H. R. 1860

One Hundred Seventh Congress

of the

United States of America

AT THE FIRST SESSION

Begun and held at the City of Washington on Wednesday,

the third day of January, two thousand and one

An Act

To reauthorize the Small Business Technology Transfer Program, and for other

purposes.

Be it enacted by the Senate and House of Representatives of

the United States of America in Congress assembled,

SECTION 1. SHORT TITLE.

This Act may be cited as the ‘‘Small Business Technology

Transfer Program Reauthorization Act of 2001’’.

SEC. 2. EXTENSION OF PROGRAM AND EXPENDITURE AMOUNTS.

(a) IN GENERAL.—Section 9(n)(1) of the Small Business Act

(15 U.S.C. 638(n)(1)) is amended to read as follows:

‘‘(1) REQUIRED EXPENDITURE AMOUNTS.—

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

through fiscal year 2009, each Federal agency that has

an extramural budget for research, or research and development, in excess of $1,000,000,000 for that fiscal year, shall

expend with small business concerns not less than the

percentage of that extramural budget specified in subparagraph (B), specifically in connection with STTR programs

that meet the requirements of this section and any policy

directives and regulations issued under this section.

‘‘(B) EXPENDITURE AMOUNTS.—The percentage of the

extramural budget required to be expended by an agency

in accordance with subparagraph (A) shall be—

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

year 2003; and

‘‘(ii) 0.3 percent for fiscal year 2004 and each fiscal

year thereafter.’’.

(b) CONFORMING AMENDMENT.—Section 9 of the Small Business

Act (15 U.S.C. 638) is amended in subsections (b)(4) and (e)(6),

by striking ‘‘pilot’’ each place it appears.

SEC. 3. INCREASE IN AUTHORIZED PHASE II AWARDS.

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

Act (15 U.S.C. 638(p)(2)(B)(ix)) is amended— (1) by striking ‘‘$500,000’’ and inserting ‘‘$750,000’’; and

(2) by inserting before the semicolon at the end the following: ‘‘, and shorter or longer periods of time to be approved

at the discretion of the awarding agency where appropriate

for a particular project’’.

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

(a) shall be effective beginning in fiscal year 2004.
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SEC. 4. AGENCY OUTREACH.

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

amended—

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

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

and inserting a semicolon; and

(3) by adding at the end the following:

‘‘(14) implement an outreach program to research institutions and small business concerns for the purpose of enhancing

its STTR program, in conjunction with any such outreach done

for purposes of the SBIR program; and’’.

SEC. 5. POLICY DIRECTIVE MODIFICATIONS.

Section 9(p) of the Small Business Act (15 U.S.C. 638(p)) is

amended by adding at the end the following:

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

date of enactment of this paragraph, the Administrator shall

modify the policy directive issued pursuant to this subsection

to clarify that the rights provided for under paragraph (2)(B)(v)

apply to all Federal funding awards under this section,

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

the second phase (as described in subsection (e)(6)(B)), and

the third phase (as described in subsection (e)(6)(C)).’’.

SEC. 6. STTR PROGRAM DATA COLLECTION.

(a) IN GENERAL.—Section 9(o) of the Small Business Act (15

U.S.C. 638(o)), as amended by this Act, is amended by adding

at the end the following:

‘‘(15) collect, and maintain in a common format in accordance with subsection (v), such information from awardees as

is necessary to assess the STTR program, including information

necessary to maintain the database described in subsection

(k).’’.

(b) DATABASE.—Section 9(k) of the Small Business Act (15

U.S.C. 638(k)) is amended—

(1) in paragraph (1)—

(A) by inserting ‘‘or STTR’’ after ‘‘SBIR’’ each place

it appears;

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

(C) in subparagraph (D), by striking the period at

the end and inserting ‘‘; and’’; and

(D) by adding at the end the following:

‘‘(E) with respect to assistance under the STTR program only—

‘‘(i) whether the small business concern or the

research institution initiated their collaboration on

each assisted STTR project;

‘‘(ii) whether the small business concern or the

research institution originated any technology relating

to the assisted STTR project;

‘‘(iii) the length of time it took to negotiate any

licensing agreement between the small business concern and the research institution under each assisted

STTR project; and

‘‘(iv) how the proceeds from commercialization,

marketing, or sale of technology resulting from each

assisted STTR project were allocated (by percentage)
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between the small business concern and the research

institution.’’; and

(2) in paragraph (2)— (A) by inserting ‘‘or an STTR program pursuant to

subsection (n)(1)’’ after ‘‘(f)(1)’’;

(B) by striking ‘‘solely for SBIR’’ and inserting ‘‘exclusively for SBIR and STTR’’;

(C) in subparagraph (A)(iii), by inserting ‘‘and STTR’’ after ‘‘SBIR’’; and

(D) in subparagraph (D), by inserting ‘‘or STTR’’ after ‘‘SBIR’’. (c) SIMPLIFIED REPORTING REQUIREMENTS.—Section 9(v) of the

Small Business Act (15 U.S.C. 638(v)) is amended by inserting

‘‘or STTR’’ after ‘‘SBIR’’ each place it appears.

(d) REPORTS TO CONGRESS.—Section 9(b)(7) of the Small Business Act (15 U.S.C. 638(b)(7)) is amended by striking ‘‘and (o)(9),’’ and inserting ‘‘, (o)(9), and (o)(15), the number of proposals received

from, and the number and total amount of awards to, HUBZone

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

SEC. 7. STTR PROGRAM-WIDE MODEL AGREEMENT FOR INTELLECTUAL PROPERTY RIGHTS.

(a) DEVELOPMENT OF MODEL AGREEMENT.—Section 9 of the

Small Business Act (15 U.S.C. 638) is amended by adding at the

end the following: ‘‘(w) STTR MODEL AGREEMENT FOR INTELLECTUAL PROPERTY

RIGHTS.—

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

regulations establishing a single model agreement for use in

the STTR program that allocates between small business concerns and research institutions intellectual property rights and

rights, if any, to carry out follow-on research, development,

or commercialization. ‘‘(2) OPPORTUNITY FOR COMMENT.—In promulgating regulations under paragraph (1), the Administrator shall provide

to affected agencies, small business concerns, research institutions, and other interested parties the opportunity to submit

written comments.’’. (b) ADOPTION OF MODEL AGREEMENT BY FEDERAL AGENCIES.— Section 9(o)(11) of the Small Business Act (15 U.S.C. 638(o)(11))

is amended by striking ‘‘develop a model agreement not later than

July 31, 1993, to be approved by the Administration,’’ and inserting ‘‘adopt the agreement developed by the Administrator under subsection (w) as the agency’s model agreement’’.

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

MINORITY-OWNED SMALL BUSINESS CONCERNS AND

CONCERNS LOCATED IN AREAS NOT PARTICIPATING IN

SBIR AND STTR.

(a) SELECTION CONSIDERATION.—Section 34(c)(2)(B) of the Small

Business Act (15 U.S.C. 657d(c)(2)(B)) is amended—

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

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

inserting ‘‘; and’’; and

(3) by adding at the end the following new clause:

‘‘(vi) whether the proposal addresses the needs

of small business concerns—
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‘‘(I) owned and controlled by women;

‘‘(II) owned and controlled by minorities; and

‘‘(III) located in areas that have historically

not participated in the SBIR and STTR programs.’’.

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

(15 U.S.C. 657d(c)(4)) is amended by adding at the end the following:

‘‘The Administrator shall promulgate regulations establishing

standards for the consideration of proposals under paragraph (2),

including standards regarding each of the considerations identified

in paragraph (2)(B).’’.

Speaker of the House of Representatives.

Vice President of the United States and

President of the Senate.