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S 1233 ISRSCommentsClose CommentsPermalink

111th CONGRESSCommentsClose CommentsPermalink

1st SessionCommentsClose CommentsPermalink

S. 1233CommentsClose CommentsPermalink

To reauthorize and improve the SBIR and STTR programs, and for other purposes.CommentsClose CommentsPermalink

IN THE SENATE OF THE UNITED STATESCommentsClose CommentsPermalink

June 10, 2009CommentsClose CommentsPermalink

Ms. LANDRIEU (for herself and, Ms. SNOWE, Mrs. SHAHEEN, Mr. PRYOR, Mr. KERRY, Mr. CARDIN, and Mr. BROWN) introduced the following bill; which was read twice and referred to the Committee on Small Business and EntrepreneurshipCommentsClose CommentsPermalink

A BILLCommentsClose CommentsPermalink

To reauthorize and improve the SBIR and STTR programs, 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.

This Act may be cited as the ‘SBIR/STTR Reauthorization Act of 2009’. CommentsClose CommentsPermalink

SEC. 2. TABLE OF CONTENTS.

The table of contents for this Act is as follows: CommentsClose CommentsPermalink





Sec. 1. Short title. CommentsClose CommentsPermalink





Sec. 2. Table of contents. CommentsClose CommentsPermalink





Sec. 3. Definitions. CommentsClose CommentsPermalink

TITLE I--REAUTHORIZATION OF THE SBIR AND STTR PROGRAMS

Sec. 101. Extension of termination dates. CommentsClose CommentsPermalink





Sec. 102. Status of the Office of Technology. CommentsClose CommentsPermalink





Sec. 103. SBIR allocation increase. CommentsClose CommentsPermalink





Sec. 104. STTR allocation increase. CommentsClose CommentsPermalink





Sec. 105. SBIR and STTR award levels. CommentsClose CommentsPermalink





Sec. 106. Agency and program collaboration. CommentsClose CommentsPermalink





Sec. 107. Elimination of Phase II invitations. CommentsClose CommentsPermalink





Sec. 108. Majority-venture investments in SBIR firms. CommentsClose CommentsPermalink





Sec. 109. SBIR and STTR special acquisition preference. CommentsClose CommentsPermalink





Sec. 110. Collaborating with Federal laboratories and research and development centers. CommentsClose CommentsPermalink





Sec. 111. Notice requirement. CommentsClose CommentsPermalink

TITLE II--OUTREACH AND COMMERCIALIZATION INITIATIVES

Sec. 201. Rural and State outreach. CommentsClose CommentsPermalink





Sec. 202. SBIR-STEM Workforce Development Grant Pilot Program. CommentsClose CommentsPermalink





Sec. 203. Technical assistance for awardees. CommentsClose CommentsPermalink





Sec. 204. Commercialization pilot program at Department of Defense. CommentsClose CommentsPermalink





Sec. 205. Commercialization Pilot Program for civilian agencies. CommentsClose CommentsPermalink





Sec. 206. Nanotechnology initiative. CommentsClose CommentsPermalink





Sec. 207. Accelerating cures. CommentsClose CommentsPermalink

TITLE III--OVERSIGHT AND EVALUATION

Sec. 301. Streamlining annual evaluation requirements. CommentsClose CommentsPermalink





Sec. 302. Data collection from agencies for SBIR. CommentsClose CommentsPermalink





Sec. 303. Data collection from agencies for STTR. CommentsClose CommentsPermalink





Sec. 304. Public database. CommentsClose CommentsPermalink





Sec. 305. Government database. CommentsClose CommentsPermalink





Sec. 306. Accuracy in funding base calculations. CommentsClose CommentsPermalink





Sec. 307. Continued evaluation by the National Academy of Sciences. CommentsClose CommentsPermalink





Sec. 308. Technology insertion reporting requirements. CommentsClose CommentsPermalink





Sec. 309. Intellectual property protections. CommentsClose CommentsPermalink

TITLE IV--POLICY DIRECTIVES

Sec. 401. Conforming amendments to the SBIR and the STTR Policy Directives. CommentsClose CommentsPermalink

SEC. 3. DEFINITIONS.

In this Act-- CommentsClose CommentsPermalink





(1) the terms ‘Administration’ and ‘Administrator’ mean the Small Business Administration and the Administrator thereof, respectively; CommentsClose CommentsPermalink





(2) the terms ‘extramural budget’, ‘Federal agency’, ‘Small Business Innovation Research Program’, ‘SBIR’, ‘Small Business Technology Transfer Program’, and ‘STTR’ have the meanings given such terms in section 9 of the Small Business Act (15 U.S.C. 638); and CommentsClose CommentsPermalink





(3) the term ‘small business concern’ has the same meaning as under section 3 of the Small Business Act (15 U.S.C. 632). CommentsClose CommentsPermalink

TITLE I--REAUTHORIZATION OF THE SBIR AND STTR PROGRAMS CommentsClose CommentsPermalink

SEC. 101. EXTENSION OF TERMINATION DATES.

(a) SBIR- Section 9(m) of the Small Business Act (15 U.S.C. 638(m)) is amended by striking ‘2008’ and inserting ‘2023’. CommentsClose CommentsPermalink





(b) STTR- 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 ‘2023’. CommentsClose CommentsPermalink

SEC. 102. STATUS OF THE OFFICE OF TECHNOLOGY.

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





(1) in paragraph (7), by striking ‘and’ at the end; CommentsClose CommentsPermalink





(2) in paragraph (8), by striking the period at the end and inserting ‘; and’; CommentsClose CommentsPermalink





(3) by redesignating paragraph (8) as paragraph (9); and CommentsClose CommentsPermalink





(4) by adding at the end the following: CommentsClose CommentsPermalink





‘(10) to maintain an Office of Technology to carry out the responsibilities of the Administration under this section, which shall be-- CommentsClose CommentsPermalink





‘(A) headed by the Assistant Administrator for Technology, who shall report directly to the Administrator; and CommentsClose CommentsPermalink





‘(B) independent from the Office of Government Contracting of the Administration and sufficiently staffed and funded to comply with the oversight, reporting, and public database responsibilities assigned to the Office of Technology by the Administrator.’. CommentsClose CommentsPermalink

SEC. 103. SBIR ALLOCATION INCREASE.

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





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





(A) in the matter preceding subparagraph (A), by striking ‘Each’ and inserting ‘Except as provided in paragraph (2)(C), each’; CommentsClose CommentsPermalink





(B) in subparagraph (B), by striking ‘and’ at the end; and CommentsClose CommentsPermalink





(C) by striking subparagraph (C) and inserting the following: CommentsClose CommentsPermalink





‘(C) not less than 2.5 percent of such budget in each of fiscal years 2009 and 2010; CommentsClose CommentsPermalink





‘(D) not less than 2.6 percent of such budget in fiscal year 2011; CommentsClose CommentsPermalink





‘(E) not less than 2.7 percent of such budget in fiscal year 2012; CommentsClose CommentsPermalink





‘(F) not less than 2.8 percent of such budget in fiscal year 2013; CommentsClose CommentsPermalink





‘(G) not less than 2.9 percent of such budget in fiscal year 2014; CommentsClose CommentsPermalink





‘(H) not less than 3.0 percent of such budget in fiscal year 2015; CommentsClose CommentsPermalink





‘(I) not less than 3.1 percent of such budget in fiscal year 2016; CommentsClose CommentsPermalink





‘(J) not less than 3.2 percent of such budget in fiscal year 2017; CommentsClose CommentsPermalink





‘(K) not less than 3.3 percent of such budget in fiscal year 2018; CommentsClose CommentsPermalink





‘(L) not less than 3.4 percent of such budget in fiscal year 2019; and CommentsClose CommentsPermalink





‘(M) not less than 3.5 percent of such budget in fiscal year 2020 and each fiscal year thereafter,’; and CommentsClose CommentsPermalink





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





(A) by redesignating subparagraphs (A) and (B) as clauses (i) and (ii), respectively, and adjusting the margins accordingly; CommentsClose CommentsPermalink





(B) by striking ‘A Federal agency’ and inserting the following: CommentsClose CommentsPermalink





‘(A) IN GENERAL- A Federal agency’; and CommentsClose CommentsPermalink





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





‘(B) DEPARTMENT OF DEFENSE AND DEPARTMENT OF ENERGY- For the Department of Defense and the Department of Energy, to the greatest extent practicable, the percentage of the extramural budget in excess of 2.5 percent required to be expended with small business concerns under subparagraphs (D) through (M) of paragraph (1)-- CommentsClose CommentsPermalink





‘(i) may not be used for new Phase I or Phase II awards; and CommentsClose CommentsPermalink





‘(ii) shall be used for activities that further the readiness levels of technologies developed under Phase II awards, including conducting testing and evaluation to promote the transition of such technologies into commercial or defense products, or systems furthering the mission needs of the Department of Defense or the Department of Energy, as the case may be.‘(C) DEPARTMENT OF HEALTH AND HUMAN SERVICES- Subparagraphs (D) through (M) of paragraph (1) shall not apply to the Department of Health and Human Services. For fiscal year 2009, and each fiscal year thereafter, the Department of Health and Human Services shall expend with small business concerns not less than 2.5 percent of the extramural budget for research or research and development of the Department of Health and Human Services.’. CommentsClose CommentsPermalink

SEC. 104. STTR ALLOCATION 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 ‘thereafter.’ and inserting ‘through fiscal year 2010;’; and CommentsClose CommentsPermalink





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





‘(iii) 0.4 percent for fiscal years 2011 and 2012; CommentsClose CommentsPermalink





‘(iv) 0.5 percent for fiscal years 2013 and 2014; and CommentsClose CommentsPermalink





‘(v) 0.6 percent for fiscal year 2015 and each fiscal year thereafter.’. CommentsClose CommentsPermalink

SEC. 105. 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 ‘$150,000’; and CommentsClose CommentsPermalink





(2) by striking ‘$750,000’ and inserting ‘$1,000,000’. 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 ‘$150,000’; and CommentsClose CommentsPermalink





(2) by striking ‘$750,000’ and inserting ‘$1,000,000’. CommentsClose CommentsPermalink





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





(1) in subsection (j)(2)(D)-- CommentsClose CommentsPermalink





(A) by striking ‘5 years’ and inserting ‘3 years’; and CommentsClose CommentsPermalink





(B) by striking ‘and programmatic considerations’; and CommentsClose CommentsPermalink





(2) in subsection (p)(2)(B)(ix) by striking ‘greater or lesser amounts to be awarded at the discretion of the awarding agency,’ and inserting ‘an adjustment for inflation of such amounts once every 3 years,’. 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





‘(aa) Limitation on Certain Awards- CommentsClose CommentsPermalink





‘(1) LIMITATION- No Federal agency may issue an award under the SBIR program or the STTR program if the size of the award exceeds the award guidelines established under this section by more than 50 percent. CommentsClose CommentsPermalink





‘(2) MAINTAINANCE OF INFORMATION- Participating agencies shall maintain information on awards exceeding the guidelines established under this section, including-- CommentsClose CommentsPermalink





‘(A) the amount of each award; CommentsClose CommentsPermalink





‘(B) a justification for exceeding the award amount; CommentsClose CommentsPermalink





‘(C) the identity and location of each award recipient; and CommentsClose CommentsPermalink





‘(D) whether a recipient has received any venture capital investment and, if so, whether the recipient is majority-owned and controlled by multiple venture capital companies. CommentsClose CommentsPermalink





‘(3) REPORTS- The Administrator shall include the information described in paragraph (2) in the annual report of the Administrator to Congress. CommentsClose CommentsPermalink





‘(4) RULE OF CONSTRUCTION- Nothing in this subsection shall be construed to prevent a Federal agency from supplementing an award under the SBIR program or the STTR program using funds of the Federal agency that are not part of the SBIR program or the STTR program of the Federal agency.’. CommentsClose CommentsPermalink

SEC. 106. AGENCY AND PROGRAM COLLABORATION.

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





‘(bb) Subsequent Phases- CommentsClose CommentsPermalink





‘(1) AGENCY COLLABORATION- A small business concern that 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 or the relevant component of the Federal agency makes a written determination that the topics of the relevant awards are the same and both agencies report the awards to the Administrator for inclusion in the public database under subsection (k). CommentsClose CommentsPermalink





‘(2) SBIR AND STTR COLLABORATION- A small business concern which received an award under this section under the SBIR program or the STTR program may receive an award under this section for a subsequent phase in either the SBIR program or the STTR program and the participating agency or agencies shall report the awards to the Administrator for inclusion in the public database under subsection (k).’. CommentsClose CommentsPermalink

SEC. 107. ELIMINATION OF PHASE II INVITATIONS.

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





(1) in paragraph (4)(B), by striking ‘to further’ and inserting: ‘which shall not include any invitation, pre-screening, pre-selection, or down-selection process for eligibility for the second phase, that will further’; and CommentsClose CommentsPermalink





(2) in paragraph (6)(B), by striking ‘to further develop proposed ideas to’ and inserting ‘which shall not include any invitation, pre-screening, pre-selection, or down-selection process for eligibility for the second phase, that will further develop proposals that’. CommentsClose CommentsPermalink





(b) Technical and Conforming Amendments- Section 9 of tThe Small Business Act (15 U.S.C. 638) is amended-- CommentsClose CommentsPermalink





(1) in section 9-- CommentsClose CommentsPermalink





(A) in subsection (e)-- CommentsClose CommentsPermalink





(i) in paragraph (8), by striking ‘and’ at the end; CommentsClose CommentsPermalink





(ii) in paragraph (9)-- CommentsClose CommentsPermalink





(I) by striking ‘the second or the third phase’ and inserting ‘Phase II or Phase III’; and CommentsClose CommentsPermalink





(II) by striking the period at the end and inserting a semicolon; and CommentsClose CommentsPermalink





(iii) by adding at the end the following: CommentsClose CommentsPermalink





‘(10) the term ‘Phase I’ means-- CommentsClose CommentsPermalink





‘(A) with respect to the SBIR program, the first phase described in paragraph (4)(A); and CommentsClose CommentsPermalink





‘(B) with respect to the STTR program, the first phase described in paragraph (6)(A); CommentsClose CommentsPermalink





‘(11) the term ‘Phase II’ means-- CommentsClose CommentsPermalink





‘(A) with respect to the SBIR program, the second phase described in paragraph (4)(B); and CommentsClose CommentsPermalink





‘(B) with respect to the STTR program, the second phase described in paragraph (6)(B); and CommentsClose CommentsPermalink





‘(12) the term ‘Phase III’ means-- CommentsClose CommentsPermalink





‘(A) with respect to the SBIR program, the third phase described in paragraph (4)(C); and CommentsClose CommentsPermalink





‘(B) with respect to the STTR program, the third phase described in paragraph (6)(C).’; CommentsClose CommentsPermalink





(B) in subsection (j)-- CommentsClose CommentsPermalink





(i) in paragraph (1)(B), by striking ‘phase two’ and inserting ‘Phase II’; CommentsClose CommentsPermalink





(ii) in paragraph (2)-- CommentsClose CommentsPermalink





(I) in subparagraph (B)-- CommentsClose CommentsPermalink

(aa) by striking ‘the third phase’ each place it appears and inserting ‘Phase III’; and CommentsClose CommentsPermalink

(bb) by striking ‘the second phase’ and inserting ‘Phase II’; CommentsClose CommentsPermalink

(II) in subparagraph (D)-- CommentsClose CommentsPermalink

(aa) by striking ‘the first phase’ and inserting ‘Phase I’; and CommentsClose CommentsPermalink

(bb) by striking ‘the second phase’ and inserting ‘Phase II’; CommentsClose CommentsPermalink

(III) in subparagraph (F), by striking ‘the third phase’ and inserting ‘Phase III’; CommentsClose CommentsPermalink





(IV) in subparagraph (G)-- CommentsClose CommentsPermalink

(aa) by striking ‘the first phase’ and inserting ‘Phase I’; and CommentsClose CommentsPermalink

(bb) by striking ‘the second phase’ and inserting ‘Phase II’; and CommentsClose CommentsPermalink

(V) in subparagraph (H)-- CommentsClose CommentsPermalink

(aa) by striking ‘the first phase’ and inserting ‘Phase I’; CommentsClose CommentsPermalink

(bb) by striking ‘second phase’ each place it appears and inserting ‘Phase II’; and CommentsClose CommentsPermalink

(cc) by striking ‘third phase’ and inserting ‘Phase III’; and CommentsClose CommentsPermalink

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





(I) in subparagraph (A)-- CommentsClose CommentsPermalink

(aa) by striking ‘the first phase (as described in subsection (e)(4)(A))’ and inserting ‘Phase I’; CommentsClose CommentsPermalink

(bb) by striking ‘the second phase (as described in subsection (e)(4)(B))’ and inserting ‘Phase II’; and CommentsClose CommentsPermalink

(cc) by striking ‘the third phase (as described in subsection (e)(4)(C))’ and inserting ‘Phase III’; and CommentsClose CommentsPermalink

(II) in subparagraph (B), by striking ‘second phase’ and inserting ‘Phase II’; CommentsClose CommentsPermalink





(C) in subsection (k)-- CommentsClose CommentsPermalink





(i) by striking ‘first phase’ each place it appears and inserting ‘Phase I’; and CommentsClose CommentsPermalink





(ii) by striking ‘second phase’ each place it appears and inserting ‘Phase II’; CommentsClose CommentsPermalink





(D) in subsection (l)(2)-- CommentsClose CommentsPermalink





(i) by striking ‘the first phase’ and inserting ‘Phase I’; and CommentsClose CommentsPermalink





(ii) by striking ‘the second phase’ and inserting ‘Phase II’; CommentsClose CommentsPermalink





(E) in subsection (o)(13)-- CommentsClose CommentsPermalink





(i) in subparagraph (B), by striking ‘second phase’ and inserting ‘Phase II’; and CommentsClose CommentsPermalink





(ii) in subparagraph (C), by striking ‘third phase’ and inserting ‘Phase III’; CommentsClose CommentsPermalink





(F) in subsection (p)-- CommentsClose CommentsPermalink





(i) in paragraph (2)(B)-- CommentsClose CommentsPermalink





(I) in clause (vi)-- CommentsClose CommentsPermalink

(aa) by striking ‘the second phase’ and inserting ‘Phase II’; and CommentsClose CommentsPermalink

(bb) by striking ‘the third phase’ and inserting ‘Phase III’; and CommentsClose CommentsPermalink

(II) in clause (ix)-- CommentsClose CommentsPermalink

(aa) by striking ‘the first phase’ and inserting ‘Phase I’; and CommentsClose CommentsPermalink

(bb) by striking ‘the second phase’ and inserting ‘Phase II’; and CommentsClose CommentsPermalink

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





(I) by striking ‘the first phase (as described in subsection (e)(6)(A))’ and inserting ‘Phase I’; CommentsClose CommentsPermalink





(II) by striking ‘the second phase (as described in subsection (e)(6)(B))’ and inserting ‘Phase II’; and CommentsClose CommentsPermalink





(III) by striking ‘the third phase (as described in subsection (e)(6)(A))’ and inserting ‘Phase III’; CommentsClose CommentsPermalink





(G) in subsection (q)(3)-- CommentsClose CommentsPermalink





(i) in subparagraph (A)-- CommentsClose CommentsPermalink





(I) in the subparagraph heading, by striking ‘FIRST PHASE’ and inserting ‘PHASE I’; and CommentsClose CommentsPermalink





(II) by striking ‘first phase’ and inserting ‘Phase I’; and CommentsClose CommentsPermalink





(ii) in subparagraph (B)-- CommentsClose CommentsPermalink





(I) in the subparagraph heading, by striking ‘SECOND PHASE’ and inserting ‘PHASE II’; and CommentsClose CommentsPermalink





(II) by striking ‘second phase’ and inserting ‘Phase II’; CommentsClose CommentsPermalink





(H) in subsection (r)-- CommentsClose CommentsPermalink





(i) in the subsection heading, by striking ‘Third Phase’ and inserting ‘Phase III’; CommentsClose CommentsPermalink





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





(I) in the first sentence-- CommentsClose CommentsPermalink

(aa) by striking ‘for the second phase’ and inserting ‘for Phase II’; CommentsClose CommentsPermalink

(bb) by striking ‘third phase’ and inserting ‘Phase III’; and CommentsClose CommentsPermalink

(cc) by striking ‘second phase period’ and inserting ‘Phase II period’; and CommentsClose CommentsPermalink

(II) in the second sentence-- CommentsClose CommentsPermalink

(aa) by striking ‘second phase’ and inserting ‘Phase II’; and CommentsClose CommentsPermalink

(bb) by striking ‘third phase’ and inserting ‘Phase III’; and CommentsClose CommentsPermalink

(iii) in paragraph (2), by striking ‘third phase’ and inserting ‘Phase III’; and CommentsClose CommentsPermalink





(I) in subsection (u)(2)(B), by striking ‘the first phase’ and inserting ‘Phase I’; CommentsClose CommentsPermalink





(2) in section 34-- CommentsClose CommentsPermalink





(A) in subsection (c)(2)(B)(ii), by striking ‘first phase and second phase SBIR awards’ and inserting ‘Phase I and Phase II SBIR awards (as defined in section 9(e))’; and CommentsClose CommentsPermalink





(B) in subsection (e)(2)(A)-- CommentsClose CommentsPermalink





(i) in clause (i), by striking ‘first phase awards’ and all that follows and inserting ‘Phase I awards (as defined in section 9(e));’; and CommentsClose CommentsPermalink





(ii) by striking ‘first phase’ each place it appears and inserting ‘Phase I’; and CommentsClose CommentsPermalink





(3) in section 35(c)(2)(B)(vii), by striking ‘third phase’ and inserting ‘Phase III’. CommentsClose CommentsPermalink

SEC. 108. MAJORITY-VENTURE INVESTMENTS IN SBIR FIRMS.

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





‘(cc) Majority-Vventure Investments in SBIR Firms- CommentsClose CommentsPermalink





‘(1) AUTHORITY AND DETERMINATION- CommentsClose CommentsPermalink





‘(A) IN GENERAL- Upon a written determination provided not later than 30 days in advance to the Administrator and to the Committee on Small Business and Entrepreneurship of the Senate and the Committee on Small Business of the House of Representatives-- CommentsClose CommentsPermalink





‘(i) the head of the SBIR programDirector of the National Institutes of Health may award not more than 18 percent of the SBIR funds of the National Institutes of Health allocated in accordance with this Act, in the first full fiscal year beginning after the date of enactment of this subsection, and each fiscal year thereafter, to small business concerns that are owned in majority part by venture capital companies and that satisfy the qualification requirements under paragraph (2) through competitive, merit-based procedures that are open to all eligible small business concerns; and CommentsClose CommentsPermalink





‘(ii) the head of any other Federal agency participating in the SBIR program may award not more than 8 percent of the SBIR funds of the Federal agency allocated in accordance with this Act, in the first full fiscal year beginning after the date of enactment of this subsection, and each fiscal year thereafter, to small business concerns that are majority owned by venture capital companies and that satisfy the qualification requirements under paragraph (2) through competitive, merit-based procedures that are open to all eligible small business concerns. CommentsClose CommentsPermalink





‘(B) DETERMINATION- A written determination made under subparagraph (A) shall explain how the use of the authority under that subparagraph will induce additional venture capital funding of small business innovations, substantially contribute to the mission of the funding Federal agency, demonstrate a need for public research, and otherwise fulfill the capital needs of small business concerns for additional financing for the SBIR project. CommentsClose CommentsPermalink





‘(2) QUALIFICATION REQUIREMENTS- The Administrator shall establish requirements relating to the affiliation by small business concerns with venture capital companies, which may not exclude a United States small business concern from participation in the program under paragraph (1) on the basis that the small business concern is owned in majority part by, or controlled by, more than 1 United States venture capital company, so long as no single venture capital company owns more than 49 percent of the small business concern. CommentsClose CommentsPermalink





‘(3) REGISTRATION- A small business concern that is majority owned and controlled by multiple venture capital companies and qualified for participation in the program authorized under paragraph (1) shall-- CommentsClose CommentsPermalink





‘(A) register with the Administrator on the date that the small business concern submits an application for an award under the SBIR program; and CommentsClose CommentsPermalink





‘(B) indicate whether the small business concern is registered under subparagraph (A) in any SBIR proposal. CommentsClose CommentsPermalink





‘(4) COMPLIANCE- A Federal agency described in paragraph (1) shall collect data regarding the number and dollar amounts of phase I, phase II, and all other categories of awards under the SBIR program, and the Administrator shall report on the data and the compliance of each such Federal agency with the maximum amounts under paragraph (1) as part of the annual report by the Administration under subsection (b)(7). CommentsClose CommentsPermalink





‘(5) ENFORCEMENT- If a Federal agency awards more than the amount authorized under paragraph (1) for a purpose described in paragraph (1), the amount awarded in excess of the amount authorized under paragraph (1) shall be transferred to the funds for general SBIR programs from the non-SBIR research and development funds of the Federal agency within 60 days of the date on which the Federal agency awarded more than the amount authorized under paragraph (1) for a purpose described in paragraph (1).’. CommentsClose CommentsPermalink





(b) Technical and Conforming Amendment- Section 3 of the Small Business Act (15 U.S.C. 632) is amended by adding at the end the following: CommentsClose CommentsPermalink





‘(t) Venture Capital Company- In this Act, the term ‘venture capital company’ means an entity described in clause (i), (v), or (vi) of section 121.103(b)(5) of title 13, Code of Federal Regulations (or any successor thereto).’. CommentsClose CommentsPermalink





(c) Assistance for Determining Affiliates- Not later than 30 days after the date of enactment of this Act, the Administrator shall post on the website of the Administration (with a direct link displayed on the homepage of the website of the Administration or the SBIR website of the Administration)-- CommentsClose CommentsPermalink





(1) a clear explanation of the SBIR affiliation rules under part 121 of title 13, Code of Federal Regulations; and CommentsClose CommentsPermalink





(2) contact information for officers or employees of the Administration who-- CommentsClose CommentsPermalink





(A) upon request, shall review an issue relating to the rules described in paragraph (1); and CommentsClose CommentsPermalink





(B) shall respond to a request under subparagraph (A) not later than 20 business days after the date on which the request is received. CommentsClose CommentsPermalink

SEC. 109. SBIR AND STTR SPECIAL ACQUISITION PREFERENCE.

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





‘(4) PHASE III AWARDS- To the greatest extent practicable, Federal agencies and Federal prime contractors shall issue Phase III awards relating to technology, including sole source awards, to the SBIR and STTR award recipients that developed the technology.’. CommentsClose CommentsPermalink

SEC. 110. COLLABORATING WITH FEDERAL LABORATORIES AND RESEARCH AND DEVELOPMENT CENTERS.

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





‘(dd) Collaborating With Federal Laboratories and Research and Development Centers- CommentsClose CommentsPermalink





‘(1) AUTHORIZATION- Subject to the limitations under this section, the head of each participating Federal agency may make SBIR and STTR awards to any eligible small business concern that-- CommentsClose CommentsPermalink





‘(A) intends to enter into an agreement with a Federal laboratory or federally funded research and development center for portions of the activities to be performed under that award; or CommentsClose CommentsPermalink





‘(B) has entered into a cooperative research and development agreement (as defined in section 12(d) of the Stevenson-Wydler Technology Innovation Act of 1980 (15 U.S.C. 3710a(d))) with a Federal laboratory. CommentsClose CommentsPermalink





‘(2) PROHIBITION- No Federal agency shall-- CommentsClose CommentsPermalink





‘(A) condition an SBIR or STTR award upon entering into agreement with any Federal laboratory or any federally funded laboratory or research and development center for any portion of the activities to be performed under that award; CommentsClose CommentsPermalink





‘(B) approve an agreement between a small business concern receiving a SBIR or STTR award and a Federal laboratory or federally funded laboratory or research and development center, if the small business concern performs a lesser portion of the activities to be performed under that award than required by this section and by the SBIR Policy Directive and the STTR Policy Directive of the Administrator; or CommentsClose CommentsPermalink





‘(C) approve an agreement that violates any provision, including any data rights protections provision, of this section or the SBIR and the STTR Policy Directives. CommentsClose CommentsPermalink





‘(3) IMPLEMENTATION- Not later than 180 days after the date of enactment of this subsection, the Administrator shall modify the SBIR Policy Directive and the STTR Policy Directive issued under this section to ensure that small business concerns-- CommentsClose CommentsPermalink





‘(A) have the flexibility to use the resources of the Federal laboratories and federally funded research and development centers; and CommentsClose CommentsPermalink





‘(B) are not mandated to enter into agreement with any Federal laboratory or any federally funded laboratory or research and development center as a condition of an award.’. CommentsClose CommentsPermalink

SEC. 111. NOTICE REQUIREMENT.

The head of any Federal agency involved in a case or controversy before any Federal judicial or administrative tribunal concerning the SBIR program or the STTR program shall provide timely notice, as determined by the Administrator, of the case or controversy to the Administrator. CommentsClose CommentsPermalink

TITLE II--OUTREACH AND COMMERCIALIZATION INITIATIVES CommentsClose CommentsPermalink

SEC. 201. RURAL AND STATE OUTREACH.

(a) Outreach- Section 9 of the Small Business Act (15 U.S.C. 638) is amended by inserting after subsection (r) the following: CommentsClose CommentsPermalink





‘(s) Outreach- CommentsClose CommentsPermalink





‘(1) DEFINITION OF ELIGIBLE STATE- In this subsection, the term ‘eligible State’ means a State-- CommentsClose CommentsPermalink





‘(A) for which the total value of contracts awarded to the State under this section during the most recent fiscal year for which data is available was less than $5,000,000; and CommentsClose CommentsPermalink





‘(B) that certifies to the Administrator that the State will, upon receipt of assistance under this subsection, provide matching funds from non-Federal sources in an amount that is not less than 50 percent of the amount provided under this subsection. CommentsClose CommentsPermalink





‘(2) PROGRAM AUTHORITY- Of amounts made available to carry out this section for each of fiscal years 2010 through 2014, the Administrator may expend with eligible States not more than $5,000,000 in each such fiscal year in order to increase the participation of small business concerns located in those States in the programs under this section. CommentsClose CommentsPermalink





‘(3) AMOUNT OF ASSISTANCE- The amount of assistance provided to an eligible State under this subsection in any fiscal year-- CommentsClose CommentsPermalink





‘(A) shall be equal to not more than 50 percent of the total amount of matching funds from non-Federal sources provided by the State; and CommentsClose CommentsPermalink





‘(B) shall not exceed $100,000. CommentsClose CommentsPermalink





‘(4) USE OF ASSISTANCE- Assistance provided to an eligible State under this subsection shall be used by the State, in consultation with State and local departments and agencies, for programs and activities to increase the participation of small business concerns located in the State in the programs under this section, including-- CommentsClose CommentsPermalink





‘(A) the establishment of quantifiable performance goals, including goals relating to-- CommentsClose CommentsPermalink





‘(i) the number of program awards under this section made to small business concerns in the State; and CommentsClose CommentsPermalink





‘(ii) the total amount of Federal research and development contracts awarded to small business concerns in the State; CommentsClose CommentsPermalink





‘(B) the provision of competition outreach support to small business concerns in the State that are involved in research and development; and CommentsClose CommentsPermalink





‘(C) the development and dissemination of educational and promotional information relating to the programs under this section to small business concerns in the State.’. CommentsClose CommentsPermalink





(b) Federal and State Program Extension- Section 34 of the Small Business Act (15 U.S.C. 657d) is amended-- CommentsClose CommentsPermalink





(1) in subsection (h), by striking ‘2001 through 2005’ each place it appears and inserting ‘2010 through 2014’; and CommentsClose CommentsPermalink





(2) in subsection (i), by striking ‘2005’ and inserting ‘2014’. CommentsClose CommentsPermalink





(c) Rural AreaMatching Requirements- Section 34(e)(2) of the Small Business Act (15 U.S.C. 657d(e)(2)) is amended-- CommentsClose CommentsPermalink





(1) in subparagraph (A)-- CommentsClose CommentsPermalink





(A) in clause (i), by striking ‘50 cents’ and inserting ‘35 cents’; and CommentsClose CommentsPermalink





(B) in clause (iii), by striking ‘75 cents’ and inserting ‘50 cents’; CommentsClose CommentsPermalink





(2) in subparagraph (B), by striking ‘50 cents’ and inserting ‘35 cents’; CommentsClose CommentsPermalink





(3) by redesignating subparagraphs (C) and (D) as subparagraphs (D) and (E), respectively; and CommentsClose CommentsPermalink





(24) by inserting after subparagraph (B) the following: CommentsClose CommentsPermalink





‘(C) RURAL AREAS- CommentsClose CommentsPermalink





‘(i) IN GENERAL- Except as provided in clause (ii), the non-Federal share of the cost of the activity carried out using an award or under a cooperative agreement under this section shall be 5035 cents for each Federal dollar that will be directly allocated by a recipient described in paragraph (A) to serve small business concerns located in a rural area. CommentsClose CommentsPermalink





‘(ii) ENHANCED RURAL AWARDS- For a recipient located in a rural area that is located in a State described in subparagraph (A)(i), the non-Federal share of the cost of the activity carried out using an award or under a cooperative agreement under this section shall be 315 cents for each Federal dollar that will be directly allocated by a recipient described in paragraph (A) to serve small business concerns located in the rural area. CommentsClose CommentsPermalink





‘(iii) DEFINITION OF RURAL AREA- In this subparagraph, the term ‘rural area’ has the meaning given that term in section 1393(a)(2)) of the Internal Revenue Code of 1986.’. CommentsClose CommentsPermalink

SEC. 202. SBIR-STEM WORKFORCE DEVELOPMENT GRANT PILOT PROGRAM.

(a) Pilot Program Established- From amounts made available to carry out this section, the Administrator shall establish a SBIR-STEM Workforce Development Grant Pilot Program to encourage the business community to provide workforce development opportunities for college students, in the fields of science, technology, engineering, and math (in this section referred to as ‘STEM college students’), by providing a SBIR bonus grant. CommentsClose CommentsPermalink





(b) Eligible Entities Defined- In this section the term ‘eligible entity’ means a grantee receiving a grant under the SBIR Program on the date of the bonus grant under subsection (a) that provides an internship program for STEM college students. CommentsClose CommentsPermalink





(c) Awards- An eligible entity shall receive a bonus grant equal to 10 percent of either a Phase I or Phase II grant, as applicable, with a total award maximum of not more than $10,000 per year. CommentsClose CommentsPermalink





(d) Evaluation- Following the fourth year of funding under this section, the Administrator shall submit a report to Congress on the results of the SBIR-STEM Workforce Development Grant Pilot Program. CommentsClose CommentsPermalink





(e) Authorization of Appropriations- There are authorized to be appropriated to carry out this section-- CommentsClose CommentsPermalink





(1) $1,000,000 for fiscal year 2011; CommentsClose CommentsPermalink





(2) $1,000,000 for fiscal year 2012; CommentsClose CommentsPermalink





(3) $1,000,000 for fiscal year 2013; CommentsClose CommentsPermalink





(4) $1,000,000 for fiscal year 2014; and CommentsClose CommentsPermalink





(5) $1,000,000 for fiscal year 2015. CommentsClose CommentsPermalink

SEC. 203. TECHNICAL ASSISTANCE FOR AWARDEES.

Section 9(q)(3) of the Small Business Act (15 U.S.C. 638(q)(3)) is amended-- CommentsClose CommentsPermalink





(1) in subparagraph (A), by striking ‘$4,000’ and inserting ‘$5,000’; CommentsClose CommentsPermalink





(2) in subparagraph (B)-- CommentsClose CommentsPermalink





(A) by striking ‘, with funds available from their SBIR awards,’; and CommentsClose CommentsPermalink





(B) by striking ‘$4,000 per year’ and inserting ‘$5,000 per year, which shall be in addition to the amount of the recipient’s award’.; and CommentsClose CommentsPermalink





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





‘(C) FLEXIBILITY- In carrying out subparagraphs (A) and (B), each Federal agency shall provide the allowable amounts to a recipient that meets the eligibility requirements under the applicable subparagraph, if the recipient requests to seek technical assistance from an individual or entity other than the vendor selected under paragraph (2) by the Federal agency. CommentsClose CommentsPermalink





‘(D) LIMITATION- A Federal agency may not-- CommentsClose CommentsPermalink





‘(i) use the amounts authorized under subparagraph (A) or (B) unless the vendor selected under paragraph (2) provides the technical assistance to the recipient; or CommentsClose CommentsPermalink





‘(ii) enter a contract with a vendor under paragraph (2) under which the amount provided for technical assistance is based on total number of Phase I or Phase II awards.’. CommentsClose CommentsPermalink

SEC. 204. COMMERCIALIZATION PILOT PROGRAM AT DEPARTMENT OF DEFENSE.

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





(1) in the subsection heading, by striking ‘Pilot’; CommentsClose CommentsPermalink





(2) by striking ‘Pilot’ each place that term appears; CommentsClose CommentsPermalink





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





(A) by inserting ‘or Small Business Technology Transfer Program’ after ‘Small Business Innovation Research Program’; and CommentsClose CommentsPermalink





(B) by adding at the end the following: ‘The authority to create and administer a Commercialization Pilot Program under this subsection may not be construed to eliminate or replace any other SBIR program or STTR program that enhances the insertion or transition of SBIR or STTR technologies, including any such program in effect on the date of enactment of the National Defense Authorization Act for Fiscal Year 2006 (Public Law 109-163; 119 Stat. 3136).’; CommentsClose CommentsPermalink





(24) in paragraph (2), by inserting ‘or Small Business Technology Transfer Program’ after ‘Small Business Innovation Research Program’; CommentsClose CommentsPermalink





(3) by redesignating paragraphs (5) and (6) as paragraphs (7) and (8), respectively;(45) in paragraph (4), by inserting ‘or Small Business Technology Transfer Program’ after ‘Small Business Innovation Research Program’; CommentsClose CommentsPermalink





(6) by striking paragraph (6); CommentsClose CommentsPermalink





(7) by redesignating paragraph (5) as paragraph (7); and CommentsClose CommentsPermalink





(8) by inserting after paragraph (4) the following: CommentsClose CommentsPermalink





‘(5) INSERTION INCENTIVES- For any contract with a value of not less than $100,000,000, the Secretary of Defense is authorized to-- CommentsClose CommentsPermalink





‘(A) establish goals for the transition of Phase III technologies in subcontracting plans; and CommentsClose CommentsPermalink





‘(B) require a prime contractor on such a contract to report the number and dollar amount of contracts entered into by that prime contractor for Phase III SBIR or STTR projects. CommentsClose CommentsPermalink





‘(6) GOAL FOR SBIR AND STTR TECHNOLOGY INSERTION- The Secretary of Defense shall-- CommentsClose CommentsPermalink





‘(A) set a goal to increase the number of Phase II SBIR contracts and the number of Phase II STTR contracts awarded by that Secretary that lead to technology transition into programs of record or fielded systems; CommentsClose CommentsPermalink





‘(B) use incentives in effect on the date of enactment of the SBIR/STTR Reauthorization Act of 2009, or create new incentives, to encourage agency program managers and prime contractors to meet the goal under subparagraph (A); and CommentsClose CommentsPermalink





‘(C) include in the annual report to Congress the percentage of contracts described in subparagraph (A) awarded by that Secretary, and information on the ongoing status of projects funded through the Commercialization Pilot Program and efforts to transition these technologies into programs of record or fielded systems.’; and(5) in paragraph (8), as so redesignated, by striking ‘fiscal year 2009’ and inserting ‘fiscal year 2014’. CommentsClose CommentsPermalink

SEC. 205. COMMERCIALIZATION PILOT PROGRAM FOR CIVILIAN AGENCIES.

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





‘(ee) Pilot Program- CommentsClose CommentsPermalink





‘(1) AUTHORIZATION- The head of each covered Federal agency may set aside not more than 10 percent of the SBIR and STTR funds of such agency for further technology development, testing, and evaluation of SBIR and STTR Phase II technologies. CommentsClose CommentsPermalink





‘(2) APPLICATION BY FEDERAL AGENCY- CommentsClose CommentsPermalink





‘(A) IN GENERAL- A covered Federal agency may not establish a pilot program unless such agency makes a written application to the Administrator, not later than 90 days before to the first day of the fiscal year in which the pilot program is to be established, that describes a compelling reason that additional investment in SBIR or STTR technologies is necessary, including unusually high regulatory, systems integration, or other costs relating to development or manufacturing of identifiable, highly promising small business technologies or a class of such technologies expected to substantially advance the mission of the agency. CommentsClose CommentsPermalink





‘(B) DETERMINATION- The Administrator shall-- CommentsClose CommentsPermalink





‘(i) make a determination regarding an application submitted under subparagraph (A) not later than 30 days before the first day of the fiscal year for which the application is submitted; CommentsClose CommentsPermalink





‘(ii) publish the determination in the Federal Register; and CommentsClose CommentsPermalink





‘(iii) make a copy of the determination and any related materials available to the Committee on Small Business and Entrepreneurship of the Senate and the Committee on Small Business of the House of Representatives. CommentsClose CommentsPermalink





‘(3) MAXIMUM AMOUNT OF AWARD- The head of a Federal agency may not make an award under a pilot program in excess of 23 times the dollar amounts generally established for Phase II awards under subsection (j)(2)(D) or (p)(2)(B)(ix). CommentsClose CommentsPermalink





‘(4) MATCHING- The head of a Federal agency may not make an award under a pilot program for SBIR or STTR Phase II technology that will be acquired by the Federal Government unless new private, Federal non-SBIR, or Federal non-STTR funding whichthat at least matches the award from the Federal agency is provided for the SBIR or STTR Phase II technology. CommentsClose CommentsPermalink





‘(5) ELIGIBILITY FOR AWARD- The head of a Federal agency may make an award under a pilot program to any applicant that is eligible to receive a Phase III award related to technology developed in Phase II of an SBIR or STTR project. CommentsClose CommentsPermalink





‘(6) REGISTRATION- Any applicant that receives an award under a pilot program shall register with the Administrator in a registry that is available to the public. CommentsClose CommentsPermalink





‘(7) TERMINATION- The authority to establish a pilot program under this section expires at the end of fiscal year 2014. CommentsClose CommentsPermalink





‘(8) DEFINITIONS- In this section-- CommentsClose CommentsPermalink





‘(A) the term ‘covered Federal agency’-- CommentsClose CommentsPermalink





‘(i) means a Federal agency participating in the SBIR program or the STTR program; and CommentsClose CommentsPermalink





‘(ii) does not include the Department of Defense; and CommentsClose CommentsPermalink





‘(B) the term ‘pilot program’ means the program established under paragraph (1).’. CommentsClose CommentsPermalink

SEC. 206. NANOTECHNOLOGY INITIATIVE.

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





‘(ff) Nanotechnology Initiative- Each Federal agency participating in the SBIR or STTR program shall encourage the submission of applications for support of nanotechnology related projects to such program.’. CommentsClose CommentsPermalink





(b) Sunset- Effective October 1, 2014, subsection (ff) of the Small Business Act, as added by subsection (a) of this section, is repealed. CommentsClose CommentsPermalink

SEC. 207. ACCELERATING CURES.

The Small Business Act (15 U.S.C. 631 et seq.) is amended-- CommentsClose CommentsPermalink





(1) by redesignating section 44 as section 45; and CommentsClose CommentsPermalink





(2) by inserting after section 43 the following: CommentsClose CommentsPermalink

‘SEC. 44. SMALL BUSINESS INNOVATION RESEARCH PROGRAM.

‘(a) NIH Cures Pilot- CommentsClose CommentsPermalink





‘(1) ESTABLISHMENT- An independent advisory board shall be established at the National Academy of Sciences (in this section referred to as the ‘advisory board’) to conduct periodic evaluations of the SBIR program (as that term is defined in section 9) of each of the National Institutes of Health (referred to in this section as the ‘NIH’) institutes and centers for the purpose of improving the management of the SBIR program through data-driven assessment. CommentsClose CommentsPermalink





‘(2) MEMBERSHIP- CommentsClose CommentsPermalink





‘(A) IN GENERAL- The advisory board shall consist of-- CommentsClose CommentsPermalink





‘(i) the Director of the NIH; CommentsClose CommentsPermalink





‘(ii) the Director of the SBIR program of the NIH; CommentsClose CommentsPermalink





‘(iii) senior NIH agency managers, selected by the Director of NIH; CommentsClose CommentsPermalink





‘(iv) industry experts, selected by the Council of the National Academy of Sciences in consultation with the Associate Administrator for Technology of the Administration and the Director of the Office of Science and Technology Policy; and CommentsClose CommentsPermalink





‘(v) owners or operators of small business concerns that have received an award under the SBIR program of the NIH, selected by the Associate Administrator for Technology of the Administration. CommentsClose CommentsPermalink





‘(B) NUMBER OF MEMBERS- The total number of members selected under clauses (iii), (iv), and (v) of subparagraph (A) shall not exceed 10. CommentsClose CommentsPermalink





‘(C) EQUAL REPRESENTATION- The total number of members of the advisory board selected under clauses (i), (ii), (iii), and (iv) of subparagraph (A) shall be equal to the number of members of the advisory board selected under subparagraph (A)(v). CommentsClose CommentsPermalink





‘(b) Addressing Data Gaps- In order to enhance the evidence-base guiding SBIR program decisions and changes, the Director of the SBIR program of the NIH shall address the gaps and deficiencies in the data collection concerns identified in the 2007 report of the National Academies of Science entitled ‘An Assessment of the Small Business Innovation Research Program at the NIH’. CommentsClose CommentsPermalink





‘(c) Pilot Program- CommentsClose CommentsPermalink





‘(1) IN GENERAL- The Director of the SBIR program of the NIH may initiate a pilot program, under a formal mechanism for designing, implementing, and evaluating pilot programs, to spur innovation and to test new strategies that may enhance the development of cures and therapies. CommentsClose CommentsPermalink





‘(2) CONSIDERATIONS- The Director of the SBIR program of the NIH may consider conducting a pilot program to include individuals with successful SBIR program experience in study sections, hiring individuals with small business development experience for staff positions, separating the commercial and scientific review processes, and examining the impact of the trend toward larger awards on the overall program. CommentsClose CommentsPermalink





‘(d) Report to Congress- The Director of the NIH shall submit an annual report to Congress and the advisory board on the activities of the SBIR program of the NIH under this section. CommentsClose CommentsPermalink





‘(e) SBIR Grants and Contracts- CommentsClose CommentsPermalink





‘(1) IN GENERAL- In awarding grants and contracts under the SBIR program of the NIH each SBIR program manager shall place an emphasis on applications that identify products and services that may enhance the development of cures and therapies. CommentsClose CommentsPermalink





‘(2) EXAMINATION OF COMMERCIALIZATION AND OTHER METRICS- The advisory board shall evaluate the implementation of the requirement under paragraph (1) by examining increased commercialization and other metrics, to be determined and collected by the SBIR program of the NIH. CommentsClose CommentsPermalink





‘(3) PHASE I AND II- To the greatest extent practicable, the Director of the SBIR program of the NIH shall reduce the time period between Phase I and Phase II funding of grants and contracts under the SBIR program of the NIH to 6 months. CommentsClose CommentsPermalink





‘(f) Limit- Not more than a total of 1 percent of the extramural budget (as defined in section 9 of the Small Business Act (15 U.S.C. 638)) of the NIH for research or research and development may be used for the pilot program under subsection (c) and to carry out subsection (e). CommentsClose CommentsPermalink





‘(g) Sunset- This section shall cease to be effective on the date that is 5 years after the date of enactment of the SBIR/STTR Reauthorization Act of 2009.’. CommentsClose CommentsPermalink

TITLE III--OVERSIGHT AND EVALUATION CommentsClose CommentsPermalink

SEC. 301. STREAMLINING ANNUAL EVALUATION REQUIREMENTS.

Section 9(b) of the Small Business Act (15 U.S.C. 638(b)), as amended by section 102 of this Act, is amended-- CommentsClose CommentsPermalink





(1) in paragraph (7)-- CommentsClose CommentsPermalink





(A) by striking ‘STTR programs, including the data’ and inserting the following: ‘STTR programs, including-- CommentsClose CommentsPermalink





‘(A) the data’; CommentsClose CommentsPermalink





(B) by striking ‘(g)(10), (o)(9), and (o)(15), the number’ and all that follows through ‘under each of the SBIR and STTR programs, and a description’ and inserting the following: ‘(g)(8) and (o)(9); and CommentsClose CommentsPermalink





‘(B) the number of proposals received from, and the number and total amount of awards to, HUBZone small business concerns and firms with venture capital investment (including those majority owned and controlled by multiple venture capital firms) under each of the SBIR and STTR programs; CommentsClose CommentsPermalink





‘(C) a description of the extent to which each Federal agency is increasing outreach and awards to firms owned and controlled by women and minorities under each of social or economically disadvantaged individuals under each of the SBIR and STTR programs; CommentsClose CommentsPermalink





‘(D) general information about the implementation and compliance with the allocation of funds required under subsection (cc) for firms majority owned and controlled by multiple venture capital firms under each of the SBIR and STTR programs; CommentsClose CommentsPermalink





‘(E) a detailed description of appeals of Phase III awards and notices of noncompliance with the SBIR and the STTR Policy Directives filed by the Administrator with Federal agencies; and CommentsClose CommentsPermalink





‘(F) a description’; and CommentsClose CommentsPermalink





(2) by inserting after paragraph (7) the following: CommentsClose CommentsPermalink





‘(8) to coordinate the implementation of electronic databases at each of the Federal agencies participating in the SBIR program or the STTR program, including the technical ability of the participating agencies to electronically share data;’. CommentsClose CommentsPermalink

SEC. 302. DATA COLLECTION FROM AGENCIES FOR SBIR.

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





(1) by striking paragraph (10); CommentsClose CommentsPermalink





(2) by redesignating paragraphs (8) and (9) as paragraphs (9) and (10), respectively; CommentsClose CommentsPermalink





(3) by inserting after paragraph (7) the following: CommentsClose CommentsPermalink





‘(8) collect annually, and maintain in a common format in accordance with the simplified reporting requirements under subsection (v), such information from awardees as is necessary to assess the SBIR program, including information necessary to maintain the database described in subsection (k), including-- CommentsClose CommentsPermalink





‘(A) whether an awardee-- CommentsClose CommentsPermalink





‘(i) has venture capital or is majority owned and controlled by multiple venture capital firms, and, if so-- CommentsClose CommentsPermalink





‘(I) the amount of venture capital that the awardee has received as of the date of the award; and CommentsClose CommentsPermalink





‘(II) the amount of additional capital that the awardee has invested in the SBIR technology; CommentsClose CommentsPermalink





‘(ii) has an investor that-- CommentsClose CommentsPermalink





‘(I) is an individual who is not a citizen of the United States or a lawful permanent resident of the United States, and if so, the name of any such individual; or CommentsClose CommentsPermalink





‘(II) is a person that is not an individual and is not organized under the laws of a State or the United States, and if so the name of any such person; CommentsClose CommentsPermalink





‘(iii) is owned by a woman or has a woman as a principal investigator; CommentsClose CommentsPermalink





‘(iv) is owned by a socially or economically disadvantaged individual or has a socially or economically disadvantaged individual as a principal investigator; CommentsClose CommentsPermalink





‘(v) received assistance under the FAST program under section 34 or the outreach program under subsection (s); CommentsClose CommentsPermalink





or‘(vi) is a faculty member or a student of an institution of higher education, as that term is defined in section 101 of the Higher Education Act of 1965 (20 U.S.C. 1001); or CommentsClose CommentsPermalink





‘(vii) is located in a State described in subsection (u)(3); and CommentsClose CommentsPermalink





‘(B) a justification statement from the agency, if an awardee receives an award in an amount that is more than the award guidelines under this section;’; and CommentsClose CommentsPermalink





(4) in paragraph (10), as so redesignated, by adding ‘and’ at the end. CommentsClose CommentsPermalink

SEC. 303. DATA COLLECTION FROM AGENCIES FOR STTR.

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





(1) by striking paragraph (9) and inserting the following: CommentsClose CommentsPermalink





‘(9) collect annually, and maintain in a common format in accordance with the simplified reporting requirements under subsection (v), such information from applicants and awardees as is necessary to assess the STTR program outputs and outcomes, including information necessary to maintain the database described in subsection (k), including-- CommentsClose CommentsPermalink





‘(A) whether an applicant or awardee-- CommentsClose CommentsPermalink





‘(i) has venture capital or is majority owned and controlled by multiple venture capital firms, and, if so-- CommentsClose CommentsPermalink





‘(I) the amount of venture capital that the applicant or awardee has received as of the date of the application or award, as applicable; and CommentsClose CommentsPermalink





‘(II) the amount of additional capital that the applicant or awardee has invested in the SBIR technology; CommentsClose CommentsPermalink





‘(ii) has an investor that-- CommentsClose CommentsPermalink





‘(I) is an individual who is not a citizen of the United States or a lawful permanent resident of the United States, and if so, the name of any such individual; or CommentsClose CommentsPermalink





‘(II) is a person that is not an individual and is not organized under the laws of a State or the United States, and if so the name of any such person; CommentsClose CommentsPermalink





‘(iii) is owned by a woman or has a woman as a principal investigator; CommentsClose CommentsPermalink





‘(iv) is owned by a socially or economically disadvantaged individual or has a socially or economically disadvantaged individual as a principal investigator; CommentsClose CommentsPermalink





‘(v) received assistance under the FAST program under section 34 or the outreach program under subsection (s); CommentsClose CommentsPermalink





or‘(vi) is a faculty member or a student of an institution of higher education, as that term is defined in section 101 of the Higher Education Act of 1965 (20 U.S.C. 1001); or CommentsClose CommentsPermalink





‘(vii) is located in a State in which the total value of contracts awarded to small business concerns under all STTR programs is less than the total value of contracts awarded to small business concerns in a majority of other States, as determined by the Administrator in biennial fiscal years, beginning with fiscal year 2008, based on the most recent statistics compiled by the Administrator; and CommentsClose CommentsPermalink





‘(B) if an awardee receives an award in an amount that is more than the award guidelines under this section, a statement from the agency that justifies the award amount;’; CommentsClose CommentsPermalink





(2) in paragraph (14), by adding ‘and’ at the end; CommentsClose CommentsPermalink





(3) by striking paragraph (15); and CommentsClose CommentsPermalink





(4) by redesignating paragraph (16) as paragraph (15). CommentsClose CommentsPermalink

SEC. 304. PUBLIC DATABASE.

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





(1) in subparagraph (D), by striking ‘and’ at the end; CommentsClose CommentsPermalink





(2) in subparagraph (E), by striking the period at the end and inserting ‘; and’; and CommentsClose CommentsPermalink





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





‘(F) for each small business concern that has received a Phase I or Phase II SBIR or STTR award from a Federal agency, whether the small business concern-- CommentsClose CommentsPermalink





‘(i) has venture capital and, if so, whether the small business concern is registered as majority owned and controlled by multiple venture capital companies as required under subsection (cc)(3); CommentsClose CommentsPermalink





‘(ii) is owned by a woman or has a woman as a principal investigator; CommentsClose CommentsPermalink





‘(iii) is owned by a socially or economically disadvantaged individual or has a socially or economically disadvantaged individual as a principal investigator; CommentsClose CommentsPermalink





‘(iv) received assistance under the FAST program under section 34 or the outreach program under subsection (s); or CommentsClose CommentsPermalink





‘(v) is owned by a faculty member or a student of an institution of higher education, as that term is defined in section 101 of the Higher Education Act of 1965 (20 U.S.C. 1001).’. CommentsClose CommentsPermalink

SEC. 305. GOVERNMENT DATABASE.

Section 9(k)(2) of the Small Business Act (15 U.S.C. 638(k)(2)) is amended-- CommentsClose CommentsPermalink





(1) by redesignating subparagraphs (C), (D), and (E) as subparagraphs (D), (E), and (F), respectively; CommentsClose CommentsPermalink





(2) by inserting after subparagraph (B) the following: CommentsClose CommentsPermalink





‘(C) includes, for each awardee-- CommentsClose CommentsPermalink





‘(i) the name, size, location, and any identifying number assigned to the awardee by the Administrator; CommentsClose CommentsPermalink





‘(ii) whether the awardee has venture capital, and, if so-- CommentsClose CommentsPermalink





‘(I) the amount of venture capital as of the date of the award; CommentsClose CommentsPermalink





‘(II) the percentage of ownership of the awardee held by a venture capital firm, including whether the awardee is majority owned and controlled by multiple venture capital firms; and CommentsClose CommentsPermalink





‘(III) the amount of additional capital that the awardee has invested in the SBIR technology, which information shall be collected on an annual basis; CommentsClose CommentsPermalink





‘(iii) the names and locations of any affiliates of the awardee; CommentsClose CommentsPermalink





‘(iv) the number of employees of the awardee; CommentsClose CommentsPermalink





‘(v) the number of employees of the affiliates of the awardee; and CommentsClose CommentsPermalink





‘(vi) the names of, and the percentage of ownership of the awardee held by-- CommentsClose CommentsPermalink





‘(I) any individual who is not a citizen of the United States or a lawful permanent resident of the United States; or CommentsClose CommentsPermalink





‘(II) any person that is not an individual and is not organized under the laws of a State or the United States;’; and CommentsClose CommentsPermalink





(3) in subparagraph (D), as so redesignated-- CommentsClose CommentsPermalink





(A) in clause (ii), by striking ‘and’ at the end; and CommentsClose CommentsPermalink





(B) by adding at the end, the following: CommentsClose CommentsPermalink





‘(iv) whether the applicant was majority owned and controlled by multiple venture capital firms; and CommentsClose CommentsPermalink





‘(v) the number of employees of the applicant;’. CommentsClose CommentsPermalink

SEC. 306. ACCURACY IN FUNDING BASE CALCULATIONS.

(a) In General- Not later than 1 year after the date of enactment of this Act, and every 3 years thereafter, the Comptroller General of the United States shall-- CommentsClose CommentsPermalink





(1) conduct a fiscal and management audit of the SBIR program and the STTR program for the applicable period to-- CommentsClose CommentsPermalink





(A) determine whether Federal agencies comply with the expenditure amount requirements under subsections (f)(1) and (n)(1) of section 9 of the Small Business Act (15 U.S.C. 638), as amended by this Act; CommentsClose CommentsPermalink





(B) assess the extent of compliance with the requirements of section 9(i)(2) of the Small Business Act (15 U.S.C. 638(i)(2)) by Federal agencies participating in the SBIR program or the STTR program and the Administration; CommentsClose CommentsPermalink





(C) assess whether it would be more consistent and effective to base the amount of the allocations under the SBIR program and the STTR program on a percentage of the research and development budget of a Federal agency, rather than the extramural budget of the Federal agency; and CommentsClose CommentsPermalink





(D) determine the portion of the extramural research or research and development budget of a Federal agency that each Federal agency spends for administrative purposes relating to the SBIR program or STTR program, and for what specific purposes, including the portion, if any, of such budget the Federal agency spends for salaries and expenses, travel to visit applicants, outreach events, marketing, and technical assistance; and CommentsClose CommentsPermalink





(2) submit a report to the Committee on Small Business and Entrepreneurship of the Senate and the Committee on Small Business of the House of Representatives regarding the audit conducted under paragraph (1), including the assessments required under subparagraphs (B) and (C), and the determination made under subparagraph (D) of paragraph (1). CommentsClose CommentsPermalink





(b) Definition of Applicable Period- In this section, the term ‘applicable period’ means-- CommentsClose CommentsPermalink





(1) for the first report submitted under this section, the period beginning on October 1, 2000, and ending on September 30 of the last full fiscal year before the date of enactment of this Act for which information is available; and CommentsClose CommentsPermalink





(2) for the second and each subsequent report submitted under this section, the period-- CommentsClose CommentsPermalink





(A) beginning on October 1 of the first fiscal year after the end of the most recent full fiscal year relating to which a report under this section was submitted; and CommentsClose CommentsPermalink





(B) ending on September 30 of the last full fiscal year before the date of the report. CommentsClose CommentsPermalink

SEC. 307. CONTINUED EVALUATION BY THE NATIONAL ACADEMY OF SCIENCES.

Section 108 of the Small Business Reauthorization Act of 2000 (15 U.S.C. 638 note) is amended by adding at the end the following: CommentsClose CommentsPermalink





‘(e) Extensions and Enhancements of Authority- CommentsClose CommentsPermalink





‘(1) IN GENERAL- Not later than 6 months after the date of enactment of the SBIR/STTR Reauthorization Act of 2009, the head of each agency described in subsection (a), in consultation with the Small Business Administration, shall cooperatively enter into an agreement with the National Academy of Sciences for the National Research Council to conduct a study described in subsection (a)(1) and make recommendations described in subsection (a)(2) not later than 4 years after the date of enactment of the SBIR/STTR Reauthorization Act of 2009, and every 4 years thereafter. CommentsClose CommentsPermalink





‘(2) REPORTING- An agreement under paragraph (1) shall require that not later than 4 years after the date of enactment of the SBIR/STTR Reauthorization Act of 2009, and every 4 years thereafter, the National Research Council shall submit to the head of the agency entering into the agreement, the Committee on Small Business and Entrepreneurship of the Senate, and the Committee on Small Business of the House of Representatives a report regarding the study conducted under paragraph (1) and containing the recommendations described in paragraph (1).’. CommentsClose CommentsPermalink

SEC. 308. TECHNOLOGY INSERTION REPORTING REQUIREMENTS.

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





‘(gg) Phase III Reporting- The annual SBIR or STTR report to Congress by the Administration under subsection (b)(7) shall include, for each Phase III award made by the Federal agency-- CommentsClose CommentsPermalink





‘(1) the name of the agency or component of the agency or the non-Federal source of capital making the Phase III award; CommentsClose CommentsPermalink





‘(2) the name of the small business concern or individual receiving the Phase III award; and CommentsClose CommentsPermalink





‘(3) the dollar amount of the Phase III award.’. CommentsClose CommentsPermalink

SEC. 309. INTELLECTUAL PROPERTY PROTECTIONS.

(a) In General- The Comptroller General of the United States shall conduct a study of the SBIR program to assess whether-- CommentsClose CommentsPermalink





(1) Federal agencies comply with the data rights protections for SBIR awardees and the technologies of SBIR awardees under section 9 of the Small Business Act (15 U.S.C. 638); CommentsClose CommentsPermalink





(2) the laws and policy directives intended to clarify the scope of data rights, including in prototypes and mentor-protege relationships and agreements with Federal laboratories, are sufficient to protect SBIR awardees; and CommentsClose CommentsPermalink





(3) there is an effective grievance tracking process for SBIR awardees who have grievances against a Federal agency regarding data rights and a process for resolving those grievances. CommentsClose CommentsPermalink





(b) Report- Not later than 18 months after the date of enactment of this Act, the Comptroller General shall submit to the Committee on Small Business and Entrepreneurship of the Senate and the Committee on Small Business of the House of Representatives a report regarding the study conducted under subsection (a). CommentsClose CommentsPermalink

TITLE IV--POLICY DIRECTIVES CommentsClose CommentsPermalink

SEC. 401. CONFORMING AMENDMENTS TO THE SBIR AND THE STTR POLICY DIRECTIVES.

(a) In General- Not later than 180 days after the date of enactment of this Act, the Administrator shall promulgate amendments to the SBIR Policy Directive and the STTR Policy Directive to conform such directives to this Act and the amendments made by this Act. CommentsClose CommentsPermalink





(b) Publishing SBIR Policy Directive and the STTR Policy Directive in the Federal Register- Not later than 180 days after the date of enactment of this Act, the Administrator shall publish the amended SBIR Policy Directive and the amended STTR Policy Directive in the Federal Register. CommentsClose CommentsPermalink