Capitalizing on Science, Technology, and Innovation: An Assessment of the Small Business Innovation Research Program

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The SBIR program allocates 2.5 percent of 11 federal agencies' extramural R&D budgets to fund R&D projects by small businesses, providing approximately $2 billion annually in competitive awards. At the request of Congress, the National Academies conducted a comprehensive study of how the SBIR program has stimulated technological innovation and used small businesses to meet federal research and development needs. Drawing substantially on new data collection, this book examines the SBIR program at the Department of Defense and makes recommendations for improvements. Separate reports will assess the SBIR program at NSF, NIH, DOE, and NASA, respectively, along with a comprehensive report on the entire program.

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468 pages · 6 x 9 · hardcover
ISBN Ebook: 0-309-10948-5
DOI: https://doi.org/10.17226/11963

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National Research Council. 2009. An Assessment of the SBIR Program at the Department of Defense. Washington, DC: The National Academies Press.

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In October 1995, the Department of Defense launched a Fast Track initiative to attract new firms and encourage commercialization of Small Business Innovation Research (SBIR) funded technologies throughout the department. The goal of the Fast Track initiative is to help close the funding gap that can occur between Phase I and II of the SBIR program. The Fast Track initiative seeks to address the gap by providing expedited review and essentially continuous funding from Phase I to Phase II, as long as applying firms can demonstrate that they have obtained third-party financing for their technology. Another program initiative, Phase II Enhancement, was launched in 1999 to concentrate SBIR funds on those R&D projects most likely to result in viable new products that the Department of Defense and others will buy.

The current volume evaluates the two SBIR Program initiatives—Fast Track and Phase II Enhancement—and finds that both programs are effective. Ninety percent of Fast Track and 95 percent of Phase II Enhancement reported satisfaction with their decision. This book identifies the successes and remaining shortcomings of the programs, providing recommendations to address these issues.

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212 pages · 6 x 9 · paperback
ISBN Paperback: 0-309-13211-8
ISBN Ebook: 0-309-13212-6
DOI: https://doi.org/10.17226/12600

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National Research Council. 2009. Revisiting the Department of Defense SBIR Fast Track Initiative. Washington, DC: The National Academies Press.

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The Small Business Innovation Research (SBIR) program is one of the largest examples of U.S. public-private partnerships. Founded in 1982, SBIR was designed to encourage small business to develop new processes and products and to provide quality research in support of the many missions of the U.S. government, including health, energy, the environment, and national defense. In response to a request from the U.S. Congress, the National Research Council assessed SBIR as administered by the five federal agencies that together make up 96 percent of program expenditures.
This book, one of six in the series, reports on the SBIR program at the National Aeronautics and Space Administration, and finds that the program is making significant progress in achieving the Congressional goals for the program. Keeping in mind NASA's unique mission and the recent significant changes to the program, the committee found the SBIR program to be sound in concept and effective in practice at NASA.. The book recommends programmatic changes that should make the SBIR program even more effective in achieving its legislative goals.

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334 pages · 6 x 9 · hardcover
ISBN Ebook: 0-309-12440-9
DOI: https://doi.org/10.17226/12441

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National Research Council. 2009. An Assessment of the SBIR Program at the National Aeronautics and Space Administration. Washington, DC: The National Academies Press.

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The SBIR program allocates 2.5 percent of 11 federal agencies' extramural R&D budgets to fund R&D projects by small businesses, providing approximately $2 billion annually in competitive awards. At the request of Congress the National Academies conducted a comprehensive study of how the SBIR program has stimulated technological innovation and used small businesses to meet federal research and development needs.

Drawing substantially on new data collection, this book examines the SBIR program at the National Institutes of Health and makes recommendations for improvements. Separate reports will assess the SBIR program at DOD, NSF, DOE, and NASA, respectively, along with a comprehensive report on the entire program.

Publication information

456 pages · 6 x 9 · hardcover
ISBN Ebook: 0-309-10952-3
DOI: https://doi.org/10.17226/11964

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National Research Council. 2009. An Assessment of the SBIR Program at the National Institutes of Health. Washington, DC: The National Academies Press.

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The SBIR program allocates 2.5 percent of 11 federal agencies' extramural R&D budgets to fund R&D projects by small businesses, providing approximately $2 billion annually in competitive awards. At the request of Congress, the National Academies conducted a comprehensive study of how the SBIR program has stimulated technological innovation and used small businesses to meet federal research and development needs. Drawing substantially on new data collection, this report provides a comprehensive overview of the SBIR program at the five agencies representing 96 percent of program expenditure—DOD, NIH, NSF, DOE, and NASA—and makes recommendations on improvements to the program. Separate books on each agency will also be issued.

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402 pages · 6 x 9 · hardcover
ISBN Ebook: 0-309-11087-4
DOI: https://doi.org/10.17226/11989

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National Research Council. 2008. An Assessment of the SBIR Program. Washington, DC: The National Academies Press.

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Hardcover - $66.60
Ebook - $53.99

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The Small Business Innovation Research (SBIR) program is one of the largest examples of U.S. public-private partnerships. Founded in 1982, SBIR was designed to encourage small business to develop new processes and products and to provide quality research in support of the many missions of the U.S. government, including health, energy, the environment, and national defense. In response to a request from the U.S. Congress, the National Research Council assessed SBIR as administered by the five federal agencies that together make up 96 percent of program expenditures. This book, one of six in the series, reports on the SBIR program at the Department of Energy. It finds that, in spite of resource constraints, the DoE has made significant progress in meeting the legislative objectives of SBIR and that the program is effectively addressing the mission of the Department of Energy. The book documents the achievements and challenges of the program and recommends programmatic changes to make the SBIR program even more effective in achieving its legislative goals.

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254 pages · 6 x 9 · hardcover
ISBN Ebook: 0-309-11413-6
DOI: https://doi.org/10.17226/12052

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National Research Council. 2008. An Assessment of the SBIR Program at the Department of Energy. Washington, DC: The National Academies Press.

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The Small Business Innovation Research (SBIR) program is one of the largest examples of U.S. public-private partnerships. Founded in 1982, SBIR was designed to encourage small business to develop new processes and products and to provide quality research in support of the many missions of the U.S. government, including health, energy, the environment, and national defense. In response to a request from the U.S. Congress, the National Research Council assessed SBIR as administered by the five federal agencies that together make up 96 percent of program expenditures.

This book, one of six in the series, reports on the SBIR program at the National Science Foundation. The study finds that the SBIR program is sound in concept and effective in practice, but that it can also be improved. Currently, the program is delivering results that meet most of the congressional objectives, including stimulating technological innovation, increasing private-sector commercialization of innovations, using small businesses to meet federal research and development needs, and fostering participation by minority and disadvantaged persons. The book suggests ways in which the program can improve operations, continue to increase private-sector commercialization, and improve participation by women and minorities.

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366 pages · 6 x 9 ·
ISBN Ebook: 0-309-66915-4
DOI: https://doi.org/10.17226/11929

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National Research Council. 2008. An Assessment of the SBIR Program at the National Science Foundation. Washington, DC: The National Academies Press.

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Symposium_in_brief

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In response to a Congressional mandate, the National Research Council conducted a review of the Small Business Innovation Research Program (SBIR) at the five federal agencies with SBIR programs with budgets in excess of $100 million (DOD, NIH, NASA, DOE, and NSF). The project was designed to answer questions of program operation and effectiveness, including the quality of the research projects being conducted under the SBIR program, the commercialization of the research, and the program's contribution to accomplishing agency missions. This report summarizes the presentations at a symposium exploring the effectiveness of Phase III of the SBIR program (the commercialization phase), during which innovations funded by Phase II awards move from the laboratory into the marketplace. No SBIR funds support Phase III; instead, to commercialize their products, small businesses are expected to garner additional funds from private investors, the capital markets, or from the agency that made the initial award.

Publication information

200 pages · 6 x 9 · paperback
ISBN Paperback: 0-309-10341-X
ISBN Ebook: 0-309-66633-3
DOI: https://doi.org/10.17226/11851

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National Research Council. 2007. SBIR and the Phase III Challenge of Commercialization: Report of a Symposium. Washington, DC: The National Academies Press.

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Symposium_in_brief

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In response to a Congressional mandate, the National Research Council conducted a review of the Small Business Innovation Research Program (SBIR) at the five federal agencies with SBIR programs with budgets in excess of $100 million (DOD, NIH, NASA, DOE, and NSF). The project was designed to answer questions of program operation and effectiveness, including the quality of the research projects being conducted under the SBIR program, the commercialization of the research, and the program's contribution to accomplishing agency missions. The first in a series to be published in response to the Congressional request, this report summarizes the presentations at a symposium convened at the beginning of the project. The report provides a comprehensive overview of the SBIR program's operations at the five agencies responsible for 96 percent of the program's operations.

Publication information

198 pages · 6 x 9 · paperback
ISBN Paperback: 0-309-09123-3
ISBN Ebook: 0-309-52944-1
DOI: https://doi.org/10.17226/11082

Suggested citation

National Research Council. 2004. SBIR Program Diversity and Assessment Challenges: Report of a Symposium. Washington, DC: The National Academies Press.

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In response to a Congressional mandate, the National Research Council conducted a review of the SBIR program at the five federal agencies with SBIR programs with budgets in excess of $100 million (DOD, NIH, NASA, DOE, and NSF). The project was designed to answer questions of program operation and effectiveness, including the quality of the research projects being conducted under the SBIR program, the commercialization of the research, and the program's contribution to accomplishing agency missions. This report describes the proposed methodology for the project, identifying how the following tasks will be carried out: 1) collecting and analyzing agency databases and studies; 2) surveying firms and agencies; 3) conducting case studies organized around a common template; and 4) reviewing and analyzing survey and case study results and program accomplishments. Given the heterogeneity of goals and procedures across the five agencies involved, a broad spectrum of evaluative approaches is recommended.

Publication information

124 pages · 8.5 x 11 ·
ISBN Ebook: 0-309-54601-X
DOI: https://doi.org/10.17226/11097

Suggested citation

National Research Council. 2004. An Assessment of the Small Business Innovation Research Program: Project Methodology. Washington, DC: The National Academies Press.

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Capitalizing on Science, Technology, and Innovation: An Assessment of the Small Business Innovation Research Program

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