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7 Impact of the SBA Ruling on the NIH SBIR Program
Pages 61-68

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From page 61...
... They constitute 11.9 percent of all the 1,536 NIH Phase II winners 1992-2002 reported by SBA.3 • Altogether, using our criteria, a minimum of 4.1 percent (63 firms) of participating firms have been excluded because of the SBA ruling; a further 4.5 percent (69 firms)
From page 62...
... • Not all firms receiving venture funding are excluded as a result of the ruling: Current levels of venture funding for 3.2 percent of all Phase II recipients were insufficient meet the proxy indicators developed for this study that reflected breach of the SBA eligibility rules. • In short, between 4.1 percent and 11.9 percent of firms that won SBIR Phase II awards from NIH between 1992 and 2002 are excluded from the program as a result of the SBA ruling.4 4 See Table 3-4
From page 63...
... • Of the top 200 Phase II winners at NIH, 43 (21.5 percent) received sufficient VC funding or VC rounds of funding to meet the criteria for VC control and are therefore excludable from the NIH SBIR program under the SBA ruling.
From page 64...
... • NRC surveyed firms and principal investigators who applied for NIH funding during the period leading up to the 2002 SBA ruling, but who have not since applied for NIH SBIR funding.11 • NIH identified 3,913 such non-participant firms, of which 2,051 had valid email addresses. The NRC survey sent to these addresses yielded 386 re sponses, or an 18.5 percent response rate.
From page 65...
... 7.2 RECOMMENDATIONS A Based on the Committee's analysis of the impact of restricting venture funding on the NIH SBIR program, and its experience in the larger evaluation of the SBIR program at five agencies, the Committee recommends that consideration should be given either to restoring the de facto status quo ante eligibility requirements for participation in the SBIR program or to making some other adjustment that will permit the limited number of majority venture-funded firms with significant commercial potential to compete for SBIR funding.15 12 See Table 5-2.
From page 66...
... For an analytical discussion of the halo effect, see Maryann Feldman and Maryellen Kelley, "Leveraging Research and Development: The Impact of the Advanced Technology Program," in National Research Council, The Adanced Technology Program: Assessing Outcomes, Charles W Wessner, ed., Washington, DC: National Academy Press, 2001.
From page 67...
... • Ongoing assessment of this and other issues would be beneficial to program management. The National Research Council's recent assessment of the operation of SBIR at the five agencies accounting for most of the program calls for regular internal and external evaluation of SBIR to assess and reinforce or change, as necessary, agency practices and experimentation.21 D


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