approaches to the SBIR program and to commercialization. The case study reports can be found in Appendix D.


The report is presented in eight chapters. Following this introduction, Chapter 2 lists the Committee assessment findings and recommendations for improving the operation of the SBIR program at the Department of Energy.

Chapter 3 provides some basic statistics concerning energy technology development and the SBIR program at DoE. The chapter begins with a brief summary of national trends in the funding of energy research and development before presenting SBIR Phase I and Phase II pertaining to the number of awards granted, award size, and geographical location of award-recipient firms over the period of study.

Chapter 4 examines actions taken by the Department of Energy to encourage commercialization efforts by SBIR awardees; how commercialization outcomes are measured; and what the various measures described indicate with respect to the commercialization of SBIR-supported technologies.

Chapter 5 focuses on the manner in which the program supports the mission of the Department of Energy “to advance the national, economic, and energy security of the United States; to promote scientific and technological innovation in support of that mission; and to ensure the environmental cleanup of the national nuclear weapons complex.” The section highlights the tension that exists between commercialization and agency mission objectives of the program.

Chapter 6 describes the DoE program’s support of woman- and minority-owned technology companies.

Chapter 7 addresses the manner in which the program spurs knowledge creation and the development of new technologies, including the strengthening of knowledge networks involving small business, and the creation of codified knowledge in the form of patents and publications.

Finally, Chapter 8 assesses the management of the program, focusing on program: outreach, the application process, award management, and program structure. It describes some developments in the administration of the program that took place following the study period, but prior to the completion of this report.

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