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Union Calendar No. 128

107TH CONGRESS

1ST SESSION H. R. 1860

[Report No. 107–213, Part I]

To reauthorize the Small Business Technology Transfer Program, and for

other purposes.

IN THE HOUSE OF REPRESENTATIVES

MAY 16, 2001

Mr. EHLERS (for himself and Mr. BARCIA) introduced the following bill; which

was referred to the Committee on Small Business, and in addition to the

Committee on Science, 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 concerned

SEPTEMBER 21, 2001

Additional sponsors: Mr. MANZULLO and Ms. VELA ́ZQUEZ

SEPTEMBER 21, 2001

Reported from the Committee on Small Business with an amendment

[Strike out all after the enacting clause and insert the part printed in italic]

SEPTEMBER 21, 2001

Referral to the Committee on Science extended for a period ending not later

than September 21, 2001

SEPTEMBER 21, 2001

The Committee on Science discharged; committed to the Committee of the

Whole House on the State of the Union and ordered to be printed
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A BILL

To reauthorize the Small Business Technology Transfer

Program, and for other purposes.

1 Be it enacted by the Senate and House of Representa2 tives of the United States of America in Congress assembled,

3 SECTION 1. SOLICITATIONS.

4 Section 9(o)(2) of the Small Business Act

5 (15 U.S.C. 638(o)(2)) is amended by inserting

6 ‘‘, which may be conjoined with SBIR solicita7 tions,’’ after ‘‘STTR solicitations’’.

8 SEC. 2. DATABASE.

9 (a) COLLECTION.—

10 (1) AMENDMENT.—Section 9(o)(9) of the

11 Small Business Act (15 U.S.C. 638(o)(9)) is

12 amended to read as follows:

13 ‘‘(9) collect, and maintain in a com14 mon format in accordance with sub15 section (v), such information from award16 ees as is necessary to assess the STTR

17 program, including information nec18 essary to maintain the database de19 scribed in subsection (k);’’.

20 (2) CONFORMING AMENDMENT.—Section

21 9(v) of the Small Business Act (15 U.S.C.

22 638(v)) is amended by inserting ‘‘or
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1 STTR’’ after ‘‘SBIR’’ both places it ap2 pears.

3 (b) DATABASE.—Section 9(k) of the Small

4 Business Act (15 U.S.C. 638(k)) is amended—

5 (1) by inserting ‘‘or STTR’’ after

6 ‘‘SBIR’’ each place it appears in para7 graph (1);

8 (2) by inserting ‘‘or required to have

9 an STTR program pursuant to subsection

10 (n),’’ after ‘‘subsection (f)(1),’’ in para11 graph (2);

12 (3) by inserting ‘‘and STTR’’ after

13 ‘‘solely for SBIR’’ in paragraph (2); and

14 (4) by inserting ‘‘or STTR’’ after

15 ‘‘SBIR’’ in paragraph (2)(A)(iii) and (D).

16 (c) EFFECTIVE DATE.—The amendments

17 made by this section shall take effect 180 days

18 after the date of the enactment of this Act.

19 SEC. 3. REAUTHORIZATION.

20 Section 9(n)(1) of the Small Business Act

21 (15 U.S.C. 638(n)(1)) is amended by striking

22 ‘‘and 2001’’ and inserting ‘‘2001, 2002, 2003,

23 2004, 2005, 2006, 2007, and 2008’’.
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1 SECTION 1. SHORT TITLE.

2 This Act may be cited as the ‘‘Small Business Tech3 nology Transfer Program Reauthorization Act of 2001’’.

4 SEC. 2. EXTENSION OF PROGRAM AND EXPENDITURE

5 AMOUNTS.

6 (a) IN GENERAL.—Section 9(n)(1) of the Small Busi7 ness Act (15 U.S.C. 638(n)(1)) is amended to read as fol8 lows:

9 ‘‘(1) REQUIRED EXPENDITURE AMOUNTS.—

10 ‘‘(A) IN GENERAL.—With respect to each

11 fiscal year through fiscal year 2009, each Federal

12 agency that has an extramural budget for re13 search, or research and development, in excess of

14 $1,000,000,000 for that fiscal year, shall expend

15 with small business concerns not less than the

16 percentage of that extramural budget specified in

17 subparagraph (B), specifically in connection

18 with STTR programs that meet the requirements

19 of this section and any policy directives and reg20 ulations issued under this section.

21 ‘‘(B) EXPENDITURE AMOUNTS.—The per22 centage of the extramural budget required to be

23 expended by an agency in accordance with sub24 paragraph (A) shall be—

25 ‘‘(i) 0.15 percent for each fiscal year

26 through fiscal year 2003; and
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1 ‘‘(ii) 0.3 percent for fiscal year 2004

2 and each fiscal year thereafter.’’.

3 (b) CONFORMING AMENDMENT.—Section 9 of the

4 Small Business Act (15 U.S.C. 638) is amended in sub5 sections (b)(4) and (e)(6), by striking ‘‘pilot’’ each place it

6 appears.

7 SEC. 3. INCREASE IN AUTHORIZED PHASE II AWARDS.

8 (a) IN GENERAL.—Section 9(p)(2)(B)(ix) of the Small

9 Business Act (15 U.S.C. 638(p)(2)(B)(ix)) is amended—

10 (1) by striking ‘‘$500,000’’ and inserting

11 ‘‘$750,000’’; and

12 (2) by inserting before the semicolon at the end

13 the following: ‘‘, and shorter or longer periods of time

14 to be approved at the discretion of the awarding agen15 cy where appropriate for a particular project’’.

16 (b) EFFECTIVE DATE.—The amendments made by sub17 section (a) shall be effective beginning in fiscal year 2004.

18 SEC. 4. AGENCY OUTREACH.

19 Section 9(o) of the Small Business Act (15 U.S.C.

20 638(o)) is amended—

21 (1) in paragraph (12), by striking ‘‘and’’ at the

22 end;

23 (2) in paragraph (13), by striking the period at

24 the end and inserting a semicolon; and

25 (3) by adding at the end the following:
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1 ‘‘(14) implement an outreach program to re2 search institutions and small business concerns for the

3 purpose of enhancing its STTR program, in conjunc4 tion with any such outreach done for purposes of the

5 SBIR program; and’’.

6 SEC. 5. POLICY DIRECTIVE MODIFICATIONS.

7 Section 9(p) of the Small Business Act (15 U.S.C.

8 638(p)) is amended by adding at the end the following:

9 ‘‘(3) MODIFICATIONS.—Not later than 120 days

10 after the date of enactment of this paragraph, the Ad11 ministrator shall modify the policy directive issued

12 pursuant to this subsection to clarify that the rights

13 provided for under paragraph (2)(B)(v) apply to all

14 Federal funding awards under this section, including

15 the first phase (as described in subsection (e)(6)(A)),

16 the second phase (as described in subsection

17 (e)(6)(B)), and the third phase (as described in sub18 section (e)(6)(C)).’’.

19 SEC. 6. STTR PROGRAM DATA COLLECTION.

20 (a) IN GENERAL.—Section 9(o) of the Small Business

21 Act (15 U.S.C. 638(o)), as amended by section 4 of this

22 Act, is amended by adding at the end the following:

23 ‘‘(15) collect, and maintain in a common for24 mat, in accordance with subsection (v), such informa25 tion from awardees as is necessary to assess the
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1 STTR program, including information necessary to

2 maintain the database described in subsection (k).’’.

3 (b) DATABASE.—Section 9(k) of the Small Business

4 Act (15 U.S.C. 638(k)) is amended—

5 (1) in paragraph (1)—

6 (A) by inserting ‘‘or STTR’’ after ‘‘SBIR’’

7 each place it appears;

8 (B) in subparagraph (C), by striking ‘‘and’’

9 at the end;

10 (C) in subparagraph (D), by striking the

11 period at the end and inserting ‘‘; and’’; and

12 (D) by adding at the end the following:

13 ‘‘(E) with respect to assistance under the

14 STTR program only—

15 ‘‘(i) whether the small business concern

16 or the research institution initiated their

17 collaboration on each assisted STTR

18 project;

19 ‘‘(ii) whether the small business con20 cern or the research institution originated

21 any technology relating to the assisted

22 STTR project;

23 ‘‘(iii) the length of time it took to nego24 tiate any licensing agreement between the

25 small business concern and the research in-
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1 stitution under each assisted STTR project;

2 and

3 ‘‘(iv) how the proceeds from the com4 mercialization, marketing, or sale of tech5 nology resulting from each assisted STTR

6 project were allocated (by percentage) be7 tween the small business concern and the re8 search institution.’’; and

9 (2) in paragraph (2)—

10 (A) by inserting ‘‘or an STTR program

11 pursuant to subsection (n)(1)’’ after ‘‘(f)(1)’’;

12 (B) by inserting ‘‘and STTR’’ after ‘‘solely

13 for SBIR’’;

14 (C) in subparagraph (A)(iii), by inserting

15 ‘‘and STTR’’ after ‘‘SBIR’’; and

16 (D) in subparagraph (D), by inserting ‘‘or

17 STTR’’ after ‘‘SBIR’’.

18 (c) SIMPLIFIED REPORTING REQUIREMENTS.—Section

19 9(v) of the Small Business Act (15 U.S.C. 638(v)) is amend20 ed by inserting ‘‘or STTR’’ after ‘‘SBIR’’ each place it ap21 pears.

22 (d) REPORTS TO CONGRESS.—Section 9(b)(7) of the

23 Small Business Act (15 U.S.C. 638(b)(7)) is amended by

24 striking ‘‘and (o)(9),’’ and inserting ‘‘, (o)(9), and (o)(15),

25 the number of proposals received from, and the number and
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1 total amount of awards to, HUBZone small business con2 cerns under each of the SBIR and STTR programs,’’.

3 SEC. 7. STTR PROGRAM-WIDE MODEL AGREEMENT FOR IN4 TELLECTUAL PROPERTY RIGHTS.

5 (a) DEVELOPMENT OF MODEL AGREEMENT.—Section

6 9 of the Small Business Act (15 U.S.C. 638) is amended

7 by adding at the end the following new subsection:

8 ‘‘(w) STTR MODEL AGREEMENT FOR INTELLECTUAL

9 PROPERTY RIGHTS.—

10 ‘‘(1) IN GENERAL.—The Administrator shall pro11 mulgate regulations establishing a single model agree12 ment for use in the STTR program that allocates be13 tween small business concerns and research institu14 tions intellectual property rights and rights, if any,

15 to carry out follow-on research, development, or com16 mercialization.

17 ‘‘(2) OPPORTUNITY FOR COMMENT.—In promul18 gating regulations under paragraph (1), the Adminis19 trator shall provide affected agencies, small business

20 concerns, research institutions, and other interested

21 parties the opportunity to submit written com22 ments.’’.

23 (b) ADOPTION OF MODEL AGREEMENT BY FEDERAL

24 AGENCIES.—Section 9(o)(11) of the Small Business Act (15

25 U.S.C. 638(o)(11)) is amended by striking ‘‘develop a model
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1 agreement not later than July 31, 1993, to be approved by

2 the Administration,’’ and inserting ‘‘adopt the agreement

3 developed by the Administrator under subsection (w) as the

4 agency’s model agreement’’.

5 SEC. 8. FAST PROGRAM ASSISTANCE TO LOW-INCOME

6 AREAS.

7 (a) SELECTION CONSIDERATION.—Section 34(c)(2)(B)

8 of the Small Business Act (15 U.S.C. 657d(c)(2)(B)) is

9 amended—

10 (1) in clause (iv) by striking ‘‘and’’ at the end;

11 (2) in clause (v) by striking the period and in12 serting ‘‘; and’’; and

13 (3) by adding at the end the following new

14 clause:

15 ‘‘(vi) whether the proposal addresses

16 the needs of small business concerns located

17 in 1 or more qualified census tracts, as that

18 term is defined in section 42(d)(5)(C)(ii) of

19 the Internal Revenue Code of 1986.’’.

20 (b) REGULATIONS.—Section 34(c)(4) of the Small

21 Business Act (15 U.S.C. 657d(c)(4)) is amended by adding

22 at the end the following: ‘‘The Administrator shall promul23 gate regulations establishing standards for the consideration

24 of proposals under paragraph (2), including standards re-
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1 garding each of the considerations identified in paragraph

2 (2)(B).’’.
Union Calendar No. 128

107TH CONGRESS

1ST SESSION H. R. 1860

[Report No. 107–213 Part I]

A BILL

To reauthorize the Small Business Technology

Transfer Program, and for other purposes.

SEPTEMBER 21, 2001

Reported from the Committee on Small Business with an

amendment

SEPTEMBER 21, 2001

Referral to the Committee on Science extended for a

period ending not later than September 21, 2001

SEPTEMBER 21, 2001

Committee discharged; committed to the Committee on

the Whole House on the State of the Union and ordered to be printed