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CUI Explorer

Small Business Research and Technology

Relating to certain "Small Business Innovation Research Program" and "Small Business Technology Transfer Program" information in a government database, as referenced in 15 USC 638(k)(2).

Registry statusNARA & DoD
MarkingSBIZ
Organizational index groupProcurement and Acquisition
Updated2026-05-15

This page exposes extracted CUI registry and authority analysis as crawlable text. The interactive explorer remains the operational workspace for filtering, comparison, and voice-agent aligned study.

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Registry comparison

Field NARA Registry DoD Registry
Category description Relating to certain "Small Business Innovation Research Program" and "Small Business Technology Transfer Program" information in a government database, as referenced in 15 USC 638(k)(2). Relating to certain Small Business Innovation Research Program (SBIR) and Small Business Technology Transfer Program (STTR) information in a government database. SBIR - a program under which a portion of a Federal agency’s research or research and development effort is reserved for award to small business concerns through a uniform process STTR - a program under which a portion of a Federal agency’s extramural research or research and development effort is reserved for award to small business concerns for cooperative research and development through a uniform process
Category marking SBIZ SBIZ
Banner marking CUI No corresponding field
Basic or Specified Basic No corresponding field
Authorities 15 USC 638(k)(4) 15 USC 638(k)(4)
DoD applicable policies No corresponding field None listed
Required warning statement No corresponding field None listed
Required dissemination control CUI None listed
Examples No corresponding field PII of individuals associated with small business concern proposals under Phase I or Phase II of the SBIR program or the STTR program, Information regarding venture capital, hedge fund, or private equity firm investment, Names and titles of key individuals that carry out SBIR program or the STTR program projects, Information on or number of employees of a business who receives a SBIR program or the STTR program award, Info related solely to the internal personnel rules and practices of an agency, Trade secrets and commercial or financial information obtained from a person and privileged or confidential inter-agency or intra-agency memorandums or letters which would not be available by law to a party other than an agency in litigation with the agency, Personnel and medical files and similar files the disclosure of which would constitute a clearly unwarranted invasion of personal privacy, Geological and geophysical information and data, including maps, concerning wells, Info contained in or related to examination, operating, or condition reports prepared by, on behalf of, or for the use of an agency responsible for the regulation or supervision of financial institutions records or information compiled for law enforcement purposes, Land remote sensing information, Specific information, that would constitute an unwarranted invasion of personal privacy, reveal the identity of a confidential human source, or reveal information about an intelligence source or method when the unauthorized disclosure of that source or method would damage the national security interests of the United States, Information that would assist in the development or use of weapons of mass destruction, Information that would impair United States cryptologic systems or activities, Information that would impair the application of state-of-the-art technology within a United States weapon system; reveal information that would impair relations between the United States and a foreign government, or undermine ongoing diplomatic activities of the United States, Confidential Commercial Information, The name, size, and location of, and the identifying number assigned by the Administration to, the small business concern; (ii) an abstract of the applicable project; (iii) the specific aims of the project; (iv) the number of employees of the small business concern; (v) the names and titles of the key individuals that will carry out the project, the position each key individual holds in the small business concern, and contact information for each key individual; (vi) the percentage of effort each individual described in clause (v) will contribute to the project; (vii) whether the small business concern is majority-owned by multiple venture capital operating companies, hedge funds, or private equity firms; and (viii) the Federal agency to which the application is made and contact information for the person or office within the Federal agency that is responsible for reviewing applications and making awards under the SBIR program or the STTR program, Any narrative information that a small business concern receiving a Phase II award voluntarily submits to further describe the outputs and outcomes of its awards
Registry date July 30, 2025 2026-05-15

Authority analysis

Authority title
Registry authority evidence compiled; primary authority text analysis pending
Authorities
15 USC 638(k)(4)
Source currency
NARA last reviewed: July 30, 2025 | DoD detail accessed: 2026-05-15
How the authority operates
NARA registry status: Basic. Per-authority NARA status values: Basic. NARA banner marking evidence: CUI. The registry evidence is preserved here; detailed primary-law or regulation text analysis remains pending for this category.

Trigger conditions

  • NARA category scope: Relating to certain "Small Business Innovation Research Program" and "Small Business Technology Transfer Program" information in a government database, as referenced in 15 USC 638(k)(2).
  • DoD category scope: Relating to certain Small Business Innovation Research Program (SBIR) and Small Business Technology Transfer Program (STTR) information in a government database. SBIR - a program under which a portion of a Federal agency’s research or research and development effort is reserved for award to small business concerns through a uniform process STTR - a program under which a portion of a Federal agency’s extramural research or research and development effort is reserved for award to small business concerns for cooperative research and development through a uniform process

Covered information

  • PII of individuals associated with small business concern proposals under Phase I or Phase II of the SBIR program or the STTR program
  • Information regarding venture capital, hedge fund, or private equity firm investment
  • Names and titles of key individuals that carry out SBIR program or the STTR program projects
  • Information on or number of employees of a business who receives a SBIR program or the STTR program award
  • Info related solely to the internal personnel rules and practices of an agency
  • Trade secrets and commercial or financial information obtained from a person and privileged or confidential inter-agency or intra-agency memorandums or letters which would not be available by law to a party other than an agency in litigation with the agency
  • Personnel and medical files and similar files the disclosure of which would constitute a clearly unwarranted invasion of personal privacy
  • Geological and geophysical information and data, including maps, concerning wells
  • Info contained in or related to examination, operating, or condition reports prepared by, on behalf of, or for the use of an agency responsible for the regulation or supervision of financial institutions records or information compiled for law enforcement purposes
  • Land remote sensing information
  • Specific information, that would constitute an unwarranted invasion of personal privacy, reveal the identity of a confidential human source, or reveal information about an intelligence source or method when the unauthorized disclosure of that source or method would damage the national security interests of the United States
  • Information that would assist in the development or use of weapons of mass destruction
  • Information that would impair United States cryptologic systems or activities
  • Information that would impair the application of state-of-the-art technology within a United States weapon system; reveal information that would impair relations between the United States and a foreign government, or undermine ongoing diplomatic activities of the United States
  • Confidential Commercial Information
  • The name, size, and location of, and the identifying number assigned by the Administration to, the small business concern; (ii) an abstract of the applicable project; (iii) the specific aims of the project; (iv) the number of employees of the small business concern; (v) the names and titles of the key individuals that will carry out the project, the position each key individual holds in the small business concern, and contact information for each key individual; (vi) the percentage of effort each individual described in clause (v) will contribute to the project; (vii) whether the small business concern is majority-owned by multiple venture capital operating companies, hedge funds, or private equity firms; and (viii) the Federal agency to which the application is made and contact information for the person or office within the Federal agency that is responsible for reviewing applications and making awards under the SBIR program or the STTR program
  • Any narrative information that a small business concern receiving a Phase II award voluntarily submits to further describe the outputs and outcomes of its awards
  • Registry-described information: Relating to certain "Small Business Innovation Research Program" and "Small Business Technology Transfer Program" information in a government database, as referenced in 15 USC 638(k)(2).
  • DoD-described information: Relating to certain Small Business Innovation Research Program (SBIR) and Small Business Technology Transfer Program (STTR) information in a government database. SBIR - a program under which a portion of a Federal agency’s research or research and development effort is reserved for award to small business concerns through a uniform process STTR - a program under which a portion of a Federal agency’s extramural research or research and development effort is reserved for award to small business concerns for cooperative research and development through a uniform process

Specified controls

Nara basic or specified
Basic
Nara authority rows
15 USC 638(k)(4) | status: Basic | banner: CUI
Nara banner markings
CUI

Safeguarding and dissemination controls

NARA Registry
CUI
DoD Registry
None listed
Authority analysis
No DoD required dissemination control is listed on the registry page. Apply approved limited dissemination controls only when required or permitted by the designating agency or governing authority.
Basic or Specified
Use the registry assertions, NARA authority rows, DoD authorities, DoD policies, warning statements, required dissemination controls, and examples first. Where the cited authority does not specify a handling detail, apply CUI Basic safeguards and dissemination rules so long as they do not conflict with the authority or agency-specific controls.

Related authorities

Authority-by-authority detail

15 USC 638(k)(4)

Listed by: NARA Registry, DoD Registry, Related authorities

Designation evidence

  • NARA authority row: 15 USC 638(k)(4) | status: Basic | banner: CUI.
  • DoD authority row: 15 USC 638(k)(4). DoD lists this citation for the category; this DoD detail page does not display a separate Basic/Specified field.
  • Related authority evidence: 15 USC 638(k)(4) | status: Basic | banner: CUI
  • Related authority evidence: DoD lists this authority for the category; the linked authority text is extracted below when available.
  • Registry designation context: Basic, CUI. The linked authority text contains category-scope or applicability language that helps determine when the information falls within this CUI category. The linked authority text contains disclosure, access, protection, release, dissemination, or distribution-control language relevant to handling. The linked authority text contains violation, penalty, sanction, or enforcement language that may affect consequences for mishandling.
  • Registry designation for this category is Basic with banner CUI.

Extracted authority meaning

  • Page 842 TITLE 15—COMMERCE AND TRADE § 637d
  • Registry designation context: Basic, CUI. The linked authority text contains category-scope or applicability language that helps determine when the information falls within this CUI category. The linked authority text contains disclosure, access, protection, release, dissemination, or distribution-control language relevant to handling. The linked authority text contains violation, penalty, sanction, or enforcement language that may affect consequences for mishandling.

Operating conditions

  • NARA category scope used with this authority: Relating to certain "Small Business Innovation Research Program" and "Small Business Technology Transfer Program" information in a government database, as referenced in 15 USC 638(k)(2).
  • DoD category scope used with this authority: Relating to certain Small Business Innovation Research Program (SBIR) and Small Business Technology Transfer Program (STTR) information in a government database. SBIR - a program under which a portion of a Federal agency’s research or research and development effort is reserved for award to small business concerns through a uniform process STTR - a program under which a portion of a Federal agency’s extramural research or research and development effort is reserved for award to small business concerns for cooperative research and development through a uniform process
  • 15 USC 638(k)(4) | status: Basic | banner: CUI
  • DoD lists this authority for the category; the linked authority text is extracted below when available.
  • NARA registry status: Basic. Per-authority NARA status values: Basic. NARA banner marking evidence: CUI. The registry evidence is preserved here; detailed primary-law or regulation text analysis remains pending for this category.
  • NARA category scope: Relating to certain "Small Business Innovation Research Program" and "Small Business Technology Transfer Program" information in a government database, as referenced in 15 USC 638(k)(2).
  • DoD category scope: Relating to certain Small Business Innovation Research Program (SBIR) and Small Business Technology Transfer Program (STTR) information in a government database. SBIR - a program under which a portion of a Federal agency’s research or research and development effort is reserved for award to small business concerns through a uniform process STTR - a program under which a portion of a Federal agency’s extramural research or research and development effort is reserved for award to small business concerns for cooperative research and development through a uniform process
  • Extracted authority condition: Page 844 TITLE 15—COMMERCE AND TRADE § 638 2 See References in Text note below. als, as evidenced by the first phase, consider- ing, among other things, the proposal’s com- mercial potential, as evidenced by— (i) the small business concern’s record of successfully commercializing SBIR or other research; (ii) the existence of second phase funding commitments from private sector or non- SBIR funding sources; (iii) the existence of third phase, follow- on commitments for the subject of the re- search; and (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 com- pletes efforts made under prior funding agreements under the SBIR program— (i) in which commercial applications of SBIR-funded research or research and de- velopment are funded by non-Federal sources of capital or, for products or serv- ices intended for use by the Federal Gov- ernment, by follow-on non-SBIR Federal funding awards; or (ii) for which awards from non-SBIR Federal funding sources are used for the continuation of research or research and development that has been competitively selected using peer review or merit-based selection procedures; (5) the term ‘‘research’’ or ‘‘research and de- velopment’’ means any activity which is (A) a systematic,...
  • Extracted authority condition: (e) Definitions For the purpose of this section— (1) the term ‘‘extramural budget’’ means the sum of the total obligations minus amounts obligated for such activities by employees of the agency in or through Government-owned, Government-operated facilities, except that for the Department of Energy it shall not in- clude amounts obligated for atomic energy de- fense programs solely for weapons activities or for naval reactor programs, and except that for the Agency for International Development it shall not include amounts obligated solely for general institutional support of inter- national research centers or for grants to for- eign countries; (2) the term ‘‘Federal agency’’ means an ex- ecutive agency as defined in section 105 of title 5 or a military department as defined in sec- tion 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); (3) the term ‘‘funding agreement’’ means any contract, grant, or cooperative agreement en- tered into between any Federal agency and any small business for the performance of experimental, developmental, or research work funded in whole or in part by the Federal Government;...

Safeguarding and dissemination controls

  • NARA registry control evidence: status Basic; banner marking CUI.
  • Nara basic or specified: Basic
  • Nara authority rows: 15 USC 638(k)(4) | status: Basic | banner: CUI
  • Nara banner markings: CUI
  • No DoD required dissemination control is listed on the registry page. Apply approved limited dissemination controls only when required or permitted by the designating agency or governing authority.
  • Use the registry assertions, NARA authority rows, DoD authorities, DoD policies, warning statements, required dissemination controls, and examples first. Where the cited authority does not specify a handling detail, apply CUI Basic safeguards and dissemination rules so long as they do not conflict with the authority or agency-specific controls.
  • Extracted authority control: As used in this order: (a) ‘‘Small Business Innovation Research (SBIR) pro- gram’’ means a program to which section 9(e)(4) of the Small Business Act (15 U.S.C. 638(e)(4)) refers; (b) ‘‘Small Business Technology Transfer (STTR) pro- gram’’ means a program to which section 9(e)(6) of the Small Business Act (15 U.S.C. 638(e)(6)) refers; (c) ‘‘research and development’’ means an activity set forth in section 9(e)(5) of the Small Business Act (15 U.S.C. 638(e)(5)); and (d) ‘‘manufacturing-related’’ means relating to: (i) manufacturing processes, equipment and systems; or (ii) manufacturing workforce skills and protection.
  • Extracted authority control: (j) Small Business Administration policy direc- tives for the general conduct of small busi- ness innovation research programs (1) Policy directives The Small Business Administration, after consultation with the Administrator of the Of- fice of Federal Procurement Policy, the Direc- tor of the Office of Science and Technology Policy, and the Intergovernmental Affairs Di- vision of the Office of Management and Budg- et, shall, within one hundred and twenty days of July 22, 1982, issue policy directives for the general conduct of the SBIR programs within the Federal Government, including providing for— (A) simplified, standardized, and timely SBIR solicitations; (B) a simplified, standardized funding proc- ess which provides for (i) the timely receipt and review of proposals; (ii) outside peer re- view for at least Phase II proposals, if appro- priate; (iii) protection of proprietary infor- mation provided in proposals; (iv) selection of awardees; (v) retention of rights in data generated in the performance of the contract by the small business concern; (vi) transfer of title to property provided by the agency to the small business concern if such a transfer would be more cost effective than recovery of the property by the agency; (vii) cost sharing; and (viii) cost principles and payment schedules;...
  • Extracted authority control: (v) 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 (vi) is located in a State in which the total value of contracts awarded to small business concerns under all STTR pro- grams is less than the total value of con- tracts awarded to small business concerns in a majority of other States, as deter- mined by the Administrator in biennial fiscal years, beginning with fiscal year 2008, based on the most recent statistics compiled by the Administrator; (B) if an awardee receives an award in an amount that is more than the award guide- lines under this section, a statement from the agency that justifies the award amount; and (C) data with respect to the Federal and State Technology Partnership Program (FAST Program); (10) submit an annual report on the STTR program to the Administration and the Office of Science and Technology Policy; (11) adopt the agreement developed by the Administrator under subsection (w) as the agency’s model agreement for allocating be- tween small business concerns and research institutions intellectual property rights and rights, if any, to carry out follow-on research, development, or commercialization; (12) develop, in consultation with the Office of Federal Procurement Policy and the Office of Government Ethics,...

Authority excerpts

Most relevant extracted authority passage

As used in this order: (a) ‘‘Small Business Innovation Research (SBIR) pro- gram’’ means a program to which section 9(e)(4) of the Small Business Act (15 U.S.C. 638(e)(4)) refers; (b) ‘‘Small Business Technology Transfer (STTR) pro- gram’’ means a program to which section 9(e)(6) of the Small Business Act (15 U.S.C. 638(e)(6)) refers; (c) ‘‘research and development’’ means an activity set forth in section 9(e)(5) of the Small Business Act (15 U.S.C. 638(e)(5)); and (d) ‘‘manufacturing-related’’ means relating to: (i) manufacturing processes, equipment and systems; or (ii) manufacturing workforce skills and protection.

Extracted authority passage 2

(j) Small Business Administration policy direc- tives for the general conduct of small busi- ness innovation research programs (1) Policy directives The Small Business Administration, after consultation with the Administrator of the Of- fice of Federal Procurement Policy, the Direc- tor of the Office of Science and Technology Policy, and the Intergovernmental Affairs Di- vision of the Office of Management and Budg- et, shall, within one hundred and twenty days of July 22, 1982, issue policy directives for the general conduct of the SBIR programs within the Federal Government, including providing for— (A) simplified, standardized, and timely SBIR solicitations; (B) a simplified, standardized funding proc- ess which provides for (i) the timely receipt and review of proposals; (ii) outside peer re- view for at least Phase II proposals, if appro- priate; (iii) protection of proprietary infor- mation provided in proposals; (iv) selection of awardees; (v) retention of rights in data generated in the performance of the contract by the small business concern; (vi) transfer of title to property provided by the agency to the small business concern if such a transfer would be more cost effective than recovery of the property by the agency; (vii) cost sharing; and (viii) cost principles and payment schedules;...