I 
111TH CONGRESS 
1ST SESSION H. R. 2772 
To amend the Small Business Act to enhance the Small Business Innovation 
Research Program and the Small Business Technology Transfer Pro-
gram, and for other purposes. 
IN THE HOUSE OF REPRESENTATIVES 
JUNE 9, 2009 
Mr. SCHOCK introduced the following bill; which was referred to the Com-
mittee on Small Business, and in addition to the Committee on Science 
and Technology, 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 
A BILL 
To amend the Small Business Act to enhance the Small 
Business Innovation Research Program and the Small 
Business Technology Transfer Program, and for other 
purposes. 
Be it enacted by the Senate and House of Representa-
tives of the United States of America in Congress assembled, 
SECTION 1. SHORT TITLE. 
This Act may be cited as the ‘‘SBIR and STTR En-
hancement Act’’. 
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SEC. 2. INCREASED NUMBER OF RESEARCH TOPIC SOLICI-
TATIONS ANNUALLY AND SHORTENED PE-
RIOD FOR FINAL DECISIONS ON APPLICA-
TIONS. 
(a) INCREASED NUMBER OF RESEARCH TOPIC SO-
LICITATIONS ANNUALLY.—Section 9(g)(2) of the Small 
Business Act (15 U.S.C. 638(g)(2)) is amended by insert-
ing before the semicolon at the end the following: ‘‘, but 
not less often than twice per year’’. 
(b) SHORTENED PERIOD FOR FINAL DECISIONS ON 
APPLICATIONS.—Section 9(g)(4) of the Small Business 
Act (15 U.S.C. 638(g)(4)) is amended by inserting before 
the semicolon at the end the following: ‘‘, but a final deci-
sion on each proposal shall be rendered not later than 90 
days after the date on which the solicitation closes unless 
the Administrator determines, on a case by case basis, 
that a decision may be extended from 90 days to 180 
days’’. 
SEC. 3. AGENCIES SHOULD FUND VITAL R&D PROJECTS 
WITH THE POTENTIAL FOR COMMERCIALIZA-
TION. 
Section 9 of the Small Business Act (15 U.S.C. 638) 
is amended by adding at the end the following: 
‘‘(aa) MULTIPLE FIRST PHASE SBIR AWARDS RE-
PORT.—The Administrator shall, on an annual basis, sub-
mit to the Committee on Small Business and the Com-
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mittee on Science and Technology of the House of Rep-
resentatives and the Committee on Small Business and 
Entrepreneurship of the Senate a list identifying each 
small business concern that, for the period covered by the 
preceding 5 fiscal years, received 15 or more first phase 
SBIR awards and no second phase SBIR awards.’’. 
SEC. 4. FEDERAL AGENCY ENGAGEMENT WITH SBIR 
AWARDEES THAT HAVE BEEN AWARDED MUL-
TIPLE PHASE ONE AWARDS BUT HAVE NOT 
BEEN AWARDED PHASE TWO AWARDS. 
Section 9 of the Small Business Act (15 U.S.C. 638), 
as amended, is further amended by adding at the end the 
following: 
‘‘(bb) REQUIREMENTS
RELATING
TO
FEDERAL 
AGENCY ENGAGEMENT WITH CERTAIN FIRST PHASE 
SBIR AWARDEES.—Each Federal agency required by this 
section to conduct an SBIR program shall engage with 
SBIR awardees that have been awarded multiple first 
phase SBIR awards but have not been awarded any sec-
ond phase SBIR awards and shall develop performance 
measures with respect to awardee progression in the SBIR 
program.’’. 
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ministrator to carry out this subsection $27,500,000 
for each of fiscal years 2010 and 2011.’’. 
SEC. 6. COMPTROLLER GENERAL AUDIT OF HOW FEDERAL 
AGENCIES 
CALCULATE 
EXTRAMURAL 
RE-
SEARCH BUDGETS. 
The Comptroller General of the United States shall 
carry out a detailed audit of how Federal agencies cal-
culate extramural research budgets for purposes of calcu-
lating the size of the agencies’ Small Business Innovation 
Research Program and Small Business Technology Trans-
fer Program budgets. Not later than 1 year after the date 
of the enactment of this Act, the Comptroller General shall 
submit to the Committee on Small Business and the Com-
mittee on Science and Technology of the House of Rep-
resentatives and the Committee on Small Business and 
Entrepreneurship of the Senate a report on the results 
of the audit. 
SEC. 7. AGENCY DATABASES TO SUPPORT PROGRAM EVAL-
UATION. 
Section 9(k) of the Small Business Act (15 U.S.C. 
638(k)) is amended— 
(1) in paragraph (2)(A)— 
(A) by striking ‘‘and’’ at the end of clause 
(ii); 
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(B) by inserting ‘‘and’’ at the end of clause 
(iii); and 
(C) by adding at the end the following new 
clause: 
‘‘(iv) information on the ownership 
structure of award recipients, both at the 
time of receipt of the award and upon com-
pletion of the award period;’’; 
(2) by amending paragraph (3) to read as fol-
lows: 
‘‘(3) UPDATING
INFORMATION
FOR
DATA-
BASE.— 
‘‘(A) IN
GENERAL.—A Federal agency 
shall not make a Phase I or Phase II payment 
to a small business concern under this section 
unless the small business concern has provided 
all information required under this subsection 
and available at the time with respect to the 
award under which the payment is made, and 
with respect to any other award under this sec-
tion previously received by the small business 
concern or a predecessor in interest to the small 
business concern. 
‘‘(B) 
APPORTIONMENT.—In 
complying 
with this paragraph, a small business concern 
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may apportion sales or additional investment 
information relating to more than one second 
phase award among those awards, if it notes 
the apportionment for each award. 
‘‘(C) ANNUAL
UPDATES
UPON
TERMI-
NATION.—A small business concern receiving an 
award under this section shall— 
‘‘(i) in the case of a second phase 
award, update information in the data-
bases required under paragraphs (2) and 
(6) concerning that award at the termi-
nation of the award period; 
‘‘(ii) in the case of award recipients 
not described in clause (iii), be requested 
to voluntarily update such information an-
nually thereafter for a period of 5 years; 
and 
‘‘(iii) in the case of a small business 
concern applying for a subsequent first 
phase or second phase award, be required 
to update such information annually there-
after for a period of 5 years.’’; and 
(3) by adding at the end the following new 
paragraph: 
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‘‘(6) AGENCY
PROGRAM
EVALUATION
DATA-
BASES.—Each Federal agency required to establish 
an SBIR or STTR program under this section shall 
develop and maintain, for the purpose of evaluating 
such programs, a database containing information 
required to be contained in the database under para-
graph (2). Each such database shall be designed to 
be accessible to other agencies that are required to 
maintain a database under this paragraph. Each 
such database shall be developed and operated in a 
manner to ensure that each such database is rel-
evant to and contributes to the agency’s oversight 
and evaluation of the SBIR and STTR programs. 
Paragraphs (4) and (5) apply to each database 
under this paragraph.’’. 
SEC. 8. AGENCY DATABASES TO SUPPORT TECHNOLOGY 
UTILIZATION. 
Section 9(k) of the Small Business Act (15 U.S.C. 
638(k)), as amended, is further amended by adding at the 
end the following new paragraph: 
‘‘(7) AGENCY DATABASES TO SUPPORT TECH-
NOLOGY UTILIZATION.—Each Federal agency with 
an SBIR or STTR program shall create and main-
tain a technology utilization database, which shall be 
available to the public and shall contain data sup-
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plied by the award recipients specifically to help 
them attract customers for the products and services 
generated under the SBIR or STTR project, and to 
attract additional investors and business partners. 
Each database created under this paragraph shall 
include information on the other databases created 
under this paragraph by other Federal agencies. 
Participation in a database under this paragraph 
shall be voluntary, except that such participation is 
required of all award recipients who received supple-
mental payments from SBIR and STTR program 
funds above their initial Phase II award. Each data-
base created under this paragraph shall be developed 
and operated in a manner to ensure that each such 
database is relevant to and contributes to the agen-
cy’s oversight and evaluation of the SBIR and 
STTR programs.’’. 
SEC. 9. INTERAGENCY POLICY COMMITTEE. 
(a) ESTABLISHMENT.—The Director of the Office of 
Science and Technology Policy shall establish an Inter-
agency SBIR/STTR Policy Committee comprised of one 
representative from each Federal agency with an SBIR 
program. 
(b) COCHAIRS.—The Director of the Office of Science 
and Technology Policy and the Director of the National 
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Institute of Standards and Technology shall jointly chair 
the Interagency SBIR/STTR Policy Committee. 
(c) DUTIES.—The Interagency SBIR/STTR Policy 
Committee shall review the following issues and make pol-
icy recommendations on ways to improve program effec-
tiveness and efficiency: 
(1) The public and government databases de-
scribed in section 9(k) (1) and (2) of the Small 
Business Act (15 U.S.C. 638(k) (1) and (2)). 
(2) Federal agency flexibility in establishing 
Phase I and II award sizes, and appropriate criteria 
to exercise such flexibility. 
(3) Commercialization assistance best practices 
in 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 business 
concerns face after Phase II but before commer-
cialization. 
(d) REPORTS.—The Interagency SBIR/STTR Policy 
Committee shall transmit to the Committee on Science 
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— 
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(1) a report on its review and recommendations 
under subsection (c)(1) not later than 1 year after 
the date of enactment of this Act; 
(2) a report on its review and recommendations 
under subsection (c)(2) not later than 18 months 
after the date of enactment of this Act; and 
(3) a report on its review and recommendations 
under subsection (c)(3) not later than 2 years after 
the date of enactment of this Act. 
SEC. 10. NATIONAL RESEARCH COUNCIL SBIR STUDY. 
Section 108(d) of the Small Business Reauthoriza-
tion Act of 2000, enacted into law by reference under sec-
tion 1(a)(9) of the Consolidated Appropriations Act, 2001 
(Public Law 106–554), is amended— 
(1) by striking ‘‘of the Senate’’ and all that fol-
lows through ‘‘not later than 3’’ and inserting ‘‘of 
the Senate, not later than 3’’; and 
(2) by striking ‘‘; and’’ and all that follows 
through ‘‘update of such report’’. 
SEC. 11. EXPRESS AUTHORITY TO ‘‘FAST-TRACK’’ PHASE 
TWO AWARDS FOR PROMISING PHASE ONE 
RESEARCH. 
Section 9 of the Small Business Act (15 U.S.C. 638), 
as amended, is further amended by adding at the end the 
following: 
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‘‘(dd) AUTHORITY
TO ‘FAST-TRACK’ PHASE TWO 
AWARDS FOR PROMISING PHASE ONE RESEARCH.—To 
address the delay between an award for the first phase 
of an SBIR program and the application for and extension 
of an award for the second phase of such program, each 
Federal agency with an SBIR program may develop ‘fast- 
track’ programs to eliminate such delay by issuing second 
phase SBIR awards as soon as practicable, including in 
appropriate cases simultaneously with the issuance of the 
first phase SBIR award. The Administrator shall encour-
age the development of such ‘fast-track’ programs.’’. 
SEC. 12. INCREASED SBIR AND STTR AWARD LEVELS. 
(a) SBIR AWARD LEVEL
AND ANNUAL ADJUST-
MENTS.—Section 9(j) of the Small Business Act (15 
U.S.C. 638(j)) is amended by adding at the end the fol-
lowing: 
‘‘(4) FURTHER ADDITIONAL MODIFICATIONS.—Not 
later than 180 days after the date of enactment of this 
paragraph and notwithstanding paragraph (2)(D), the Ad-
ministrator shall modify the policy directives issued pursu-
ant to this subsection to provide for an increase to 
$250,000 in the amount of funds which an agency may 
award in the first phase of an SBIR program, and to 
$2,000,000 in the second phase of an SBIR program, and 
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a mandatory annual adjustment of such amounts to reflect 
economic adjustments and programmatic considerations.’’. 
(b) STTR AWARD LEVEL AND ANNUAL ADJUST-
MENTS.—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 ‘‘$100,000’’ and ‘‘$750,000’’ 
and inserting ‘‘$250,000’’ and ‘‘$2,000,000’’, re-
spectively; and 
(2) by striking ‘‘greater or lesser amounts’’ and 
inserting ‘‘with a mandatory annual adjustment of 
such amounts to reflect economic adjustments and 
programmatic 
considerations, 
and 
with 
lesser 
amounts’’. 
(c) LIMITATION ON CERTAIN AWARDS.—Section 9 of 
the Small Business Act (15 U.S.C. 638), as amended, is 
further amended by adding at the end the following: 
‘‘(ee) LIMITATION ON PHASE I AND II AWARDS.— 
‘‘(1) IN GENERAL.—No Federal agency shall 
issue an award under the SBIR program or the 
STTR program if the size of the award exceeds the 
amounts established under subsections (j)(4) and 
(p)(2)(B)(ix), except as provided in paragraph (2). 
‘‘(2) EXCEPTION.—The prohibition in para-
graph (1) does not apply to an agency for a fiscal 
year if the head of the agency— 
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‘‘(A) notifies the Administrator that the 
agency intends to issue awards in that fiscal 
year without regard to the prohibition in para-
graph (1); and 
‘‘(B) reports to the Committee on Small 
Business and the Committee on Science and 
Technology of the House of Representatives 
and the Committee on Small Business and En-
trepreneurship of the Senate at least annually 
the number of instances in which the agency 
issued an award that exceeds the amounts re-
ferred to in paragraph (1) and the justification 
for each such instance.’’. 
SEC. 13. EXPRESS AUTHORITY FOR AN AGENCY TO AWARD 
SEQUENTIAL PHASE TWO AWARDS FOR SBIR- 
FUNDED PROJECTS. 
Section 9 of the Small Business Act (15 U.S.C. 638), 
as amended, is further amended by adding at the end the 
following: 
‘‘(ff) REQUIREMENTS RELATING
TO ADDITIONAL 
SECOND PHASE SBIR AWARDS.— 
‘‘(1) IN GENERAL.—A small business concern 
that receives a second phase SBIR award for a 
project remains eligible to receive additional second 
phase SBIR awards for such project. 
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‘‘(2) TECHNICAL
OR
WEAPONS
SYSTEMS.— 
Agencies are expressly authorized to provide addi-
tional second phase SBIR awards for testing and 
evaluation assistance for the insertion of SBIR tech-
nologies into technical or weapons systems.’’. 
SEC. 14. FIRST PHASE REQUIRED. 
Section 9 of the Small Business Act (15 U.S.C. 638), 
as amended, is further amended by adding at the end the 
following: 
‘‘(gg) FIRST PHASE REQUIRED.—Under this section, 
a Federal agency shall provide to a small business concern 
an award for the second phase of an SBIR program with 
respect to a project only if such agency finds that the 
small business concern has been provided an award for 
the first phase 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 an award for the first phase.’’. 
Æ 
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