An Assessment of the SBIR Program (2008) / Chapter Skim
Currently Skimming:
Pages 260-370
The Chapter Skim interface presents what we've algorithmically identified as the most significant single chunk of text within every page in the chapter.
Select key terms on the right to highlight them within pages of the chapter.
From page 260... ...
, 2001 R&D 100 Award for water-soluble composite tooling material, 2000 R&D 100 Award for water-soluble rapid prototyping support material Advanced Ceramics Research (Draft based on interview with Dr. Ranji Vaidyanthan, May 3, 2005, at the Navy Opportunity Forum and publicly available information)
|
From page 261... ...
These two products were a direct result of a NASA Phase I SBIR program entitled "Laser Induced Thermal Micro-cracking for Ductile Regime Grinding of Large Optical Surfaces." While the program did not go on to Phase II the commercial sales generated from the first two products was significant for the growth of the company. The firm also saw market potential in developing products from advanced ceramics.
|
From page 262... ...
ACR reports several outcomes from its participation in the SBIR program. As of 2005, it has received 75 Phase I and 21 Phase II awards.
|
From page 264... ...
A substantial percentage of the company's revenue is derived from the SBIR program. As of Fall 2004, Creare had received a total of 325 Phase I awards, 151 Phase II awards -- more in the history of the program than all but two other firms.1 While its focus is on engineering problem solving rather than the development of commercial products, since its founding it has been New Hampshire's version of Shockley Semiconductor, spawning a dozen spin-off firms employing over 1,500 people in the immediate region, with annual revenues reportedly in excess of $250 million.2 Creare's initial emphasis was on fluid mechanics, thermodynamics, and heat transfer research.
|
From page 266... ...
There was little intention on the part of the agency to use the information "other than just as a report on the shelf." III. Impacts From the earliest stages of its involvement in the SBIR program, Creare has specialized in solving agency initiated problems.
|
From page 268... ...
Improving the Administration of the SBIR Program According to Creare's current staff members, the single most significant determinant of the Phase III potential of a project is the engagement of the author of the technical topic. Kline-Schoder states: "If your goal is to, at the end, have something that transitions (either commercially or to the government)
|
From page 269... ...
What the SBIR program has not solved is the challenge of taking a technology developed under the SBIR program and finding the place within the agency, or the government, that could potentially purchase the technology. Large corporations are no more willing to fund technology development than are government agencies.
|
From page 270... ...
However, from the standpoint of its ongoing success in the SBIR program and in providing corporate consulting services, Creare's most significant differentiating characteristic may be its range of expertise. The scope of the SBIR funded work at Creare is very broad.
|
From page 272... ...
$22.9 in cumulative licensee sales Revenue share from SBIR/STTR grants & contracts: 48% Revenue share from sales, licensing, & retained earnings: 52% Number of Employees: 10 full-time, 9 part-time Issued Patent Portfolio: 23 US, 3 foreign Issued Patents per Employee: 1.4 3 Year Issued Patent Growth: 130% SIC: Primary SIC 8731, Commercial Physical Research 87310300, Natural Resource Research Secondary SIC: 8732, Commercial Nonphysical Research 87320108, Research Services, Except Laboratory Technology Focus: Electrochemical technologies Application Areas: Electronics, edge and surface finishing, industrial coatings, corrosion countermeasures, environmental systems, and emerging areas, e.g., fuel cell catalysis and MEMS manufacturing. Funding Sources: State and Federal government grants & contracts, government sales, commercial sales, licensing fees, reinvestment of retained earnings, and private investment.
|
From page 273... ...
Called the FaradayicTM Process, the UNEDITED PROOFS
|
From page 274... ...
In total, the company has received 47 SBIR grants, 28 of them Phase I, 16 Phase II, and 3 Phase IIB or Phase II enhancements. From NSF, it has received 5 Phase I grants, 4 Phase II grants, and 1 Phase IIB grant.
|
From page 275... ...
4 $1,986,000 SBIR Phase II* 12 $6,624,315 16 $8,610,315 SBIR Phase 1 $350,000 SBIR Phase 2 $749,900 3 $1,099,900 IIB/Enhancements IIB/Enhancements STTR Phase I 2 $200,000 STTR Phase I 0 $0 2 $200,000 STTR Phase II 1 $532,000 STTR Phase II 0 $0 1 $532,000 0 $0 STTR Phase 0 $0 0 STTR Phase IIB/Enhancements IIB/Enhancements Totals 13 $3,538,000 37 $9,249,215 50 $12,787,215 *
|
From page 276... ...
This allows Faraday to see how other companies have claimed around Faraday's patents, and gives Faraday background knowledge about potential customers in different areas of interest. Patents and the fees they generate are the central focus of Faraday's business strategy.
|
From page 277... ...
"It is not a tidy path; it is a cumulative process." Views on the SBIR Program and Processes Dr. Taylor made a number of observations about the SBIR program and its processes that may serve to improve the program.
|
From page 278... ...
We often use consultants and professors to do the same work and allocate these costs to professional services." He also questioned why the DOD SBIR forms allow you to charge fees and to pay royalties, but the other programs he is familiar with do not have these features. Noting that it is the financial side that is the most daunting to technical people, he urged the SBIR program to give more attention to education on financial issues.
|
From page 279... ...
In his words: "NSF seems more supportive of manufacturing-type innovations. …NSF seems to actively appreciate the importance of innovating in manufacturing." He contrasted this interest with a lack of interest in manufacturing on the part of most other SBIR programs.
|
From page 280... ...
Summary This case study shows how SBIR grants enabled a start-up company in Ohio, Faraday Technology, Inc., to develop an underlying electrochemical technology platform and, through continuing innovation, to leverage it into multiple lines of business. The company's main focus is on developing cleaner, faster, more precise, and more costeffective processes to add to or remove target materials from many different kinds of media, ranging from metal coatings to fabricated parts, to electronic components, to contaminants in soil.
|
From page 281... ...
Economists studying the rationale for government support of scientific and technical research have identified the licensing of technology as one of the factors conducive to generating higher than average spillover benefits. Finally, this case compares and contrasts aspects of different agency SBIR programs.
|
From page 282... ...
4% Revenue share from sales, licensing, & retained earnings: 96% Number of Employees: 141 Patent Portfolio: Over 550 issued or pending patents, US and foreign SIC: Primary SIC: 3577, Computer Peripheral Equipment 35779907, Manufacture Input/output Equipment, Computer Secondary SIC: 7374, Data Processing and Preparation 73740000, Data Processing and Preparation, Computer Technology Focus: Touch-feedback technologies Application Areas: Computer peripherals, medical training systems, video and arcade games, touch-screens, automotive controls, 3-D modeling, and other Funding Sources: Licensing fees, product sales, contracts, stock issue, commercial loans, federal government grants, and reinvestment of retained earnings Number of SBIR grants: From NSF: 10 (4 Phase I, 3 Phase II, and 3 Phase IIB) From other agencies: 33 (20 Phase I and 13 Phase II)
|
From page 284... ...
All totaled, Immersion and its acquired companies have received 24 Phase I SBIR grants and 19 Phase II (including 3 Phase IIB) grants, summing to approximately $10.6 million.
|
From page 285... ...
3 $1.3M SBIR Phase II* 13 $6.6M 16 $7.9M SBIR Phase 3 $850K SBIR Phase 0 0 3 $850K IIB/Enhancements IIB/Enhancements STTR Phase I 0 0 STTR Phase I 3 ~$200K 3 ~$200K STTR Phase II 0 0 STTR Phase II 2 $1.25M 2 $1.25M STTR Phase 0 0 STTR Phase 0 0 0 IIB/Enhancements IIB/Enhancements Totals 10 $2.55M 38 $9.45M 48 $12M *
|
From page 286... ...
Ullrich thought it was clear that there is "a difference in intent" among the various SBIR programs. In particular, DOD is focused on solutions to well-specified problems, while NSF and NIH are more interested in basic technology development that has commercial potential.
|
From page 287... ...
Currently, the company is participating in the Foresight Commercialization Assistance Program for the first time and is "seeing if it will help." Summary This case study describes how SBIR grants helped a young company develop a large intellectual property portfolio centered on adding the sense of touch to diverse computer applications, and how the company grew the business over its first decade to approximately 141 employees and $24 million in annual revenue. It illustrates how government funding can be used by a university spin-off to leverage funding from private sources to achieve faster growth, eventually essentially eliminating the need for UNEDITED PROOFS
|
From page 288... ...
Immersion's technology was inspired by a NASA system, but its growth centers on its embodiment in consumer products. The case provides a number of suggestions for improving the SBIR program.
|
From page 289... ...
; attractants and monitoring traps; pheromone synthesis and analysis; pheromone delivery and dispensing systems; pest management information systems; automated insect identification and field actuation devices; contract entomological R&D; insect rearing and bio-assays Funding Sources: Product sales domestic and foreign, contracts, Federal government grants, and a small amount of licensing revenue Number of SBIR Grants: From NSF: 1 Phase I, 1 Phase II, and 1 Phase IIB From other agencies: 6 Phase I and 3 Phase II The Company ISCA was founded in 1996 by Dr. Agenor Mafra-Neto, an entomologist performing basic research at the University of California-Riverside on pheromones, chemical substances produced by, in this case, insects that stimulate behavioral responses in other insects of the same species.
|
From page 290... ...
It was with the help of an SBIR grant that he was able to restructure and reshape the company to provide more advanced product lines targeted at new domestic and foreign markets. From its new start, the company has grown to 12 employees and annual revenue of $2 million.
|
From page 291... ...
Mafra-Neto, the SBIR program was essential to survival of the company after it hit a major financial setback in its third year of operation. He learned about the SBIR program by reviewing U.S.
|
From page 292... ...
1 $499,700 SBIR Phase II* 3 $1,756,000 4 $2,255,700 SBIR Phase SBIR Phase IIB/Enhancements 1 $250,000 IIB/Enhancements 0 0 1 $250,000 STTR Phase I 0 0 STTR Phase I 0 0 0 0 STTR Phase II 0 0 STTR Phase II 0 0 0 0 STTR Phase STTR Phase IIB/Enhancements 0 0 IIB/Enhancements 0 0 0 0 Totals 3 $849,700 9 $2,316,000 12 $3,165,700 *
|
From page 293... ...
He pointed to an approach used by the Army's SBIR program as an example of a workable bridge. Re-submittal of Phase II Proposals and Appeal of Funding Decisions ISCA interviewees were of the opinion that NIH allows submittal of Phase II proposals up to three times, while NSF allows only a single submittal.
|
From page 294... ...
In the case of ISCA's approach to show matching funds needed to obtain an NSF Phase IIB SBIR grant, he said the company used ATP funding, and, alternatively, could have used sales revenue. However, had the company been without existing sales and without an ATP grant, he thought that it would have been too early for his company to have attempted to obtain venture capital funding, making it very difficult to meet the Phase IIB requirement.
|
From page 295... ...
40% Number of Employees: 35 Technology Focus: Statistically based automated machine language translation Application Areas: Language translation of documents, newscasts, and other source materials for defense and commercial purposes. Application languages include Arabic, Farsi, Somali, Hindi, Chinese, French, and Spanish Funding Sources: Federal government grants, venture capital, and licensing revenue Number of SBIR grants: o From NSF: 3 o From other agencies: 1 The Company Like a newly born gazelle, Language Weaver found its legs early.
|
From page 296... ...
In contrast, Language Weaver's statistical learning approach to machine translation is designed to learn the appropriate linguistic context for distinguishing and handling words with multiple meanings. This is the kind of problem that confounds rule-based systems because it is impossible to capture all the necessary cases in rules.
|
From page 297... ...
Wong, describing Language Weaver's approach. What about languages for which there is not much of an existing corpus of digital translations available?
|
From page 298... ...
Daniel Marcu, were professors at the University of Southern California's Information Sciences Institute, when they saw business potential in a new approach to machine language translation they had brought to a research prototype stage.12 This awareness came right at the time the internet bubble was about to burst, but at a time everyone was still excited about technology, allowing the professors to get their foot in the door with venture capitalists. But they couldn't get funding -- perhaps because the venture capitalists were just then realizing that conditions were about to take an unfavorable turn.
|
From page 299... ...
1 $500,000 SBIR Phase II* SBIR Phase 1 $500,000 SBIR Phase IIB/Enhancements IIB/Enhancements STTR Phase I *
|
From page 300... ...
We stayed away from people who didn't see the future of the technology, and just seemed out to get majority ownership. To develop a beneficial relationship with venture capitalists, you need to be in that phase when you are moving towards having customers, but need to grow more; in this phase venture capital can help and investors can see potential." Language Weaver's technology offers societal benefits in several ways: First, it reportedly provides a significantly higher rate of accuracy in translation than counterpart rule-based machine translations, providing customers more value.
|
From page 301... ...
Views about the SBIR Program and its Processes Because NSF SBIR grants make up most of Language Weaver's funding received through the SBIR program, Mr. Wong's views on the SBIR program which follow mainly reflect NSF's program.
|
From page 302... ...
Another point Mr. Wong made about the advantages of NSF's flexibility was that the NSF allowed Language Weaver to go at an accelerated pace and finish early -- without having to turn back money.
|
From page 303... ...
From its founding in 2002, Language Weaver has moved from being almost entirely dependent on government grants to receiving the majority of its revenue from licensing fees. The case illustrates the speed capabilities of a software company as well as the speed imperatives that often characterize this field.
|
From page 304... ...
ft. of state-of-the-art laboratories Funding Sources: Engineering consulting fees, commercial sales, government sales, licensing fees, Federal government grants & contract R&D, and private investment of owners Patent Position: More than a dozen patents granted Number of SBIR grants: 31 From NSF: 4 From other agencies: 27 The Company MER (Materials and Electrochemical Research)
|
From page 305... ...
Today, roughly 60% of the company's funding comes from government sources -mainly from SBIR grants. The remaining approximately 40% comes from engineering services and product sales.
|
From page 306... ...
Turning to the firm's experience with NSF's SBIR program, Dr. Storm noted that an ongoing NSF project is "running good…with sensible management from NSF." He then identified the following problems with NSF's SBIR program: Impression that NSF's Proposal Review Process Relies Excessively on University Reviewers who Lack Business Savvy Based on the firm's experience in applying to an NSF solicitation for which prominent goals were international competitiveness and cost effectiveness, the firm concluded that a UNEDITED PROOFS
|
From page 307... ...
If it is true, it would be very helpful to companies if this policy could be made explicit and public, so that companies would better know how to interface with the NSF SBIR program. The company would accept an NSF decision to limit its grants per company, but it needs to know what the policy is.
|
From page 308... ...
Today, roughly 60% of the company's funding comes from government sources, and the remaining from engineering services and product sales. The case draws on the experience of the company to identify potential problems with the SBIR program UNEDITED PROOFS
|
From page 309... ...
25% Revenue share from sale of product and contract research: approx. 75% Number of Employees: 22 SIC: Primary SIC: 3823 Industrial Instruments for Measurement, Display, and Control of Process Variables, and Related Products Secondary SICs: 3625 Relays and Industrial Controls 3679 Electronic Components, not elsewhere classified 3812 Search, Detection, Navigation, Guidance, Aeronautical, and Nautical Systems and Instruments 3823 8711 Engineering Services Technology Focus: Wireless sensors and sensor networks for monitoring strain, loads, temperature, and orientation Application Areas: Condition-based maintenance; smart machines, smart structures, and smart materials; vibration and acoustic noise testing; sports performance and sports medicine analysis; security systems; assembly line testing Funding Sources: Product sales, contract research, and federal government grants Number of SBIR Grants: From NSF: 3 Phase I, 3 Phase II, and 3 Phase IIB From other agencies: 6 Phase I, 2 Phase II, 1 Phase III 15 The following informational sources informed the case study: interview with Mr.
|
From page 310... ...
Often, a given stimulus may be UNEDITED PROOFS
|
From page 311... ...
The Bell has a hairline fracture that extends from its famous larger crack, making the Bell quite frail. MicroStrain applied its wireless sensors developed as part of an NSF SBIR grant to detect motion in the crack and fracture as small as 1/100th the width of a human hair.
|
From page 312... ...
Arms, he found the NSF SBIR program with its "more open topics" particularly helpful in the early stages when the company was building capacity. "The open topics allowed the company to pursue the technical development that best fit its know-how," he explained.
|
From page 313... ...
3 $1,198,800 SBIR Phase II* 2 $1,349,100 5 $2,547,900 SBIR Phase 3 $346,900 SBIR Phase III 1 $63,000 4 $409,900 IIB/Enhancements STTR Phase I 0 0 STTR Phase I 0 0 0 STTR Phase II 0 0 STTR Phase II 0 0 0 STTR Phase 0 0 STTR Phase 0 0 0 IIB/Enhancements IIB/Enhancements Totals 9 $1,770,500 9 $1,857,900 18 $3,628,400 *
|
From page 314... ...
Views on the SBIR Program and its Processes Mr. Arms made the following several observations about the SBIR program and its processes, some of which focused on the NSF program, some on the Navy program.
|
From page 315... ...
Summary This case shows a still-small company that has emphasized product sales since its inception in 1985. It has leveraged $40,500 of Vermont's EPSCoR "Phase O" grants to obtain $3.6 million in Federal SBIR grants.
|
From page 316... ...
Its sensors have been used to protect the Liberty Bell during a move and to determine the need for major retrofit of a bridge linking Philadelphia and Camden. Current development projects include power-harvesting wireless sensors for use aboard Navy ships, and damagetracking wireless sensors for use on Navy aircraft.
|
From page 317... ...
NRT applied first to DOE's SBIR program for funding, because of the energy implications of municipal waste recycling. After being granted a Phase II DOE SBIR grant, Dr.
|
From page 318... ...
Sommer, having a close fit with EPA's mission made it more likely to receive SBIR grants.
|
From page 319... ...
We couldn't have done the necessary technical development and achieved the internal intellectual growth." The SBIR program was critical, he explained, both in developing NRT's initial technology, and in responding to market forces to develop new technologies after a Supreme Court decision caused many municipal solid waste sorting plants to close and the growth potential of the initial waste recycling technology to decline. "SBIR saved our bacon," said Dr.
|
From page 320... ...
As time passed and the growth potential of the plastics recycling business flattened, Dr. Sommer said that he turned to NSF's SBIR program to develop new lines of technology.
|
From page 321... ...
At least eight products are on the market derived from DOE and EPA SBIR-funded research, including, for example, the following: NRT VinylCycle® system – an grant winning sorting system for separating PVC from a mixed stream of plastic bottles introduced in 1991 NRT MultiSort®IR System – an advanced plastic bottle sorting system for separating specific polymers from a mixed stream of materials NRT PreburnTM Mixed Waste Recycling System – a facility with integrated technologies to provide a system for achieving maximum material recovery from waste streams otherwise slated for landfill Products funded by the NSF SBIR program are still in the development stage. The metal alloy sorting technology under development with NRT's commercialization partner wTe Corporation is planned to be used by the Spectramet LLC spin-off, jointly owned by NRT and wTe Corp, for processing of metals as opposed to the technology being made available as a commercial equipment product.
|
From page 322... ...
NSF Program Managers In speaking of NSF program managers, Dr. Sommer praised those with whom he had direct experience as "extremely dedicated." Grant Size When asked if he thought the size of SBIR grants should be increased, possibly in tradeoff to a decrease in the number of grants, Dr.
|
From page 323... ...
According to Dr. Sommer, he earlier resisted participating in the commercialization assistance programs sponsored by SBIR programs, and dropped out of a program that he had begun.
|
From page 324... ...
In its second decade, it used SBIR grants to leverage its existing technological base in a directional change that offers potential for future robust growth. The NSF SBIR grant solicitation with its broad topic areas and emphasis on commercialization fits particularly well the company's business strategy of first identifying a potential market opportunity, developing a research plan to bring a product/process to the prototype stage, and then looking for early stage research funding to make it happen.
|
From page 325... ...
ft. Funding Sources: Commercial sales, government sales, licensing fees, Federal government grants & contracts, stock issue, private investment, venture capital funding, and reinvestment of retained earnings.
|
From page 326... ...
Initially the company operated out of the founder's home in a Minneapolis suburb, but in the early 1990s after receiving research funding from the SBIR program and from the Advanced Technology Program (ATP) , it found space in a nearby Eden Prairie, MN industrial park.
|
From page 327... ...
During its early days, the company's founder credited government R&D funding with preventing the company from failing and improving its ability to attract capital from other sources. More recently, NVE's vice president called the SBIR program "the mother of invention." The company currently derives approximately half of its funding from government funding, including SBIRs and BAAs (Broad Area Announcements that Federal agencies may use to solicit contract work)
|
From page 328... ...
9 3,540 SBIR Phase II* 34 22,428 43 25,968 SBIR Phase 2 582 SBIR Phase 2 488 4 1,070 IIB/Enhancements IIB/Enhancements STTR Phase I 1 100 STTR Phase I 1 70 2 170 STTR Phase II 0 0 STTR Phase II 2 1,120 2 1,120 STTR Phase 0 0 STTR Phase 0 0 0 0 IIB/Enhancements IIB/Enhancements Totals 31 5,709 90 28,618 121 34,327 *
|
From page 329... ...
At the interviewer's request, the three NVE officials shifted their focus to NSF's SBIR program, beginning with a positive comment and then turning to areas for potential improvement: Praise for NSF Portfolio Mangers NVE officials emphasized the high quality of NSF's program managers. They identified several of the program managers by name, calling them as a group "a class act." Concern about an Unofficial Limit on Number of Grants to a Firm The NVE team voiced concern that NSF (NIST was also mentioned)
|
From page 330... ...
"On-site visits would be good." At the same time, they noted that the annual SBIR/STTR Phase II meeting provides them the opportunity to discuss their projects with the NSF program managers. Summary This case study shows how a company, which traces its origins to a large company, used SBIR and other federal grants to help launch the company, to keep it from failing, and to improve its ability to attract capital from other sources.
|
From page 332... ...
program. As the breadth of its technical competencies kept pace with rapidly changing advances in laser and optics technology, and as it become more actively involved in the SBIR program, it was able to expand its range of technological expertise as well as of Federal governmental and private sector customers.
|
From page 333... ...
Shaping this business decision is the firm's view that the "cultures" and operational needs of contract R&D and manufacturing firms differ sufficiently that it is more efficient to operate them as separate entities rather than attempt to combine them into one larger firm. Conversely, wholly owned subsidiaries, which are focused on UNEDITED PROOFS
|
From page 334... ...
The SBIR program however is credited by the firm for contributing significantly to growth and diversification since then. As stated in its corporate material.
|
From page 335... ...
It is concerned that the increasing emphasis being placed on and within SBIR towards commercialization will cause it to "die by incrementalism." Commercialization is conventionally measured by sales, at times with the implication that only those to the private sector "count." In the view of the firm, this narrowing of the objectives of the SBIR program omits or obscures the contributions that the "application" of the outputs of specific SBIR projects can make to the mission requirements of DoD. As stated by PSI representatives, a root cause of this problem is the failure at times to recognize that the legislative intent of SBIR is both to meet the mission-oriented needs of the sponsoring agencies and to produce commercial spin-off, wherever possible.
|
From page 336... ...
The Test is designed to fill an urgent need for an objective measure of how a patient's cognitive brain functioning is affected by a UNEDITED PROOFS
|
From page 337... ...
The eight most senior staff members have been with SAM an average of 11 years. Collaborations with scientists and doctors at universities, medical schools, and government labs are used to leverage internal research efforts, and SAM has made distribution agreements with medical device companies which account for most product sales.
|
From page 338... ...
Nicolet has purchased approximately 100 systems from SAM to date, from which they have generated about $2,000,000 in revenues. A number of competing products worldwide have been modeled on Image VueTM Figure D-1 MANSCAN® MANSCAN® evolved from basic research completed under prior NIH R01s, which with the aid of SBIR awards has been turned into robust algorithms embodied in a convenient, integrated system to enable research on human brain function that would not otherwise be commercially available.
|
From page 339... ...
He also notes that academic reviewers are not themselves unbiased, in that they tend to focus on whether outputs from the project in UNEDITED PROOFS
|
From page 340... ...
Gevins pointed out that this risk is endemic to the funding process – and that venture capitalists never sign NDA's, so there are also risks involved in working with venture capitalists)
|
From page 342... ...
Dr. Gevins wondered what role SBIR program managers or liaisons play at the various institutes.
|
From page 343... ...
343 PREPUBLICATION COPY Table D-9 SBIR Awards to SAM Technologies 1 NIH 1988 R44-RR03553 Removal of Distortion from Magnetic Resonance Images 2 NIMH 1989 R44-MH42725 Active Electrode Hat for EEG Imaging of Schizophrenics 3 AFOSR 1989 F49620-89-C- Software Tools for Signal Identification using 0049 Neural Networks 4 AFRL 1989 F33615-89-C- Flight Helmet EEG System 0605 5 NIMH 1991 R44-MH43075 EEG ArtifactDetection 6 AFOSR 1991 F49620-92-C- Physiological Indices of Mental Workload 0013 7 NINDS 1992 R44-NS27392 Neurofunctional Research Workstation 8 NIAAA 1993 R44-AA08680 Cognitive Performance Assessment for Alcohol Intoxication 9 NIMH 1993 N44-MH30023 128 Channel Automated EEG Recording System 10 NINDS 1994 R44-NS28623 Multimodality Workstation for Seizure Localization 11 NINDS 1995 R44-NS32241 Functional Brain Imaging of Unconstrained Subjects 12 NASA 1995 NAS9-19333 Spacecrew Testing and Recording System 13 AFRL 1995 F41624-95-C- Decontamination of Physiological Signals of Mental 6000 Effort 14 NIMH 1996 N44-MH60027 Neurocognitive Experiment Authoring Tool 15 NIAAA 1997 R44-AA11702 Attention & Alertness Neurometer 16 NINDS 1998 N44-NS-0-2394 Assessment of Alertness in Patients with Sleep Disorders 17 AFOSR 1998 F49620-98-C- Sustained Attention Meter for Monitoring Cognitive 0049 Load 18 AFOSR 1998 F49620-96-C- Brain Automatization Monitor 0021 19 AFOSR 1998 F41624-98-C- Operator State Classifier Developer's Toolkit 6007 20 AFRL 1998 F41624-97-C- Rapid Application Cutaneous Electrode (RACE) 6030 System 21 AFRL 1999 F41624-99-C- An Ambulatory Neurophysiological Monitoring 6007 System 22 NIMH 2001 R44-MH60053 NeuroCognitive Assessment Meter For Psychiatric Drugs 23 NIDA 2001 R44-DA12840 Neurocognitive Index of Cannabis Effects 24 NIA 2002 R44- AG17397 Neurocognitive Assessment of the Elderly 25 NICHD 2002 R44- HD37728 26 NINDS 2003 R44- NS42992 27 DARPA 2003 DAAH01-03-C- Multicompartment Neuroworkload Monitor R292 28 NHLBI 2004 R44- HL065265 29 ONR 2004 N00014-04-C- Multitasking Personnel Selection Test 0431 UNEDITED PROOFS
|
From page 344... ...
Soon after however, following the death of TI's chief executive office, Savi's place within TI became unclear. In 1997, TI sold Savi to Raytheon, which was in the process of acquiring several firms as part of a UNEDITED PROOFS
|
From page 345... ...
Experiences under SBIR The SBIR program provided 2 key inputs into Savi's long-term growth. First, a combination of DARPA and Navy SBIR awards to the firm in 1989 and 1990 provided it with the seed capital that enabled it to refine the initial technological concept of radio frequency identification tags, such that it performed as needed when its initial market opportunity surfaced during the First Gulf War.
|
From page 346... ...
Accordingly, its assessments of the SBIR program and recommendations for its improvement relate more to the general place of the program within the U.S. national innovation system than to its specific programmatic details.
|
From page 347... ...
For these reasons the company continues to rely on SBIR funding to provide the necessary development support to create new products and expand its range of services. While SBIR grants remain an important revenue stream for many small companies in the program, Sociometrics' involvement has distinguished itself with: a)
|
From page 348... ...
The company does not develop patentable products. Primary Outcomes • Four major product lines, with a fifth under development; • Consistent profitability from inception; • Industry standard for topically-focused social science data and program archives; • Distribution agreement for data products with world-leading provider of authoritative reference information solutions; • CDC adoption of program archive products for nationwide distribution; • Product line with social impact: effective program replication kits have changed the way behavioral practitioners operate in community settings; and • More than 60 peer-reviewed publications based on SBIR-funded projects Key SBIR Issues Sociometrics has found the SBIR program a very productive platform for its work.
|
From page 349... ...
Sociometrics' goals are: • to conduct applied behavioral and social research to further our understanding of contemporary health and social problems; • to promote evidence-based policymaking and intervention program development; • to conduct evaluation research to assess the effectiveness of health-related prevention and treatment programs; • to facilitate data sharing among social scientists as well as public access to exemplary behavioral and social data; and • to help non-experts utilize and benefit from social science and related technologies and tools. In carrying out its mission, several areas of corporate expertise have been developed: • the design and operation of machine-readable, topically-focused data archives; • the development of powerful, yet user-friendly, software for search and retrieval of information in health and social science databases; • the harnessing of state-of-the-art developments in computer hardware and software to facilitate access to, and use of, the best data in a given research area; • primary and secondary analysis of computer data bases using a variety of commercially available statistical packages as well as custom-designed software; • the design, execution, and analysis of program evaluations; • the design, execution, and analysis of health and social surveys; • the collection and analysis of social and psychological data using a variety of modes (mail; telephone; focus groups; in-person interviews)
|
From page 350... ...
by the California State Senate, the California State Assembly, and the Palo Alto Council of PTAs "in appreciation for service supporting Palo Alto Unified School District's teachers and staff". Products Sociometrics currently provides four research-based product lines: • data archives and analysis tools; • replication kits for effective social and behavioral intervention programs; • evaluation research; and • training and technical assistance services.
|
From page 351... ...
. Box A: The Sociometrics Data Archives: Topical Foci and Scope • AIDS/STD 19 Studies comprising 30 datasets with over 18,000 variables • ADOLESCENT PREGNANCY & PREGNANCY PREVENTION 156 Studies comprising 260 datasets with over 60,000 variables • AGING 3 Studies comprising 22 datasets with over 19,000 variables • AMERICAN FAMILY 20 Studies comprising 122 datasets with over 70,000 variables • CHILD WELL-BEING and POVERTY 11 Studies comprising 35 datasets with over 20,000 variables • COMPLEMENTARY AND ALTERNATIVE MEDICINE 8 Studies comprising 17 datasets with over 10,000 variables • CONTEXTUAL DATA ARCHIVE 13 datasets compiled from over 29 sources with over 20,000 variables • DISABILITY 19 Studies comprising 40 datasets with over 23,000 variables • MATERNAL DRUG ABUSE 7 Studies comprising 13 datasets with over 5,000 variables Sociometrics' first data archive on adolescent pregnancy and pregnancy prevention was funded as part of the very first cohort of SBIR awards at NIH.
|
From page 352... ...
Like the Sociometrics Data Archives, the Sociometrics replication kits (known collectively as the Sociometrics Program Archives) are topically-focused, best-of-class UNEDITED PROOFS
|
From page 353... ...
In this manner Sociometrics Program Archives have complemented the larger CDC efforts, just as the Sociometrics Data Archives have complemented the larger University of Michigan efforts. Longer term challenges and opportunities.
|
From page 354... ...
While most of the company's work developing its data and program archives has been funded by the SBIR program, Sociometrics' evaluation work has been funded primarily by state governments (such as California, Minnesota, and Wisconsin) , local governments (such as Santa Clara County)
|
From page 355... ...
Its data archives, collectively known as The Social Science Electronic Data Library (SSEDL) , are also available via institutional subscriptions marketed to universities and research libraries by Sociometrics' dissemination partner Thomson Gale.
|
From page 356... ...
In the last three fiscal years the contribution to profit of the various product lines was as follows: data archives, 18%; program archives, 67%; evaluation and training, 15%. The distribution agreement entered into with Thomson Gale to market institutional subscriptions to the Social Science Electronic Data Library (SSEDL)
|
From page 357... ...
, private companies, non-profit organizations, state and local governments, and private foundations. Sociometrics has never sought venture capital funding because its profits, while impressive for a behavioral and social science firm, are not large enough to make the company sustainable without SBIR funding, a requirement for venture capital funding.
|
From page 358... ...
Examples include: • Teen pregnancy prevention program replication kits. Originally funded by NICHD, Sociometrics sought a third year of Phase II support through a supplement to expand the scope of the Program Archive on Sexuality, Health & Adolescence (PASHA)
|
From page 359... ...
Recommendations Sociometrics believes that the SBIR program provides an essential resource for generating innovative and effective research-based products in efficient fashion. In response to questions about its support for various issues and trends in the program, Sociometrics makes the following recommendations: • Normalization of scores.
|
From page 361... ...
361 PREPUBLICATION COPY Annex A: Sociometrics' SBIR Awards, NIH-Sponsored Phase I Projects Started in FY 1992-2002 Phase FY Type Award Project Title IC 1994 Phase I $80,991 AMERICAN FAMILY DATA CENTER HD 1995 Phase II $216,369 AMERICAN FAMILY DATA CENTER HD 1996 Phase II $222,496 AMERICAN FAMILY DATA CENTER HD 1998 Phase II $114,998 AMERICAN FAMILY DATA CENTER HD 1997 Phase I $99,817 ARCHIVE -- EFFECTIVE YOUTH DRUG ABUSE PREVENTION PROGRAMS DA 1998 Phase II $343,632 ARCHIVE -- EFFECTIVE YOUTH DRUG ABUSE PREVENTION PROGRAMS DA 1999 Phase II $396,232 ARCHIVE -- EFFECTIVE YOUTH DRUG ABUSE PREVENTION PROGRAMS DA 2001 Phase II $24,999 ARCHIVE -- EFFECTIVE YOUTH DRUG ABUSE PREVENTION PROGRAMS DA 1999 Phase I $95,825 CHILD WELL-BEING & POVERTY: STATISTICAL ABSTRACT & DATA HD 2001 Phase II $377,391 CHILD WELL-BEING & POVERTY: STATISTICAL ABSTRACT & DATA HD 2002 Phase II $371,768 CHILD WELL-BEING & POVERTY: STATISTICAL ABSTRACT & DATA HD 1999 Phase I $94,833 COMPLEMENTARY AND ALTERNATIVE MEDICINE DATA ARCHIVE AT 2002 Phase II $375,345 COMPLEMENTARY AND ALTERNATIVE MEDICINE DATA ARCHIVE AT 2003 Phase II $374,587 COMPLEMENTARY AND ALTERNATIVE MEDICINE DATA ARCHIVE AT 2004 Phase II $215,070 COMPLEMENTARY AND ALTERNATIVE MEDICINE DATA ARCHIVE AT 2005 Phase II $258,084 COMPLEMENTARY AND ALTERNATIVE MEDICINE DATA ARCHIVE AT 1992 Phase II $162,492 DATA ARCHIVE ON MATERNAL DRUG ABUSE DA 1993 Phase II $174,720 DATA ARCHIVE ON MATERNAL DRUG ABUSE DA 1993 Phase II $18,336 DATA ARCHIVE ON MATERNAL DRUG ABUSE DA DATASET DEVELOPMENT SOFTWARE & FAMILY RESEARCH ITEM 1997 Phase I $99,834 BANK HD DATASET DEVELOPMENT SOFTWARE & FAMILY RESEARCH ITEM BANK 1998 Phase II $382,614 HD DATASET DEVELOPMENT SOFTWARE & FAMILY RESEARCH ITEM 1999 Phase II $356,870 BANK HD 1995 Phase I $70,770 ESTABLISHING A CONTEXTUAL DATA ARCHIVE HD 1996 Phase II $338,926 ESTABLISHING A CONTEXTUAL DATA ARCHIVE HD 1997 Phase II $409,298 ESTABLISHING A CONTEXTUAL DATA ARCHIVE HD 1993 Phase I $49,975 ESTABLISHMENT OF A RESEARCH ARCHIVE ON DISABILITY HD 1994 Phase II $236,145 ESTABLISHMENT OF A RESEARCH ARCHIVE ON DISABILITY HD 1995 Phase II $230,731 ESTABLISHMENT OF A RESEARCH ARCHIVE ON DISABILITY HD 1996 Phase II $31,288 ESTABLISHMENT OF A RESEARCH ARCHIVE ON DISABILITY HD 1997 Phase II $149,709 ESTABLISHMENT OF A RESEARCH ARCHIVE ON DISABILITY HD 1992 Phase II $220,955 ESTABLISHMENT OF AN AIDS/STD DATA ARCHIVE HD 1993 Phase II $236,301 ESTABLISHMENT OF AN AIDS/STD DATA ARCHIVE HD 1994 Phase II $42,070 ESTABLISHMENT OF AN AIDS/STD DATA ARCHIVE HD UNEDITED PROOFS
|
From page 362... ...
1993 Phase I $50,000 ARCHIVE OF TEEN PREGNANCY PREVENTION PROGRAMS HD 1995 Phase II $408,644 PROGRAM ARCHIVE ON SEXUALITY, HEALTH, & ADOLESCENCE HD 1996 Phase II $987,378 PROGRAM ARCHIVE ON SEXUALITY, HEALTH, & ADOLESCENCE HD 1997 Phase II $45,000 PROGRAM ARCHIVE ON SEXUALITY, HEALTH, & ADOLESCENCE OPA 1994 Phase I $79,383 ESTABLISHING A STROKE DATA ARCHIVE NS PROMOTING CULTURALLY COMPETENT/EFFECTIVE HIV/AIDS 2002 Phase I $199,922 PREVENTION PROGRAMS AI PROMOTING CULTURALLY COMPETENT/EFFECTIVE HIV/AIDS 2004 Phase II $361,223 PREVENTION PROGRAMS AI UNEDITED PROOFS
|
From page 363... ...
2000. "Evaluation of the Department of Defense Small Business Innovation Research Program and the Fast Track Initiative: A Balanced Approach." In National Research Council.
|
From page 364... ...
1998. "DoD SBIR/STTR Program Manager." Comments at the Methodology Workshop on the Assessment of Current SBIR Program Initiatives, Washington, D.C., October.
|
From page 365... ...
2000. The Small Business Innovation Research Program, An Assessment of the Department of Defense Fast Track Initiative.
|
From page 366... ...
A., 1995. "Optimal investment, monitoring, and the staging of venture capital." Journal of Finance 50:1461–1489.
|
From page 367... ...
2003. Presentation at National Research Council Symposium, "The Small Business Innovation Research Program: Identifying Best Practice." Washington, D.C.
|
From page 368... ...
1998. "Does Venture Capital Spur Innovation?
|
From page 369... ...
1999. "The government as venture capitalist: The long-run effects of the SBIR program." Journal of Business 72(3)
|
From page 370... ...
1983. A Study of the Small Business Innovation Research Program.
|
Key Terms
This material may be derived from roughly machine-read images, and so is provided only to facilitate research.
More
information on Chapter Skim is available.