An Assessment of the SBIR Program at the Department of Defense (2009) / Chapter Skim
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2 Findings and Recommendations
2 Findings and Recommendations
Pages 23-51
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From page 23... ...
For DoD, the 2 response rate was 42 percent of the awards contacted. See also National Research Council, Assessment of the Small Business Innovation Research Program: Project Methodology, Washington, D.C.: The National Academies Press, 2004.
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From page 24... ...
For DoD as a whole, the SBIR Program Manger Michael Cacciutto, reports that the amount of commercialization generated from SBIR projects now leads the total amount spent on SBIR, with about a 4 year lag from the year of Phase II award. See National Research Council, SBIR and the Phase III Challenge of Commercialization, Charles W
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From page 25... ...
o A central mission of the DoD SBIR program is to use the inventiveness of small companies to solve DoD's technical problems, and to develop new technologies that can be applied to the weapons and logistics systems that are eventually used by the Armed Forces.13 NRC Phase II Survey Q
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From page 26... ...
, and reductions in the cost of operations and support systems. o DoD SBIR program managers also speak favorably about the creativity of the small- and medium-sized firms that comprise the SBIR community.14 2.
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From page 27... ...
19 $450M is based on the DD 350: however, the 2005 DoD Annual SBIR Report to SBA lists by contract $565M in known Phase III contracts and that listing is considered to be incomplete. It includes only contracts known to the SBIR Program Managers.
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From page 28... ...
o Used effectively, SBIR can act as a low risk, low cost technology probe and a search tool for finding new technology suppliers. It has helped DoD personnel learn about new technologies, new applications, and a new set of high-tech firms with whom they would not otherwise have contact.21 o The laws governing the SBIR program permit the use of sole source procedures when Federal agencies acquire technologies developed with SBIR funding.
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From page 29... ...
o Notably, Phase III transitions at PEO SUBS account for approximately 86 percent of all Navy Phase III contracts, and Navy in turn accounts for about 70 percent of all DoD Phase III contracts, as captured by the DD350 forms completed by contracting officers.24 o This skew partly results from the additional effort made by Navy to ensure that DD350 forms are completed and accurately reflect SBIR contributions, which in turn reflects different views of the importance of supporting SBIR, as evidenced by the amount of resources, staff, and funding that Services and components allocate for program support. o At some components, such as Navy, senior management recognizes the potential value of SBIR and has supported extensive efforts to build effective bridges between SBIR and the acquisition programs.
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From page 30... ...
The Phase I and Phase II data in the DD 350 does not match the SBIR budget or DoD Annual Report to SBA. The Annual Report to SBA, prepared by the DoD SBIR Program Managers, accounts for the budgeted SBIR funding.
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From page 31... ...
show that about half of all its Phase I contracts go to companies that have never won an SBIR award from NAVAIR before. In addition, about 40-45 percent of Phase II contracts go to newly participating firms.30 % of Projects Reporting Firm SBIR Awards Prior to This Phase II No Prior Awards 50% of this Phase 45% 1 to 5 40% 35% 6 to 20 30% 25% >20 20% 15% 10% 5% 0% Phase I Phase II FIGURE 2-2 New winners at DoD.
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From page 32... ...
See Reid Cramer, "Patterns of Firm Participation in the Small Business Innovation Research Program in the 33 Southwestern and Mountain States," in National Research Council, The Small Business Innovation Research Program: An Assessment of the Department of Defense Fast Track Initiative, Charles W Wessner, ed., Washington DC: National Academy Press, 2000, p.
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From page 33... ...
See Washington Technology, "Top 100 Federal Prime Contractors: 2004," May 14, 2007. 36 For example, Foster Miller, the most frequent SBIR award winner, provided armor for Humvees and aircraft and developed robots for use in Iraq to identify roadside improvised explosive devices.
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From page 34... ...
266-268. See also Reid Cramer, "Patterns of Firm Participation in the Small Business Innovation Research Program in the Southwestern and Mountain States," in National Research Council, The Small Business Innovation Research Program: An Assessment of the Department of Defense Fast Track Initiative, op.
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E While the DoD SBIR program supports women- and minority-owned businesses, the steady decline in the share of Phase I awards to minority-owned businesses (falling to below 10 percent in 2004 and 2005)
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F The SBIR program at DoD generates considerable new technical knowledge, and is helping to expand the nation's science and technology base.
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Thus a focus on patent data alone will understate the intellectual property generated through the DoD SBIR program. o Published Articles: 42 percent of respondents had published at least one peer-reviewed article based on the SBIR project surveyed by the NRC, and 3.9 percent had generated more than 5 articles.49,50 3.
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(NRC Phase II Survey Q
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From page 40... ...
o Interviews suggest that some elements of the Department have not fully integrated SBIR within their own program missions and have not provided SBIR with the resources and management attention needed to maximize its effectiveness.58 o The 2005 NRC Symposium on SBIR Phase III contributed to the awareness of the SBIR program's potential, the challenge that promising products face in the Phase III transition, and the need for additional efforts to "team" See Box C discussing Navy's approach. 56 57 See also a recent RAND Report requested by DoD: Bruce Held, Thomas Edison, Shari Lawrence Pfleeger, Philip S
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From page 41... ...
from these companies for all their previous SBIR awards, including those at other agencies. It also captures information on firm size and growth since entering the SBIR program, as well as the percent of annual revenue derived from SBIR awards.
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From page 42... ...
As the program has grown in size and performance, it has garnered greater attention from the DoD upper management and, importantly, the prime contractors. o There is considerable evidence that prime contractor interest in – and engagement with – the SBIR program has been growing rapidly in recent years (see program management chapter)
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From page 44... ...
Expansion of positive incentives for program officers to utilize the SBIR program for their own research needs, beyond the current requirements for their involvement in topic development. o Management needs to improve incentives so that acquisitions officers perceive reduced risks and enhanced benefits from participating in the program.
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From page 45... ...
The growing interest among prime contractors of the SBIR Program's outputs and opportunities for partnering with SBIR companies should be encouraged. Consideration should be given to performance incentives to further encourage development of SBIR supported technologies.
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From page 46... ...
Effective oversight requires additional staff and funding. Effective management of a data-driven SBIR program requires the regular collection of higher-quality data and systematic assessment.
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o Commissioning Regular Assessments: SBIR programs at both DoD and the individual DoD components should seek to enhance a data-driven management approach, with regular assessment supporting policy development and program management. o Instituting Systematic and Objective, Outside Review.
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From page 48... ...
Key features of the Navy program include: Positive acceptance of the program: Navy PEO's and program managers increasingly appear to see the SBIR program as a useful tool in meeting mission objectives, as acquisition staff are drawn increasingly into Topic development and SBIR project management. Top Management Focus: One reason for the positive perception of the program's utility is that the Navy provides significant management attention, particularly at the program executive officer (PEO)
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From page 49... ...
Pilot programs allow agencies to investigate program improvements at lower risk and potentially lower cost. Effective pilot programs require rigorous design and evaluation, clear metrics for success, and the necessary resources and internal support.
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From page 50... ...
For the most part, the Departments, Institutes, and Agencies responsible for the SBIR program have not proved willing or able to make additional management funds available. Without direction from Congress, they are unlikely to do so.
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From page 51... ...
This means that many of the women and minority scientists and engineers with the advanced degrees usually necessary to compete effectively in the SBIR program are relatively young and may not yet have arrived at the point in their careers where they own their own companies. However, they may well be ready to serve as principal investigators (PIs)
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