U.S. Congress - Text of H.R.1425 as Reported in House Creating Jobs Through Small Business Innovation Act of 2011
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Donate NowH.R.1425 - Creating Jobs Through Small Business Innovation Act of 2011
To reauthorize and improve the SBIR and STTR programs, and for other purposes.
| Version | Word Count | Changes From Previous Version | Percent Change |
|---|---|---|---|
| Introduced in House | 13,042 | n/a | n/a |
| Reference Change House | 13,096 | 4 | 0% |
| Reported in House | 31,880 | 136 Show Changes Hide Changes | 67% |
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HR 1425 RCHHCommentsClose CommentsPermalink
Union Calendar No. 85CommentsClose CommentsPermalink
112th CONGRESSCommentsClose CommentsPermalink
1st SessionCommentsClose CommentsPermalink
H. R. 1425CommentsClose CommentsPermalink
[Report No. 112-90, Parts I and II]CommentsClose CommentsPermalink
To reauthorize and improve the SBIR and STTR programs, and for other purposes.CommentsClose CommentsPermalink
IN THE HOUSE OF REPRESENTATIVESCommentsClose CommentsPermalink
April 7, 2011CommentsClose CommentsPermalink
April 7, 2011CommentsClose CommentsPermalink
Mrs. ELLMERS (for herself, Mr. ALTMIRE, Mr. QUAYLE, Mr. WU, Mr. HALL, Ms. EDDIE BERNICE JOHNSON of Texas, Mr. GRAVES of Missouri, and Mr. RICHMOND) introduced the following bill; which was referred to the Committee on Science, Space, and Technology, and in addition to the Committees on Small Business and Armed Services, 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
May 3, 2011CommentsClose CommentsPermalink
May 3, 2011CommentsClose CommentsPermalink
Rereferred to the Committee on Small Business, and in addition to the Committees on Science, Space, and Technology and Armed Services, 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
May 26, 2011CommentsClose CommentsPermalink
May 26, 2011CommentsClose CommentsPermalink
Reported from the Committee on Science, Space, and Technology with an amendmentCommentsClose CommentsPermalink
[Strike out all after the enacting clause and insert the part printed in italic]CommentsClose CommentsPermalink
[Strike out all after the enacting clause and insert the part printed in italic]CommentsClose CommentsPermalink
July 1, 2011CommentsClose CommentsPermalink
July 1, 2011CommentsClose CommentsPermalink
Additional sponsors: Mr. LIPINSKI, Mrs. BIGGERT, Mr. COBLE, Mr. WEST, Mr. CLARKE of Michigan, Mr. LUJAN, Mr. WOMACK, Mrs. LOWEY, Mr. HANNA, Mr. WALSH of Illinois, Mr. CHABOT, Mr. BARTLETT, Mr. MULVANEY, Mr. BARLETTA, Mr. TIPTON, Mr. LANCE, Mr. JONES, Ms. HERRERA BEUTLER, and Mr. SMITH of TexasCommentsClose CommentsPermalink
July 1, 2011CommentsClose CommentsPermalink
July 1, 2011CommentsClose CommentsPermalink
Reported from the Committee on Small Business with an amendmentCommentsClose CommentsPermalink
[Strike out all after the enacting clause and insert the part printed in boldface roman]CommentsClose CommentsPermalink
[Strike out all after the enacting clause and insert the part printed in boldface roman]CommentsClose CommentsPermalink
July 1, 2011CommentsClose CommentsPermalink
July 1, 2011CommentsClose CommentsPermalink
Committee on Armed Services discharged; committed to the Committee of the Whole House on the State of the Union and ordered to be printedCommentsClose CommentsPermalink
[For text of introduced bill, see copy of bill as introduced on April 7, 2011]CommentsClose CommentsPermalink
[For text of introduced bill, see copy of bill as introduced on April 7, 2011]CommentsClose 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 ‘Creating Jobs Through Small Business Innovation Act of 2011’. 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. SBIR and STTR award levels. CommentsClose CommentsPermalink
Sec. 103. Agency and program flexibility. CommentsClose CommentsPermalink
Sec. 104. Elimination of Phase II invitations. CommentsClose CommentsPermalink
Sec. 105. Phase flexibility. CommentsClose CommentsPermalink
Sec. 106. Participation by firms with substantial investment from multiple venture capital operating companies, hedge funds, or private equity firms in a portion of the SBIR program. CommentsClose CommentsPermalink
Sec. 107. Ensuring that innovative small businesses with substantial investment from venture capital operating companies, hedge funds, or private equity firms are able to participate in the SBIR and STTR programs. CommentsClose CommentsPermalink
Sec. 108. SBIR and STTR special acquisition preference. CommentsClose CommentsPermalink
Sec. 109. Collaborating with Federal laboratories and research and development centers. CommentsClose CommentsPermalink
Sec. 110. Notice requirement. CommentsClose CommentsPermalink
Sec. 111. Additional SBIR and STTR Awards. CommentsClose CommentsPermalink
TITLE II--OUTREACH AND COMMERCIALIZATION INITIATIVES
Sec. 201. Technical assistance for awardees. CommentsClose CommentsPermalink
Sec. 202. Commercialization Readiness Program at Department of Defense. CommentsClose CommentsPermalink
Sec. 203. Commercialization Readiness Pilot Program for civilian agencies. CommentsClose CommentsPermalink
Sec. 204. Interagency Policy Committee. CommentsClose CommentsPermalink
Sec. 205. Clarifying the definition of ‘Phase III’. CommentsClose CommentsPermalink
Sec. 206. Shortened period for final decisions on proposals and applications. CommentsClose CommentsPermalink
Sec. 207. Phase 0 Proof of Concept Partnership pilot program. 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. Obtaining consent from SBIR and STTR applicants to release contact information to economic development organizations. CommentsClose CommentsPermalink
Sec. 310. Pilot to allow funding for administrative, oversight, and contract processing costs. CommentsClose CommentsPermalink
Sec. 311. GAO study with respect to venture capital operating company, hedge fund, and private equity firm involvement. CommentsClose CommentsPermalink
Sec. 312. Reducing vulnerability of SBIR and STTR programs to fraud, waste, and abuse. CommentsClose CommentsPermalink
Sec. 313. Simplified paperwork requirements. CommentsClose CommentsPermalink
Sec. 314. Reducing fraud, waste, and abuse. CommentsClose CommentsPermalink
TITLE IV--POLICY DIRECTIVES
Sec. 401. Conforming amendments to the SBIR and the STTR Policy Directives. CommentsClose CommentsPermalink
TITLE V--OTHER PROVISIONS
Sec. 501. Report on SBIR and STTR program goals. CommentsClose CommentsPermalink
Sec. 502. Competitive selection procedures for SBIR and STTR programs. CommentsClose CommentsPermalink
Sec. 503. Loan Restrictionsrestrictions. CommentsClose CommentsPermalink
Sec. 504. Program diversification. 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 (
(3) the term ‘small business concern’ has the meaning given that term under section 3 of the Small Business Act (
TITLE I--REAUTHORIZATION OF THE SBIR AND STTR PROGRAMS
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 (
(1) by striking ‘Termination- ’ and all that follows through ‘the authorization’ and inserting ‘Termination- The authorization’; CommentsClose CommentsPermalink
(2) by striking ‘2008’ and inserting ‘2014’; and CommentsClose CommentsPermalink
(3) by striking paragraph (2). CommentsClose CommentsPermalink
(b) STTR- Section 9(n)(1)(A) of the Small Business Act (
(1) by striking ‘IN GENERAL- ’ and all that follows through ‘with respect’ and inserting ‘IN GENERAL- With respect’; CommentsClose CommentsPermalink
(2) by striking ‘2009’ and inserting ‘2014’; and CommentsClose CommentsPermalink
(3) by striking clause (ii). CommentsClose CommentsPermalink
SEC. 102. SBIR AND STTR AWARD LEVELS.
(a) SBIR Adjustments- Section 9(j)(2)(D) of the Small Business Act (
(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 (
(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) Annual Adjustments- Section 9 of the Small Business Act (
(1) in subsection (j)(2)(D), by striking ‘once every 5 years to reflect economic adjustments and programmatic considerations’ and inserting ‘every year for inflation’; and CommentsClose CommentsPermalink
(2) in subsection (p)(2)(B)(ix), as amended by subsection (b) of this section, by inserting ‘(each of which the Administrator shall adjust for inflation annually)’ after ‘$1,000,000,’. CommentsClose CommentsPermalink
(d) Limitation on Size of Awards- Section 9 of the Small Business Act (
‘(aa) Limitation on Size of 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) MAINTENANCE 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 an award recipient has received any venture capital, hedge fund, or private equity firm investment and, if so, whether the recipient is majority-owned by multiple venture capital operating companies, hedge funds, or private equity firms. 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. 103. AGENCY AND PROGRAM FLEXIBILITY.
Section 9 of the Small Business Act (
‘(bb) Subsequent Phase II Awards- CommentsClose CommentsPermalink
‘(1) AGENCY FLEXIBILITY- A small business concern that received a Phase I award from a Federal agency under this section shall be eligible to receive a subsequent Phase II award 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 PROGRAM FLEXIBILITY- A small business concern that received a Phase I award under this section under the SBIR program or the STTR program may receive a subsequent Phase II award 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. 104. ELIMINATION OF PHASE II INVITATIONS.
Section 9(e) of the Small Business Act (
(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 Phase II, 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 Phase II, that will further develop proposals that’. CommentsClose CommentsPermalink
SEC. 105. PHASE FLEXIBILITY.
Section 9 of the Small Business Act (
‘(cc) Phase I Required- Under this section, a Federal agency shall provide to a small business concern an award under Phase II of an SBIR program with respect to a project only if such agency finds that the small business concern has been provided an award under Phase I of an SBIR program with respect to such project or has completed the determinations described in subsection (e)(4)(A) with respect to such project despite not having been provided a Phase I award.’. CommentsClose CommentsPermalink
SEC. 106. PARTICIPATION BY FIRMS WITH SUBSTANTIAL INVESTMENT FROM MULTIPLE VENTURE CAPITAL OPERATING COMPANIES, HEDGE FUNDS, OR PRIVATE EQUITY FIRMS IN A PORTION OF THE SBIR PROGRAM.
(a) In General- Section 9 of the Small Business Act (
‘(dd) Participation of Small Business Concerns Majority-Owned by Venture Capital Operating Companies, Hedge Funds, or Private Equity Firms in the SBIR Program- CommentsClose CommentsPermalink
‘(1) AUTHORITY- Upon a written determination described in paragraph (2) provided to the Administrator, the Committee on Small Business and Entrepreneurship of the Senate, and the Committee on Small Business and the Committee on Science, Space, and Technology of the House of Representatives not later than 30 days before the date on which an award is made-- CommentsClose CommentsPermalink
‘(A) the Director of the National Institutes of Health, the Secretary of Energy, the Administrator of the National Aeronautics and Space Administration, and the Director of the National Science Foundation may award not more than 45 percent of the funds allocated for the SBIR program of the Federal agency to small business concerns that are owned in majority part by multiple venture capital operating companies, hedge funds, or private equity firms through competitive, merit-based procedures that are open to all eligible small business concerns; and CommentsClose CommentsPermalink
‘(B) the head of a Federal agency other than a Federal agency described in subparagraph (A) that participates in the SBIR program may award not more than 35 percent of the funds allocated for the SBIR program of the Federal agency to small business concerns that are owned in majority part by multiple venture capital operating companies, hedge funds, or private equity firms through competitive, merit-based procedures that are open to all eligible small business concerns. CommentsClose CommentsPermalink
‘(2) DETERMINATION- A written determination described in this paragraph is a written determination by the head of a Federal agency that explains how the use of the authority under paragraph (1) will-- CommentsClose CommentsPermalink
‘(A) induce additional venture capital, hedge fund, or private equity firm funding of small business innovations; CommentsClose CommentsPermalink
‘(B) substantially contribute to the mission of the Federal agency; CommentsClose CommentsPermalink
‘(C) demonstrate a need for public research; and CommentsClose CommentsPermalink
‘(D) otherwise fulfill the capital needs of small business concerns for additional financing for the SBIR project. CommentsClose CommentsPermalink
‘(3) REGISTRATION- A small business concern that is majority-owned by multiple venture capital operating companies, hedge funds, or private equity firms 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 in any SBIR proposal that the small business concern is registered under subparagraph (A) as majority-owned by multiple venture capital operating companies, hedge funds, or private equity firms. CommentsClose CommentsPermalink
‘(4) COMPLIANCE- CommentsClose CommentsPermalink
‘(A) IN GENERAL- The head of a Federal agency that makes an award under this subsection during a fiscal year shall collect and submit to the Administrator data relating to the number and dollar amount of Phase I awards, Phase II awards, and any other category of awards by the Federal agency under the SBIR program during that fiscal year. CommentsClose CommentsPermalink
‘(B) ANNUAL REPORTING- The Administrator shall include as part of each annual report by the Administration under subsection (b)(7) any data submitted under subparagraph (A) and a discussion of the compliance of each Federal agency that makes an award under this subsection during the fiscal year with the maximum percentages under paragraph (1). CommentsClose CommentsPermalink
‘(5) ENFORCEMENT- If a Federal agency awards more than the percent of the funds allocated for the SBIR program of the Federal agency authorized under paragraph (1) for a purpose described in paragraph (1), the head of the Federal agency shall transfer an amount equal to the amount awarded in excess of the amount authorized under paragraph (1) to the funds for general SBIR programs from the non-SBIR and non-STTR research and development funds of the Federal agency not later than 180 days after the date on which the Federal agency made the award that caused the total awarded under paragraph (1) to be more than the amount authorized under paragraph (1) for a purpose described in paragraph (1). CommentsClose CommentsPermalink
‘(6) FINAL DECISIONS ON APPLICATIONS UNDER THE SBIR PROGRAM- CommentsClose CommentsPermalink
‘(A) DEFINITION- In this paragraph, the term ‘covered small business concern’ means a small business concern that-- CommentsClose CommentsPermalink
‘(i) was not majority-owned by multiple venture capital operating companies, hedge funds, or private equity firms on the date on which the small business concern submitted an application in response to a solicitation under the SBIR programs; and CommentsClose CommentsPermalink
‘(ii) on the date of the award under the SBIR program is majority-owned by multiple venture capital operating companies, hedge funds, or private equity firms. CommentsClose CommentsPermalink
‘(B) IN GENERAL- If a Federal agency does not make an award under a solicitation under the SBIR program before the date that is 9 months after the date on which the period for submitting applications under the solicitation ends-- CommentsClose CommentsPermalink
‘(i) a covered small business concern is eligible to receive the award, without regard to whether the covered small business concern meets the requirements for receiving an award under the SBIR program for a small business concern that is majority-owned by multiple venture capital operating companies, hedge funds, or private equity firms, if the covered small business concern meets all other requirements for such an award; and CommentsClose CommentsPermalink
‘(ii) the head of the Federal agency shall transfer an amount equal to any amount awarded to a covered small business concern under the solicitation to the funds for general SBIR programs from the non-SBIR and non-STTR research and development funds of the Federal agency, not later than 90 days after the date on which the Federal agency makes the award. CommentsClose CommentsPermalink
‘(7) EVALUATION CRITERIA- A Federal agency may not use investment of venture capital or investment from hedge funds or private equity firms as a criterion for the award of contracts under the SBIR program or STTR program.’. CommentsClose CommentsPermalink
(b) Technical and Conforming Amendment- Section 3 of the Small Business Act (
‘(aa) Venture Capital Operating Company- In this Act, the term ‘venture capital operating 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
‘(bb) Hedge Fund- In this Act, the term ‘hedge fund’ has the meaning given that term in section 13(h)(2) of the Bank Holding Company Act of 1956 (
). CommentsClose CommentsPermalink 12 U.S.C. 1851(h)(2) ‘(cc) Private Equity Firm- In this Act, the term ‘private equity firm’ has the meaning given the term ‘private equity fund’ in section 13(h)(2) of the Bank Holding Company Act of 1956 (
).’. CommentsClose CommentsPermalink 12 U.S.C. 1851(h)(2)
SEC. 107. ENSURING THAT INNOVATIVE SMALL BUSINESSES WITH SUBSTANTIAL INVESTMENT FROM VENTURE CAPITAL OPERATING COMPANIES, HEDGE FUNDS, OR PRIVATE EQUITY FIRMS ARE ABLE TO PARTICIPATE IN THE SBIR AND STTR PROGRAMS.
Section 9 of the Small Business Act (
‘(ee) Venture Capital Operating Companies, Hedge Funds, and Private Equity Firms- Effective only for the SBIR and STTR programs the following shall apply: CommentsClose CommentsPermalink
‘(1) A business concern that has more than 500 employees shall not qualify as a small business concern. CommentsClose CommentsPermalink
‘(2) In determining whether a small business concern is independently owned and operated under section 3(a)(1) or meets the small business size standards instituted under section 3(a)(2), the Administrator shall not consider a business concern to be affiliated with a venture capital operating company, hedge fund, or private equity firm (or with any other business that the venture capital operating company, hedge fund, or private equity firm has financed) if-- CommentsClose CommentsPermalink
‘(A) the venture capital operating company, hedge fund, or private equity firm does not own 50 percent or more of the business concern; and CommentsClose CommentsPermalink
‘(B) employees of the venture capital operating company, hedge fund, or private equity firm do not constitute a majority of the board of directors of the business concern. CommentsClose CommentsPermalink
‘(3) A business concern shall be deemed to be ‘independently owned and operated’ if-- CommentsClose CommentsPermalink
‘(A) it is owned in majority part by one or more natural persons or venture capital operating companies, hedge funds, or private equity firms; CommentsClose CommentsPermalink
‘(B) there is no single venture capital operating company, hedge fund, or private equity firm that owns 50 percent or more of the business concern; and CommentsClose CommentsPermalink
‘(C) there is no single venture capital operating company, hedge fund, or private equity firm the employees of which constitute a majority of the board of directors of the business concern. CommentsClose CommentsPermalink
‘(4) If a venture capital operating company, hedge fund, or private equity firm controlled by a business with more than 500 employees (in this paragraph referred to as a ‘VCOC, hedge fund, or private equity firm under large business control’) has an ownership interest in a small business concern that is owned in majority part by venture capital operating companies, hedge funds, or private equity firms, the small business concern is eligible to receive an award under the SBIR or STTR program only if-- CommentsClose CommentsPermalink
‘(A) not more than two VCOCs, hedge funds, or private equity firms under large business control have an ownership interest in the small business concern; and CommentsClose CommentsPermalink
‘(B) the VCOCs, hedge funds, or private equity firms under large business control do not collectively own more than 20 percent of the small business concern.’. CommentsClose CommentsPermalink
SEC. 108. SBIR AND STTR SPECIAL ACQUISITION PREFERENCE.
Section 9(r) of the Small Business Act (
‘(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. 109. COLLABORATING WITH FEDERAL LABORATORIES AND RESEARCH AND DEVELOPMENT CENTERS.
Section 9 of the Small Business Act (
‘(ff) 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 (
)) with a Federal laboratory. CommentsClose CommentsPermalink 15 U.S.C. 3710a(d) ‘(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
‘(4) ADVANCE PAYMENT- If a small business concern receiving an award under this section enters 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, the Federal laboratory or federally funded research and development center may not require advance payment from the small business concern in an amount greater than the amount necessary to pay for 30 days of such activities.’. CommentsClose CommentsPermalink
SEC. 110. NOTICE REQUIREMENT.
(a) SBIR Program- Section 9(g) of the Small Business Act (
(1) in paragraph (10), by striking ‘and’ at the end; CommentsClose CommentsPermalink
(2) in paragraph (11), by striking the period at the end and inserting ‘; and’; and CommentsClose CommentsPermalink
(3) by adding at the end the following: CommentsClose CommentsPermalink
‘(12) provide timely notice to the Administrator of any case or controversy before any Federal judicial or administrative tribunal concerning the SBIR program of the Federal agency.’. CommentsClose CommentsPermalink
(b) STTR Program- Section 9(o) of the Small Business Act (
(1) by striking paragraph (15); CommentsClose CommentsPermalink
(2) in paragraph (16), by striking the period at the end and inserting ‘; and’; CommentsClose CommentsPermalink
(3) by redesignating paragraph (16) as paragraph (15); and CommentsClose CommentsPermalink
(4) by adding at the end the following: CommentsClose CommentsPermalink
‘(16) provide timely notice to the Administrator of any case or controversy before any Federal judicial or administrative tribunal concerning the STTR program of the Federal agency.’. CommentsClose CommentsPermalink
SEC. 111. ADDITIONAL SBIR AND STTR AWARDS.
Section 9 of the Small Business Act (
‘(gg) Additional SBIR and STTR Awards- CommentsClose CommentsPermalink
‘(1) EXPRESS AUTHORITY FOR AWARDING A SEQUENTIAL PHASE II AWARD- A small business concern that receives a Phase II SBIR award or a Phase II STTR award for a project remains eligible to receive one additional Phase II SBIR award or Phase II STTR award for continued work on that project. CommentsClose CommentsPermalink
‘(2) PREVENTING DUPLICATIVE AWARDS- The head of a Federal agency shall verify that any activity to be performed with respect to a project with a Phase I or Phase II SBIR or STTR award has not been funded under the SBIR program or STTR program of another Federal agency.’. CommentsClose CommentsPermalink
TITLE II--OUTREACH AND COMMERCIALIZATION INITIATIVES
CommentsClose CommentsPermalink
TITLE II--OUTREACH AND COMMERCIALIZATION INITIATIVES CommentsClose CommentsPermalink
SEC. 201. TECHNICAL ASSISTANCE FOR AWARDEES.
Section 9(q) of the Small Business Act (
(1) in paragraph (1)-- CommentsClose CommentsPermalink
(A) by inserting ‘or STTR program’ after ‘SBIR program’; and CommentsClose CommentsPermalink
(B) by striking ‘SBIR projects’ and inserting ‘SBIR or STTR projects’; CommentsClose CommentsPermalink
(2) in paragraph (2), by striking ‘3 years’ and inserting ‘5 years’; and CommentsClose CommentsPermalink
(3) in paragraph (3)-- CommentsClose CommentsPermalink
(A) in subparagraph (A)-- CommentsClose CommentsPermalink
(i) by inserting ‘or STTR’ after ‘SBIR’; and CommentsClose CommentsPermalink
(ii) by striking ‘$4,000’ and inserting ‘$5,000’; CommentsClose CommentsPermalink
(B) by striking subparagraph (B) and inserting the following: CommentsClose CommentsPermalink
‘(B) PHASE II- A Federal agency described in paragraph (1) may-- CommentsClose CommentsPermalink
‘(i) provide to the recipient of a Phase II SBIR or STTR award, through a vendor selected under paragraph (2), the services described in paragraph (1), in an amount equal to not more than $5,000 per year; or CommentsClose CommentsPermalink
‘(ii) authorize the recipient of a Phase II SBIR or STTR award to purchase the services described in paragraph (1), in an amount equal to not more than $5,000 per year, which shall be in addition to the amount of the recipient’s award.’; and CommentsClose CommentsPermalink
(C) 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. 202. COMMERCIALIZATION READINESS PROGRAM AT DEPARTMENT OF DEFENSE.
(a) In General- Section 9(y) of the Small Business Act (
(1) in the subsection heading, by striking ‘Pilot’ and inserting ‘Readiness’; CommentsClose CommentsPermalink
(2) by striking ‘Pilot’ each place that term appears and inserting ‘Readiness’; 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 Readiness 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 (
(4) in paragraph (2), by inserting ‘or Small Business Technology Transfer Program’ after ‘Small Business Innovation Research Program’; CommentsClose CommentsPermalink
(5) by striking paragraphs (5) and (6); and CommentsClose CommentsPermalink
(6) 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 Creating Jobs Through Small Business Innovation Act of 2011, 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 Readiness Program and efforts to transition these technologies into programs of record or fielded systems.’. CommentsClose CommentsPermalink
(b) Technical and Conforming Amendment- Section 9(i)(1) of the Small Business Act (
SEC. 203. COMMERCIALIZATION READINESS PILOT PROGRAM FOR CIVILIAN AGENCIES.
Section 9 of the Small Business Act (
‘(hh) Pilot Program- CommentsClose CommentsPermalink
‘(1) AUTHORIZATION- The head of each covered Federal agency may allocate not more than 10 percent of the funds allocated to the SBIR program and the STTR program of the covered Federal agency-- CommentsClose CommentsPermalink
‘(A) for awards for technology development, testing, evaluation, and commercialization assistance for SBIR and STTR Phase II technologies; or CommentsClose CommentsPermalink
‘(B) to support the progress of research, research and development, and commercialization conducted under the SBIR or STTR programs to Phase III. CommentsClose CommentsPermalink
‘(2) APPLICATION BY FEDERAL AGENCY- CommentsClose CommentsPermalink
‘(A) IN GENERAL- A covered Federal agency may not establish a pilot program unless the covered Federal agency makes a written application to the Administrator, not later than 90 days before 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 and the Committee on Science, Space, and Technology of the House of Representatives. CommentsClose CommentsPermalink
‘(3) MAXIMUM AMOUNT OF AWARD- The head of a covered Federal agency may not make an award under a pilot program in excess of 3 times the dollar amounts generally established for Phase II awards under subsection (j)(2)(D) or (p)(2)(B)(ix). CommentsClose CommentsPermalink
‘(4) 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
‘(5) AWARD CRITERIA OR CONSIDERATION- When making an award under this section, the head of a covered Federal agency shall give consideration to whether the technology to be supported by the award is likely to be manufactured in the United States. CommentsClose CommentsPermalink
‘(6) REPORT- The head of each covered Federal agency shall include in the annual report of the covered Federal agency to the Administrator an analysis of the various activities considered for inclusion in the pilot program of the covered Federal agency and a statement of the reasons why each activity considered was included or not included, as the case may be. CommentsClose CommentsPermalink
‘(67) TERMINATION- The authority to establish a pilot program under this section expires at the end of fiscal year 2014. CommentsClose CommentsPermalink
‘(78) DEFINITIONS- In this subsection-- 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. 204. INTERAGENCY POLICY COMMITTEE.
(a) Establishment- The Director of the Office of Science and Technology Policy shall establish an Interagency SBIR/STTR Policy Committee. CommentsClose CommentsPermalink
(b) Duties- The Interagency SBIR/STTR 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) of the Small Business Act (
(2) Federal agency flexibility in establishing Phase I and II award sizes, including appropriate criteria for exercising such flexibility. CommentsClose CommentsPermalink
(3) Commercialization assistance best practices of 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 that business concerns face after Phase II but before commercialization. CommentsClose CommentsPermalink
(4) Developing and incorporating a standard evaluation framework to enable systematic assessment of SBIR and STTR, including through improved tracking of awards and outcomes and development of performance measures for the SBIR program and STTR program of each Federal agency. CommentsClose CommentsPermalink
(c) Reports- The Interagency SBIR/STTR Policy Committee shall transmit to the Committee on Science, Space, 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 on its review and recommendations under subsection (b)(1) not later than 1 year after the date of enactment of this Act; CommentsClose CommentsPermalink
(2) a report on its review and recommendations under subsection (b)(2) not later than 18 months after the date of enactment of this Act; CommentsClose CommentsPermalink
(3) a report on its review and recommendations under subsection (b)(3) not later than 2 years after the date of enactment of this Act; and CommentsClose CommentsPermalink
(4) a report on its review and recommendations under subsection (b)(4) not later than 2 years after the date of enactment of this Act. CommentsClose CommentsPermalink
SEC. 205. CLARIFYING THE DEFINITION OF ‘PHASE III’.
(a) Phase III Awards- Section 9(e) of the Small Business Act (
(1) in paragraph (4)(C), in the matter preceding clause (i), by inserting ‘for work that derives from, extends, or completes efforts made under prior funding agreements under the SBIR program’ after ‘phase’; CommentsClose CommentsPermalink
(2) in paragraph (6)(C), in the matter preceding clause (i), by inserting ‘for work that derives from, extends, or completes efforts made under prior funding agreements under the STTR program’ after ‘phase’; CommentsClose CommentsPermalink
(3) in paragraph (8), by striking ‘and’ at the end; CommentsClose CommentsPermalink
(4) in paragraph (9), by striking the period at the end and inserting a semicolon; and CommentsClose CommentsPermalink
(5) by adding at the end the following: CommentsClose CommentsPermalink
‘(10) the term ‘commercialization’ means-- CommentsClose CommentsPermalink
‘(A) the process of developing products, processes, technologies, or services; and CommentsClose CommentsPermalink
‘(B) the production and delivery of products, processes, technologies, or services for sale (whether by the originating party or by others) to or use by the Federal Government or commercial markets;’. CommentsClose CommentsPermalink
(b) Technical and Conforming Amendments- Section 9 of the Small Business Act (
(1) in subsection (e)-- CommentsClose CommentsPermalink
(A) in paragraph (4)(C)(ii), by striking ‘scientific review criteria’ and inserting ‘merit-based selection procedures’; CommentsClose CommentsPermalink
(B) in paragraph (9), by striking ‘the second or the third phase’ and inserting ‘Phase II or Phase III’; and CommentsClose CommentsPermalink
(C) by adding at the end the following: CommentsClose CommentsPermalink
‘(11) 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
‘(12) 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
‘(13) 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
(2) in subsection (j)-- CommentsClose CommentsPermalink
(A) in paragraph (1)(B), by striking ‘phase two’ and inserting ‘Phase II’; CommentsClose CommentsPermalink
(B) in paragraph (2)-- CommentsClose CommentsPermalink
(i) in subparagraph (B)-- CommentsClose CommentsPermalink
(I) by striking ‘the third phase’ each place it appears and inserting ‘Phase III’; and CommentsClose CommentsPermalink
(II) by striking ‘the second phase’ and inserting ‘Phase II’; CommentsClose CommentsPermalink
(ii) in subparagraph (D)-- 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
(iii) in subparagraph (F), by striking ‘the third phase’ and inserting ‘Phase III’; CommentsClose CommentsPermalink
(iv) in subparagraph (G)-- 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’; and CommentsClose CommentsPermalink
(v) in subparagraph (H)-- CommentsClose CommentsPermalink
(I) by striking ‘the first phase’ and inserting ‘Phase I’; CommentsClose CommentsPermalink
(II) by striking ‘second phase’ each place it appears and inserting ‘Phase II’; and CommentsClose CommentsPermalink
(III) by striking ‘third phase’ and inserting ‘Phase III’; and CommentsClose CommentsPermalink
(C) in paragraph (3)-- CommentsClose CommentsPermalink
(i) in subparagraph (A)-- CommentsClose CommentsPermalink
(I) by striking ‘the first phase (as described in subsection (e)(4)(A))’ and inserting ‘Phase I’; CommentsClose CommentsPermalink
(II) by striking ‘the second phase (as described in subsection (e)(4)(B))’ and inserting ‘Phase II’; and CommentsClose CommentsPermalink
(III) 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
(3) in subsection (k)-- CommentsClose CommentsPermalink
(A) by striking ‘first phase’ each place it appears and inserting ‘Phase I’; and CommentsClose CommentsPermalink
(B) by striking ‘second phase’ each place it appears and inserting ‘Phase II’; CommentsClose CommentsPermalink
(4) in subsection (l)(2)-- CommentsClose CommentsPermalink
(A) by striking ‘the first phase’ and inserting ‘Phase I’; and CommentsClose CommentsPermalink
(B) by striking ‘the second phase’ and inserting ‘Phase II’; CommentsClose CommentsPermalink
(5) in subsection (o)(13)-- CommentsClose CommentsPermalink
(A) in subparagraph (B), by striking ‘second phase’ and inserting ‘Phase II’; and CommentsClose CommentsPermalink
(B) in subparagraph (C), by striking ‘third phase’ and inserting ‘Phase III’; CommentsClose CommentsPermalink
(6) in subsection (p)-- CommentsClose CommentsPermalink
(A) in paragraph (2)(B)-- CommentsClose CommentsPermalink
(i) in clause (vi)-- CommentsClose CommentsPermalink
(I) by striking ‘the second phase’ and inserting ‘Phase II’; and CommentsClose CommentsPermalink
(II) by striking ‘the third phase’ and inserting ‘Phase III’; and CommentsClose CommentsPermalink
(ii) in clause (ix)-- 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’; and CommentsClose CommentsPermalink
(B) 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)(C))’ and inserting ‘Phase III’; CommentsClose CommentsPermalink
(7) in subsection (q)(3)(A)-- CommentsClose CommentsPermalink
(A) in the subparagraph heading, by striking ‘FIRST PHASE’ and inserting ‘PHASE I’; and CommentsClose CommentsPermalink
(B) by striking ‘first phase’ and inserting ‘Phase I’; CommentsClose CommentsPermalink
(8) in subsection (r)-- CommentsClose CommentsPermalink
(A) in the subsection heading, by striking ‘Third Phase’ and inserting ‘Phase III’; CommentsClose CommentsPermalink
(B) in paragraph (1)-- CommentsClose CommentsPermalink
(i) in the first sentence-- CommentsClose CommentsPermalink
(I) by striking ‘for the second phase’ and inserting ‘for Phase II’; CommentsClose CommentsPermalink
(II) by striking ‘third phase’ and inserting ‘Phase III’; and CommentsClose CommentsPermalink
(III) by striking ‘second phase period’ and inserting ‘Phase II period’; and CommentsClose CommentsPermalink
(ii) in the second sentence-- CommentsClose CommentsPermalink
(I) by striking ‘second phase’ and inserting ‘Phase II’; and CommentsClose CommentsPermalink
(II) by striking ‘third phase’ and inserting ‘Phase III’; and CommentsClose CommentsPermalink
(C) in paragraph (2), by striking ‘third phase’ and inserting ‘Phase III’; and CommentsClose CommentsPermalink
(9) in subsection (u)(2)(B), by striking ‘the first phase’ and inserting ‘Phase I’. CommentsClose CommentsPermalink
SEC. 206. SHORTENED PERIOD FOR FINAL DECISIONS ON PROPOSALS AND APPLICATIONS.
(a) In General- Section 9 of the Small Business Act (
(1) in subsection (g)(4)-- CommentsClose CommentsPermalink
(A) by inserting ‘(A)’ after ‘(4)’; CommentsClose CommentsPermalink
(B) by adding ‘and’ after the semicolon at the end; and CommentsClose CommentsPermalink
(C) by adding at the end the following: CommentsClose CommentsPermalink
‘(B) make a final decision on each proposal submitted under the SBIR program-- CommentsClose CommentsPermalink
‘(i) not later than 90 days after the date on which the solicitation closes; or CommentsClose CommentsPermalink
‘(ii) if the Administrator authorizes an extension for a solicitation, not later than 180 days after the date on which the solicitation closes;’; and CommentsClose CommentsPermalink
(2) in subsection (o)(4)-- CommentsClose CommentsPermalink
(A) by inserting ‘(A)’ after ‘(4)’; CommentsClose CommentsPermalink
(B) by adding ‘and’ after the semicolon at the end; and CommentsClose CommentsPermalink
(C) by adding at the end the following: CommentsClose CommentsPermalink
‘(B) make a final decision on each proposal submitted under the STTR program-- CommentsClose CommentsPermalink
‘(i) not later than 90 days after the date on which the solicitation closes; or CommentsClose CommentsPermalink
‘(ii) if the Administrator authorizes an extension for a solicitation, not later than 180 days after the date on which the solicitation closes;’. CommentsClose CommentsPermalink
(b) NIH Peer Review Process-(1) IN GENERAL- Section 9 of the Small Business Act (
‘(ii) NIH Peer Review Process- TNotwithstanding subsections (g)(4)(B) and (o)(4)(B), the Director of the National Institutes of Health may make an award under the SBIR program or the STTR program of the National Institutes of Health only if the application for the award has undergone technical and scientific peer review under section 492 of the Public Health Service Act (
). CommentsClose CommentsPermalink 42 U.S.C. 289a ’.(2) TECHNICAL AND CONFORMING AMENDMENTS- Section 105‘(jj) NSF Peer Review Process- Notwithstanding subsections (g)(4)(B) and (o)(4)(B), the Director of the National Science Foundation may make an award under the SBIR program or the STTR program of the National Institutes of Health Reform Act of 2006Science Foundation only if the application for the award has undergone the National Science Foundation’s technical and scientific peer review process and met all other applicable peer review procedures and guidelines pursuant to the National Science Foundation Act of 1950 (
42 U.S.C. 284n) is amended-- , et seq.) and other applicable Federal law.’. CommentsClose CommentsPermalink(A) in subsection (a)(3)--
(i) by striking ‘A grant’ and inserting ‘Except as provided in section 9(ii) of the Small Business Act (
), a grant’; and 15 U.S.C. 638(ii) (ii) by striking ‘section 402(k)’ and all that follows through ‘Act)’ and inserting ‘section 402(l) of such Act’; and
(B) in subsection (b)(5)--
(i) by striking ‘A grant’ and inserting ‘Except as provided in section 9(ii)1861
SEC. 207. PHASE 0 PROOF OF CONCEPT PARTNERSHIP PILOT PROGRAM.
Section 9 of the Small Business Act (
‘(kk) Phase 0 Proof of Concept Partnership Pilot Program- CommentsClose CommentsPermalink
‘(1) IN GENERAL- The Director of the National Institutes of Health shall use $10,000,000 of the funds allocated under subsection (n)(1) for a Proof of Concept Partnership pilot program to accelerate the creation of small businesses and the commercialization of research innovations from qualifying institutions. To implement this program, the Director shall award, through a competitive, merit-based process, grants to qualifying institutions. These grants shall only be used to administer Proof of Concept Partnership awards in conformity with this subsection. CommentsClose CommentsPermalink
‘(2) DEFINITIONS- In this subsection-- CommentsClose CommentsPermalink
‘(A) the term ‘Director’ means the Director of the National Institutes of Health; CommentsClose CommentsPermalink
‘(B) the term ‘pilot program’ refers to the Proof of Concept Partnership pilot program; and CommentsClose CommentsPermalink
‘(C) the terms ‘qualifying institution’ and ‘institution’ mean a university or other research institution that participates in the National Institutes of Health’s STTR program. CommentsClose CommentsPermalink
‘(3) PROOF OF CONCEPT PARTNERSHIPS- CommentsClose CommentsPermalink
‘(A) IN GENERAL- A Proof of Concept Partnership shall be set up by a qualifying institution to award grants to individual researchers. These grants should provide researchers with the initial investment and the resources to support the proof of concept work and commercialization mentoring needed to translate promising research projects and technologies into a viable company. This work may include technical validations, market research, clarifying intellectual property rights position and strategy and investigating commercial or business opportunities. CommentsClose CommentsPermalink
‘(B) AWARD GUIDELINES- The administrator of a Proof of Concept Partnership program shall award grants in accordance with the following guidelines: CommentsClose CommentsPermalink
‘(i) The Proof of Concept Partnership shall use a market-focused project management oversight process, including-- CommentsClose CommentsPermalink
‘(I) a rigorous, diverse review board comprised of local experts in translational and proof of concept research, including industry, start-up, venture capital, technical, financial, and business experts and university technology transfer officials; CommentsClose CommentsPermalink
‘(II) technology validation milestones focused on market feasibility; CommentsClose CommentsPermalink
‘(III) simple reporting effective at redirecting projects; and CommentsClose CommentsPermalink
‘(IV) the willingness to reallocate funding from failing projects to those with more potential. CommentsClose CommentsPermalink
‘(ii) Not more than $100,000 shall be awarded towards an individual proposal. CommentsClose CommentsPermalink
‘(C) EDUCATIONAL RESOURCES AND GUIDANCE- The administrator of a Proof of Concept Partnership program shall make educational resources and guidance available to researchers attempting to commercialize their innovations. CommentsClose CommentsPermalink
‘(4) AWARDS- CommentsClose CommentsPermalink
‘(A) SIZE OF AWARD- The Director may make awards to a qualifying institution for up to $1,000,000 per year for up to 3 years. CommentsClose CommentsPermalink
‘(B) AWARD CRITERIA- In determining which qualifying institutions receive pilot program grants, the Director shall consider, in addition to any other criteria the Director determines necessary, the extent to which qualifying institutions-- CommentsClose CommentsPermalink
‘(i) have an established and proven technology transfer or commercialization office and have a plan for engaging that office in the program implementation; CommentsClose CommentsPermalink
‘(ii) have demonstrated a commitment to local and regional economic development; CommentsClose CommentsPermalink
‘(iii) are located in diverse geographies and are of diverse sizes; CommentsClose CommentsPermalink
‘(iv) can assemble project management boards comprised of industry, start-up, venture capital, technical, financial, and business experts; CommentsClose CommentsPermalink
‘(v) have an intellectual property rights strategy or office; and CommentsClose CommentsPermalink
‘(vi) demonstrate a plan for sustainability beyond the duration of the funding award. CommentsClose CommentsPermalink
‘(5) LIMITATIONS- The funds for the pilot program shall not be used-- CommentsClose CommentsPermalink
‘(A) for basic research, but to evaluate the commercial potential of existing discoveries, including-- CommentsClose CommentsPermalink
‘(i) proof of concept research or prototype development; and CommentsClose CommentsPermalink
‘(ii) activities that contribute to determining a project’s commercialization path, to include technical validations, market research, clarifying intellectual property rights, and investigating commercial and business opportunities; or CommentsClose CommentsPermalink
‘(B) to fund the acquisition of research equipment or supplies unrelated to commercialization activities. CommentsClose CommentsPermalink
‘(6) EVALUATIVE REPORT- The Director shall submit to the Committee on Science, Space, and Technology and the Committee on Small Business of the House of Representatives and the Committee on Small Business and Entrepreneurship of the Senate an evaluative report regarding the activities of the pilot program. The report shall include-- CommentsClose CommentsPermalink
‘(A) a detailed description of the institutional and proposal selection process; CommentsClose CommentsPermalink
‘(B) an accounting of the funds used in the pilot program; CommentsClose CommentsPermalink
‘(C) a detailed description of the pilot program, including incentives and activities undertaken by review board experts; CommentsClose CommentsPermalink
‘(D) a detailed compilation of results achieved by the pilot program, including the number of small business concerns included and the number of business packages developed, and the number of projects that progressed into subsequent STTR phases; and CommentsClose CommentsPermalink
‘(E) an analysis of the program’s effectiveness with supporting data. CommentsClose CommentsPermalink
‘(7) SUNSET- The pilot program under this subsection shall terminate at the end of fiscal year 2014.’. CommentsClose CommentsPermalink
TITLE III--OVERSIGHT AND EVALUATION
CommentsClose CommentsPermalink
TITLE III--OVERSIGHT AND EVALUATION CommentsClose CommentsPermalink
SEC. 301. STREAMLINING ANNUAL EVALUATION REQUIREMENTS.
Section 9(b) of the Small Business Act (
(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); CommentsClose CommentsPermalink
and‘(B) the number of ‘(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, hedge fund, or private equity firm investment (including those majority-owned by multiple venture capital operating companies, hedge funds, or private equity 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 social or economically disadvantaged individuals under each of the SBIR and STTR programs; CommentsClose CommentsPermalink
‘(D) general information about the implementation of, and compliance with the allocation of funds required under, subsection (dd) for firms owned in majority part by venture capital operating companies, hedge funds, or private equity firms and participating in the SBIR program; CommentsClose CommentsPermalink
‘(E) a detailed description of appeals of Phase III awards and notices of noncompliance with the SBIR Policy Directive and the STTR Policy Directive filed by the Administrator with Federal agencies; and CommentsClose CommentsPermalink
‘(F) a description’; and CommentsClose CommentsPermalink
(C) by striking ‘and’ at the end; CommentsClose CommentsPermalink
(2) in paragraph (8), by striking the period at the end and inserting ‘; and’; and CommentsClose CommentsPermalink
(3) by inserting after paragraph (8) the following: CommentsClose CommentsPermalink
‘(9) 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 (
(1) by striking paragraph (10); CommentsClose CommentsPermalink
(2) by redesignating paragraphs (8) and (9) as paragraphs (9) and (10), respectively; and 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, hedge fund, or private equity firm investment or is majority-owned by multiple venture capital operating companies, hedge funds, or private equity firms, and, if so-- CommentsClose CommentsPermalink
‘(I) the amount of venture capital, hedge fund, or private equity firm investment 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) 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 (
); or CommentsClose CommentsPermalink 20 U.S.C. 1001 ‘(vi) 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;’. CommentsClose CommentsPermalink
SEC. 303. DATA COLLECTION FROM AGENCIES FOR STTR.
Section 9(o) of the Small Business Act (
‘(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, hedge fund, or private equity firm investment or is majority-owned by multiple venture capital operating companies, hedge funds, or private equity firms, and, if so-- CommentsClose CommentsPermalink
‘(I) the amount of venture capital, hedge fund, or private equity firm investment 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) 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 (
); or CommentsClose CommentsPermalink 20 U.S.C. 1001 ‘(vi) 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
SEC. 304. PUBLIC DATABASE.
Section 9(k)(1) of the Small Business Act (
(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, hedge fund, or private equity firm investment and, if so, whether the small business concern is registered as majority-owned by multiple venture capital operating companies, hedge funds, or private equity firms as required under subsection (dd)(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; or CommentsClose CommentsPermalink
‘(iv) 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 (
).’. CommentsClose CommentsPermalink 20 U.S.C. 1001
SEC. 305. GOVERNMENT DATABASE.
Section 9(k) of the Small Business Act (
(1) in paragraph (2)-- CommentsClose CommentsPermalink
(A) in the matter preceding subparagraph (A), by striking ‘Not later’ and all that follows through ‘Act of 2000’ and inserting ‘Not later than 90 days after the date of enactment of the Creating Jobs Through Small Business Innovation Act of 2011’; CommentsClose CommentsPermalink
(B) by striking subparagraph (C); CommentsClose CommentsPermalink
(C) by redesignating subparagraphs (A) and (B) as subparagraphs (B) and (C), respectively; CommentsClose CommentsPermalink
(D) by inserting before subparagraph (B), as so redesignated, the following: CommentsClose CommentsPermalink
‘(A) contains, for each small business concern that applies for, submits a proposal for, or receives an award under Phase I or Phase II of the SBIR program or the STTR program-- CommentsClose CommentsPermalink
‘(i) the name, size, and location, and an identifying number assigned by the Administration of the small business concern; CommentsClose CommentsPermalink
‘(ii) an abstract of the project; CommentsClose CommentsPermalink
‘(iii) the specific aims of the project; CommentsClose CommentsPermalink
‘(iv) the number of employees of the small business concern; CommentsClose CommentsPermalink
‘(v) the names ofand titles of the key individuals that will carry out the project, the position each key individual holds in the small business concern, and contact information for each key individual; CommentsClose CommentsPermalink
‘(vi) the percentage of effort each individual described in clause (iv) will contribute to the project; CommentsClose CommentsPermalink
‘(vii) whether the small business concern is majority-owned by multiple venture capital operating companies, hedge funds, or private equity firms; and CommentsClose CommentsPermalink
‘(viii) the Federal agency to which the application is made, and contact information for the person or office within the Federal agency that is responsible for reviewing applications and making awards under the SBIR program or the STTR program;’; CommentsClose CommentsPermalink
(E) by redesignating subparagraphs (D) and (E) as subparagraphs (E) and (F), respectively; CommentsClose CommentsPermalink
(F) by inserting after subparagraph (C), as so redesignated, the following: CommentsClose CommentsPermalink
‘(D) 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, hedge fund, or private equity firm investment, and, if so-- CommentsClose CommentsPermalink
‘(I) the amount of venture capital, hedge fund, or private equity firm investment as of the date of the award; CommentsClose CommentsPermalink
‘(II) the percentage of ownership of the awardee held by a venture capital operating company, hedge fund, or private equity firm, including whether the awardee is majority-owned by multiple venture capital operating companies, hedge funds, or private equity 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;’; CommentsClose CommentsPermalink
(G) in subparagraph (E), as so redesignated, by striking ‘and’ at the end; CommentsClose CommentsPermalink
(H) in subparagraph (F), as so redesignated, by striking the period at the end and inserting ‘; and’; and CommentsClose CommentsPermalink
(I) by adding at the end the following: CommentsClose CommentsPermalink
‘(G) includes a timely and accurate list of any individual or small business concern that has participated in the SBIR program or STTR program that has committed fraud, waste, or abuse relating tobeen-- CommentsClose CommentsPermalink
‘(i) convicted of a fraud-related crime involving funding received under the SBIR program or STTR program; or CommentsClose CommentsPermalink
‘(ii) found civilly liable for a fraud-related violation involving funding received under the SBIR program or STTR program.’; and CommentsClose CommentsPermalink
(2) in paragraph (3), by adding at the end the following: CommentsClose CommentsPermalink
‘(C) GOVERNMENT DATABASE- Not later than 60 days after the date established by a Federal agency for submitting applications or proposals for a Phase I or Phase II award under the SBIR program or STTR program, the head of the Federal agency shall submit to the Administrator the data required under paragraph (2) with respect to each small business concern that applies or submits a proposal for the Phase I or Phase II award.’. 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 year thereafter until the date that is 5 years after the date of enactment of this Act, 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 (
(B) assess the extent of compliance with the requirements of section 9(i)(2) of the Small Business Act (
(C) 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 and the Committee on Science, Space, and Technology of the House of Representatives regarding the audit conducted under paragraph (1), including the assessments required under subparagraph (B), and the determination made under subparagraph (C) 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, 2005, 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 (
‘(e) Extensions and Enhancements of Authority- CommentsClose CommentsPermalink
‘(1) IN GENERAL- Not later than 6 months after the date of enactment of the Creating Jobs Through Small Business Innovation Act of 2011, 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, not later than 4 years after the date of enactment of the Creating Jobs Through Small Business Innovation Act of 2011, and every 4 years thereafter-- CommentsClose CommentsPermalink
‘(A) continue the most recent study under this section relating to--‘(i) the issues described in subparagraphs (A), (B), (C), and (E) of subsection (a)(1); CommentsClose CommentsPermalink
and‘(ii) the effectiveness of the government and public databases described in section 9(k) of the Small Business Act (
) in reducing vulnerabilities of the SBIR program and the STTR program to fraud, waste, and abuse, particularly with respect to ‘(B) conduct a comprehensive study of how the STTR program has stimulated technological innovation and technology transfer, including-- CommentsClose CommentsPermalink 15 U.S.C. 638(k)
‘(i) a review of the collaborations created between small businesses and research institutions, including an evaluation of the effectiveness of the program in stimulating new collaborations and any obstacles that may prevent or inhibit the creation of such collaborations; CommentsClose CommentsPermalink
‘(ii) an evaluation of the effectiveness of the program at transferring technology and capabilities developed through Federal funding; CommentsClose CommentsPermalink
‘(iii) an evaluation of the program’s success at commercializing technologies compared with other Federal technology transfer programs and the SBIR program; CommentsClose CommentsPermalink
‘(iv) to the extent practicable, an evaluation of the economic benefits achieved by the STTR program, including the economic rate of return; CommentsClose CommentsPermalink
‘(v) an analysis of how Federal agencies funding duplicative proposals and business concerns falsifying information in proposals;‘(Bare using small businesses that have completed Phase II under the STTR program to fulfill their procurement needs; and CommentsClose CommentsPermalink
‘(vi) an analysis of whether the existing STTR allocation has impacted the effectiveness of the program in achieving its goals; CommentsClose CommentsPermalink
‘(C) make recommendations with respect to the issues described in subparagraph (A)(ii) and subparagraphs (A), (D), and (E) of subsection (a)(2); and‘(C and subparagraph (B) of this paragraph; and CommentsClose CommentsPermalink
‘(D) estimate, to the extent practicable, the number of jobs created by the SBIR program or STTR program of the agency. CommentsClose CommentsPermalink
‘(2) CONSULTATION- An agreement under paragraph (1) shall require the National Research Council to ensure that there is participation by and consultation with the small business community, the Administration, and other interested parties as described in subsection (b). CommentsClose CommentsPermalink
‘(3) REPORTING- An agreement under paragraph (1) shall require that not later than-- CommentsClose CommentsPermalink
‘(A) not later than 4 years after the date of enactment of the Creating Jobs Through Small Business Innovation Act of 2011, 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 and the Committee on Science, Space, and Technology of the House of Representatives a report , a report regarding the study conducted under paragraph (1) and containing the recommendations described in paragraph (1); and CommentsClose CommentsPermalink
‘(B) not later than 2 years after the date of enactment of the Creating Jobs Through Small Business Innovation Act of 2011, 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 and the Committee on Science, Space, and Technology of the House of Representatives, a report of preliminary findings and recommendations regarding the study conducted under paragraph (1)(B).’. CommentsClose CommentsPermalink
SEC. 308. TECHNOLOGY INSERTION REPORTING REQUIREMENTS.
Section 9 of the Small Business Act (
‘(jjll) 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. OBTAINING CONSENT FROM SBIR AND STTR APPLICANTS TO RELEASE CONTACT INFORMATION TO ECONOMIC DEVELOPMENT ORGANIZATIONS.
Section 9 of the Small Business Act (
‘(kkmm) Consent To Release Contact Information to Organizations- CommentsClose CommentsPermalink
‘(1) ENABLING CONCERN TO GIVE CONSENT- Each Federal agency required by this section to conduct an SBIR program or an STTR program shall enable a small business concern that is an SBIR applicant or an STTR applicant to indicate to the Federal agency whether the Federal agency has the consent of the concern to-- CommentsClose CommentsPermalink
‘(A) identify the concern to appropriate local and State-level economic development organizations as an SBIR applicant or an STTR applicant; and CommentsClose CommentsPermalink
‘(B) release the contact information of the concern to such organizations. CommentsClose CommentsPermalink
‘(2) RULES- The Administrator shall establish rules to implement this subsection. The rules shall include a requirement that a Federal agency include in the SBIR and STTR application a provision through which the applicant can indicate consent for purposes of paragraph (1).’. CommentsClose CommentsPermalink
SEC. 310. PILOT TO ALLOW FUNDING FOR ADMINISTRATIVE, OVERSIGHT, AND CONTRACT PROCESSING COSTS.
(a) In General- Section 9 of the Small Business Act (
‘(llnn) Assistance for Administrative, Oversight, and Contract Processing Costs- CommentsClose CommentsPermalink
‘(1) IN GENERAL- Subject to paragraph (2), for the 3 full fiscal years beginning after the date of enactment of this subsection, the Administrator shall allow each Federal agency required to conduct an SBIR program to use not more than 3 percent of the funds allocated to the SBIR program of the Federal agency for-- CommentsClose CommentsPermalink
‘(A) the administration of the SBIR program or the STTR program of the Federal agency; CommentsClose CommentsPermalink
‘(B) the provision of outreach and technical assistance relating to the SBIR program or STTR program of the Federal agency, including technical assistance site visits and personnel interviews; CommentsClose CommentsPermalink
‘(C) the implementation of commercialization and outreach initiatives that were not in effect on the date of enactment of this subsection; CommentsClose CommentsPermalink
‘(D) carrying out the program under subsection (y); CommentsClose CommentsPermalink
‘(E) activities relating to oversight and congressional reporting, including the waste, fraud, and abuse prevention activities described in section 312(a)(1)(B)(ii) of the Creating Jobs Through Small Business Innovation Act of 2011; CommentsClose CommentsPermalink
‘(F) targeted reviews of recipients of awards under the SBIR program or STTR program of the Federal agency that the head of the Federal agency determines are at high risk for fraud, waste, or abuse, to ensure compliance with requirements of the SBIR program or STTR program, respectively; CommentsClose CommentsPermalink
‘(G) the implementation of oversight and quality control measures, including verification of reports and invoices and cost reviews; CommentsClose CommentsPermalink
‘(H) carrying out subsection (dd); CommentsClose CommentsPermalink
‘(I) carrying out subsection (hh); CommentsClose CommentsPermalink
‘(J) contract processing costs relating to the SBIR program or STTR program of the Federal agency; and CommentsClose CommentsPermalink
‘(K) funding for additional personnel and assistance with application reviews. CommentsClose CommentsPermalink
‘(2) PERFORMANCE CRITERIA- A Federal agency may not use funds as authorized under paragraph (1) until after the effective date of performance criteria, which the Administrator shall establish, to measure any benefits of using funds as authorized under paragraph (1) and to assess continuation of the authority under paragraph (1). CommentsClose CommentsPermalink
‘(3) RULES- Not later than 180 days after the date of enactment of this subsection, the Administrator shall issue rules to carry out this subsection. CommentsClose CommentsPermalink
‘(4) COORDINATION WITH IG- Each Federal agency shall coordinate the activities funded under subparagraph (E), (F), or (G) of paragraph (1) with their respective Inspectors General, when appropriate, and each Federal agency that allocates more than $50,000,000 to the SBIR program of the Federal agency for a fiscal year may share such funding with its Inspector General when the Inspector General performs such activities.’. CommentsClose CommentsPermalink
(b) Technical and Conforming Amendments- CommentsClose CommentsPermalink
(1) IN GENERAL- Section 9 of the Small Business Act (
(A) in subsection (f)(2), by striking ‘shall not’ and all that follows through ‘make available for the purpose’ and inserting ‘shall not make available for the purpose’; and CommentsClose CommentsPermalink
(B) in subsection (y)-- CommentsClose CommentsPermalink
(i) by striking paragraph (4); and CommentsClose CommentsPermalink
(ii) by redesignating paragraphs (5) and (6) as paragraphs (4) and (5), respectively. CommentsClose CommentsPermalink
(2) TRANSITIONAL RULE- Notwithstanding the amendments made by paragraph (1), subsection (f)(2) and (y)(4) of section 9 of the Small Business Act (
(3) PROSPECTIVE REPEAL- Effective on the first day of the fourth full fiscal year following the date of enactment of this Act, section 9 of the Small Business Act (
(A) in subsection (f)(2), by striking ‘shall not make available for the purpose’ and inserting the following: ‘shall not-- CommentsClose CommentsPermalink
‘(A) use any of its SBIR budget established pursuant to paragraph (1) for the purpose of funding administrative costs of the program, including costs associated with salaries and expenses; or CommentsClose CommentsPermalink
‘(B) make available for the purpose’; and CommentsClose CommentsPermalink
(B) in subsection (y)-- CommentsClose CommentsPermalink
(i) by redesignating paragraphs (4) and (5) as paragraphs (5) and (6), respectively; and CommentsClose CommentsPermalink
(ii) by inserting after paragraph (3) the following: CommentsClose CommentsPermalink
‘(4) FUNDING- CommentsClose CommentsPermalink
‘(A) IN GENERAL- The Secretary of Defense and each Secretary of a military department may use not more than an amount equal to 1 percent of the funds available to the Department of Defense or the military department pursuant to the Small Business Innovation Research Program for payment of expenses incurred to administer the Commercialization Pilot Program under this subsection. CommentsClose CommentsPermalink
‘(B) LIMITATIONS- The funds described in subparagraph (A)-- CommentsClose CommentsPermalink
‘(i) shall not be subject to the limitations on the use of funds in subsection (f)(2); and CommentsClose CommentsPermalink
‘(ii) shall not be used to make Phase III awards.’. CommentsClose CommentsPermalink
SEC. 311. GAO STUDY WITH RESPECT TO VENTURE CAPITAL OPERATING COMPANY, HEDGE FUND, AND PRIVATE EQUITY FIRM INVOLVEMENT.
Not later than 2 years after the date of enactment of this Act, and every 2 years thereafter, the Comptroller General of the United States shall-- CommentsClose CommentsPermalink
(1) conduct a study of the impact of requirements relating to venture capital operating company, hedge fund, and private equity firm involvement under section 9 of the Small Business Act; and CommentsClose CommentsPermalink
(2) submit to Congress a report regarding the study conducted under paragraph (1). CommentsClose CommentsPermalink
SEC. 312. REDUCING VULNERABILITY OF SBIR AND STTR PROGRAMS TO FRAUD, WASTE, AND ABUSE.
(a) Fraud, Waste, and Abuse Prevention- CommentsClose CommentsPermalink
(1) GUIDELINESAMENDMENTS REQUIRED FOR FRAUD, WASTE, AND ABUSE PREVENTION- (A) AMENDMENTS REQUIRED- Not later than 90 days after the date of enactment of this Act, the Administrator shall amend the SBIR Policy Directive and the STTR Policy Directive to include measures to prevent fraud, waste, and abuse in the SBIR program and the STTR program. CommentsClose CommentsPermalink
(B2) CONTENT OF AMENDMENTS- The amendments required under subparagraph (Aparagraph (1) shall include-- CommentsClose CommentsPermalink
(iA) definitions or descriptions of fraud, waste, and abuse; CommentsClose CommentsPermalink
(ii) a requirement that theB) guidelines for the monitoring and oversight of applicants to and recipients of awards under the SBIR program or the STTR program; CommentsClose CommentsPermalink
(C) a requirement that each Federal agency that participates in the SBIR program or STTR program include information concerning the method established by the Inspector General of the Federal agency to report fraud, waste, and abuse (including any telephone hotline or Web-based platform)-- CommentsClose CommentsPermalink
(i) on the website of the Federal agency; and CommentsClose CommentsPermalink
(ii) in any solicitation or notice of funding opportunity issued by the Federal agency for the SBIR program or the STTR program; and CommentsClose CommentsPermalink
(D) a requirement that each applicant for and small business concern that receives funding under the SBIR program or the STTR program shall certify whether the applicant or small business concern is in compliance with the laws relating to the SBIR program and the STTR program and the conduct guidelines established under the SBIR Policy Directive and the STTR Policy Directive. CommentsClose CommentsPermalink
(3) CONSULTATION- The Administrator shall develop the certification required under paragraph (2)(D) in cooperation with the Council of Inspectors General on Integrity and Efficiency and the Office of Advocacy of the Administration. CommentsClose CommentsPermalink
(4) INSPECTORS GENERAL- The Inspector General of each Federal agency that participates in the SBIR program or the STTR program cooperate to--(I) establishSTTR program shall cooperate to prevent fraud, waste, and abuse in the SBIR program and the STTR program by-- CommentsClose CommentsPermalink
(A) establishing fraud detection indicators; CommentsClose CommentsPermalink
(II) reviewB) reviewing regulations and operating procedures of the Federal agencies;(III) coordinate information y; CommentsClose CommentsPermalink
(C) coordinating information sharing between the Federal agencies; and(IV) improveFederal agencies, to the extent otherwise permitted under Federal law; and CommentsClose CommentsPermalink
(D) improving the education and training of, and outreach to-- CommentsClose CommentsPermalink
(aai) administrators of the SBIR program and the STTR program of each Federal agency;(bbthe Federal agency; CommentsClose CommentsPermalink
(ii) applicants to the SBIR program or the STTR program; and CommentsClose CommentsPermalink
(cc) recipients of awards underiii) recipients of awards under the SBIR program or the STTR program. CommentsClose CommentsPermalink
(b) Study and Report- Not later than 1 year after the date of enactment of this Act to establish a baseline of changes made to the program to fight fraud, waste, and abuse, and every 3 years thereafter to evaluate the effectiveness of the agency strategies, the Comptroller General of the United States shall-- CommentsClose CommentsPermalink
(1) conduct a study that evaluates-- CommentsClose CommentsPermalink
(A) the implementation by each Federal agency that participates in the SBIR program or the STTR program of the amendments to the SBIR Policy Directive and the STTR Policy Directive made pursuant to subsection (a); CommentsClose CommentsPermalink
(B) the effectiveness of the management information system of each Federal agency that participates in the SBIR program or STTR program in identifying duplicative SBIR and STTR projects; CommentsClose CommentsPermalink
(C) the effectiveness of the risk management strategies of each Federal agency that participates in the SBIR program or STTR program in identifying areas of the SBIR program or the STTR program that are at high risk for fraud; CommentsClose CommentsPermalink
(D) technological tools that may be used to detect patterns of behavior that may indicate fraud by applicants to the SBIR program or the STTR program; CommentsClose CommentsPermalink
(iiiE) the success of each Federal agency that participates in the SBIR program or STTR program in reducing fraud, waste, and abuse in the SBIR program or the STTR program of the Federal agency; and CommentsClose CommentsPermalink
(F) the extent to which the Inspector General of each Federal agency that participates in the SBIR and STTR program effectively conducts investigations, audits, inspections, and outreach relating to the SBIR and STTR programs of the Federal agency; and CommentsClose CommentsPermalink
(2) submit to the Committee on Small Business and Entrepreneurship of the Senate, the Committee on Small Business and the Committee on Science, Space, and Technology of the House of Representatives, and the head of each Federal agency that participates in the SBIR program or STTR program a report on the results of the study conducted under subparagraph (A). CommentsClose CommentsPermalink
SEC. 313. SIMPLIFIED PAPERWORK REQUIREMENTS.
Section 9(v) of the Small Business Act (
(1) in the subsection heading, by striking ‘Simplified Reporting Requirements’ and inserting ‘Reducing Paperwork and Compliance Burden’; CommentsClose CommentsPermalink
(2) by striking ‘The Administrator’ and inserting the following: CommentsClose CommentsPermalink
‘(1) STANDARDIZATION OF REPORTING REQUIREMENTS- The Administrator’; and CommentsClose CommentsPermalink
(3) by adding at the end the following: CommentsClose CommentsPermalink
‘(2) SIMPLIFICATION OF APPLICATION AND AWARD PROCESS- Not later than one year after the date of enactment of this paragraph, and after a period of public comment, the Administrator shall issue regulations or guidelines, taking into consideration the unique needs of each Federal agency, to ensure that each Federal agency required to carry out an SBIR program or STTR program simplifies and standardizes the program proposal, selection, contracting, compliance, and audit procedures for the SBIR program or STTR program of the Federal agency (including procedures relating to overhead rates for applicants and documentation requirements) to reduce the paperwork and regulatory compliance burden on small business concerns applying to and participating in the SBIR program or STTR program.’. CommentsClose CommentsPermalink
SEC. 314. REDUCING FRAUD, WASTE, AND ABUSE.
Not later than 4 years after the date of enactment of this Act, and every 4 years thereafter, the Comptroller General of the United States shall-- CommentsClose CommentsPermalink
(1) conduct a study of the effectiveness of the government and public databases described in section 9(k) of the Small Business Act (
(2) make recommendations with respect to the issues described in paragraph (1); and CommentsClose CommentsPermalink
(3) submit to the head of each agency described in section 108(a) of the Small Business Reauthorization Act of 2000 (
TITLE IV--POLICY DIRECTIVES
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
TITLE V--OTHER PROVISIONS
CommentsClose CommentsPermalink
TITLE V--OTHER PROVISIONS CommentsClose CommentsPermalink
SEC. 501. REPORT ON SBIR AND STTR PROGRAM GOALS.
Section 9 of the Small Business Act (
‘(oo) Annual Report on SBIR and STTR Program Goals- CommentsClose CommentsPermalink
‘(1) DEVELOPMENT OF METRICS- The head of each Federal agency required to participate in the SBIR program or the STTR program shall develop metrics to evaluate the effectiveness, and the benefit to the people of the United States, of the SBIR program and the STTR program of the Federal agency that-- CommentsClose CommentsPermalink
‘(A) are science-based and statistically driven; CommentsClose CommentsPermalink
‘(B) reflect the mission of the Federal agency; and CommentsClose CommentsPermalink
‘(C) include factors relating to the economic impact of the programs. CommentsClose CommentsPermalink
‘(2) EVALUATION- The head of each Federal agency described in paragraph (1) shall conduct an annual evaluation using the metrics developed under paragraph (1) of-- CommentsClose CommentsPermalink
‘(A) the SBIR program and the STTR program of the Federal agency; and CommentsClose CommentsPermalink
‘(B) the benefits to the people of the United States of the SBIR program and the STTR program of the Federal agency. CommentsClose CommentsPermalink
‘(3) REPORT- CommentsClose CommentsPermalink
‘(A) IN GENERAL- The head of each Federal agency described in paragraph (1) shall submit to the appropriate committees of Congress and the Administrator an annual report describing in detail the results of an evaluation conducted under paragraph (2). CommentsClose CommentsPermalink
‘(B) PUBLIC AVAILABILITY OF REPORT- The head of each Federal agency described in paragraph (1) shall make each report submitted under subparagraph (A) available to the public online. CommentsClose CommentsPermalink
‘(C) DEFINITION- In this paragraph, the term ‘appropriate committees of Congress’ means-- CommentsClose CommentsPermalink
‘(i) the Committee on Small Business and Entrepreneurship of the Senate; and CommentsClose CommentsPermalink
‘(ii) the Committee on Small Business and the Committee on Science, Space, and Technology of the House of Representatives.’. CommentsClose CommentsPermalink
SEC. 502. COMPETITIVE SELECTION PROCEDURES FOR SBIR AND STTR PROGRAMS.
Section 9 of the Small Business Act (
‘(pp) Competitive Selection Procedures for SBIR and STTR Programs- All funds awarded, appropriated, or otherwise made available in accordance with subsection (f) or (n) must be awarded pursuant to competitive and merit-based selection procedures.’. CommentsClose CommentsPermalink
SEC. 503. LOAN RESTRICTIONS.
(a) Rule Required- For purposes of section 9 of the Small Business Act (
(b) Failure to Promulgate- If the Administrator fails to promulgate a rule in the time period required under subsection (a), the holder of a note, bond, debenture, other evidence of indebtedness, or preferred stock shall be considered to be affiliated with the debtor or issuer of the preferred stock until such time as the Administrator promulgates the rule required under subsection (a). CommentsClose CommentsPermalink
SEC. 504. PROGRAM DIVERSIFICATION.
Federal agencies shall encourage applications under the SBIR and STTR programs (to the extent that the projects relate to the mission of the Federal agency) from-- CommentsClose CommentsPermalink
(1) small business concerns in geographic areas underrepresented in the SBIR and STTR programs or located in rural areas (as defined in section 1393(a)(2) of the Internal Revenue Code of 1986); CommentsClose CommentsPermalink
(2) small business concerns owned and controlled by women; CommentsClose CommentsPermalink
(3) small business concerns owned and controlled by veterans; CommentsClose CommentsPermalink
(4) small business concerns owned and controlled by minorities; CommentsClose CommentsPermalink
(5) small business concerns owned and controlled by people with disabilities; and CommentsClose CommentsPermalink
(6) small business concerns located in a geographic area with an unemployment rate that exceeds the national unemployment rate, based on the most recently available monthly publications of the Bureau of Labor Statistics of the Department of Labor. CommentsClose CommentsPermalink
SECTION 1. SHORT TITLE.
This Act may be cited as the ‘Creating Jobs Through Small Business Innovation Act of 2011’.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. SBIR and STTR award levels.CommentsClose CommentsPermalink
Sec. 103. Agency and program flexibility.CommentsClose CommentsPermalink
Sec. 104. Elimination of Phase II invitations.CommentsClose CommentsPermalink
Sec. 105. Phase flexibility.CommentsClose CommentsPermalink
Sec. 106. Participation by firms with substantial investment from multiple venture capital operating companies, hedge funds, or private equity firms in a portion of the SBIR program.CommentsClose CommentsPermalink
Sec. 107. Ensuring that innovative small businesses with substantial investment from venture capital operating companies, hedge funds, or private equity firms are able to participate in the SBIR and STTR programs.CommentsClose CommentsPermalink
Sec. 108. SBIR and STTR special acquisition preference.CommentsClose CommentsPermalink
Sec. 109. Collaborating with Federal laboratories and research and development centers.CommentsClose CommentsPermalink
Sec. 110. Notice requirement.CommentsClose CommentsPermalink
Sec. 111. Additional SBIR and STTR Awards.CommentsClose CommentsPermalink
TITLE II--OUTREACH AND COMMERCIALIZATION INITIATIVES
Sec. 201. Technical assistance for awardees.CommentsClose CommentsPermalink
Sec. 202. Commercialization Readiness Program at Department of Defense.CommentsClose CommentsPermalink
Sec. 203. Commercialization Readiness Pilot Program for civilian agencies.CommentsClose CommentsPermalink
Sec. 204. Interagency Policy Committee.CommentsClose CommentsPermalink
Sec. 205. Clarifying the definition of ‘Phase III’.CommentsClose CommentsPermalink
Sec. 206. Shortened period for final decisions on proposals and applications.CommentsClose CommentsPermalink
Sec. 207. Phase 0 Proof of Concept Partnership pilot program.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. Obtaining consent from SBIR and STTR applicants to release contact information to economic development organizations.CommentsClose CommentsPermalink
Sec. 310. Pilot to allow funding for administrative, oversight, and contract processing costs.CommentsClose CommentsPermalink
Sec. 311. GAO study with respect to venture capital operating company, hedge fund, and private equity firm involvement.CommentsClose CommentsPermalink
Sec. 312. Reducing vulnerability of SBIR and STTR programs to fraud, waste, and abuse.CommentsClose CommentsPermalink
Sec. 313. Simplified paperwork requirements.CommentsClose CommentsPermalink
Sec. 314. Reducing fraud, waste, and abuse.CommentsClose CommentsPermalink
TITLE IV--POLICY DIRECTIVES
Sec. 401. Conforming amendments to the SBIR and the STTR Policy Directives.CommentsClose CommentsPermalink
TITLE V--OTHER PROVISIONS
Sec. 501. Report on SBIR and STTR program goals.CommentsClose CommentsPermalink
Sec. 502. Competitive selection procedures for SBIR and STTR programs.CommentsClose CommentsPermalink
Sec. 503. Loan restrictions.CommentsClose CommentsPermalink
Sec. 504. Limitation on pilot programs.CommentsClose CommentsPermalink
Sec. 505. Ensuring equity in SBIR and STTR awards to individual companies.CommentsClose CommentsPermalink
Sec. 506. Inspector General reports.CommentsClose CommentsPermalink
Sec. 507. Timing.CommentsClose CommentsPermalink
Sec. 508. Publication of certain information.CommentsClose CommentsPermalink
Sec. 509. Preference for clean coal technology research.CommentsClose CommentsPermalink
Sec. 510. Report on enhancement of manufacturing activities.CommentsClose CommentsPermalink
Sec. 511. Express authority to ‘fast-track’ Phase II awards for promising Phase I research.CommentsClose CommentsPermalink
Sec. 512. Increased partnerships between SBIR awardees and prime contractors, venture capital investment companies, and larger businesses.CommentsClose CommentsPermalink
Sec. 513. Preference for acid mine drainage research.CommentsClose CommentsPermalink
Sec. 514. Preference for hydraulic fracturing research.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 (
(3) the term ‘small business concern’ has the meaning given that term under section 3 of the Small Business Act (
TITLE I--REAUTHORIZATION OF THE SBIR AND STTR PROGRAMSCommentsClose CommentsPermalink
TITLE I--REAUTHORIZATION OF THE SBIR AND STTR PROGRAMSCommentsClose CommentsPermalink
SEC. 101. EXTENSION OF TERMINATION DATES.
(a) SBIR- Section 9(m) of the Small Business Act (
(1) by striking ‘Termination- ’ and all that follows through ‘the authorization’ and inserting ‘Termination- The authorization’;CommentsClose CommentsPermalink
(2) by striking ‘2008’ and inserting ‘2014’; andCommentsClose CommentsPermalink
(3) by striking paragraph (2).CommentsClose CommentsPermalink
(b) STTR- Section 9(n)(1)(A) of the Small Business Act (
(1) by striking ‘IN GENERAL- ’ and all that follows through ‘with respect’ and inserting ‘IN GENERAL- With respect’;CommentsClose CommentsPermalink
(2) by striking ‘2009’ and inserting ‘2014’; andCommentsClose CommentsPermalink
(3) by striking clause (ii).CommentsClose CommentsPermalink
SEC. 102. SBIR AND STTR AWARD LEVELS.
(a) SBIR Adjustments- Section 9(j)(2)(D) of the Small Business Act (
(1) by striking ‘$100,000’ and inserting ‘$150,000’; andCommentsClose 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 (
(1) by striking ‘$100,000’ and inserting ‘$150,000’; andCommentsClose CommentsPermalink
(2) by striking ‘$750,000’ and inserting ‘$1,000,000’.CommentsClose CommentsPermalink
(c) Annual Adjustments- Section 9 of the Small Business Act (
(1) in subsection (j)(2)(D), by striking ‘once every 5 years to reflect economic adjustments and programmatic considerations’ and inserting ‘every year for inflation’; andCommentsClose CommentsPermalink
(2) in subsection (p)(2)(B)(ix), as amended by subsection (b) of this section, by inserting ‘(each of which the Administrator shall adjust for inflation annually)’ after ‘$1,000,000,’.CommentsClose CommentsPermalink
(d) Limitation on Size of Awards- Section 9 of the Small Business Act (
‘(aa) Limitation on Size of 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) MAINTENANCE 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; andCommentsClose CommentsPermalink
‘(D) whether an award recipient has received any venture capital, hedge fund, or private equity firm investment and, if so, whether the recipient is majority-owned by multiple venture capital operating companies, hedge funds, or private equity firms.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. 103. AGENCY AND PROGRAM FLEXIBILITY.
Section 9 of the Small Business Act (
‘(bb) Subsequent Phase II Awards-CommentsClose CommentsPermalink
‘(1) AGENCY FLEXIBILITY- A small business concern that received a Phase I award from a Federal agency under this section shall be eligible to receive a subsequent Phase II award 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 PROGRAM FLEXIBILITY- A small business concern that received a Phase I award under this section under the SBIR program or the STTR program may receive a subsequent Phase II award 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. 104. ELIMINATION OF PHASE II INVITATIONS.
Section 9(e) of the Small Business Act (
(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 Phase II, that will further’; andCommentsClose 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 Phase II, that will further develop proposals that’.CommentsClose CommentsPermalink
SEC. 105. PHASE FLEXIBILITY.
Section 9 of the Small Business Act (
‘(cc) Phase I Required- Under this section, a Federal agency shall provide to a small business concern an award under Phase II of an SBIR program with respect to a project only if such agency finds that the small business concern has been provided an award under Phase I of an SBIR program with respect to such project or has completed the determinations described in subsection (e)(4)(A) with respect to such project despite not having been provided a Phase I award.’.CommentsClose CommentsPermalink
SEC. 106. PARTICIPATION BY FIRMS WITH SUBSTANTIAL INVESTMENT FROM MULTIPLE VENTURE CAPITAL OPERATING COMPANIES, HEDGE FUNDS, OR PRIVATE EQUITY FIRMS IN A PORTION OF THE SBIR PROGRAM.
(a) In General- Section 9 of the Small Business Act (
‘(dd) Participation of Small Business Concerns Majority-Owned by Venture Capital Operating Companies, Hedge Funds, or Private Equity Firms in the SBIR Program-CommentsClose CommentsPermalink
‘(1) AUTHORITY- Upon a written determination described in paragraph (2) provided to the Administrator, the Committee on Small Business and Entrepreneurship of the Senate, and the Committee on Small Business and the Committee on Science, Space, and Technology of the House of Representatives not later than 30 days before the date on which an award is made--CommentsClose CommentsPermalink
‘(A) the Director of the National Institutes of Health, the Secretary of Energy, the Administrator of the National Aeronautics and Space Administration, and the Director of the National Science Foundation may award not more than 45 percent of the funds allocated for the SBIR program of the Federal agency to small business concerns that are owned in majority part by multiple venture capital operating companies, hedge funds, or private equity firms through competitive, merit-based procedures that are open to all eligible small business concerns; andCommentsClose CommentsPermalink
‘(B) the head of a Federal agency other than a Federal agency described in subparagraph (A) that participates in the SBIR program may award not more than 35 percent of the funds allocated for the SBIR program of the Federal agency to small business concerns that are owned in majority part by multiple venture capital operating companies, hedge funds, or private equity firms through competitive, merit-based procedures that are open to all eligible small business concerns.CommentsClose CommentsPermalink
‘(2) DETERMINATION- A written determination described in this paragraph is a written determination by the head of a Federal agency that explains how the use of the authority under paragraph (1) will--CommentsClose CommentsPermalink
‘(A) induce additional venture capital, hedge fund, or private equity firm funding of small business innovations;CommentsClose CommentsPermalink
‘(B) substantially contribute to the mission of the Federal agency;CommentsClose CommentsPermalink
‘(C) demonstrate a need for public research; andCommentsClose CommentsPermalink
‘(D) otherwise fulfill the capital needs of small business concerns for additional financing for the SBIR project.CommentsClose CommentsPermalink
‘(3) REGISTRATION- A small business concern that is majority-owned by multiple venture capital operating companies, hedge funds, or private equity firms 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; andCommentsClose CommentsPermalink
‘(B) indicate in any SBIR proposal that the small business concern is registered under subparagraph (A) as majority-owned by multiple venture capital operating companies, hedge funds, or private equity firms.CommentsClose CommentsPermalink
‘(4) COMPLIANCE-CommentsClose CommentsPermalink
‘(A) IN GENERAL- The head of a Federal agency that makes an award under this subsection during a fiscal year shall collect and submit to the Administrator data relating to the number and dollar amount of Phase I awards, Phase II awards, and any other category of awards by the Federal agency under the SBIR program during that fiscal year.CommentsClose CommentsPermalink
‘(B) ANNUAL REPORTING- The Administrator shall include as part of each annual report by the Administration under subsection (b)(7) any data submitted under subparagraph (A) and a discussion of the compliance of each Federal agency that makes an award under this subsection during the fiscal year with the maximum percentages under paragraph (1).CommentsClose CommentsPermalink
‘(5) ENFORCEMENT- If a Federal agency awards more than the percent of the funds allocated for the SBIR program of the Federal agency authorized under paragraph (1) for a purpose described in paragraph (1), the head of the Federal agency shall transfer an amount equal to the amount awarded in excess of the amount authorized under paragraph (1) to the funds for general SBIR programs from the non-SBIR and non-STTR research and development funds of the Federal agency not later than 180 days after the date on which the Federal agency made the award that caused the total awarded under paragraph (1) to be more than the amount authorized under paragraph (1) for a purpose described in paragraph (1).CommentsClose CommentsPermalink
‘(6) FINAL DECISIONS ON APPLICATIONS UNDER THE SBIR PROGRAM-CommentsClose CommentsPermalink
‘(A) DEFINITION- In this paragraph, the term ‘covered small business concern’ means a small business concern that--CommentsClose CommentsPermalink
‘(i) was not majority-owned by multiple venture capital operating companies, hedge funds, or private equity firms on the date on which the small business concern submitted an application in response to a solicitation under the SBIR programs; andCommentsClose CommentsPermalink
‘(ii) on the date of the award under the SBIR program is majority-owned by multiple venture capital operating companies, hedge funds, or private equity firms.CommentsClose CommentsPermalink
‘(B) IN GENERAL- If a Federal agency does not make an award under a solicitation under the SBIR program before the date that is 9 months after the date on which the period for submitting applications under the solicitation ends--CommentsClose CommentsPermalink
‘(i) a covered small business concern is eligible to receive the award, without regard to whether the covered small business concern meets the requirements for receiving an award under the SBIR program for a small business concern that is majority-owned by multiple venture capital operating companies, hedge funds, or private equity firms, if the covered small business concern meets all other requirements for such an award; andCommentsClose CommentsPermalink
‘(ii) the head of the Federal agency shall transfer an amount equal to any amount awarded to a covered small business concern under the solicitation to the funds for general SBIR programs from the non-SBIR and non-STTR research and development funds of the Federal agency, not later than 90 days after the date on which the Federal agency makes the award.CommentsClose CommentsPermalink
‘(7) EVALUATION CRITERIA- A Federal agency may not use investment of venture capital or investment from hedge funds or private equity firms as a criterion for the award of contracts under the SBIR program or STTR program.’.CommentsClose CommentsPermalink
(b) Technical and Conforming Amendment- Section 3 of the Small Business Act (
‘(aa) Venture Capital Operating Company- In this Act, the term ‘venture capital operating 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
‘(bb) Hedge Fund- In this Act, the term ‘hedge fund’ has the meaning given that term in section 13(h)(2) of the Bank Holding Company Act of 1956 (
).CommentsClose CommentsPermalink 12 U.S.C. 1851(h)(2) ‘(cc) Private Equity Firm- In this Act, the term ‘private equity firm’ has the meaning given the term ‘private equity fund’ in section 13(h)(2) of the Bank Holding Company Act of 1956 (
).’.CommentsClose CommentsPermalink 12 U.S.C. 1851(h)(2)
SEC. 107. ENSURING THAT INNOVATIVE SMALL BUSINESSES WITH SUBSTANTIAL INVESTMENT FROM VENTURE CAPITAL OPERATING COMPANIES, HEDGE FUNDS, OR PRIVATE EQUITY FIRMS ARE ABLE TO PARTICIPATE IN THE SBIR AND STTR PROGRAMS.
Section 9 of the Small Business Act (
‘(ee) Venture Capital Operating Companies, Hedge Funds, and Private Equity Firms- Effective only for the SBIR and STTR programs the following shall apply:CommentsClose CommentsPermalink
‘(1) A business concern that has more than 500 employees shall not qualify as a small business concern.CommentsClose CommentsPermalink
‘(2) In determining whether a small business concern is independently owned and operated under section 3(a)(1) or meets the small business size standards instituted under section 3(a)(2), the Administrator shall not consider a business concern to be affiliated with a venture capital operating company, hedge fund, or private equity firm (or with any other business that the venture capital operating company, hedge fund, or private equity firm has financed) if--CommentsClose CommentsPermalink
‘(A) the venture capital operating company, hedge fund, or private equity firm does not own 50 percent or more of the business concern; andCommentsClose CommentsPermalink
‘(B) employees of the venture capital operating company, hedge fund, or private equity firm do not constitute a majority of the board of directors of the business concern.CommentsClose CommentsPermalink
‘(3) A business concern shall be deemed to be ‘independently owned and operated’ if--CommentsClose CommentsPermalink
‘(A) it is owned in majority part by one or more natural persons or venture capital operating companies, hedge funds, or private equity firms;CommentsClose CommentsPermalink
‘(B) there is no single venture capital operating company, hedge fund, or private equity firm that owns 50 percent or more of the business concern; andCommentsClose CommentsPermalink
‘(C) there is no single venture capital operating company, hedge fund, or private equity firm the employees of which constitute a majority of the board of directors of the business concern.CommentsClose CommentsPermalink
‘(4) If a venture capital operating company, hedge fund, or private equity firm controlled by a business with more than 500 employees (in this paragraph referred to as a ‘VCOC, hedge fund, or private equity firm under large business control’) has an ownership interest in a small business concern that is owned in majority part by venture capital operating companies, hedge funds, or private equity firms, the small business concern is eligible to receive an award under the SBIR or STTR program only if--CommentsClose CommentsPermalink
‘(A) not more than two VCOCs, hedge funds, or private equity firms under large business control have an ownership interest in the small business concern; andCommentsClose CommentsPermalink
‘(B) the VCOCs, hedge funds, or private equity firms under large business control do not collectively own more than 20 percent of the small business concern.’.CommentsClose CommentsPermalink
SEC. 108. SBIR AND STTR SPECIAL ACQUISITION PREFERENCE.
Section 9(r) of the Small Business Act (
‘(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. 109. COLLABORATING WITH FEDERAL LABORATORIES AND RESEARCH AND DEVELOPMENT CENTERS.
Section 9 of the Small Business Act (
‘(ff) 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; orCommentsClose 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 (
)) with a Federal laboratory.CommentsClose CommentsPermalink 15 U.S.C. 3710a(d) ‘(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; orCommentsClose 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; andCommentsClose 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
‘(4) ADVANCE PAYMENT- If a small business concern receiving an award under this section enters 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, the Federal laboratory or federally funded research and development center may not require advance payment from the small business concern in an amount greater than the amount necessary to pay for 30 days of such activities.’.CommentsClose CommentsPermalink
SEC. 110. NOTICE REQUIREMENT.
(a) SBIR Program- Section 9(g) of the Small Business Act (
(1) in paragraph (10), by striking ‘and’ at the end;CommentsClose CommentsPermalink
(2) in paragraph (11), by striking the period at the end and inserting ‘; and’; andCommentsClose CommentsPermalink
(3) by adding at the end the following:CommentsClose CommentsPermalink
‘(12) provide timely notice to the Administrator of any case or controversy before any Federal judicial or administrative tribunal concerning the SBIR program of the Federal agency.’.CommentsClose CommentsPermalink
(b) STTR Program- Section 9(o) of the Small Business Act (
(1) by striking paragraph (15);CommentsClose CommentsPermalink
(2) in paragraph (16), by striking the period at the end and inserting ‘; and’;CommentsClose CommentsPermalink
(3) by redesignating paragraph (16) as paragraph (15); andCommentsClose CommentsPermalink
(4) by adding at the end the following:CommentsClose CommentsPermalink
‘(16) provide timely notice to the Administrator of any case or controversy before any Federal judicial or administrative tribunal concerning the STTR program of the Federal agency.’.CommentsClose CommentsPermalink
SEC. 111. ADDITIONAL SBIR AND STTR AWARDS.
Section 9 of the Small Business Act (
‘(gg) Additional SBIR and STTR Awards-CommentsClose CommentsPermalink
‘(1) EXPRESS AUTHORITY FOR AWARDING A SEQUENTIAL PHASE II AWARD- A small business concern that receives a Phase II SBIR award or a Phase II STTR award for a project remains eligible to receive one additional Phase II SBIR award or Phase II STTR award for continued work on that project.CommentsClose CommentsPermalink
‘(2) PREVENTING DUPLICATIVE AWARDS- The head of a Federal agency shall verify that any activity to be performed with respect to a project with a Phase I or Phase II SBIR or STTR award has not been funded under the SBIR program or STTR program of another Federal agency.’.CommentsClose CommentsPermalink
TITLE II--OUTREACH AND COMMERCIALIZATION INITIATIVESCommentsClose CommentsPermalink
TITLE II--OUTREACH AND COMMERCIALIZATION INITIATIVESCommentsClose CommentsPermalink
SEC. 201. TECHNICAL ASSISTANCE FOR AWARDEES.
Section 9(q) of the Small Business Act (
(1) in paragraph (1)--CommentsClose CommentsPermalink
(A) by inserting ‘or STTR program’ after ‘SBIR program’; andCommentsClose CommentsPermalink
(B) by striking ‘SBIR projects’ and inserting ‘SBIR or STTR projects’;CommentsClose CommentsPermalink
(2) in paragraph (2), by striking ‘3 years’ and inserting ‘5 years’; andCommentsClose CommentsPermalink
(3) in paragraph (3)--CommentsClose CommentsPermalink
(A) in subparagraph (A)--CommentsClose CommentsPermalink
(i) by inserting ‘or STTR’ after ‘SBIR’; andCommentsClose CommentsPermalink
(ii) by striking ‘$4,000’ and inserting ‘$5,000’;CommentsClose CommentsPermalink
(B) by striking subparagraph (B) and inserting the following:CommentsClose CommentsPermalink
‘(B) PHASE II- A Federal agency described in paragraph (1) may--CommentsClose CommentsPermalink
‘(i) provide to the recipient of a Phase II SBIR or STTR award, through a vendor selected under paragraph (2), the services described in paragraph (1), in an amount equal to not more than $5,000 per year; orCommentsClose CommentsPermalink
‘(ii) authorize the recipient of a Phase II SBIR or STTR award to purchase the services described in paragraph (1), in an amount equal to not more than $5,000 per year, which shall be in addition to the amount of the recipient’s award.’; andCommentsClose CommentsPermalink
(C) 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; orCommentsClose 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. 202. COMMERCIALIZATION READINESS PROGRAM AT DEPARTMENT OF DEFENSE.
(a) In General- Section 9(y) of the Small Business Act (
(1) in the subsection heading, by striking ‘Pilot’ and inserting ‘Readiness’;CommentsClose CommentsPermalink
(2) by striking ‘Pilot’ each place that term appears and inserting ‘Readiness’;CommentsClose CommentsPermalink
(3) in paragraph (1)--CommentsClose CommentsPermalink
(A) by inserting ‘or Small Business Technology Transfer Program’ after ‘Small Business Innovation Research Program’; andCommentsClose CommentsPermalink
(B) by adding at the end the following: ‘The authority to create and administer a Commercialization Readiness 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 (
(4) in paragraph (2), by inserting ‘or Small Business Technology Transfer Program’ after ‘Small Business Innovation Research Program’;CommentsClose CommentsPermalink
(5) in paragraph (5)--CommentsClose CommentsPermalink
(A) by striking ‘the Committee on Armed Services and the Committee on Small Business of the House of Representatives’ and inserting ‘the Committee on Armed Services, the Committee on Small Business, and the Committee on Science, Space, and Technology of the House of Representatives’; andCommentsClose CommentsPermalink
(B) by striking ‘shall include’ and inserting ‘shall include, in addition to the information described in paragraph (6)(C)’;CommentsClose CommentsPermalink
(6) by redesignating paragraph (5) as paragraph (7);CommentsClose CommentsPermalink
(7) by striking paragraph (6); andCommentsClose 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;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; andCommentsClose CommentsPermalink
‘(C) take action to ensure that, if a prime contractor on such a contract, after consultation with the Secretary, certifies that an appropriate Phase III technology is not available to be incorporated into a project of the prime contractor, such project shall be excluded from any determination of whether goals under subparagraph (A) have been met.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 Creating Jobs Through Small Business Innovation Act of 2011, or create new incentives, to encourage agency program managers and prime contractors to meet the goal under subparagraph (A); andComments