§ 638. Research and development

Type Statute

Publication 2026-03-26

State In force

Department United States Congress

Source OLRC

articles 2

(C) Eligible third-party investor The term “eligible third-party investor” means a small business concern other than an eligible entity, a venture capital firm, an individual investor, a non-SBIR Federal, State or local government, or any combination thereof.

(D) Ineligible sources The term “ineligible sources” means the following:

(i) The eligible entity’s internal research and development funds.

(ii) Funding in forms other than cash, such as in-kind or other intangible assets.

(iii) Funding from the owners of the eligible entity, or the family members or affiliates of such owners.

(iv) 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 commercialization activities for research conducted pursuant to an SBIR program.

(vv) Due diligence program to assess security risks

(1) Establishment The head of each Federal agency required to establish an SBIR or STTR program, in coordination with the Administrator, shall establish and implement a due diligence program to assess security risks presented by small business concerns seeking a federally funded award.

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

(A) assess, using a risk-based approach as appropriate, the cybersecurity practices, patent analysis, employee analysis, and foreign ownership of a small business concern seeking an award, including the financial ties and obligations (which shall include surety, equity, and debt obligations) of the small business concern and employees of the small business concern to a foreign country, foreign person, or foreign entity; and

(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).55 So in original. Probably should be preceded by “subsection”.

(3) Administrative costs

(A) In general In addition to the amount allocated under subsection (mm)(1), each Federal agency required to establish an SBIR program may allocate not more than 2 percent of the funds allocated to the SBIR program of the Federal agency for the cost of establishing the due diligence program required under this subsection.

(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 Federal agency that exercises the authority under subparagraph (A) shall submit to the Committee on Small Business and the Committee on Science, Space, and Technology of the House of Representatives, the Committee on Small Business and Entrepreneurship of the Senate, and the Administrator, for the covered year—

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

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

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

(ii) Annual report inclusion The Administrator shall include the information submitted by head of a Federal agency under clause (i) in the next annual report submitted under subsection (b)(7) after the Administrator receives such information.

(iii) Covered year 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 Administrator is required to include such information by clause (ii).

(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 the SBIR and STTR programs of the Department of Defense in order to—

(A) increase the transition of commercial technology to the Department of Defense;

(B) expand the small business nontraditional industrial base;

(D) expand the ability for qualifying small business concerns to propose technology solutions to meet the needs of the 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—

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

(B) 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 A Federal agency required to establish an SBIR or STTR program shall implement a multi-level review and approval process within the Federal agency for solicitation topics to ensure adequate competition and that no private individual or entity is shaping the requirements for eligibility for the solicitation topic after the selection of the solicitation topic, except that the Federal agency may amend the requirements to clarify the solicitation topic.

(2) Referral A Federal agency that does not comply with paragraph (1) shall be referred to the Inspector General of the Administration for further investigation.

(yy) Pilot program for the participation of military research and educational institutions in the STTR program

(1) In general Not later than 180 days after December 23, 2024, the Secretary of Defense shall establish a pilot program to enable any undergraduate, graduate, or postgraduate degree-granting military research or educational institution established under title 10 to participate in the STTR program of the Department of Defense.

(2) Sunset The authority to carry out the pilot program under this subsection shall end on September 30, 2025.

(zz) Budget calculation pilot program

(1) Pilot

(A) In general In order to more rapidly estimate allocations for the SBIR and STTR programs of the Department of Defense, the Secretary of Defense shall conduct a budget calculation pilot program that requires the calculation of total expenditures for the SBIR and STTR programs in the Department of Defense and determination of related allocations in accordance with subparagraphs (B) and (C), and paragraph (2), respectively.

(B) SBIR program Beginning in fiscal year 2025, the Department of Defense shall calculate required budget expenditures for its SBIR program as not less than 3.25 percent of the average of the total research, development, test, and evaluation extramural budget of the Department for the 2 most recent fully obligated fiscal year budgets.

(C) STTR program Beginning in fiscal year 2025, the Department of Defense shall calculate required budget expenditures for its STTR program as not less than 0.46 percent of the average of the total research, development, test, and evaluation extramural budget of the Department for the 2 most recent fully obligated fiscal year budgets.

(2) Allocations Not later than 30 days after the date of enactment of an appropriations bill for the Department of Defense for a fiscal year, the Department shall determine and make adjustments for actual allocations related to the SBIR and STTR programs of the Department.

(3) Sunset The pilot program under this subsection shall terminate on September 30, 2025.

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 3703(5) of this title, referred to in subsec. (e)(8), was redesignated section 3703(3) by Pub. L. 110–69, title III, § 3002(c)(3), Aug. 9, 2007, 121 Stat. 586.

Section 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.

Section 105 of the Small Business Research and Development Enhancement Act of 1992, referred to in subsec. (j)(2)(I), is section 105 of Pub. L. 102–564, title I, Oct. 28, 1992, 106 Stat. 4254, which was formerly set out as a note below.

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.

Program executive officers, referred to in subsec. (x)(3), were effectively renamed “portfolio acquisition executives” by Pub. L. 119–60, div. A, title XVIII, § 1802(b), Dec. 18, 2025, 139 Stat. 1227, which amended covered defense laws, as defined in section 102 of Title 10, Armed Forces, by substituting references to portfolio acquisition executives for references to program executive officers. This section is neither a covered defense law, nor was it otherwise so amended.

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” on authority of Pub. L. 111–350, § 6(c), Jan. 4, 2011, 124 Stat. 3854, which Act enacted Title 41, Public Contracts. Such reference, however, probably should have been a reference to “section 25(c)(1) of the Office of Federal Procurement Policy Act” because that Act did not contain a section 35 at the time that reference was added, and section 25(c) of that Act related to issuance of the Federal Acquisition Regulation.

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

2024—Subsec. (yy). Pub. L. 118–159, § 871, added subsec. (yy).

Subsec. (zz). Pub. L. 118–159, § 872, added subsec. (zz).

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

Subsec. (b)(7)(I), (J). Pub. L. 117–183, § 7(a)(1), added subpars. (I) and (J).

Subsec. (b)(7)(K), (L). Pub. L. 117–183, § 8(1), added subpars. (K) and (L).

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

Subsec. (g)(13). Pub. L. 117–183, § 4(c)(1), added par. (13).

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

Subsec. (g)(14). Pub. L. 117–183, § 4(c)(1)(C), added par. (14).

Subsec. (g)(15). Pub. L. 117–183, § 4(d)(1), added par. (15).

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

Subsec. (o)(17), (18). Pub. L. 117–183, § 4(c)(2), added pars. (17) and (18).

Subsec. (o)(19). Pub. L. 117–183, § 4(d)(2), added par. (19).

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. (qq)(6), (7). Pub. L. 117–183, § 8(2)(D), added pars. (6) and (7).

Subsec. (vv). Pub. L. 117–183, § 4(b)(1), added subsec. (vv).

Subsec. (ww). Pub. L. 117–183, § 7(a)(2), added subsec. (ww).

Subsec. (xx). Pub. L. 117–183, § 9(a), added subsec. (xx).

2021—Subsec. (b)(7)(H). Pub. L. 116–283, § 865(1), added subpar. (H).

Subsec. (g)(10). Pub. L. 116–283, § 865(2), inserted “, which section shall describe whether or not the Federal agency complied with the requirements of subsection (f) for the year covered by that plan and include a justification for failure to comply (if applicable),” after “a section on its SBIR program”.

Subsec. (o)(8). Pub. L. 116–283, § 865(3), inserted “, which section shall describe whether or not the Federal agency complied with the requirements of subsection (n) for the year covered by that plan and include a justification for failure to comply (if applicable),” after “a section on its STTR program”.

Subsec. (r)(4)(A). Pub. 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.

Subsec. (b)(10). Pub. L. 116–92, § 880(b)(1), added par. (10).

Subsec. (e)(14). Pub. L. 116–92, § 880(a), added par. (14).

Subsec. (j)(4). Pub. L. 116–92, § 880(c)(1), added par. (4).

Subsec. (p)(2)(G). Pub. L. 116–92, § 880(c)(2), added subpar. (G).

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, market research, market validation, and development of regulatory plans and manufacturing plans,” after “technologies,”.

Subsec. (q)(1)(D). Pub. 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 which small business concerns may obtain assistance in meeting” for “Each agency may select a vendor to assist small business concerns to meet”, and added subpar. (B).

Subsec. (q)(3). Pub. 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 the Federal agency, be included as part of the recipient’s award or be in addition to the amount of the recipient’s award” for “$5,000 per year, which shall be in addition to the amount of the recipient’s award”.

Subsec. (q)(3)(C). Pub. 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 the commercialization success of a small business concern may be obtained from an entity, such as a public or private organization or an agency of or other entity established or funded by a State that facilitates or accelerates the commercialization of technologies or assists in the creation and growth of private enterprises that are commercializing technology.”

Subsec. (q)(3)(D). Pub. 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. (q)(3)(E). Pub. L. 115–232, § 854(c)(1)(D)(vi), added subpar. (E).

Subsec. (q)(4). Pub. L. 115–232, § 854(c)(1)(E), added par. (4).

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. (jj)(4)(A). Pub. L. 115–232, § 854(a)(3)(A), substituted “4” for “3”.

Subsec. (jj)(7). Pub. L. 115–232, § 854(a)(3)(B), substituted “2022” for “2017”.

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

Subsec. (mm)(1)(K). Pub. L. 115–232, § 854(a)(4)(A)(ii)–(iv), added subpar. (K).

Subsec. (tt). Pub. L. 115–232, § 854(a)(5), added subsec. (tt).

Subsec. (uu). Pub. L. 115–232, § 860, added subsec. (uu).

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 “Phase III awards” in heading and “shall—

“(A) consider an award under the SBIR program or the STTR program to satisfy the requirements under section 2304 of title 10 and any other applicable competition requirements; and

“(B) issue, without further justification, Phase III awards”

for “shall issue Phase III awards” in text.

2016—Subsec. (m). 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.

2013—Subsec. (b)(7). Pub. L. 112–239, § 1076(a)(20)(A), repealed Pub. L. 112–81, § 1067(a)(1). See 2011 Amendment note below.

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).

Pub. L. 112–239, § 1076(a)(20)(A), repealed Pub. L. 112–81, § 1067(a)(2). See 2011 Amendment note below.

Subsec. (y)(6). Pub. L. 112–239, § 1615(a)(1), redesignated par. (5) as (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, HUBZone small business concerns under each of the SBIR and STTR programs, and a description” in subpar. (A), added subpars. (B) to (F), and inserted “(G) a description” before “of the extent to which Federal agencies”.

Pub. L. 112–81, § 5131(1)(A), substituted “STTR programs, including—” for “STTR programs, including”, and inserted subpar. (A) designation before “the data on output”.

Pub. L. 112–81, § 1067(a)(1), which inserted “and including an accounting of funds, initiatives, and outcomes under the Commercialization Pilot Program” after “and (o)(15) of this section,”, was repealed by Pub. L. 112–239, § 1076(a)(20)(A).

Subsec. (b)(9). Pub. L. 112–81, § 5131(1)(C), (2), (3), added par. (9).

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 for Phase II, that will further” for “to further”.

Subsec. (e)(4)(C). Pub. L. 112–81, § 5125(a)(1), inserted “for work that derives from, extends, or completes efforts made under prior funding agreements under the SBIR program” after “phase” in introductory provisions.

Subsec. (e)(4)(C)(ii). Pub. 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 for Phase II, that will further develop proposals that” for “to further develop proposed ideas to”.

Subsec. (e)(6)(C). Pub. L. 112–81, § 5125(a)(2), inserted “for work that derives from, extends, or completes efforts made under prior funding agreements under the STTR program” after “phase” in introductory provisions.

Subsec. (e)(9). Pub. L. 112–81, § 5125(b)(1)(B), substituted “Phase II or Phase III” for “the second or the third phase”.

Subsec. (e)(10). Pub. L. 112–81, § 5125(a)(3)–(5), added par. (10).

Subsec. (e)(11) to (13). Pub. L. 112–81, § 5125(b)(1)(C), added pars. (11) to (13).

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,”.

Subsec. (f)(2). Pub. L. 112–81, § 5141(b)(3)(A), substituted “shall not—

“(A) use any of its SBIR budget established pursuant to paragraph (1) for the purpose of funding administrative costs of the program, including costs associated with salaries and expenses; or

“(B) make available for the purpose”

for “shall not make available for the purpose”.

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

“(A) use any of its SBIR budget established pursuant to paragraph (1) for the purpose of funding administrative costs of the program, including costs associated with salaries and expenses; or

“(B) make available for the purpose”.

Subsec. (f)(4). Pub. L. 112–81, § 5102(a)(2), added par. (4).

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 the SBIR program, including information necessary to maintain the database described in subsection (k) of this section;”.

Subsec. (g)(12). Pub. 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 “Phase II” for “phase two”.

Subsec. (j)(2)(B). Pub. L. 112–81, § 5125(b)(2)(B)(i), substituted “Phase III” for “the third phase” in two places and “Phase II” for “the second phase”.

Subsec. (j)(2)(D). Pub. L. 112–81, § 5125(b)(2)(B)(ii), substituted “Phase I” for “the first phase” and “‘Phase II” for “the second phase”.

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. (j)(2)(F). Pub. L. 112–81, § 5125(b)(2)(B)(iii), substituted “Phase III” for “the third phase”.

Subsec. (j)(2)(G). Pub. L. 112–81, § 5125(b)(2)(B)(iv), substituted “Phase I” for “the first phase” and “Phase II” for “the second phase”.

Subsec. (j)(2)(H). Pub. L. 112–81, § 5125(b)(2)(B)(v), substituted “Phase I” for “the first phase”, “Phase II” for “second phase” in two places, and “Phase III” for “third phase”.

Subsec. (j)(3)(A). Pub. L. 112–81, § 5125(b)(2)(C)(i), substituted “Phase I” for “the first phase (as described in subsection (e)(4)(A) of this section)”, “Phase II” for “(as described in subsection (e)(4)(B) of this section)”, and “Phase III” for “the third phase (as described in subsection (e)(4)(C) of this section)”.

Subsec. (j)(3)(B). Pub. L. 112–81, § 5125(b)(2)(C)(ii), substituted “Phase II” for “second phase”.

Subsec. (k). Pub. L. 112–81, § 5125(b)(3), substituted “Phase I” for “first phase” and “Phase II” for “second phase” wherever appearing.

Subsec. (k)(1)(F). Pub. L. 112–81, § 5134, added subpar. (F).

Subsec. (k)(2). Pub. L. 112–81, § 5135(1), in introductory provisions, substituted “Not later than 90 days after December 31, 2011” for “Not later than 180 days after December 21, 2000”, added subpars. (A), (D), and (G), redesignated former subpars. (A), (B), (D), and (E) as (B), (C), (E), and (F), respectively, and struck out former subpar. (C) which read as follows: “includes for each applicant for a Phase I or Phase II award that does not receive such an award—

“(i) the name, size, and location, and an identifying number assigned by the Administration;

“(ii) an abstract of the project; and

“(iii) the Federal agency to which the application was made;”.

Subsec. (k)(3)(C). Pub. L. 112–81, § 5135(2), added subpar. (C).

Subsec. (l)(2). Pub. L. 112–81, § 5125(b)(4), substituted “Phase I” for “the first phase” and “Phase II” for “the second phase”.

Subsec. (m). Pub. L. 112–81, § 5101(a), substituted “2017” for “2011”.

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 the Small Business Innovation Research Program of the Department 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 assess STTR program outputs and outcomes;”.

Subsec. (o)(13)(B). Pub. L. 112–81, § 5125(b)(5)(A), substituted “Phase II” for “second phase”.

Subsec. (o)(13)(C). Pub. L. 112–81, § 5125(b)(5)(B), substituted “Phase III” for “third phase”.

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 the STTR program, including information necessary to maintain the database described in subsection (k) of this section; and”.

Subsec. (p)(2)(B)(vi). Pub. L. 112–81, § 5125(b)(6)(A)(i), substituted “Phase II” for “the second phase” and “Phase III” for “the third phase”.

Subsec. (p)(2)(B)(ix). Pub. L. 112–81, § 5125(b)(6)(A)(ii), substituted “Phase I” for “the first phase” and “Phase II” for “the second phase”.

Pub. L. 112–81, § 5103(c)(2), inserted “(each of which the Administrator shall adjust for inflation annually)” after “$1,000,000,”.

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

Subsec. (p)(3). Pub. L. 112–81, § 5125(b)(6)(B), substituted “Phase I” for “the first phase (as described in subsection (e)(6)(A) of this section)”, “Phase II” for “the second phase (as described in subsection (e)(6)(B) of this section)”, and “Phase III” for “the third phase (as described in subsection (e)(6)(C) of this section)”.

Subsec. (q)(1). Pub. L. 112–81, § 5121(1), inserted “or STTR program” after “SBIR program” and substituted “SBIR or STTR projects” for “SBIR projects” in introductory provisions.

Subsec. (q)(2). Pub. L. 112–81, § 5121(2), substituted “5 years” for “3 years”.

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:

“(A) First phase

“Each agency referred to in paragraph (1) may provide services described in paragraph (1) to first phase SBIR award recipients in an amount equal to not more than $4,000, which shall be in addition to the amount of the recipient’s award.

“(B) Second phase

“Each agency referred to in paragraph (1) may authorize any second phase SBIR award recipient to purchase, with funds available from their SBIR awards, services described in paragraph (1), in an amount equal to not more than $4,000 per year.”

Subsec. (r). Pub. L. 112–81, § 5125(b)(7)(A), substituted “Phase III” for “Third phase” in heading.

Subsec. (r)(1). Pub. L. 112–81, § 5125(b)(7)(B), substituted, in first sentence, “for Phase II” for “for the second phase”, “Phase III” for “third phase”, and “Phase II period” for “second phase period”, and, in second sentence, “Phase II” for “second phase” and “Phase III” for “third phase”.

Subsec. (r)(2). Pub. L. 112–81, § 5125(b)(7)(C), substituted “Phase III” for “third phase”.

Subsec. (r)(4). Pub. L. 112–81, § 5108, added par. (4).

Subsec. (s). Pub. L. 112–17, § 4, added subsec. (s).

Subsec. (u)(2)(B). Pub. L. 112–81, § 5125(b)(8), substituted “Phase I” for “the first phase” in introductory provisions.

Subsec. (v). 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)(1). Pub. L. 112–81, § 5122(a)(3), inserted “or Small Business Technology Transfer Program” after “Small Business Innovation Research Program” and inserted at end “The authority to create and administer a Commercialization Readiness Program under this subsection may not be construed to eliminate or replace any other SBIR program or STTR program that enhances the insertion or transition of SBIR or STTR technologies, including any such program in effect on January 6, 2006.”

Subsec. (y)(2). Pub. L. 112–81, § 5122(a)(4), inserted “or Small Business Technology Transfer Program” after “Small Business Innovation Research Program”.

Subsec. (y)(4). Pub. 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 the Commercialization Readiness Program under this subsection, the Secretary 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 the Small Business Innovation Research Program. Such funds shall not be used to make Phase III awards.”

Pub. 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 the Commercialization Readiness Program.

Subsec. (y)(5). Pub. L. 112–81, § 5141(b)(1)(B)(ii), redesignated par. (6) as (5). Former par. (5) redesignated (4).

Pub. L. 112–81, § 5122(a)(7), added par. (5).

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 the Commercialization Pilot Program.

Pub. 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 the Commercialization Pilot Program, was repealed by Pub. L. 112–239, § 1076(a)(20)(A).

Subsec. (y)(6). Pub. L. 112–81, § 5141(b)(1)(B)(ii), redesignated par. (6) as (5).

Pub. L. 112–81, § 5122(a)(6), (7), added par. (6) and struck out former par. (6), which provided that pilot program would terminate at the end of fiscal year 2011.

Pub. L. 112–17, § 3(c), substituted “2011” for “2010”.

Subsec. (aa). Pub. L. 112–81, § 5103(d), added subsec. (aa).

Subsec. (bb). Pub. L. 112–81, § 5104, added subsec. (bb).

Subsec. (cc). Pub. L. 112–81, § 5106, added subsec. (cc).

Subsec. (dd). Pub. L. 112–81, § 5107(a), added subsec. (dd).

Subsec. (ee). Pub. L. 112–81, § 5109, added subsec. (ee).

Subsec. (ff). Pub. L. 112–81, § 5111, added subsec. (ff).

Subsec. (gg). Pub. L. 112–81, § 5123, added subsec. (gg).

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

Subsec. (jj). Pub. L. 112–81, § 5127, added subsec. (jj).

Subsec. (kk). Pub. L. 112–81, § 5138, added subsec. (kk).

Subsec. (ll). Pub. L. 112–81, § 5140, added subsec. (ll).

Subsec. (mm). Pub. L. 112–81, § 5141(a), added subsec. (mm).

Subsec. (nn). Pub. L. 112–81, § 5161, added subsec. (nn).

Subsec. (oo). Pub. L. 112–81, § 5162, added subsec. (oo).

Subsec. (pp). Pub. L. 112–81, § 5164, added subsec. (pp).

Subsec. (qq). Pub. L. 112–81, § 5165, added subsec. (qq).

Subsec. (rr). Pub. L. 112–81, § 5166, added subsec. (rr).

Subsec. (ss). Pub. L. 112–81, § 5167, added subsec. (ss).

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).

2006—Subsec. (b)(8). Pub. L. 109–163, § 252(b)(1), added par. (8).

Subsec. (e)(9). Pub. L. 109–163, § 252(c), added par. (9).

Subsec. (g)(11). Pub. L. 109–163, § 252(b)(2), added par. (11).

Subsec. (o)(16). Pub. L. 109–163, § 252(b)(3), added par. (16).

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, HUBZone small business concerns under each of the SBIR and STTR programs,” for “and (o)(9) of this section,”.

Subsec. (e)(6). Pub. L. 107–50, § 2(b), struck out “pilot” before “program” in introductory provisions.

Subsec. (k)(1). Pub. L. 107–50, § 6(b)(1), inserted “or STTR” after “SBIR” in subpars. (A) to (C) and added subpar. (E).

Subsec. (k)(2). Pub. L. 107–50, § 6(b)(2)(A), (B), in introductory provisions, inserted “or an STTR program pursuant to subsection (n)(1)” after “(f)(1)” and substituted “exclusively for SBIR and STTR” for “solely for SBIR”.

Subsec. (k)(2)(A)(iii). Pub. L. 107–50, § 6(b)(2)(C), inserted “and STTR” after “SBIR”.

Subsec. (k)(2)(D). Pub. L. 107–50, § 6(b)(2)(D), inserted “or STTR” after “SBIR”.

Subsec. (n)(1). Pub. 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, each Federal agency that has an extramural budget for research, or research and development, in excess of $1,000,000,000 for that fiscal year, is authorized to expend with small business concerns not less than 0.15 percent of that extramural budget specifically in connection with STTR programs that meet the requirements of this section and any policy directives and regulations issued under this section.”

Subsec. (o)(11). Pub. L. 107–50, § 7(b), substituted “adopt the agreement developed by the Administrator under subsection (w) as the agency’s model agreement” for “develop a model agreement not later than July 31, 1993, to be approved by the Administration,”.

Subsec. (o)(14). Pub. L. 107–50, § 4, added par. (14).

Subsec. (o)(15). Pub. L. 107–50, § 6(a), added par. (15).

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.

Subsec. (p)(3). Pub. L. 107–50, § 5, added par. (3).

Subsec. (v). Pub. L. 107–50, § 6(c), inserted “or STTR” after “SBIR” in two places.

Subsec. (w). Pub. L. 107–50, § 7(a), added subsec. (w).

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. (e)(4)(C)(i). Pub. L. 106–554, § 1(a)(9) [title I, § 105], substituted “; or” for “; and” at end.

Subsec. (g)(9). Pub. L. 106–554, § 1(a)(9) [title I, § 106], added par. (9).

Subsec. (g)(10). Pub. L. 106–554, § 1(a)(9) [title I, § 107(a)], added par. (10).

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. (j)(3). Pub. L. 106–554, § 1(a)(9) [title I, § 110], added par. (3).

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 the Small Business Innovation Research Program under this section shall terminate on October 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”.

Subsec. (u). Pub. L. 106–554, § 1(a)(9) [title I, § 111(c)], added subsec. (u).

Subsec. (v). Pub. L. 106–554, § 1(a)(9) [title I, § 113], added subsec. (v).

1999—Subsec. (p)(1)(B). Pub. L. 106–113 amended subpar. (B) generally. Prior to amendment, subpar. (B) read as follows: “the Commissioner of Patents and Trademarks; and”.

1997—Subsec. (e)(4)(A). Pub. L. 105–135, § 501(b)(1)(B), substituted “subparagraph (B)” for “subparagraph (B)(ii)”.

Subsec. (n)(1). Pub. L. 105–135, § 501(a), added par. (1) and struck out heading and text of former par. (1). Text read as follows: “Each Federal agency which has an extramural budget for research or research and development in excess of $1,000,000,000 in fiscal year 1994, 1995, or 1996, is authorized to expend with small business concerns—

“(A) not less than 0.05 percent of such budget in fiscal year 1994;

“(B) not less than 0.1 percent of such budget in fiscal year 1995; and

“(C) not less than 0.15 percent of such budget in fiscal years 1996 and 1997,

specifically in connection with STTR programs which meet the requirements of this section, policy directives, and regulations issued under this section.”

Subsec. (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 eligible State and relating to program authority, amount of assistance, and use of assistance.

Pub. L. 105–135, § 501(b)(1)(C), added subsec. (s).

Subsec. (t). Pub. L. 105–135, § 501(b)(1)(C), added subsec. (t).

1996—Subsec. (n)(1)(C). Pub. L. 104–208 substituted “fiscal years 1996 and 1997” for “fiscal year 1996”.

1994—Subsec. (q)(2). Pub. L. 103–403 amended heading and text of par. (2) generally. Prior to amendment, text read as follows: “Annually, each agency may select a vendor for purposes of this subsection using competitive, merit-based criteria, to assist small business concerns to meet the goals listed in paragraph (1).”

1992—Subsec. (b)(4). Pub. L. 102–564, § 202(a)(1), inserted before semicolon at end “and small business technology transfer pilot programs”.

Subsec. (b)(5) to (7). Pub. L. 102–564, § 202(a)(2), inserted “and STTR” after “SBIR” wherever appearing.

Subsec. (e)(1). Pub. 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 a Small Business Innovation Research Program in Department 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 the research or research and development and which may also involve follow-on non-SBIR funded production contracts with a Federal agency for products or processes intended for use by the United States Government; and”.

Subsec. (e)(6) to (8). Pub. 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 agency extramural budget expenditures for fiscal years 1982 and thereafter for small business concerns in connection with small business innovation research programs meeting the requirements of the Small 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 the research or research and development budget of that Department.” See section 4237(h)(2) of Pub. L. 102–484 set out in a Small Business Innovation Research Program in Department 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 the funding agreement” before semicolon at end. Former par. (5) redesignated (6).

Subsec. (g)(6). Pub. 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. (g)(8). Pub. L. 102–564, § 103(d)(1), redesignated par. (7) as (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).

Subsec. (k). Pub. L. 102–564, § 103(g), amended subsec. (k) generally, substituting “(k) [Reserved]” for prior provisions of subsec. (k) which read as follows: “The Director of the Office of Science and Technology Policy, in consultation with the Federal Coordinating Council for Science, Engineering and Research, shall, in addition to such other responsibilities imposed upon him by the Small Business Innovation Development Act of 1982—

“(1) independently survey and monitor all phases of the implementation and operation of SBIR programs within agencies required to establish an SBIR program, including compliance with the expenditures of funds according to the requirements of subsection (f) of this section; and

“(2) report not less than annually, and at such other times as the Director may deem appropriate, to the Committees on Small Business of the Senate and the House of Representatives on all phases of the implementation and operation of SBIR programs within agencies required to establish an SBIR program, together with such recommendations as the Director may deem appropriate.”

Subsec. (l). Pub. L. 102–564, § 103(h)(1), added subsec. (l).

Subsec. (m). Pub. L. 102–564, § 104(b), added subsec. (m).

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

Subsec. (q). Pub. L. 102–564, § 301(a), added subsec. (q).

Subsec. (r). Pub. L. 102–564, § 305, added subsec. (r).

1988—Subsec. (j)(6), (7). Pub. L. 100–590 added pars. (6) and (7).

1986—Subsec. (e)(1). Pub. L. 99–443, § 1, inserted provision that for the Department of Defense, the extramural budget shall not include amounts obligated solely for operational systems development.

1982—Subsec. (b)(4) to (7). Pub. L. 97–219, § 3, added pars. (4) to (7).

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

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.

Pub. L. 112–239, div. A, title XVI, § 1615(c), Jan. 2, 2013, 126 Stat. 2067, provided that: “The amendments made by this section [amending this section] shall take effect as of January 1, 2012.”

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

Pub. L. 111–84, div. A, title VIII, § 847(c), Oct. 28, 2009, 123 Stat. 2421, provided that: “The amendments made by this section [amending this section] shall take effect as of July 30, 2009.”

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

Pub. L. 107–50, § 3(b), Oct. 15, 2001, 115 Stat. 263, provided that: “The amendments made by subsection (a) [amending this section] shall be effective beginning in fiscal year 2004.”

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.

Pub. L. 105–135, title V, § 501(b)(2), Dec. 2, 1997, 111 Stat. 2622, as amended by Pub. L. 106–554, § 1(a)(9) [title I, § 114(a)], Dec. 21, 2000, 114 Stat. 2763, 2763A–681, provided that: “Effective October 1, 2005, section 9(s) of the Small Business Act [15 U.S.C. 638(s)] (as added by paragraph (1) of this subsection) is repealed.”

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 a Small Business Innovation Research Program in Department 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

Pub. L. 117–183, § 4(b)(5), Sept. 30, 2022, 136 Stat. 2183, provided that: “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— “(A) apply to any Federal agency with a due diligence program that applies to the SBIR or STTR programs required under subsection (vv) of section 9 of the 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 “(B) restrict any Federal agency from taking due diligence measures in addition to those required under such subsection (vv) at the Federal agency.”

[For definitions of “Federal agency”, “SBIR”, and “STTR” as used in 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

Pub. L. 117–263, div. A, title VIII, § 872(b), Dec. 23, 2022, 136 Stat. 2739, provided that: “(1) In general.—Until the date on which the Under Secretary of Defense for Research and Engineering makes the certification described in paragraph (2), in carrying out the due diligence program required under subsection (vv) of section 9 of the Small 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—“(A) only with respect to small business concerns selected by the applicable Secretary as the presumptive recipient of an award described in such subsection (vv); and “(B) prior to notifying the small business concern that the small business concern has been selected to receive such an award. “(2) Full implementation.—On the date on which the Under Secretary of Defense for Research and Engineering certifies to the Committees on Armed Services of the Senate and the House of Representatives that an automated capability for performing the assessments required under the due diligence program required under subsection (vv) of section 9 of the Small Business Act (15 U.S.C. 638) with respect to all small business concerns seeking an award described in such subsection is operational, paragraph (1) of this subsection shall sunset.”

Implementation of 2022 Amendment

Pub. L. 117–183, § 4(b)(2), Sept. 30, 2022, 136 Stat. 2182, provided that: “(A) In general.—Not later than 270 days after the date of enactment of this Act [Sept. 30, 2022], the head of a Federal agency required to establish an SBIR or STTR program shall implement 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), at the Federal agency that, to the extent practicable, incorporates the applicable best practices disseminated under paragraph (3) [set out as a note below]. “(B) Paperwork reduction act.—Chapter 35 of title 44, United States Code (commonly known as the ‘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 Federal agency required to establish 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), 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 “Federal agency”, “SBIR”, and “STTR” as used in 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.]

Pub. L. 117–183, § 5(c), Sept. 30, 2022, 136 Stat. 2187, provided that: “Chapter 35 of title 44, United States Code (commonly known as the ‘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

Pub. L. 117–183, § 4(b)(3), Sept. 30, 2022, 136 Stat. 2182, provided that: “Not later than 180 days after the date of enactment of this Act [Sept. 30, 2022], the Administrator shall— “(A) in coordination with the Director of the Office of Science and Technology Policy and in consultation with the Committee on Foreign Investment in the United States, disseminate among Federal agencies required to establish an SBIR or STTR program best practices of those Federal agencies for due diligence programs required under subsection (vv) of section 9 of the Small Business Act (15 U.S.C. 638), as added by paragraph (1); and “(B) in consultation with the Committee on Foreign Investment in the United States, provide to Federal agencies described in subparagraph (A) guidance on the business relationships required to be disclosed under paragraph (13)(G) of subsection (g) and paragraph (17)(G) of subsection (o) of section 9 of 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

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