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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2015. Innovation, Diversity, and the SBIR/STTR Programs: Summary of a Workshop. Washington, DC: The National Academies Press. doi: 10.17226/21738.
×

Innovation, Diversity,
and the
SBIR/
STTR
Programs

__________________________________________

Summary of a Workshop

Sujai J. Shivakumar and David E. Dierksheide, Rapporteurs

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

Board on Science, Technology, and Economic Policy

Policy and Global Affairs

image

THE NATIONAL ACADEMIES PRESS

Washington, D.C.

www.nap.edu

Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2015. Innovation, Diversity, and the SBIR/STTR Programs: Summary of a Workshop. Washington, DC: The National Academies Press. doi: 10.17226/21738.
×

THE NATIONAL ACADEMIES PRESS     500 Fifth Street, NW     Washington, DC 20001

This activity was supported by Grant No. HQ0034-10-D-0003, DO#1 between the National Academy of Sciences and Department of Defense; Contract/Grant No. NNX07AJ53G between the National Academy of Sciences and the National Aeronautics and Space Administration; and Contract/Grant No. DMI-0221736 between the National Academy of Sciences and the National Science Foundation. Any opinions, findings, conclusions, or recommendations expressed in this publication are those of the author(s) and do not necessarily reflect the views of the organizations or agencies that provided support for the project.

International Standard Book Number-13: 978-0-309-37352-4
International Standard Book Number-10: 0-309-37352-2

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Copyright 2015 by the National Academy of Sciences. All rights reserved.

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Suggested citation: National Academies of Sciences, Engineering, and Medicine. 2015. Innovation, Diversity, and the SBIR/STTR Programs. Summary of a Workshop. Washington, DC: The National Academies Press.

Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2015. Innovation, Diversity, and the SBIR/STTR Programs: Summary of a Workshop. Washington, DC: The National Academies Press. doi: 10.17226/21738.
×

image

The National Academy of Sciences was established in 1863 by an Act of Congress, signed by President Lincoln, as a private, nongovernmental institution to advise the nation on issues related to science and technology. Members are elected by their peers for outstanding contributions to research. Dr. Ralph J. Cicerone is president.

The National Academy of Engineering was established in 1964 under the charter of the National Academy of Sciences to bring the practices of engineering to advising the nation. Members are elected by their peers for extraordinary contributions to engineering. Dr. C. D. Mote, Jr., is president.

The National Academy of Medicine (formerly the Institute of Medicine) was established in 1970 under the charter of the National Academy of Sciences to advise the nation on medical and health issues. Members are elected by their peers for distinguished contributions to medicine and health. Dr. Victor J. Dzau is president.

The three Academies work together as the National Academies of Sciences, Engineering, and Medicine to provide independent, objective analysis and advice to the nation and conduct other activities to solve complex problems and inform public policy decisions. The Academies also encourage education and research, recognize outstanding contributions to knowledge, and increase public understanding in matters of science, engineering, and medicine.

Learn more about the National Academies of Sciences, Engineering, and Medicine at www.national-academies.org.

Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2015. Innovation, Diversity, and the SBIR/STTR Programs: Summary of a Workshop. Washington, DC: The National Academies Press. doi: 10.17226/21738.
×

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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2015. Innovation, Diversity, and the SBIR/STTR Programs: Summary of a Workshop. Washington, DC: The National Academies Press. doi: 10.17226/21738.
×

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

Jacques S. Gansler (NAE), Chair
Roger C. Lipitz Chair in Public Policy and Private Enterprise
Director of the Center for Public Policy and Private Enterprise
School of Public Policy
University of Maryland

David Audretsch

Distinguished Professor

Ameritech Chair of Economic Development

Director of the Institute for Development Strategies

Indiana University

Gene Banucci

Executive Chairman, ret.

ATMI, Inc.

(Member: 6/26/2009-4/23/2014)

Thomas J. Bond

Grant and Proposal Director

Association for Manufacturing Technology

(Member: 6/26/2009-5/21/2014)

Michael Borrus

Founding General Partner

XSeed Capital*

J. Michael Brick

Vice President and Co-Director of Survey Methods

Westat

Gail H. Cassell (NAM)

Senior Lecturer

Department of Global Health and Social Medicine

Harvard Medical School

M. Christina Gabriel

President

University Energy Partnership

Charles E. Kolb (NAE)

President and Chief Executive Officer

Aerodyne Research, Inc.

Virginia Lesser

Professor of Statistics

Department of Statistics

Director, Survey Research Center

Oregon State University

Henry Linsert, Jr.

Chairman and CEO

Columbia Biosciences Corporation

W. Clark McFadden II

Senior Counsel

Orrick, Herrington & Sutcliffe, LLP

Duncan T. Moore (NAE)

Vice Provost for Entrepreneurship

Rudolf and Hilda Kingslake Professor of Optical Engineering

The Institute of Optics

University of Rochester

________________

*Previously know as X/Seed Capital Management.

Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2015. Innovation, Diversity, and the SBIR/STTR Programs: Summary of a Workshop. Washington, DC: The National Academies Press. doi: 10.17226/21738.
×

Linda Powers

Managing Director

Toucan Capital Corporation

(Member: 6/26/2009-10/13/2011)

Donald Siegel

Dean and Professor

School of Business

University at Albany, SUNY

Jeffrey E. Sohl

Professor and Director of the Center for Venture Research

Peter T. Paul College of Business and Economics

University of New Hampshire

Tyrone C. Taylor

President

Capitol Advisors on Technology, LLC

John P. Walsh

Professor of Public Policy

School of Public Policy

Georgia Institute of Technology

Patrick H. Windham

Principal

Technology Policy International

Project Staff

Sujai J. Shivakumar
Study Director
(4/1/2014-Current)

McAlister T. Clabaugh

Program Officer

David E. Dierksheide

Program Officer

Karolina E. Konarzewska

Program Coordinator

Natacha R. Montgomery

Senior Program Assistant

Charles W. Wessner

Study Director

(6/26/2009-3/31/2014)

Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2015. Innovation, Diversity, and the SBIR/STTR Programs: Summary of a Workshop. Washington, DC: The National Academies Press. doi: 10.17226/21738.
×

For the National Academies of Sciences, Engineering, and Medicine, this project was overseen by the Board on Science, Technology, and Economic Policy (STEP), a standing board established by the National Academies of Sciences and Engineering and the Institute of Medicine in 1991. The mandate of the Board on Science, Technology, and Economic Policy is to advise federal, state, and local governments and inform the public about economic and related public policies to promote the creation, diffusion, and application of new scientific and technical knowledge to enhance the productivity and competitiveness of the U.S. economy and foster economic prosperity for all Americans. The STEP Board and its committees marshal research and the expertise of scholars, industrial managers, investors, and former public officials in a wide range of policy areas that affect the speed and direction of scientific and technological change and their contributions to the growth of the U.S. and global economies. Results are communicated through reports, conferences, workshops, briefings, and electronic media subject to the procedures of the National Academies to ensure their authoritativeness, independence, and objectivity. The members of the STEP Board * and staff are listed below:

Richard K. Lester, Chair

Japan Steel Industry Professor and Department Head

Department of Nuclear Science and Engineering

Massachusetts Institute of Technology

Jeff Bingaman

Former U.S. Senator, New Mexico

U.S. Senate

Ellen R. Dulberger

Managing Partner

Dulberger Enterprises, LLC

Alan M. Garber (NAM)

Provost

Harvard University

Ralph E. Gomory (NAS/NAE)

Research Professor

IOMS Department

Stern School of Business

New York University

Michael Greenstone

The Milton Friedman Professor of Economics and the College

Director, Energy Policy Institute at Chicago

Department of Economics

The University of Chicago

John L. Hennessy (NAS/NAE)

President

Stanford University

William H. Janeway

Managing Director

Senior Advisor

Warburg Pincus, LLC

________________

*As of July 2015.

Page viii Cite
Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2015. Innovation, Diversity, and the SBIR/STTR Programs: Summary of a Workshop. Washington, DC: The National Academies Press. doi: 10.17226/21738.
×

David T. Morgenthaler

Founder

Morgenthaler Ventures

Luis M. Proenza

President Emeritus

University of Akron

Kathryn L. Shaw

Ernest C. Arbuckle Professor of Economics

Stanford Graduate School of Business

Stanford University

Laura D’Andrea Tyson

Professor of Business Administration and Economics

Director, Institute for Business & Social Impact

Haas Business & Public Policy Group

University of California, Berkeley

Jay Walker

Chairman

Patent Properties, Inc.

STEP Staff

Gail E. Cohen

Director

Paul T. Beaton

Senior Program Officer

McAlister T. Clabaugh

Program Officer

Aqila A. Coulthurst

Associate Program Officer

Sujai J. Shivakumar

Senior Program Officer

David E. Dierksheide

Program Officer

Karolina E. Konarzewska

Program Coordinator

Natacha R. Montgomery

Senior Program Assistant

Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2015. Innovation, Diversity, and the SBIR/STTR Programs: Summary of a Workshop. Washington, DC: The National Academies Press. doi: 10.17226/21738.
×

Preface

At the request of Congress, the National Academies of Sciences, Engineering, and Medicine1 is reviewing the Small Business Innovation Research (SBIR) and Small Business Technology Transfer (STTR) programs at the Department of Defense, National Institutes of Health, National Aeronautics and Space Administration, Department of Energy, and National Science Foundation.2 This assessment is the second round of study carried out by the NRC in response to a congressional mandate. The first-round study, carried out by a separate NRC committee, focused exclusively on the SBIR program and resulted in a series of reports from 2004 to 2009.

The SBIR and STTR programs provide federal research and development funding to small businesses. Among the legislative goals of the SBIR program is “to foster and encourage participation by minority and disadvantaged persons in technological innovation.”3 The committee charged with the assessment of the SBIR and STTR programs convened a workshop on February 7, 2013, that focused on the participation of women, minorities, and both older and younger scientists, engineers, and entrepreneurs in the SBIR and STTR programs, with the goal of reviewing current efforts to expand the pool of SBIR/STTR-funded researchers and of identifying mechanisms for improving participation rates.

__________________

1Effective July 1, 2015, the institution is called the National Academies of Sciences, Engineering, and Medicine. References in this report to the National Research Council are used in an historic context identifying programs prior to July 1.

2H.R. 5667, Sec. 108, enacted in Public Law 106-554, as amended by H.R. 1540, Sec. 5137, enacted in Public Law 112-81.

3Public Law 97-219, Sec. 2, July 22, 1982, 96 Stat. 217.

Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2015. Innovation, Diversity, and the SBIR/STTR Programs: Summary of a Workshop. Washington, DC: The National Academies Press. doi: 10.17226/21738.
×

Although some time has passed since this workshop was convened, program participation by women and minorities remains a concern, as noted in the committee’s recent report on SBIR at the Department of Defense.4 Because individual participants at the February 2013 workshop made suggestions for addressing this issue, releasing a full summary of the workshop can make an important contribution to the policy dialogue.

This report has been prepared by the workshop rapporteurs as a factual summary of what occurred at the workshop. The committee’s role was limited to planning and convening the workshop. The views contained in the report are those of individual workshop participants and do not necessarily represent the views of all workshop participants, the committee, or the Academies.

ACKNOWLEDGMENTS

On behalf of the National Academies, we express our appreciation and recognition for the insights, experiences, and perspectives made available by the participants of this meeting. Their support and interest were instrumental to the quality and high-level participation of the workshop. Special thanks are also due to McAlister Clabaugh of the STEP staff for his many contributions to the organization of the workshop.

We are also indebted to Catherine Yang for preparing the draft introduction and summary of the meeting.

Acknowledgment of Reviewers

This report has been reviewed in draft form by individuals chosen for their diverse perspectives and technical expertise, in accordance with procedures approved by the Academies’ Report Review Committee. The purpose of this independent review is to provide candid and critical comments that will assist the institution in making its published report as sound as possible and to ensure that the report meets institutional standards for quality and objectivity. The review comments and draft manuscript remain confidential to protect the integrity of the process.

We wish to thank the following individuals for their review of this report: Tanaga Boozer, United States Patent and Trademark Office; Frank Douglas, Austen BioInnovation Institute; David Finifter, College of William & Mary; Eve Higginbotham, University of Pennsylvania; Jane Muir, University of Florida; and Glendowlyn Thames, Connecticut Innovations.

Although the reviewers listed above have provided many constructive comments and suggestions, they were not asked to endorse the content of the report, nor did they see the final draft before its release. The review of this report was

__________________

4National Research Council, SBIR at the Department of Defense, Washington, DC: The National Academies Press, 2014.

Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2015. Innovation, Diversity, and the SBIR/STTR Programs: Summary of a Workshop. Washington, DC: The National Academies Press. doi: 10.17226/21738.
×

overseen by Trevor Jones, International Development Corp. Appointed by the Academies, he was responsible for making certain that an independent examination of this report was carried out in accordance with institutional procedures and that all review comments were carefully considered. Responsibility for the final content of this report rests entirely with the rapporteurs and the institution.

Sujai J. Shivakumar David E. Dierksheide
Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2015. Innovation, Diversity, and the SBIR/STTR Programs: Summary of a Workshop. Washington, DC: The National Academies Press. doi: 10.17226/21738.
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Page xiii Cite
Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2015. Innovation, Diversity, and the SBIR/STTR Programs: Summary of a Workshop. Washington, DC: The National Academies Press. doi: 10.17226/21738.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2015. Innovation, Diversity, and the SBIR/STTR Programs: Summary of a Workshop. Washington, DC: The National Academies Press. doi: 10.17226/21738.
×
Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2015. Innovation, Diversity, and the SBIR/STTR Programs: Summary of a Workshop. Washington, DC: The National Academies Press. doi: 10.17226/21738.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2015. Innovation, Diversity, and the SBIR/STTR Programs: Summary of a Workshop. Washington, DC: The National Academies Press. doi: 10.17226/21738.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2015. Innovation, Diversity, and the SBIR/STTR Programs: Summary of a Workshop. Washington, DC: The National Academies Press. doi: 10.17226/21738.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2015. Innovation, Diversity, and the SBIR/STTR Programs: Summary of a Workshop. Washington, DC: The National Academies Press. doi: 10.17226/21738.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2015. Innovation, Diversity, and the SBIR/STTR Programs: Summary of a Workshop. Washington, DC: The National Academies Press. doi: 10.17226/21738.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2015. Innovation, Diversity, and the SBIR/STTR Programs: Summary of a Workshop. Washington, DC: The National Academies Press. doi: 10.17226/21738.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2015. Innovation, Diversity, and the SBIR/STTR Programs: Summary of a Workshop. Washington, DC: The National Academies Press. doi: 10.17226/21738.
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Page viii Cite
Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2015. Innovation, Diversity, and the SBIR/STTR Programs: Summary of a Workshop. Washington, DC: The National Academies Press. doi: 10.17226/21738.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2015. Innovation, Diversity, and the SBIR/STTR Programs: Summary of a Workshop. Washington, DC: The National Academies Press. doi: 10.17226/21738.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2015. Innovation, Diversity, and the SBIR/STTR Programs: Summary of a Workshop. Washington, DC: The National Academies Press. doi: 10.17226/21738.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2015. Innovation, Diversity, and the SBIR/STTR Programs: Summary of a Workshop. Washington, DC: The National Academies Press. doi: 10.17226/21738.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2015. Innovation, Diversity, and the SBIR/STTR Programs: Summary of a Workshop. Washington, DC: The National Academies Press. doi: 10.17226/21738.
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Page xiii Cite
Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2015. Innovation, Diversity, and the SBIR/STTR Programs: Summary of a Workshop. Washington, DC: The National Academies Press. doi: 10.17226/21738.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2015. Innovation, Diversity, and the SBIR/STTR Programs: Summary of a Workshop. Washington, DC: The National Academies Press. doi: 10.17226/21738.
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The Small Business Innovation Research (SBIR) and Small Business Technology Transfer (STTR) programs provide federal research and development funding to small businesses. One of the the goals of these programs is to foster and encourage participation by minority and disadvantaged persons in technological innovation. Innovation, Diversity, and Success in the SBIR/STTR Programs is the summary of a workshop convened in February 2013 that focused on the participation of women, minorities, and both older and younger scientists, engineers, and entrepreneurs in the SBIR and STTR programs, with the goal of reviewing current efforts to expand the pool of SBIR/STTR-funded researchers and of identifying mechanisms for improving participation rates. This report is a record of the presentation and discussions of the event.

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