In reauthorizing the SBIR program, the Congress added a new feature to the program. We focused on the issue of duplicate funding of similar proposals because of several recent occurrences. These data provided additional evidence of the quality of research proposals and competitiveness of the program. Quality Research Proposals Kept Pace With Initial Program Expansion

Although it is too early to make a conclusive judgment about the effect of funding increases on the quality of SBIR research proposals that received awards, the high level of competition and the large numbers of worthy but unfunded projects suggest that quality research proposals kept pace with the program’s initial expansion. Agencies Have Not Implemented the Provision for Discretionary Technical Assistance but Have Taken Other Steps to Foster Commercialization

None of the five major agencies have implemented the 1992 discretionary technical assistance provision, and future implementation remains uncertain. Duplicate Funding of Research Has Become a Problem

Duplicate funding of similar proposals submitted to more than one agency has become a problem. According to agency officials, a few companies received funding for the same proposals twice, three times, and even five times before agencies became aware of the duplication. Lack of Current Information Contributes to the Problem

The lack of interagency access to and exchange of current information about SBIR awards contributes to the problem of duplicate funding.
Why GAO Did This Study

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.

What GAO Found

GAO found that: (1) the quality of research proposals has kept pace with the program's expansion; (2) it is too early to make a conclusive judgment about the long-term quality of research proposals because major increases in program funding have not yet occurred; (3) none of the five major agencies taking part in the SBIR program have implemented the discretionary provision for technical assistance to agencies and future implementation remains uncertain; (4) these agencies have taken steps to provide assistance with the commercialization of research results; (5) duplicate funding of similar research projects has become a problem due to the increasing numbers of research proposals submitted to the SBIR program; (6) a few companies received funding for the same proposals on more than one occasion before the agencies became aware of the duplication; and (7) duplicate funding occurs due to the evasion of certification procedures, lack of consensus on what constitutes a duplicate proposal, and the general lack of current information on recent SBIR awards.