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SBIR at NASA (2016)

Chapter: Appendix G: Annex 2 to Chapter 5: Department of Defense Data on NASA SBIR Awards

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Suggested Citation:"Appendix G: Annex 2 to Chapter 5: Department of Defense Data on NASA SBIR Awards." National Academies of Sciences, Engineering, and Medicine. 2016. SBIR at NASA. Washington, DC: The National Academies Press. doi: 10.17226/21797.
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Appendix G

Annex 2 to Chapter 5: Department of Defense Data on NASA SBIR Awards

The Department of Defense (DoD) maintains a database of company outcomes, the Company Commercialization Record (CCR). In principle, awardees are required to report on their previous awards on a regular basis. In practice, many companies file reports only when they are preparing a new application for DoD, because updating the CCR is an application requirement.

There is some overlap between NASA and DoD because some DoD awardees who report to DoD on previous awards are reporting on SBIR awards received from NASA. Thus, some NASA outcomes are reported in the CCR. A total of 117 records were identified for FY2001-2011 (see Figure G-1). These awards comprise a small portion of all NASA awards and may be uncharacteristic of the larger population. It is possible, for example, that companies with connections to at least two agencies are more commercially oriented or better established. Nonetheless, these data may provide some cross check against the 2011 Survey data, and this appendix therefore provides supplemental information to Chapter 5 (Quantitative Outcomes) of this report.

Figure G-2 shows the distribution of total sales by amount. Twenty-two percent of respondents reported zero sales to date, while at the other end of the scale, 16 percent reported sales of at least $1 million, with 2 percent of respondents reporting sales of more than $5 million. The percentage reporting some sales (78 percent) is much higher than the percentage calculated from the 2011 Survey data.

Additional investment in research and development is also regarded as evidence of increased commercialization. Only 12 of the 117 projects did not generate either additional investment or sales, although there are likely to be biases in the subsample of projects found in the CCR. Figure G-3 illustrates the distribution of additional investment, by amount, provided by non-DoD federal agencies, which in this case is very likely to be NASA. Sixty-two

Suggested Citation:"Appendix G: Annex 2 to Chapter 5: Department of Defense Data on NASA SBIR Awards." National Academies of Sciences, Engineering, and Medicine. 2016. SBIR at NASA. Washington, DC: The National Academies Press. doi: 10.17226/21797.
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images
FIGURE G-1 NASA awards reported through Department of Defense Company Commercialization Record (CCR).
SOURCE: Department of Defense Company Commercialization Record database. Provided by the DoD SBIR Program Office, January 28, 2015.
images
FIGURE G-2 Distribution of sales for NASA projects, by amount, reported through Department of Defense Company Commercialization Record
SOURCE: Department of Defense Company Commercialization Record database.
Suggested Citation:"Appendix G: Annex 2 to Chapter 5: Department of Defense Data on NASA SBIR Awards." National Academies of Sciences, Engineering, and Medicine. 2016. SBIR at NASA. Washington, DC: The National Academies Press. doi: 10.17226/21797.
×
images
FIGURE G-3 Distribution of additional non-DoD federal investment, by amount, for NASA projects reported through Department of Defense Company Commercialization Record.
SOURCE: Department of Defense Company Commercialization Record database.

percent of respondents reported no additional investment funding, while more than one-third reported some additional investment. Two percent of respondents reported additional investment of more than $5 million, and 3 percent of respondents reported additional investment of $1,000,001 to $5,000,000.

Suggested Citation:"Appendix G: Annex 2 to Chapter 5: Department of Defense Data on NASA SBIR Awards." National Academies of Sciences, Engineering, and Medicine. 2016. SBIR at NASA. Washington, DC: The National Academies Press. doi: 10.17226/21797.
×
Page 339
Suggested Citation:"Appendix G: Annex 2 to Chapter 5: Department of Defense Data on NASA SBIR Awards." National Academies of Sciences, Engineering, and Medicine. 2016. SBIR at NASA. Washington, DC: The National Academies Press. doi: 10.17226/21797.
×
Page 340
Suggested Citation:"Appendix G: Annex 2 to Chapter 5: Department of Defense Data on NASA SBIR Awards." National Academies of Sciences, Engineering, and Medicine. 2016. SBIR at NASA. Washington, DC: The National Academies Press. doi: 10.17226/21797.
×
Page 341
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The Small Business Innovation Research (SBIR) program is one of the largest examples of U.S. public-private partnerships, and was established in 1982 to encourage small businesses to develop new processes and products and to provide quality research in support of the U.S. government’s many missions. The U.S. Congress tasked the National Research Council with undertaking a comprehensive study of how the SBIR program has stimulated technological innovation and used small businesses to meet federal research and development needs, and with recommending further improvements to the program. In the first round of this study, an ad hoc committee prepared a series of reports from 2004 to 2009 on the SBIR program at the five agencies responsible for 96 percent of the program’s operations -- including NASA. In a follow-up to the first round, NASA requested from the Academies an assessment focused on operational questions in order to identify further improvements to the program.

Public-private partnerships like SBIR are particularly important since today's knowledge economy is driven in large part by the nation's capacity to innovate. One of the defining features of the U.S. economy is a high level of entrepreneurial activity. Entrepreneurs in the United States see opportunities and are willing and able to assume risk to bring new welfare-enhancing, wealth-generating technologies to the market. Yet, although discoveries in various fields present new opportunities, converting these discoveries into innovations for the market involves substantial challenges. The American capacity for innovation can be strengthened by addressing the challenges faced by entrepreneurs.

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