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Federal Research: Interim Report on the Small Business Innovation Research Program

RCED-95-59 Published: Mar 08, 1995. Publicly Released: Mar 08, 1995.
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Highlights

Pursuant to a legislative requirement, GAO reviewed the Small Business Innovation Research (SBIR) Program, focusing on: (1) whether the quality of research proposals has kept pace with the program's expansion; (2) the implementation of a provision for technical assistance to agencies; and (3) the duplicate funding of similar research projects.

Recommendations

Recommendations for Executive Action

Agency Affected Recommendation Status
Small Business Administration The Administrator, Small Business Administration (SBA), should take steps to determine whether the certification form that accompanies SBIR proposals needs to be improved and, if so, take the necessary steps to revise it.
Closed – Implemented
In July 1995, SBA issued a program information notice specifying procedures to avoid funding duplicate research. In particular, the notice provided improved language for use by SBIR agencies in their SBIR certification forms. The language included a clear warning about the illegality of entering into contracts or grants requiring essentially equivalent effort. It added that, if there is any question concerning this (duplicative research), it must be disclosed to the soliciting agency or agencies before award.
Small Business Administration The Administrator, SBA, should take steps to develop substantive definitions and guidelines for agencies and companies regarding "duplicative" research.
Closed – Implemented
SBA's July 1995 program information notice provided guidelines regarding the avoidance of funding duplicate research. However, the notice does not contain substantive definitions to identify situations in which two proposals are sufficiently similar that both should not be funded. SBA has indicated that it believes the guidelines and other steps undertaken are sufficient and does not plan to develop substantive definitions in consultation with the SBIR agencies.
Small Business Administration The Administrator, SBA, should take steps to provide interagency access to current information regarding recent SBIR awards.
Closed – Implemented
SBA developed plans to link all of the SBIR agencies through the Internet to access SBIR data. Software has been written to make this feasible. SBA launched the system in July 1998.

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Topics

Federal agenciesInteragency relationsResearch and developmentResearch and development costsResearch grantsResearch program managementResearch programsSmall business assistanceTechnical assistanceTechnological innovations