Appendix A
NRC Phase II Survey and NRC Firm Survey

The first section of this appendix describes the methodology used to survey Phase II SBIR awards (or contracts.) The second part presents the results—first of the awards (NRC Phase II Survey) and then of the NRC Firm Survey. (Appendix B presents the NRC Phase I Survey.)

ABOUT THE SURVEYS

Starting Date and Coverage

The survey of SBIR Phase II awards was administered in 2005, and included awards made through 2001. This allowed most of the Phase II awarded projects (nominally two years) to be completed, and provided some time for commercialization. The selection of the end date of 2001 was consistent with a GAO study, which in 1991, surveyed awards made through 1987.

A start date of 1992 was selected. The year 1992 for the earliest Phase II project was considered a realistic starting date for the coverage, allowing inclusion of the same (1992) projects as the Department of Defense (DoD) 1996 survey, and of the 1992, and 1993 projects surveyed in 1998 for the Small Business Administration (SBA). This adds to the longitudinal capacities of the study. The 10 years of Phase II coverage spanned the period of increased funding set-asides and the impact of the 1992 reauthorization. This time frame allowed for extended periods of commercialization and for a robust spectrum of economic conditions. Establishing 1992 as the cut-off date for starting the survey helped to avoid the problems that older awards suffer from, including meager early data collection as



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