15 U.S. Code § 638 - Research and development

general information about the implementation of, and compliance with the allocation of funds required under, subsection (dd) for firms owned in majority part by venture capital operating companies, (E)

a detailed description of appeals of (F) an accounting of funds, initiatives, and outcomes under the Commercialization Readiness Program;

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);

with respect to a (I) open topics; and conventional topics;

the minimum performance standards established under subsection (qq), including any applicable modifications under paragraph (3) of such subsection, and the number of (L)

the aggregate number and dollar amount of small business concern, or any otherwise sensitive information;

to provide for and fully implement the tenets of Executive Order No. 13329 (Encouraging Innovation in Manufacturing);

to coordinate the implementation of electronic databases at each of the Federal agencies participating in the (10)

to construct, acquire, or establish laboratories and other facilities for the conduct of (B) to undertake and utilize applied (C) to collect (D) to conduct applied (E) to prosecute applications for patents and render patent services for participating members; and

to negotiate and grant licenses under patents held under the joint program, and to establish corporations designed to exploit particular patents obtained by it.

No act or omission to act pursuant to and within the scope of any joint program for Federal Trade Commission Act [15 U.S.C. 41 et seq.]. Upon publication in the Federal Register of the notice of withdrawal of his approval of the agreement granted under this subsection, either by the (e) Definitions For the purpose of this section—

the term “section 105 of title 5 or a military department as defined in section 102 of such title, except that it does not include any agency within the Intelligence Community (as the term is defined in section 3.4(f) of Executive Order 12333 or its successor orders);

the term “funding agreement” means any contract, grant, or cooperative agreement entered into between any (4) the term “ Federal agency’s (A)

a first phase for determining, insofar as possible, the scientific and technical merit and feasibility of ideas that appear to have commercial potential, as described in subparagraph (B), submitted pursuant to (B) a second phase, which shall not include any invitation, pre-screening, or pre-selection process for eligibility for (i)

the existence of second phase funding commitments from private sector or non- (iii) the existence of third phase, follow-on commitments for the subject of the (iv) the presence of other indicators of the commercial potential of the idea; and

(C) where appropriate, a third phase for work that derives from, extends, or completes efforts made under prior (i)

in which commercial applications of (ii) for which awards from non- (5)

a first phase, to determine, to the extent possible, the scientific, technical, and commercial merit and feasibility of ideas submitted pursuant to (B)

a second phase, which shall not include any invitation, pre-screening, or pre-selection process for eligibility for (C) where appropriate, a third phase for work that derives from, extends, or completes efforts made under prior (i)

in which commercial applications of -STTR Federal funding awards; and for which awards from non- (7)

the term “cooperative research and development” means research institution in which not less than 40 percent of the work is performed by the small business concern, and not less than 30 percent of the work is performed by the research institution;

the term “research institution” means a nonprofit institution, as defined in section 3703(5) [1] of this title, and includes federally fundedsection 1303(a)(1) of title 41 (or any successor regulation thereto);

the term “commercial applications” shall not be construed to exclude testing and evaluation of products, services, or technologies for use in technical or weapons systems, and further, awards for testing and evaluation of products, services, or technologies for use in technical or weapons systems may be made in either Small Business Technology Transfer Program, as defined in this subsection;

(10) the term “ (A) the process of developing products, processes, technologies, or services; and

the production and delivery (whether by the originating party or by others) of products, processes, technologies, or services for sale to or use by the Federal Government or commercial markets;

(11) the term “Phase I” means— with respect to the (B) with respect to the (12) the term “ (A) with respect to the (B) with respect to the (13) the term “ (A) with respect to the (B) with respect to the (14) contributes in a substantive, meaningful way to the scientific development or execution of a (B) is designated as a covered individual by the Federal (16)

the term “foreign affiliation” means a funded or unfunded academic, professional, or institutional appointment or position with a foreign government or government-owned entity, whether full-time, part-time, or voluntary (including adjunct, visiting, or honorary);

the term “foreign country of concern” means the People’s Republic of China, the Democratic People’s Republic of Korea, the Russian Federation, the Islamic Republic of Iran, or any other country determined to be a country of concern by the Secretary of State;

the term “federally funded award” means a Phase I, funding agreement. (f) Federal agency expenditures for SBIR program (1) Required expenditure amounts Except as provided in paragraph (2)(B), each (A) not less than 1.5 percent of such budget in each of fiscal years 1993 and 1994; not less than 2.0 percent of such budget in each of fiscal years 1995 and 1996; not less than 2.5 percent of such budget in each of fiscal years 1997 through 2011; not less than 2.6 percent of such budget in fiscal year 2012; not less than 2.7 percent of such budget in fiscal year 2013; not less than 2.8 percent of such budget in fiscal year 2014; not less than 2.9 percent of such budget in fiscal year 2015; not less than 3.0 percent of such budget in fiscal year 2016; and not less than 3.2 percent of such budget in fiscal year 2017 and each fiscal year thereafter, specifically in connection with (2) Limitations A (A) use any of its (B)

make available for the purpose of meeting the requirements of paragraph (1) an amount of its (3) Exclusion of certain funding agreements

unilaterally determine categories of projects to be in its (2) issue small business innovation Small Business Administration ; (3) unilaterally determine (A)

the National Critical Technologies Panel (or its successor) in the 1991 report required under section 6683 1 of title 42, and in subsequent reports issued under that authority; or

the Secretary of Defense , in the 1992 report issued in accordance with section 2522 1 of title 10, and in subsequent reports issued under that authority;

unilaterally receive and evaluate proposals resulting from (B) make a final decision on each proposal submitted under the (i)

not later than 1 year after the date on which the applicable solicitation closes, if with respect to the National Institutes of Health or the National Science Foundation , or 90 days after the date on which the applicable solicitation closes, if with respect to any other participating agency; or

subject to subsection (l), unilaterally select awardees for its funding agreement; administer its own administration to another agency);

make payments to recipients of funding agreement requirements and, in all cases, make payment to recipients under such agreements in full, subject to audit, on or before the last day of the 12-month period beginning on the date of completion of such requirements;

(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 (A) whether an awardee—

(i) has venture capital ,venture capital operating companies, (I) the amount of venture capital , (II) the amount of additional capital that the awardee has invested in the (ii) has an investor that— is an individual who is not a citizen of the (II) is a person that is not an individual and is not organized under the laws of a State or the (iii) is owned by a woman or has a woman as a principal investigator; [2]

is owned by a socially or economically disadvantaged individual or has a socially or economically disadvantaged individual as a principal investigator; 2

is a faculty member or a student of an institution of higher education, as that term is defined in section 1001 of title 20; or

is located in a State described in subsection (u)(3);

a justification statement from the agency, if an awardee receives an award in an amount that is more than the award guidelines under this section; and

data with respect to the Federal and State Technology Partnership Program (FAST Program);

include, as part of its annual performance plan as required by subsections (a) and (b) of section 1115 of title 31, a section on its[3] and shall submit such section to the Committee on Small Business of the Senate , and the Committee on Science and the Committee on Small Business of the House of Representatives ;

provide for and fully implement the tenets of Executive Order No. 13329 (Encouraging Innovation in Manufacturing);

provide timely notice to the (13) require each federally funded award to disclose in the proposal or application—

the identity of all owners and covered individuals of theforeign country of concern, including the People’s Republic of China;

the existence of any joint venture or subsidiary of the foreign affiliation with any foreign country of concern, including the People’s Republic of China;

any current or pending contractual or financial obligation or other agreement specific to a business arrangement, or joint venture-like arrangement with an enterprise owned by a foreign state or any foreign entity;

whether the (E)

the percentage, if any, of venture capital or institutional investment by an entity that has a general partner or individual holding a leadership role in such entity who has a foreign affiliation with any foreign country of concern, including the People’s Republic of China;

any technology licensing or intellectual property sales to a foreign country of concern, including the People’s Republic of China, during the 5-year period preceding submission of the proposal; and

any foreign business entity, offshore entity, or entity outside the (14)

after reviewing the disclosures of a state or any foreign entity in effect during the 5-year period preceding submission of the proposal with respect to which such (15) not make an award under the (A) the (i)

has an owner or covered individual that is party to a malign foreign talent recruitment program;

has a business entity, parent company, or subsidiary located in the People’s Republic of China or another foreign country of concern; or

has an owner or covered individual that has a foreign affiliation with a research institution located in the People’s Republic of China or another foreign country of concern; and

(B) the relationships and commitments described in clauses (i) through (iii) of subparagraph (A)— interfere with the capacity for activities supported by the (ii) create duplication with activities supported by the (iii) present concerns about conflicts of interest; were not appropriately disclosed to the (v) violate Federal law or terms and conditions of the (vi) pose a risk to national security; (16) require a (A)

there is a change in ownership, change to entity structure, or other substantial change in circumstances of the (17) require a (A)

any change to a disclosure required under subparagraphs (A) through (G) of paragraph (13); any material misstatement made under paragraph (16)(A); and any change described in paragraph (16)(B).

(h) Establishment of goals for funding agreements for research or research and development to small business concerns by agencies having budg­ets for research and development

In addition to the requirements of subsection (f), each small business concerns, and no goal established under this subsection shall be less than the percentage of the agency’s (i) Annual reporting

(1) In general (A) Methodology

Not later than 4 months after the date of the enactment of each appropriations Act for a Federal agency.

(B) Administrator’s analysis simplified, standardized, and timely (B)

a simplified, standardized funding process which provides for (i) the timely receipt and review of proposals; (ii) outside peer review for at least (C)

exemptions from the regulations under paragraph (2) [4] if national security or intelligence functions clearly would be jeopardized;

minimizing regulatory burden associated with participation in the (E) standardized and orderly withdrawal from program participation by an agency having a (G) retention by a (B) continued use by a (C) procedures to ensure, to the extent practicable, that an agency which intends to pursue (D)

an increase to $150,000 in the amount of funds which an agency may award in Phase I of an (E) a process for notifying the participating (i)

by the National Critical Technologies Panel (or its successor), in accordance with section 6683 1 of title 42; or

by the Secretary of Defense , in accordance with section 2522 1 of title 10;

enhanced outreach efforts to increase the participation of socially and economically disadvantaged section 637(a)(4) of this title, and the participation of small businesses that are 51 percent owned and controlled by women in technological innovation and in (G)

technical and programmatic guidance to encourage agencies to develop gap-funding programs to address the delay between an award for Phase I of an (H)

procedures to ensure that a funding agreement for (I) (3) Additional modifications Not later than 120 days after December 21, 2000 , the (A)

to clarify that the rights provided for under paragraph (2)(A) apply to all Federal funding awards under this section, including Phase I, (B)

to provide for the requirement of a succinct (C) to require agencies to report to the funding agreement with the small business concern, which report shall include, at a minimum—

the reasons why the follow-on funding agreement with the (ii) the identity of the entity with which the agency contracted to perform the (iii) a description of the type of funding agreement under which the (D)

to implement subsection (v), including establishing standardized procedures for the provision of information pursuant to subsection (k)(3).

(4) Modifications relating to procurement center representatives

Upon the enactment of this paragraph, the section 644(l) of this title) to consult with the appropriate personnel from the relevant Phase III.

(k) Database (1) Public database Not later than 180 days after December 21, 2000 , the (A)

the name, size, location, and an identifying number assigned by the Phase I or (B) a description of each Phase I or small business concern, including—

an abstract of the project funded by the award, excluding any proprietary information so identified by the (ii)

the date and amount of the award;

an identification of any business concern or subsidiary established for the commercial application of a product or service for which an (D)

information regarding mentors and Mentoring Networks, as required by section 657e(d) of this title; (E) with respect to assistance under the (i) whether the research institution initiated their collaboration on each assisted (ii) whether the research institution originated any technology relating to the assisted (iii)

the length of time it took to negotiate any licensing agreement between the research institution under each assisted (iv)

how the proceeds from research institution; and (F) for each Phase I or small business concern— has venture capital ,venture capital operating companies, (ii) is owned by a woman or has a woman as a principal investigator; 2

is owned by a socially or economically disadvantaged individual or has a socially or economically disadvantaged individual as a principal investigator; 2

is owned by a faculty member or a student of an institution of higher education, as that term is defined in section 1001 of title 20; or

received assistance under the Federal and State Technology Partnership Program (FAST Program).

(2) Government database Not later than 90 days after December 31, 2011 , the (A) contains for each Phase I or (i)

the name, size, and location of, and the identifying number assigned by the (ii) an abstract of the applicable project; the specific aims of the project; the number of employees of the (v)

the names and titles of the key individuals that will carry out the project, the position each key individual holds in the (vi)

the percentage of effort each individual described in clause (v) will contribute to the project; whether the venture capital operating companies, (viii)

information collected in accordance with paragraph (3) on revenue from the sale of new products or services resulting from the (ii)

information collected in accordance with paragraph (3) on additional investment from any source, other than Phase I or (iii)

any other information received in connection with the award that the (C) includes any narrative information that a (D) includes, for each awardee—

the name, size, and location of, and any identifying number assigned by the (ii) whether the awardee has venture capital , (I)

the amount of venture capital , (II)

the percentage of ownership of the awardee held by a venture capital operating company,venture capital operating companies, (III)

the amount of additional capital that the awardee has invested in the (iii) the names and locations of any affiliates of the awardee; the number of employees of the awardee; the number of employees of the affiliates of the awardee; and (vi) the names of, and the percentage of ownership of the awardee held by— any individual who is not a citizen of the (II) any person that is not an individual and is not organized under the laws of a State or the (E) includes any other data collected by or available to any (F)

is available for use solely for program evaluation purposes by the Federal Government or, in accordance with policy directives issued by the (G) includes a timely and accurate list of any individual or (i)

convicted of a fraud-related crime involving funding received under the (ii)

found civilly liable for a fraud-related violation involving funding received under the (3) Updating information for database

(A) In general update information in the database concerning that award at the termination of the award period; and be requested to voluntarily update such information annually thereafter for a period of 5 years. (C) Government database

Not later than 60 days after the date established by a (4) Protection of information

Information provided under paragraph (2) shall be considered privileged and confidential and not subject to disclosure pursuant to section 552 of title 5.

(5) Rule of construction

Inclusion of information in the database under this subsection shall not be considered to be publication for purposes of subsection (a) or (b) of section 102 of title 35.

(l) Reporting of awards made from single proposal, to multiple award winners, or to critical technology topics

(1) Single proposal

An agency referred to in paragraph (1) shall include in its next annual report required under subsection (g)(8) an accounting of the awards the agency has made for Phase I of an (3) Critical technology awards

An agency referred to in paragraph (1) shall include in its next annual report required under subsection (g)(8), an accounting of the number of awards it has made to critical technology topics, as defined in subsection (g)(3), including an identification of the specific critical technologies topics, and the percentage by number and dollar amount of the agency’s total (m) Termination

The authorization to carry out the September 30, 2025 .

(n) Required expenditures for STTR by Federal agencies (1) Required expenditure amounts (A) In general

With respect to each fiscal year through fiscal year 2025, each (B) Expenditure amounts The percentage of the (i)

0.15 percent for each fiscal year through fiscal year 2003; 0.3 percent for each of fiscal years 2004 through 2011; 0.35 percent for each of fiscal years 2012 and 2013; 0.40 percent for each of fiscal years 2014 and 2015; and 0.45 percent for fiscal year 2016 and each fiscal year thereafter. (2) Limitations A (A)

use any of its research institution, costs associated with salaries, expenses, and administrative overhead (other than those direct or indirect costs allowable under guidelines of the Office of Management and Budget and the governmentwide Federal Acquisition Regulation issued in accordance with section 1303(a)(1) of title 41); or

make available for the purpose of meeting the requirements of paragraph (1) an amount of its (3) Exclusion of certain funding agreements

unilaterally determine categories of projects to be included in its (2)

by the National Critical Technologies Panel (or its successor) in reports required under section 6683 1 of title 42; or

by the Secretary of Defense , in accordance with section 2522 1 of title 10;

unilaterally receive and evaluate proposals resulting from (B) make a final decision on each proposal submitted under the (i)

not later than 1 year after the date on which the applicable solicitation closes, if with respect to the National Institutes of Health or the National Science Foundation , or 90 days after the date on which the applicable solicitation closes, if with respect to any other participating agency; or

unilaterally select awardees for its funding agreement; administer its own administration to another agency);

make payments to recipients of funding agreement requirements and, in all cases, make payment to recipients under such agreements in full, subject to audit, on or before the last day of the 12-month period beginning on the date of the completion of such requirements;

include, as part of its annual performance plan as required by subsections (a) and (b) of section 1115 of title 31, a section on itsSenate , and the Committee on Science and the Committee on Small Business of the House of Representatives ;

(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 (A) whether an applicant or awardee—

(i) has venture capital ,venture capital operating companies, (I) the amount of venture capital , (II)

the amount of additional capital that the applicant or awardee has invested in the (ii) has an investor that—

is an individual who is not a citizen of the (II) is a person that is not an individual and is not organized under the laws of a State or the (iii) is owned by a woman or has a woman as a principal investigator; 2

is owned by a socially or economically disadvantaged individual or has a socially or economically disadvantaged individual as a principal investigator; 2

is a faculty member or a student of an institution of higher education, as that term is defined in section 1001 of title 20; or

is located in a State in which the total value of contracts awarded to States, as determined by the Administrator;

if an awardee receives an award in an amount that is more than the award guidelines under this section, a statement from the agency that justifies the award amount; and

data with respect to the Federal and State Technology Partnership Program (FAST Program); submit an annual report on the Office of Science and Technology Policy ; adopt the agreement developed by the commercialization;

(12) develop, in consultation with the Office of Federal Procurement Policy and the Office of Government Ethics , procedures to ensure that federally funded (A)

are free from organizational conflicts of interests relative to the (B) do not use privileged information gained through work performed for an (C) use outside peer review, as appropriate;

(13) not later than July 31, 1993 , develop procedures for assessing the commercial merit and feasibility of (A)

the existence of -STTR funding sources; the existence of research; and the presence of other indicators of the commercial potential of the idea; implement an outreach program to (15)

provide for and fully implement the tenets of Executive Order No. 13329 (Encouraging Innovation in Manufacturing);

provide timely notice to the (17) require each federally funded award to disclose in the proposal or application—

the identity of all owners and covered individuals of theforeign country of concern, including the People’s Republic of China;

the existence of any joint venture or subsidiary of the foreign affiliation with any foreign country of concern, including the People’s Republic of China;

any current or pending contractual or financial obligation or other agreement specific to a business arrangement, or joint venture-like arrangement with an enterprise owned by a foreign state or any foreign entity;

whether the (E)

the percentage, if any, of venture capital or institutional investment by an entity that has a general partner or individual holding a leadership role in such entity who has a foreign affiliation with any foreign country of concern, including the People’s Republic of China;

any technology licensing or intellectual property sales to a foreign country of concern, including the People’s Republic of China, during the 5-year period preceding submission of the proposal; and

any foreign business entity, offshore entity, or entity outside the (18)

after reviewing the disclosures of a state or any foreign entity in effect during the 5-year period preceding submission of the proposal with respect to which such (19) not make an award under the (A) the (i)

has an owner or covered individual that is party to a malign foreign talent recruitment program;

has a business entity, parent company, or subsidiary located in the People’s Republic of China or another foreign country of concern; or

has an owner or covered individual that has a foreign affiliation with a research institution located in the People’s Republic of China or another foreign country of concern; and

(B) the relationships and commitments described in clauses (i) through (iii) of subparagraph (A)— interfere with the capacity for activities supported by the (ii) create duplication with activities supported by the (iii) present concerns about conflicts of interest; were not appropriately disclosed to the (v) violate Federal law or terms and conditions of the (vi) pose a risk to national security; (20) require a (A)

there is a change in ownership, change to entity structure, or other substantial change in circumstances of the (21) require a (A)

any change to a disclosure required under subparagraphs (A) through (G) of paragraph (17); any material misstatement made under paragraph (20)(A); and any change described in paragraph (20)(B). (p) STTR policy directive (1) Issuance The (A) the heads of each of the Federal agencies required by subsection (n) to establish an (B)

the Under Secretary of Commerce for Intellectual Property andUnited States Patent and Trademark Office ; and

the timely receipt and review of proposals; outside peer review, if appropriate; protection of proprietary information provided in proposals; selection of awardees; retention by a (vi) continued use by a (vii) cost sharing; cost principles and payment schedules; and 1-year awards for Phase I of an (C) minimizing regulatory burdens associated with participation in (D)

guidelines for a model agreement, to be used by all agencies, for allocating between commercialization;

(E) procedures to ensure that—

a recipient of an small business concern, as defined in section 632 of this title and the regulations promulgated thereunder; and

such funding agreement pursuant to a business plan providing for the (F) consult with the appropriate personnel from the relevant Phase III;

provide technical assistance to such concerns to submit a bid for an award of a Federal contract; and

consult with the appropriate personnel from the relevant (3) Modifications

Not later than 120 days after October 15, 2001 , the Phase I, Phase III.

(q) Discretionary technical and business assistance (1) In general Each (A) making better technical decisions concerning such projects; solving technical problems which arise during the conduct of such projects; minimizing technical risks associated with such projects; and

developing and commercializing new commercial products and processes resulting from such projects, including intellectual property protections.

(2) Vendor selection (A) In general

Each agency may select 1 or more vendors from which (B) Selection by small business concern

(A) Phase I A (i) provide to the recipient of a Phase I (ii) authorize the recipient of a Phase I (B) Phase II A (i) provide to the recipient of a (ii) authorize the recipient of a (C) Flexibility

In carrying out subparagraphs (A) and (B), each (D) Limitation A (i)

use the amounts authorized under subparagraph (A) or (B) unless 1 or more vendors selected under paragraph (2)(A) provides the technical or business assistance to the recipient; or

enter a contract with a vendor under paragraph (2)(A) under which the amount provided for technical or business assistance is based on total number of Phase I or (E) Multiple award recipients

(A) In general

The information required under subparagraph (A) shall be collected by a August 13, 2018 .

(r) Phase III agreements, competitive procedures, and justification for awards (1) In general

In the case of a funding agreement forPhase III agreement with that business concern for additional work to be performed during or after thePhase III agreements with that agency or any other agency.

(2) Definition

In this subsection, the term “Phase III agreement” means a follow-on, non-STTR funded contract as described in paragraph (4)(C) or paragraph (6)(C) of subsection (e).

(3) Intellectual property rights

(4) Competitive procedures and justification for awards To the greatest extent practicable, Federal agencies and Federal prime contractors shall—

consider an award under the (B)

All funds awarded, appropriated, or otherwise made available in accordance with subsection (f) or (n) must be awarded pursuant to competitive and merit-based selection procedures.

(t) Inclusion in strategic plans

Program information relating to the section 306(b) of title 5.

(u) Coordination of technology development programs

(1) Definition of technology development program In this subsection, the term “technology development program” means—

the Defense Experimental Program to Stimulate Competitive Department of Defense ; the Experimental Program to Stimulate Competitive Department of Energy ; the Experimental Program to Stimulate Competitive Environmental Protection Agency ; the Experimental Program to Stimulate Competitive National Aeronautics and Space Administration ; the Institutional Development Award Program of the National Institutes of Health ; and the National Department of Agriculture .

(2) Coordination requirements Each 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 (i) a State that is eligible to participate in that program; or a State described in paragraph (3); or (B) any proposal for Phase I of the (i) a State that is eligible to participate in a technology development program; or a State described in paragraph (3). (3) Additionally eligible State

A State referred to in subparagraph (A)(ii) or (B)(ii) of paragraph (2) is a State in which the total value of contracts awarded to States, as determined by the Administrator.

(v) Reducing paperwork and compliance burden (1) Standardization of reporting requirements

Not later than 1 year after December 31, 2011 , and after a period of public comment, the (w) STTR model agreement for intellectual property rights

(1) In general (2) Opportunity for comment

In promulgating regulations under paragraph (1), the (x) Research and development focus

(1) Revision and update of criteria and procedures of identification

In carrying out subsection (g), the Secretary of Defense shall, not less often than once every 4 years, revise and update the criteria and procedures utilized to identify areas of theDepartment of Defense which are suitable for the provision of funds under the Small Business Technology Transfer Program.

(2) Utilization of plans The criteria and procedures described in paragraph (1) shall be developed through the use of the most current versions of the following plans:

The Joint Warfighting Science and Technology Plan required under section 270 of the National Defense Authorization Act for Fiscal Year 1997 (Public Law 104–201; 10 U.S.C. 2501 note). 1

The Defense Technology Area Plan of the Department of Defense . (3) Input in identification of areas of effort

The criteria and procedures described in paragraph (1) shall include input in the identification of areas of Department of Defense program managers (PMs) and program executive officers (PEOs).

(y) Commercialization Readiness Program (1) In general

The Secretary of Defense and the Secretary of each military department is authorized to create and administer a “Commercialization Readiness Program” to accelerate the transition of technologies, products, and services developed under the Phase III, including the acquisition process. The authority to create and administer aJanuary 6, 2006 .

(2) Identification of research programs for accelerated transition to acquisition process

In carrying out the Commercialization Readiness Program, the Secretary of Defense and the Secretary of each military department shall identify (3) Limitation

(A) In general

The Secretary of Defense and each Secretary of a military department may use not more than an amount equal to 1 percent of the funds available to the Department of Defense or the military department pursuant to the (B) Limitations The funds described in subparagraph (A)—

shall not be subject to the limitations on the use of funds in subsection (f)(2); and establish goals for the transition of (B)

require a prime contractor on such a contract to report the number and dollar amount of contracts entered into by that prime contractor for (6) Goal for SBIR and STTR technology insertion The Secretary of Defense shall—

set a goal to increase the number of (B)

use incentives in effect on December 31, 2011 , or create new incentives, to encourage agency program managers and prime contractors to meet the goal under subparagraph (A); and

(C) submit to the (i) the number and percentage of (ii)

information on the status of each project that received funding through the Commercialization Readiness Program and efforts to transition those projects into programs of record or fielded systems; and

a description of each incentive that has been used by the Secretary under subparagraph (B) and the effectiveness of that incentive with respect to meeting the goal under subparagraph (A).

(z) Encouraging innovation in energy efficiency

(1) Federal agency energy-related priority In carrying out its duties under this section relating to (A)

ensure that such departments and agencies give high priority to renewable energy system (B)

include in the annual report to Congress under subsection (b)(7) a determination of whether the priority described in subparagraph (A) is being carried out.

(2) Consultation required (4) Definitions In this subsection— (A) the term “biomass”— (i) means any organic material that is available on a renewable or recurring basis, including— agricultural crops; trees grown for energy production; wood waste and wood residues; plants (including aquatic plants and grasses); animal wastes and other waste materials; and fats, oils, and greases (including recycled fats, oils, and greases); and (ii) does not include— paper that is commonly recycled; or unsegregated solid waste;

the term “energy efficiency project” means the installation or upgrading of equipment that results in a significant reduction in energy usage; and

(C) the term “ renewable energy system” means a system of energy derived from— a wind, solar, biomass (including biodiesel), or geothermal source; or hydrogen derived from biomass or water using an energy source described in clause (i). (aa) Limitation on size of awards (1) Limitation the amount of each award; a justification for exceeding the guidelines for each award; the identity and location of each award recipient; and

whether an award recipient has received any venture capital ,venture capital operating companies, private equity firms.

(4) Waiver for specific topic Upon the receipt of an application from a (A) the requirement under paragraph (1) will interfere with the ability of the agency to fulfill its (B)

the agency will minimize, to the maximum extent possible, the number of awards that do not satisfy the requirement under paragraph (1) to preserve the nature and intent of the (5) Rule of construction

Nothing in this subsection shall be construed to prevent a (bb) Subsequent Phase II awards

(1) Agency flexibility

A Phase I award under this section under the (3) Preventing duplicative awards

induce additional venture capital , (B) substantially contribute to the mission of the (C) demonstrate a need for public (D) otherwise fulfill the capital needs of (3) Registration A venture capital operating companies, (A) register with the (B) indicate in any venture capital operating companies, private equity firms. (4) Compliance (A) In general (A) Definition In this paragraph, the term “covered small business concern” means a (i) was not majority-owned by multiple venture capital operating companies, (ii) on the date of the award under the venture capital operating companies, private equity firms. (B) In general If a (i)

a covered small business concern is eligible to receive the award, without regard to whether the covered small business concern meets the requirements for receiving an award under theventure capital operating companies, covered small business concern meets all other requirements for such an award; and

the head of the covered small business concern under the solicitation to the funds for general (7) Evaluation criteria

(1) Authorization Subject to the limitations under this section, the head of each participating (A) intends to enter into an agreement with a Federal laboratory or federally funded (B)

has entered into a cooperative research and development agreement (as defined in section 3710a(d) of this title) with a Federal laboratory.

(2) Prohibition No (A) condition an (B) approve an agreement between a Administrator; or

approve an agreement that violates any provision, including any data rights protections provision, of this section or the (3) Implementation Not later than 180 days after December 31, 2011 , the (A)

have the flexibility to use the resources of the Federal laboratories or federally funded (B)

are not mandated to enter into agreement with any Federal laboratory or any federally funded laboratory or (4) Advance payment

(1) Express authority for awarding a sequential Phase II award

(1) Authorization The head of each covered Federal agency may allocate not more than 10 percent of the funds allocated to thecovered Federal agency—

for awards for technology development, testing, evaluation, and (B) to support the progress of Phase III. (2) Application by Federal agency (A) In general

make a determination regarding an application submitted under subparagraph (A) not later than 30 days before the first day of the fiscal year for which the application is submitted;

publish the determination in the Federal Register; and

make a copy of the determination and any related materials available to 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 .

(3) Maximum amount of award

The head of a covered Federal agency may not make an award under a (4) Registration

Any applicant that receives an award under a pilot program shall register with the (5) Award criteria or consideration

When making an award under this section, the head of a covered Federal agency shall give consideration to whether the technology to be supported by the award is likely to be manufactured in the United States.

The head of each covered Federal agency shall include in the annual report of the covered Federal agency to thecovered Federal agency and a statement of the reasons why each activity considered was included or not included, as the case may be.

(7) Termination

The authority to establish a pilot program under this section expires at the end of fiscal year 2025.

(8) Definitions In this subsection— (A) the term “covered Federal agency”— does not include the Department of Defense ; and the term “pilot program” means each program established under paragraph (1). (hh) Timing of release of funding (1) In general

develop simplified and standardized procedures and model contracts throughout the Department of Defense for Phase I, (ii)

for Phase I, reduce the amount of time between solicitation closure and award; for sequential (vi)

reduce the award times described in clauses (ii), (iii), (iv), and (v) to be as close to 90 days as possible.

(B) Consultation (C) Termination

The pilot program under subparagraph (A) shall terminate on September 30, 2025 .

(ii) Reporting on timing (1) In general

(A) not later than 1 year after August 13, 2018 , and every year thereafter for 3 years, a report that—

provides the average and median amount of time that each component of the Department of Defense with an (ii)

compares that average and median amount of time with that of other Federal agencies participating in the (B) not later than December 5, 2021 , a report that—

includes the information described in subparagraph (A); assesses where each (iii) identifies best practices for shortening the proposal review and award times under the (iv) analyzes the efficacy of the pilot program established under subsection (hh)(2). (jj) Phase 0 Proof of Concept Partnership pilot program (1) In general

The National Institutes of Health may use $5,000,000 of the funds allocated under subsection (n)(1) for a Proof of Concept Partnership qualifying institutions. To implement this program, the qualifying institutions. These grants shall only be used to administer Proof of Concept Partnership awards in conformity with this subsection.

(2) Definitions In this subsection— the term “pilot program” refers to the Proof of Concept Partnership pilot program; and

the terms “qualifying institution” and “institution” mean a university or other research institution that participates in the National Institutes of Health ’s (3) Proof of Concept Partnerships

(A) In general

A Proof of Concept Partnership shall be set up by a qualifying institution to award grants to individual researchers. These grants should provide researchers with the initial investment and the resources to support the proof of concept work and (B) Award guidelines The administrator of a Proof of Concept Partnership program shall award grants in accordance with the following guidelines:

(i) The Proof of Concept Partnership shall use a market-focused project management oversight process, including—

a rigorous, diverse review board comprised of local experts in translational and proof of concept venture capital , technical, financial, and business experts and university technology transfer officials;

technology validation milestones focused on market feasibility; simple reporting effective at redirecting projects; and the willingness to reallocate funding from failing projects to those with more potential. Not more than $100,000 shall be awarded towards an individual proposal. (C) Educational resources and guidance

The administrator of a Proof of Concept Partnership program shall make educational resources and guidance available to researchers attempting to commercialize their innovations.

(A) Size of award

The qualifying institution for up to $1,000,000 per year for up to 4 years.

(B) Award criteria In determining which qualifying institutions receivequalifying institutions— have an established and proven technology transfer or (ii) have demonstrated a commitment to local and regional economic development; are located in diverse geographies and are of diverse sizes;

can assemble project management boards comprised of industry, start-up, venture capital , technical, financial, and business experts;

have an intellectual property rights strategy or office; and demonstrate a plan for sustainability beyond the duration of the funding award. (5) Limitations The funds for the pilot program shall not be used— (A) for basic (i) proof of concept (ii) activities that contribute to determining a project’s (B) a detailed description of the institutional and proposal selection process; an accounting of the funds used in the pilot program;

a detailed description of the pilot program, including incentives and activities undertaken by review board experts;

a detailed compilation of results achieved by the pilot program, including the number of (E) an analysis of the program’s effectiveness with supporting data.

The pilot program under this subsection shall terminate at the end of fiscal year 2025.

(kk) Phase III reporting The annual Congress by the (1)

the name of the agency or component of the agency or the non-Federal source of capital making the (2)

the name of the (3) the dollar amount of the (ll) Consent to release contact information to organizations (1) Enabling concern to give consent Each (A)

identify the concern to appropriate local and State-level economic development organizations as an (B)

release the contact information of the concern to such organizations. (1) In general Subject to paragraph (3) and until September 30, 2025 , the (A) the administration of the (B) the provision of outreach and technical assistance relating to the (C) the implementation of December 31, 2011 ; carrying out the program under subsection (y);

activities relating to oversight and congressional reporting, including waste, fraud, and abuse prevention activities;

targeted reviews of recipients of awards under the (G)

the implementation of oversight and quality control measures, including verification of reports and invoices and cost reviews;

carrying out subsection (dd); contract processing costs relating to the (J) funding for additional personnel and assistance with application reviews; and

funding for improvements that increase commonality across data systems, reduce redundancy, and improve data oversight and accuracy.

(2) Outreach and technical assistance (A) In general

Except as provided in subparagraph (B), a (B) Waiver

Not later than 180 days after December 31, 2011 , the (5) Coordination with IG

(nn) Annual report on SBIR and STTR program goals (1) Development of metrics The head of each (A) are science-based and statistically driven; reflect the mission of the (C) include factors relating to the economic impact of the programs. (2) Evaluation The head of each (A) the benefits to the people of the (3) Report (A) In general 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 .

(oo) Competitive selection procedures for SBIR and STTR programs

All funds awarded, appropriated, or otherwise made available in accordance with subsection (f) or (n) must be awarded pursuant to competitive and merit-based selection procedures.

(pp) Limitation on pilot programs (1) Existing pilot programs

The covered pilot program that is in operation on December 31, 2011 , during the 3-year period beginning on such date.

(2) New pilot programs The covered pilot program established after December 31, 2011 — during the 3-year period beginning on the date on which such program is established; and

if such program does not continue and is not based on, in any manner, a previously established covered pilot program.

(3) Covered pilot program defined In this subsection, the term “covered pilot program” means any initiative, project, innovation, or other activity—

established by the (B) relating to an (C) not specifically authorized by law. (qq) Minimum standards for participation (1) Progress to Phase II success

(A) Establishment of system and minimum commercialization rate Not later than 1 year after December 31, 2011 , the head of each (i)

establish a system to measure, where appropriate, the success of (ii) establish a minimum performance standard for (iii)

(A) Establishment of system and minimum commercialization rate Not later than 2 years after December 31, 2011 , the head of each (i)

establish a system to measure, where appropriate, the success of (ii) establish a minimum performance standard for (iii) (A) Progress to Phase II success (i) In general

With respect to a Phase I awards during a covered period, each minimum performance standard established under paragraph (1)(A)(ii) shall be doubled for such covered period.

(ii) Consequence of failure to meet standard

In this subparagraph, the term “covered period” means a consecutive period of 5 fiscal years preceding the most recent fiscal year.

(B) Progress to Phase III success (i) In general Each minimum performance standard established under paragraph (2)(A)(ii) shall—

with respect to a covered period, require an average of $250,000 of aggregate sales and investments percovered period; and

with respect to a covered period, require an average of $450,000 of aggregate sales and investments percovered period.

(ii) Consequence of failure to meet standard (I) In general

(II) Covered sale defined In this clause, the term “covered sale” means a sale by a small business concern—

for which no amount of the payment was or is made using Federal funds; which the increased minimum performance standard under clause (i); and

that was or is received during the 5 fiscal years immediately preceding the fiscal year in which the increased minimum performance standard.

(iv) Covered period defined

In this subparagraph, the term “covered period” means a consecutive period of 10 fiscal years preceding the most recent 2 fiscal years.

(C) Patents for increased minimum performance standards

A increased minimum performance standard under subparagraph (B) applies may not meet the increased minimum performance standard by obtaining patents.

(D) Effective date

Subparagraphs (A) through (C) shall take effect on April 1, 2023 .

(i) In general The senior official of a (I) the topic is critical to the mission of the (II) the official submits to the (ii) Waiver effects (iv) Administrator determination and congressional notification (v) Definitions In this subparagraph: (I) Covered small business concern (II) Senior official

The term “senior official” means an individual appointed to a position in asection 5108 of title 5, or any equivalent position, as determined by the Administrator.

(F) Reporting (i) In general Not later than July 1, 2023 , and annually thereafter, theCongress a list of the (I) an applicable minimum performance standard established under paragraph (1)(A)(ii) or (2)(A)(ii); or an applicable increased minimum performance standard. (ii) Waivers

Each list submitted under clause (i) shall identify each (iii) Confidentiality

Each list submitted under clause (i) shall be confidential and exempt from disclosure under section 552(b)(3) of title 5 (commonly known as the “Freedom of Information Act”).

(G) Implementation

Not later than April 1, 2023 , the increased minimum performance standards under this paragraph.

(H) Rules of construction Nothing in this paragraph shall be construed— to prohibit a Phase I (or increased minimum performance standard; or to prevent the head of a (I) Termination

This paragraph shall terminate on September 30, 2025 .

(4) Administration oversight (A) Approval and publication of systems and minimum performance standards

Each system and minimum performance standard established under paragraph (1) or paragraph (2) shall be submitted by the head of the applicable Administrator. In making a determination with respect to approval, the (B) Submission of evaluation results by agency

Each system and minimum performance standard established under paragraph (1) or paragraph (2) and each approval provided by the (6) Inspector general audit Not later than 1 year after the date on which the increased minimum performance standards under paragraph (3), and periodically thereafter, the Inspector General of the (A) conduct an audit on whether the increased minimum performance standards under paragraph (3)(B) verified—

(i) the sales by and investments in the (I) during the 5 fiscal years immediately preceding the fiscal year in which the (II)

as a direct result of a Phase I award or covered period (as defined in paragraph (3)(B)(iv)), consistent with the definition of Phase III, as applicable;

(ii) any third-party revenue the increased minimum performance standard— is a direct result of a Phase I award or covered period (as defined in paragraph (3)(B)(iv)); and consistent with the requirements of the September 30, 2022 , or any successor requirements; and

any dollar amounts such increased minimum performance standard the providence of which is unclear and that is not directly attributable to a covered period (as defined in paragraph (3)(B)(iv)), consistent with the definition of Phase III, as applicable;

assess the self-certification requirements for the minimum performance standards established under paragraph (2)(A)(ii) and the increased minimum performance standards under paragraph (3)(B); and

submit to 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 on the audit conducted under subparagraph (A) and the assessment conducted under subparagraph (B).

(7) Increased minimum performance standard defined

In this subsection, the term “increased minimum performance standard” means a minimum performance standard established under paragraph (1)(A)(ii) or (2)(A)(ii) as modified under subparagraph (A) or (B), respectively, of paragraph (3) with respect to a small business concern.

(rr) Publication of certain information a description of efforts undertaken by the head of the (2)

a comprehensive description of the actions undertaken each year by the head of the Executive Order 13329 (69 Fed. Reg. 9181; relating to encouraging innovation in manufacturing);

an assessment of the effectiveness of the actions described in paragraph (2) at enhancing the (4)

a description of efforts by vendors selected to provide discretionary technical assistance under subsection (q)(1) to help United States; and

recommendations that the program managers of the (tt) Outstanding reports and evaluations

each report, evaluation, or analysis, as applicable, described in subsection (b)(7), (g)(9), (o)(10), (y)(6)(C), (gg)(6), (jj)(6), and (mm)(6); and

metrics regarding, and an evaluation of, the authority provided to the National Institutes of Health , the Department of Defense , and the Department of Education under subsection (cc).

(2) Information required

Not later than December 31, 2018 , the head of each agency that is responsible for carrying out a provision described in subparagraph (A) or (B) of paragraph (1) shall submit to the (uu) Commercialization assistance pilot programs

(1) Pilot programs implemented (A) In general

Except as provided in subparagraph (B), not later than one year after August 13, 2018 , a covered agency shall implement a pilot program, under which an eligible entity may receive a subsequent Phase II SBIR award.

(B) Exception

If the covered agency has a program that is sufficiently similar to the covered agency shall not be required to implement a (2) Percent of agency funds

The head of each covered agency may allocate not more than 5 percent of the funds allocated to thecovered agency for the purpose of making a subsequent Phase II SBIR award under the pilot program.

(3) Termination

(4) Application To be selected to receive a subsequent Phase II SBIR award under a pilot program, an eligible entity shall submit to the covered agency implementing such covered agency may require, including—

an updated (B) the source and amount of the matching funding required under paragraph (5). (5) Matching funding (A) In general

The subsequent Phase II SBIR award made to an eligible entity under this subsection, that a matching amount (excluding any fees collected by the eligible entity receiving such award) equal to the amount of such award be provided from an eligible third-party investor.

(B) Ineligible sources

An eligible entity may not use funding from ineligible sources to meet the matching requirement of subparagraph (A).

(6) Award A subsequent Phase II SBIR award made to an eligible entity under this subsection— may not exceed the limitation described under subsection (aa)(1); and shall be disbursed during (7) Use of funds

The funds awarded to an eligible entity under this subsection may only be used for eligible entity’s commercialization.

(8) Selection In selecting eligible entities to participate in a covered agency shall consider—

the extent to which such award could aid the eligible entity in commercializing theeligible entity’s (B)

whether the updated research; whether the proposed activities to be conducted under such updated (D) whether the subsequent Phase II SBIR award;

the expectations of the eligible third-party investor that provides matching funding under paragraph (5); and

the likelihood that the proposed activities to be conducted under such updated eligible third-party investor will lead to commercial and societal benefit.

(9) Evaluation report Not later than 6 years after August 13, 2018 , the Comptroller General of theHouse of Representatives , and the Committee on Small Business and Entrepreneurship of the Senate , a report including—

a summary of the activities of pilot programs carried out under this subsection;

a detailed compilation of results achieved by such pilot programs, including the number of eligible entities that received awards under such programs;

the rate at which each eligible entity that received a subsequent Phase II SBIR award under this subsection commercialized (D)

the growth in employment and revenue of eligible entities that is attributable to participation in a pilot program;

a comparison of (F)

demographic information, such as ethnicity and geographic location, of eligible entities participating in a pilot program;

an accounting of the funds used at each covered agency that implements a (H)

the amount of matching funding provided by eligible third-party investors, set forth separately by source of funding;

an analysis of the effectiveness of the covered agency; and recommendations for improvements to the pilot program. (10) Definitions For purposes of this subsection: (A) Covered agency (C) Eligible third-party investor

The term “eligible third-party investor” means a eligible entity, a venture capital firm, an individual investor, a non (D) Ineligible sources The term “ineligible sources” means the following:

The eligible entity’s internal (ii) Funding in forms other than cash, such as in-kind or other intangible assets. Funding from the owners of the eligible entity, or the family members or affiliates of such owners. Funding attained through loans or other forms of debt obligations. (E) Subsequent Phase II SBIR award

The term “subsequent Phase II SBIR award” means an award granted to an eligible entity under this subsection to carry out further (vv) Due diligence program to assess security risks

(1) Establishment (2) Risks Each program established under paragraph (1) shall—

assess, using a risk-based approach as appropriate, the cybersecurity practices, patent analysis, employee analysis, and foreign ownership of a (B)

assess awards and proposals or applications, as applicable, using a risk-based approach as appropriate, including through the use of open-source analysis and analytical tools, for the nondisclosures of information required under (g)(13).[5]

(3) Administrative costs (A) In general

In addition to the amount allocated under subsection (mm)(1), each (B) Reporting

(i) In general Not later than December 31 of the year in which this subparagraph is enacted, and not later than December 31 of each year thereafter, the head of a House of Representatives , the Committee on Small Business and Entrepreneurship of the Senate , and the covered year—

the total funds allowed to be allocated for the cost of establishing the due diligence program required under this subsection;

the total amount of funds obligated or expended under subparagraph (A); and

the due diligence activities carried out or to be carried out using amounts allocated under subparagraph (A).

(ii) Annual report inclusion

In this subparagraph, the term “covered year” means, with respect to the information required under clause (i), the year covered by the annual report submitted under subsection (b)(7) in which the (C) Termination date

This paragraph shall terminate on September 30, 2025 .

(ww) Program on innovation open topics

(1) Establishment Not later than 180 days after September 30, 2022 , the Secretary of Defense shall establish innovation open topic activities using theDepartment of Defense in order to—

increase the transition of commercial technology to the Department of Defense ; expand the small business nontraditional industrial base; expand the ability for qualifying Department of Defense . (2) Frequency

The Secretary of Defense shall conduct not less than 1 open topic announcement at each component of the Department of Defense per fiscal year.

(3) Briefing Not later than 180 days after September 30, 2022 , the Secretary of Defense shall provide a briefing on the establishment of the program required under paragraph (1) to—

the Committee on Armed Services and the Committee on Small Business and Entrepreneurship of the Senate ; and

the Committee on Small Business, the Committee on Armed Services, and the Committee on Science, Space, and Technology of the House of Representatives .

(xx) Additional provisions relating to solicitation topics (1) In general

[1] See References in Text note below.

[2] So in original. Probably should be “investor;”.

[4] So in original. Probably should be “subparagraph (B)”.

[5] So in original. Probably should be preceded by “subsection”.

Editorial Notes References in Text

Executive Order 13329, referred to in subsecs. (b)(8), (g)(11), (o)(15), and (ss)(2), is set out as a note under this section.

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.

Executive Order 12333, referred to in subsec. (e)(2), is set out as a note under section 3001 of Title 50, War and National Defense.

Section 6683 of title 42, referred to in subsecs. (g)(3)(A), (j)(2)(E)(i), and (o)(3)(A), was omitted from the Code.

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.

The enactment of this paragraph, referred to in subsec. (j)(4), means the enactment of subsec. (j)(4) by Pub. L. 116–92, which was approved Dec. 20, 2019 .

Section 270 of the National Defense Authorization Act for Fiscal Year 1997 (Public Law 104–201; 10 U.S.C. 2501 note), referred to in subsec. (x)(2)(A), was formerly set out as a note under section 2501 of Title 10, Armed Forces, prior to repeal by Pub. L. 111–84, div. A, title II, § 241, Oct 28, 2009, 123 Stat. 2237.

The year in which this subparagraph is enacted, referred to in subsec. (vv)(3)(B)(i), is the year of enactment of Pub. L. 117–183, which was approved in 2022.

Codification

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.

Amendments

2022—Pub. L. 117–183, § 3, substituted “2025” for “2022” wherever appearing.

Subsec. (e)(15) to (19). Pub. L. 117–183, § 4(a), added pars. (15) to (19).

Subsec. (g)(13)(D). Pub. L. 117–263 struck out “of concern” after “another foreign country”.

Subsec. (g)(16), (17). Pub. L. 117–183, § 5(a), added pars. (16) and (17).

Subsec. (o)(20), (21). Pub. L. 117–183, § 5(b), added pars. (20) and (21).

Subsec. (qq)(3), (4). Pub. L. 117–183, § 8(2)(A), (B), added par. (3) and redesignated former par. (3) as (4). Former par. (4) redesignated (5).

Subsec. (qq)(5). Pub. L. 117–183, § 8(2)(A), (C), redesignated par. (4) as (5) and substituted “paragraph (4)(A)” for “paragraph (3)(A)”.

Subsec. (g)(10). Pub. L. 116–283, § 865(2), inserted ‘, which section shall describe whether or not theSubsec. (o)(8). Pub. L. 116–283, § 865(3), inserted “, which section shall describe whether or not thePub. L. 117–81 substituted “sections 3201 through 3205” for “section 2304”.

2019—Subsec. (b)(3). Pub. L. 116–92, § 880(b)(2), struck out “and” at end.

2018—Subsec. (q). Pub. L. 115–232, § 854(c)(1)(A), inserted “and business” after “technical” in heading.

Subsec. (q)(1). Pub. L. 115–232, § 854(c)(1)(B)(i), in introductory provisions, substituted “1 or more vendors selected under paragraph (2)(A)” for “a vendor selected under paragraph (2)” and inserted “and business” before “assistance services” and “assistance with product sales, intellectual property protections, marketPub. L. 115–232, § 854(c)(1)(B)(ii), inserted “, including intellectual property protections” before period at end.

Subsec. (q)(2). Pub. L. 115–232, § 854(c)(1)(C), designated existing provisions as subpar. (A), inserted heading, substituted “Each agency may select 1 or more vendors from whichPub. L. 115–232, § 854(c)(1)(D)(i), inserted “(A)” after “paragraph (2)” wherever appearing.

Subsec. (q)(3)(A). Pub. L. 115–232, § 854(c)(1)(D)(ii), substituted “$6,500 per year” for “$5,000 per year” in two places.

Subsec. (q)(3)(B)(i). Pub. L. 115–232, § 854(c)(1)(D)(iii)(I), substituted “$50,000 per project” for “$5,000 per year”.

Subsec. (q)(3)(B)(ii). Pub. L. 115–232, § 854(c)(1)(D)(iii), substituted “$50,000 per project, which may, as determined appropriate by the head of thePub. L. 115–232, § 854(c)(1)(D)(iv), inserted “or business” after “technical”, substituted “a vendor” for “the vendor”, and inserted at end “Business-related services aimed at improving thePub. L. 115–232, § 854(c)(1)(D)(v)(I), inserted “or business” after “technical” in two places.

Subsec. (q)(3)(D)(i). Pub. L. 115–232, § 854(c)(1)(D)(v)(II), substituted “1 or more vendors” for “the vendor”.

Subsec. (cc). Pub. L. 115–232, § 854(a)(1), substituted “2022” for “2017”.

Subsec. (gg)(7). Pub. L. 115–232, § 854(a)(2), substituted “2022” for “2017”.

Subsec. (hh). Pub. L. 115–232, § 854(b)(1), designated existing provisions as par. (1), inserted heading, struck out “attempt to” before “shorten”, and added par. (2).

Subsec. (ii). Pub. L. 115–232, § 854(b)(2), designated existing provisions as par. (1), inserted heading, and added par. (2).

Subsec. (mm)(1). Pub. L. 115–232, § 854(a)(4)(A)(i), substituted “2022” for “2017” in introductory provisions.

2017—Subsec. (r). Pub. L. 115–91, § 1709(b)(1)(A), inserted “, competitive procedures, and justification for awards” after “agreements” in heading.

Subsec. (r)(4). Pub. L. 115–91, § 1709(a), (b)(1)(B), substituted “Competitive procedures and justification for awards” for section 2304 of title 10 and any other applicable competition requirements; and

“(B) issue, without further justification, Pub. L. 114–328, § 1834(a), substituted “ September 30, 2022 ” for “ September 30, 2017 ”.

Subsec. (n)(1)(A). Pub. L. 114–328, § 1834(b), substituted “fiscal year 2022” for “fiscal year 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.

Subsec. (y)(4). Pub. L. 112–239, § 1615(b), made technical amendment to directory language of Pub. L. 112–81, § 5141(b)(3)(B). See 2011 Amendment note below.

Pub. L. 112–239, § 1615(a)(2), added par. (4). Former par. (4) redesignated (5).

Subsec. (y)(5). Pub. L. 112–239, § 1615(a)(1), redesignated par. (4) as (5). Former par. (5) redesignated (6).

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, HUBZonePub. L. 112–81, § 5131(1)(A), substituted Pub. L. 112–81, § 1067(a)(1), which inserted “and including an accounting of funds, initiatives, and outcomes under thePub. L. 112–239, § 1076(a)(20)(A).

Subsec. (e)(4)(B). Pub. L. 112–81, § 5105(1), substituted “which shall not include any invitation, pre-screening, or pre-selection process for eligibility forPub. L. 112–81, § 5125(a)(1), inserted “for work that derives from, extends, or completes efforts made under priorPub. L. 112–81, § 5125(b)(1)(A), substituted “merit-based selection procedures” for “scientific review criteria”.

Subsec. (e)(6)(B). Pub. L. 112–81, § 5105(2), substituted “which shall not include any invitation, pre-screening, or pre-selection process for eligibility forPub. L. 112–81, § 5125(a)(2), inserted “for work that derives from, extends, or completes efforts made under priorPub. L. 112–81, § 5125(b)(1)(B), substituted Pub. L. 112–81, § 5125(a)(3)–(5), added par. (10).

Subsec. (f)(1). Pub. L. 112–81, § 5102(a)(1), substituted “Except as provided in paragraph (2)(B), each” for “Each” in introductory provisions, added subpars. (C) to (I), and struck out former subpar. (C) which read as follows: “not less than 2.5 percent of such budget in each fiscal year thereafter,”.

“(A) use any of its Pub. L. 112–81, § 5141(b)(1)(A), substituted “shall not make available for the purpose” for “shall not—

Subsec. (g)(4). Pub. L. 112–81, § 5126(a)(1), designated existing provisions as subpar. (A) and added subpar. (B).

Subsec. (g)(8) to (10). Pub. L. 112–81, § 5132, added par. (8), redesignated former pars. (8) and (9) as (9) and (10), respectively, and struck out former par. (10) which read as follows: “collect, and maintain in a common format in accordance with subsection (v) of this section, such information from awardees as is necessary to assess thePub. L. 112–81, § 5110(a), added par. (12).

Subsec. (i)(1). Pub. L. 112–81, § 5122(b), inserted “(including awards under subsection (y))” after “the number of awards”.

Subsec. (j)(1)(B). Pub. L. 112–81, § 5125(b)(2)(A), substituted Pub. L. 112–81, § 5125(b)(2)(B)(i), substituted Pub. L. 112–81, § 5125(b)(2)(B)(ii), substituted Pub. L. 112–81, § 5103(c)(1), substituted “every year for inflation” for “once every 5 years to reflect economic adjustments and programmatic considerations”.

Pub. L. 112–81, § 5103(a), substituted “$150,000” for “$100,000” and “$1,000,000” for “$750,000”.

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 aPub. L. 112–81, § 5135(2), added subpar. (C).

Pub. L. 112–17, § 3(a), struck out par. (1) designation and heading, substituted “The authorization” for “Except as provided in paragraph (2), the authorization” and “2011” for “2008”, and struck out par. (2). Text of par. (2) read as follows: “The Secretary of Defense and the Secretary of each military department are authorized to carry out theDepartment of Defense until September 30, 2010 ”.

Subsec. (m)(2). Pub. L. 111–383 substituted “are authorized” for “is authorized”.

Subsec. (n)(1)(A). Pub. L. 112–81, § 5101(b), substituted “2017” for “2011”.

Pub. L. 112–17, § 3(b), struck out cl. (i) designation and heading, substituted “With respect” for “Except as provided in clause (ii), with respect” and “2011” for “2009”, and struck out cl. (ii). Text of cl. (ii) read as follows: “The Secretary of Defense and the Secretary of each military department shall carry out clause (i) with respect to each fiscal year through fiscal year 2010.”

Subsec. (n)(1)(B)(ii) to (v). Pub. L. 112–81, § 5102(b), added cls. (ii) to (v) and struck out former cl. (ii) which read as follows: “0.3 percent for fiscal year 2004 and each fiscal year thereafter.”

Subsec. (o)(4). Pub. L. 112–81, § 5126(a)(2), designated existing provisions as subpar. (A) and added subpar. (B).

Subsec. (o)(9). Pub. L. 112–81, § 5133, added par. (9) and struck out former par. (9) which read as follows: “collect such data from awardees as is necessary to assessSubsec. (o)(13)(B). Pub. L. 112–81, § 5125(b)(5)(A), substituted Subsec. (o)(13)(C). Pub. L. 112–81, § 5125(b)(5)(B), substituted Subsec. (o)(15), (16). Pub. L. 112–81, § 5110(b), added par. (16), redesignated former par. (16) as (15) and struck out former par. (15) which read as follows: “collect, and maintain in a common format in accordance with subsection (v) of this section, such information from awardees as is necessary to assess thePub. L. 112–81, § 5125(b)(6)(A)(i), substituted Pub. L. 112–81, § 5125(b)(6)(A)(ii), substituted Pub. L. 112–81, § 5103(c)(2), inserted “(each of which thePub. L. 112–81, § 5103(b), substituted “$150,000” for “$100,000” and “$1,000,000” for “$750,000”.

Subsec. (q)(3). Pub. L. 112–81, § 5121(3), added subpars. (A) to (D) and struck out former subpars. (A) and (B) which read as follows:

“Each agency referred to in paragraph (1) may provide services described in paragraph (1) to first phase Pub. L. 112–81, § 5125(b)(7)(A), substituted Pub. L. 112–81, § 5125(b)(7)(B), substituted, in first sentence, “forPub. L. 112–81, § 5125(b)(7)(C), substituted Pub. L. 112–81, § 5108, added par. (4).

Subsec. (u)(2)(B). Pub. L. 112–81, § 5125(b)(8), substituted Pub. L. 112–81, § 5144, substituted “Reducing paperwork and compliance burden” for “Simplified reporting requirements” in heading, designated existing provisions as par. (1), inserted heading, and added par. (2).

Subsec. (y). Pub. L. 112–81, § 5122(a)(1), (2), substituted “Readiness” for “Pilot” wherever appearing in heading and text.

Subsec. (y)(2). Pub. L. 112–81, § 5122(a)(4), inserted “orPub. L. 112–81, § 5141(b)(3)(B), as amended by Pub. L. 112–239, § 1615(b), amended par. (4) generally. Prior to amendment, text read as follows: “For payment of expenses incurred to administer theSecretary of Defense and each Secretary of a military department is authorized to use not more than an amount equal to 1 percent of the funds available to the Department of Defense or the military department pursuant to thePub. L. 112–81, § 5141(b)(1)(B), redesignated par. (5) as (4) and struck out former par. (4), which related to funding of expenses incurred to administer thePub. L. 112–81, § 5141(b)(1)(B)(ii), redesignated par. (6) as (5). Former par. (5) redesignated (4).

Pub. L. 112–81, § 5122(a)(5), struck out par. (5) which required the Secretary of Defense to submit an annual evaluative report regarding activities under thePub. L. 112–81, § 1067(a)(2), which struck out par. (5), requiring the Secretary of Defense to submit an annual evaluative report regarding activities under thePub. L. 112–239, § 1076(a)(20)(A).

Pub. L. 112–81, § 5122(a)(6), (7), added par. (6) and struck out former par. (6), which provided thatPub. L. 112–17, § 3(c), substituted “2011” for “2010”.

Subsecs. (hh), (ii). Pub. L. 112–81, § 5126(b), added subsecs. (hh) and (ii).

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).

Subsec. (n)(1)(A). Pub. L. 111–84, § 847(b), designated existing provisions as cl. (i), inserted cl. (i) heading, substituted “Except as provided in clause (ii), with respect” for “With respect”, and added cl. (ii).

Subsec. (y)(6). Pub. L. 111–84, § 848, substituted “2010” for “2009”.

2007—Subsec. (z). Pub. L. 110–140 added subsec. (z).

Subsecs. (x), (y). Pub. L. 109–163, § 252(a), added subsecs. (x) and (y).

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;”.

Subsec. (b)(7). Pub. L. 107–50, § 6(d), substituted “, (o)(9), and (o)(15) of this section, the number of proposals received from, and the number and total amount of awards to, HUBZonePub. L. 107–50, § 2(b), struck out “pilot” before “program” in introductory provisions.

Subsec. (k)(1). Pub. L. 107–50, § 6(b)(1), inserted “orPub. L. 107–50, § 6(b)(2)(A), (B), in introductory provisions, inserted “or anPub. L. 107–50, § 6(b)(2)(C), inserted “andPub. L. 107–50, § 6(b)(2)(D), inserted “orPub. L. 107–50, § 2(a), amended heading and text of par. (1) generally. Prior to amendment, text read as follows: “With respect to fiscal years 1998, 1999, 2000, and 2001, eachSubsec. (o)(11). Pub. L. 107–50, § 7(b), substituted “adopt the agreement developed by theJuly 31, 1993 , to be approved by theSubsec. (o)(14). Pub. L. 107–50, § 4, added par. (14).

Subsec. (p)(2)(B)(ix). Pub. L. 107–50, § 3, substituted “$750,000” for “$500,000” and inserted “, and shorter or longer periods of time to be approved at the discretion of the awarding agency where appropriate for a particular project” before the semicolon at the end.

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)”.

Pub. L. 106–554, § 1(a)(9) [title I, § 104], substituted “, and to the Committee on Science and the Committee on Small Business of the House of Representatives ,” for “and the Committee on Small Business of the House of Representatives ”.

Subsec. (i). Pub. L. 106–554, § 1(a)(9) [title I, § 109], inserted subsec. heading, designated existing provisions as par. (1), inserted par. heading, and added par. (2).

Subsec. (k). Pub. L. 106–554, § 1(a)(9) [title I, § 107(c)], amended subsec. (k) generally, substituting present provisions for provisions which read “(k) [Reserved]”.

Subsec. (m). Pub. L. 106–554, § 1(a)(9) [title I, § 103], amended heading and text generally. Prior to amendment, text read as follows: “The authorization to carry out theOctober 1, 2000 .”

Subsec. (s)(2). Pub. L. 106–554, § 1(a)(9) [title I, § 114(b)], substituted “for each of the fiscal years 2000 through 2005,” for “for fiscal year 1998, 1999, 2000, or 2001”.

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: “EachSubsec. (o)(8) to (13). Pub. L. 105–135, § 501(b)(1)(A), added pars. (8) and (9) and redesignated former pars. (8) to (11) as (10) to (13), respectively.

Subsec. (s). Pub. L. 105–135, § 501(b)(2), struck out subsec. (s), which related to outreach, including provisions defining eligiblePub. L. 105–135, § 501(b)(1)(C), added subsec. (s).

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 assistPub. L. 102–564, § 202(a)(1), inserted before semicolon at end “and small business technology transferPub. L. 102–564, § 202(a)(2), inserted “andPub. L. 102–564, § 103(c), substituted “for the Department of Energy it shall not include amounts obligated for atomic energy defense programs solely for weapons activities or for naval reactor programs” for “for the Department of Defense it shall not include amounts obligated solely for operational systems development”.

Pub. L. 102–484, § 4237(d)(1), (2)(A), (h)(2), temporarily amended par. (1) by striking out “except that for the Department of Defense it shall not include amounts obligated solely for operational systems development, and” after “Government-operated facilities,” and substituting “, and except that for the Department of Energy it shall not include amounts obligated for atomic energy defense programs for weapons and weapons-related activities or for naval reactor programs;” for semicolon at end. See section 4237(h)(2) of Pub. L. 102–484 set out in aDepartment of Defense note below.

Subsec. (e)(4)(A). Pub. L. 102–564, § 103(a)(1), inserted “that appear to have commercial potential, as described in subparagraph (B)(ii),” after “ideas”.

Subsec. (e)(4)(B). Pub. L. 102–564, § 103(a)(2), added subpar. (B) and struck out former subpar. (B) which read as follows: “a second phase to further develop the proposed ideas to meet the particular program needs, the awarding of which shall take into consideration the scientific and technical merit and feasibility evidenced by the first phase and, where two or more proposals are evaluated as being of approximately equal scientific and technical merit and feasibility, special consideration shall be given to those proposals that have demonstrated third phase, non-Federal capital commitments; and”.

Subsec. (e)(4)(C). Pub. L. 102–564, § 103(a)(2), added subpar. (C) and struck out former subpar. (C) which read as follows: “where appropriate, a third phase in which non-Federal capital pursues commercial applications of thePub. L. 102–564, § 202(b), added pars. (6) to (8).

Subsec. (f). Pub. L. 102–564, § 103(b), amended subsec. (f) generally. Prior to amendment, subsec. (f) consisted of pars. (1) and (2) relating to Federal agencySmall Business Innovation Development Act of 1982.

Subsec. (f)(2). Pub. L. 102–484, § 4237(d)(2)(B), (h)(2), temporarily struck out par. (2) which read “Amounts appropriated for atomic energy defense programs of the Department of Energy shall for the purposes of paragraph (1) be excluded from the amount of thesection 4237(h)(2) of Pub. L. 102–484 set out in aDepartment of Defense note below.

Subsec. (g)(3), (4). Pub. L. 102–564, § 103(d), added par. (3) and redesignated former par. (3) as (4). Former par. (4) redesignated (5).

Subsec. (g)(5). Pub. L. 102–564, § 103(d)(1), (h)(2), (i), redesignated par. (4) as (5) and inserted “subject to subsection (l),” before “unilaterally” and “and inform each awardee under such an agreement, to the extent possible, of the expenses of the awardee that will be allowable under thePub. L. 102–564, § 103(d)(1), redesignated par. (5) as (6). Former par. (6) redesignated (7).

Subsec. (g)(7). Pub. L. 102–564, § 103(d)(1), (e), redesignated par. (6) as (7) and inserted before semicolon at end “and, in all cases, make payment to recipients under such agreements in full, subject to audit, on or before the last day of the 12-month period beginning on the date of completion of such requirements”. Former par. (7) redesignated (8).

Subsec. (j). Pub. L. 102–564, § 103(f), designated existing provisions as par. (1) and inserted heading, redesignated former pars. (1) and (2) as subpars. (A) and (B), respectively, of par. (1), former subpars. (A) to (H) of former par. (2) as cls. (i) to (viii), respectively, of subpar. (B) of par. (1), and former pars. (3) to (7) as subpars. (C) to (G), respectively, of par. (1), and added par. (2).

Subsecs. (n) to (p). Pub. L. 102–564, § 202(c), added subsecs. (n) to (p).

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 , thePub. L. 97–219, § 3, added pars. (4) to (7).

Subsecs. (e) to (k). Pub. L. 97–219, § 4, added subsecs. (e) to (k).

Statutory Notes and Related Subsidiaries Change of Name

Committee on Small Business of Senate changed to Committee on Small Business and Entrepreneurship of Senate . See Senate Resolution No. 123, One Hundred Seventh Congress , June 29, 2001 .

Committee on Science of House of Representatives changed to Committee on Science and Technology of House of Representatives by House Resolution No. 6, One Hundred Tenth Congress , Jan. 5, 2007 . Committee on Science and Technology of House of Representatives changed to Committee on Science, Space, and Technology of House of Representatives by House Resolution No. 5, One Hundred Twelfth Congress , Jan. 5, 2011 .

Effective Date of 2013 Amendment

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.

“The amendments made by this section [amending this section] shall take effect as of January 1, 2012 .”

Effective Date of 2011 Amendment

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 .

Effective Date of 2009 Amendment

“The amendments made by this section [amending this section] shall take effect as of July 30, 2009 .”

Effective Date of 2007 Amendment

Amendment by Pub. L. 110–140 effective on the date that is 1 day after Dec. 19, 2007 , see section 1601 of Pub. L. 110–140, set out as an Effective Date note under section 1824 of Title 2, The Congress .

Effective Date of 2001 Amendment

“The amendments made by subsection (a) [amending this section] shall be effective beginning in fiscal year 2004.”

Effective Date of 1999 Amendment

Amendment by Pub. L. 106–113 effective 4 months after Nov. 29, 1999 , see section 1000(a)(9) [title IV, § 4731] of Pub. L. 106–113, set out as a note under section 1 of Title 35, Patents.

Effective and Termination Dates of 1997 Amendment

Amendment by Pub. L. 105–135 effective Oct. 1, 1997 , see section 3 of Pub. L. 105–135, set out as a note under section 631 of this title.

“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.”

Effective Date of 1996 Amendment

Amendment by Pub. L. 104–208 effective Oct. 1, 1996 , see section 3 of Pub. L. 104–208, set out as a note under section 633 of this title.

Effective and Termination Dates of 1992 Amendment

For effective and termination dates of amendment by Pub. L. 102–484, see section 4237(g) and (h) of Pub. L. 102–484, set out in aDepartment of Defense note below.

Termination Date of 1982 Amendment

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.

Rule of Construction

“Nothing in subsection (vv) of section 9 of the Small Business Act (15 U.S.C. 638), as added by paragraph (1), shall be construed to—

apply to any Small Business Act (15 U.S.C. 638), as added by paragraph (1), in existence as of the date of enactment of this Act [ Sept. 30, 2022 ]; or

restrict any section 4(b)(5) of Pub. L. 117–183, set out above, see section 2 of Pub. L. 117–183, set out as a note below.]

Due Diligence Program

“(1) In general.— Until the date on which the Under Secretary of Defense forSmall Business Act (15 U.S.C. 638), the Secretary of Defense and each Secretary of a military department shall perform the assessments required under such due diligence program—

only with respect to “(B) prior to notifying the “(2) Full implementation.— “(A) In general.—

Not later than 270 days after the date of enactment of this Act [ Sept. 30, 2022 ], the head of aSmall Business Act (15 U.S.C. 638), as added by paragraph (1), at the “(B) Paperwork reduction act.—

Chapter 35 of title 44,Paperwork Reduction Act’), shall not apply to the implementation of a due diligence program under subsection (vv) of section 9 of the Small Business Act (15 U.S.C. 638), as added by paragraph (1).

“(C) Briefing.—

Not later than 30 days after the date of enactment of this Act, and on a recurring basis until implementation is complete, each Small Business Act (15 U.S.C. 638), as added by paragraph (1), shall brief 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 on the implementation of the due diligence program.”

[For definitions of “section 4(b)(2) of Pub. L. 117–183, set out above, see section 2 of Pub. L. 117–183, set out as a note below.]

“Chapter 35 of title 44,Paperwork Reduction Act’), shall not apply to the implementation of paragraphs (16) and (17) of subsection (g) or paragraphs (20) and (21) of subsection (o) of section 9 of the Small Business Act (15 U.S.C. 638), as added by subsections (a) and (b).”

Best Practices “Not later than 180 days after the date of enactment of this Act [ Sept. 30, 2022 ], the “(A)

in consultation with the Committee on Foreign Investment in the Small Business Act (15 U.S.C. 638), as added by this Act.”

[For definitions of terms used in section 4(b)(3) of Pub. L. 117–183, set out above, see section 2 of Pub. L. 117–183, set out as a note below.]

Cybersecurity Technical Assistance for SBIR and STTR Programs “(a) In General.—

The Secretary of Defense may enter into an agreement with 1 or more vendors selected under section 9(q)(2) of the Small Business Act (15 U.S.C. 638(q)(2)) to provide “(b) Amounts.—

In carrying out subsection (a), the Secretary of Defense may provide the amounts described under section 9(q)(3) of such Act (15 U.S.C. 638(q)(3)) to a recipient that meets the eligibility requirements under the such [sic] paragraph, if the recipient requests to seek cybersecurity technical assistance from an individual or entity other than a vendor selected as described in subsection (a).”

Pilot Program for Domestic Investment Under the SBIR Program

“(a) In General.— Not later than 1 year after the date of the enactment of this Act [ Dec. 20, 2019 ] and subject to subsection (b), the Secretary of Defense shall establish and administer a program to be known as the ‘Domestic InvestmentSmall Business Act (15 U.S.C. 638[(dd)]) to a “(1)

exclusively owned by multiple venture capital operating companies, “(2)

During any fiscal year, the aggregate amount of awards made under the Domestic Investment Secretary of Defense may award under section 9 of the Small Business Act (15 U.S.C. 638) during such fiscal year.

“(c) Evaluation Criteria.— the number of applications for participation received from “(2) the number of awards made to “(3) the extent to which a “(4) an assessment of the effect of the Domestic Investment “(A) inducing additional venture capital ,Small Business Act (15 U.S.C. 638(e)(5)); substantially contributing to the mission of the Department of Defense ; and otherwise fulfilling the capital needs of “(e) Notification.—

The Secretary of Defense shall notify the Small Business Administration of an award made under the Domestic Investment “(f) Termination.—

The Domestic Investment September 30, 2022 . “(g) Definitions.— In this section: “(1) Military department; service acquisition executive.—

The terms ‘military department’ and ‘service acquisition executive’ have the meanings given those terms, respectively, in section 101 of title 10, “(2) SBIR; sttr.—

“(3) Small business act definitions.—

Firms That Are Majority-Owned by Multiple Venture Capital Operating Companies,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 theSmall Business Act [15 U.S.C. 638(dd)], as added by this section, that—

provide specific guidance for venture capital operating companies, “(C) preserve and maintain the integrity of the Small Business Act [15 U.S.C. 638]. “(2) Rulemaking required.— “(A) Proposed regulations.—

Not later than 120 days after the date of enactment of this Act [ Dec. 31, 2011 ], theventure capital operating companies,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 “(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,Small Business Act [15 U.S.C. 638(dd)], as added by this section, unless the “(i) in accordance with the size standards established under subparagraph (B), that the applicant is—

a large business or large entity; or majority-owned or controlled by a large business or large entity; or “(ii) in accordance with the criteria established under subparagraph (C), that the applicant— is a foreign-owned business or a foreign entity or is not a citizen of the “(II)

is majority-owned or controlled by a foreign-owned business, foreign entity, or person who is not a citizen of the “(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)), theSmall Business Act [15 U.S.C. 638(dd)], as added by this section.

“(C) Criteria for determining foreign ownership.— The “(i)

whether the applicant is at least 51 percent owned or controlled by citizens of the venture capital operating companies, “(ii)

any venture capital operating company, “(II)

in the aggregate, entities that are direct or indirect subsidiaries of foreign-owned entities own more than 49 percent of the applicant.

the venture capital operating company, “(II) the venture capital operating company, “(ii) subject to clause (i), the venture capital operating company, “(iii) subject to clauses (i), (ii), and (iii), the venture capital operating company, “(4) Enforcement.—

In this subsection, the terms ‘ venture capital operating company’, 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 “(A)

a clear explanation of the part 121 of title 13, Code of Federal Regulations; and “(B) contact information for officers or employees of the “(i) upon request, shall review an issue relating to the rules described in subparagraph (A); and

shall respond to a request under clause (i) not later than 20 business days after the date on which the request is received.

“(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 Pub. L. 112–81, set out above, see section 5002 of Pub. L. 112–81, set out as a note under section 638b of this title.]

Accuracy in Funding Base Calculations

“(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 “(1) conduct a fiscal and management audit of the “(A)

determine whether Federal agencies comply with the expenditure amount requirements under subsections (f)(1) and (n)(1) of section 9 of the Small Business Act (15 U.S.C. 638), as amended by this title;

assess the extent of compliance with the requirements of section 9(i)(2) of the Small Business Act (15 U.S.C. 638(i)(2)) by Federal agencies participating in the “(C)

assess whether it would be more consistent and effective to base the amount of the allocations under the “(D)

determine the portion of the extramural “(2)

submit a report to 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 regarding the audit conducted under paragraph (1), including the assessments required under subparagraph (B) and the determinations made under subparagraph (D) of paragraph (1).

“(b) Definition of Applicable Period.— In this section, the term ‘applicable period’ means—

for the first report submitted under this section, the period beginning on October 1, 2005 , and ending on September 30 of the last full fiscal year before the date of enactment of this Act [ Dec. 31, 2011 ] for which information is available; and

“(2) for the second and each subsequent report submitted under this section, the period—

beginning on October 1 of the first fiscal year after the end of the most recent full fiscal year relating to which a report under this section was submitted; and

ending on September 30 of the last full fiscal year before the date of the report.” Transitional Rule

“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 eachSmall Business Act [15 U.S.C. 638(mm)(3)], as added by subsection (a).”

Conforming Amendments to the SBIR and the STTR Policy Directives “(a) In General.—

Not later than 180 days after the date of enactment of this Act [ Dec. 31, 2011 ], the638a 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 section 5151 of Pub. L. 112–81, set out above, see section 5002 of Pub. L. 112–81, set out as a note under section 638b of this title.]