Innovation, Diversity, __________________________________________ Summary of a Workshop |
Sujai J. Shivakumar and David E. Dierksheide, Rapporteurs
Committee on Capitalizing on Science, Technology, and Innovation:
An Assessment of the Small Business Innovation Research Program—
Phase II
Board on Science, Technology, and Economic Policy
Policy and Global Affairs
THE NATIONAL ACADEMIES PRESS
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This activity was supported by Grant No. HQ0034-10-D-0003, DO#1 between the National Academy of Sciences and Department of Defense; Contract/Grant No. NNX07AJ53G between the National Academy of Sciences and the National Aeronautics and Space Administration; and Contract/Grant No. DMI-0221736 between the National Academy of Sciences and the National Science Foundation. Any opinions, findings, conclusions, or recommendations expressed in this publication are those of the author(s) and do not necessarily reflect the views of the organizations or agencies that provided support for the project.
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Suggested citation: National Academies of Sciences, Engineering, and Medicine. 2015. Innovation, Diversity, and the SBIR/STTR Programs. Summary of a Workshop. Washington, DC: The National Academies Press.
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Committee on Capitalizing on Science, Technology, and Innovation: An Assessment of the Small Business Innovation Research Program—Phase II
Jacques S. Gansler (NAE), Chair
Roger C. Lipitz Chair in Public Policy and Private Enterprise
Director of the Center for Public Policy and Private Enterprise
School of Public Policy
University of Maryland
David Audretsch
Distinguished Professor
Ameritech Chair of Economic Development
Director of the Institute for Development Strategies
Indiana University
Gene Banucci
Executive Chairman, ret.
ATMI, Inc.
(Member: 6/26/2009-4/23/2014)
Thomas J. Bond
Grant and Proposal Director
Association for Manufacturing Technology
(Member: 6/26/2009-5/21/2014)
Michael Borrus
Founding General Partner
XSeed Capital*
J. Michael Brick
Vice President and Co-Director of Survey Methods
Westat
Gail H. Cassell (NAM)
Senior Lecturer
Department of Global Health and Social Medicine
Harvard Medical School
M. Christina Gabriel
President
University Energy Partnership
Charles E. Kolb (NAE)
President and Chief Executive Officer
Aerodyne Research, Inc.
Virginia Lesser
Professor of Statistics
Department of Statistics
Director, Survey Research Center
Oregon State University
Henry Linsert, Jr.
Chairman and CEO
Columbia Biosciences Corporation
W. Clark McFadden II
Senior Counsel
Orrick, Herrington & Sutcliffe, LLP
Duncan T. Moore (NAE)
Vice Provost for Entrepreneurship
Rudolf and Hilda Kingslake Professor of Optical Engineering
The Institute of Optics
University of Rochester
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*Previously know as X/Seed Capital Management.
Linda Powers
Managing Director
Toucan Capital Corporation
(Member: 6/26/2009-10/13/2011)
Donald Siegel
Dean and Professor
School of Business
University at Albany, SUNY
Jeffrey E. Sohl
Professor and Director of the Center for Venture Research
Peter T. Paul College of Business and Economics
University of New Hampshire
Tyrone C. Taylor
President
Capitol Advisors on Technology, LLC
John P. Walsh
Professor of Public Policy
School of Public Policy
Georgia Institute of Technology
Patrick H. Windham
Principal
Technology Policy International
Project Staff
Sujai J. Shivakumar
Study Director
(4/1/2014-Current)
McAlister T. Clabaugh
Program Officer
David E. Dierksheide
Program Officer
Karolina E. Konarzewska
Program Coordinator
Natacha R. Montgomery
Senior Program Assistant
Charles W. Wessner
Study Director
(6/26/2009-3/31/2014)
For the National Academies of Sciences, Engineering, and Medicine, this project was overseen by the Board on Science, Technology, and Economic Policy (STEP), a standing board established by the National Academies of Sciences and Engineering and the Institute of Medicine in 1991. The mandate of the Board on Science, Technology, and Economic Policy is to advise federal, state, and local governments and inform the public about economic and related public policies to promote the creation, diffusion, and application of new scientific and technical knowledge to enhance the productivity and competitiveness of the U.S. economy and foster economic prosperity for all Americans. The STEP Board and its committees marshal research and the expertise of scholars, industrial managers, investors, and former public officials in a wide range of policy areas that affect the speed and direction of scientific and technological change and their contributions to the growth of the U.S. and global economies. Results are communicated through reports, conferences, workshops, briefings, and electronic media subject to the procedures of the National Academies to ensure their authoritativeness, independence, and objectivity. The members of the STEP Board * and staff are listed below:
Richard K. Lester, Chair
Japan Steel Industry Professor and Department Head
Department of Nuclear Science and Engineering
Massachusetts Institute of Technology
Jeff Bingaman
Former U.S. Senator, New Mexico
U.S. Senate
Ellen R. Dulberger
Managing Partner
Dulberger Enterprises, LLC
Alan M. Garber (NAM)
Provost
Harvard University
Ralph E. Gomory (NAS/NAE)
Research Professor
IOMS Department
Stern School of Business
New York University
Michael Greenstone
The Milton Friedman Professor of Economics and the College
Director, Energy Policy Institute at Chicago
Department of Economics
The University of Chicago
John L. Hennessy (NAS/NAE)
President
Stanford University
William H. Janeway
Managing Director
Senior Advisor
Warburg Pincus, LLC
________________
*As of July 2015.
David T. Morgenthaler
Founder
Morgenthaler Ventures
Luis M. Proenza
President Emeritus
University of Akron
Kathryn L. Shaw
Ernest C. Arbuckle Professor of Economics
Stanford Graduate School of Business
Stanford University
Laura D’Andrea Tyson
Professor of Business Administration and Economics
Director, Institute for Business & Social Impact
Haas Business & Public Policy Group
University of California, Berkeley
Jay Walker
Chairman
Patent Properties, Inc.
STEP Staff
Gail E. Cohen
Director
Paul T. Beaton
Senior Program Officer
McAlister T. Clabaugh
Program Officer
Aqila A. Coulthurst
Associate Program Officer
Sujai J. Shivakumar
Senior Program Officer
David E. Dierksheide
Program Officer
Karolina E. Konarzewska
Program Coordinator
Natacha R. Montgomery
Senior Program Assistant
Preface
At the request of Congress, the National Academies of Sciences, Engineering, and Medicine1 is reviewing the Small Business Innovation Research (SBIR) and Small Business Technology Transfer (STTR) programs at the Department of Defense, National Institutes of Health, National Aeronautics and Space Administration, Department of Energy, and National Science Foundation.2 This assessment is the second round of study carried out by the NRC in response to a congressional mandate. The first-round study, carried out by a separate NRC committee, focused exclusively on the SBIR program and resulted in a series of reports from 2004 to 2009.
The SBIR and STTR programs provide federal research and development funding to small businesses. Among the legislative goals of the SBIR program is “to foster and encourage participation by minority and disadvantaged persons in technological innovation.”3 The committee charged with the assessment of the SBIR and STTR programs convened a workshop on February 7, 2013, that focused on the participation of women, minorities, and both older and younger scientists, engineers, and entrepreneurs in the SBIR and STTR programs, with the goal of reviewing current efforts to expand the pool of SBIR/STTR-funded researchers and of identifying mechanisms for improving participation rates.
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1Effective July 1, 2015, the institution is called the National Academies of Sciences, Engineering, and Medicine. References in this report to the National Research Council are used in an historic context identifying programs prior to July 1.
2H.R. 5667, Sec. 108, enacted in Public Law 106-554, as amended by H.R. 1540, Sec. 5137, enacted in Public Law 112-81.
3Public Law 97-219, Sec. 2, July 22, 1982, 96 Stat. 217.
Although some time has passed since this workshop was convened, program participation by women and minorities remains a concern, as noted in the committee’s recent report on SBIR at the Department of Defense.4 Because individual participants at the February 2013 workshop made suggestions for addressing this issue, releasing a full summary of the workshop can make an important contribution to the policy dialogue.
This report has been prepared by the workshop rapporteurs as a factual summary of what occurred at the workshop. The committee’s role was limited to planning and convening the workshop. The views contained in the report are those of individual workshop participants and do not necessarily represent the views of all workshop participants, the committee, or the Academies.
ACKNOWLEDGMENTS
On behalf of the National Academies, we express our appreciation and recognition for the insights, experiences, and perspectives made available by the participants of this meeting. Their support and interest were instrumental to the quality and high-level participation of the workshop. Special thanks are also due to McAlister Clabaugh of the STEP staff for his many contributions to the organization of the workshop.
We are also indebted to Catherine Yang for preparing the draft introduction and summary of the meeting.
Acknowledgment of Reviewers
This report has been reviewed in draft form by individuals chosen for their diverse perspectives and technical expertise, in accordance with procedures approved by the Academies’ Report Review Committee. The purpose of this independent review is to provide candid and critical comments that will assist the institution in making its published report as sound as possible and to ensure that the report meets institutional standards for quality and objectivity. The review comments and draft manuscript remain confidential to protect the integrity of the process.
We wish to thank the following individuals for their review of this report: Tanaga Boozer, United States Patent and Trademark Office; Frank Douglas, Austen BioInnovation Institute; David Finifter, College of William & Mary; Eve Higginbotham, University of Pennsylvania; Jane Muir, University of Florida; and Glendowlyn Thames, Connecticut Innovations.
Although the reviewers listed above have provided many constructive comments and suggestions, they were not asked to endorse the content of the report, nor did they see the final draft before its release. The review of this report was
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4National Research Council, SBIR at the Department of Defense, Washington, DC: The National Academies Press, 2014.
overseen by Trevor Jones, International Development Corp. Appointed by the Academies, he was responsible for making certain that an independent examination of this report was carried out in accordance with institutional procedures and that all review comments were carefully considered. Responsibility for the final content of this report rests entirely with the rapporteurs and the institution.
Sujai J. Shivakumar | David E. Dierksheide |
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