SBIR/STTR at the Department of Energy (2016) / Chapter Skim
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1 Introduction
1 Introduction
Pages 11-34
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2 Created in 1982 through the Small Business Innovation Development Act, 3 the Small Business Innovation Research (SBIR) program remains the nation's largest innovation program for small business.
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8 Each of the research agencies has sought to pursue these goals in administering their SBIR and STTR programs, utilizing the administrative flexibility built into the general program to address their unique mission needs. 9 Agencies with SBIR programs include the Department of Agriculture, 5 Small Business Research and Development Enhancement Act, P.L.
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. By FY 2012, the 11 federal agencies administering the SBIR/STTR programs were disbursing $2.4 billion 10 Manny Oliver, "DOE's Small Business Innovation Research (SBIR)
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; and the Administration for Children and Families (ACF) each operates its own SBIR and STTR programs.
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each operates its own SBIR and STTR programs. SOURCE: Small Business Administration, FY 2012 SBIR/STTR annual report, http://www.sbir.gov, accessed January 4, 2016.
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In addition to published reports on the SBIR program at each agency and on the study methodology, the study resulted in a summary of a symposium focused on the diversity of the program and challenges to its assessment, a summary of a symposium focused on the challenges in commercializing SBIR-funded technologies, two reports on special topics, and the committee's summary report, An Assessment of the SBIR Program. In all, 11 study volumes were published by The National Academies Press:a • An Assessment of the Small Business Innovation Research Program: Project Methodology (2004)
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not had a major influence on the empirically based conclusion that small firms are overrepresented in job creation." See P Davidsson, "Methodological concerns in the estimation of job creation in different firm size classes," Working Paper, Jönköping International Business School, 1996.
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Archibald and D Finifter, "Evaluation of the Department of Defense Small Business Innovation Research program and the Fast Track Initiative: A balanced approach," in National Research Council, The Small Business Innovation Research Program: An Assessment of the Department of Defense Fast Track Initiative, Washington, DC: National Academy Press, 2000, pp.
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28, 1992. 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." 27 Established by the Small Business Technology Transfer Act of 1992 (P.L.
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29 W.H. Schacht, "The Small Business Innovation Research (SBIR)
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These include U.S. Government Accounting Office, Federal Research: Small Business Innovation Research Shows Success But Can Be Strengthened, Washington, DC: U.S.
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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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45 The fact that SBIR/STTR programs are the subject of multiple congressional objectives beyond commercialization only increases the likelihood that private funding sources are not analogous to SBIR and STTR. THE ROUND-ONE STUDY OF SBIR The 2000 SBIR reauthorization mandated that the NRC complete a comprehensive assessment of the SBIR program.
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54. 52 National Research Council, An Assessment of the Small Business Innovation Research Program at the Department of Energy, Washington, DC: The National Academies Press, 2008, p.
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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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Unlike DoD and NASA, SBIR/STTR awards at DoE -- although they may help to generate tools and capabilities for agency use -- have their primary function as supporting technologies that will be adopted outside the 53 See National 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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Instead, the study is concerned with the effective review of each area." 56 Defining Commercialization Among the varied congressional objectives for the SBIR/STTR programs described above, measuring commercialization offers practical and 54 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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SBA maintains an annually updated listing of state and local economic development agencies, small business development centers, and colleges and universities that have received grants from the Federal & State Technology (FAST) Partnership Program specially aimed at helping firms compete in the SBIR/STTR program.b A directory of state services is also maintained by SBA for applicants to use in finding local assistance with business planning, matching
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An archived copy of the webcast and a copy of the workshop agenda are available on the website of the National Academies of Sciences, Engineering, and Medicine at http://sites.nationalacademies.org/PGA/step/PGA_152137. b FAST provides funding to state and local economic development agencies, Small Business Development Centers, and colleges and universities for providing outreach and technical assistance to science and technology-driven small businesses, particularly in helping socially and economically disadvantaged firms compete in SBIR/STTR.
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57 National Research Council, The Small Business Innovation Research Program: Program Diversity and Assessment Challenges. 58 National Research Council, An Assessment of the Small Business Innovation Research Program: Project Methodology.
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62 For further discussion of potential sources of survey bias, see boxes 5-1 and A-1. 63 National Research Council, An Assessment of the Small Business Innovation Research Program: Project Methodology.
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The committee also 64 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; Early-Stage 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 States Programs, October 7, 2014; Workshop on the Small Business Technology Transfer Program, May 1, 2015; Economics of Entrepreneurship, June 29, 2015; and SBIR/STTR and the Commercialization Challenge, April 12, 2016. Each of these workshops was held in Washington, DC.
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As described in Chapter 5, DoE has not made its outcomes data available to the National Academies, which means that the National Academies' 2014 Survey provides the only available quantitative data on SBIR/STTR outcomes and processes at DoE. Cooperation with DoE The committee received substantial cooperation from the DoE SBIR/STTR Program Office and other DoE staff.
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Appendix D lists research institutions identified by survey respondents as participating in DoE SBIR/STTR awards. Appendix E presents the case studies of selected firms with DoE awards.
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