SBIR PD 2002
Policy Directive - Section 2
Summary of Legislative Provisions
SBA Proposed Ammendments (in red) 5/19/2005
2. Summary of
Legislative Provisions Relevant Legal Provisions
(a) The Small Business Innovation Research Program Reauthorization
Act of 2000, Public Law 106-554, amended section 9 of the Act (15
(1) The amendments:
(i) Continue the SBIR Program through September 30, 2008;
(ii) Clarify data rights pertaining to SBIR Phase I, Phase II, and
Federally-funded Phase III awards.
(iii) Establish databases--one for the public and one for
Government use--to collect and maintain in a common format information
that is necessary to assist SBCs and assess the SBIR Program.
(iv) Require agencies with an SBIR budget of over $50,000,000 for
fiscal year 1999 to enter into an agreement with the National Academy
of Sciences for the National Research Council to conduct a review of
each agency's SBIR Program.
(v) Require SBIR agencies to report to SBA on the calculation of
the agency's extramural budget within 4 months of enactment of each
agency's annual Appropriations Act.
(vi) Establish the Federal and State Technology (FAST) Partnership
Program to strengthen the technological competitiveness of SBCs.
(vii) Extend the Rural Outreach Program through September 30, 2005.
(b) Each Federal agency with an extramural budget for R/R&D in
excess of $100,000,000 must participate in the SBIR Program.
(c) The statutory requirements establish a uniform, simplified
process for the operation of the SBIR Program while allowing the SBIR
agencies flexibility in the operation of their individual SBIR Program.
This Policy Directive fulfills the Congressional intent to minimize
regulatory burden in the conduct of this program.
(d) Each SBIR agency must establish an SBIR Program by reserving,
in each fiscal year, not less than 2.5 percent of its extramural budget
for awards to SBCs for R/R&D through the following uniform, three-phase
(1) Phases I and II. These phases help SBIR agencies meet R/R&D and
commercialization objectives through funding agreements.
(2) Phase III. This phase, where appropriate, helps Federal
agencies participating in the SBIR Program by:
(i) providing Federal agencies the benefits of commercial
applications derived from Government-funded R/R&D which stimulates
technological innovation and enhances the national return on investment
(ii) providing SBIR awardees access to the Federal market through
non-SBIR funding agreements; and
(iii) providing SBIR awardees access to private sector markets to
stimulate economic growth and create jobs.
(e) The Act directs each SBIR agency to report annually to SBA. The
Act also requires SBA to obtain annual reports and monitor each
agency's SBIR Program and to report these findings annually to the
Senate Committee on Small Business and Entrepreneurship and to the
House Committees on Science and Small Business.
(f) The competition requirements of the Armed Services Procurement
Act of 1947 (10 U.S.C. 2302 et seq.) and the Federal Property and
Administrative Services Act of 1949 (41 U.S.C. 251 et seq.) must be
read in conjunction with the procurement notice publication
requirements of section 8(e) of the Small Business Act (15 U.S.C.
637(e)). The following notice publication requirements of section 8(e)
of the Small Business Act apply to SBIR agencies using contracts as a
SBIR funding agreement.
(1) Any Federal executive agency intending to solicit a proposal to
contract for property or services valued above $25,000 must transmit a
notice of the impending solicitation to the Governmentwide point of
entry (GPE)for access by interested sources. See FAR 5.201. The GPE, located at
http://www.fedbizopps.gov, is the single point where Government
business opportunities greater than $25,000, including synopses of
proposed contract actions, solicitations, and associated information,
can be accessed electronically by the public. In addition, no agency
must issue its solicitation for at least 15 days from the date of the
publication of the GPE. The agency may not establish a deadline for
submission of proposals in response to a solicitation earlier than 30
days after the date on which the solicitation was issued.
(2) The contracting officer must generally make available through
the GPE those solicitations synopsized through the GPE, including
specifications and other pertinent information determined necessary by
the contracting officer. See FAR 5.102.
(3) Any executive agency awarding a contract for property or
services valued at more than $25,000 must submit a synopsis of the
award through the GPE if a subcontract is likely to result from such
contract. See FAR 5.301.
(4) The following are exemptions from the notice publication
(i) In the case of agencies intending to solicit Phase I proposals
for contracts in excess of $25,000, the head of the agency may exempt a
particular solicitation from the notice publication requirements if
that official makes a written determination, after consulting with the
Administrator of the Office of Federal Procurement Policy and the SBA
Administrator, that it is inappropriate or unreasonable to publish a
notice before issuing a solicitation.
(ii) The SBIR Phase II award process is exempt.
(iii) The SBIR Phase III award process is exempt.
(g) Under Executive Order 13329, ''Encouraging Innovation in Manufacturing,'' Federal agencies have an important role in helping to advance innovation, including innovation in manufacturing, through small businesses. Agencies must give high priority to SBIR projects that are focused on manufacturing related R&D, in a manner consistent with the missions of the agencies and the purpose of the SBIR program. Participating agencies must report annually to the SBA Administrator and the Director of the Office of Science and Technology Policy on its efforts to carry out Executive Order 13329. The Executive Order directs the SBA to establish formats and schedules for this reporting and to issue guidelines and directives as necessary to implement the Executive Order.
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