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From page 169... ... . TABLE 5-3 Fast Track Applications and Success Rates, 1997-2004 FT Phase I FY Applications Awards Success Success rate Rate 1997 41 13 31.7% 26.6% 1998 63 11 17.5% 26.8% 1999 129 45 34.9% 26.5% 2000 120 34 28.3% 25.1% 2001 129 38 29.5% 28.6% 2002 183 50 27.3% 25.8% 2003 273 61 22.3% 15.1% 2004 329 58 17.6% 17.9% To be eligible for Fast Track, an applicant must submit complete Phase I and Phase II applications at the same time, along with: clear, measurable milestones for Phase I, used to judge whether Phase I objectives have been • met; a full Phase II Product Development Plan; and • evidence of commitment from a commercial partner. Read the entire page →
From page 170... ... We now recommend, even to the best of companies, not to submit using a fast track because it definitely reduces their chances of funding."38 Other reasons for avoiding Fast Track include: Response to NRC Program manager survey, April 2006 37 Ibid. Read the entire page →
From page 171... ... • Projects for which the experimental design is known and accepted are good candidates for Fast Track. • NIH has undertaken no outcomes analysis to assess whether Fast Track awards generate more positive outcomes than standard awards 5.7 FUNDING: AWARD SIZE AND BEYOND NIH's SBIR program gives out awards that are different than those of other agencies in three ways: • in some cases, NIH has made much larger awards than are given out by other agencies (see Chapter 3: Awards) Read the entire page →
From page 172... ... It is also worth noting that views among the Program Administrators responding to the NRC program manager survey varied widely on this issue. Many recommended increased funding and extended time for awards; others indicated that they would prefer to see the limits more strictly enforced. Read the entire page →
From page 173... ... . Response to NRC Program manager survey, April 2006 39 UNEDITED PROOFS Read the entire page →
From page 177... ... A second question might concern the growing number of extended awards. Both are discussed in Chapter 3, UNEDITED PROOFS Read the entire page →
From page 178... ... 5.8 COMMERCIALIZATION SUPPORT 5.8.1 Background Since its inception in 1982, the SBIR program has aimed to increase "commercialization innovations derived from Federal research and development" (Public Law 97-219) Read the entire page →
From page 180... ... . The Northeast region accounts for 35% of total participants and the West 32% of total participants.43 NIH SBIR Technical Assistance Program, Office of Extramural Programs, Enrollment Criteria 42 NIH CAP Participants by State, March 1,2005 43 UNEDITED PROOFS Read the entire page →
From page 181... ... . The distribution of the current CAP participants by "Track" is represented in Figure 5-10.44 Update, SBIR Technical Assistance Program, February 16, 2005 44 UNEDITED PROOFS Read the entire page →
From page 183... ... These data indicate that firms going through the CAPM program are attracting funding, as Table 5-4 below illustrates: NIH Office of Extramural Programs, Preface 46 OER would not disclose the exact details of these outcomes citing confidentiality restrictions 47 UNEDITED PROOFS Read the entire page →
From page 185... ... Using somewhat different methodologies from the NRC Phase II Survey, with concomitantly different strengths and weaknesses, the NIH survey broke important ground, and provided results that have been used throughout this analysis. Discussions with agency staff and responses to the NRC program manager survey indicate widespread views that the program does not have the resources needed to develop an evaluation and assessment program sufficient to manage a program of this size and scope. Read the entire page →
From page 186... ... This focus provides a complete data set for all NIH awards, and also allows analysis of awards in subsequent years of support. - Following discussions with the NRC staff, the NIH made an effort to recalculate the data for women and minority owners' participation in the SBIR program. Read the entire page →
From page 187... ... 187 PREPUBLICATION COPY TABLE APP-A-1 Applications: Phase I and Phase II Phase I Phase II Total funded Total funded Success rate % Success rate % All applications All applications FY FY 1,982 541 27.3 551 278 50.5 1992 1992 2,297 594 25.9 637 360 56.5 1993 1993 3,225 530 16.4 744 351 47.2 1994 1994 3,453 624 18.1 780 370 47.4 1995 1995 3,051 525 17.2 798 390 48.9 1996 1996 2,789 743 26.6 800 468 58.5 1997 1997 2,689 717 26.7 827 541 65.4 1998 1998 3,430 908 26.5 897 539 60.1 1999 1999 3,907 986 25.2 1023 587 57.4 2000 2000 3,203 940 29.3 1074 683 63.6 2001 2001 3,735 1001 26.8 1248 797 63.9 2002 2002 4,812 1137 23.6 1299 788 60.7 2003 2003 5,856 1150 19.6 1410 792 56.2 2004 2004 5071 937 18.5 1451 774 53.3 2005 2004 Source: NIH UNEDITED PROOFS Read the entire page →
From page 188... ... 188 PREPUBLICATION COPY TABLE APP-A-2 Phase I Applications by IC Applications IC 1992 1993 1994 1995 1996 1997 1998 1999 2000 2001 2002 2003 2004 AA 25 52 38 37 50 53 30 40 39 24 29 65 62 AG 84 94 149 159 146 122 105 103 134 130 95 134 162 AI 154 201 350 413 349 333 290 365 461 356 592 676 844 AR 111 101 165 126 167 126 127 132 173 152 142 169 201 AT 5 36 58 55 41 35 CA 334 349 607 559 507 514 465 663 817 695 701 889 1173 DA 59 45 74 92 78 56 57 80 74 75 70 90 112 DC 44 47 68 69 51 41 45 65 60 45 38 60 65 DE 71 80 67 64 63 49 61 70 89 84 57 57 83 DK 107 121 164 201 180 150 179 261 267 211 255 335 376 EB 71 247 331 ES 46 48 47 83 62 51 45 44 67 79 115 114 133 EY 93 85 130 135 119 78 75 105 84 52 66 104 124 GM 157 226 204 215 219 203 207 254 248 234 234 313 387 HD 121 198 224 236 184 168 178 212 206 128 171 245 305 HG 24 18 36 35 33 29 42 57 42 27 53 68 67 HL 221 228 336 382 356 347 334 430 478 375 386 472 528 LM 10 27 24 27 40 57 36 53 40 32 38 53 59 MD 1 8 MH 93 90 135 191 152 124 120 124 122 110 120 148 172 NR 39 65 66 61 37 16 22 23 19 17 22 16 37 NS 85 95 129 123 113 105 129 148 187 132 162 221 225 RR 102 123 209 240 141 166 128 179 222 170 190 198 242 Total 1980 2293 3222 3448 3047 2788 2675 3413 3865 3186 3662 4716 5731 Source: NIH Impac II database UNEDITED PROOFS Read the entire page →
From page 189... ... PREPUBLICATION COPY 189 TABLE APP-A-2 Phase I Applications by IC (continued) Percentage of all appli cations % IC 1992 1993 1994 1995 1996 1997 1998 1999 2000 2001 2002 2003 2004 AA 1.3 2.3 1.2 1.1 1.6 1.9 1.1 1.2 1.0 0.8 0.8 1.4 1.1 AG 4.2 4.1 4.6 4.6 4.8 4.4 3.9 3.0 3.5 4.1 2.6 2.8 2.8 AI 7.8 8.8 10.9 12.0 11.5 11.9 10.8 10.7 11.9 11.2 16.2 14.3 14.7 AR 5.6 4.4 5.1 3.7 5.5 4.5 4.7 3.9 4.5 4.8 3.9 3.6 3.5 AT 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.1 0.9 1.8 1.5 0.9 0.6 CA 16.9 15.2 18.8 16.2 16.6 18.4 17.4 19.4 21.1 21.8 19.1 18.9 20.5 DA 3.0 2.0 2.3 2.7 2.6 2.0 2.1 2.3 1.9 2.4 1.9 1.9 2.0 DC 2.2 2.0 2.1 2.0 1.7 1.5 1.7 1.9 1.6 1.4 1.0 1.3 1.1 DE 3.6 3.5 2.1 1.9 2.1 1.8 2.3 2.1 2.3 2.6 1.6 1.2 1.4 DK 5.4 5.3 5.1 5.8 5.9 5.4 6.7 7.6 6.9 6.6 7.0 7.1 6.6 EB 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 1.9 5.2 5.8 ES 2.3 2.1 1.5 2.4 2.0 1.8 1.7 1.3 1.7 2.5 3.1 2.4 2.3 EY 4.7 3.7 4.0 3.9 3.9 2.8 2.8 3.1 2.2 1.6 1.8 2.2 2.2 GM 7.9 9.9 6.3 6.2 7.2 7.3 7.7 7.4 6.4 7.3 6.4 6.6 6.8 HD 6.1 8.6 7.0 6.8 6.0 6.0 6.7 6.2 5.3 4.0 4.7 5.2 5.3 HG 1.2 0.8 1.1 1.0 1.1 1.0 1.6 1.7 1.1 0.8 1.4 1.4 1.2 HL 11.2 9.9 10.4 11.1 11.7 12.4 12.5 12.6 12.4 11.8 10.5 10.0 9.2 LM 0.5 1.2 0.7 0.8 1.3 2.0 1.3 1.6 1.0 1.0 1.0 1.1 1.0 MD 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.1 MH 4.7 3.9 4.2 5.5 5.0 4.4 4.5 3.6 3.2 3.5 3.3 3.1 3.0 NR 2.0 2.8 2.0 1.8 1.2 0.6 0.8 0.7 0.5 0.5 0.6 0.3 0.6 NS 4.3 4.1 4.0 3.6 3.7 3.8 4.8 4.3 4.8 4.1 4.4 4.7 3.9 RR 5.2 5.4 6.5 7.0 4.6 6.0 4.8 5.2 5.7 5.3 5.2 4.2 4.2 Total 100.0 100.0 100.0 100.0 100.0 100.0 100.0 100.0 100.0 100.0 100.0 100.0 100.0 Source: NIH Impac II da tabase UNEDITED PROOFS Read the entire page →
From page 190... ... PREPUBLICATION COPY 190 TABLE APP-A-3 Applications by IC - Phase II 1992 1993 1994 1995 1996 1997 1998 1999 2000 2001 2002 2003 2004 11 9 5 9 6 14 6 9 9 3 6 5 20 AA AA 38 24 19 27 22 16 21 26 30 27 26 24 32 AG AG 41 44 47 56 47 57 59 64 58 60 66 68 100 AI AI 19 17 14 12 16 22 19 24 26 23 35 24 14 AR AR 1 1 1 4 3 10 AT AT 43 97 148 166 134 110 72 95 123 117 126 147 159 CA CA 11 18 10 16 15 29 21 16 18 27 24 27 29 DA DA 7 15 9 14 11 6 8 11 11 19 26 14 27 DC DC 16 13 10 11 13 10 7 13 7 14 33 28 20 DE DE 25 36 21 24 34 48 29 35 30 52 57 59 58 DK DK 14 11 18 EB EB 9 15 5 9 8 6 12 10 9 11 17 24 31 ES ES 17 17 11 26 21 27 24 21 19 16 13 30 27 EY EY 37 25 44 53 45 47 38 46 56 63 44 69 81 GM GM 23 23 43 43 36 39 29 48 51 42 42 45 55 HD HD 3 5 3 7 3 5 4 11 10 8 6 11 12 HG HG 61 73 62 59 72 91 87 98 66 105 114 130 94 HL HL 1 1 3 1 2 4 3 2 3 LM LM 1 MD MD 20 16 23 22 28 28 27 36 39 37 21 33 45 MH MH 4 7 2 6 6 2 1 4 5 5 5 4 4 NR NR 16 24 14 23 37 37 32 29 39 54 49 30 39 NS NS 7 10 29 35 21 18 8 28 42 45 42 41 33 RR RR Total 409 489 522 619 575 612 504 627 653 732 772 831 908 UNEDITED PROOFS Read the entire page →
From page 191... ... PREPUBLICATION COPY 191 TABLE APP-A-3 Applications by IC - Phase II (continued) Percentage of total applications, by IC 92 1992 1993 1994 1995 1996 1997 1998 1999 2000 2001 2002 2003 2004 03 2.7 1.8 1.0 1.5 1.0 2.3 1.2 1.4 1.4 0.4 0.8 0.6 2.2 AA 1.3 9.3 4.9 3.6 4.4 3.8 2.6 4.2 4.1 4.6 3.7 3.4 2.9 3.5 AG 4.1 10.0 9.0 9.0 9.0 8.2 9.3 11.7 10.2 8.9 8.2 8.5 8.2 11.0 AI 9.1 4.6 3.5 2.7 1.9 2.8 3.6 3.8 3.8 4.0 3.1 4.5 2.9 1.5 AR 3.4 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.2 0.2 0.1 0.5 0.4 1.1 AT 0.1 10.5 19.8 28.4 26.8 23.3 18.0 14.3 15.2 18.8 16.0 16.3 17.7 17.5 CA 18.8 2.7 3.7 1.9 2.6 2.6 4.7 4.2 2.6 2.8 3.7 3.1 3.2 3.2 DA 3.2 1.7 3.1 1.7 2.3 1.9 1.0 1.6 1.8 1.7 2.6 3.4 1.7 3.0 DC 2.1 3.9 2.7 1.9 1.8 2.3 1.6 1.4 2.1 1.1 1.9 4.3 3.4 2.2 DE 2.4 6.1 7.4 4.0 3.9 5.9 7.8 5.8 5.6 4.6 7.1 7.4 7.1 6.4 DK 6.1 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 1.8 1.3 2.0 EB 0.3 2.2 3.1 1.0 1.5 1.4 1.0 2.4 1.6 1.4 1.5 2.2 2.9 3.4 ES 1.8 4.2 3.5 2.1 4.2 3.7 4.4 4.8 3.3 2.9 2.2 1.7 3.6 3.0 EY 3.3 9.0 5.1 8.4 8.6 7.8 7.7 7.5 7.3 8.6 8.6 5.7 8.3 8.9 GM 7.7 5.6 4.7 8.2 6.9 6.3 6.4 5.8 7.7 7.8 5.7 5.4 5.4 6.1 HD 6.3 0.7 1.0 0.6 1.1 0.5 0.8 0.8 1.8 1.5 1.1 0.8 1.3 1.3 HG 1.0 14.9 14.9 11.9 9.5 12.5 14.9 17.3 15.6 10.1 14.3 14.8 15.6 10.4 HL 13.9 0.2 0.2 0.6 0.2 0.0 0.0 0.0 0.3 0.6 0.4 0.3 0.4 0.0 LM 0.3 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.1 0.0 MD 0.0 4.9 3.3 4.4 3.6 4.9 4.6 5.4 5.7 6.0 5.1 2.7 4.0 5.0 MH 4.5 1.0 1.4 0.4 1.0 1.0 0.3 0.2 0.6 0.8 0.7 0.6 0.5 0.4 NR 0.7 3.9 4.9 2.7 3.7 6.4 6.0 6.3 4.6 6.0 7.4 6.3 3.6 4.3 NS 5.2 1.7 2.0 5.6 5.7 3.7 2.9 1.6 4.5 6.4 6.1 5.4 4.9 3.6 RR 4.4 100.0 100.0 100.0 100.0 100.0 100.0 100.0 100.0 100.0 100.0 100.0 100.0 100.0 Total 100.0 UNEDITED PROOFS Read the entire page →
From page 192... ... 192 PREPUBLICATION COPY TABLE APP-A-4 Women- and Minority-Owned Firms - Application Shares (% of all Applications) Women-owned firms FY Phase I Phase II All 1992 12.2 13.0 12.3 1993 8.0 9.0 8.2 1994 9.3 7.3 9.0 1995 12.6 7.1 11.8 1996 11.8 9.9 11.5 1997 10.2 9.8 10.1 1998 8.3 8.4 8.3 1999 10.8 12.8 11.1 2000 9.8 13.9 10.5 2001 4.5 4.7 4.6 2002 2.6 3.0 2.7 2003 11.1 10.8 11.0 2004 11.4 11.7 11.5 2005 10.6 11.9 10.9 2006 12.9 12.8 12.9 Minority-owned firms FY Phase I Phase II All 1992 10.3 5.6 9.5 1993 6.9 5.7 6.7 1994 9.6 7.9 9.4 1995 9.1 8.1 9.0 1996 10.0 5.4 9.3 1997 8.0 5.5 7.6 1998 5.5 5.6 5.5 1999 7.8 5.5 7.3 2000 5.4 5.7 5.5 2001 2.9 3.1 2.9 2002 1.2 1.5 1.3 2003 7.0 4.1 6.4 2004 7.3 5.1 6.9 2005 5.3 4.8 5.2 2006 6.7 4.0 6.1 UNEDITED PROOFS Read the entire page →
From page 193... ... PREPUBLICATION COPY 193 TABLE APP-A-5 Women- and Minority-Owned Firms - Award Shares (% of all Awards) Women-owned firms FY Phase I Phase II Total 1992 10.0 7.2 9.4 1993 5.8 7.0 6.1 1994 6.8 7.5 7.0 1995 8.4 8.0 8.3 1996 6.9 9.3 7.5 1997 8.1 9.2 8.4 1998 7.1 9.8 7.8 1999 9.0 12.7 10.1 2000 7.9 14.3 9.4 2001 4.3 3.9 4.1 2002 1.5 0.8 1.3 2003 9.6 10.8 9.9 2004 10.4 10.6 10.4 2005 8.0 10.0 8.6 2006 12.5 13.9 13.0 Minority-owned firms FY Phase I Phase II Total 1992 7.4 5.0 6.9 1993 5.2 5.6 5.3 1994 8.2 10.4 8.6 1995 5.5 6.1 5.7 1996 4.8 5.2 4.9 1997 5.1 4.4 4.9 1998 3.9 6.4 4.5 1999 6.3 4.0 5.6 2000 2.9 6.4 3.7 2001 2.1 3.7 2.6 2002 0.3 0.8 0.5 2003 3.8 2.8 3.5 2004 4.0 3.4 3.9 2005 4.0 2.9 3.7 2006 5.6 3.3 4.7 UNEDITED PROOFS Read the entire page →
From page 194... ... PREPUBLICATION COPY 194 TABLE APP-A-6 Women- and Minority-Owned Firms - Success Rates Women-owned firms Other small businesses FY Phase I Phase II All FY Phase I Phase II All 1992 22.3 18.9 21.7 1992 27.3 34.0 28.4 1993 18.6 34.1 21.6 1993 25.8 44.0 29.0 1994 12.0 26.3 13.6 1994 16.4 25.7 17.7 1995 12.0 38.6 14.4 1995 18.0 34.2 20.4 1996 10.0 28.1 12.5 1996 17.2 29.9 19.2 1997 21.0 42.2 24.9 1997 26.5 45.0 30.1 1998 22.7 47.9 27.3 1998 26.5 40.9 29.1 1999 21.3 41.8 25.8 1999 25.3 42.1 28.5 2000 19.7 34.5 23.2 2000 24.4 33.6 26.0 2001 26.1 36.6 28.5 2001 27.7 44.1 31.4 2002 14.3 10.3 13.3 2002 25.4 39.9 28.6 2003 19.2 34.7 22.3 2003 22.2 34.6 24.7 2004 16.3 25.9 18.2 2004 18.0 28.4 19.9 2005 12.3 24.3 14.9 2005 16.4 28.9 18.9 2006 16.9 36.2 21.4 2006 17.5 33.4 21.2 Minority-owned firms FY Phase I Phase II Total 1992 19.7 30.4 20.8 1993 19.6 42.9 23.1 1994 13.9 34.1 16.2 1995 10.8 26.0 12.9 1996 8.2 29.0 10.1 1997 16.7 36.1 19.5 1998 18.9 46.9 24.0 1999 20.5 31.0 22.0 2000 12.8 37.8 17.3 2001 20.5 51.9 27.8 2002 7.3 20.0 10.7 2003 12.0 23.9 13.6 2004 9.9 18.8 11.2 2005 12.4 17.9 13.4 2006 14.5 27.7 16.5 UNEDITED PROOFS Read the entire page →
From page 196... ... PREPUBLICATION COPY 196 TABLE APP-A-7 Phase I by state - compared with scientists and engineers employed all employees ST Apps AREA Scientists Engineers SE/1000 emp Apps per 1,000 Total scientists and engineers pop MA 90.2 2.4 1 AK 6290 6690 12980 1830360 7.1 18 AK AK DC 57.2 12.8 2 AL 36220 10330 46550 293130 158.8 343 AL AL MD 54.5 12.0 4 AR 11560 6740 18300 2313520 7.9 80 AR AR UT 33.1 11.9 5 AZ 56460 14790 71250 1125830 63.3 528 AZ AZ NH 31.8 6.2 6 CA 319420 147100 466520 14534620 32.1 8,929 CA CA VT 27.3 8.5 8 CO 53000 25260 78260 2110640 37.1 1,053 CO CO CA 26.4 9.5 9 CT 37290 16970 54260 1633350 33.2 708 CT CT DE 25.5 49.3 10 DC 13350 20520 33870 408270 83.0 327 DC DC CO 24.5 10.6 11 DE 6090 6380 12470 603130 20.7 200 DE DE VA 23.4 8.0 12 FL 113390 46750 160140 7330880 21.8 1,034 FL FL WA 23.0 7.8 13 GA 55680 23280 78960 3806550 20.7 472 GA GA OR 21.1 6.8 15 HI 7920 4710 12630 564850 22.4 170 HI HI IL 21.1 9.7 16 IA 15880 9780 25660 574270 44.7 161 IA IA CT 20.8 10.4 17 ID 13670 9100 22770 5719070 4.0 77 ID ID AZ 19.8 2.6 18 IL 89150 42290 131440 2866350 45.9 1,280 IL IL RI 19.3 15.0 19 IN 49320 17800 67120 1423170 47.2 382 IN IN NM 17.3 11.2 20 KS 26960 9170 36130 1297710 27.8 170 KS KS MN 16.8 8.2 21 KY 23300 9300 32600 1728300 18.9 210 KY KY NJ 15.8 9.7 22 LA 28580 13050 41630 1861000 22.4 201 LA LA WY 14.6 6.9 23 MA 73160 40340 113500 595120 190.7 5,728 MA MA MT 14.2 6.3 24 MD 52070 34340 86410 2458140 35.2 2,886 MD MD UNEDITED PROOFS Read the entire page →
From page 200... ... PREPUBLICATION COPY 200 TABLE APP-A-9 Phase I awards by State Sum of SumOfNumber of Awards FY Grand To tal State 1992 1993 1994 1995 1996 1997 1998 1999 2000 2001 2002 2003 2004 2005 % ALABAMA 5 8 5 4 5 6 6 9 8 9 7 6 7 4 89 0.7 ALASKA 2 1 3 0.0 ARIZONA 12 11 2 9 7 7 9 13 10 11 15 13 12 10 141 1.1 ARKANSAS 2 3 1 2 3 5 6 22 0.2 CALIFORNIA 93 101 116 144 113 149 134 193 191 182 211 248 243 200 2318 18.8 COLORADO 7 15 8 13 17 24 21 17 29 19 20 33 38 30 291 2.4 CONNECTICUT 16 14 12 10 11 16 19 14 9 12 16 22 21 12 204 1.7 DELAWARE 2 2 2 2 4 1 6 7 5 5 4 5 4 49 0.4 DIST OF COL 1 4 6 4 1 4 7 5 7 6 10 8 5 4 72 0.6 FLORIDA 14 11 9 13 10 18 8 8 19 13 19 24 17 15 198 1.6 GEORGIA 2 3 3 7 7 5 7 3 14 10 14 8 14 8 105 0.9 HAWAII 8 4 4 2 3 3 4 3 2 5 3 1 1 2 45 0.4 IDAHO 2 1 1 2 3 1 1 1 12 0.1 ILLINOIS 8 20 13 21 10 24 19 16 25 23 18 21 19 25 262 2.1 INDIANA 5 4 5 6 5 6 3 6 8 7 7 11 11 14 98 0.8 IOWA 2 1 2 3 3 3 2 3 9 8 3 39 0.3 KANSAS 5 1 1 5 2 3 4 5 4 1 31 0.3 KENTUCKY 3 2 2 1 2 1 2 3 4 4 2 4 5 35 0.3 LOUISIANA 3 2 1 1 3 1 6 2 1 5 3 28 0.2 MAINE 2 1 1 6 2 2 1 3 3 1 3 3 2 2 32 0.3 MARYLAND 55 50 42 49 22 48 36 70 45 58 59 90 90 63 777 6.3 MASSACHUSETTS 75 98 97 97 99 113 133 171 156 124 140 140 156 345 1944 15.8 MICHIGAN 9 15 11 16 9 9 17 18 10 21 19 23 26 68 271 2.2 MINNESOTA 10 13 12 20 9 10 15 7 14 18 16 22 18 60 244 2.0 MISSISSIPPI 1 1 1 1 1 1 6 0.0 MISSOURI 5 8 1 2 1 4 4 5 7 7 12 10 23 89 0.7 UNEDITED PROOFS Read the entire page →
From page 201... ... 201 PREPUBLICATION COPY 0.3 MONTANA 2 1 2 3 3 2 3 3 1 4 8 32 NEBRASKA 3 1 2 3 2 1 2 2 4 3 3 15 41 0.3 NEVADA 1 3 1 3 4 1 1 2 1 5 6 28 0.2 NEW HAMPSHIRE 5 6 5 2 9 12 5 5 9 10 11 14 9 12 114 0.9 NEW JERSEY 16 16 12 13 19 18 20 26 29 21 26 32 27 65 340 2.8 NEW MEXICO 3 1 4 1 4 2 9 6 8 8 6 8 12 72 0.6 NEW YORK 41 39 29 29 24 31 35 37 53 45 50 41 51 144 649 5.3 NORTH CAROLINA 19 8 13 10 11 22 24 24 26 29 24 24 36 89 359 2.9 NORTH DAKOTA 1 1 2 2 2 2 10 0.1 OHIO 13 9 11 15 10 21 23 23 33 38 30 45 40 97 408 3.3 OKLAHOMA 1 1 2 1 1 1 1 7 5 6 16 42 0.3 OREGON 8 12 12 18 16 16 15 18 30 15 24 23 18 49 274 2.2 PENNSYLVANIA 17 16 14 19 19 26 28 29 41 42 43 41 52 124 511 4.1 PUERTO RICO 1 1 2 0.0 RHODE ISLAND 1 1 2 1 3 9 10 7 4 7 28 73 0.6 SOUTH CAROLINA 1 1 3 3 5 7 7 8 3 10 48 0.4 SOUTH DAKOTA 1 1 1 1 2 1 1 2 1 1 12 0.1 TENNESSEE 3 3 5 4 3 8 3 2 4 11 5 4 3 12 70 0.6 TEXAS 26 24 19 18 18 34 22 36 48 34 38 49 54 121 541 4.4 UTAH 13 9 8 11 8 15 14 15 19 17 15 9 17 20 190 1.5 VERMONT 1 6 3 3 1 1 2 2 4 2 6 5 8 44 0.4 VIRGINIA 15 26 18 15 14 23 21 22 25 36 27 40 28 55 365 3.0 WASHINGTON 14 14 16 23 24 31 27 42 45 29 35 33 39 93 465 3.8 WEST VIRGINIA 1 1 2 0.0 WISCONSIN 4 6 9 8 7 12 11 20 14 24 24 21 17 49 226 1.8 WYOMING 1 2 3 1 1 3 3 1 1 16 0.1 Grand Total 541 594 530 624 525 743 717 908 986 940 1001 1137 1150 1943 12339 100.0 UNEDITED PROOFS Read the entire page →
From page 202... ... 202 PREPUBLICATION COPY TABLE APP-A-10 Resubmission Rates - Phases I and II Phase I Phase II rate rate tions tions Not funded Not funded submission submission Total funded Total funded success rate success rate Funded on re Funded on re Resubmission Resubmission Resubmission All applications Resubmissions Resubmissions All Applications as % of Applica as % of Applica 1st time winners 1st time winners 1st time success 1st time success FY FY 1,980 334 23.2 540 442 98 1,440 26.9 29.3 409 103 25.2 137 107 30 272 35.0 29.1 1992 1992 2,293 312 18.4 593 514 79 1,700 25.9 25.3 489 147 30.1 215 160 55 274 46.8 37.4 1993 1993 3,222 427 15.9 530 473 57 2,692 16.9 13.3 522 138 26.4 131 110 21 391 28.6 15.2 1994 1994 3,448 655 23.2 621 467 154 2,827 16.7 23.5 619 202 32.6 210 162 48 409 38.8 23.8 1995 1995 3,047 657 26.0 523 395 128 2,524 16.5 19.5 575 204 35.5 173 124 49 402 33.4 24.0 1996 1996 2,788 607 29.7 742 526 216 2,046 24.1 35.6 612 211 34.5 280 191 89 332 47.6 42.2 1997 1997 2,675 514 26.2 716 581 135 1,959 26.9 26.3 504 141 28.0 237 193 44 267 53.2 31.2 1998 1998 3,413 612 24.4 906 761 145 2,507 27.2 23.7 627 149 23.8 289 231 58 338 48.3 38.9 1999 1999 3,865 786 27.1 969 746 223 2,896 24.2 28.4 653 197 30.2 267 206 61 386 45.2 31.0 2000 2000 3,186 760 33.4 911 658 253 2,275 27.1 33.3 732 242 33.1 381 284 97 351 58.0 40.1 2001 2001 3,662 636 23.4 945 773 172 2,717 25.5 27.0 772 242 31.3 358 269 89 414 50.8 36.8 2002 2002 4,716 864 21.6 710 472 238 4,006 12.3 27.5 830 249 30.0 349 264 85 481 45.4 34.1 2003 2003 5,731 1167 24.8 1028 767 261 4,703 16.8 22.4 908 287 31.6 302 223 79 606 35.9 27.5 2004 2004 UNEDITED PROOFS Read the entire page →
From page 203... ... 203 PREPUBLICATION COPY TABLE APP-A-11 Phase I year 1 Awards at NIH $ aver FY # awards $ total age 541 $26,616,441 $49,199 1992 594 $29,560,122 $49,765 1993 530 $39,249,711 $74,056 1994 624 $59,005,464 $94,560 1995 525 $50,936,972 $97,023 1996 743 $72,528,667 $97,616 1997 717 $70,077,801 $97,738 1998 908 $96,125,835 $105,865 1999 986 $117,779,337 $119,452 2000 940 $120,072,266 $127,736 2001 1001 $137,504,731 $137,367 2002 1137 $168,520,060 $148,215 2003 1150 $187,091,805 $162,689 2004 937 $160,982,684 $171,806 2005 UNEDITED PROOFS Read the entire page →
From page 204... ... PREPUBLICATION COPY 204 FIGURE APP-A-1 Phase I Median Award Size 1992-2003 Median size of awards, 1992-2003 Souerce NIH awards data, calculation by NRC UNEDITED PROOFS Read the entire page →
From page 205... ... 205 PREPUBLICATION COPY TABLE APP-A-12 Oversized SBIR Phase I Awards, FY 1992 - FY 2005 $0- $>150k 100k 175k FY $>100k - 120k $>120k - 150k $>175k - 200k $>200k 1992 100.0% 0.0% 0.0% 0.0% 0.0% 0.0% 1993 100.0% 0.0% 0.0% 0.0% 0.0% 0.0% 1994 100.0% 0.0% 0.0% 0.0% 0.0% 0.0% 1995 99.7% 0.3% 0.0% 0.0% 0.0% 0.0% 1996 99.4% 0.6% 0.0% 0.0% 0.0% 0.0% 1997 99.7% 0.1% 0.1% 0.0% 0.0% 0.0% 1998 95.4% 3.5% 1.2% 0.0% 0.0% 0.0% 1999 70.8% 16.6% 7.0% 2.5% 0.1% 2.9% 2000 62.1% 16.4% 11.1% 2.0% 2.2% 6.3% 2001 53.8% 13.9% 13.5% 5.1% 5.1% 8.6% 2002 51.8% 13.5% 12.2% 5.8% 6.6% 10.1% 2003 48.0% 13.9% 12.7% 4.1% 4.6% 16.7% 2004 43.4% 10.9% 14.2% 6.0% 6.4% 19.1% 2005 40.5% 10.5% 15.6% 7.6% 7.8% 18.0% UNEDITED PROOFS Read the entire page →
From page 206... ... 2003 NIH P1 per 1,000 L&PS. 2003 New Hampshire 1,480 14.0 9.5 Pennsylvania 25,080 41.0 1.6 Vermont 850 6.0 7.1 District of Columbia 5,210 8.0 1.5 Massachusetts 20,380 140.0 6.9 Oklahoma 3,350 5.0 1.5 Maryland 17,910 90.0 5.0 North Dakota 1,420 2.0 1.4 Oregon 5,870 23.0 3.9 New York 30,330 41.0 1.4 Connecticut 5,670 22.0 3.9 North Carolina 17,770 24.0 1.4 California 64,390 248.0 3.9 Missouri 9,240 12.0 1.3 Virginia 13,030 40.0 3.1 Kansas 3,910 5.0 1.3 Ohio 15,100 45.0 3.0 Florida 19,440 24.0 1.2 Iowa 3,130 9.0 2.9 Alabama 5,170 6.0 1.2 Colorado 11,710 33.0 2.8 Texas 42,440 49.0 1.2 Indiana 4,070 11.0 2.7 Illinois 18,300 21.0 1.1 Rhode Island 1,580 4.0 2.5 Arkansas 2,700 3.0 1.1 Michigan 9,390 23.0 2.4 Louisiana 5,540 5.0 0.9 Arizona 5,580 13.0 2.3 Nebraska 3,920 3.0 0.8 Nevada 2,510 5.0 2.0 Kentucky 2,660 2.0 0.8 Wyoming 1,510 3 2.0 Alaska 2,800 2.0 0.7 Delaware 2,020 4.0 2.0 South Dakota 1,420 1.0 0.7 Minnesota 11,200 22.0 2.0 Georgia 11,410 8.0 0.7 Washington 16,940 33.0 1.9 Tennessee 7,130 4.0 0.6 New Mexico 3,200 6.0 1.9 Hawaii 1,790 1.0 0.6 Wisconsin 11,220 21.0 1.9 Montana 2,790 1.0 0.4 UNEDITED PROOFS Read the entire page →
From page 207... ... 207 PREPUBLICATION COPY 0.3 New Jersey 17,530 32.0 1.8 Idaho 3,100 1.0 Utah 5,060 9.0 1.8 Mississippi 3,650 1.0 0.3 South Carolina 4,610 8.0 1.7 West Virginia 2,510 0.0 0.0 Maine 1,830 3.0 1.6 Average 3.2 Source: NIH Impac ii awards database, NSF S&E Indicators, 2005 UNEDITED PROOFS Read the entire page →
From page 209... ... 209 PREPUBLICATION COPY FIGURE APP-A-2 Phase I awards by zip in Massacussetts Distribution of Phase I awards in Massachusetts 1992-2002, by zip code UNEDITED PROOFS Read the entire page →
From page 210... ... PREPUBLICATION COPY 210 TABLE APP-A-15 Phase I Awards by IC Number of awards Funding IC 92 93 94 95 96 97 98 99 0 1 2 Total AA 4 7 3 7 4 12 4 14 15 9 11 90 AG 12 14 28 16 5 34 26 29 34 37 26 261 AI 63 73 49 74 70 100 83 91 99 104 122 928 AR 5 16 17 26 29 25 20 27 22 27 14 228 AT 2 6 7 7 22 CA 160 157 114 95 80 154 138 192 181 187 212 1670 DA 13 9 22 24 19 13 14 32 30 27 20 223 DC 6 10 12 8 5 12 8 20 21 18 9 129 DE 6 8 6 14 7 6 14 8 31 34 12 146 DK 16 22 36 49 39 50 40 70 82 65 67 536 eb 17 17 ES 8 8 8 9 10 8 9 11 23 28 30 152 EY 16 14 25 28 27 18 18 18 19 19 29 231 GM 42 63 48 42 53 68 74 88 79 80 76 713 HD 31 52 24 27 35 42 32 37 51 30 41 402 HG 6 5 4 5 5 8 17 17 9 8 22 106 HL 68 51 56 103 79 83 72 109 133 112 85 951 LM 2 3 2 3 6 4 4 1 2 27 MH 17 24 20 33 21 36 34 41 31 36 42 335 NR 4 7 1 6 1 3 6 5 5 2 2 42 NS 25 23 35 40 19 31 45 51 50 42 50 411 RR 36 27 20 13 14 33 40 39 41 36 33 332 Shared 2 1 3 16 1 3 2 16 44 540 593 530 621 523 742 716 906 969 911 945 7996 UNEDITED PROOFS Read the entire page →
From page 211... ... 211 PREPUBLICATION COPY TABLE APP-A-15 Phase I Awards by IC (continued) Percentage of Awards Funding IC 1992 1993 1994 1995 1996 1997 1998 1999 2000 2001 2002 Total AA 0.7% 1.2% 0.6% 1.1% 0.8% 1.6% 0.6% 1.5% 1.5% 1.0% 1.2% 1.1% AG 2.2% 2.4% 5.3% 2.6% 1.0% 4.6% 3.6% 3.2% 3.5% 4.1% 2.8% 3.3% AI 11.7% 12.3% 9.2% 11.9% 13.4% 13.5% 11.6% 10.0% 10.2% 11.4% 12.9% 11.6% AR 0.9% 2.7% 3.2% 4.2% 5.5% 3.4% 2.8% 3.0% 2.3% 3.0% 1.5% 2.9% AT 0.0% 0.0% 0.0% 0.0% 0.0% 0.0% 0.0% 0.2% 0.6% 0.8% 0.7% 0.3% CA 29.6% 26.5% 21.5% 15.3% 15.3% 20.8% 19.3% 21.2% 18.7% 20.5% 22.4% 20.9% DA 2.4% 1.5% 4.2% 3.9% 3.6% 1.8% 2.0% 3.5% 3.1% 3.0% 2.1% 2.8% DC 1.1% 1.7% 2.3% 1.3% 1.0% 1.6% 1.1% 2.2% 2.2% 2.0% 1.0% 1.6% DE 1.1% 1.3% 1.1% 2.3% 1.3% 0.8% 2.0% 0.9% 3.2% 3.7% 1.3% 1.8% DK 3.0% 3.7% 6.8% 7.9% 7.5% 6.7% 5.6% 7.7% 8.5% 7.1% 7.1% 6.7% EB 0.0% 0.0% 0.0% 0.0% 0.0% 0.0% 0.0% 0.0% 0.0% 0.0% 1.8% 0.2% ES 1.5% 1.3% 1.5% 1.4% 1.9% 1.1% 1.3% 1.2% 2.4% 3.1% 3.2% 1.9% EY 3.0% 2.4% 4.7% 4.5% 5.2% 2.4% 2.5% 2.0% 2.0% 2.1% 3.1% 2.9% GM 7.8% 10.6% 9.1% 6.8% 10.1% 9.2% 10.3% 9.7% 8.2% 8.8% 8.0% 8.9% HD 5.7% 8.8% 4.5% 4.3% 6.7% 5.7% 4.5% 4.1% 5.3% 3.3% 4.3% 5.0% HG 1.1% 0.8% 0.8% 0.8% 1.0% 1.1% 2.4% 1.9% 0.9% 0.9% 2.3% 1.3% HL 12.6% 8.6% 10.6% 16.6% 15.1% 11.2% 10.1% 12.0% 13.7% 12.3% 9.0% 11.9% LM 0.4% 0.5% 0.4% 0.0% 0.0% 0.4% 0.8% 0.4% 0.4% 0.1% 0.2% 0.3% MH 3.1% 4.0% 3.8% 5.3% 4.0% 4.9% 4.7% 4.5% 3.2% 4.0% 4.4% 4.2% NR 0.7% 1.2% 0.2% 1.0% 0.2% 0.4% 0.8% 0.6% 0.5% 0.2% 0.2% 0.5% NS 4.6% 3.9% 6.6% 6.4% 3.6% 4.2% 6.3% 5.6% 5.2% 4.6% 5.3% 5.1% RR 6.7% 4.6% 3.8% 2.1% 2.7% 4.4% 5.6% 4.3% 4.2% 4.0% 3.5% 4.2% Shared 0.0% 0.0% 0.0% 0.3% 0.2% 0.4% 2.2% 0.1% 0.3% 0.2% 1.7% 0.6% 100.0% 100.0% 100.0% 100.0% 100.0% 100.0% 100.0% 100.0% 100.0% 100.0% 100.0% 100.0% UNEDITED PROOFS Read the entire page →
From page 212... ... 212 PREPUBLICATION COPY TABLE APP-A-15 Phase I Awards by IC (continued) Shared awards: 92 93 94 95 96 97 98 99 0 1 2 AA, RR, RR 6 AG, DA, DA 1 AG, HD, HD 1 AR, CA, CA 2 AR, HD, HD 1 AR, NR, NR 1 AT, OD, OD 3 CA, DK, DK 1 CA, HD, HD 1 CA, MD, MD 1 CA, RR, RR 1 DC, MD, MD 5 DC, MH, MH 1 DC, NR, NR 1 GM, GM 1 GM, LM, LM 1 HD, HD 9 HD, MH, MH 3 HD, NR, NR 1 MH, MH 2 1 Total 2 1 3 16 1 3 2 16 UNEDITED PROOFS Read the entire page →
From page 213... ... PA/RFAs) awards award $ FY PHASE Awards Awarded 1992 Phase I 540 $26,571,593 0 $0 0.0 0.0 1993 Phase I 591 $29,447,790 0 $0 0.0 0.0 1994 Phase I 527 $39,143,156 37 $2,779,027 7.0 7.1 1995 Phase I 619 $58,441,688 6 $470,612 1.0 0.8 1996 Phase I 523 $50,634,759 3 $300,000 0.6 0.6 1997 Phase I 741 $72,325,975 0 $0 0.0 0.0 1998 Phase I 702 $69,368,224 1 $98,525 0.1 0.1 1999 Phase I 874 $94,944,070 5 $1,283,242 0.6 1.4 2000 Phase I 944 $113,276,949 12 $2,976,638 1.3 2.6 2001 Phase I 884 $112,650,165 10 $2,417,588 1.1 2.1 2002 Phase I 930 $124,423,577 65 $11,586,853 7.0 9.3 2003 Phase I 1042 $150,880,637 15 $3,145,579 1.4 2.1 2004 Phase I 1023 $158,499,201 15 $4,595,326 1.5 2.9 2005 Phase I 806 $126,216,067 20 $3,044,462 2.5 2.4 UNEDITED PROOFS Read the entire page →
From page 214... ... Special PA/RFAs) Awarded awards $ 1992 Phase I 540 $26,571,593 0 $0 0.0 0.0 1993 Phase I 591 $29,447,790 0 $0 0.0 0.0 1994 Phase I 527 $39,143,156 0 $0 0.0 0.0 1995 Phase I 619 $58,441,688 0 $0 0.0 0.0 1996 Phase I 523 $50,634,759 0 $0 0.0 0.0 1997 Phase I 741 $72,325,975 0 $0 0.0 0.0 1998 Phase I 702 $69,368,224 1 $106,906 0.1 0.2 1999 Phase I 874 $94,944,070 33 $5,470,073 3.8 5.8 2000 Phase I 944 $113,276,949 42 $9,826,643 4.4 8.7 2001 Phase I 884 $112,650,165 70 $13,256,620 7.9 11.8 2002 Phase I 930 $124,423,577 120 $23,269,261 12.9 18.7 2003 Phase I 1042 $150,880,637 194 $41,577,617 18.6 27.6 2004 Phase I 1023 $158,499,201 215 $48,889,961 21.0 30.8 2005 Phase I 806 $126,216,067 160 $34,525,730 19.9 27.4 UNEDITED PROOFS Read the entire page →
From page 215... ... 26 PERSONAL IMPROVEMENT COMPUTER SYSTEMS 25 PHYSICAL SCIENCES, INC. 25 Total 766 UNEDITED PROOFS Read the entire page →
From page 217... ... 217 PREPUBLICATION COPY TABLE APP-A-21 Phase 2 - Year 1 awards FY Awards Total $ Av award size 1992 278 64,634,293 $232,497 1993 360 82,904,116 $230,289 1994 351 82,130,205 $233,989 1995 370 106,153,197 $286,901 1996 390 124,699,140 $319,741 1997 468 163,756,939 $349,908 1998 541 182,404,280 $337,161 1999 539 199,696,146 $370,494 2000 587 223,656,320 $381,016 2001 683 274,218,417 $401,491 2002 797 330,503,121 $414,684 2003 788 343,893,012 $436,412 2004 792 362,710,289 $457,968 2005 774 396,764,618 $512,616 UNEDITED PROOFS Read the entire page →
From page 218... ... Special PA/RFAs) Awards Awarded awards award $ 1992 Phase II 139 $34,653,136 0 $0 0.0 0.0 1993 Phase II 215 $52,537,980 0 $0 0.0 0.0 1994 Phase II 134 $36,697,824 0 $0 0.0 0.0 1995 Phase II 212 $73,059,839 0 $0 0.0 0.0 1996 Phase II 172 $60,806,200 0 $0 0.0 0.0 1997 Phase II 279 $104,817,711 0 $0 0.0 0.0 1998 Phase II 224 $85,283,655 0 $0 0.0 0.0 1999 Phase II 278 $114,811,423 1 $507,041 0.4 0.4 2000 Phase II 231 $102,407,911 0 $0 0.0 0.0 2001 Phase II 343 $148,866,724 0 $0 0.0 0.0 2002 Phase II 336 $154,925,573 0 $0 0.0 0.0 2003 Phase II 327 $156,101,955 0 $0 0.0 0.0 2004 Phase II 298 $153,544,979 5 $2,594,326 1.7 1.7 2005 Phase II 312 $163,695,822 5 $2,659,999 1.6 1.6 UNEDITED PROOFS Read the entire page →
From page 219... ... PA/RFAs) Awards all awards Awarded award $ 1992 Phase II 139 $34,653,136 0 $0 0.0 0.0 1993 Phase II 215 $52,537,980 0 $0 0.0 0.0 1994 Phase II 134 $36,697,824 0 $0 0.0 0.0 1995 Phase II 212 $73,059,839 0 $0 0.0 0.0 1996 Phase II 172 $60,806,200 0 $0 0.0 0.0 1997 Phase II 279 $104,817,711 0 $0 0.0 0.0 1998 Phase II 224 $85,283,655 0 $0 0.0 0.0 1999 Phase II 278 $114,811,423 2 $1,256,508 0.7 1.1 2000 Phase II 231 $102,407,911 1 $370,000 0.4 0.4 2001 Phase II 343 $148,866,724 8 $4,398,827 2.3 3.0 2002 Phase II 336 $154,925,573 8 $4,980,270 2.4 3.2 2003 Phase II 327 $156,101,955 30 $17,637,373 9.2 11.3 2004 Phase II 298 $153,544,979 32 $23,569,833 10.7 15.4 2005 Phase II 312 $163,695,822 43 $30,719,886 13.8 18.8 UNEDITED PROOFS Read the entire page →
From page 220... ... 220 PREPUBLICATION COPY TABLE APP-A-24 Phase II extra-large awards NIH Phase II SBIR Awards Over 375k FY PHASE Total Funded Year 2 Year 3 Year 4 Year 5 1992 Phase II 139 1 0.7% 0 0.0% 0 0.0% 0 0.0% 1993 Phase II 215 5 2.3% 0 0.0% 0 0.0% 0 0.0% 1994 Phase II 134 7 5.2% 1 0.7% 0 0.0% 0 0.0% 1995 Phase II 212 70 33.0% 0 0.0% 0 0.0% 0 0.0% 1996 Phase II 172 68 39.5% 0 0.0% 0 0.0% 0 0.0% 1997 Phase II 279 131 47.0% 1 0.4% 0 0.0% 0 0.0% 1998 Phase II 224 106 47.3% 0 0.0% 0 0.0% 0 0.0% 1999 Phase II 278 169 60.8% 2 0.7% 0 0.0% 0 0.0% 2000 Phase II 231 155 67.1% 1 0.4% 0 0.0% 0 0.0% 2001 Phase II 343 240 70.0% 1 0.3% 0 0.0% 0 0.0% 2002 Phase II 336 238 70.8% 2 0.6% 0 0.0% 0 0.0% 2003 Phase II 327 224 68.5% 8 2.4% 0 0.0% 1 0.3% 2004 Phase II 298 194 65.1% 15 5.0% 2 0.7% 1 0.3% 2005 Phase II 312 205 65.7% 15 4.8% 14 4.5% 2 0.6% UNEDITED PROOFS Read the entire page →
From page 221... ... 221 PREPUBLICATION COPY TABLE APP-A-24 Phase II extra-large awards (continued) NIH Phase II SBIR Awards Over 500k FY PHASE Total Funded Year 2 Year 3 Year 4 Year 5 1992 Phase II 139 0 0.0% 0 0.0% 0 0.0% 0 0.0% 1993 Phase II 215 0 0.0% 0 0.0% 0 0.0% 0 0.0% 1994 Phase II 134 1 0.7% 1 0.7% 0 0.0% 0 0.0% 1995 Phase II 212 6 2.8% 0 0.0% 0 0.0% 0 0.0% 1996 Phase II 172 5 2.9% 0 0.0% 0 0.0% 0 0.0% 1997 Phase II 279 13 4.7% 0 0.0% 0 0.0% 0 0.0% 1998 Phase II 224 7 3.1% 0 0.0% 0 0.0% 0 0.0% 1999 Phase II 278 34 12.2% 0 0.0% 0 0.0% 0 0.0% 2000 Phase II 231 52 22.5% 1 0.4% 0 0.0% 0 0.0% 2001 Phase II 343 72 21.0% 1 0.3% 0 0.0% 0 0.0% 2002 Phase II 336 80 23.8% 1 0.3% 0 0.0% 0 0.0% 2003 Phase II 327 83 25.4% 4 1.2% 0 0.0% 1 0.3% 2004 Phase II 298 91 30.5% 11 3.7% 2 0.7% 1 0.3% 2005 Phase II 312 90 28.8% 11 3.5% 13 4.2% 1 0.3% UNEDITED PROOFS Read the entire page →
From page 222... ... 222 PREPUBLICATION COPY TABLE APP-A-24 Phase II extra-large awards (continued) NIH Phase II SBIR Awards Over 750k FY PHASE Total Funded Year 2 Year 3 Year 4 Year 5 1992 Phase II 139 0 0.0% 0 0.0% 0 0.0% 0 0.0% 1993 Phase II 215 0 0.0% 0 0.0% 0 0.0% 0 0.0% 1994 Phase II 134 0 0.0% 0 0.0% 0 0.0% 0 0.0% 1995 Phase II 212 0 0.0% 0 0.0% 0 0.0% 0 0.0% 1996 Phase II 172 0 0.0% 0 0.0% 0 0.0% 0 0.0% 1997 Phase II 279 0 0.0% 0 0.0% 0 0.0% 0 0.0% 1998 Phase II 224 0 0.0% 0 0.0% 0 0.0% 0 0.0% 1999 Phase II 278 8 2.9% 0 0.0% 0 0.0% 0 0.0% 2000 Phase II 231 8 3.5% 0 0.0% 0 0.0% 0 0.0% 2001 Phase II 343 9 2.6% 1 0.3% 0 0.0% 0 0.0% 2002 Phase II 336 23 6.8% 0 0.0% 0 0.0% 0 0.0% 2003 Phase II 327 18 5.5% 4 1.2% 0 0.0% 1 0.3% 2004 Phase II 298 24 8.1% 6 2.0% 1 0.3% 1 0.3% 2005 Phase II 312 27 8.7% 8 2.6% 11 3.5% 1 0.3% UNEDITED PROOFS Read the entire page →
From page 223... ... 223 PREPUBLICATION COPY TABLE APP-A-25 Phase I, Year 1 Supplements FY 1992 1993 1994 1995 1996 1997 1998 1999 2000 2001 2002 2003 Awards 4 6 9 7 8 15 24 16 31 33 33 30 Average $ 67,138 64,067 47,101 25,314 43,988 100,688 131,038 96,728 118,537 134,049 163,440 95,711 Maximum $ 142,502 150,000 121,237 82,000 118,886 214,957 530,198 375,000 574,670 600,000 713,490 370,349 Minimum $ 26,731 8,112 2,780 6,779 6,417 15,470 9,414 634 10,268 10,000 9,809 2,200 Total $ 268,550 384,402 423,913 177,196 351,906 1,510,314 3,144,900 1,547,643 3,674,641 4,423,627 5,393,530 2,871,315 TABLE APP-A-26 All P2 yr 1 grants FY 1992 1993 1994 1995 1996 1997 1998 1999 2000 2001 2002 2003 137 215 131 210 173 280 237 289 267 381 358 349 Grants 249,361 244,363 269,611 345,070 349,374 375,304 379,972 410,335 448,377 437,573 461,216 495,834 Average Amended P2 Yr 1 grants FY 1992 1993 1994 1995 1996 1997 1998 1999 2000 2001 2002 2003 29 55 22 48 51 89 45 60 62 100 88 82 Grants 21.2% 25.6% 16.8% 22.9% 29.5% 31.8% 19.0% 20.8% 23.2% 26.2% 24.6% 23.5% % of all 238,893 247,948 255,816 354,890 336,933 358,916 377,707 385,556 391,078 402,757 462,258 461,427 Average 95.8% 101.5% 94.9% 102.8% 96.4% 95.6% 99.4% 94.0% 87.2% 92.0% 100.2% 93.1% % all av. 286,292 500,000 326,203 647,634 495,215 611,874 514,581 864,785 591,768 822,158 1,152,230 1,230,000 Maximum 129,427 112,898 2,000 93,848 3,646 7,666 48,387 12,869 9,782 31,418 23,719 204,950 Minimum 6,927,902 13,637,125 5,627,959 17,034,712 17,183,579 31,943,518 16,996,826 23,133,378 24,246,844 40,275,684 40,678,701 37,837,035 Sum UNEDITED PROOFS Read the entire page →
From page 224... ... PREPUBLICATION COPY 224 TABLE APP-A-27 Phase II Contracts FY 1992 1993 1994 1995 1996 1997 1998 1999 2000 27 34 21 26 23 24 28 21 28 Awards 205,473 222,926 210,814 337,065 304,616 377,640 359,969 414,538 324,965 Average $ Maximum $ 477,019 499,085 500,000 739,693 750,000 1,184,286 750,000 798,773 749,868 14,834 9,660 13,915 10,000 7,050 9,793 7,253 4,245 87,992 Minimum $ 5,547,783 7,579,467 4,427,086 8,763,693 7,006,158 9,063,353 10,079,133 8,705,294 9,099,027 Total $ UNEDITED PROOFS Read the entire page →
From page 225... ... 225 PREPUBLICATION COPY TABLE APP-A-28 Phase II -- IC Awards % of Success total Rate IC 1992 1993 1994 1995 1996 1997 1998 1999 2000 2001 2002 2003 Awards Applications 3 3 1 1 2 5 2 4 5 4 4 2 36 1.2 92 39.1 AA 8 10 4 14 9 10 12 11 10 15 19 14 136 4.5 300 45.3 AG 16 23 17 18 20 28 27 30 23 30 26 22 280 9.3 667 42.0 AI 4 4 2 3 1 7 3 6 6 7 10 8 61 2.0 251 24.3 AR 2 3 1 6 0.2 10 60.0 AT 15 40 16 45 31 53 45 46 49 56 54 51 501 16.6 1,378 36.4 CA 5 13 3 7 6 11 9 5 9 14 14 15 111 3.7 232 47.8 DA 2 4 4 4 4 4 6 4 4 9 5 6 56 1.9 151 37.1 DC 3 6 2 3 4 4 3 4 1 4 9 8 51 1.7 175 29.1 DE 9 13 8 12 13 18 14 20 16 23 26 24 196 6.5 450 43.6 DK 6 6 12 0.4 25 48.0 EB 1 4 2 3 3 3 6 4 4 6 8 11 55 1.8 135 40.7 ES 5 6 1 5 4 9 9 9 11 13 6 12 90 3.0 242 37.2 EY 16 13 17 19 16 25 17 26 23 37 20 26 255 8.4 567 45.0 GM 6 11 10 12 9 15 15 14 21 26 25 21 185 6.1 464 39.9 HD 2 4 1 4 1 4 4 6 6 5 3 7 47 1.6 76 61.8 HG 23 35 18 27 21 42 28 45 31 59 47 53 429 14.2 1,018 42.1 HL 2 2 4 0.1 20 20.0 LM 1 0.0 MD 8 9 10 11 11 16 14 20 18 23 13 18 171 5.6 330 51.8 MH 1 2 1 1 2 2 3 3 3 18 0.6 51 35.3 NR 7 12 7 10 9 15 12 17 18 20 31 17 175 5.8 384 45.6 NS 4 4 6 9 7 10 7 11 7 22 19 22 128 4.2 326 39.3 RR 2 3 3 5 1 3 7 24 0.8 Shared Total 137 215 131 210 173 280 237 289 267 381 358 349 3027 100 UNEDITED PROOFS Read the entire page →
From page 226... ... 335 681 49.2% All Awards 3027 Top 20 as % of all P2 awards 11.1 UNEDITED PROOFS Read the entire page →
From page 228... ... 228 PREPUBLICATION COPY TABLE APP-A-30 Phase II awards by state Sum of SumOfNumber of Awards FY Grand % of Total total State 1992 1993 1994 1995 1996 1997 1998 1999 2000 2001 2002 2003 2004 2005 ALABAMA 2 2 4 6 4 3 3 3 4 6 7 5 5 3 57 0.7 ARIZONA 3 7 6 2 2 5 7 13 14 8 17 18 10 11 123 1.6 ARKANSAS 1 1 1 1 2 6 0.1 CALIFORNIA 39 62 53 60 66 94 119 99 94 120 137 137 155 142 1377 17.8 COLORADO 3 5 5 5 9 10 11 16 17 15 17 17 15 15 160 2.1 CONNECTICUT 8 9 9 12 12 8 7 6 9 9 5 7 12 11 124 1.6 DELAWARE 2 2 1 3 4 3 2 2 3 3 25 0.3 DIST OF COL 1 2 4 2 2 6 6 6 14 9 12 8 8 5 85 1.1 FLORIDA 6 13 10 4 3 10 9 4 11 10 9 9 10 11 119 1.5 GEORGIA 1 1 3 3 1 4 6 8 8 6 5 5 7 8 66 0.9 HAWAII 2 2 2 3 2 1 1 2 2 2 1 2 3 25 0.3 IDAHO 1 1 1 1 1 1 6 0.1 ILLINOIS 7 10 9 6 6 11 13 17 17 18 17 19 15 6 171 2.2 INDIANA 4 2 3 5 5 4 4 5 5 7 6 6 9 65 0.8 IOWA 2 1 1 2 2 1 3 4 2 2 1 21 0.3 KANSAS 2 2 2 2 1 2 3 4 4 4 3 29 0.4 KENTUCKY 1 2 1 1 1 1 1 3 4 1 4 5 25 0.3 LOUISIANA 1 2 1 1 1 1 1 2 3 3 1 3 20 0.3 MAINE 1 1 2 2 2 3 2 2 1 3 4 1 1 25 0.3 MARYLAND 23 31 34 30 28 26 37 30 29 42 48 43 52 52 505 6.5 MASSACHUSETTS 57 70 52 60 80 94 86 84 99 118 121 105 100 103 1229 15.9 MICHIGAN 8 10 7 8 11 15 19 14 10 14 13 19 18 24 190 2.5 MINNESOTA 10 9 9 8 10 16 12 8 8 10 13 16 14 20 163 2.1 MISSISSIPPI 1 1 2 0.0 MISSOURI 2 1 2 1 3 3 6 3 7 7 4 5 44 0.6 MONTANA 1 1 1 2 1 2 2 1 2 2 15 0.2 NEBRASKA 1 1 1 2 2 2 2 1 3 4 2 1 4 3 29 0.4 UNEDITED PROOFS Read the entire page →
From page 229... ... 229 PREPUBLICATION COPY 0.3 NEVADA 1 1 2 2 1 1 1 3 4 2 2 20 NEW HAMPSHIRE 1 2 2 6 6 4 6 7 6 7 8 12 12 8 87 1.1 NEW JERSEY 12 7 8 8 7 6 9 19 21 20 27 21 16 19 200 2.6 NEW MEXICO 1 2 2 4 4 2 1 4 5 5 6 5 4 45 0.6 NEW YORK 13 21 23 20 23 26 22 22 27 32 42 40 36 36 383 5.0 NORTH CAROLINA 7 9 13 8 6 14 16 15 13 17 24 23 23 31 219 2.8 NORTH DAKOTA 1 2 3 0.0 OHIO 4 8 8 11 10 14 18 18 17 16 29 29 19 19 220 2.9 OKLAHOMA 1 2 3 1 1 1 1 1 2 1 3 4 21 0.3 OREGON 6 7 8 11 12 14 19 18 21 21 21 20 23 27 228 3.0 PENNSYLVANIA 13 7 7 12 16 13 17 20 18 27 38 34 34 32 288 3.7 PUERTO RICO 1 1 2 0.0 RHODE ISLAND 1 1 2 4 4 6 7 10 8 43 0.6 SOUTH CAROLINA 1 1 6 7 5 6 26 0.3 SOUTH DAKOTA 2 2 1 2 1 1 1 10 0.1 TENNESSEE 2 2 4 4 1 1 5 5 3 2 2 5 6 4 46 0.6 TEXAS 13 12 12 16 13 15 17 18 23 27 25 32 36 37 296 3.8 UTAH 8 13 9 7 5 2 5 8 9 12 16 9 5 4 112 1.5 VERMONT 2 1 2 4 3 2 1 1 1 1 5 6 4 33 0.4 VIRGINIA 6 10 18 21 15 10 12 14 13 22 24 32 36 23 256 3.3 WASHINGTON 5 11 12 14 14 15 30 34 26 30 42 42 36 35 346 4.5 WISCONSIN 1 1 2 3 4 6 7 6 12 16 10 17 20 17 122 1.6 WYOMING 1 1 1 1 1 1 6 0.1 Grand Total 278 360 351 370 390 468 541 539 587 683 797 788 792 774 7718 100.0 UNEDITED PROOFS Read the entire page →
From page 230... ... 230 PREPUBLICATION COPY TABLE APP-A-31 NIH - Target groups In commercialization In use Total Size of affected populations # % # % # % MISSING 1 0.5 0 0.0 1 0.3 Under 10,000 persons 30 16.3 42 26.6 72 21.1 10,000 - 49,999 23 12.5 21 13.3 44 12.9 50,000 - 199,999 9 4.9 17 10.8 26 7.6 200,000 - 499,999 13 7.1 14 8.9 27 7.9 500,000 or more 76 41.3 44 27.8 120 35.1 Not sure 32 17.4 20 12.7 52 15.2 158 184 100.0 100.0 342 100.0 UNEDITED PROOFS Read the entire page →
From page 231... ... 231 PREPUBLICATION COPY TABLE APP-A-32 NIH - Impacts Hi-Impact Compa- All compa- % of hi Population nies nies impact % of all 4 28 9.1 11.2 Outpatients 1 22 2.3 8.8 Inpatients 4 10 9.1 4.0 Hospital personnel 2 67 4.5 26.9 Research labs 4 15 9.1 6.0 Diagnostic labs 7 24 15.9 9.6 Medical practitioners 1 1 2.3 0.4 Homecare providers 2 3 4.5 1.2 Other 4 12 9.1 4.8 Other health services 8 26 18.2 10.4 General public 2 7 4.5 2.8 Educators 0 1 0.0 0.4 Worksites 1 11 2.3 4.4 Schools, universities 2 7 4.5 2.8 Other companies, other technologies 1 5 2.3 2.0 Health researchers 1 10 2.3 4.0 MISSING Total 44 249 100.0 100.0 Note: Hi impact companies are those with products in use, who expect to affect more than 500,000 people UNEDITED PROOFS Read the entire page →
From page 233... ... of Awards Companies % Companies % 1 156 39.1 152 38.1 1 152 59.4 92 56.8 2 106 26.6 65 16.3 2 65 25.4 30 18.5 3 68 17.0 19 4.8 3 19 7.4 11 6.8 4 19 4.8 8 2.0 4 8 3.1 8 4.9 5 20 5.0 4 1.0 5 4 1.6 12 7.4 6 13 3.3 2 0.5 6 2 0.8 0 0.0 7 3 0.8 1 0.3 7 1 0.4 1 0.6 8 1 0.3 1 0.3 8 1 0.4 0 0.0 9 1 0.3 3 0.8 10 3 1.2 2 1.2 10 2 0.5 1 0.3 12 1 0.4 0 0.0 11 2 0.5 11 1 0.6 12 2 0.5 18 5 3.1 14 1 0.3 Responses 256 162 17 1 0.3 Surveyed companies 768 496 20 1 0.3 24 1 0.3 Total 399 100.0 399 100.0 UNEDITED PROOFS Read the entire page →
From page 234... ... How many SBIR Phase I awards, that involve Awards Companies % products, processes, or services related to the 0 2 0.5 project supported by the SBIR award referenced 1 156 39.1 earlier, has the company won? 2 106 26.6 3 68 17.0 4 19 4.8 5 20 5.0 6 13 3.3 7 3 0.8 8 1 0.3 9 1 0.3 10 2 0.5 11 2 0.5 12 2 0.5 14 1 0.3 17 1 0.3 20 1 0.3 24 1 0.3 Total 399 100.0 UNEDITED PROOFS Read the entire page →
From page 235... ... Text: How many other SBIR Phase II awards, that NIH Survey NRC Survey involve products, processes, or services re No. of lated to the project supported by the SBIR Awards Companies % Companies % award referenced earlier, has the company won 0 512 66.7 334 67.3 1 152 19.8 92 18.5 2 65 8.5 30 6.0 3 19 2.5 11 2.2 4 8 1.0 8 1.6 5 4 0.5 12 2.4 6 2 0.3 0 0.0 7 1 0.1 1 0.2 8 1 0.1 0 0.0 10 3 0.4 2 0.4 12 1 0.1 0 0.0 1 0.2 11 18 5 1.0 Awards 162 256 responses 768 496 UNEDITED PROOFS Read the entire page →
From page 236... ... PREPUBLICATION COPY 236 TABLE APP-A-35 NIH - Related Phase II Awards (continued) Number of Related P1 awards Related P2 awards Awards Companies % Companies % 0 2 0.5 143 35.8 1 156 39.1 152 38.1 2 106 26.6 65 16.3 3 68 17.0 19 4.8 4 19 4.8 8 2.0 5 20 5.0 4 1.0 6 13 3.3 2 0.5 7 3 0.8 1 0.3 8 1 0.3 1 0.3 9 1 0.3 3 0.8 10 2 0.5 1 0.3 11 2 0.5 12 2 0.5 14 1 0.3 17 1 0.3 20 1 0.3 24 1 0.3 Total 399 100.0 399 100.0 UNEDITED PROOFS Read the entire page →
From page 237... ... 237 PREPUBLICATION COPY TABLE APP-A-36 Impact of award SBIR on company growth % of company growth attributed to SBIR Responses Percent 132 29.5 Less than 25% 100 22.4 25% to 50% 78 17.4 51% to 75% More than 137 30.6 75% 447 100.0 Total UNEDITED PROOFS Read the entire page →
From page 238... ... 238 PREPUBLICATION COPY TABLE APP-A-37 NRC - Company formation Company was formed wholly or in part because of the SBIR award Responses % 342 74.8 No 49 10.7 Yes 66 14.4 Yes, in part 457 100.0 With academic backgrouind Number of founders with aca demic back ground # responses Responses % 0 None 86 18.9 At least one 0 86 369 81.1 1 214 All 455 100.0 2 106 3 33 4 11 5 3 7 2 369 UNEDITED PROOFS Read the entire page →
From page 239... ... Somewhat important 13 1.7 Not important 1 0.1 Not very important 0 0.0 Total 764 100.0 NIH - Project impacts Q9. Q9 Specific impacts Text Did the granting of one or more SBIR awards Not appli for this product, process, or service have an Missing Yes No cable impact on any of the following activities? Read the entire page →
From page 240... ... Stage of Review process, or service? Applied for ap 8 8.9 proval 13 14.4 Review ongoing 48 53.3 Approved 2 2.2 Not approved 11 12.2 IND; Clinical trials 7 7.8 Other 1 1.1 MISSING 100.0 Total 90 UNEDITED PROOFS Read the entire page →

From page 169...

... . TABLE 5-3 Fast Track Applications and Success Rates, 1997-2004 FT Phase I FY Applications Awards Success Success rate Rate 1997 41 13 31.7% 26.6% 1998 63 11 17.5% 26.8% 1999 129 45 34.9% 26.5% 2000 120 34 28.3% 25.1% 2001 129 38 29.5% 28.6% 2002 183 50 27.3% 25.8% 2003 273 61 22.3% 15.1% 2004 329 58 17.6% 17.9% To be eligible for Fast Track, an applicant must submit complete Phase I and Phase II applications at the same time, along with: clear, measurable milestones for Phase I, used to judge whether Phase I objectives have been • met; a full Phase II Product Development Plan; and • evidence of commitment from a commercial partner.