SBIR/STTR at the Department of Energy (2016) / Chapter Skim
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8 Findings and Recommendations
8 Findings and Recommendations
Pages 185-222
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3 Small Business Administration, Small Business Innovation Research (SBIR) Program Policy Directive, February 24, 2014.
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. By providing awards to SBCs for cooperative R-R&D efforts with Research Institutions, the STTR Program assists the small business and research communities by commercializing innovative technologies.
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The fourth and fifth sets of findings address how well the DoE SBIR/STTR programs are stimulating technological innovation and fostering innovative companies. The final set of findings concerns STTR.
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D The DoE SBIR/STTR programs fund some projects that have high scientific or social value, but are unlikely to generate significant market outcomes in the short term.
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C Most DoE SBIR/STTR awardees surveyed report positive impacts on their company.
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8 • Commercialization plans are required for Phase I proposals, and a very detailed plan is required for Phase II. • Topics are now scrutinized for commercial possibility before they approved by the DoE SBIR/STTR Program Office, although it appears that more could be done in this area.
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. 11 See section on "New Entrants into the SBIR/STTR Programs and Multiple-Award Winners" in Chapter 4 (SBIR and STTR Awards and DoE)
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The National Academies' 2008 report recommended that DoE consider implementing a match-making program of some kind, perhaps modeled on the Navy Opportunity Forum. • The SBIR/STTR Program Office continues to see its responsibilities essentially ending at the conclusion of Phase II (or Phase IIB)
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1. Case studies, survey responses, and discussions with agency managers all indicated that, although the DoE application review system is highly regarded and has many positive characteristics, it is not serving the SBIR/STTR community as well as it could.
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• Gap funding program: DoE does not offer a gap funding program, such as those offered by some components at DoD. However, DoE is funding more Fast Track awards, which can solve the gap issue for those projects.
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Nearly half of the respondents to the National Academies' 2014 Survey reported some sales, and a further 23 percent reported anticipating future sales.
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34 The 2014 Survey shows that: 1. Seventy-eight percent of 2014 Survey respondents reported receiving additional investment funding in the technology related to the surveyed project.
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Current data show that the objective of fostering the participation of women and underserved minorities has not been met by the DoE SBIR/STTR programs.
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• Minority-owned firms accounted for less than 7 percent of Phase I SBIR and STTR awards during FY 2005-2015. 50 • The average success rates for Phase I applications by firms owned by minorities and white males were 13.2 percent and 18.9 percent during this period.
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This can help DoE determine whether low participation rates are a function of the energy sector, the SBIR/STTR programs, the financial and business communities, or a combination of these factors.
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A The DoE SBIR/STTR programs support the development and adoption of technological innovations that advance the agency's mission.
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B The DoE SBIR/STTR programs connect companies to universities and research institutions.
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69 D The DoE SBIR/STTR programs fund some projects that have high scientific or social value, but are unlikely to generate significant market outcomes in the short-term.
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The DoE SBIR/STTR programs encourage new firm start-up.
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D Company dependence on the DoE SBIR/STTR programs is limited.
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For each bullet multiple responses indicated its importance for surveyed projects and firms.
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• Thirty-three percent of STTR awardees responding to the 2014 Survey reported sales from the surveyed project, and a further 43 percent anticipated sales in the future. 87 • More DoE STTR awardees than SBIR awardees responding to the 2014 Survey reported additional investment in the technology aside from program funds (86 percent and 78 percent, respectively)
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91 3. Regarding knowledge effects, SBIR awardees responding to the 2014 Survey reported fewer patents related to any SBIR or STTR award received by the company than did responding STTR awardees (66 percent compared with 86 percent)
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97 3. The DoE SBIR and STTR programs have not made sufficient efforts to enhance collaborations between the National Laboratories and small innovative firms.
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These recommendations have not yet been adopted. RECOMMENDATIONS Although the DoE SBIR/STTR programs generate substantially positive outcomes, the committee has identified a series of recommendations to improve their processes and outcomes.
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C Although commercialization is an important program objective, DoE should not treat it as the only objective of the SBIR/STTR programs.
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• DoE should track commercialization outcomes drawing on a complement of metrics in order to provide a deeper and more nuanced basis for analysis. • The data collection effort now under way at SBA may provide DoE with additional capabilities.
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This knowledge is currently not systematically included in internal program evaluation by the DoE SBIR/STTR programs.
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101 1. New annual report: The imposition of new reporting burdens on the DoE SBIR/STTR programs does not come without cost; however, an annual report to Congress could improve transparency and provide a coherent point of discussion for stakeholders.
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II. Addressing Underserved Populations In light of the data presented in Chapter 6 and summarized in section III of the findings above, DoE should immediately extend past and current efforts to foster the participation of underserved populations in the SBIR/STTR programs, develop an outreach and education program focusing on these populations, and create benchmarks and metrics to relate the impact of such activities.
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4. Track related program operations: Metrics should also track related program operations including outreach efforts (see below)
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III. Improving Commercialization Outcomes The DoE SBIR/STTR programs are fulfilling their commercialization mission despite the substantial barriers to commercializing innovative research.
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108 1. While DoE should be commended for providing commercialization support on a regular basis to both Phase I and Phase II SBIR/STTR awardees, it should consider whether current commercialization support is effective.
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V Improving Program Management The following recommendations are designed to improve program operations in ways that should enhance the program's ability to address some or all of its objectives.
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C Although commercialization is an important program objective, DoE should not treat it as the only objective of the SBIR/STTR programs.
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These could include: • Mandatory training in SBIR/STTR for DoE contracting officers with National Laboratories responsibilities • Incentives for utilizing SBIR/STTR technologies (e.g., prioritizing topics from National Laboratories staff with a track record in adopting such technologies)
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This approach makes failures in the review process less definitive. DoE could consider adopting a formal resubmission process, although the single annual solicitation makes this a less promising alternative.
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1. DoE should permit companies to "work at their own risk." Under this approach, used at the NIH SBIR program, companies can be paid for work completed during the gap period if they eventually receive a Phase II.
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