II

107TH CONGRESS

1ST SESSION H. R. 1860

IN THE SENATE OF THE UNITED STATES

SEPTEMBER 25, 2001

Received

AN ACT

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,
2

HR 1860 RDS

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 Fed12 eral agency that has an extramural budget for

13 research, or research and development, in ex14 cess of $1,000,000,000 for that fiscal year,

15 shall expend with small business concerns not

16 less than the percentage of that extramural

17 budget specified in subparagraph (B), specifi18 cally in connection with STTR programs that

19 meet the requirements of this section and any

20 policy directives and regulations issued under

21 this section.

22 ‘‘(B) EXPENDITURE AMOUNTS.—The per23 centage of the extramural budget required to be

24 expended by an agency in accordance with sub25 paragraph (A) shall be—
3

HR 1860 RDS

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

2 through fiscal year 2003; and

3 ‘‘(ii) 0.3 percent for fiscal year 2004

4 and each fiscal year thereafter.’’.

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

6 Small Business Act (15 U.S.C. 638) is amended in sub7 sections (b)(4) and (e)(6), by striking ‘‘pilot’’ each place

8 it appears.

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

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

11 Small Business Act (15 U.S.C. 638(p)(2)(B)(ix)) is

12 amended—

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

14 ‘‘$750,000’’; and

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

16 the following: ‘‘, and shorter or longer periods of

17 time to be approved at the discretion of the award18 ing agency where appropriate for a particular

19 project’’.

20 (b) EFFECTIVE DATE.—The amendments made by

21 subsection (a) shall be effective beginning in fiscal year

22 2004.

23 SEC. 4. AGENCY OUTREACH.

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

25 638(o)) is amended—
4

HR 1860 RDS

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

2 end;

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

4 the end and inserting a semicolon; and

5 (3) by adding at the end the following:

6 ‘‘(14) implement an outreach program to re7 search institutions and small business concerns for

8 the purpose of enhancing its STTR program, in con9 junction with any such outreach done for purposes

10 of the SBIR program; and’’.

11 SEC. 5. POLICY DIRECTIVE MODIFICATIONS.

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

13 638(p)) is amended by adding at the end the following:

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

15 after the date of enactment of this paragraph, the

16 Administrator shall modify the policy directive

17 issued pursuant to this subsection to clarify that the

18 rights provided for under paragraph (2)(B)(v) apply

19 to all Federal funding awards under this section, in20 cluding the first phase (as described in subsection

21 (e)(6)(A)), the second phase (as described in sub22 section (e)(6)(B)), and the third phase (as described

23 in subsection (e)(6)(C)).’’.
5

HR 1860 RDS

1 SEC. 6. STTR PROGRAM DATA COLLECTION.

2 (a) IN GENERAL.—Section 9(o) of the Small Busi3 ness Act (15 U.S.C. 638(o)), as amended by this Act, is

4 amended by adding at the end the following:

5 ‘‘(15) collect, and maintain in a common format

6 in accordance with subsection (v), such information

7 from awardees as is necessary to assess the STTR

8 program, including information necessary to main9 tain the database described in subsection (k).’’.

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

11 Act (15 U.S.C. 638(k)) is amended—

12 (1) in paragraph (1)—

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

14 each place it appears;

15 (B) in subparagraph (C), by striking

16 ‘‘and’’ at the end;

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

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

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

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

21 STTR program only—

22 ‘‘(i) whether the small business con23 cern or the research institution initiated

24 their collaboration on each assisted STTR

25 project;
6

HR 1860 RDS

1 ‘‘(ii) whether the small business con2 cern or the research institution originated

3 any technology relating to the assisted

4 STTR project;

5 ‘‘(iii) the length of time it took to ne6 gotiate any licensing agreement between

7 the small business concern and the re8 search institution under each assisted

9 STTR project; and

10 ‘‘(iv) how the proceeds from commer11 cialization, marketing, or sale of tech12 nology resulting from each assisted STTR

13 project were allocated (by percentage) be14 tween the small business concern and the

15 research institution.’’; and

16 (2) in paragraph (2)—

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

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

19 (B) by striking ‘‘solely for SBIR’’ and in20 serting ‘‘exclusively for SBIR and STTR’’;

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

22 ‘‘and STTR’’ after ‘‘SBIR’’; and

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

24 STTR’’ after ‘‘SBIR’’.
7

HR 1860 RDS

1 (c) SIMPLIFIED REPORTING REQUIREMENTS.—Sec2 tion 9(v) of the Small Business Act (15 U.S.C. 638(v))

3 is amended by inserting ‘‘or STTR’’ after ‘‘SBIR’’ each

4 place it appears.

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

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

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

8 the number of proposals received from, and the number

9 and total amount of awards to, HUBZone small business

10 concerns under each of the SBIR and STTR programs,’’.

11 SEC. 7. STTR PROGRAM-WIDE MODEL AGREEMENT FOR IN12 TELLECTUAL PROPERTY RIGHTS.

13 (a) DEVELOPMENT OF MODEL AGREEMENT.—Sec14 tion 9 of the Small Business Act (15 U.S.C. 638) is

15 amended by adding at the end the following:

16 ‘‘(w) STTR MODEL AGREEMENT FOR INTELLEC17 TUAL PROPERTY RIGHTS.—

18 ‘‘(1) IN GENERAL.—The Administrator shall

19 promulgate regulations establishing a single model

20 agreement for use in the STTR program that allo21 cates between small business concerns and research

22 institutions intellectual property rights and rights, if

23 any, to carry out follow-on research, development, or

24 commercialization.
8

HR 1860 RDS

1 ‘‘(2) OPPORTUNITY FOR COMMENT.—In pro2 mulgating regulations under paragraph (1), the Ad3 ministrator shall provide to affected agencies, small

4 business concerns, research institutions, and other

5 interested parties the opportunity to submit written

6 comments.’’.

7 (b) ADOPTION OF MODEL AGREEMENT BY FEDERAL

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

9 (15 U.S.C. 638(o)(11)) is amended by striking ‘‘develop

10 a model agreement not later than July 31, 1993, to be

11 approved by the Administration,’’ and inserting ‘‘adopt

12 the agreement developed by the Administrator under sub13 section (w) as the agency’s model agreement’’.

14 SEC. 8. FAST PROGRAM ASSISTANCE TO WOMEN-OWNED

15 AND MINORITY-OWNED SMALL BUSINESS

16 CONCERNS AND CONCERNS LOCATED IN

17 AREAS NOT PARTICIPATING IN SBIR AND

18 STTR.

19 (a) SELECTION CONSIDERATION.—Section

20 34(c)(2)(B) of the Small Business Act (15 U.S.C.

21 657d(c)(2)(B)) is amended—

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

23 (2) in clause (v), by striking the period at the

24 end and inserting ‘‘; and’’; and
9

HR 1860 RDS

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

2 clause:

3 ‘‘(vi) whether the proposal addresses

4 the needs of small business concerns—

5 ‘‘(I) owned and controlled by

6 women;

7 ‘‘(II) owned and controlled by

8 minorities; and

9 ‘‘(III) located in areas that have

10 historically not participated in the

11 SBIR and STTR programs.’’.

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

13 Business Act (15 U.S.C. 657d(c)(4)) is amended by add14 ing at the end the following: ‘‘The Administrator shall pro15 mulgate regulations establishing standards for the consid16 eration of proposals under paragraph (2), including stand17 ards regarding each of the considerations identified in

18 paragraph (2)(B).’’.

Passed the House of Representatives September 24,

2001.

Attest: JEFF TRANDAHL,

Clerk.