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An Assessment of the SBIR Program at the Department of Defense (2009)

Chapter: Appendix A: DoD Data Book

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Suggested Citation:"Appendix A: DoD Data Book." National Research Council. 2009. An Assessment of the SBIR Program at the Department of Defense. Washington, DC: The National Academies Press. doi: 10.17226/11963.
×

Appendix A
DoD Data Book

AWARDS

TABLE App-A-1 DoD Phase I and Phase II Awards, per Year

Year

Number of Phase I Awards

Number of Phase II Awards

Total

1992

1,065

433

1,498

1993

1,303

591

1,894

1994

1,370

406

1,776

1995

1,262

575

1,837

1996

1,372

611

1,983

1997

1,526

638

2,164

1998

1,286

672

1,958

1999

1,393

568

1,961

2000

1,220

626

1,846

2001

1,310

702

2,012

2002

2,162

661

2,823

2003

2,113

1,078

3,191

2004

2,075

1,173

3,248

2005

2,344

998

3,342

Total

21,801

9,732

31,533

SOURCE: Department of Defense.

Suggested Citation:"Appendix A: DoD Data Book." National Research Council. 2009. An Assessment of the SBIR Program at the Department of Defense. Washington, DC: The National Academies Press. doi: 10.17226/11963.
×

TABLE App-A-2 DoD Phase I Awards by Component, per Year

Year

Number of Phase I Awards

Total

AF

ARMY

BMDO

CBD

DARPA

DSWA

DTRA

MDA

NAVY

NGA

NIMA

OSD

SOCOM

1992

230

224

0

0

169

24

0

209

209

0

0

0

0

1,065

1993

470

288

0

0

70

19

0

147

306

0

0

0

3

1,303

1994

390

175

0

0

328

9

0

161

290

0

0

0

17

1,370

1995

427

252

0

0

31

11

0

116

373

0

0

42

10

1,262

1996

310

247

0

0

237

15

0

140

361

0

0

56

6

1,372

1997

431

291

0

0

146

19

0

189

380

0

0

59

11

1,526

1998

471

200

167

20

44

0

9

11

229

0

3

115

17

1,286

1999

416

197

170

20

119

0

26

0

406

0

2

29

8

1,393

2000

367

198

230

26

82

0

20

0

216

0

6

56

19

1,220

2001

373

281

161

18

82

0

24

0

241

0

2

108

20

1,310

2002

427

282

2

34

120

0

23

520

578

0

4

128

44

2,162

2003

449

352

0

25

90

0

7

454

550

0

2

156

28

2,113

2004

527

356

0

27

155

0

0

315

585

2

0

83

25

2,075

2005

608

705

0

21

74

0

40

240

466

2

0

163

25

2,344

Total

5,896

4,048

730

191

1,747

97

149

2,502

5,190

4

19

995

233

21,801

SOURCE: Department of Defense.

Suggested Citation:"Appendix A: DoD Data Book." National Research Council. 2009. An Assessment of the SBIR Program at the Department of Defense. Washington, DC: The National Academies Press. doi: 10.17226/11963.
×

TABLE App-A-3 DoD Phase II Awards by Component, per Year

Year

Number of Phase II Awards

Total

AF

ARMY

BMDO

CBD

DARPA

DSWA

DTRA

MDA

NAVY

NGA

NIMA

OSD

SOCOM

1992

110

172

0

0

41

0

12

46

52

0

0

0

0

433

1993

199

123

0

0

83

0

6

60

120

0

0

0

0

591

1994

152

78

0

0

43

0

3

23

107

0

0

0

0

406

1995

191

131

0

0

84

0

6

34

127

0

0

0

2

575

1996

217

100

0

0

78

0

3

36

156

0

0

16

5

611

1997

221

113

0

0

57

0

6

51

164

0

0

23

3

638

1998

243

111

0

0

71

0

7

69

136

0

0

33

2

672

1999

212

105

0

6

44

0

7

43

107

0

0

37

7

568

2000

195

112

0

8

45

0

5

56

186

1

0

13

5

626

2001

221

180

0

7

53

0

6

59

136

3

0

29

8

702

2002

233

124

0

11

47

0

6

28

170

1

0

36

5

661

2003

234

323

0

10

66

0

3

184

193

1

0

50

14

1,078

2004

317

273

0

11

75

0

3

211

212

2

0

60

9

1,173

2005

339

123

0

7

80

0

4

102

290

1

0

38

14

998

Total

3,084

2,068

0

60

867

0

77

1,002

2,156

9

0

335

74

9,732

SOURCE: Department of Defense.

Suggested Citation:"Appendix A: DoD Data Book." National Research Council. 2009. An Assessment of the SBIR Program at the Department of Defense. Washington, DC: The National Academies Press. doi: 10.17226/11963.
×

TABLE App-A-4 DoD Total SBIR Awards by Component, per Year

Year

Number of SBIR Awards

Total

AF

ARMY

BMDO

CBD

DARPA

DSWA

DTRA

MDA

NAVY

NGA

NIMA

OSD

SOCOM

1992

340

396

0

0

210

24

12

255

261

0

0

0

0

1,498

1993

669

411

0

0

153

19

6

207

426

0

0

0

3

1,894

1994

542

253

0

0

371

9

3

184

397

0

0

0

17

1,776

1995

618

383

0

0

115

11

6

150

500

0

0

42

12

1,837

1996

527

347

0

0

315

15

3

176

517

0

0

72

11

1,983

1997

652

404

0

0

203

19

6

240

544

0

0

82

14

2,164

1998

714

311

167

20

115

0

16

80

365

0

3

148

19

1,958

1999

628

302

170

26

163

0

33

43

513

0

2

66

15

1,961

2000

562

310

230

34

127

0

25

56

402

1

6

69

24

1,846

2001

594

461

161

25

135

0

30

59

377

3

2

137

28

2,012

2002

660

406

2

45

167

0

29

548

748

1

4

164

49

2,823

2003

683

675

0

35

156

0

10

638

743

1

2

206

42

3,191

2004

844

629

0

38

230

0

3

526

797

4

0

143

34

3,248

2005

947

828

0

28

154

0

44

342

756

3

0

201

39

3,342

Total

8,980

6,116

730

251

2,614

97

226

3,504

7,346

13

19

1,330

307

31,533

SOURCE: Department of Defense.

Suggested Citation:"Appendix A: DoD Data Book." National Research Council. 2009. An Assessment of the SBIR Program at the Department of Defense. Washington, DC: The National Academies Press. doi: 10.17226/11963.
×

TABLE App-A-5 DoD Phase I Awards by Component, per Year (Percent of Annual Awards)

Year

Phase I Awards (Percent of Annual Awards)

Total

AF

ARMY

BMDO

CBD

DARPA

DSWA

DTRA

MDA

NAVY

NGA

NIMA

OSD

SOCOM

1992

21.6

21.0

0.0

0.0

15.9

2.3

0.0

19.6

19.6

0.0

0.0

0.0

0.0

100.0

1993

36.1

22.1

0.0

0.0

5.4

1.5

0.0

11.3

23.5

0.0

0.0

0.0

0.2

100.0

1994

28.5

12.8

0.0

0.0

23.9

0.7

0.0

11.8

21.2

0.0

0.0

0.0

1.2

100.0

1995

33.8

20.0

0.0

0.0

2.5

0.9

0.0

9.2

29.6

0.0

0.0

3.3

0.8

100.0

1996

22.6

18.0

0.0

0.0

17.3

1.1

0.0

10.2

26.3

0.0

0.0

4.1

0.4

100.0

1997

28.2

19.1

0.0

0.0

9.6

1.2

0.0

12.4

24.9

0.0

0.0

3.9

0.7

100.0

1998

36.6

15.6

13.0

1.6

3.4

0.0

0.7

0.9

17.8

0.0

0.2

8.9

1.3

100.0

1999

29.9

14.1

12.2

1.4

8.5

0.0

1.9

0.0

29.1

0.0

0.1

2.1

0.6

100.0

2000

30.1

16.2

18.9

2.1

6.7

0.0

1.6

0.0

17.7

0.0

0.5

4.6

1.6

100.0

2001

28.5

21.5

12.3

1.4

6.3

0.0

1.8

0.0

18.4

0.0

0.2

8.2

1.5

100.0

2002

19.8

13.0

0.1

1.6

5.6

0.0

1.1

24.1

26.7

0.0

0.2

5.9

2.0

100.0

2003

21.2

16.7

0.0

1.2

4.3

0.0

0.3

21.5

26.0

0.0

0.1

7.4

1.3

100.0

2004

25.4

17.2

0.0

1.3

7.5

0.0

0.0

15.2

28.2

0.1

0.0

4.0

1.2

100.0

2005

25.9

30.1

0.0

0.9

3.2

0.0

1.7

10.2

19.9

0.1

0.0

7.0

1.1

100.0

Total

27.0

18.6

3.3

0.9

8.0

0.4

0.7

11.5

23.8

0.0

0.1

4.6

1.1

100.0

SOURCE: Department of Defense.

Suggested Citation:"Appendix A: DoD Data Book." National Research Council. 2009. An Assessment of the SBIR Program at the Department of Defense. Washington, DC: The National Academies Press. doi: 10.17226/11963.
×

TABLE App-A-6 DoD Phase II Awards by Component, per Year (Percent of Annual Awards)

Year

Phase II Awards (Percent of Annual Awards)

Total

AF

ARMY

BMDO

CBD

DARPA

DSWA

DTRA

MDA

NAVY

NGA

NIMA

OSD

SOCOM

1992

25.4

39.7

0.0

0.0

9.5

0.0

2.8

10.6

12.0

0.0

0.0

0.0

0.0

100.0

1993

33.7

20.8

0.0

0.0

14.0

0.0

1.0

10.2

20.3

0.0

0.0

0.0

0.0

100.0

1994

37.4

19.2

0.0

0.0

10.6

0.0

0.7

5.7

26.4

0.0

0.0

0.0

0.0

100.0

1995

33.2

22.8

0.0

0.0

14.6

0.0

1.0

5.9

22.1

0.0

0.0

0.0

0.3

100.0

1996

35.5

16.4

0.0

0.0

12.8

0.0

0.5

5.9

25.5

0.0

0.0

2.6

0.8

100.0

1997

34.6

17.7

0.0

0.0

8.9

0.0

0.9

8.0

25.7

0.0

0.0

3.6

0.5

100.0

1998

36.2

16.5

0.0

0.0

10.6

0.0

1.0

10.3

20.2

0.0

0.0

4.9

0.3

100.0

1999

37.3

18.5

0.0

1.1

7.7

0.0

1.2

7.6

18.8

0.0

0.0

6.5

1.2

100.0

2000

31.2

17.9

0.0

1.3

7.2

0.0

0.8

8.9

29.7

0.2

0.0

2.1

0.8

100.0

2001

31.5

25.6

0.0

1.0

7.5

0.0

0.9

8.4

19.4

0.4

0.0

4.1

1.1

100.0

2002

35.2

18.8

0.0

1.7

7.1

0.0

0.9

4.2

25.7

0.2

0.0

5.4

0.8

100.0

2003

21.7

30.0

0.0

0.9

6.1

0.0

0.3

17.1

17.9

0.1

0.0

4.6

1.3

100.0

2004

27.0

23.3

0.0

0.9

6.4

0.0

0.3

18.0

18.1

0.2

0.0

5.1

0.8

100.0

2005

34.0

12.3

0.0

0.7

8.0

0.0

0.4

10.2

29.1

0.1

0.0

3.8

1.4

100.0

Total

31.7

21.2

0.0

0.6

8.9

0.0

0.8

10.3

22.2

0.1

0.0

3.4

0.8

100.0

SOURCE: Department of Defense.

Suggested Citation:"Appendix A: DoD Data Book." National Research Council. 2009. An Assessment of the SBIR Program at the Department of Defense. Washington, DC: The National Academies Press. doi: 10.17226/11963.
×

TABLE App-A-7 DoD Phase I and Phase II Awards by Component, per Year (Percent of Annual Awards)

Year

Phase I and Phase II Awards (Percent of Annual Awards)

Total

AF

ARMY

BMDO

CBD

DARPA

DSWA

DTRA

MDA

NAVY

NGA

NIMA

OSD

SOCOM

1992

22.7

26.4

0.0

0.0

14.0

1.6

0.8

17.0

17.4

0.0

0.0

0.0

0.0

100.0

1993

35.3

21.7

0.0

0.0

8.1

1.0

0.3

10.9

22.5

0.0

0.0

0.0

0.2

100.0

1994

30.5

14.2

0.0

0.0

20.9

0.5

0.2

10.4

22.4

0.0

0.0

0.0

1.0

100.0

1995

33.6

20.8

0.0

0.0

6.3

0.6

0.3

8.2

27.2

0.0

0.0

2.3

0.7

100.0

1996

26.6

17.5

0.0

0.0

15.9

0.8

0.2

8.9

26.1

0.0

0.0

3.6

0.6

100.0

1997

30.1

18.7

0.0

0.0

9.4

0.9

0.3

11.1

25.1

0.0

0.0

3.8

0.6

100.0

1998

36.5

15.9

8.5

1.0

5.9

0.0

0.8

4.1

18.6

0.0

0.2

7.6

1.0

100.0

1999

32.0

15.4

8.7

1.3

8.3

0.0

1.7

2.2

26.2

0.0

0.1

3.4

0.8

100.0

2000

30.4

16.8

12.5

1.8

6.9

0.0

1.4

3.0

21.8

0.1

0.3

3.7

1.3

100.0

2001

29.5

22.9

8.0

1.2

6.7

0.0

1.5

2.9

18.7

0.1

0.1

6.8

1.4

100.0

2002

23.4

14.4

0.1

1.6

5.9

0.0

1.0

19.4

26.5

0.0

0.1

5.8

1.7

100.0

2003

21.4

21.2

0.0

1.1

4.9

0.0

0.3

20.0

23.3

0.0

0.1

6.5

1.3

100.0

2004

26.0

19.4

0.0

1.2

7.1

0.0

0.1

16.2

24.5

0.1

0.0

4.4

1.0

100.0

2005

28.3

24.8

0.0

0.8

4.6

0.0

1.3

10.2

22.6

0.1

0.0

6.0

1.2

100.0

Total

28.5

19.4

2.3

0.8

8.3

0.3

0.7

11.1

23.3

0.0

0.1

4.2

1.0

100.0

SOURCE: Department of Defense.

Suggested Citation:"Appendix A: DoD Data Book." National Research Council. 2009. An Assessment of the SBIR Program at the Department of Defense. Washington, DC: The National Academies Press. doi: 10.17226/11963.
×

TABLE App-A-8 DoD Phase I and Phase II Awards, per State (1992–2005)

Phase I Awards

Phase II Awards

Total Awards

State

Number

Percent

State

Number

Percent

State

Number

Percent

CA

4,929

22.61

CA

2,198

22.59

CA

7,127

22.60

MA

3,212

14.73

MA

1,412

14.51

MA

4,624

14.66

VA

1,607

7.37

VA

741

7.61

VA

2,348

7.45

MD

1,047

4.80

OH

447

4.59

MD

1,478

4.69

OH

929

4.26

CO

435

4.47

OH

1,376

4.36

CO

928

4.26

MD

431

4.43

CO

1,363

4.32

NY

869

3.99

PA

413

4.24

NY

1,269

4.02

TX

848

3.89

NY

400

4.11

PA

1,250

3.96

PA

837

3.84

TX

346

3.56

TX

1,194

3.79

NJ

687

3.15

NJ

309

3.18

NJ

996

3.16

FL

582

2.67

FL

240

2.47

FL

822

2.61

AL

513

2.35

AL

227

2.33

AL

740

2.35

AZ

461

2.11

NM

203

2.09

NM

659

2.09

NM

456

2.09

MI

194

1.99

AZ

616

1.95

MI

420

1.93

CT

191

1.96

MI

614

1.95

CT

392

1.80

WA

165

1.70

CT

583

1.85

WA

326

1.50

AZ

155

1.59

WA

491

1.56

MN

294

1.35

MN

127

1.30

MN

421

1.34

NH

248

1.14

NH

124

1.27

NH

372

1.18

IL

214

0.98

IL

94

0.97

IL

308

0.98

GA

202

0.93

GA

92

0.95

GA

294

0.93

NC

178

0.82

NC

79

0.81

NC

257

0.82

UT

151

0.69

UT

76

0.78

UT

227

0.72

TN

142

0.65

TN

69

0.71

TN

211

0.67

OR

140

0.64

OR

63

0.65

OR

203

0.64

IN

94

0.43

NV

48

0.49

IN

130

0.41

Suggested Citation:"Appendix A: DoD Data Book." National Research Council. 2009. An Assessment of the SBIR Program at the Department of Defense. Washington, DC: The National Academies Press. doi: 10.17226/11963.
×

Phase I Awards

Phase II Awards

Total Awards

State

Number

Percent

State

Number

Percent

State

Number

Percent

MO

92

0.42

WI

46

0.47

WI

129

0.41

OK

84

0.39

IN

36

0.37

MO

122

0.39

WI

83

0.38

RI

32

0.33

NV

117

0.37

RI

73

0.33

MO

30

0.31

OK

113

0.36

NV

69

0.32

OK

29

0.30

RI

105

0.33

ME

63

0.29

ME

26

0.27

ME

89

0.28

HI

59

0.27

WV

25

0.26

HI

79

0.25

LA

57

0.26

MT

25

0.26

DE

77

0.24

DE

56

0.26

KS

22

0.23

LA

75

0.24

SC

56

0.26

DE

21

0.22

SC

75

0.24

WV

50

0.23

HI

20

0.21

WV

75

0.24

DC

49

0.22

VT

19

0.20

MT

72

0.23

MT

47

0.22

SC

19

0.20

KS

67

0.21

KS

45

0.21

LA

18

0.18

DC

62

0.20

VT

43

0.20

ID

13

0.13

VT

62

0.20

ID

36

0.17

DC

13

0.13

ID

49

0.16

MS

26

0.12

NE

11

0.11

MS

37

0.12

IA

21

0.10

MS

11

0.11

IA

30

0.10

KY

20

0.09

IA

9

0.09

NE

29

0.09

NE

18

0.08

AR

8

0.08

KY

27

0.09

AR

15

0.07

KY

7

0.07

AR

23

0.07

WY

10

0.05

ND

6

0.06

ND

15

0.05

ND

9

0.04

WY

3

0.03

WY

13

0.04

AK

7

0.03

SD

2

0.02

AK

9

0.03

SD

7

0.03

AK

2

0.02

SD

9

0.03

Total

21,801

 

Total

9,732

 

Total

31,533

 

SOURCE: Department of Defense.

Suggested Citation:"Appendix A: DoD Data Book." National Research Council. 2009. An Assessment of the SBIR Program at the Department of Defense. Washington, DC: The National Academies Press. doi: 10.17226/11963.
×

TABLE App-A-9 DoD Awards by Demographics

DoD Awards to Woman-owned Firms

DoD Awards to Minority-owned Firms

Year

Number of Phase I Awards

Number of Phase II Awards

Total

Year

Number of Phase I Awards

Number of Phase II Awards

Total

1992

89

29

118

1992

127

67

194

1993

110

49

159

1993

190

69

259

1994

118

36

154

1994

199

43

242

1995

101

53

154

1995

180

89

269

1996

134

51

185

1996

197

86

283

1997

129

58

187

1997

196

117

313

1998

108

62

170

1998

137

107

244

1999

129

44

173

1999

195

73

268

2000

110

62

172

2000

143

74

217

2001

141

75

216

2001

148

80

228

2002

219

60

279

2002

249

63

312

2003

213

110

323

2003

229

98

327

2004

206

117

323

2004

200

102

302

2005

303

132

435

2005

219

116

335

Total

2,110

938

3,048

Total

2,609

1,184

3,793

DoD Awards to Minority Woman-owned Firms

DoD Awards to Either Minority- or Woman-owned Firms

Year

Number of Phase I Awards

Number of Phase II Awards

Total

Year

Number of Phase I Awards

Number of Phase II Awards

Total

1992

32

8

40

1992

184

88

272

1993

31

7

38

1993

269

111

380

1994

20

5

25

1994

297

74

371

1995

25

12

37

1995

256

130

386

1996

27

11

38

1996

304

126

430

1997

31

18

49

1997

294

157

451

1998

26

14

40

1998

219

155

374

1999

31

8

39

1999

293

109

402

2000

19

10

29

2000

234

126

360

2001

28

9

37

2001

261

146

407

2002

51

14

65

2002

417

109

526

2003

34

19

53

2003

408

189

597

2004

38

16

54

2004

368

203

571

2005

43

23

66

2005

479

225

704

Total

436

174

610

Total

4,283

1,948

6,231

SOURCE: Department of Defense.

Suggested Citation:"Appendix A: DoD Data Book." National Research Council. 2009. An Assessment of the SBIR Program at the Department of Defense. Washington, DC: The National Academies Press. doi: 10.17226/11963.
×

TABLE App-A-10 Award Distribution

FY

Mean ($)

Count

Minimum ($)

Maximum ($)

Sum ($)

Median ($)

Phase I

Phase II

Phase I

Phase II

Phase I

Phase II

Phase I

Phase II

Phase I

Phase II

Phase I

Phase II

1992

51,952

502,886

1,065

433

23,980

77,464

150,000

6,190,970

55,328,849

217,749,677

49,985

496,424

1993

56,939

560,752

1,303

591

6,622

50,000

238,729

4,293,621

74,191,797

331,404,639

50,000

502,567

1994

74,454

626,667

1,370

406

25,698

94,995

118,086

1,975,000

102,001,625

254,426,790

69,969

646,025

1995

76,269

668,247

1,262

575

9,164

114,749

129,770

4,236,522

96,251,012

384,241,870

71,900

650,400

1996

81,695

692,883

1,372

611

34,150

69,977

150,803

5,776,851

112,084,899

423,351,421

70,757

710,501

1997

88,074

742,196

1,526

638

6,170

87,650

153,675

6,838,043

134,401,334

473,520,837

98,796

744,797

1998

89,242

748,204

1,286

672

5,388

69,673

163,805

2,382,173

114,765,110

502,792,826

99,114

748,237

1999

85,741

789,013

1,393

568

0

190,195

198,216

4,089,106

119,437,606

448,159,151

91,629

749,262

2000

89,587

817,288

1,220

626

0

99,304

179,968

3,562,762

109,296,293

511,622,538

99,000

749,110

2001

91,656

836,488

1,310

702

45,500

124,997

262,540

6,361,394

120,069,946

587,214,239

99,568

748,121

2002

88,049

844,539

2,162

661

40,002

65,000

303,996

7,674,976

190,362,208

558,240,048

98,449

749,731

2003

88,776

807,484

2,113

1,078

36,595

8,897

448,796

4,024,384

187,584,379

870,468,216

98,979

747,245

2004

95,224

772,776

2,075

1,173

25,000

104,211

597,999

4,829,998

197,590,105

906,466,318

99,820

747,989

2005

91,076

730,747

2,344

998

33,944

50,000

163,050

4,294,783

213,482,151

729,285,506

99,439

748,994

SOURCE: Department of Defense.

Suggested Citation:"Appendix A: DoD Data Book." National Research Council. 2009. An Assessment of the SBIR Program at the Department of Defense. Washington, DC: The National Academies Press. doi: 10.17226/11963.
×

TABLE App-A-11 Phase I–Extra-large Awards

Fiscal Year

>$150,000

Percent

n

1992

0

0.0

1,065

1993

3

0.2

1,303

1994

0

0.0

1,370

1995

0

0.0

1,262

1996

1

0.1

1,372

1997

1

0.1

1,526

1998

1

0.1

1,286

1999

3

0.2

1,393

2000

1

0.1

1,220

2001

4

0.3

1,310

2002

7

0.3

2,162

2003

4

0.2

2,113

2004

4

0.2

2,075

2005

2

0.1

2,344

SOURCE: Department of Defense.

TABLE App-A-12 Phase II Multiple-award Winners 1992–2005 at DoD

Firm Name

Number of Phase I Awards

Number of Phase II Awards

FOSTER-MILLER, INC.

361

140

PHYSICAL OPTICS CORP.

316

117

PHYSICAL SCIENCES, INC.

170

75

MISSION RESEARCH CORP.

126

69

ALPHATECH, INC.

117

68

CREARE, INC.

129

60

CHARLES RIVER ANALYTICS, INC.

112

60

CFD RESEARCH CORP.

107

56

TRITON SYSTEMS, INC.

125

55

COHERENT TECHNOLOGIES, INC.

101

53

TECHNOLOGY SERVICE CORP.

90

42

CYBERNET SYSTEMS CORP.

95

41

SCIENTIFIC SYSTEMS CO., INC.

91

38

DIGITAL SYSTEM RESOURCES, INC.

48

36

STOTTLER HENKE ASSOC., INC.

84

36

TEXAS RESEARCH INSTITUTE AUSTIN, INC.

77

36

ORINCON CORP.

97

36

METROLASER, INC.

66

35

SYSTEMS & PROCESS ENGINEERING CO.

69

35

TOYON RESEARCH CORP.

65

34

Total and Average (conversion rate)

2,446

1,122

SOURCE: DoD awards database.

Suggested Citation:"Appendix A: DoD Data Book." National Research Council. 2009. An Assessment of the SBIR Program at the Department of Defense. Washington, DC: The National Academies Press. doi: 10.17226/11963.
×

TABLE App-A-13 Phase II Awards

Fiscal Year

Count

Mean ($)

Maximum ($)

Minimum ($)

Sum ($)

Median ($)

1992

433

502,886

6,190,970

77,464

217,749,677

496,424

1993

591

560,752

4,293,621

50,000

331,404,639

502,567

1994

406

626,667

1,975,000

94,995

254,426,790

646,025

1995

575

668,247

4,236,522

114,749

384,241,870

650,400

1996

611

692,883

5,776,851

69,977

423,351,421

710,501

1997

638

742,196

6,838,043

87,650

473,520,837

744,797

1998

672

748,204

2,382,173

69,673

502,792,826

748,237

1999

568

789,013

4,089,106

190,195

448,159,151

749,262

2000

626

817,288

3,562,762

99,304

511,622,538

749,110

2001

702

836,488

6,361,394

124,997

587,214,239

748,121

2002

661

844,539

7,674,976

65,000

558,240,048

749,731

2003

1,078

807,484

4,024,384

8,897

870,468,216

747,245

2004

1,173

772,776

4,829,998

104,211

906,466,318

747,989

2005

998

730,747

4,294,783

50,000

729,285,506

748,994

SOURCE: Department of Defense.

TABLE App-A-14 Phase II by Demographics—Woman-owned

 

Count

Mean ($)

Maximum ($)

Minimum ($)

Sum

1992

29

502,363

748,583

200,000

14,568,532

1993

49

547,885

1,230,770

163,021

26,846,376

1994

36

580,652

852,668

150,000

20,903,470

1995

53

638,463

1,707,915

224,960

33,838,550

1996

51

623,435

996,288

363,449

31,795,210

1997

58

657,143

1,249,871

183,998

38,114,287

1998

62

777,291

1,958,009

268,238

48,192,039

1999

44

773,759

1,626,792

515,786

34,045,389

2000

62

789,916

2,017,000

199,958

48,974,781

2001

75

819,575

3,615,525

190,093

61,468,152

2002

60

860,196

2,335,074

65,000

51,611,735

2003

110

803,592

1,799,791

261,943

88,395,121

2004

117

735,810

1,519,149

369,632

86,089,731

2005

132

729,750

4,294,783

299,921

96,327,003

SOURCE: Department of Defense.

Suggested Citation:"Appendix A: DoD Data Book." National Research Council. 2009. An Assessment of the SBIR Program at the Department of Defense. Washington, DC: The National Academies Press. doi: 10.17226/11963.
×

TABLE App-A-15 Phase II by Demographics—Minority-owned

 

Count

Mean ($)

Maximum ($)

Minimum ($)

Sum ($)

1992

67

489,965

1,109,000

127,471

32,827,629

1993

69

525,801

1,044,526

112,775

36,280,278

1994

43

586,361

950,000

197,920

25,213,518

1995

89

666,279

1,550,000

247,339

59,298,801

1996

86

636,184

1,070,892

99,736

54,711,843

1997

117

705,905

1,900,572

206,467

82,590,936

1998

107

776,878

1,958,009

200,000

83,125,959

1999

73

816,322

2,631,489

474,959

59,591,489

2000

74

856,165

3,319,713

374,912

63,356,204

2001

80

838,708

3,615,525

124,997

67,096,603

2002

63

797,885

1,470,483

298,762

50,266,775

2003

98

780,273

1,880,376

154,388

76,466,762

2004

102

767,082

1,500,000

399,974

78,242,363

2005

116

725,954

1,636,356

265,273

84,210,673

SOURCE: Department of Defense.

TABLE App-A-16 Phase II by Demographics—Both Woman- and Minority-owned

 

Count

Mean ($)

Maximum ($)

Minimum ($)

Sum ($)

1992

8

508,405

748,583

300,000

4,067,240

1993

7

533,298

1,044,526

247,707

3,733,085

1994

5

540,330

750,000

455,810

2,701,652

1995

12

614,381

822,583

371,191

7,372,572

1996

11

602,246

750,000

374,975

6,624,703

1997

18

613,276

813,216

206,467

11,038,971

1998

14

957,908

1,958,009

284,000

13,410,707

1999

8

851,092

1,626,792

598,865

6,808,736

2000

10

796,973

1,449,309

374,912

7,969,731

2001

9

1,073,370

3,615,525

190,093

9,660,331

2002

14

783,051

1,241,412

298,762

10,962,716

2003

19

869,871

1,799,791

598,405

16,527,544

2004

16

799,599

1,459,029

548,659

12,793,584

2005

23

774,584

1,501,563

399,847

17,815,442

SOURCE: Department of Defense.

Suggested Citation:"Appendix A: DoD Data Book." National Research Council. 2009. An Assessment of the SBIR Program at the Department of Defense. Washington, DC: The National Academies Press. doi: 10.17226/11963.
×

TABLE App-A-17 Phase II Awards by Unit

Component

Number of Awards

Percent of Total

1992

1993

1994

1995

1996

1997

1998

1999

2000

2001

2002

2003

2004

2005

Awards

AF

110

199

152

191

217

221

243

212

195

221

233

234

317

339

3,084

31.7

ARMY

172

123

78

131

100

113

111

105

112

180

124

323

273

123

2,068

21.2

BMDO

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0.0

CBD

0

0

0

0

0

0

0

6

8

7

11

10

11

7

60

0.6

DARPA

41

83

43

84

78

57

71

44

45

53

47

66

75

80

867

8.9

DSWA

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0.0

DTRA

12

6

3

6

3

6

7

7

5

6

6

3

3

4

77

0.8

MDA

46

60

23

34

36

51

69

43

56

59

28

184

211

102

1,002

10.3

NAVY

52

120

107

127

156

164

136

107

186

136

170

193

212

290

2,156

22.2

NGA

0

0

0

0

0

0

0

0

1

3

1

1

2

1

9

0.1

NIMA

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0.0

OSD

0

0

0

0

16

23

33

37

13

29

36

50

60

38

335

3.4

SOCOM

0

0

0

2

5

3

2

7

5

8

5

14

9

14

74

0.8

Total

433

591

406

575

611

638

672

568

626

702

661

1,078

1,173

998

9,732

100

SOURCE: Department of Defense.

Suggested Citation:"Appendix A: DoD Data Book." National Research Council. 2009. An Assessment of the SBIR Program at the Department of Defense. Washington, DC: The National Academies Press. doi: 10.17226/11963.
×

OUTCOMES

TABLE App-A-18 Project Status

 

1. What is the current status of the project funded by the referenced SBIR award? Select the one best answer.

Percentages are based on the 920 respondents who answered this question (#1).

 

Count

Percent

 

 

43

4.7

a. Project has not yet completed Phase II.

 

214

23.3

b. Efforts at this company have been discontinued. No sales or additional funding resulted from this project.

 

92

10.0

c. Efforts at this company have been discontinued. The project did result in sales, licensing of technology, or additional funding.

 

244

26.5

d. Project is continuing post-Phase II technology development.

 

145

15.8

e. Commercialization is underway.

 

182

19.8

f. Products/Processes/Services are in use by target population/customer/consumers.

n=920

920

100.0

 

 

43

4.7

a.

 

214

23.3

b.

 

257

27.9

Projects not completed or discontinued without sales.

 

214

23.3

b.

 

92

10.0

c.

Next: Question 2

306

33.3

Projects discontinued.

 

92

10.0

c.

 

244

26.5

d.

 

145

15.8

e.

 

182

19.8

f.

Next: Question 3

663

72.1

Projects that could answer commercialization questions.

SOURCE: NRC Phase II Survey.

Suggested Citation:"Appendix A: DoD Data Book." National Research Council. 2009. An Assessment of the SBIR Program at the Department of Defense. Washington, DC: The National Academies Press. doi: 10.17226/11963.
×

TABLE App-A-19 Reasons for Discontinuing

 

2. Did the reasons for discontinuing this project include any of the following?

(PLEASE SELECT YES OR NO FOR EACH REASON AND NOTE THE ONE PRIMARY REASON)

(see Question 1)

300 of 306 projects answered this question (#2).

The percentages below are the percent of the discontinued projects that responded with the indicated response.

 

Yes

No

Primary Reason

Yes (Percent)

No (Percent)

Primary Reason (Percent)

 

 

79

221

31

26

74

10

a. Technical failure or difficulties

 

171

129

78

57

43

26

b. Market demand too small

 

58

242

8

19

81

3

c. Level of technical risk too high

 

169

131

59

56

44

20

d. Not enough funding

 

95

205

21

32

68

7

e. Company shifted priorities

 

37

263

7

12

88

2

f. Principal investigator left

 

178

122

30

59

41

10

g. Project goal was achieved (e.g. prototype delivered for federal agency use)

 

14

286

7

5

96

2

h. Licensed to another company

 

71

229

10

24

76

3

i. Product, process, or service not competitive

 

60

240

9

20

80

3

j. Inadequate sales capability

n=300

65

235

40

22

78

13

k. Other (please specify):

SOURCE: NRC Phase II Survey.

Suggested Citation:"Appendix A: DoD Data Book." National Research Council. 2009. An Assessment of the SBIR Program at the Department of Defense. Washington, DC: The National Academies Press. doi: 10.17226/11963.
×

TABLE App-A-20 Sales

 

3. Has your company and/or licensee had any actual sales of products, processes, services or other sales incorporating the technology developed during this project?

(Select all that apply.)

This question was not answered for those projects still in Phase II (5 percent) or for projects, which were discontinued without sales or additional funding (23 percent).

The denominator for the percentages below is all projects that answered the survey.

(See Question 1)

660 of 663 projects answered this question (#3).

 

Count

Percent

 

 

(See Question 8)

169

25.6

 

a. No sales to date, but sales are expected

 

71

10.8

 

b. No sales to date nor are sales expected

 

319

48.3

 

c. Sales of product(s)

 

57

8.6

 

d. Sales of process(es)

 

180

27.3

 

e. Sales of services(s)

 

61

9.2

 

f. Other sales (e.g. rights to technology, licensing, etc.)

n=660

857

129.8

 

Multiple answers allowed. Question asked to select all that applied.

 

Count

Percent

 

 

 

214

 

1b

 

 

71

 

3b

 

 

285

31.0

 

We can conclude that 31 percent of the projects have no sales to date, and expect none.

SOURCE: NRC Phase II Survey.

TABLE App-A-21 Project Status II

 

Percent

Count

 

1a

4.7

43

Phase II Project not completed yet

1b

23.3

214

Projects abandoned, no sales/revenues

(1c,d,e,f)x(3a)

17.6

162

Projects in development, expecting sales

(1d,e,f)x(3b)

4.2

39

Projects in development, not expecting sales

(1c,d,e,f)x(3c,d,e,f)

45.7

420

Projects with some sales/revenues

(1c)x(3a)

0.8

7

(Discont. w/sales)x(no sales to date, sales expected)

(1c)x(3b)

3.0

28

(Discont. w/sales)x(no sales to date, none expected)

 

0.8

7

Projects dropped out of survey before answering

 

100.0

920

 

SOURCE: NRC Phase II Survey.

Suggested Citation:"Appendix A: DoD Data Book." National Research Council. 2009. An Assessment of the SBIR Program at the Department of Defense. Washington, DC: The National Academies Press. doi: 10.17226/11963.
×

TABLE App-A-22 Sales Dollars

(see sales)

Of the 420 projects that reported sales or licensing at time of survey, 399 projects reported the year for first sale (Question 4).

Of the 399 projects that reported the year for first sale, 378 projects reported company sales dollar amount > 0 (Question 4b company only)

 

Count

Percent

 

q_4_b_company

 

246

65.1

> 0 and <$1M

Mean

$2,894,834

 

94

24.9

$1M to <$5M

Standard Error

$506,081

 

10

2.6

$5M to <$10M

Median

$500,000

 

25

6.6

$10M to <$50M

Mode

$500,000

 

3

0.8

$50M +

Standard Deviation

$9,839,338

 

 

 

 

Range

$121,999,999

 

378

100.0

Total

Minimum

$1

 

 

 

 

Maximum

$122,000,000

 

 

 

 

Sum

$1,094,247,315

 

 

 

 

Count

378

 

Of the 420 projects that reported sales or licensing at time of survey, 399 projects reported the year for first sale (Question 4).

Of the 399 projects that reported the year for first sale, 393 projects reported a combined sales dollar amount > 0 (Questions 4a + 4b)

 

Count

Percent

 

4: total combined sales

 

235

59.8

> 0 and <$1M

Mean

$3,244,750

 

106

27.0

$1M to <5M

Standard Error

$500,065

 

49

12.5

$5M to <50M

Median

$599,000

 

3

0.8

$50M +

Mode

$1,000,000

 

 

 

 

Standard Deviation

$9,913,396

 

393

100.0

Total

Range

$124,499,998

 

 

 

 

Minimum

$2

 

 

 

 

Maximum

$124,500,000

 

 

 

 

Sum

$1,275,186,865

 

 

 

 

Count

393

 

Of the 420 projects that reported sales or licensing at time of survey, 142 projects reported the year for first sale by licensees (Question 4).

Of the 142 projects that reported the year for first sale by lincensees, 33 projects reported company sales dollar amount > 0 (Question 4b licensee)

 

Count

Percent

 

q_4_b_licensee

 

17

4.3

> 0 and <$1M

Mean

$2,833,485

 

10

2.5

$1M to <5M

Standard Error

$824,733

 

6

1.5

$5M to <50M

Median

$500,000

 

0

0.0

$50M +

Mode

$100,000

 

 

 

 

Standard Deviation

$4,737,728

 

33

100.0

Total

Range

$19,991,000

 

 

 

 

Minimum

$9,000

 

 

 

 

Maximum

$20,000,000

 

 

 

 

Sum

$93,505,000

 

 

 

 

Count

33

SOURCE: NRC Phase II Survey.

Suggested Citation:"Appendix A: DoD Data Book." National Research Council. 2009. An Assessment of the SBIR Program at the Department of Defense. Washington, DC: The National Academies Press. doi: 10.17226/11963.
×

TABLE App-A-23 Sales by Licensees

(see sales)

Of the 420 projects that reported sales or licensing at time of survey, 142 projects reported the year for first sale (Question 4).

Of the 142 projects that reported the year for first sale, 33 projects reported company sales dollar amount > 0 (Question 4b company only)

 

Count

Percent

 

q_4_b_licensee

 

17

51.5

> 0 and <$1M

Mean

$2,833,485

 

10

30.3

$1M to <$5M

Median

$500,000

 

2

6.1

$5M to <$10M

Mode

$100,000

 

4

12.1

$10M to <$50M

Standard Deviation

$4,737,728

 

0

0.0

$50M +

Range

$19,991,000

 

 

 

 

Minimum

$9,000

 

33

100.0

Total

Maximum

$20,000,000

 

 

 

 

Sum

$93,505,000

 

 

 

 

Count

33

SOURCE: NRC Phase II Survey.

Suggested Citation:"Appendix A: DoD Data Book." National Research Council. 2009. An Assessment of the SBIR Program at the Department of Defense. Washington, DC: The National Academies Press. doi: 10.17226/11963.
×

TABLE App-A-24 Products

 

Question 3: These are projects that have received at least some revenue from sales or licensing.

Double counts were removed from question 3c, d, e, and f (Using the Phase 2 Survey).

660 projects answered question #3, 420 answered positive to some revenue.

 

Count

Percent

 

n=920

420

45.7

of the 920 total projects surveyed

 

Phase 2 projects not yet completed were removed.

 

920

 

Total Projects Surveyed

 

43

1a

Project has not yet completed Phase II

 

877

 

 

 

Count

Percent

 

n=877

420

47.9

 

Next: Sales Dollars

Thus, 48 percent of completed Phase II projects had some revenue from sales or licensing at time of survey.

 

Question 7: Did a commercial product result from this Phase II project?

Of the possible 660 responses, only 390 answered

 

Count

Percent

 

 

254

65.1

Reported “Yes” for a commercial product as result of this project? (Question 7)

 

136

34.9

Reported “No” for a commercial product as result of this project? (Question 7)

n=390

390

100.0

Total responses to Question 7.

 

For the whole survey (n=920), only 27 percent reported a commercial product.

This would assume that the 270 nonreponses to Q7 (660 − 390 = 270) did not have a commercial product.

n=920

254

27.6%

for (n=920)

SOURCE: NRC Phase II Survey.

Suggested Citation:"Appendix A: DoD Data Book." National Research Council. 2009. An Assessment of the SBIR Program at the Department of Defense. Washington, DC: The National Academies Press. doi: 10.17226/11963.
×

TABLE App-A-25 Sales Forecasts

(See Question 3)

From question 3a, 169 projects did not have sales, but expect some in the future.

 

168 responded to question 8: Expected year of sales?

 

Year of Expected Sales

Number of Projects

Percent

Mean Sales Expectation ($)

Projects Reporting Expections

Percent

 

2005

37

22.0

869,167

36

33.0

 

2006

70

41.7

1,873,156

64

58.7

 

2007

31

18.5

152,500

6

5.5

 

2008

18

10.7

550,000

2

1.8

 

2009

5

3.0

 

0

0.0

 

2010

7

4.2

100,000

1

0.9

 

 

168

 

 

109

 

More than 80 percent of projects reporting a year of expected sales were within 3 years.

More the 90 percent of project reporting expected sales dollars were within 2 years.

SOURCE: NRC Phase II Survey.

TABLE App-A-26 Sales Expectations

 

Count

Percent

 

 

(See Question 1)

43

 

1a

Phase II not yet complete

(See Question 1)

214

 

1b

Sales not expected

(See Question 1)

663

 

1c, d, e, f

Had sales or expect sales (See details below)

 

920

 

 

Total Surveyed

(See Sales)

420

 

 

Reported sales

(See Question 3)

169

 

3a

Sales are expected

(See Question 3)

71

 

3b

Sales not expected

(See Question 3)

3

 

 

No response. 660 of 663 answered the question.

 

663

 

1c, d, e, f

Had sales or expect sales

 

420

46

 

Reported sales

 

169

18

 

Sales expected

 

285

31

1b+3b

Sales not expected

 

43

5

 

Phase II not complete

 

3

0

 

No response

 

920

100

 

 

In the Phase II survey, the term “sales” was defined to inclued all sales of a product, process, or service, to federal or private sector customes resulting from the technology developed during the Phase II project. A sale also includes licensing, the sale of technology or rights, etc.

SOURCE: NRC Phase II Survey.

Suggested Citation:"Appendix A: DoD Data Book." National Research Council. 2009. An Assessment of the SBIR Program at the Department of Defense. Washington, DC: The National Academies Press. doi: 10.17226/11963.
×

TABLE App-A-27 Sales by Number of Employees at Time of Survey

Of the 420 projects that reported sales or licensing at time of survey, only 399 projects reported the year for first sale (Question 4).

Of the 399 projects that reported the year for first sale, 393 projects reported a combined sales dollar amount > 0 (Questions 4a + 4b)

Of the 393 project that reported a combined sales dollar amount > 0, 379 projects reported their current number of of employees.

Employees

<$100K

$100K to < $1M

$1M to <$5M

$5M to <$50M

>$50M

Total

Percent

0–5

19

33

6

2

 

60

15.8

6–10

12

24

9

6

 

51

13.5

11–15

12

21

10

3

 

46

12.1

16–25

8

19

24

2

 

53

14.0

26–50

7

21

17

17

 

62

16.4

51–100

6

12

20

8

 

46

12.1

101–250

6

20

8

5

 

39

10.3

251–500

1

5

6

5

2

17

5.0

500+

0

2

0

1

 

3

0.8

Missing

 

 

 

 

 

 

 

 

71

157

100

49

2

379

 

Percent

18.7%

41.4%

26.4%

12.9%

0.5%

 

100.0%

The above table has multiple responses from some firms.

278 of the 379 projects are from unique firms (see below).

 

Surveys per Firm

Number of Firms

Number of Surveys

 

 

 

 

 

1

217

217

 

 

 

 

 

2

43

86

 

 

 

 

 

3

9

27

 

 

 

 

 

4

6

24

 

 

 

 

 

5

1

5

 

 

 

 

 

7

1

7

 

 

 

 

 

13

1

13

 

 

 

 

 

 

278

379

 

 

 

 

(see Sales by Firm Growth for the raw data)

 

 

 

 

 

 

 

SOURCE: NRC Phase II Survey.

Suggested Citation:"Appendix A: DoD Data Book." National Research Council. 2009. An Assessment of the SBIR Program at the Department of Defense. Washington, DC: The National Academies Press. doi: 10.17226/11963.
×

TABLE App-A-28 Sales by Size of Current Employment

Firm Size at Survey

Number with Sales

Percent with Sales

Number with No Sales

Percent with No Sales

Number of Firms

Percent of All Firms

0–5

58

14.2

93

18.2

151

16.4

6–10

53

13.0

54

10.6

107

11.6

11–15

45

11.0

40

7.8

85

9.2

16–20

25

6.1

29

5.7

54

5.9

21–25

21

5.1

23

4.5

44

4.8

26–30

17

4.2

26

5.1

43

4.7

31–40

23

5.6

10

2.0

33

3.6

41–50

28

6.8

31

6.1

59

6.4

51–75

27

6.6

40

7.8

67

7.3

76–100

14

3.4

21

4.1

35

3.8

101–200

35

8.6

50

9.8

85

9.2

201–300

11

2.7

8

1.6

19

2.1

301–500

12

2.9

19

3.7

31

3.4

500+

3

0.7

3

0.6

6

0.7

Missing

37

9.0

64

12.5

101

11.0

 

409

100.0

511

100.0

920

100.0

SOURCE: NRC Phase II Survey.

Suggested Citation:"Appendix A: DoD Data Book." National Research Council. 2009. An Assessment of the SBIR Program at the Department of Defense. Washington, DC: The National Academies Press. doi: 10.17226/11963.
×

TABLE App-A-29 Sales by Firm Growth

Of the 420 projects that reported sales or licensing at time of survey, only 399 projects reported the year for first sale (Question 4).

Of the 399 projects that reported the year for first sale, 393 projects reported a combined sales dollar amount > 0 (Questions 4a + 4b)

Of the 393 project that reported a combined sales dollar amount > 0 379 projects reported their current number of of employees.

Employee Change

<$100K

$100K to < $1M

$1M to <$5M

$5M to <$50M

>$50M

Total

Percent

–26 +

1

4

0

1

 

6

1.6

–6 to –25

4

7

1

1

 

13

3.4

–1 to –5

9

13

1

0

 

23

6.1

0–5

29

50

19

8

 

106

28.0

6–10

10

27

20

4

 

61

16.1

11–25

9

26

28

6

 

69

18.2

26–50

7

13

20

17

 

57

15.0

51–100

2

10

4

6

 

22

5.8

101–250

 

5

6

5

2

16

4.7

251–500

 

1

1

0

 

2

0.5

500+

 

1

0

1

 

2

0.5

Missing

 

 

 

 

 

 

 

Total

71

157

100

49

2

379

 

Percent

18.7%

41.4%

26.4%

12.9%

0.5%

 

100.0%

Mean

7.0

24.0

31.3

60.2

224.0

28.5

 

Mean change in employees by sales classification

Employee change = (16b − 16a) of the Phase II survey

16a Number of employees (if known) when Phase II proposal was submitted

16b Current number of employees

SOURCE: NRC Phase II Survey.

Suggested Citation:"Appendix A: DoD Data Book." National Research Council. 2009. An Assessment of the SBIR Program at the Department of Defense. Washington, DC: The National Academies Press. doi: 10.17226/11963.
×

TABLE App-A-30 Firm Growth by Year of Award

811 answered question 16a and 16b

Year

Number of Projects

Growth Sum (Number of Employees)

Average Employment Growth per Project

2001

135

1,588

11.8

2000

132

2,122

16.1

1999

89

2,151

24.2

1998

97

3,244

33.4

1997

69

1,438

20.8

1996

60

2,415

40.3

1995

73

1,452

19.9

1994

49

3,087

63.0

1993

65

1,608

24.7

1992

42

1,984

47.2

 

811

21,089

26.0

NOTE: Firms that “closed” were not surveyed, thus the “true” average growth could be lower.

SOURCE: NRC Phase II Survey.

TABLE App-A-31 Customers

5. To date, approximately what percent of total sales from the technology developed during this project have gone to the following customers? (If none enter 0 [zero]. Round percentages. Answers should add to about 100 percent). 920 firms responded to this question as to what percent of their sales went to each agency or sector

Domestic private sector

21%

Department of Defense (DoD)

38%

Prime contractors for DoD or NASA

12%

NASA

1%

Agency that awarded the Phase II

—%

Other federal agencies (Pull down)

1%

State or local governments

1%

Export Markets

11%

Other (Specify)__________

16%

SOURCE: NRC Phase II Survey.

Suggested Citation:"Appendix A: DoD Data Book." National Research Council. 2009. An Assessment of the SBIR Program at the Department of Defense. Washington, DC: The National Academies Press. doi: 10.17226/11963.
×

TABLE App-A-32 Sales by Year of Award

Year of Award

Number of Respondents

Number of Respondents with Sales

Total Reported Sales ($)

Average Reported Sales (n=378) ($)

Average Reported Sales (All Firms n=920) ($)

1992

46

19

150,371,265

7,914,277

3,268,941

1993

75

24

89,398,693

3,886,900

1,191,983

1994

55

27

128,949,544

4,775,909

2,344,537

1995

82

31

92,889,225

2,996,427

1,132,795

1996

62

30

72,995,813

2,433,194

1,177,352

1997

78

30

84,807,417

2,826,914

1,087,275

1998

107

48

104,409,505

2,175,198

975,790

1999

94

49

76,685,396

1,565,008

815,802

2000

147

71

248,397,371

3,498,555

1,689,778

2001

174

49

44,331,086

904,716

254,776

Total

920

378

1,093,235,315

2,892,157

1,188,299

This table only counts firm sales from the NRC Phase II Survey, question 4a.

This table does not count reported sales by lincensee, or “other sales “4b for firms or lincensee.

SOURCE: NRC Phase II Survey.

TABLE App-A-33 Commercialization Lags

Time elapsed between award and sales

Frequency by award year for companies still expecting sales

Elapsed Years

Number of Projects

Percentage of Responding Projects

Year of Award

Projects Expecting Sales

Historical Success Percentage

–10

1

0.3

1992

3

 

–6

1

0.3

1993

4

 

–4

2

0.5

1994

4

0.3

–3

1

0.3

1995

8

0.8

–2

6

1.6

1996

6

0.3

–1

14

3.7

1997

13

0.3

0

40

10.6

1998

18

2.4

1

65

17.2

1999

19

3.7

2

83

22.0

2000

32

4.8

3

80

21.2

2001

61

10.1

4

38

10.1

 

 

 

5

18

4.8

 

 

 

6

14

3.7

 

 

 

7

9

2.4

 

 

 

8

1

0.3

 

 

 

9

1

0.3

 

 

 

10

3

0.8

 

 

 

11

1

0.3

 

 

 

 

378

 

 

 

 

SOURCE: NRC Phase II Survey.

Suggested Citation:"Appendix A: DoD Data Book." National Research Council. 2009. An Assessment of the SBIR Program at the Department of Defense. Washington, DC: The National Academies Press. doi: 10.17226/11963.
×

TABLE App-A-34 Type of Product

Q10 How did you (or do you expect to) commercialize your SBIR award?

Number of Responses

Percentage

 

17

3.1

 

No commercial product, process, or service was/is planned

178

32.1

 

As software

334

60.3

 

As hardware (final product, component, or intermediate hardware product)

127

22.9

 

As process technology

102

18.4

 

As new or improved service capability

2

0.4

 

As a drug

2

0.4

 

As a biologic

86

15.5

 

As a research tool

11

2.0

 

As educational materials

54

9.7

 

Other, please explain

913

 

 

 

 

n=554

Responses to Question 10 of the Phase II survey

 

 

233

Respondents with multiple responses

 

 

321

Respondents with a single response

 

 

554

Total Responses

 

Most Common Paired Responses

 

 

67

Paired Responses to (c) hardware and (d) process technology

 

 

53

Paired Responses to (c) hardware and (b) software

 

 

53

Paired Responses to (c) hardware and (e) new or improved service capability

 

 

48

Paired Responses to (c) hardware and (h) research tool

 

 

41

Paired Responses to (d) process technology and (e) new or improved service

 

 

35

Paired Responses to (b) software and (e) new or improved service capability

 

 

34

Paired Responses to (b) software and (h) research tool

 

 

34

Paired Responses to (e) new or improved service capability and (h) research tool

 

 

32

Paired Responses to (b) software and (d) process technology

 

 

27

Paired Responses to (d) process technology and (h) research tool

SOURCE: NRC Phase II Survey.

Suggested Citation:"Appendix A: DoD Data Book." National Research Council. 2009. An Assessment of the SBIR Program at the Department of Defense. Washington, DC: The National Academies Press. doi: 10.17226/11963.
×

TABLE App-A-35 Sales by Number of Previous SBIR Awards

Q19 How many SBIR awards did your company receive prior to the Phase I that led to this Phase II?

Additional Prior SBIRs

Number of Responses by Reported Sales

$0

<$100K

$100K to < $1M

$1M to <$5M

$5M to <$50M

$50M>

Total

0

118

34

57

35

11

1

256

 

46.1%

13.3%

22.3%

13.7%

4.3%

0.4%

 

1

48

7

10

8

3

0

76

 

63.2%

9.2%

13.2%

10.5%

3.9%

0.0%

 

2

39

8

16

12

2

0

77

 

50.6%

10.4%

20.8%

15.6%

2.6%

0.0%

 

3–5

68

10

30

17

6

2

133

 

51.1%

7.5%

22.6%

12.8%

4.5%

1.5%

 

6–10

51

7

14

13

5

0

90

 

56.7%

7.8%

15.6%

14.4%

5.6%

0.0%

 

11–15

18

1

4

5

5

0

33

 

54.5%

3.0%

12.1%

15.2%

15.2%

0.0%

 

16–25

23

1

7

5

5

0

41

 

56.1%

2.4%

17.1%

12.2%

12.2%

0.0%

 

26–50

24

6

7

7

3

0

47

 

51.1%

12.8%

14.9%

14.9%

6.4%

0.0%

 

51–100

22

1

4

1

0

0

28

 

78.6%

3.6%

14.3%

3.6%

0.0%

0.0%

 

101+

36

3

10

2

0

0

51

 

70.6%

5.9%

19.6%

3.9%

0.0%

0.0%

 

Total

447

78

159

105

40

3

832

 

53.7%

9.4%

19.1%

12.6%

4.8%

0.4%

 

832

answered either 4 or 19 (n=832)

88

did not answer 4 or 19 (due to not have Phase II done (43) or dropped out (45))

920

 

 

 

 

 

 

 

Additional Prior SBIRs

Sales Reported (Percent)

Total Responses

0

<$100K

$100K to < $1M

$1M to <$5M

$5M to <$50M

$50M>

0

46.1

13.3

22.3

13.7

4.3

0.4

256

1

63.2

9.2

13.2

10.5

3.9

0.0

76

2

50.6

10.4

20.8

15.6

2.6

0.0

77

3–5

51.1

7.5

22.6

12.8

4.5

1.5

133

6–10

56.7

7.8

15.6

14.4

5.6

0.0

90

11–15

54.5

3.0

12.1

15.2

15.2

0.0

33

16–25

56.1

2.4

17.1

12.2

12.2

0.0

41

26–50

51.1

12.8

14.9

14.9

6.4

0.0

47

51–100

78.6

3.6

14.3

3.6

0.0

0.0

28

101+

70.6

5.9

19.6

3.9

0.0

0.0

51

Total

53.7

9.4

19.1

12.6

4.8

0.4

832

SOURCE: NRC Phase II Survey.

Suggested Citation:"Appendix A: DoD Data Book." National Research Council. 2009. An Assessment of the SBIR Program at the Department of Defense. Washington, DC: The National Academies Press. doi: 10.17226/11963.
×

TABLE App-A-36 Additional Investment

 

Additonal Investment/funding other than SBIR

 

 

Any Investment

 

 

 

Responses

Percent

 

 

Yes

451

52.9

49.02174

 

No

402

47.1

43.69565

 

Total

853

100.0

920

 

 

Investment ≥ 1$M

 

 

 

Responses

Percent

 

 

Yes

130

15.2

 

 

No

723

84.8

 

 

Total

853

100.0

 

Further Investment in SBIR Projects

$50M+

2

$106,700,000

0.2345

 

$5M to <$50M

32

$324,151,193

3.7515

 

$1M to <$5M

96

$202,819,919

11.254

 

$100K to <$1M

241

$90,112,919

28.253

 

<$100K

80

$3,291,603

9.3787

 

None

402

$0

47.128

 

Total Investments

853

$727,075,634

 

 

Percentage of all respondents

52.9%

 

 

 

Average (all)

 

$852,375

 

 

Average (with investment)

 

$1,612,141

 

 

 

 

Any Additional Investments

 

 

Any Investment

 

 

 

Responses

Percent

 

 

Yes

801

93.8

 

 

No

53

6.2

 

 

Total

854

100.0

 

 

The above table looks for investment from questions 19, 20, 21, and 22

 

SOURCE: NRC Phase II Survey.

Suggested Citation:"Appendix A: DoD Data Book." National Research Council. 2009. An Assessment of the SBIR Program at the Department of Defense. Washington, DC: The National Academies Press. doi: 10.17226/11963.
×

TABLE App-A-37 Investment Sources

Further Investments in SBIR Projects

Source of Investment

Total Investment ($)

Percent

Number of Investments

Percent

Average Investment ($)

Non-SBIR Federal Funds

332,374,455

45.4

205

25.8

1,621,339

Private Investment from U.S. Venture Capital

155,768,006

21.3

30

3.8

5,192,267

Your Own Company

83,640,416

11.4

274

34.4

305,257

Private Investment from Other Private Equity

71,066,831

9.7

55

6.9

1,292,124

Private Investment from Other Domestic Private Company

52,602,991

7.2

105

13.2

500,981

Private Investment from Foreign Investment

15,404,973

2.1

19

2.4

810,788

Personal Funds

14,013,832

1.9

65

8.2

215,597

State or Local Government

5,536,863

0.8

31

3.9

178,608

Colleges or Universities

1,667,264

0.2

12

1.5

138,939

SOURCE: NRC Phase II Survey.

TABLE App-A-38 Related SBIR Awards

Additional SBIR Funding

Number of Phase II Awards

Number of Companies

Percent

28

1

0.1

9

1

0.1

7

4

0.5

6

6

0.7

5

12

1.5

4

23

2.8

3

29

3.6

2

106

13.0

1

172

21.2

65

354

43.5

Total answering the question = 813

SOURCE: NRC Phase II Survey.

Suggested Citation:"Appendix A: DoD Data Book." National Research Council. 2009. An Assessment of the SBIR Program at the Department of Defense. Washington, DC: The National Academies Press. doi: 10.17226/11963.
×

TABLE App-A-39 Equity-related Activities

Activities

Equity-Related Activities

U.S. Companies/Investors

Foreign Companies/Investors

All Companies/Investors (Percent)

Finalized (Percent)

 

Ongoing (Percent)

Total (Percent)

Finalized (Percent)

Ongoing (Percent)

Total (Percent)

Licensing Agreement(s)

16

 

16

32

3

5

8

33.4

Sale of Company

1

 

5

6

0

1

1

6.3

Partial Sale of Company

1

 

4

5

0

1

1

5.3

Sale of Technology Rights

4

 

10

14

1

3

4

15.3

Company Merger

0

 

3

3

0

1

1

3.6

Joint Venture Agreement

4

 

8

12

1

2

3

13.4

Marketing/Distribution Agreement(s)

11

 

9

20

5

4

9

22.5

Manufacturing Agreement(s)

3

 

9

12

3

2

5

15.2

R&D Agreement(s)

14

 

14

28

3

3

6

28.3

Customer Alliance(s)

14

 

14

28

5

3

7

27.9

Other Specify____

2

 

2

4

0

1

1

3.9

 

n=620 Responses to Question 12 of the Phase II survey

 

Projects with at least one other company.

 

Yes

 

67.0%

415

 

 

 

 

 

No

 

33.0%

204

 

 

 

 

 

Total

 

 

619

 

 

 

 

 

214

Projects discontinued with no sales (not asked Question 12)

 

43

Projects not finished with Phase II (not asked Question 12)

 

44

Projects dropped out of the survey before Question 12

 

920

 

 

 

 

 

 

 

SOURCE: NRC Phase II Survey.

Suggested Citation:"Appendix A: DoD Data Book." National Research Council. 2009. An Assessment of the SBIR Program at the Department of Defense. Washington, DC: The National Academies Press. doi: 10.17226/11963.
×

TABLE App-A-40 The “Go” Decision

Counterfactual: Greenlighting the Project

In the absence of the SBIR award, would the project have been implemented?

 

Number of Responses

Percent

 

a

18

2.9

Definitely Yes

b

62

10.0

Probably Yes

c

107

17.3

Uncertain

d

201

32.5

Probably Not

e

230

37.2

Definitely Not

 

618

100.0

 

n=618 Responses to Question 13 of the Phase II survey

SOURCE: NRC Phase II Survey.

TABLE App-A-41 Patenting Activities

Patents and Patent Applications

 

Projects with Patent Applications

Projects with Patents Awards

Yes

281

34.4%

205

25.1%

No

535

65.6%

611

74.9%

 

816

 

816

 

This data excludes respondents with projects not yet completing Phase II (Q1a)

Number of Patents per Company, Responses (%)

 

Responses

Percent

 

 

1 patent

129

63

 

 

2 patents

43

21

 

 

3–5 patents

25

12

 

 

6–10 patents

4

2

 

 

11–20 patents

4

2

 

 

SOURCE: NRC Phase II Survey.

Suggested Citation:"Appendix A: DoD Data Book." National Research Council. 2009. An Assessment of the SBIR Program at the Department of Defense. Washington, DC: The National Academies Press. doi: 10.17226/11963.
×

TABLE App-A-42 Patents and Marketing

Q18 Results

270

Projects with Some Patents, etc.

546

Projects with No Patents, etc.

816

 

 

 

 

 

346

Projects with Some Patent Attempts, etc.

470

Projects with No Patent Attempts, etc.

816

 

 

 

 

 

Patents, Copyrights, Trademarks

Patents, Copyrights, Trademarks, or Pending Similar Items

614 of the 816 responses question 18 responded to question 11

614 of the 816 responses question 18 responded to question 11

 

Counts

 

 

Counts

 

24.3

149

No Activity + No Marketing

21.5

132

No Pending + No Marketing

36.2

222

No Activity + Marketing

28.0

172

No Pending + Marketing

7.7

47

Activity + No Marketing

10.4

64

Pending + No Marketing

31.9

196

Activity + Marketing

40.1

246

Pending + Marketing

 

614

 

 

614

 

SOURCE: NRC Phase II Survey.

TABLE App-A-43 Patents and Firm Size

Firm Size at Survey

Responses

Patents

Ratio

0–5

151

74

0.490066

6–10

107

57

0.53

11–15

85

31

0.36

16–20

54

20

0.37

21–25

50

25

0.50

26–30

37

24

0.65

31–40

33

23

0.70

41–50

59

34

0.58

51–75

67

69

1.03

76–100

35

7

0.20

101–200

85

18

0.21

201–300

19

4

0.21

301–500

31

12

0.39

500+

6

0

0.00

SOURCE: NRC Phase II Survey.

Suggested Citation:"Appendix A: DoD Data Book." National Research Council. 2009. An Assessment of the SBIR Program at the Department of Defense. Washington, DC: The National Academies Press. doi: 10.17226/11963.
×

TABLE App-A-44 Scientific Publications Developed as a Result of Phase II Project

 

Number Submitted

Number Published

Scientific Publications

1,028

990

NOTE: Results for 816 respondents to survey question.

SOURCE: NRC Phase II Survey, Question 18.

TABLE App-A-45 University Involvement

Q31 Any involvement by universities faculty, graduate students, and/or university developed technologies?

 

 

Yes

212

 

 

No

625

 

 

Total

837

University Involvement in SBIR Projects

1.3%

The Principal Investigator (PI) for this Phase II project was at the time of the project a faculty member.

1.3%

The Principal Investigator (PI) for this Phase II project was at the time of the project an adjunct faculty member.

13.6%

Faculty member(s) or adjunct faculty member(s) work on this Phase II project in a role other than PI, e.g., consultant.

11.4%

Graduate students worked on this Phase II project.

9.2%

University/college facilities and/or equipment were used on this Phase II project.

2.2%

The technology for this project was licensed from a university or college.

3.9%

The technology for this project was originally developed at a university or college by one of the participants in this Phase II project.

12.5%

A university or college was a subcontractor on this Phase II project.

n=837

 

 

 

SOURCE: NRC Phase II Survey.

Suggested Citation:"Appendix A: DoD Data Book." National Research Council. 2009. An Assessment of the SBIR Program at the Department of Defense. Washington, DC: The National Academies Press. doi: 10.17226/11963.
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The SBIR program allocates 2.5 percent of 11 federal agencies' extramural R&D budgets to fund R&D projects by small businesses, providing approximately $2 billion annually in competitive awards. At the request of Congress, the National Academies conducted a comprehensive study of how the SBIR program has stimulated technological innovation and used small businesses to meet federal research and development needs. Drawing substantially on new data collection, this book examines the SBIR program at the Department of Defense and makes recommendations for improvements. Separate reports will assess the SBIR program at NSF, NIH, DOE, and NASA, respectively, along with a comprehensive report on the entire program.

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