Source: http://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title15-section638&num=0&edition=prelim
Timestamp: 2017-10-22 08:35:23
Document Index: 622786531

Matched Legal Cases: ['§ 638', '§2', '§3', '§1', '§108', '§4237', '§103', '§202', '§301', '§607', '§110', '§501', '§1000', '§4732', '§1', '§103', '§2', '§8', '§252', '§1203', '§847', '§1075', '§3', '§1067', '§5101', '§1076', '§1615', '§873', '§873', '§873', '§896', '§1834', '§41', '§3002', '§4202', '§6', '§6', '§1834', '§1076', '§1067', '§5131', '§5131', '§5141', '§5141', '§5125', '§5135', '§847', '§252', '§2', '§1', '§107', '§501', '§501', '§202', '§103', '§1', '§3', '§1076', '§1615', '§5141', '§847', '§3', '§501', '§1', '§114', '§5', '§2', '§4237', '§104', '§5107', '§5136', '§5141', '§5151', '§5168', '§1', '§149', '§1', '§102', '§1', '§108', '§5137', '§102', '§106', '§202', '§306', '§4237', '§101', '§630', '§101', '§630', '§2', '§105', '§202', '§6', '§3', '§8008', '§9003']

[USC07] 15 USC 638: Research and development
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15 USC 638: Research and development Text contains those laws in effect on October 21, 2017
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It shall be the duty of the Administration, and it is empowered-
(5) to coordinate with participating agencies a schedule for release of SBIR and STTR solicitations, and to prepare a master release schedule so as to maximize small businesses' opportunities to respond to solicitations;
(7) to report not less than annually to the Committee on Small Business of the Senate, and to the Committee on Science and the Committee on Small Business of the House of Representatives, on the SBIR and STTR programs of the Federal agencies and the Administration's information and monitoring efforts related to the SBIR and STTR programs, including-
(4) the term "Small Business Innovation Research Program" or "SBIR" means a program under which a portion of a Federal agency's research or research and development effort is reserved for award to small business concerns through a uniform process having-
(B) a second phase, which shall not include any invitation, pre-screening, or pre-selection process for eligibility for Phase II, that will further develop proposals which meet particular program needs, in which awards shall be made based on the scientific and technical merit and feasibility of the proposals, as evidenced by the first phase, considering, among other things, the proposal's commercial potential, as evidenced by-
(C) where appropriate, a third phase for work that derives from, extends, or completes efforts made under prior funding agreements under the SBIR program-
(6) the term "Small Business Technology Transfer Program" or "STTR" means a program under which a portion of a Federal agency's extramural research or research and development effort is reserved for award to small business concerns for cooperative research and development through a uniform process having-
(C) where appropriate, a third phase for work that derives from, extends, or completes efforts made under prior funding agreements under the STTR program-
(10) the term "commercialization" means-
(11) the term "Phase I" means-
(12) the term "Phase II" means-
(13) the term "Phase III" means-
Except as provided in paragraph (2)(B), each Federal agency which has an extramural budget for research or research and development in excess of $100,000,000 for fiscal year 1992, or any fiscal year thereafter, shall expend with small business concerns-
A Federal agency shall not-
Each Federal agency required by subsection (f) to establish a small business innovation research program shall, in accordance with this chapter and regulations issued hereunder-
(3) unilaterally determine research topics within the agency's SBIR solicitations, giving special consideration to broad research topics and to topics that further 1 or more critical technologies, as identified by-
(B) make a final decision on each proposal submitted under the SBIR program-
(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-
(A) whether an awardee-
(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-
(ii) has an investor that-
The Small Business Administration, after consultation with the Administrator of the Office of Federal Procurement Policy, the Director of the Office of Science and Technology Policy, and the Intergovernmental Affairs Division of the Office of Management and Budget, shall, within one hundred and twenty days of July 22, 1982, issue policy directives for the general conduct of the SBIR programs within the Federal Government, including providing for-
Not later than 90 days after October 28, 1992, the Administrator shall modify the policy directives issued pursuant to this subsection to provide for-
(E) a process for notifying the participating SBIR agencies and potential SBIR participants of the 1991, 1992, and the current critical technologies, as identified-
Not later than 120 days after December 21, 2000, the Administrator shall modify the policy directives issued pursuant to this subsection-
(C) to require agencies to report to the Administration, not less frequently than annually, all instances in which an agency pursued research, development, or production of a technology developed by a small business concern using an award made under the SBIR program of that agency, and determined that it was not practicable to enter into a follow-on non-SBIR program funding agreement with the small business concern, which report shall include, at a minimum-
Not later than 180 days after December 21, 2000, the Administrator shall develop, maintain, and make available to the public a searchable, up-to-date, electronic database that includes-
(B) a description of each Phase I or Phase II SBIR or STTR award received by that small business concern, including-
(E) with respect to assistance under the STTR program only-
(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-
Not later than 90 days after December 31, 2011, the Administrator, in consultation with Federal agencies required to have an SBIR program pursuant to subsection (f)(1) or an STTR program pursuant to subsection (n)(1), shall develop and maintain a database to be used exclusively for SBIR and STTR program evaluation that-
(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-
(B) contains for each Phase II award made by a Federal agency-
(D) includes, for each awardee-
(ii) whether the awardee has venture capital, hedge fund, or private equity firm investment and, if so-
(vi) the names of, and the percentage of ownership of the awardee held by-
(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 been-
A small business concern receiving a Phase II award under this section shall-
The percentage of the extramural budget required to be expended by an agency in accordance with subparagraph (A) shall be-
Each Federal agency required to establish an STTR program in accordance with subsection (n) and regulations issued under this chapter, shall-
(3) unilaterally determine research topics within the agency's STTR solicitations, giving special consideration to broad research topics and to topics that further 1 or more critical technologies, as identified-
(B) make a final decision on each proposal submitted under the STTR program-
(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-
(A) whether an applicant or awardee-
(12) develop, in consultation with the Office of Federal Procurement Policy and the Office of Government Ethics, procedures to ensure that federally funded research and development centers (as defined in subsection (e)(8)) that participate in STTR agreements-
(13) not later than July 31, 1993, develop procedures for assessing the commercial merit and feasibility of STTR proposals, as evidenced by-
The Administrator shall issue a policy directive for the general conduct of the STTR programs within the Federal Government. Such policy directive shall be issued after consultation with-
The policy directive required by paragraph (1) shall provide for-
(B) a simplified, standardized funding process that provides for-
(E) procedures to ensure that-
Each Federal agency required by this section to conduct an SBIR program or STTR program may enter into an agreement with a vendor selected under paragraph (2) to provide small business concerns engaged in SBIR or STTR projects with technical assistance services, such as access to a network of scientists and engineers engaged in a wide range of technologies, or access to technical and business literature available through on-line data bases, for the purpose of assisting such concerns in-
A Federal agency described in paragraph (1) may-
A Federal agency may not-
(r) Phase III agreements
(4) Phase III awards
In this subsection, the term "technology development program" means-
Each Federal agency that is subject to subsection (f) and that has established a technology development program may, in each fiscal year, review for funding under that technology development program-
(A) any proposal to provide outreach and assistance to one or more small business concerns interested in participating in the SBIR program, including any proposal to make a grant or loan to a company to pay a portion or all of the cost of developing an SBIR proposal, from an entity, organization, or individual located in-
(B) any proposal for Phase I of the SBIR program, if the proposal, though meritorious, is not funded through the SBIR program for that fiscal year due to funding restraints, from a small business concern located in-
The funds described in subparagraph (A)-
For any contract with a value of not less than $100,000,000, the Secretary of Defense is authorized to-
The Secretary of Defense shall-
(C) submit to the Administrator for inclusion in the annual report under subsection (b)(7)-
In carrying out its duties under this section relating to SBIR and STTR solicitations by Federal departments and agencies, the Administrator shall-
(A) the term "biomass"-
(i) means any organic material that is available on a renewable or recurring basis, including-
(C) the term "renewable energy system" means a system of energy derived from-
Participating agencies shall maintain information on awards exceeding the guidelines established under this section, including-
Upon the receipt of an application from a Federal agency, the Administrator may grant a waiver from the requirement under paragraph (1) with respect to a specific topic (but not for the agency as a whole) for a fiscal year if the Administrator determines, based on the information contained in the application from the agency, that-
Upon providing a written determination described in paragraph (2) 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 any such award is made-
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-
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-
In this paragraph, the term "covered small business concern" means a small business concern that-
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-
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-
No Federal agency shall-
Not later than 180 days after December 31, 2011, the Administrator shall modify the SBIR Policy Directive and the STTR Policy Directive issued under this section to ensure that small business concerns-
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-
(A) the term "covered Federal agency"-
(i) The Proof of Concept Partnership shall use a market-focused project management oversight process, including-
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-
The funds for the pilot program shall not be used-
(A) for basic research, but to evaluate the commercial potential of existing discoveries, including-
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-
The annual SBIR or STTR report to Congress by the Administration under subsection (b)(7) shall include, for each Phase III award-
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-
Subject to paragraph (3) and until September 30, 2017, 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-
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-
The head of each Federal agency described in paragraph (1) shall conduct an annual evaluation using the metrics developed under paragraph (1) of-
The Administrator may only carry out a covered pilot program established after December 31, 2011-
In this subsection, the term "covered pilot program" means any initiative, project, innovation, or other activity-
Not later than 1 year after December 31, 2011, the head of each Federal agency participating in the SBIR or STTR program shall-
Not later than 2 years after December 31, 2011, the head of each Federal agency participating in the SBIR or STTR program shall-
Not later than October 1, 2013, and annually thereafter, the head of each Federal agency that makes more than $50,000,000 in awards under the SBIR and STTR programs of the agency combined shall submit to the Administrator, for inclusion in the annual report required under subsection (b)(7), information that includes-
( Pub. L. 85–536, §2[9], July 18, 1958, 72 Stat. 391 ; Pub. L. 97–219, §§3–5, July 22, 1982, 96 Stat. 217 , 218, 221; Pub. L. 99–443, §§1, 2, Oct. 6, 1986, 100 Stat. 1120 ; Pub. L. 100–590, title I, §108, Nov. 3, 1988, 102 Stat. 2994 ; Pub. L. 102–484, div. D, title XLII, §4237(d), Oct. 23, 1992, 106 Stat. 2692 ; Pub. L. 102–564, title I, §§103, 104, title II, §202(a)–(c), title III, §§301(a), 305, Oct. 28, 1992, 106 Stat. 4250 , 4254, 4256, 4257, 4261, 4262; Pub. L. 103–403, title VI, §607, Oct. 22, 1994, 108 Stat. 4204 ; Pub. L. 104–208, div. D, title I, §110, Sept. 30, 1996, 110 Stat. 3009–733 ; Pub. L. 105–135, title V, §501, Dec. 2, 1997, 111 Stat. 2620 ; Pub. L. 106–113, div. B, §1000(a)(9) [title IV, §4732(b)(5)], Nov. 29, 1999, 113 Stat. 1536 , 1501A-583; Pub. L. 106–554, §1(a)(9) [title I, §§103–107, 109, 110, 111(c), 113, 114(b)], Dec. 21, 2000, 114 Stat. 2763 , 2763A-669, 2763A-673, 2763A-679, 2763A-681; Pub. L. 107–50, §§2, 3(a), 4–7, Oct. 15, 2001, 115 Stat. 263–265 ; Pub. L. 108–271, §8(b), July 7, 2004, 118 Stat. 814 ; Pub. L. 109–163, div. A, title II, §252, Jan. 6, 2006, 119 Stat. 3177 ; Pub. L. 110–140, title XII, §1203(e), Dec. 19, 2007, 121 Stat. 1771 ; Pub. L. 111–84, div. A, title VIII, §§847(a), (b), 848, Oct. 28, 2009, 123 Stat. 2420 , 2421; Pub. L. 111–383, div. A, title X, §1075(l), Jan. 7, 2011, 124 Stat. 4378 ; Pub. L. 112–17, §§3, 4, June 1, 2011, 125 Stat. 221 , 222; Pub. L. 112–81, div. A, title X, §1067(a), div. E, title LI, §§5101–5107(a), 5108–5111, 5121–5123, 5125–5127, 5131–5135, 5138, 5140, 5141(a), (b)(1), (3), 5144, 5161, 5162, 5164–5167, Dec. 31, 2011, 125 Stat. 1589 , 1824-1827, 1832-1836, 1838-1842, 1844-1847, 1851-1854, 1857-1861; Pub. L. 112–239, div. A, title X, §1076(a)(20)(A), title XVI, §1615(a), (b), Jan. 2, 2013, 126 Stat. 1949 , 2066; Pub. L. 114–92, div. A, title VIII, §873(h), formerly §873(e), Nov. 25, 2015, 129 Stat. 940 , renumbered §873(h), Pub. L. 114–328, div. A, title VIII, §896(3), Dec. 23, 2016, 130 Stat. 2326 ; Pub. L. 114–328, div. A, title XVIII, §1834, Dec. 23, 2016, 130 Stat. 2661 .)
The Federal Trade Commission Act, referred to in subsec. (d)(3), is act Sept. 26, 1914, ch. 311, 38 Stat. 717 , which is classified generally to subchapter I (§41 et seq.) of chapter 2 of this title. For complete classification of this Act to the Code, see section 58 of this title and Tables.
Section 3703(5) of this title, referred to in subsec. (e)(8), was redesignated section 3703(3) by Pub. L. 110–69, title III, §3002(c)(3), Aug. 9, 2007, 121 Stat. 586 .
Section 2522 of title 10, referred to in subsecs. (g)(3)(B), (j)(2)(E)(ii), and (o)(3)(B), which related to annual defense critical technology plan, was repealed, and section 2518 (relating to Defense Advanced Manufacturing Technology Partnerships) was redesignated as section 2522, by Pub. L. 102–484, div. D, title XLII, §§4202(a), 4232(a), Oct. 23, 1992, 106 Stat. 2659 , 2687, and subsequently repealed.
In subsec. (e)(8), "section 1303(a)(1) of title 41" substituted for "section 35(c)(1) of the Office of Federal Procurement Policy Act", which probably should have been a reference to "section 25(c)(1) of the Office of Federal Procurement Policy Act" because that Act does not contain a section 35 and section 25(c) of that Act relates to issuance of the Federal Acquisition Regulation, on authority of Pub. L. 111–350, §6(c), Jan. 4, 2011, 124 Stat. 3854 , which Act enacted Title 41, Public Contracts.
In subsec. (n)(2)(A), "section 1303(a)(1) of title 41" substituted for "section 25(c)(1) of the Office of Federal Procurement Policy Act" on authority of Pub. L. 111–350, §6(c), Jan. 4, 2011, 124 Stat. 3854 , which Act enacted Title 41, Public Contracts.
Section 209 of act July 30, 1953, ch. 282, title II, 67 Stat. 237 , was previously classified to this section. See section 645 of this title and Codification note set out under section 631 of this title.
2016-Subsec. (m). Pub. L. 114–328, §1834(a), substituted "September 30, 2022" for "September 30, 2017".
2015-Subsec. (mm)(1). Pub. L. 114–92 substituted "and until September 30, 2017," for ", for the 3 fiscal years beginning after December 31, 2011," in introductory provisions.
2013-Subsec. (b)(7). Pub. L. 112–239, §1076(a)(20)(A), repealed Pub. L. 112–81, §1067(a)(1). See 2011 Amendment note below.
2011-Subsec. (b)(7). Pub. L. 112–81, §5131(1)(B), substituted "(g)(8) and (o)(9);" for "(g)(10), (o)(9), and (o)(15) of this section, 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, and a description" in subpar. (A), added subpars. (B) to (F), and inserted "(G) a description" before "of the extent to which Federal agencies".
Pub. L. 112–81, §5131(1)(A), substituted "STTR programs, including-" for "STTR programs, including", and inserted subpar. (A) designation before "the data on output".
Subsec. (f)(2). Pub. L. 112–81, §5141(b)(3)(A), substituted "shall not-
Pub. L. 112–81, §5141(b)(1)(A), substituted "shall not make available for the purpose" for "shall not-
Subsec. (j)(2)(D). Pub. L. 112–81, §5125(b)(2)(B)(ii), substituted "Phase I" for "the first phase" and "'Phase II" for "the second phase".
Subsec. (k)(2). Pub. L. 112–81, §5135(1), in introductory provisions, substituted "Not later than 90 days after December 31, 2011" for "Not later than 180 days after December 21, 2000", added subpars. (A), (D), and (G), redesignated former subpars. (A), (B), (D), and (E) as (B), (C), (E), and (F), respectively, and struck out former subpar. (C) which read as follows: "includes for each applicant for a Phase I or Phase II award that does not receive such an award-
2009-Subsec. (m). Pub. L. 111–84, §847(a), designated existing provisions as par. (1), inserted par. (1) heading, substituted "Except as provided in paragraph (2), the authorization" for "The authorization", and added par. (2).
2007-Subsec. (z). Pub. L. 110–140 added subsec. (z).
2006-Subsec. (b)(8). Pub. L. 109–163, §252(b)(1), added par. (8).
2004-Subsec. (j)(2)(I). Pub. L. 108–271 substituted "Government Accountability Office" for "General Accounting Office".
2001-Subsec. (b)(4). Pub. L. 107–50, §2(b), struck out "pilot" before "programs;".
2000-Subsec. (b)(7). Pub. L. 106–554, §1(a)(9) [title I, §107(b)], inserted before period at end ", including the data on output and outcomes collected pursuant to subsections (g)(10) and (o)(9) of this section, and a description of the extent to which Federal agencies are providing in a timely manner information needed to maintain the database described in subsection (k)".
1999-Subsec. (p)(1)(B). Pub. L. 106–113 amended subpar. (B) generally. Prior to amendment, subpar. (B) read as follows: "the Commissioner of Patents and Trademarks; and".
1997-Subsec. (e)(4)(A). Pub. L. 105–135, §501(b)(1)(B), substituted "subparagraph (B)" for "subparagraph (B)(ii)".
Subsec. (n)(1). Pub. L. 105–135, §501(a), added par. (1) and struck out heading and text of former par. (1). Text read as follows: "Each Federal agency which has an extramural budget for research or research and development in excess of $1,000,000,000 in fiscal year 1994, 1995, or 1996, is authorized to expend with small business concerns-
1996-Subsec. (n)(1)(C). Pub. L. 104–208 substituted "fiscal years 1996 and 1997" for "fiscal year 1996".
1994-Subsec. (q)(2). Pub. L. 103–403 amended heading and text of par. (2) generally. Prior to amendment, text read as follows: "Annually, each agency may select a vendor for purposes of this subsection using competitive, merit-based criteria, to assist small business concerns to meet the goals listed in paragraph (1)."
1992-Subsec. (b)(4). Pub. L. 102–564, §202(a)(1), inserted before semicolon at end "and small business technology transfer pilot programs".
Subsec. (k). Pub. L. 102–564, §103(g), amended subsec. (k) generally, substituting "(k) [Reserved]" for prior provisions of subsec. (k) which read as follows: "The Director of the Office of Science and Technology Policy, in consultation with the Federal Coordinating Council for Science, Engineering and Research, shall, in addition to such other responsibilities imposed upon him by the Small Business Innovation Development Act of 1982-
1988-Subsec. (j)(6), (7). Pub. L. 100–590 added pars. (6) and (7).
1986-Subsec. (e)(1). Pub. L. 99–443, §1, inserted provision that for the Department of Defense, the extramural budget shall not include amounts obligated solely for operational systems development.
1982-Subsec. (b)(4) to (7). Pub. L. 97–219, §3, added pars. (4) to (7).
Pub. L. 112–239, div. A, title X, §1076(a), Jan. 2, 2013, 126 Stat. 1947 , provided that the amendment made by section 1076(a)(20)(A) is effective Dec. 31, 2011, and as if included in Pub. L. 112–81 as enacted.
Pub. L. 112–239, div. A, title XVI, §1615(c), Jan. 2, 2013, 126 Stat. 2067 , provided that: "The amendments made by this section [amending this section] shall take effect as of January 1, 2012."
Pub. L. 112–81, div. E, title LI, §5141(b)(3), Dec. 31, 2011, 125 Stat. 1854 , provided in part that the amendments made by section 5141(b)(3) of Pub. L. 112–81 (amending this section) were effective on the first day of the fourth full fiscal year following Dec. 31, 2011.
Pub. L. 111–84, div. A, title VIII, §847(c), Oct. 28, 2009, 123 Stat. 2421 , provided that: "The amendments made by this section [amending this section] shall take effect as of July 30, 2009."
Pub. L. 107–50, §3(b), Oct. 15, 2001, 115 Stat. 263 , provided that: "The amendments made by subsection (a) [amending this section] shall be effective beginning in fiscal year 2004."
Pub. L. 105–135, title V, §501(b)(2), Dec. 2, 1997, 111 Stat. 2622 , as amended by Pub. L. 106–554, §1(a)(9) [title I, §114(a)], Dec. 21, 2000, 114 Stat. 2763 , 2763A-681, provided that: "Effective October 1, 2005, section 9(s) of the Small Business Act [15 U.S.C. 638(s)] (as added by paragraph (1) of this subsection) is repealed."
Pub. L. 97–219, §5, July 22, 1982, 96 Stat. 221 , as amended by Pub. L. 99–443, §2, Oct. 6, 1986, 100 Stat. 1120 ; Pub. L. 102–484, div. D, title XLII, §4237(a), Oct. 23, 1992, 106 Stat. 2691 , which provided that effective Oct. 1, 1993, subsecs. (b)(4) through (7) and (e) through (k) of this section were to be repealed, was repealed by Pub. L. 102–564, title I, §104(a), Oct. 28, 1992, 106 Stat. 4254 .
Pub. L. 112–81, div. E, title LI, §5107(c), (d), Dec. 31, 2011, 125 Stat. 1829 , 1832, provided that:
"(c) Rulemaking To Ensure That Firms That Are Majority-Owned by Multiple Venture Capital Operating Companies, Hedge Funds, Or Private Equity Firms Are Able To Participate in a Portion of the SBIR Program.-
"(1) Statement of congressional intent.-It is the stated intent of Congress that the Administrator should promulgate regulations to carry out the authority under section 9(dd) of the Small Business Act [15 U.S.C. 638(dd)], as added by this section, that-
"(2) Rulemaking required.-
"(A) Proposed regulations.-Not later than 120 days after the date of enactment of this Act [Dec. 31, 2011], the Administrator shall issue proposed regulations to amend section 121.103 (relating to determinations of affiliation applicable to the SBIR program) and section 121.702 (relating to ownership and control standards and size standards applicable to the SBIR program) of title 13, Code of Federal Regulations, for firms that are majority-owned by multiple venture capital operating companies, hedge funds, or private equity firms and participating in the SBIR program solely under the authority under section 9(dd) of the Small Business Act [15 U.S.C. 638(dd)], as added by this section.
"(B) Final regulations.-Not later than 1 year after the date of enactment of this Act, and after providing notice of and opportunity for comment on the proposed regulations issued under subparagraph (A), the Administrator shall issue final or interim final regulations under this subsection.
"(3) Contents.-
"(A) In general.-The regulations issued under this subsection shall permit the participation of applicants majority-owned by multiple venture capital operating companies, hedge funds, or private equity firms in the SBIR program in accordance with section 9(dd) of the Small Business Act [15 U.S.C. 638(dd)], as added by this section, unless the Administrator determines-
"(i) in accordance with the size standards established under subparagraph (B), that the applicant is-
"(ii) in accordance with the criteria established under subparagraph (C), that the applicant-
"(B) Size standards.-Under the authority to establish size standards under paragraphs (2) and (3) of section 3(a) of the Small Business Act (15 U.S.C. 632(a)), the Administrator shall, in accordance with paragraph (1) of this subsection, establish size standards for applicants seeking to participate in the SBIR program solely under the authority under section 9(dd) of the Small Business Act [15 U.S.C. 638(dd)], as added by this section.
"(C) Criteria for determining foreign ownership.-The Administrator shall establish criteria for determining whether an applicant meets the requirements under subparagraph (A)(ii), and, in establishing the criteria, shall consider whether the criteria should include-
"(iii) whether the applicant is a direct or indirect subsidiary of a foreign-owned firm, including whether the criteria should include that an applicant is a direct or indirect subsidiary of a foreign-owned entity if-
"(D) Criteria for determining affiliation.-The Administrator shall establish criteria, in accordance with paragraph (1), for determining whether an applicant is affiliated with a venture capital operating company, hedge fund, private equity firm, or any other business that the venture capital operating company, hedge fund, or private equity firm has financed and, in establishing the criteria, shall specify that-
"(i) if a venture capital operating company, hedge fund, or private equity firm that is determined to be affiliated with an applicant is a minority investor in the applicant, the portfolio companies of the venture capital operating company, hedge fund, or private equity firm shall not be determined to be affiliated with the applicant, unless-
"(4) Enforcement.-If the Administrator does not issue final or interim final regulations under this subsection on or before the date that is 1 year after the date of enactment of this Act [Dec. 31, 2011], the Administrator may not carry out or establish any pilot program until the date on which the Administrator issues the final or interim final regulations under this subsection.
"(5) Definition.-In this subsection, the terms 'venture capital operating company', 'hedge fund', and 'private equity firm' have the same meaning as in section 3 of the Small Business Act (15 U.S.C. 632), as amended by this section.
"(d) Assistance for Determining Affiliates.-
"(1) Clear explanation required.-Not later than 30 days after the date of enactment of this Act [Dec. 31, 2011], the Administrator shall post on the Web site of the Administration (with a direct link displayed on the homepage of the Web site of the Administration or the SBIR and STTR Web sites of the Administration)-
"(B) contact information for officers or employees of the Administration who-
"(2) Inclusion of affiliation rules for certain small business concerns.-On and after the date on which the final regulations under subsection (c) are issued, the Administrator shall post on the Web site of the Administration information relating to the regulations, in accordance with paragraph (1)."
Pub. L. 112–81, div. E, title LI, §5136, Dec. 31, 2011, 125 Stat. 1849 , provided that:
"(a) In General.-Not later than 1 year after the date of enactment of this Act [Dec. 31, 2011], 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-
"(1) conduct a fiscal and management audit of the SBIR program and the STTR program for the applicable period to-
"(b) Definition of Applicable Period.-In this section, the term 'applicable period' means-
"(2) for the second and each subsequent report submitted under this section, the period-
Pub. L. 112–81, div. E, title LI, §5141(b)(2), Dec. 31, 2011, 125 Stat. 1853 , provided that: "Notwithstanding the amendments made by paragraph (1) [amending this section], subsections (f)(2) and (y)(4) of section 9 of the Small Business Act (15 U.S.C. 638), as in effect on the day before the date of enactment of this Act [Dec. 31, 2011], shall continue to apply to each Federal agency until the effective date of the performance criteria established by the [Small Business] Administrator under subsection (mm)(3) of section 9 of the Small Business Act [15 U.S.C. 638(mm)(3)], as added by subsection (a)."
Pub. L. 112–81, div. E, title LI, §5151, Dec. 31, 2011, 125 Stat. 1857 , provided that:
"(a) In General.-Not later than 180 days after the date of enactment of this Act [Dec. 31, 2011], the Administrator shall promulgate amendments to the SBIR Policy Directive and the STTR Policy Directive to conform such directives to this title [enacting sections 638a and 638b of this title, amending this section and section 632 of this title, and enacting and amending provisions set out as notes under this section] and the amendments made by this title.
"(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."
Pub. L. 112–81, div. E, title LI, §5168, Dec. 31, 2011, 125 Stat. 1862 , provided that:
"(a) Coordination Required.-The head of a Federal agency that participates in the SBIR program and the Experimental Program to Stimulate Competitive Research or the Institutional Development Award Program shall coordinate, to the extent possible, the initiatives of the agency with respect to such programs.
"(b) Coordination Report.-Not later than 1 year after the date of enactment of this Act [Dec. 31, 2011], the head of each Federal agency that participates in the SBIR program and the Experimental Program to Stimulate Competitive Research or the Institutional Development Award Program shall submit to the Administrator, the Committee on Small Business and the Committee on Science, Space, and Technology of the House of Representatives, and the Committee on Small Business and Entrepreneurship of the Senate a report describing the actions taken during the preceding 1-year period to increase coordination between such programs to maximize existing resources.
"(c) Participation Report.-Not later than 3 years after the date of enactment of this Act [Dec. 31, 2011], the head of each Federal agency that participates in the SBIR program and the Experimental Program to Stimulate Competitive Research or the Institutional Development Award Program shall submit to the Administrator, the Committee on Small Business and the Committee on Science, Space, and Technology of the House of Representatives, and the Committee on Small Business and Entrepreneurship of the Senate a report analyzing whether actions taken to increase the coordination of such programs have been successful in attracting entrepreneurs into the SBIR program and increasing the participation of States with respect to which a low level of SBIR awards have historically been awarded."
Pub. L. 106–554, §1(a)(4) [div. B, title I, §149], Dec. 21, 2000, 114 Stat. 2763 , 2763A-251, provided that: "The Small Business Innovation Research program, otherwise expiring at the end of fiscal year 2000, is authorized to continue in effect during fiscal year 2001."
Pub. L. 106–554, §1(a)(9) [title I, §102], Dec. 21, 2000, 114 Stat. 2763 , 2763A-668, provided that: "Congress finds that-
"(1) the small business innovation research program established under the Small Business Innovation Development Act of 1982 [see Short Title of 1982 Amendment note set out under section 631 of this title], and reauthorized by the Small Business Research and Development Enhancement Act of 1992 [see Short Title of 1992 Amendments note set out under section 631 of this title] (in this title [see Short Title of 2000 Amendment note set out under section 631 of this title] referred to as the 'SBIR program') is highly successful in involving small businesses in federally funded research and development;
Pub. L. 106–554, §1(a)(9) [title I, §108], Dec. 21, 2000, 114 Stat. 2763 , 2763A-671, as amended by Pub. L. 112–81, div. E, title LI, §5137, Dec. 31, 2011, 125 Stat. 1850 , provided that:
"(a) Study and Recommendations.-The head of each agency with a budget of more than $50,000,000 for its SBIR program for fiscal year 1999, in consultation with the Small Business Administration, shall, not later than 6 months after the date of the enactment of this Act [Dec. 21, 2000], cooperatively enter into an agreement with the National Academy of Sciences for the National Research Council to-
"(1) conduct a comprehensive study of how the SBIR program has stimulated technological innovation and used small businesses to meet Federal research and development needs, including-
"(2) make recommendations with respect to-
"(b) Participation by Small Business.-
"(1) In general.-In a manner consistent with law and with National Research Council study guidelines and procedures, knowledgeable individuals from the small business community with experience in the SBIR program shall be included-
"(2) Consultation.-To ensure that the concerns of small business are appropriately considered under this subsection, the National Research Council shall consult with and consider the views of the Office of Technology and the Office of Advocacy of the Small Business Administration and other interested parties, including entities, organizations, and individuals actively engaged in enhancing or developing the technological capabilities of small business concerns.
"(c) Progress Reports.-The National Research Council shall provide semiannual progress reports on the study conducted under this section to the Committee on Science [now Committee on Science, Space, and Technology] and the Committee on Small Business of the House of Representatives, and to the Committee on Small Business [now Committee on Small Business and Entrepreneurship] of the Senate.
"(d) Report.-The National Research Council shall transmit to the heads of agencies entering into an agreement under this section and to the Committee on Science [now Committee on Science, Space, and Technology] and the Committee on Small Business of the House of Representatives, and to the Committee on Small Business [now Committee on Small Business and Entrepreneurship] of the Senate-
"(e) Extensions and Enhancements of Authority.-
"(1) In general.-Not later than 6 months after the date of enactment of the SBIR/STTR Reauthorization Act of 2011 [div. E of Pub. L. 112–81, approved Dec. 31, 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 SBIR/STTR Reauthorization Act of 2011, and every 4 years thereafter-
"(B) conduct a comprehensive study of how the STTR program has stimulated technological innovation and technology transfer, including-
"(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).
"(3) Reporting.-An agreement under paragraph (1) shall require that not later than 4 years after the date of enactment of the SBIR/STTR Reauthorization Act of 2011 [div. E of Pub. L. 112–81, approved Dec. 31, 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 regarding the study conducted under paragraph (1) and containing the recommendations described in paragraph (1)."
Pub. L. 102–564, title I, §102, Oct. 28, 1992, 106 Stat. 4249 , provided that:
"(1) the small business innovation research program established under the Small Business Innovation Development Act of 1982 [see Short Title of 1982 Amendment note set out under section 631 of this title] (hereafter in this Act [see Short Title of 1992 Amendments note set out under section 631 of this title] referred to as the 'SBIR' program) has been a successful method of involving small business concerns in Federal research and development;
"(b) Purposes.-The purposes of this title [see Short Title of 1992 Amendments note set out under section 631 of this title] are-
Pub. L. 102–564, title I, §106, Oct. 28, 1992, 106 Stat. 4256 , required the Secretary of Defense, by Mar. 31, 1996, to submit a recommendation to Congress addressing whether there was a demonstrable reduction in the quality of research performed under the Small Business Innovation Research Program since the beginning of fiscal year 1993, such that increasing the percentage in fiscal years after 1996 under former 15 U.S.C. 638(f)(1)(C) would adversely affect the performance of the research programs of the Department of Defense.
Pub. L. 102–564, title II, §202(d), Oct. 28, 1992, 106 Stat. 4260 , provided that: "The policy directive required by section 9(p) of the Small Business Act [15 U.S.C. 638(p)] (as added by subsection (c) of this section) shall be published-
Pub. L. 102–564, title III, §306, Oct. 28, 1992, 106 Stat. 4263 , provided that:
"(a) Purchase of American-Made Equipment and Products.-It is the sense of the Congress that an entity that is awarded a funding agreement under the SBIR program of a Federal agency under section 9 of the Small Business Act [15 U.S.C. 638] should, when purchasing any equipment or a product with funds provided through the funding agreement, purchase only American-made equipment and products, to the extent possible in keeping with the overall purposes of that program.
"(b) Notice to SBIR Awardees.-Each Federal agency that awards funding agreements under the SBIR program shall provide to each recipient of such an award a notice describing the sense of the Congress, as set forth in subsection (a)."
Pub. L. 102–484, div. D, title XLII, §4237, Oct. 23, 1992, 106 Stat. 2691 , provided that:
"(a) Extension of Program.-[Amended section 5 of Pub. L. 97–219, formerly set out as a note above.]
"(b) Limitation on Program Awards.-Amounts paid to a small business concern by the Department of Defense under the Small Business Innovation Research Program for a project-
"(c) Commercial Applications Strategy.-Not later than 270 days after the date of the enactment of this Act [Oct. 23, 1992], the Secretary of Defense, in consultation with the Administrator of the Small Business Administration, shall develop and issue a strategy for effectuating the transition of successful projects under the Small Business Innovation Research Program from phase II under the program into phase III under the program.
"(d) Repeal of Exclusion of Certain Activities.-[Amended this section.]
"(e) Percentage of Required Expenditures for SBIR Contracts.-(1) The Small Business Innovation Research Program shall apply to the Department of Defense (including the military departments) as if the percentage specified in section 9(f)(1) of the Small Business Act (15 U.S.C. 638(f)(1)) with respect to fiscal years after fiscal year 1982 were determined in accordance with the table set forth in paragraph (2) (rather than 1.25 percent).
"(1) The term 'Small Business Innovation Research Program' means the program established under the following provisions of section 9 of the Small Business Act (15 U.S.C. 638):
"(2) The term 'phase I', with respect to the Small Business Innovation Research Program, means the first phase described in subsection (e)(4)(A) of section 9 of the Small Business Act.
"(3) The term 'phase II', with respect to the Small Business Innovation Research Program, means the second phase described in subsection (e)(4)(B) of such section.
"(4) The term 'phase III', with respect to the Small Business Innovation Research Program, means the third phase described in subsection (e)(4)(C) of such section.
"(g) Effective Date.-Subject to subsection (h), this section, and the amendments made by this section, shall take effect on October 1, 1992, and shall apply with respect to fiscal years after fiscal year 1992.
"(h) Effectiveness of Section Conditional on Failure to Enact Other Legislation.-(1) In the event of the enactment of H.R. 4400 or S. 2941 [S. 2941 was enacted into law as Pub. L. 102–564 on Oct. 28, 1992], 102d Congress, on or before the date of the enactment of this Act [Oct. 23, 1992], then this section and the amendments made by this section shall not take effect.
"(2)(A) In the event of the enactment of H.R. 4400 or S. 2941, 102d Congress, after the date of the enactment of this Act, then, effective immediately before the enactment of H.R. 4400 or S. 2941, 102d Congress-
"(C) In this paragraph, the term 'small business law' means-
Pub. L. 99–500, §101(a) [title VI, §630], Oct. 18, 1986, 100 Stat. 1783 , 1783-30, and Pub. L. 99–591, §101(a) [title VI, §630], Oct. 30, 1986, 100 Stat. 3341 , 3341-30, provided that: "All funds appropriated for this fiscal year and all funds appropriated hereafter by this or any other Act that are determined to be part of the 'extramural budget' of the Department of Agriculture for any fiscal year for purposes of meeting the requirements of section 9 of the Small Business Act (15 U.S.C. 638), as amended by the Small Business Innovation Development Act of 1982, Public Law 97–219, shall be available for contracts, grants or cooperative agreements with small business concerns for any purpose in furtherance of the small business innovation research program. Such funds may be transferred for such purpose from one appropriation to another or to a single account."
Pub. L. 97–219, §2, July 22, 1982, 96 Stat. 217 , provided that:
"(b) Therefore, the purposes of the Act [amending this section] are-
Pub. L. 102–564, title I, §105, Oct. 28, 1992, 106 Stat. 4254 , required the Comptroller General to submit to Congress an interim report, by Mar. 31, 1995, concerning the quality of research performed under Small Business Innovation Research Program funding agreements entered into during fiscal year 1993 and thereafter and a final report, no later than 5 years after Oct. 28, 1992, concerning various aspects of the Small Business Innovation Research Program.
Pub. L. 102–564, title II, §202(e), Oct. 28, 1992, 106 Stat. 4260 , required the Comptroller General to submit a report to Congress and the head of each agency required to make expenditures under the Small Business Technology Transfer Program setting forth the Comptroller General's assessment of various aspects of the program and with the agencies' compliance with procedural requirements.
Pub. L. 97–219, §6, July 22, 1982, 96 Stat. 221 , as amended by Pub. L. 99–443, §3, Oct. 6, 1986, 100 Stat. 1120 ; Pub. L. 100–418, title VIII, §8008, Aug. 23, 1988, 102 Stat. 1561 ; Pub. L. 100–647, title IX, §9003, Nov. 10, 1988, 102 Stat. 3808 , required the Comptroller General, by Dec. 31, 1988, to transmit a report to appropriate Congressional committees evaluating the effectiveness of the initial phases of the Small Business Innovation Research Program, by Dec. 31, 1991, to transmit to such committees an update of the earlier report, and by July 1, 1989, to transmit to such committees recommendations as to the advisability of certain amendments to the Small Business Innovation Research Program.