An Assessment of the SBIR Program at the National Science Foundation (2008) / Chapter Skim
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program was created in 1982 through the Small Business Innovation Development Act. As the SBIR program approached its twentieth year of operation, the U.S.
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to foster and encourage participation by minority and disadvantaged persons in technological innovation.2 Second, can the management of agency SBIR programs be made more effective? Are there best practices in agency SBIR programs that may be extended to other agencies' SBIR programs?
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OVERVIEW OF NSF SBIR PROGRAM This report addresses the SBIR program operated by the National Science Foundation (NSF) , which annually makes several hundred awards that total nearly $100 million.
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Supplemental Grant Options: As an innovation, the program added Phase IIB grant supplements following a Phase II grant conditional on attraction of third-party financing.4 4 NSF's Phase IIB supplements may be contrasted with DoD's Fast Track initiative which also encourages companies to obtain funds from third-party investors. However, the Fast Track initiative occurs at the front end of the grant for a faster transition from Phase I to Phase II, whereas NSF's Phase IIB supplements occurs at the end of the "regular" Phase II grant to further develop promising awards.
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Table ES-1 shows the total number of NSF SBIR grants annually, as well as the number of each of the three types of SBIR grants: Phase I, Phase II, and Phase IIB. Between 1992 and 2005, the total number of grants fluctuated between 265 and 538 per year, and averaged 354.
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$120,000,000 $100,000,000 $80,000,000 $60,000,000 $40,000,000 $20,000,000 $0 92 93 94 95 96 97 98 99 00 01 02 03 04 05 19 19 19 19 19 19 19 19 20 20 20 20 20 20 Years Phase I Outlays Phase II Outlays Phase IIB Outlays Total Outlays Figure ES-1 Dollar Amounts of NSF SBIR Grants, 1992-2005 (Current $) Source: Based on data provided by the NSF SBIR program.
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NSF pioneered use of the Phase IIB grant, which allows a firm to obtain a supplemental follow-on grant ranging from $50,000 to $500,000 provided the applicant is backed by $2 of third-party funding for every $1 of NSF funding provided. The Phase IIB grant is seen as a tool for promoting commercialization.
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See Table 7.2-1 in Chapter 7, Section 2 for additional survey information on NSF's SBIR program. The underlying distribution of patents and publications reported is skewed, with some companies reporting none and some reporting relatively high numbers.
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Nonetheless, the NRC survey of Phase II projects shows that small firms believe that the NSF's SBIR program helped them to enter commercial markets.
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The NSF SBIR program helps to meet the procurement needs of Federal agencies. The NRC Survey of Phase II Projects found that sales of NSF Phase II-funded technologies go to multiple markets with broad and diversified customer bases.
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The number of Phase II proposals from and grants received by woman-owned businesses from 1995 through 2005 exhibits no clear trend . Finally, the number of Phase IIB grants received by woman-owned businesses annually from 1998 through 2005 show no obvious trend.
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