Revisiting the Department of Defense SBIR Fast Track Initiative (2009) / Chapter Skim
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Appendix D: Update of SBIR Fast Track Case Studies
Appendix D: Update of SBIR Fast Track Case Studies
Pages 115-176
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From page 115... ...
While the cases centered on projects, they also treated the companies that received the SBIR awards and conducted the research. There were slightly fewer companies than projects because several case-study projects were conducted by the same company, but in the case of the Fast Track projects, there was a one-to-one correspondence between projects and companies: 17 projects carried out by 17 companies.
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From page 116... ...
2 Study focus and key findings of John Scott's case study set were reported in "An Assessment of the Small Business Innovation Research Program in New England: Fast Track Compared with NonFast Track Projects," in National Research Council, The Small Business Innovation Research Program: An Assessment of the Department of Defense Fast Track Initiative, Charles W Wessner, ed., Washington, DC: National Academy Press, 2000, pp.
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From page 117... ...
4 Study focus and key findings of Maryann Feldman's case study set were reported in "Role of the Department of Defense in Building Biotech Expertise," in National Research Council, The Small Business Innovation Research Program: An Assessment of the Department of Defense Fast Track Initiative, op.
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From page 118... ...
The updated case studies are based on telephone interviews with owners, presidents, or designated points of contacts within the companies; supplementary information from the companies provided by email correspondence; information gleaned from company Web sites; news releases; Dun & Bradstreet company reports; SBA SBIR and Fast Track on-line awards databases; and the earlier case studies. The interview discussions focused on the following topics: 6 Study focus and key findings of Reid Cramer's case study set were reported in "Patterns of Firm Participation in the Small Business Innovation Research Program in Southwestern and Mountain States," in Naitonal Research Council, The Small Business Innovation Research Program: An Assessment of the Department of Defense Fast Track Initiative, op.
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From page 119... ...
• Commercialization status, including whether the company's SBIR awards have led to commercial products, including use of SBIR project results by DoD. • Views about the SBIR program in general.
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From page 120... ...
Of these three, two had been acquired by larger companies prior to this case study update, and one had gone under. The oldest company, Yardney, started in 1944, began to use SBIR awards in the early 1990s to advance its battery technology for defense and aerospace applications.
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From page 121... ...
Number of SBIR Awards Received Six of the 10 companies received no more than five SBIR awards, and three received three or fewer. One received seven awards.
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From page 122... ...
Matis' President also noted that the SBIR awards had promoted company growth and helped the company to generate revenues. Views on Fast Track and Phase II Enhancement Awards Given that all of the companies had received Fast Track awards but only two (CG2 and Yardney)
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From page 123... ...
Hyperion Catalysis described SBIR awards as "very difficult to obtain" and as "requiring substantial company time to work through the process" -- a comment which does not necessarily imply a problem with SBIR, but is worth considering since it may suggests undue application difficulties. Hyperion
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From page 124... ...
Picolight's President had a comment on why SBIR does not work better for many companies, with implied advice for companies on how they might change the way they approach SBIR, as well as potential advice on how better to formulate SBIR topics and reviews. He postulated that many companies tend to be less successful in building strong technology bases and companies from SBIR because they chase in scattered directions available SBIR topics rather than closely align their proposals with well-thought-through company goals.
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From page 125... ...
The major change since the earlier case has been the implementation of systems using the outcome of the Fast Track SBIR at major companies such as Vought, Boeing, and General Atomics. Implementation of these systems has 7 The following informational sources informed this case study: a telephone discussion with Thomas Rose, company founder/owner/president, February 21, 2008; the Web site of AvPro, Inc.; Dun & Bradstreet company report; SBA on-line Tech-net; and on-line Fast Track file.
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From page 126... ...
: Composite aerospace structures Commercialization of Technology: AvPro has provided process control systems that are directly derived from the commercialized versions of its SBIR developments. It has provided process control systems to the U.S.
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From page 127... ...
Fast Track Awards: 1 Phase II Enhancement Awards: 0 Views on SBIR and Fast Track: Recalling AvPro's earlier experience with Fast Track, Dr. Rose, said, "Fast Track makes a lot of sense." He cast his comments on Fast Track in the context of a difficulty he said companies like his often face in getting SBIR approval on proposals for manufacturing and process innovations that have their technical challenges in issues of integration and overcoming barriers to implementing sophisticated, often fragile systems in a hardened and workable form in a real shop-floor environment.
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From page 128... ...
Once the data is in the public domain and a regulatory compliance framework is established, the playing field is leveled and the risk of implementing the innovation is greatly reduced. Views on Phase II Enhancement Awards: Dr.
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From page 129... ...
; 83 (CG2/Quantum3D consolidated) 8 The following informational sources informed this case study: a telephone interview with Sandra Vaquerizo, designated point of contact, CG2, Inc., Orlando R&D Office, February 14, 2008, followed by email correspondence on February 15 and 22, 2008; the Web sites of CG2 and Quantum3D; a press release about the merger; Dun & Bradstreet company report; SBA on-line Tech-net; and on-line Fast Track file.
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From page 130... ...
: Virtual training in urban assault and homeland defense, flight training, ground vehicle training, and weapons system simulation and assessment Commercialization of Technology: CG2 successfully completed the 1997 Fast Track proposal, and subsequently generated revenue based on the technology. Following the merger with Quantum3D, CG2 maintained its focus on research for government clients, and additional product lines were launched in the military, aerospace, and commercial visual simulation and training markets through Quantum3D.9 SBIR, FAST TRACK, AND PHASE II ENHANCEMENTS SBIR Awards, 1997-2007: 22 (See Table App-D-3 for details.)
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From page 131... ...
While the company sees both Fast Track and Phase II Enhancement awards of value, the company sees them as having quite different functions. For small firms trying to avoid the funding gap, it sees Fast Track as most desirable.
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From page 132... ...
As it has grown in size over the past 10 years and developed more product sales, the company has funded its R&D from internal funding 10 The following informational sources informed this case study: a telephone interview with Dr. James Leacock, vice president of engineering, Hyperion Catalysis International, February 28, 2008; the company's Web site; the company's Dun & Bradstreet report; SBA on-line Tech-net; and on-line Fast Track file.
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From page 133... ...
SBIR, FAST TRACK, AND PHASE II ENHANCEMENTS SBIR Grants, 1996-2007: 3 (See Table App-D-4 for details.) Fast Track Awards: 1 Phase II Enhancement Awards: 0 Views on SBIR: Given that the company has received no SBIR awards since 1997, Dr.
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From page 134... ...
Leacock, the Fast Track award worked well. However, the company was disappointment that it was not successful with follow-on efforts to apply the technology in the intended defense applications.
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From page 135... ...
The company continues to work closely with the academic community, and collaborates with mathematicians, physicists, computer scientists, and software engineers from the United States, Germany, Israel, and Russia. The company's slogan is "mathematical models and algorithms turned into software." 14 The following informational sources informed this case study: a telephone discussion with Elena Matis-Oliker, company founder/owner/president, followed by an email response to questions asked, February 13, 2008; the company Web site; Dun & Bradstreet company report; SBA on-line Technet; and on-line Fast Track file.
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From page 136... ...
Fast Track Awards: 1 Phase II Enhancement Awards: 0 Views on SBIR: According to the company's president, receiving the SBIR awards promoted growth and helped it to generate revenues. This reference is to the 1996 Phase I and 1997 Phase II Fast Track award -- the only SBIR awards received by the company during the period examined.
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From page 137... ...
According to the company's president, to obtain funds for new and innovative research and development, it would consider proposing again to the SBIR program -- including proposals both for Fast Track and for a Phase II Enhancement award.
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From page 138... ...
1999) : Hardware to enhance images for missile targeting Last D&B Report 2003: Computer systems design 15 The following informational sources informed this case study: Dun & Bradstreet company report; SBA on-line Tech-net; and on-line Fast Track file.
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From page 139... ...
Fast Track Awards: 1 Phase II Enhancement Awards: 0 Views on SBIR: No information was obtained. Views on Fast Track and Phase II Enhancement Awards: No information was obtained.
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From page 140... ...
16 The following informational sources informed this case study: a telephone interview conducted February 29, 2008, with Dr. Jack Jewell, chief technical officer (CTO)
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From page 141... ...
: High-speed optical interconnects for switches and routers for communication systems requiring high data rates, low power consumption, and high reliability, including enterprise networks, data centers, campuses, and metro networks Commercialization of Technology: Picolight's founder and Chief Technical Officer, Jack Jewell, is a recognized pioneer in the development and commercialization of the company's vertical cavity surface-emitting laser (VCSEL) technology.
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From page 142... ...
Fast Track Awards: 2 Phase II Enhancement Awards: 0 Views on SBIR: In the words of Dr. Jewell, Picolight founder, the SBIR program is "excellent" and "it works." He described how he built the foundation of his company's device technologies -- and his company -- from SBIR awards.
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From page 143... ...
1999) : Research of double-sided flip chips 19 The following informational sources informed this case study: Dun & Bradstreet company report; SBA on-line Tech-net; and on-line Fast Track file.
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From page 144... ...
: No information obtained Commercialization of Technology: No information obtained SBIR, FAST TRACK, AND PHASE II ENHANCEMENTS SBIR Grants, 1996-2007: 7 (See Table App-D-8 for details.) Fast Track Awards: 1 Phase II Enhancement Awards: 0 Views on SBIR: No information obtained Views on Fast Track and Phase II Enhancement Awards: No information obtained
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From page 145... ...
The timing of the topic of the previous case study -- transmission of video images over narrow bandwidth -- seemed, in the opinion 20 The following informational sources informed this case study: a telephone interview with C
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From page 146... ...
Fast Track Awards: 1 Phase II Enhancement Awards: 0 Views on SBIR: According to the company president, Dr. Yin, the SBIR program "works okay." Rather than problems with the SBIR, it was changing conditions with the company and a change in business focus that caused the company not to submit further proposals to SBIR following the Fast Track award in 1997.
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From page 147... ...
APPENDIX D 147 not expect to propose for additional SBIR-, Fast Track-, or Phase II Enhancement awards.
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From page 148... ...
No additional information was obtained. 21 The following informational sources informed this case study: the company Web site; Dun & Bradstreet company report; SBA on-line Tech-net; and on-line Fast Track file.
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From page 149... ...
Fast Track Awards: 1 Phase II Enhancement Awards: 0 Views on SBIR: No information was obtained Views on Fast Track and Phase II Enhancement Awards: No information was obtained
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From page 150... ...
In 1995 a holding company, Ener-Tek International, was formed and became the parent company of Yardney. Throughout its history, the company has consistently focused on battery technology, but has shifted emphasis on the type of battery, moving from 22 The following informational sources informed this case study: a telephone interview with Vince Yevoli, Yardney president and chief operating officer; the company Web site; Dun & Bradstreet company report; SBA on-line Tech-net; and on-line Fast Track file.
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From page 151... ...
: Air, land, sea, and space applications needing high performance battery systems, including aircraft, directed energy weapons, DoD radios, medical electronics, medical implants, missiles, professional cameras, robotics, spacecraft, unmanned combat vehicles, and other support applications Commercialization of Technology: The Company's SBIR awards have enhanced its battery research -- particularly its Li-ion battery research in recent years -- and the enhancements have gone directly into improving the performance of batteries supplied for use in aerospace and defense applications. The company maintains a small production line to meet its customers' specialized needs.
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From page 152... ...
Views on Fast Track and Phase II Enhancement: Although the company's Fast Track award has been sufficiently long ago that there was little specific memory of the experience, Mr. Yevoli was willing to discuss both Fast Track and the Phase II Enhancement awards.
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From page 153... ...
owned small corp. Hyperion Cambridge, Privately 1982 Novel forms Carbon nanotube 20 60 3 Catalysis MA owned small and technology, (1996Intnat'l.
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From page 154... ...
transceivers and corp; technology component acquired by technologies JDS Uniphase Corp.,
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From page 155... ...
woman- & like software services in 28 PT (1996 minority- for information 1997) owned small transmission of technology; a corp; no video images change in focus change in over narrow away from R&D ownership bandwidth Synkinetics, Framingham, Privately 1982/ Precision drive SYNKdrive® 8 2 5 Inc.
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From page 156... ...
1984 was given as the founding date by the previous case study; 1992 was given by the company's 2007 Dun & Bradstreet report; *
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From page 157... ...
TABLE App-D-2 AvPro's SBIR Awards, 1994-2007 Total Phase II- Phase II Award SBIR Phase I Phase II Fast Track Enhancement Year Agency (Number) (Number)
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From page 158... ...
(Number) Title 1997 DoD 2 1 1 1 Virtual Reality Scene Army Generation by Means of Open Standards 2002 DoD 4 2 2 0 Material Encoded Navy Textures with Computer Generated Forces Personal Computer Graphics Support for Texel Level Sensor Simulation 2003 DoD 4 4 0 0 PC Based Dynamic AF Real-Time Infrared Army Image Generation Army Capacity MDA PC Based Real-Time Infrared/Millimeter Wave Scene Generator Scene Management for Complex
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From page 159... ...
Environments Advanced Scene Generation Techniques 2004 DoD 4 2 2 0 Military 3-D Army Visualization Navy Utilizing Gaming Army Technology New Modeling and Simulation Technology for Night Vision Goggle Mission Rehearsal Infrared/Millimeter Wave Scene Generator Advanced Scene Generation Techniques continued 159
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160 TABLE App-D-3 Continued Total Phase II- Phase IIAward SBIR Phase I Phase II Fast Track Enhancement Year Agency (Number) (Number)
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NOTE: * According to the company, it has received a Phase II Enhancement award.
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From page 162... ...
162 TABLE App-D-4 Hyperion Catalysis's SBIR Awards, 1996-2007 Total Phase II- Phase IIAward SBIR Phase I Phase II Fast Track Enhancement Year Agency (Number) (Number)
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From page 163... ...
(Number) Title 1996 DoD 1 1 0 0 0 A Novel Computational AF System for Real-Time Analysis and Prediction 1997 DoD 1 0 1 1 0 of An Virtual Reality AF Scene Generation by Means of Open Standards Totals 2 1 1 1 0 163
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164 TABLE App-D-6 Opts' SBIR Awards, 1996-2007 Total Phase II- Phase II Award SBIR Phase I Phase II Fast Track Enhancement Year Agency (Number) (Number)
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From page 165... ...
TABLE App-D-7 Picolight's SBIR Awards, 1996-2007 Total Phase II- Phase IIAward SBIR Phase I Phase II Fast Track Enhancement Year Agency (Number) (Number)
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From page 166... ...
(Number) Title 1997 DoD 2 1 1 0 0 Fiber-to-the-Desk Laser 1999 MDA Transmitters and Receivers 1997 DoD 2 1 1 1 0 Stable Single Mode Oxide 1998 Navy Vertical Cavity Surface Emitting Lasers 1997 HHS 1 1 0 0 0 On-Airway-Ideal Spectroscopic Sensor for Carbon Dioxide 1998 DoD 1 1 0 0 0 Passively Aligned Single MDA Mode VCSEL Transceivers 1999 DoD 1 1 0 0 0 High-Performance 1550nm MDA Vertical-Cavity Surface Emitting Lasers 1999 DoD 2 1 1 0 0 Viable 2.5-10 GHz 1300nm 2000 Navy VCSEL Arrays Totals 17 11 6 2 0
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From page 167... ...
(Number) Title 1996 DoD 2 1 1 1 0 A New Dual-Gated 1997 DARPA DMCT for Hybrid Electric Power Systems 2002 DoD 2 1 1 0 0 Novel High Current 2003 AF Switch for Spacecraft Power Bus Control 2002 DoD 2 1 1 0 0 Thermionic Converters 2004 OSD Based on Nanostructured Carbon Materials 2005 DoD 1 1 0 0 0 Cold Cathode for AF Traveling Wave Tubes Totals 7 4 3 1 0 167
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From page 168... ...
168 TABLE App-D-9 Summitec's SBIR Awards, 1996-2007 Phase II- Phase IIAward Total SBIR Phase I Phase II Fast Track Enhancement Year Agency (Number) (Number)
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From page 169... ...
TABLE App-D-10 Synkinetics' SBIR Awards, 1994-2007 Phase II- Phase IIAward Total SBIR Phase I Phase II Fast Track Enhancement Year Agency (Number) (Number)
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From page 170... ...
(Number) Title 1991 DoD 2 1 1 0 0 Development of Silver-Zinc 1993 Navy Cells of Improved Life and Energy Density 1993 DoD 1 1 0 0 0 Lithium-ion Rechargeable 1997 NASA Battery System with Sulfur Dioxide-Based Electrolyte 1993 NASA 1 1 0 0 0 High-Energy-Density, 1994 Rechargeable, Nickel-Zinc Cells with Improved Cycle Life 1994 DoD 1 1 0 0 0 Improvement of High Power Navy Silver-Zinc Rechargeable Batteries for Underwater Vehicles 1994 DoD 2 1 1 0 0 High Rate Bipolar 1996 Navy Lithium/Thionyl Cloride Power Source for Missile Guidance
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From page 171... ...
1995 DoD 2 1 1 0 0 Low Cost, High Rate, High 1996 AF Energy Density Lithium-Ion Batteries 1996 DoD 1 1 0 0 0 Development of a Synergetic DARPA Battery Pack (SBP) 1996 DoD 2 1 1 0 0 Advanced Development 1997 OSD Program for a Lightweight, Rechargeable "AA" Zinc-Air Battery 1996 DoD 2 1 1 1 0 Low Cost, Lightweight, 1997 OSD Rechargeable Lithium-ion Batteries 1997 DoD 1 1 0 0 0 Exploratory Development of Army Novel Manganese Oxide Cathode Materials for High Performance Lithium-ion Batteries 1997 NASA 1 1 0 0 0 A High Cycle Life, High Energy Density Battery Using A Metal Oxide Anode Material continued 171
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From page 172... ...
(Number) 1997 NASA 2 1 1 0 0 A High Performance Lithium 1998 Battery Using An Alloy Anode 1998 DoE 1 1 0 0 0 A Mixed Metal Oxide Anode Material for High Energy Density Li-ion Batteries 1999 DoD 2 1 1 0 0 Thin Film, Flexible Space 2000 AF Battery 1999 NASA 1 1 0 0 0 A Mixed Oxide Negative Electrode Material for Li-ion Batteries 2000 DoD 2 1 1 0 0 Tin Based Negative Electrode 2001 Army Materials 2000 NASA 2 1 1 0 0 Title not found 2001 DoE 1 1 0 0 0 Intermediate Temperature Solid Oxide Fuel Cell Development
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From page 173... ...
2002 DoE 1 1 0 0 0 The Development of a Polyvlent Battery System 2002 DoE 1 1 0 0 0 The Development of a Low Cost Separator with Improved Performance 2002 DoD 2 1 1 0 0 Development of a Novel, 2003 MDA Thin Film Lithium-ion Battery Technology 2002 DoD 2 1 1 0 0 Development of Onboard 2003 MDA Power Sources for Interceptor Missiles 2003 DoD 3 1 1 0 1 An Ultra-lightweight Lithium AF Air Battery for Unmanned Air Vehicles 2003 DoD 1 1 0 0 0 Advanced High Energy Army Batteries 2003 DoD 2 1 1 0 0 Innovative Manufacturing 2004 MDA Processes continued 173
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From page 174... ...
(Number) 2003 DoD 1 1 0 0 0 Aluminum-Air Fuel Navy Cell/Battery Research 2004 DoD 2 1 1 0 0 Lithium-Air Technology Army 2004 DoD 1 1 0 0 0 Ballistic Missile System MDA Innovative Power Storage Devices 2004 DoD 1 1 0 0 0 Assessing Useful Remaining Navy Life of Li-ion Batteries after Deep Discharges 2005 DoE 1 1 0 0 0 Low Temperature Performance of Li-ion Batteries 2005 DoD 1 1 0 0 0 Pressure Tolerant Power Navy Source for Off-Board Sensor 2006 DoE 1 1 0 0 0 State-of-Charge Technology Navy for Zn-air Battery Systems
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From page 175... ...
2006 DoD 1 1 0 0 0 New and Improved Army Nonaqueous Electrolyte Components -- Salts & Solvents 2006 DoD 1 1 0 0 0 Innovative Lightweight OSD Metal-Air Cell Cases for Non-Rechargeable Batteries 2007 DoD 1 1 0 0 0 A Phase I SBIR Proposal to MDA Lower the Cost and Improve the Manufacturing of Li-ion Batteries 2007 DoD 2 1 1 0 0 Lithium-Air/Lithium-Ion Army Hybrid Battery for Military Use 2007 DoD 1 1 0 0 0 Phase I Nano-Engineered OSD Anode Materials for rapid recharge High Energy density Lithium-ion Batteries continued 175
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From page 176... ...
176 TABLE App-D-11 Continued Phase II- Phase IIAward Total SBIR Phase I Phase II Fast Track Enhancement Year Agency (Number) (Number)
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