SBIR/STTR at the National Institutes of Health (2015) / Chapter Skim
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1 Introduction
1 Introduction
Pages 9-28
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:303-314, 2013. The authors show that "the 2008 economic crisis severely reduced the short-term willingness of firms to invest in innovation" and also that it "led to a concentration of innovative activities within a small group of fast growing new firms and those firms already highly innovative before the crisis." They conclude that "the companies in pursuit of more explorative strategies towards new product and market developments are those to cope better with the crisis." 3 Small Business Innovation Development Act of 1982, P.L.
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program, created in 1992 by the Small Business Research and Development Enhancement Act of 1992,5 seeks to expand joint venture opportunities for small businesses and nonprofit research institutions. Under the STTR program, a small business receiving an award must collaborate formally with a research institution.
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Under the STTR Program, primary employment is not stipulated, so the PD/PI may be primarily employed by either the small business concern or the collaborating non-profit research institution at the time of award and for the duration of the project period."10 The STTR program also differs from the SBIR program in that it requires that the small business concern formally collaborate with a nonprofit research institution. Research partnerships are permitted under the SBIR program, but the partnering research institution can complete no more than one-third of the Phase I work and no more than one-half of the Phase II work.
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14 report on the SBIR program, a study mandated as a part of the program's 14 Effective July 1, 2015, the institution is called the National Academies of Sciences, Engineering, and Medicine. References in this report to the National Research Council or NRC are used in an historic context identifying programs prior to July 1.
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This introduction provides general context for the analysis of the program developments and transitions described in the remainder of the report. The first section provides an overview of the history of the SBIR/STTR programs across the federal government.
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In addition to the reports on the SBIR program at each agency and a report on the program methodology, the study resulted in a summary of a symposium on program diversity and assessment challenges, a summary of a symposium on the challenges in commercializing SBIR-funded technologies, two reports on special topics, as well as the committee's summary report, An Assess ment of the SBIR Program. In all, 11 study reports were published by the National Academies Press: An Assessment of the Small Business Innovation Research Program: Project Methodology (2004)
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NSF adopted this initiative first, and after a period of analysis and discussion, the Reagan administration supported an expansion of this initiative across the federal government. Congress then passed the Small Business Innovation Research Development Act of 1982, which established the SBIR program.
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The legislation also more strongly emphasized the need for commercialization of SBIR-funded technologies.25 Legislative language explicitly highlighted commercial potential as a criterion for awarding SBIR contracts and grants. At the same time, Congress expanded the SBIR program's purposes to "emphasize the program's goal of increasing private sector commercialization developed through federal research and development and to improve the federal government's dissemination of information concerning the small business innovation, particularly with regard to woman-owned business concerns and by socially and economically disadvantaged small business concerns."26 The Small Business Reauthorization Act of 2000 (P.L.
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The 2011 SBIR/STTR Reauthorization The anticipated 2008 reauthorization was delayed in large part by a disagreement between long-time program participants and their advocates in the small business community and proponents of expanded access for venture-backed firms, particularly in biotechnology where proponents argued that the standard path to commercial success includes venture funding at some point.28 Other i ssues were also difficult to resolve, but the conflict over participation of venturebacked companies dominated the process29 following an administrative decision to exclude these firms more systematically.30 After a much extended discussion, passage of the National Defense Act of December 2011 reauthorized the SBIR/STTR programs through FY2017.31 The new law maintained much of the core structure of both programs but made some 27 The current assessment is congruent with the Government Performance and Results Act (GPRA) of 1993: http://govinfo.library.unt.edu/npr/library/misc/s20.html.
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It is too early in the implementation process to gauge the impact of this change. The reauthorization made changes to the SBIR program that were recommended in prior Academies reports.33 These included the following: • Increased award size limits • Expanded program size • Enhanced agency flexibility -- for example, for Phase I awardees from other agencies to be eligible for Phase II awards or to provide an addi tional Phase II award • Improved incentives for the utilization of SBIR technologies in agency acquisition programs • Explicit requirements for better connecting prime contractors with SBIR awardees34 • Substantial emphasis on developing a more data-driven culture, which has led to several major reforms, including the following: o adding numerous areas of expanded reporting o extending the Academies' evaluation o adding further evaluation, such as by the Government Accountability Office and Comptroller General o tasking the SBA with creating a unified platform for the collection of data from agencies with SBIR/STTR agencies • Expanded management resources (through provisions permitting use of up to 3 percent of program funds for [defined]
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L Rorke, A Study of the Small Business Innovation Research Program, Lake Forest, IL: Mohawk Research Corporation, 1983; and Price Waterhouse, Survey of Small High-tech Businesses Shows Federal SBIR Awards Spurring Job Growth, Commercial Sales, Washington, DC: Small Business High Technology Institute, 1985.
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Case 38 See National Research Council, The Small Business Innovation Research Program: Challenges and Opportunities, Washington, DC: National Academy Press, 1999. 39 National Research Council, An Assessment of the DoD SBIR Fast Track Initiative, 32.
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50 Ibid.,54. 51 National Research Council, An Assessment of the Small Business Innovation Research Program at the National Institutes of Health, 19.
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1540, Sec. 5137, enacted in Public Law 112-81, the National Research Council is to review the Small Business Innovation Research and Small Business Technology Transfer (SBIR/STTR)
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Rather, the work is focused on assessing the extent to which the NIH SBIR/STTR programs have met their congressionally mandated objectives, determining in 52 SeeNational Academies of Sciences, Engineering, and Medicine, Workshop on "Learning from Each Other: U.S. European Perspectives on Small Business Innovation Programs," Washington, DC, March 19, 2015.
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These and other issues were discussed at a workshop 53 These limited objectives are consistent with the methodology developed by the committee. See National Research Council, An Assessment of the Small Business Innovation Research Program: Project Methodology.
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57 National Research Council, An Assessment of the Small Business Innovation Research Program: Project Methodology. 58 The survey carried out as part of this study was administered in 2014, and the survey completed as part of the Academies' first-round assessment of the SBIR program was administered in 2005.
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61 Workshops convened by the committee as part of the overall analysis include NASA Small Business Innovation Research Program Assessment: Second Phase Analysis, January 28, 2010; EarlyStage Capital in the United States: Moving Research Across the Valley of Death and the Role of SBIR, April 16, 2010; Early-Stage Capital for Innovation -- SBIR: Beyond Phase II, January 27, 2011; NASA's SBIR Community: Opportunities and Challenges, June 21, 2011; Innovation, Diversity, and Success in the SBIR/STTR Programs, February 7, 2013; Commercializing University Research: The Role of SBIR and STTR, February 5, 2014; SBIR/STTR & the Role of State Programs, October 7, 2014; The Small Business Technology Transfer Program, May 1, 2015, and the Economics of Entrepreneurship, June 29, 2015. Each of these workshops was held in Washington, DC.
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. The lack of current outcomes data from NIH means that the current survey provides the only available quantitative data on SBIR/STTR outcomes and processes at NIH.
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Appendix C reproduces the 2014 Survey instrument. Appendix D lists the research institutions involved in NIH SBIR/STTR awards.
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