Over the iterative development of the study’s methodology, it became clear that no single research methodology would suffice to assess a program as differentiated as SBIR—one with multiple objectives, distinctive agency missions, and varied participants (ranging from small start-ups to relatively large, well-established companies, with product cycles ranging from months to decades). Instead, a complement of methodological tools has been crafted to address different facets of the program’s operation.

These tools are firmly grounded in economics and, as noted, draw from the experience of successful approaches pioneered by previous NRC studies of SBIR. They will necessarily have to be implemented in a flexible manner, with additional approaches to be drafted as new research challenges emerge. This document is, in this sense, a working draft, reflecting the current state of the Research Team and Committee discussions. It represents the Committee’s considered understanding of the tasks at hand, and methodological tools that can be applied to address these tasks. The elaborated methodologies are, thus, not exclusive, precluding the adoption of other tools and approaches; nor are they definitive, representing a fixed and final statement. Instead, the document provides a summary of current thinking on the project, as it has evolved from the discussions of the Research Team and the Steering Committee, as well as other interested parties. Despite these necessary limitations, this document constitutes a clear statement of the research goals and the tools the Committee plans to use to address them.