Appendix A
NSF SBIR Program Data1
TABLE App-A-1 Phase I Grants by Year, 1992–2005
Fiscal Year |
Number of Grants |
Average Grant ($) |
Total Grant Amount ($) |
1992 |
208 |
49,755 |
10,349,115 |
1993 |
256 |
49,727 |
12,730,184 |
1994 |
309 |
64,103 |
19,807,945 |
1995 |
301 |
64,571 |
19,436,011 |
1996 |
252 |
74,283 |
18,719,287 |
1997 |
261 |
74,262 |
19,382,371 |
1998 |
215 |
98,371 |
21,149,814 |
1999 |
236 |
98,749 |
23,304,757 |
2000 |
233 |
99,405 |
23,161,372 |
2001 |
219 |
99,353 |
21,758,218 |
2002 |
286 |
99,162 |
28,360,340 |
2003 |
437 |
99,275 |
43,383,103 |
2004 |
244 |
100,000 |
25,117,992 |
2005 |
149 |
98,575 |
14,687,703 |
1 |
All data in Appendix A were provided by or derived from data provided by the National Science Foundation. |
TABLE App-A-2 Phase I Applications and Success Rates, 1994–2005
Fiscal Year |
Phase I Proposals Not Funded |
Phase I Proposals Funded |
Total Phase I Proposals |
Success Rate: Percentage of Proposals Granted |
1994 |
1,587 |
309 |
1,896 |
16.3 |
1995 |
1,552 |
301 |
1,853 |
16.2 |
1996 |
1,530 |
252 |
1,782 |
14.1 |
1997 |
1,390 |
261 |
1,651 |
15.8 |
1998 |
1,367 |
215 |
1,582 |
13.6 |
1999 |
1,286 |
236 |
1,522 |
15.5 |
2000 |
1,110 |
233 |
1,343 |
17.3 |
2001 |
942 |
219 |
1,161 |
18.9 |
2002 |
1,125 |
286 |
1,411 |
20.3 |
2003 |
1,653 |
437 |
2,090 |
20.9 |
2004 |
1,186 |
244 |
1,430 |
17.1 |
2005 |
923 |
149 |
1,072 |
13.9 |
TABLE App-A-3 Phase I Grants to Woman-owned Businesses, 1994–2005
Fiscal Year |
Phase I Grants to Woman-owned Businesses |
All Phase I Grants to Businesses |
Woman-owned Share of Phase I Grants (%) |
Average Size of Phase I Grants to Woman-owned Businesses ($) |
Average Size of All Phase I Grants ($) |
Average Size of Woman-owned Phase I Grants as a Percentage of Average Size of Overall Average Grants |
1994 |
25 |
309 |
8.1 |
63,496 |
64,103 |
99.1 |
1995 |
33 |
301 |
11.0 |
64,680 |
64,571 |
100.2 |
1996 |
27 |
252 |
10.7 |
74,051 |
74,275 |
99.7 |
1997 |
24 |
261 |
9.2 |
74,252 |
74,262 |
100.0 |
1998 |
22 |
215 |
10.2 |
99,341 |
98,371 |
101.0 |
1999 |
16 |
236 |
6.8 |
96,863 |
98,096 |
98.7 |
2000 |
21 |
233 |
9.0 |
99,378 |
97,690 |
101.7 |
2001 |
17 |
219 |
7.8 |
99,299 |
99,353 |
99.9 |
2002 |
38 |
286 |
13.3 |
99,345 |
100,559 |
98.8 |
2003 |
47 |
437 |
10.8 |
99,789 |
99,272 |
100.5 |
2004 |
23 |
244 |
9.4 |
97,678 |
99,254 |
98.4 |
2005 |
20 |
149 |
13.4 |
99,136 |
98,575 |
100.6 |
TABLE App-A-4 Phase I Applications and Success Rates for Woman-owned Companies, 1994–2005
Fiscal Year |
Proposals Declined |
Proposals Granted |
Total Applications |
Woman-owned Success Rate (%) |
Overall Success Rate (%) |
Woman-owned as Percentage of Overall Success Rate |
1994 |
249 |
25 |
274 |
9.1 |
16.3 |
56.0 |
1995 |
212 |
33 |
245 |
13.5 |
16.2 |
82.9 |
1996 |
197 |
27 |
224 |
12.1 |
14.1 |
85.2 |
1997 |
204 |
24 |
228 |
10.5 |
15.8 |
66.6 |
1998 |
177 |
22 |
199 |
11.1 |
13.6 |
81.3 |
1999 |
179 |
16 |
195 |
8.2 |
15.5 |
52.9 |
2000 |
157 |
21 |
178 |
11.8 |
17.3 |
68.0 |
2001 |
133 |
17 |
150 |
11.3 |
18.9 |
60.1 |
2002 |
165 |
38 |
203 |
18.7 |
20.3 |
92.4 |
2003 |
209 |
47 |
256 |
18.4 |
20.9 |
87.8 |
2004 |
168 |
23 |
191 |
12.0 |
17.1 |
70.4 |
2005 |
135 |
20 |
154 |
13.0 |
13.9 |
93.4 |
TABLE App-A-5 Phase I Grants to Disadvantaged Businesses, 1994–2005
TABLE App-A-6 Phase I Applications and Success Rates of Disadvantaged Businesses, 1994–2005
TABLE App-A-7 Distribution of Phase I Grants among Firms, 1993–2002
Number of Grants |
Number of Companies Receiving This Number of Grants |
Total Grants Received by These Companies |
40 |
1 |
40 |
36 |
1 |
36 |
33 |
1 |
33 |
32 |
1 |
32 |
31 |
1 |
31 |
24 |
2 |
48 |
22 |
2 |
44 |
21 |
1 |
21 |
18 |
2 |
36 |
16 |
4 |
64 |
15 |
1 |
15 |
14 |
2 |
28 |
13 |
5 |
65 |
12 |
7 |
84 |
11 |
6 |
66 |
10 |
1 |
10 |
9 |
4 |
36 |
8 |
11 |
88 |
7 |
11 |
77 |
6 |
27 |
162 |
5 |
24 |
120 |
4 |
47 |
188 |
3 |
92 |
276 |
2 |
249 |
498 |
1 |
1,115 |
1,115 |
TABLE App-A-8 Phase I Previous Winners and New Winners, 1996–2003
TABLE App-A-9 Phase I Grants by State, 1992–2003
State |
Grants |
Percentage of All |
State |
Grants |
Percentage of All |
CA |
656.0 |
19.0 |
MO |
28 |
0.8 |
MA |
476.0 |
13.8 |
DE |
22 |
0.6 |
CO |
192.0 |
5.6 |
IN |
25 |
0.7 |
NY |
183.0 |
5.3 |
WI |
26 |
0.8 |
TX |
140.0 |
4.0 |
OK |
20 |
0.6 |
NJ |
129.0 |
3.7 |
HI |
21 |
0.6 |
CT |
119.0 |
3.4 |
AR |
24 |
0.7 |
VA |
123.0 |
3.6 |
VT |
18 |
0.5 |
MD |
115.0 |
3.3 |
ME |
20 |
0.6 |
OH |
105.0 |
3.0 |
SC |
15 |
0.4 |
PA |
88.0 |
2.5 |
WY |
13 |
0.4 |
AZ |
81.0 |
2.3 |
SD |
12 |
0.3 |
NM |
78.0 |
2.3 |
KS |
16 |
0.5 |
MN |
63.0 |
1.8 |
AK |
12 |
0.3 |
MI |
69.0 |
2.0 |
WV |
11 |
0.3 |
WA |
63.0 |
1.8 |
ND |
12 |
0.3 |
FL |
60.0 |
1.7 |
LA |
11 |
0.3 |
IL |
53.0 |
1.5 |
ID |
9 |
0.3 |
OR |
46.0 |
1.3 |
IA |
8 |
0.2 |
NC |
53.0 |
1.5 |
NV |
6 |
0.2 |
UT |
40.0 |
1.2 |
KY |
7 |
0.2 |
GA |
44.0 |
1.3 |
NE |
6 |
0.2 |
AL |
34.0 |
1.0 |
MS |
7 |
0.2 |
TN |
30.0 |
0.9 |
RI |
2 |
0.1 |
NH |
29.0 |
0.8 |
PR |
3 |
0.1 |
MT |
32.0 |
0.9 |
DC |
2 |
0.1 |
TABLE App-A-10 Phase I Applications and Success Rates by State, 1992–2003
State |
Declines |
Grants |
Total Applications |
Success Rate (%) |
AK |
29 |
12 |
41 |
29.3 |
AL |
173 |
25 |
198 |
12.6 |
AR |
34 |
18 |
52 |
34.6 |
AZ |
442 |
72 |
514 |
14.0 |
CA |
2420 |
602 |
3022 |
19.9 |
CO |
743 |
184 |
927 |
19.8 |
CT |
457 |
118 |
575 |
20.5 |
DC |
25 |
2 |
27 |
7.4 |
DE |
109 |
22 |
131 |
16.8 |
FL |
332 |
53 |
385 |
13.8 |
TABLE App-A-11 Phase II Grants, 1992–2005
Fiscal Year |
Grants |
Average ($) |
Maximum ($) |
Minimum ($) |
Total ($) |
1992 |
57 |
246,373 |
288,934 |
203,984 |
14,043,289 |
1993 |
52 |
269,668 |
321,875 |
224,503 |
14,022,757 |
1994 |
21 |
279,983 |
300,000 |
242,194 |
5,879,644 |
1995 |
48 |
277,136 |
300,000 |
6,000 |
13,302,542 |
1996 |
90 |
297,584 |
399,998 |
213,271 |
26,782,533 |
1997 |
122 |
289,390 |
325,817 |
66,327 |
35,305,525 |
1998 |
117 |
344,958 |
400,000 |
262,889 |
40,360,087 |
1999 |
89 |
394,854 |
400,000 |
200,000 |
35,141,968 |
2000 |
95 |
400,827 |
453,585 |
300,000 |
38,078,524 |
2001 |
91 |
475,018 |
500,000 |
200,000 |
43,226,632 |
2002 |
67 |
495,645 |
500,000 |
329,984 |
33,208,238 |
2003 |
77 |
498,505 |
500,000 |
417,779 |
38,384,851 |
2004 |
131 |
498,254 |
500,000 |
398,768 |
65,278,995 |
2005 |
132 |
499,715 |
749,947 |
320,102 |
65,962,445 |
TABLE App-A-12 Phase II Applications and Success Rates, 1993–2005
Fiscal Year |
Phase II Proposals Not Funded |
Phase II Proposals Funded |
Total Phase II Proposals |
Success Rate: Percentage of Proposals Granted |
1993 |
41 |
52 |
93 |
55.9 |
1994 |
106 |
21 |
127 |
16.5 |
1995 |
159 |
48 |
207 |
23.2 |
1996 |
133 |
90 |
223 |
40.4 |
1997 |
115 |
122 |
237 |
51.5 |
1998 |
93 |
117 |
210 |
55.7 |
1999 |
91 |
89 |
180 |
49.4 |
2000 |
92 |
95 |
187 |
50.8 |
2001 |
83 |
91 |
174 |
52.3 |
2002 |
91 |
67 |
158 |
42.4 |
2003 |
110 |
77 |
187 |
41.2 |
2004 |
190 |
131 |
321 |
40.8 |
2005 |
83 |
132 |
215 |
61.4 |
TABLE App-A-13 Phase II Grants to Woman-owned Businesses, 1995–2005
Fiscal Year |
Phase II Grants to Woman-owned Businesses |
Phase II Grants to All Businesses |
Woman-owned Share of All Phase II Grants (%) |
Average Size of Phase II Grants to Woman-owned Businesses ($) |
Average Size of All Phase II Grants ($) |
Average Size of Woman-owned Phase II as a Percentage of Average Size of All Phase II Grants |
1995 |
1 |
48 |
2.1 |
299,994 |
277,136 |
1.1 |
1996 |
5 |
90 |
5.6 |
289,799 |
297,584 |
1.0 |
1997 |
7 |
122 |
5.7 |
292,329 |
289,390 |
1.0 |
1998 |
16 |
117 |
13.7 |
327,549 |
344,958 |
0.9 |
1999 |
8 |
89 |
9.0 |
399,801 |
394,854 |
1.0 |
2000 |
9 |
95 |
9.5 |
404,585 |
400,827 |
1.0 |
2001 |
6 |
91 |
6.6 |
466,323 |
475,018 |
1.0 |
2002 |
4 |
67 |
6.0 |
499,407 |
495,645 |
1.0 |
2003 |
4 |
77 |
5.2 |
499,903 |
498,505 |
1.0 |
2004 |
5 |
131 |
3.8 |
499,903 |
497,997 |
1.0 |
2005 |
14 |
132 |
10.6 |
|
|
|
TABLE App-A-14 Phase II Applications and Success Rates for Woman-owned Businesses, 1995–2005
Fiscal Year |
Woman-owned Business Phase II Applications Declined |
Woman-owned Business Phase II Applications Granted |
Woman-owned Business Total Phase II Applications |
Success Rate of Woman-owned Businesses (%) |
Overall Success Rate (%) |
Success Rate of Woman-owned Businesses as Percentage of Overall Success Rate |
1995 |
1 |
1 |
2 |
50.0 |
23.2 |
215.6 |
1996 |
15 |
5 |
20 |
25.0 |
40.4 |
61.9 |
1997 |
14 |
7 |
21 |
33.3 |
51.5 |
64.8 |
1998 |
8 |
16 |
24 |
66.7 |
55.7 |
119.7 |
1999 |
14 |
8 |
22 |
36.4 |
49.4 |
73.5 |
2000 |
5 |
9 |
14 |
64.3 |
50.8 |
126.5 |
2001 |
9 |
6 |
15 |
40.0 |
52.3 |
76.5 |
2002 |
11 |
4 |
15 |
26.7 |
42.4 |
62.9 |
2003 |
22 |
4 |
26 |
15.4 |
41.2 |
37.4 |
2004 |
14 |
5 |
19 |
26.3 |
40.8 |
64.5 |
2005 |
11 |
14 |
25 |
56.0 |
61.4 |
91.2 |
TABLE App-A-15 Phase II Grants to Disadvantaged Businesses, 1995–2005
Fiscal Year |
Phase II Grants to Disadvantaged Businesses |
Phase II Grants to All Businesses |
Phase II Grants to Disadvantaged Businesses as Percentage of Phase II Grants to All Businesses |
1995 |
1 |
48 |
2.1 |
1996 |
9 |
90 |
10.0 |
1997 |
30 |
122 |
24.6 |
1998 |
14 |
117 |
12.0 |
1999 |
20 |
89 |
22.5 |
2000 |
16 |
95 |
16.8 |
2001 |
7 |
91 |
7.7 |
2002 |
8 |
67 |
11.9 |
2003 |
8 |
77 |
10.4 |
2004 |
12 |
131 |
9.2 |
2005 |
10 |
132 |
7.6 |
TABLE App-A-16 Phase II Applications and Success Rates for Disadvantaged Businesses, 1995–2005
Fiscal Year |
Disadvantaged Business Phase II Applications Declined |
Disadvantaged Business Phase II Applications Granted |
Disadvantaged Business Total Phase II Applications |
Success Rate of Disadvantaged Businesses (%) |
Success Rate of All Businesses (%) |
Success Rate of Disadvantaged Businesses as Percentage of Overall Success Rate |
1995 |
8 |
1 |
9 |
11.1 |
23.2 |
47.9 |
1996 |
20 |
9 |
29 |
31.0 |
40.4 |
76.9 |
1997 |
17 |
30 |
47 |
63.8 |
51.5 |
124.0 |
1998 |
13 |
14 |
27 |
51.9 |
55.7 |
93.1 |
1999 |
9 |
20 |
29 |
69.0 |
49.4 |
139.5 |
2000 |
12 |
16 |
28 |
57.1 |
50.8 |
112.5 |
2001 |
11 |
7 |
18 |
38.9 |
52.3 |
74.4 |
2002 |
22 |
8 |
30 |
26.7 |
42.4 |
62.9 |
2003 |
24 |
8 |
32 |
25.0 |
41.2 |
60.7 |
2004 |
35 |
12 |
47 |
25.5 |
40.8 |
62.6 |
2005 |
10 |
10 |
20 |
50.0 |
45.2 |
110.7 |
TABLE App-A-17 Phase II Grants by State, 1992–2004
State |
Grants |
Percentage of All |
State |
Grants |
Percentage of All |
CA |
228 |
27.8 |
NH |
10 |
0.0 |
MA |
139 |
16.9 |
MT |
12 |
0.0 |
CO |
57 |
6.9 |
VT |
8 |
0.0 |
NY |
56 |
6.8 |
DE |
8 |
0.0 |
CT |
38 |
4.6 |
WI |
8 |
0.0 |
VA |
39 |
4.8 |
HI |
6 |
0.0 |
MD |
36 |
4.4 |
ND |
7 |
0.0 |
TX |
35 |
4.3 |
OK |
6 |
0.0 |
OH |
32 |
3.9 |
SD |
5 |
0.0 |
NJ |
29 |
3.5 |
WY |
6 |
0.0 |
MI |
24 |
2.9 |
AK |
4 |
0.0 |
NM |
24 |
2.9 |
IN |
4 |
0.0 |
MN |
21 |
2.6 |
KS |
5 |
0.0 |
WA |
20 |
2.4 |
ME |
4 |
0.0 |
PA |
21 |
2.6 |
SC |
6 |
0.0 |
AZ |
17 |
2.1 |
AR |
6 |
0.0 |
IL |
20 |
2.4 |
KY |
3 |
0.0 |
TN |
15 |
1.8 |
MO |
5 |
0.0 |
FL |
17 |
2.1 |
ID |
2 |
0.0 |
GA |
15 |
1.8 |
LA |
3 |
0.0 |
NC |
12 |
1.5 |
MS |
1 |
0.0 |
OR |
14 |
1.7 |
NE |
1 |
0.0 |
UT |
13 |
1.6 |
NV |
1 |
0.0 |
AL |
11 |
1.3 |
RI |
1 |
0.0 |
DC |
1 |
0.0 |
|||
|
|
|
IA |
1 |
0.0 |
TABLE App-A-18 Phase II Applications and Success Rates by State, 1993–2003
State |
Applications Declined |
Applications Granted |
Total Applications |
Success Rate (%) |
CA |
194 |
196 |
390 |
50.3 |
MA |
174 |
125 |
299 |
41.8 |
CO |
61 |
51 |
112 |
45.5 |
NY |
66 |
49 |
115 |
42.6 |
CT |
45 |
36 |
81 |
44.4 |
VA |
43 |
35 |
78 |
44.9 |
MD |
41 |
32 |
73 |
43.8 |
TX |
44 |
31 |
75 |
41.3 |
OH |
38 |
29 |
67 |
43.3 |
NJ |
45 |
25 |
70 |
35.7 |
MI |
17 |
24 |
41 |
58.5 |
NM |
36 |
22 |
58 |
37.9 |
MN |
22 |
18 |
40 |
45.0 |
WA |
19 |
18 |
37 |
48.6 |
PA |
26 |
16 |
42 |
38.1 |
AZ |
35 |
15 |
50 |
30.0 |
IL |
11 |
15 |
26 |
57.7 |
TN |
7 |
14 |
21 |
66.7 |
FL |
20 |
12 |
32 |
37.5 |
GA |
13 |
12 |
25 |
48.0 |
NC |
8 |
12 |
20 |
60.0 |
OR |
12 |
12 |
24 |
50.0 |
UT |
15 |
12 |
27 |
44.4 |
AL |
15 |
10 |
25 |
40.0 |
NH |
8 |
10 |
18 |
55.6 |
MT |
5 |
9 |
14 |
64.3 |
VT |
7 |
8 |
15 |
53.3 |
DE |
10 |
7 |
17 |
41.2 |
WI |
4 |
7 |
11 |
63.6 |
HI |
5 |
6 |
11 |
54.5 |
ND |
1 |
6 |
7 |
85.7 |
OK |
6 |
5 |
11 |
45.5 |
SD |
5 |
5 |
10 |
50.0 |
WY |
3 |
5 |
8 |
62.5 |
AK |
1 |
4 |
5 |
80.0 |
IN |
6 |
4 |
10 |
40.0 |
KS |
3 |
4 |
7 |
57.1 |
ME |
3 |
4 |
7 |
57.1 |
SC |
5 |
4 |
9 |
44.4 |
AR |
5 |
3 |
8 |
37.5 |
KY |
2 |
3 |
5 |
60.0 |
MO |
6 |
3 |
9 |
33.3 |
ID |
2 |
2 |
4 |
50.0 |
LA |
5 |
2 |
7 |
28.6 |
State |
Applications Declined |
Applications Granted |
Total Applications |
Success Rate (%) |
MS |
3 |
1 |
4 |
25.0 |
NE |
0 |
1 |
1 |
100.0 |
NV |
4 |
1 |
5 |
20.0 |
RI |
1 |
1 |
2 |
50.0 |
IA |
2 |
0 |
2 |
0.0 |
PR |
1 |
0 |
1 |
0.0 |
WV |
4 |
0 |
4 |
0.0 |
TABLE App-A-19 Sample of Multiple Phase I Grant Recipients and Their Success in Getting Follow-on Phase II Grants
Company |
Phase II Grants |
Phase I Grants |
Conversion Rate (%) |
Optivision Incorporated |
6 |
6 |
100.0 |
T/J Technologies, Inc. |
7 |
9 |
77.8 |
Displaytech Incorporated |
6 |
8 |
75.0 |
Advanced Fuel Research, Inc. |
10 |
18 |
55.6 |
INRAD, Inc. |
6 |
11 |
54.5 |
Reveo Incorporated |
7 |
13 |
53.8 |
GINER, INC. |
7 |
13 |
53.8 |
Quantum Magnetics, Inc. |
6 |
12 |
50.0 |
HYPRES, Inc. |
6 |
12 |
50.0 |
Science Research Laboratory, Inc. |
10 |
22 |
45.5 |
Envirogen, Inc. |
6 |
14 |
42.9 |
TPL, Inc. |
6 |
15 |
40.0 |
CFD Research Corporation |
7 |
18 |
38.9 |
Physical Optics Corporation |
12 |
33 |
36.4 |
TDA Research, Inc. |
12 |
40 |
30.0 |
Materials Modification, Inc. |
6 |
24 |
25.0 |
Eltron Research, Inc. |
6 |
24 |
25.0 |
Materials & Electrochemical Research Corp. (MER) |
7 |
31 |
22.6 |
Lynntech, Inc. |
8 |
36 |
22.2 |
Spire Corporation |
7 |
32 |
21.9 |
TABLE App-A-20 Phase IIB Grants, 1992–1995
Fiscal Year |
Phase IIB Grants |
Total Outlay Phase IIB ($) |
1992 |
0 |
0 |
1993 |
0 |
0 |
1994 |
0 |
0 |
1995 |
0 |
0 |
1996 |
0 |
0 |
1997 |
0 |
0 |
1998 |
4 |
399,944 |
1999 |
21 |
1,998,574 |
2000 |
9 |
1,660,191 |
2001 |
14 |
4,302,682 |
2002 |
39 |
9,588,580 |
2003 |
24 |
5,690,294 |
2004 |
22 |
6,025,436 |
2005 |
28 |
9,260,464 |
TABLE App-A-21 Distribution of NSF SBIR Phase IIB Grants by State in Descending Order of Grants Received, 1998–2005
State |
Grants |
Percent of All |
State |
Grants |
Percent of All |
CA |
36 |
22.4 |
DE |
2 |
1.2 |
MA |
21 |
13.0 |
KS |
2 |
1.2 |
NY |
11 |
6.8 |
NH |
2 |
1.2 |
NC |
7 |
4.3 |
NM |
2 |
1.2 |
OH |
7 |
4.3 |
TN |
2 |
1.2 |
MN |
6 |
3.7 |
UT |
2 |
1.2 |
FL |
5 |
3.1 |
VT |
2 |
1.2 |
MD |
5 |
3.1 |
WI |
2 |
1.2 |
VA |
5 |
3.1 |
AK |
1 |
0.6 |
AL |
4 |
2.5 |
AZ |
1 |
0.6 |
IL |
4 |
2.5 |
HI |
1 |
0.6 |
MI |
4 |
2.5 |
MT |
1 |
0.6 |
PA |
4 |
2.5 |
ND |
1 |
0.6 |
GA |
3 |
1.9 |
OK |
1 |
0.6 |
TX |
3 |
1.9 |
OR |
1 |
0.6 |
WA |
3 |
1.9 |
RI |
1 |
0.6 |
WY |
3 |
1.9 |
SC |
1 |
0.6 |
CO |
2 |
1.2 |
SD |
1 |
0.6 |
CT |
2 |
1.2 |
|
|
|