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2. An Overview of the Study Process
Following its approval of the broad study parameters of the study in October 2002, the Committee set out an overall
roadmap to guide the research process. Tasks included are the development a set of operational definitions, the
identification of detailed metrics, the review existing data sources, and the development of primary research
methodologies. Closely interrelated, these tasks will be addressed iteratively. (These iterative tasks are represented
in the box within Figure 1.) Following completion of field research, the Committee will conduct its analysis and
assessment and will issue its findings and recommendations.
Figure 1
NRC SBIR Study: The Logic of Analysis
Congressional
requirements
Project
Objectives
Operational
definitions
Potential
metrics
Existing data
sources
Iterative Primary
processes research
Assessm ent
and analysis
Conclusions and
recomm endations
9
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The elements of this multi-step process are detailed below:
1. Agree on initial guidelines. These initial guidelines are based on the legislation, the Memorandum of
Understanding, and contracts.
2. Clarify objectives. What central questions must the study answer? What other interesting but optional
questions should be addressed? What questions will specifically not be considered? This is discussed
further in Section 3 of this chapter.
3. Develop operational definitions: For example, while Congress has mandated that the study address the
extent to which SBIR supports the agencies’ missions, the Committee needs to develop operational
definitions of “support” and “agency mission,” in collaboration with agency managers responsible for
program operations. This is a necessary step before developing the relevant metrics. This is discussed
further in Section 4 of this chapter.
4. Identify metrics for addressing study objectives. The Committee will determine extent of
commercialization fostered by SBIR—measured in terms of products procured by agencies, commercial
sales, licensing revenue, or other metrics. This is discussed further in Section 5 of this chapter.
5. Identify data sources. Implementation of agreed metrics requires data. A wide mix of data sources will
be used, so the availability of existing data and the feasibility of collecting needed data by different methods
will also condition the selection of metrics, and the choice of study methods. The existence or absence of
specific methodologies and data sets will undoubtedly lead to the modification, adoption, or elimination of
specific metrics and methods. This is discussed further in Section 6 of this chapter.
6. Develop primary research methodologies. The study’s primary research components will include
interviews, surveys, and case studies to supplement existing data. Control groups and counterfactual
approaches will be used where feasible and appropriate to isolate the effects of the SBIR program. Other
evaluation methods may also be used on a limited basis as needed to address questions not effectively
addressed by the principal methods. This is discussed further in Section 7 of this report.
7. Complete Phase I. Phase I of the NRC study will be formally completed once a set of methodologies is
developed and documented, is approved by the Committee, and passes successfully through the Academy’s
peer review process.
8. Implement the research program (NRC Study Phase II). The variety of tasks involved in implementing
the research program is previewed in Annex I of this report.
9. Prepare agency-specific reports. Results from the research program will be presented in five agency-
specific reports—one for each of the agencies. Where appropriate, agency-specific findings and
recommendations will be formulated by the relevant study subcommittee for review and approval by the full
Committee.
10. Prepare overview report. A separate summary report, buttressed by the relevant commissioned work
and bringing together the findings of the individual agency reports, along with general recommendations,
will be produced for distribution. This final report will also draw out, as appropriate, the contrasts and
similarities among the agencies in the way they administer SBIR. It will follow the approval procedure
outlined above.
11. Organize public meetings to review and discuss findings. Following report review, findings and
recommendations will be presented publicly for information, review, and comment.
12. Submit reports to Congress.
13. Disseminate findings broadly.
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Representative terms from entire chapter:
develop operational
