraph (D) and inserting `; and'; andCommentsClose CommentsPermalink





(D) by adding at the end the following new subparagraph:CommentsClose CommentsPermalink





`(E) implementing manufacturing processes and production strategies for utilization.';CommentsClose CommentsPermalink





(2) by amending paragraph (2) to read as follows:CommentsClose CommentsPermalink





`(2) ASSISTANCE PROVIDERS-CommentsClose CommentsPermalink





`(A) VENDOR SELECTION- Each agency may select a vendor to assist small business concerns to meet the goals listed in paragraph (1) for a term not to exceed 3 years. Such selection shall be competitive and shall utilize merit-based criteria.CommentsClose CommentsPermalink





`(B) INTERAGENCY COLLABORATION- In addition, each agency may enter into a collaborative agreement with the technical extension or assistance programs of other Federal agencies in order to provide the assistance described in paragraph (1).'; andCommentsClose CommentsPermalink





(3) in paragraph (3)--CommentsClose CommentsPermalink





(A) in subparagraph (A), by striking `$4,000' and inserting `$5,000'; andCommentsClose CommentsPermalink





(B) by amending subparagraph (B) to read as follows:CommentsClose CommentsPermalink





`(B) SECOND PHASE- Each agency referred to in paragraph (1) may provide directly, or authorize any second phase SBIR award recipient to purchase with funds available from their SBIR awards, services described in paragraph (1), in an amount equal to not more than $8,000 per year, per award.'.CommentsClose CommentsPermalink

TITLE V--IMPLEMENTATION

SEC. 501. CONFORMING AMENDMENTS TO THE SBIR AND STTR POLICY DIRECTIVES.

Not later than 180 days after the date of enactment of this Act, the Administrator of the Small Business Administration shall promulgate amendments to the SBIR and the STTR Policy Directives to conform such directives to this Act and the amendments made by this Act.CommentsClose CommentsPermalink

SEC. 502. NATIONAL RESEARCH COUNCIL SBIR STUDY.

Section 108(d) of the Small Business Reauthorization Act of 2000 is amended--CommentsClose CommentsPermalink





(1) by striking `of the Senate' and all that follows through `not later than 3' and inserting `of the Senate, not later than 3'; andCommentsClose CommentsPermalink





(2) by striking `; and' and all that follows through `update of such report'.CommentsClose CommentsPermalink