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. |
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. |
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. |
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. |
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. |
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. |
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. |
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 |
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. |
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. |
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. |
TABLE App-A-11 Phase I–Extra-large Awards
Fiscal Year |
>$150,000 |
Percent |
n |
1992 |
0 |
0.0 |
1,065 |
1993 |
3 |
0.2 |
1,303 |
1994 |
0 |
0.0 |
1,370 |
1995 |
0 |
0.0 |
1,262 |
1996 |
1 |
0.1 |
1,372 |
1997 |
1 |
0.1 |
1,526 |
1998 |
1 |
0.1 |
1,286 |
1999 |
3 |
0.2 |
1,393 |
2000 |
1 |
0.1 |
1,220 |
2001 |
4 |
0.3 |
1,310 |
2002 |
7 |
0.3 |
2,162 |
2003 |
4 |
0.2 |
2,113 |
2004 |
4 |
0.2 |
2,075 |
2005 |
2 |
0.1 |
2,344 |
SOURCE: Department of Defense. |
TABLE App-A-12 Phase II Multiple-award Winners 1992–2005 at DoD
Firm Name |
Number of Phase I Awards |
Number of Phase II Awards |
FOSTER-MILLER, INC. |
361 |
140 |
PHYSICAL OPTICS CORP. |
316 |
117 |
PHYSICAL SCIENCES, INC. |
170 |
75 |
MISSION RESEARCH CORP. |
126 |
69 |
ALPHATECH, INC. |
117 |
68 |
CREARE, INC. |
129 |
60 |
CHARLES RIVER ANALYTICS, INC. |
112 |
60 |
CFD RESEARCH CORP. |
107 |
56 |
TRITON SYSTEMS, INC. |
125 |
55 |
COHERENT TECHNOLOGIES, INC. |
101 |
53 |
TECHNOLOGY SERVICE CORP. |
90 |
42 |
CYBERNET SYSTEMS CORP. |
95 |
41 |
SCIENTIFIC SYSTEMS CO., INC. |
91 |
38 |
DIGITAL SYSTEM RESOURCES, INC. |
48 |
36 |
STOTTLER HENKE ASSOC., INC. |
84 |
36 |
TEXAS RESEARCH INSTITUTE AUSTIN, INC. |
77 |
36 |
ORINCON CORP. |
97 |
36 |
METROLASER, INC. |
66 |
35 |
SYSTEMS & PROCESS ENGINEERING CO. |
69 |
35 |
TOYON RESEARCH CORP. |
65 |
34 |
Total and Average (conversion rate) |
2,446 |
1,122 |
SOURCE: DoD awards database. |
TABLE App-A-13 Phase II Awards
Fiscal Year |
Count |
Mean ($) |
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 ($) |
Sum |
1992 |
29 |
502,363 |
748,583 |
200,000 |
14,568,532 |
1993 |
49 |
547,885 |
1,230,770 |
163,021 |
26,846,376 |
1994 |
36 |
580,652 |
852,668 |
150,000 |
20,903,470 |
1995 |
53 |
638,463 |
1,707,915 |
224,960 |
33,838,550 |
1996 |
51 |
623,435 |
996,288 |
363,449 |
31,795,210 |
1997 |
58 |
657,143 |
1,249,871 |
183,998 |
38,114,287 |
1998 |
62 |
777,291 |
1,958,009 |
268,238 |
48,192,039 |
1999 |
44 |
773,759 |
1,626,792 |
515,786 |
34,045,389 |
2000 |
62 |
789,916 |
2,017,000 |
199,958 |
48,974,781 |
2001 |
75 |
819,575 |
3,615,525 |
190,093 |
61,468,152 |
2002 |
60 |
860,196 |
2,335,074 |
65,000 |
51,611,735 |
2003 |
110 |
803,592 |
1,799,791 |
261,943 |
88,395,121 |
2004 |
117 |
735,810 |
1,519,149 |
369,632 |
86,089,731 |
2005 |
132 |
729,750 |
4,294,783 |
299,921 |
96,327,003 |
SOURCE: Department of Defense. |
TABLE App-A-15 Phase II by Demographics—Minority-owned
|
Count |
Mean ($) |
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. |
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. |
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. |
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. |
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. |
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. |
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 |
$93,505,000 |
|
|
|
|
Count |
33 |
SOURCE: NRC Phase II Survey. |
TABLE App-A-24 Products
|
Question 3: These are projects that have received at least some revenue from sales or licensing. Double counts were removed from question 3c, d, e, and f (Using the Phase 2 Survey). 660 projects answered question #3, 420 answered positive to some revenue. |
||
|
Count |
Percent |
|
n=920 |
420 |
45.7 |
of the 920 total projects surveyed |
|
Phase 2 projects not yet completed were removed. |
||
|
920 |
|
Total Projects Surveyed |
|
43 |
1a |
Project has not yet completed Phase II |
|
877 |
|
|
|
Count |
Percent |
|
n=877 |
420 |
47.9 |
|
Next: Sales Dollars |
Thus, 48 percent of completed Phase II projects had some revenue from sales or licensing at time of survey. |
||
|
Question 7: Did a commercial product result from this Phase II project? Of the possible 660 responses, only 390 answered |
||
|
Count |
Percent |
|
|
254 |
65.1 |
Reported “Yes” for a commercial product as result of this project? (Question 7) |
|
136 |
34.9 |
Reported “No” for a commercial product as result of this project? (Question 7) |
n=390 |
390 |
100.0 |
Total responses to Question 7. |
|
For the whole survey (n=920), only 27 percent reported a commercial product. This would assume that the 270 nonreponses to Q7 (660 − 390 = 270) did not have a commercial product. |
||
n=920 |
254 |
27.6% |
for (n=920) |
SOURCE: NRC Phase II Survey. |
TABLE App-A-25 Sales Forecasts
(See Question 3) |
From question 3a, 169 projects did not have sales, but expect some in the future. |
|||||
|
168 responded to question 8: Expected year of sales? |
|||||
|
Year of Expected Sales |
Number of Projects |
Percent |
Mean Sales Expectation ($) |
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. |
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. |
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. |
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 |
>$50M |
Total |
Percent |
–26 + |
1 |
4 |
0 |
1 |
|
6 |
1.6 |
–6 to –25 |
4 |
7 |
1 |
1 |
|
13 |
3.4 |
–1 to –5 |
9 |
13 |
1 |
0 |
|
23 |
6.1 |
0–5 |
29 |
50 |
19 |
8 |
|
106 |
28.0 |
6–10 |
10 |
27 |
20 |
4 |
|
61 |
16.1 |
11–25 |
9 |
26 |
28 |
6 |
|
69 |
18.2 |
26–50 |
7 |
13 |
20 |
17 |
|
57 |
15.0 |
51–100 |
2 |
10 |
4 |
6 |
|
22 |
5.8 |
101–250 |
|
5 |
6 |
5 |
2 |
16 |
4.7 |
251–500 |
|
1 |
1 |
0 |
|
2 |
0.5 |
500+ |
|
1 |
0 |
1 |
|
2 |
0.5 |
Missing |
|
|
|
|
|
|
|
Total |
71 |
157 |
100 |
49 |
2 |
379 |
|
Percent |
18.7% |
41.4% |
26.4% |
12.9% |
0.5% |
|
100.0% |
Mean |
7.0 |
24.0 |
31.3 |
60.2 |
224.0 |
28.5 |
|
Mean change in employees by sales classification |
|||||||
Employee change = (16b − 16a) of the Phase II survey 16a Number of employees (if known) when Phase II proposal was submitted 16b Current number of employees |
|||||||
SOURCE: NRC Phase II Survey. |
TABLE App-A-30 Firm Growth by Year of Award
TABLE App-A-31 Customers
5. To date, approximately what percent of total sales from the technology developed during this project have gone to the following customers? (If none enter 0 [zero]. Round percentages. Answers should add to about 100 percent). 920 firms responded to this question as to what percent of their sales went to each agency or sector |
|
Domestic private sector |
21% |
Department of Defense (DoD) |
38% |
Prime contractors for DoD or NASA |
12% |
NASA |
1% |
Agency that awarded the Phase II |
—% |
Other federal agencies (Pull down) |
1% |
State or local governments |
1% |
Export Markets |
11% |
Other (Specify)__________ |
16% |
SOURCE: NRC Phase II Survey. |
TABLE App-A-32 Sales by Year of Award
Year of Award |
Number of Respondents |
Number of Respondents with Sales |
Total Reported Sales ($) |
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. |
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. |
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 |
$50M> |
||
0 |
46.1 |
13.3 |
22.3 |
13.7 |
4.3 |
0.4 |
256 |
1 |
63.2 |
9.2 |
13.2 |
10.5 |
3.9 |
0.0 |
76 |
2 |
50.6 |
10.4 |
20.8 |
15.6 |
2.6 |
0.0 |
77 |
3–5 |
51.1 |
7.5 |
22.6 |
12.8 |
4.5 |
1.5 |
133 |
6–10 |
56.7 |
7.8 |
15.6 |
14.4 |
5.6 |
0.0 |
90 |
11–15 |
54.5 |
3.0 |
12.1 |
15.2 |
15.2 |
0.0 |
33 |
16–25 |
56.1 |
2.4 |
17.1 |
12.2 |
12.2 |
0.0 |
41 |
26–50 |
51.1 |
12.8 |
14.9 |
14.9 |
6.4 |
0.0 |
47 |
51–100 |
78.6 |
3.6 |
14.3 |
3.6 |
0.0 |
0.0 |
28 |
101+ |
70.6 |
5.9 |
19.6 |
3.9 |
0.0 |
0.0 |
51 |
Total |
53.7 |
9.4 |
19.1 |
12.6 |
4.8 |
0.4 |
832 |
SOURCE: NRC Phase II Survey. |
TABLE App-A-36 Additional Investment
|
Additonal Investment/funding other than SBIR |
|||
|
|
Any Investment |
|
|
|
|
Responses |
Percent |
|
|
Yes |
451 |
52.9 |
49.02174 |
|
No |
402 |
47.1 |
43.69565 |
|
Total |
853 |
100.0 |
920 |
|
|
Investment ≥ 1$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) |
|
$1,612,141 |
|
|
|
|
Any Additional Investments |
||
|
|
Any Investment |
|
|
|
|
Responses |
Percent |
|
|
Yes |
801 |
93.8 |
|
|
No |
53 |
6.2 |
|
|
Total |
854 |
100.0 |
|
|
The above table looks for investment from questions 19, 20, 21, and 22 |
|
||
SOURCE: NRC Phase II Survey. |
TABLE App-A-37 Investment Sources
Further Investments in SBIR Projects |
|||||
Source of Investment |
Total Investment ($) |
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. |
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. |
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. |
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. |
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. |