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Appendixes

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Suggested Citation:"Appendix A: NIH SBIR Program Data." National Research Council. 2009. An Assessment of the SBIR Program at the National Institutes of Health. Washington, DC: The National Academies Press. doi: 10.17226/11964.

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Suggested Citation:"Appendix A: NIH SBIR Program Data." National Research Council. 2009. An Assessment of the SBIR Program at the National Institutes of Health. Washington, DC: The National Academies Press. doi: 10.17226/11964.

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Appendix A
NIH SBIR Program Data

NOTES:

“Year one” awards: NIH maintains data by fiscal year, and in a number of cases changes award number between years. As a result, it is often hard to track a complete award from first year to last. Our approach has therefore been to focus on “award years,” identifying for example the first year of each award for analysis. 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 woman and minority owners’ participation in the SBIR program. In September, 2007, the NIH provided corrected data, which is shown in Appendix A and in several figures in this report. However, apparent anomalies in the NIH data on the participation of women and minorities in 2001-2002 could not be resolved by the time of publication of this report.

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Suggested Citation:"Appendix A: NIH SBIR Program Data." National Research Council. 2009. An Assessment of the SBIR Program at the National Institutes of Health. Washington, DC: The National Academies Press. doi: 10.17226/11964.

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BOX App-A-1

Institute and Center Codes for the National Institutes of Health

In data tables throughout this report, the following codes are used to reference National Institutes of Health institutes and centers.

Code	Institute Name and Acronym
AA	National Institute on Alcohol Abuse and Alcoholism (NIAAA)
AG	National Institute on Aging (NIA)
AI	National Institute of Allergy and Infectious Diseases (NIAID)
AR	National Institute of Arthritis and Musculoskeletal and Skin Diseases (NIAMS)
AT	National Center for Complementary and Alternative Medicine (NCCAM)
CA	National Cancer Institute (NCI)
DA	National Institute on Drug Abuse (NIDA)
DC	National Institute on Deafness and Other Communication Disorders (NIDCD)
DE	National Institute of Dental & Craniofacial Research (NIDCR)
DK	National Institute of Diabetes and Digestive and Kidney Diseases (NIDDK)
EB	National Institute of Biomedical Imaging and Bioengineering (NIBIB)
ES	National Institute of Environmental Health Sciences (NIEHS)
EY	National Eye Institute (NEI)
GM	National Institute of General Medical Sciences (NIGMS)
HD	National Institute of Child Health and Human Development (NICHD)
HG	National Human Genome Research Institute (NHGRI)
HL	National Heart, Lung and Blood Institute (NHLBI)
LM	National Library of Medicine (NLM)
MD	National Center on Minority Health and Health Disparities (NCMHD)
MH	National Institute of Mental Health (NIMH)
NR	National Institute of Nursing Research (NINR)
NS	National Institute of Neurological Disorders and Stroke (NINDS)
RR	National Center for Research Resources (NCRR)
TW	Fogarty International Center (FIC)

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Suggested Citation:"Appendix A: NIH SBIR Program Data." National Research Council. 2009. An Assessment of the SBIR Program at the National Institutes of Health. Washington, DC: The National Academies Press. doi: 10.17226/11964.

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TABLE App-A-1 Applications: Phase I and Phase II, 1992-2005

Phase I				Phase II
Fiscal Year	All Applications (#)	Total Funded (#)	Success Rate (%)	Fiscal Year	All Applications (#)	Total Funded (#)	Success Rate (%)
1992	1,982	541	27.3	1992	551	278	50.5
1993	2,297	594	25.9	1993	637	360	56.5
1994	3,225	530	16.4	1994	744	351	47.2
1995	3,453	624	18.1	1995	780	370	47.4
1996	3,051	525	17.2	1996	798	390	48.9
1997	2,789	743	26.6	1997	800	468	58.5
1998	2,689	717	26.7	1998	827	541	65.4
1999	3,430	908	26.5	1999	897	539	60.1
2000	3,907	986	25.2	2000	1,023	587	57.4
2001	3,203	940	29.3	2001	1,074	683	63.6
2002	3,735	1,001	26.8	2002	1,248	797	63.9
2003	4,812	1,137	23.6	2003	1,299	788	60.7
2004	5,856	1,150	19.6	2004	1,410	792	56.2
2005	5,071	937	18.5	2005	1,451	774	53.3
SOURCE: National Institutes of Health.

Page 174 Cite

Suggested Citation:"Appendix A: NIH SBIR Program Data." National Research Council. 2009. An Assessment of the SBIR Program at the National Institutes of Health. Washington, DC: The National Academies Press. doi: 10.17226/11964.

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TABLE App-A-2 Phase I Applications by IC, 1992-2004

IC	Number of 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	1,173
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	1,980	2,293	3,222	3,448	3,047	2,788	2,675	3,413	3,865	3,186	3,662	4,716	5,731

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Suggested Citation:"Appendix A: NIH SBIR Program Data." National Research Council. 2009. An Assessment of the SBIR Program at the National Institutes of Health. Washington, DC: The National Academies Press. doi: 10.17226/11964.

×

IC	Percentage of All Applications
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: National Institutes of Health.

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Suggested Citation:"Appendix A: NIH SBIR Program Data." National Research Council. 2009. An Assessment of the SBIR Program at the National Institutes of Health. Washington, DC: The National Academies Press. doi: 10.17226/11964.

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TABLE App-A-3 Applications by IC—Phase II, 1992-2004

	Number of Applications
	1992	1993	1994	1995	1996	1997	1998	1999	2000	2001	2002	2003	2004
AA	11	9	5	9	6	14	6	9	9	3	6	5	20	AA
AG	38	24	19	27	22	16	21	26	30	27	26	24	32	AG
AI	41	44	47	56	47	57	59	64	58	60	66	68	100	AI
AR	19	17	14	12	16	22	19	24	26	23	35	24	14	AR
AT								1	1	1	4	3	10	AT
CA	43	97	148	166	134	110	72	95	123	117	126	147	159	CA
DA	11	18	10	16	15	29	21	16	18	27	24	27	29	DA
DC	7	15	9	14	11	6	8	11	11	19	26	14	27	DC
DE	16	13	10	11	13	10	7	13	7	14	33	28	20	DE
DK	25	36	21	24	34	48	29	35	30	52	57	59	58	DK
EB											14	11	18	EB
ES	9	15	5	9	8	6	12	10	9	11	17	24	31	ES
EY	17	17	11	26	21	27	24	21	19	16	13	30	27	EY
GM	37	25	44	53	45	47	38	46	56	63	44	69	81	GM
HD	23	23	43	43	36	39	29	48	51	42	42	45	55	HD
HG	3	5	3	7	3	5	4	11	10	8	6	11	12	HG
HL	61	73	62	59	72	91	87	98	66	105	114	130	94	HL
LM	1	1	3	1				2	4	3	2	3		LM
MD												1		MD
MH	20	16	23	22	28	28	27	36	39	37	21	33	45	MH
NR	4	7	2	6	6	2	1	4	5	5	5	4	4	NR
NS	16	24	14	23	37	37	32	29	39	54	49	30	39	NS
RR	7	10	29	35	21	18	8	28	42	45	42	41	33	RR
Total	409	489	522	619	575	612	504	627	653	732	772	831	908

Page 177 Cite

Suggested Citation:"Appendix A: NIH SBIR Program Data." National Research Council. 2009. An Assessment of the SBIR Program at the National Institutes of Health. Washington, DC: The National Academies Press. doi: 10.17226/11964.

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	Percentage of Total Applications, by IC
	1992	1993	1994	1995	1996	1997	1998	1999	2000	2001	2002	2003	2004	92-03
AA	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	1.3
AG	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	4.1
AI	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	9.1
AR	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	3.4
AT	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	0.1
CA	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	18.8
DA	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	3.2
DC	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	2.1
DE	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	2.4
DK	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	6.1
EB	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	0.3
ES	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	1.8
EY	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	3.3
GM	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	7.7
HD	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	6.3
HG	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	1.0
HL	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	13.9
LM	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	0.3
MD	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	0.0
MH	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	4.5
NR	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	0.7
NS	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	5.2
RR	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	4.4
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	100.0
SOURCE: National Institutes of Health.

Page 178 Cite

Suggested Citation:"Appendix A: NIH SBIR Program Data." National Research Council. 2009. An Assessment of the SBIR Program at the National Institutes of Health. Washington, DC: The National Academies Press. doi: 10.17226/11964.

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TABLE App-A-4 Woman- and Minority-owned Firms—Application Shares, 1992-2006 (percent of all applications)

Fiscal Year	Woman-owned Firms			Fiscal Year	Minority-owned Firms
Fiscal Year	Phase I (%)	Phase II (%)	All (%)	Fiscal Year	Phase I (%)	Phase II (%)	All (%)
1992	12.2	13.0	12.3	1992	10.3	5.6	9.5
1993	8.0	9.0	8.2	1993	6.9	5.7	6.7
1994	9.3	7.3	9.0	1994	9.6	7.9	9.4
1995	12.6	7.1	11.8	1995	9.1	8.1	9.0
1996	11.8	9.9	11.5	1996	10.0	5.4	9.3
1997	10.2	9.8	10.1	1997	8.0	5.5	7.6
1998	8.3	8.4	8.3	1998	5.5	5.6	5.5
1999	10.8	12.8	11.1	1999	7.8	5.5	7.3
2000	9.8	13.9	10.5	2000	5.4	5.7	5.5
2001	4.5	4.7	4.6	2001	2.9	3.1	2.9
2002	2.6	3.0	2.7	2002	1.2	1.5	1.3
2003	11.1	10.8	11.0	2003	7.0	4.1	6.4
2004	11.4	11.7	11.5	2004	7.3	5.1	6.9
2005	10.6	11.9	10.9	2005	5.3	4.8	5.2
2006	12.9	12.8	12.9	2006	6.7	4.0	6.1
SOURCE: National Institutes of Health.

TABLE App-A-5 Woman- and Minority-owned Firms—Award Shares, 1992-2006 (percent of all awards)

Fiscal Year	Woman-owned Firms Award Share (%)			Fiscal Year	Minority-owned Firms Award Share (%)
Fiscal Year	Phase I	Phase II	Total	Fiscal Year	Phase I	Phase II	Total
1992	10.0	7.2	9.4	1992	7.4	5.0	6.9
1993	5.8	7.0	6.1	1993	5.2	5.6	5.3
1994	6.8	7.5	7.0	1994	8.2	10.4	8.6
1995	8.4	8.0	8.3	1995	5.5	6.1	5.7
1996	6.9	9.3	7.5	1996	4.8	5.2	4.9
1997	8.1	9.2	8.4	1997	5.1	4.4	4.9
1998	7.1	9.8	7.8	1998	3.9	6.4	4.5
1999	9.0	12.7	10.1	1999	6.3	4.0	5.6
2000	7.9	14.3	9.4	2000	2.9	6.4	3.7
2001	4.3	3.9	4.1	2001	2.1	3.7	2.6
2002	1.5	0.8	1.3	2002	0.3	0.8	0.5
2003	9.6	10.8	9.9	2003	3.8	2.8	3.5
2004	10.4	10.6	10.4	2004	4.0	3.4	3.9
2005	8.0	10.0	8.6	2005	4.0	2.9	3.7
2006	12.5	13.9	13.0	2006	5.6	3.3	4.7
SOURCE: National Institutes of Health.

Page 179 Cite

Suggested Citation:"Appendix A: NIH SBIR Program Data." National Research Council. 2009. An Assessment of the SBIR Program at the National Institutes of Health. Washington, DC: The National Academies Press. doi: 10.17226/11964.

×

TABLE App-A-6 Woman- and Minority-owned Firms—Success Rates, 1992-2006 (percent)

Woman-owned Firms				Other Small Businesses				Minority-owned Firms
Fiscal Year	Success Rate (%)			Fiscal Year	Success Rate (%)			Fiscal Year	Success Rate (%)
Fiscal Year	Phase I	Phase II	All	Fiscal Year	Phase I	Phase II	All	Fiscal Year	Phase I	Phase II	Total
1992	22.3	18.9	21.7	1992	27.3	34.0	28.4	1992	19.7	30.4	20.8
1993	18.6	34.1	21.6	1993	25.8	44.0	29.0	1993	19.6	42.9	23.1
1994	12.0	26.3	13.6	1994	16.4	25.7	17.7	1994	13.9	34.1	16.2
1995	12.0	38.6	14.4	1995	18.0	34.2	20.4	1995	10.8	26.0	12.9
1996	10.0	28.1	12.5	1996	17.2	29.9	19.2	1996	8.2	29.0	10.1
1997	21.0	42.2	24.9	1997	26.5	45.0	30.1	1997	16.7	36.1	19.5
1998	22.7	47.9	27.3	1998	26.5	40.9	29.1	1998	18.9	46.9	24.0
1999	21.3	41.8	25.8	1999	25.3	42.1	28.5	1999	20.5	31.0	22.0
2000	19.7	34.5	23.2	2000	24.4	33.6	26.0	2000	12.8	37.8	17.3
2001	26.1	36.6	28.5	2001	27.7	44.1	31.4	2001	20.5	51.9	27.8
2002	14.3	10.3	13.3	2002	25.4	39.9	28.6	2002	7.3	20.0	10.7
2003	19.2	34.7	22.3	2003	22.2	34.6	24.7	2003	12.0	23.9	13.6
2004	16.3	25.9	18.2	2004	18.0	28.4	19.9	2004	9.9	18.8	11.2
2005	12.3	24.3	14.9	2005	16.4	28.9	18.9	2005	12.4	17.9	13.4
2006	16.9	36.2	21.4	2006	17.5	33.4	21.2	2006	14.5	27.7	16.5
SOURCE: National Institutes of Health

Page 180 Cite

Suggested Citation:"Appendix A: NIH SBIR Program Data." National Research Council. 2009. An Assessment of the SBIR Program at the National Institutes of Health. Washington, DC: The National Academies Press. doi: 10.17226/11964.

×

TABLE App-A-7 Phase I by State—Compared with Scientists and Engineers Employed

	Applications per 1,000 pop		State	AREA	Engineers	Scientists	Total Scientists and Engineers	All Employees	Scientists/Engineers/1,000 Employees	Applications
MA	90.2	2.4	AK	1	6,290	6,690	12,980	1,830,360	7.1	18
DC	57.2	12.8	AL	2	36,220	10,330	46,550	293,130	158.8	343
MD	54.5	12.0	AR	4	11,560	6,740	18,300	2,313,520	7.9	80
UT	33.1	11.9	AZ	5	56,460	14,790	71,250	1,125,830	63.3	528
NH	31.8	6.2	CA	6	319,420	147,100	466,520	14,534,620	32.1	8,929
VT	27.3	8.5	CO	8	53,000	25,260	78,260	2,110,640	37.1	1,053
CA	26.4	9.5	CT	9	37,290	16,970	54,260	1,633,350	33.2	708
DE	25.5	49.3	DC	10	13,350	20,520	33,870	408,270	83.0	327
CO	24.5	10.6	DE	11	6,090	6,380	12,470	603,130	20.7	200
VA	23.4	8.0	FL	12	113,390	46,750	160,140	7,330,880	21.8	1,034
WA	23.0	7.8	GA	13	55,680	23,280	78,960	3,806,550	20.7	472
OR	21.1	6.8	HI	15	7,920	4,710	12,630	564,850	22.4	170
IL	21.1	9.7	IA	16	15,880	9,780	25,660	574,270	44.7	161
CT	20.8	10.4	ID	17	13,670	9,100	22,770	5,719,070	4.0	77
AZ	19.8	2.6	IL	18	89,150	42,290	131,440	2,866,350	45.9	1,280
RI	19.3	15.0	IN	19	49,320	17,800	67,120	1,423,170	47.2	382
NM	17.3	11.2	KS	20	26,960	9,170	36,130	1,297,710	27.8	170
MN	16.8	8.2	KY	21	23,300	9,300	32,600	1,728,300	18.9	210
NJ	15.8	9.7	LA	22	28,580	13,050	41,630	1,861,000	22.4	201
WY	14.6	6.9	MA	23	73,160	40,340	113,500	595,120	190.7	5,728
MT	14.2	6.3	MD	24	52,070	34,340	86,410	2,458,140	35.2	2,886
HI	14.0	6.3	ME	25	9,800	4,250	14,050	3,125,930	4.5	154
IN	13.1	12.1	MI	26	134,090	30,900	164,990	4,294,310	38.4	939
PA	12.8	9.8	MN	27	55,180	26,780	81,960	2,602,230	31.5	826
IA	12.4	3.9	MO	28	35,600	18,550	54,150	1,095,450	49.4	331
NC	12.2	8.8	MS	29	15,120	6,740	21,860	2,630,780	8.3	55
ME	12.1	23.0	MT	30	5,620	7,530	13,150	402,930	32.6	128
SD	11.9	4.8	NC	31	51,390	38,010	89,400	883,450	101.2	984

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Suggested Citation:"Appendix A: NIH SBIR Program Data." National Research Council. 2009. An Assessment of the SBIR Program at the National Institutes of Health. Washington, DC: The National Academies Press. doi: 10.17226/11964.

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NY	11.9	7.2	ND	32	4,210	2,510	6,720	1,116,860	6.0	46
MO	11.6	4.8	NE	33	11,300	8,290	19,590	613,090	32.0	93
OH	11.3	8.7	NH	34	12,820	4,190	17,010	3,881,440	4.4	393
WI	10.9	4.5	NJ	35	57,810	39,250	97,060	755,620	128.5	1,328
MI	9.4	9.7	NM	36	22,060	12,880	34,940	8,248,470	4.2	314
TX	9.0	7.0	NV	37	14,910	6,980	21,890	3,722,700	5.9	110
AL	7.7	3.0	NY	38	105,190	74,280	179,470	318,520	563.4	2,253
ND	7.2	3.1	OH	39	96,320	33,550	129,870	5,308,970	24.5	1,286
TN	6.9	6.0	OK	40	21,360	11,490	32,850	1,421,270	23.1	128
FL	6.5	4.8	OR	41	31,790	17,890	49,680	1,556,470	31.9	721
KS	6.3	10.2	PA	42	88,560	47,440	136,000	5,507,880	24.7	1,570
GA	5.8	7.8	RI	44	8,150	4,310	12,460	480,420	25.9	202
NV	5.5	8.7	SC	45	36,360	10,830	47,190	1,772,760	26.6	144
NE	5.4	6.6	SD	46	3,960	3,370	7,330	368,100	19.9	90
KY	5.2	4.6	TN	47	35,600	13,660	49,260	2,634,450	18.7	390
LA	4.5	6.6	TX	48	198,990	69,090	268,080	9,299,360	28.8	1,871
OK	3.7	5.7	UT	49	19,700	12,150	31,850	1,059,720	30.1	739
SC	3.6	6.0	VA	50	75,070	33,620	108,690	293,650	370.1	1,657
AK	2.9	6.9	VT	51	5,780	3,080	8,860	3,451,890	2.6	166
WV	1.9	9.7	WA	53	66,240	40,040	106,280	2,583,080	41.1	1,355
AR	1.6	8.1	WI	54	47,940	25,000	72,940	685,110	106.5	584
MS	1.0	7.3	WV	55	9,470	5,970	15,440	2,689,160	5.7	34
ID	0.6	9.7	WY	56	3,640	4,100	7,740	245,050	31.6	72
SOURCE: National Institutes of Health.

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Suggested Citation:"Appendix A: NIH SBIR Program Data." National Research Council. 2009. An Assessment of the SBIR Program at the National Institutes of Health. Washington, DC: The National Academies Press. doi: 10.17226/11964.

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TABLE App-A-8 Phase I—New Applicants and New Winners, 2000-2005

Number of “New” organizations by Fiscal Year, Based on Funded Competing R43, U43 SBIR Phase 1 Grants Baseline 1986 (program started in 1983, but recovering data from the mainframe files is difficult) Calculated by using the year of first SBIR award post baseline Source: impacii irdb pubfiles (1986 thru 2005)
Fiscal Year	Number of “New” Winners	Number of “New” Applicants	All Applicants (#)	All Winners (#)	“New” Winners (%)	“New” Applicants (%)	Success Rate of New Applicants (%)	Success Rate of Previous Winners (%)
2000	306	1,263	2,006	649	47.1	63.0	24.2	46.2
2001	240	963	1,660	603	39.8	58.0	24.9	52.1
2002	274	1,198	1,937	650	42.2	61.8	22.9	50.9
2003	305	1,499	2,353	712	42.8	63.7	20.3	47.7
2004	294	1,703	2,680	705	41.7	63.5	17.3	42.1
2005	211	1,493	2,449	589	35.8	61.0	14.1	39.5
NOTE New is based on organizations with no previous SBIR support; however, these organizations may have submitted more than one application in previous years. SOURCE: National Institutes of Health.

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Suggested Citation:"Appendix A: NIH SBIR Program Data." National Research Council. 2009. An Assessment of the SBIR Program at the National Institutes of Health. Washington, DC: The National Academies Press. doi: 10.17226/11964.

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TABLE App-A-9 Phase I Awards—By State, 1992-2005

State	Number of Phase I State Awards by Fiscal Year														Grand Total	Percent of Total
State	1992	1993	1994	1995	1996	1997	1998	1999	2000	2001	2002	2003	2004	2005	Grand Total	Percent of Total
AK												2		1	3	0.0
AL	5	11	6	4	7	5	6	10	8	11	9	8	6	4	100	0.8
AR	2					1		3	1	2	1	3	4	5	22	0.2
AZ	14	11	2	10	8	7	10	11	11	15	26	14	12	8	159	1.2
CA	110	114	133	144	117	153	136	201	226	240	238	275	232	178	2,497	19.5
CO	8	14	8	12	17	22	20	19	36	22	31	36	34	27	306	2.4
CT	17	11	13	13	9	19	12	15	13	13	21	26	19	11	212	1.7
DC	4	6	6	6	2	3	6	7	11	11	16	10	5	4	97	0.8
DE		2	2	2	2	5	1	6	8	7	4	7	6	4	56	0.4
FL	10	11	9	14	11	18	8	11	30	18	23	32	20	16	231	1.8
GA	5	3	3	6	8	5	4	4	16	12	12	14	19	6	117	0.9
HI	8	5	4	3	3	3	3	2	3	6	3	1	1	1	46	0.4
IA		1			1	1	1	3	3	4	5	9	4	2	34	0.3
ID	1	1					1		2	4	1	1	1	1	13	0.1
IL	13	21	15	22	11	25	22	19	36	35	28	31	22	29	329	2.6
IN	5	5	5	6	5	5	3	7	7	9	7	14	11	12	101	0.8
KS	1	2		1	1			4	2	4	5	6	4	1	31	0.2
KY	2	3	2	1	2	4	1	3	9	13	10	2	4	4	60	0.5
LA	3	2	3	1		2			5	2	3	3	2	1	27	0.2
MA	91	114	105	100	105	111	120	175	212	193	189	170	152	106	1,943	15.2
MD	68	58	52	54	24	60	38	67	63	84	77	114	85	58	902	7.1
ME	2	2	1	6	2		1	3	3	2	5	3	2	2	34	0.3
MI	15	18	13	17	10	9	22	20	19	35	24	31	27	24	284	2.2
MN	11	13	10	21	11	12	16	7	17	21	24	28	18	19	228	1.8
MO	6	8	2	1	3	3	4	5	6	8	12	12	10	8	88	0.7
MS			1	1	1	1		2	1	1	2	2	1		13	0.1
MT			2		1		3	2	3	4	3	1	4	2	25	0.2

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Suggested Citation:"Appendix A: NIH SBIR Program Data." National Research Council. 2009. An Assessment of the SBIR Program at the National Institutes of Health. Washington, DC: The National Academies Press. doi: 10.17226/11964.

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State	Number of Phase I Awards by Fiscal Year														Grand Total	Percent of Total
State	1992	1993	1994	1995	1996	1997	1998	1999	2000	2001	2002	2003	2004	2005	Grand Total	Percent of Total
NC	22	10	15	10	14	21	23	21	32	37	39	35	39	28	346	2.7
ND	1									1	2	1	3		8	0.1
NE	1	3	1	1		4	2	1	3	3	4	3	3	5	34	0.3
NH	4	7	6	3	8	13	4	6	12	18	18	20	7	3	129	1.0
NJ	12	20	14	15	21	18	17	27	34	34	42	33	29	23	339	2.7
NM	7	2	1	3	1	4	2	8	8	10	8	12	11	4	81	0.6
NV						3	1		1	2	3	5		3	18	0.1
NY	47	38	32	31	25	28	42	43	62	54	71	53	52	45	623	4.9
OH	17	19	12	19	12	26	34	26	39	47	47	50	37	35	420	3.3
OK	4	3		2	2		3	2	2	3	7	5	4	5	42	0.3
OR	9	11	13	19	16	16	14	18	32	27	34	29	19	12	269	2.1
PA	22	19	14	24	21	27	28	24	46	57	56	49	47	41	475	3.7
PR							1	1	1						3	0.0
RI			1	1			1	3	8	9	10	7	10	8	58	0.5
SC					1	1	3	2	3	6	12	8	3	2	41	0.3
SD				1	1	1	1	2		2	3	1	1		13	0.1
TN	3	3	4	3	2	8	3	2	6	9	8	9	4	4	68	0.5
TX	29	25	23	24	22	35	24	39	64	43	46	65	55	37	531	4.2
UT	14	11	10	10	7	14	16	14	23	25	23	11	17	8	203	1.6
VA	20	23	21	21	14	29	23	22	36	50	37	57	30	20	403	3.2
VT	3	6	3	3	1	1		2	3	2	2	8	4	2	40	0.3
WA	16	18	17	22	24	30	28	44	48	47	59	48	37	28	466	3.6
WI	4	5	12	9	7	10	15	15	16	29	25	27	18	15	207	1.6
WV									1	1					2	0.0
WY						1	2	3	2	1	4	2			15	0.1
Grand Total	636	659	596	666	560	764	725	931	1,233	1,293	1,339	1,393	1,135	862	12,792	100.0
SOURCE: U.S. Small Business Administration, Tech-Net Database.

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Suggested Citation:"Appendix A: NIH SBIR Program Data." National Research Council. 2009. An Assessment of the SBIR Program at the National Institutes of Health. Washington, DC: The National Academies Press. doi: 10.17226/11964.

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TABLE App-A-10 Resubmission Rates—Phases I and II, 1992-2004

Phase I
Fiscal Year	All Applications (#)	Resubmissions (#)	Resubmission as Percent of Applications	Total Funded (#)	1st-time Winners (#)	Funded on Resubmission (#)	Not Funded (#)	1st-time Success Rate (%)	Resubmission Success Rate (%)
1992	1,980	334	23.2	540	442	98	1,440	26.9	29.3
1993	2,293	312	18.4	593	514	79	1,700	25.9	25.3
1994	3,222	427	15.9	530	473	57	2,692	16.9	13.3
1995	3,448	655	23.2	621	467	154	2,827	16.7	23.5
1996	3,047	657	26.0	523	395	128	2,524	16.5	19.5
1997	2,788	607	29.7	742	526	216	2,046	24.1	35.6
1998	2,675	514	26.2	716	581	135	1,959	26.9	26.3
1999	3,413	612	24.4	906	761	145	2,507	27.2	23.7
2000	3,865	786	27.1	969	746	223	2,896	24.2	28.4
2001	3,186	760	33.4	911	658	253	2,275	27.1	33.3
2002	3,662	636	23.4	945	773	172	2,717	25.5	27.0
2003	4,716	864	21.6	710	472	238	4,006	12.3	27.5
2004	5,731	1,167	24.8	1,028	767	261	4,703	16.8	22.4

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Suggested Citation:"Appendix A: NIH SBIR Program Data." National Research Council. 2009. An Assessment of the SBIR Program at the National Institutes of Health. Washington, DC: The National Academies Press. doi: 10.17226/11964.

×

Phase II
Fiscal Year	All Applications (#)	Resubmissions (#)	Resubmission as Percent of Applications	Total Funded (#)	1st-time Winners(#)	Funded on Resubmission (#)	Not Funded (#)	1st-time Success Rate (%)	Resubmission Success Rate (%)
1992	409	103	25.2	137	107	30	272	35.0	29.1
1993	489	147	30.1	215	160	55	274	46.8	37.4
1994	522	138	26.4	131	110	21	391	28.6	15.2
1995	619	202	32.6	210	162	48	409	38.8	23.8
1996	575	204	35.5	173	124	49	402	33.4	24.0
1997	612	211	34.5	280	191	89	332	47.6	42.2
1998	504	141	28.0	237	193	44	267	53.2	31.2
1999	627	149	23.8	289	231	58	338	48.3	38.9
2000	653	197	30.2	267	206	61	386	45.2	31.0
2001	732	242	33.1	381	284	97	351	58.0	40.1
2002	772	242	31.3	358	269	89	414	50.8	36.8
2003	830	249	30.0	349	264	85	481	45.4	34.1
2004	908	287	31.6	302	223	79	606	35.9	27.5
SOURCE: National Institutes of Health.

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Suggested Citation:"Appendix A: NIH SBIR Program Data." National Research Council. 2009. An Assessment of the SBIR Program at the National Institutes of Health. Washington, DC: The National Academies Press. doi: 10.17226/11964.

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TABLE App-A-11 Phase I, Year One Awards at NIH, 1992-2005

Fiscal Year	Number of Awards	Total Amount ($)	Average Amount ($)
1992	541	26,616,441	49,199
1993	594	29,560,122	49,765
1994	530	39,249,711	74,056
1995	624	59,005,464	94,560
1996	525	50,936,972	97,023
1997	743	72,528,667	97,616
1998	717	70,077,801	97,738
1999	908	96,125,835	105,865
2000	986	117,779,337	119,452
2001	940	120,072,266	127,736
2002	1,001	137,504,731	137,367
2003	1,137	168,520,060	148,215
2004	1,150	187,091,805	162,689
2005	937	160,982,684	171,806
SOURCE: National Institutes of Health, NRC calculation.

FIGURE App-A-1 Phase I median award size, 1992-2003.

SOURCE: National Institutes of Health, NRC calculation.

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Suggested Citation:"Appendix A: NIH SBIR Program Data." National Research Council. 2009. An Assessment of the SBIR Program at the National Institutes of Health. Washington, DC: The National Academies Press. doi: 10.17226/11964.

×

TABLE App-A-12 Oversized SBIR Phase I Awards, 1992-2005

Fiscal Year	$0-$100K (%)	$>100K-$120K (%)	$>120K-$150K (%)	$>150K-$175K (%)	$>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
SOURCE: National Institutes of Health.

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Suggested Citation:"Appendix A: NIH SBIR Program Data." National Research Council. 2009. An Assessment of the SBIR Program at the National Institutes of Health. Washington, DC: The National Academies Press. doi: 10.17226/11964.

×

TABLE App-A-13 Phase I Awards by States—Per 1,000 Life and Physical Scientists

	Life & Physical Scientists, 2003	NIH Phase I Awards, 2003	NIH Phase I Awards per 1,000 Life & Physical Scientists, 2003
New Hampshire	1,480	14.0	9.5
Vermont	850	6.0	7.1
Massachusetts	20,380	140.0	6.9
Maryland	17,910	90.0	5.0
Oregon	5,870	23.0	3.9
Connecticut	5,670	22.0	3.9
California	64,390	248.0	3.9
Virginia	13,030	40.0	3.1
Ohio	15,100	45.0	3.0
Iowa	3,130	9.0	2.9
Colorado	11,710	33.0	2.8
Indiana	4,070	11.0	2.7
Rhode Island	1,580	4.0	2.5
Michigan	9,390	23.0	2.4
Arizona	5,580	13.0	2.3
Nevada	2,510	5.0	2.0
Wyoming	1,510	3	2.0
Delaware	2,020	4.0	2.0
Minnesota	11,200	22.0	2.0
Washington	16,940	33.0	1.9
New Mexico	3,200	6.0	1.9
Wisconsin	11,220	21.0	1.9
New Jersey	17,530	32.0	1.8
Utah	5,060	9.0	1.8
South Carolina	4,610	8.0	1.7
Maine	1,830	3.0	1.6
Pennsylvania	25,080	41.0	1.6
District of Columbia	5,210	8.0	1.5
Oklahoma	3,350	5.0	1.5
North Dakota	1,420	2.0	1.4
New York	30,330	41.0	1.4
North Carolina	17,770	24.0	1.4
Missouri	9,240	12.0	1.3
Kansas	3,910	5.0	1.3
Florida	19,440	24.0	1.2
Alabama	5,170	6.0	1.2
Texas	42,440	49.0	1.2
Illinois	18,300	21.0	1.1
Arkansas	2,700	3.0	1.1
Louisiana	5,540	5.0	0.9
Nebraska	3,920	3.0	0.8
Kentucky	2,660	2.0	0.8
Alaska	2,800	2.0	0.7
South Dakota	1,420	1.0	0.7

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Suggested Citation:"Appendix A: NIH SBIR Program Data." National Research Council. 2009. An Assessment of the SBIR Program at the National Institutes of Health. Washington, DC: The National Academies Press. doi: 10.17226/11964.

×

	Life & Physical Scientists, 2003	NIH Phase I Awards, 2003	NIH Phase I Awards per 1,000 Life & Physical Scientists, 2003
Georgia	11,410	8.0	0.7
Tennessee	7,130	4.0	0.6
Hawaii	1,790	1.0	0.6
Montana	2,790	1.0	0.4
Idaho	3,100	1.0	0.3
Mississippi	3,650	1.0	0.3
West Virginia	2,510	0.0	0.0
Average			3.2
SOURCE: National Institutes of Health; National Science Board, Science and Engineering Indicators 2005, Arlington, VA: National Science Foundation, 2005.

TABLE App-A-14 Top 20 Zip Codes, 1992-2003

Zip Code	State	Total Number of Grants
92121	CA	311
02139	MA	143
94043	CA	114
02472	MA	99
01801	MA	92
01915	MA	73
20850	MD	73
20877	MD	64
97403	OR	60
84108	UT	57
02138	MA	57
53711	WI	52
98104	WA	50
92037	CA	47
77840	TX	46
94545	CA	45
98109	WA	44
92008	CA	44
27713	NC	41
02464	MA	40
02142	MA	39
		1,591
SOURCE: National Institutes of Health.

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Suggested Citation:"Appendix A: NIH SBIR Program Data." National Research Council. 2009. An Assessment of the SBIR Program at the National Institutes of Health. Washington, DC: The National Academies Press. doi: 10.17226/11964.

×

FIGURE App-A-2 Phase I awards by zip in Massacussetts.

Distribution of Phase I awards in Massachusetts 1992-2002 by zip code

SOURCE: National Institutes of Health.

Page 192 Cite

Suggested Citation:"Appendix A: NIH SBIR Program Data." National Research Council. 2009. An Assessment of the SBIR Program at the National Institutes of Health. Washington, DC: The National Academies Press. doi: 10.17226/11964.

×

TABLE App-A-15 Phase I Awards by IC, 1992-2002

Funding IC	Number of Awards
Funding IC	1992	1993	1994	1995	1996	1997	1998	1999	2000	2001	2002	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	1,670
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
Total	540	593	530	621	523	742	716	906	969	911	945	7,996

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Suggested Citation:"Appendix A: NIH SBIR Program Data." National Research Council. 2009. An Assessment of the SBIR Program at the National Institutes of Health. Washington, DC: The National Academies Press. doi: 10.17226/11964.

×

Funding IC	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
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

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Suggested Citation:"Appendix A: NIH SBIR Program Data." National Research Council. 2009. An Assessment of the SBIR Program at the National Institutes of Health. Washington, DC: The National Academies Press. doi: 10.17226/11964.

×

Shared awards:	1992	1993	1994	1995	1996	1997	1998	1999	2000	2001	2002
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
SOURCE: National Institutes of Health.

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Suggested Citation:"Appendix A: NIH SBIR Program Data." National Research Council. 2009. An Assessment of the SBIR Program at the National Institutes of Health. Washington, DC: The National Academies Press. doi: 10.17226/11964.

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TABLE App-A-16 New Phase I Awards Made in Response to an RFA, 1992-2005

Fiscal Year	PHASE	Total Number of SBIR Awards (Parent Solicitation and Special PA/RFAs)	Total Amount of SBIR Dollars Awarded (Parent Solicitation and Special PA/RFAs)	Number of RFA SBIR Awards	Amount of RFA SBIR Dollars Awarded	RFA—Percent of All Awards	RFA—Percent of All Award Dollars
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	1,042	150,880,637	15	3,145,579	1.4	2.1
2004	Phase I	1,023	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
SOURCE: National Institutes of Health.

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Suggested Citation:"Appendix A: NIH SBIR Program Data." National Research Council. 2009. An Assessment of the SBIR Program at the National Institutes of Health. Washington, DC: The National Academies Press. doi: 10.17226/11964.

×

TABLE App-A-17 New Phase I Awards Made in Response to Program Announcements, 1992-2005 (PAs)

Fiscal Year	PHASE	Total Number of SBIR Awards (Parent Solicitation and Special PA/RFAs)	Total Amount of SBIR Dollars Awarded (Parent Solicitation and Special PA/RFAs)	Number of PA SBIR Awards	Amount of PA SBIR Dollars Awarded	Percent of Awards	Percent of Dollars
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	1,042	150,880,637	194	41,577,617	18.6	27.6
2004	Phase I	1,023	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
SOURCE: National Institutes of Health.

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Suggested Citation:"Appendix A: NIH SBIR Program Data." National Research Council. 2009. An Assessment of the SBIR Program at the National Institutes of Health. Washington, DC: The National Academies Press. doi: 10.17226/11964.

×

TABLE App-A-18 Phase I Awards—By Company, 1992-2003

Top 20 Phase I winners 1992-2003
Organization	Number of Awards
PANORAMA RESEARCH, INC.	69
INOTEK PHARMACEUTICALS CORPORATION	63
RADIATION MONITORING DEVICES, INC.	56
LYNNTECH, INC.	51
INFLEXXION, INC.	44
OREGON CENTER FOR APPLIED SCIENCE	44
NEW ENGLAND RESEARCH INSTITUTES, INC.	42
CREARE, INC.	40
INSIGHTFUL CORPORATION	40
HAWAII BIOTECH, INC.	38
PHYSICAL OPTICS CORPORATION	33
BIOMEC, INC.	30
SURMODICS, INC.	30
BIOTEK, INC.	29
SPIRE CORPORATION	28
ONE CELL SYSTEMS, INC.	27
COMPACT MEMBRANE SYSTEMS, INC.	26
OSI PHARMACEUTICALS, INC.	26
PERSONAL IMPROVEMENT COMPUTER SYSTEMS	25
PHYSICAL SCIENCES, INC.	25
Total	766
SOURCE: National Institutes of Health.

TABLE App-A-19 Phase I—Supplementary Awards, 1992-2003

Fiscal Year	1993	1994	1995	1998	1999	2000	2001	2002	2003
Count	2	3	2	10	23	21	20	12	10
Average ($)	16,238	9,328	17,987	43,013	35,894	36,210	45,311	57,363	78,782
Maximum ($)	25,000	15,000	26,331	98,000	98,000	105,853	173,059	287,606	151,607
Minimum ($)	7,475	5,998	9,643	3,400	400	9,813	15,000	12,600	4,029
Sum ($)	32,475	27,984	35,974	430,129	825,553	760,416	906,214	688,356	787,821
SOURCE: National Institutes of Health.

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Suggested Citation:"Appendix A: NIH SBIR Program Data." National Research Council. 2009. An Assessment of the SBIR Program at the National Institutes of Health. Washington, DC: The National Academies Press. doi: 10.17226/11964.

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TABLE App-A-20 Phase I Awards—Year Two of Support, 1992-2003

Fiscal Year	1992	1993	1995	1996	1997	1998	1999	2000	2001	2002	2003
Count	1	1	3	2	1	1	2	17	29	56	81
Average ($)	44,848	49,957	78,618	57,718	99,944	100,009	55,858	203,928	216,888	214,773	195,558
Minimum ($)	44,848	49,957	100,000	85,435	99,944	100,009	101,715	344,294	387,813	307,200	376,150
Maximum ($)	44,848	49,957	49,413	30,000	99,944	100,009	10,000	71,238	65,428	15,600	49,930
Sum ($)	44,848	49,957	235,855	115,435	99,944	100,009	111,715	3,466,776	6,289,766	12,027,313	15,840,190
SOURCE: National Institutes of Health.

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Suggested Citation:"Appendix A: NIH SBIR Program Data." National Research Council. 2009. An Assessment of the SBIR Program at the National Institutes of Health. Washington, DC: The National Academies Press. doi: 10.17226/11964.

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TABLE App-A-21 Phase II—Year One Awards, 1992-2005

Fiscal Year	Number of Awards	Total Dollars	Average 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
SOURCE: National Institutes of Health.

TABLE App-A-22 Phase II—Requests for Applications (RFAs), 1992-2005

Fiscal Year	PHASE	Total Number of SBIR Awards (Parent Solicitation and Special PA/RFAs)	Total Amount of SBIR Dollars Awarded (Parent Solicitation and Special PA/RFAs)	Number of RFA SBIR Awards	Amount of RFA SBIR Dollars Awarded	RFA—Percent of All Awards	RFA—Percent of All Award Dollars
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
SOURCE: National Institutes of Health.

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Suggested Citation:"Appendix A: NIH SBIR Program Data." National Research Council. 2009. An Assessment of the SBIR Program at the National Institutes of Health. Washington, DC: The National Academies Press. doi: 10.17226/11964.

×

TABLE App-A-23 Phase II—Program Announcements (PAs)—New Awards, 1992-2005

Fiscal Year	PHASE	Total Number of SBIR Awards (Parent Solicitation and Special PA/RFAs)	Total Amount of SBIR Dollars Awarded (Parent Solicitation and Special PA/RFAs)	Number of PA SBIR Awards	Amount of PA SBIR Dollars Awarded	PA—Percent of All Awards	PA—Percent of All Award Dollars
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
SOURCE: National Institutes of Health.

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Suggested Citation:"Appendix A: NIH SBIR Program Data." National Research Council. 2009. An Assessment of the SBIR Program at the National Institutes of Health. Washington, DC: The National Academies Press. doi: 10.17226/11964.

×

TABLE App-A-24 Phase II Extra-large Awards, 1992-2005

Fiscal Year	NIH Phase II SBIR Awards Over 375K
Fiscal Year	PHASE	Total Number Funded	Year Two		Year Three		Year Four		Year Five
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%
Fiscal Year	NIH Phase II SBIR Awards Over 500K
Fiscal Year	PHASE	Total Number Funded	Year Two		Year Three		Year Four		Year Five
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%

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Suggested Citation:"Appendix A: NIH SBIR Program Data." National Research Council. 2009. An Assessment of the SBIR Program at the National Institutes of Health. Washington, DC: The National Academies Press. doi: 10.17226/11964.

×

Fiscal Year	NIH Phase II SBIR Awards Over 750K
Fiscal Year	PHASE	Total Number Funded	Year Two		Year Three		Year Four		Year Five
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%
SOURCE: National Institutes of Health.

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Suggested Citation:"Appendix A: NIH SBIR Program Data." National Research Council. 2009. An Assessment of the SBIR Program at the National Institutes of Health. Washington, DC: The National Academies Press. doi: 10.17226/11964.

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TABLE App-A-25 Phase I, Year One Supplements, 1992-2003

Fiscal Year	1992	1993	1994	1995	1996	1997	1998	1999	2000	2001	2002	2003
Number of 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
SOURCE: National Institutes of Health.

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Suggested Citation:"Appendix A: NIH SBIR Program Data." National Research Council. 2009. An Assessment of the SBIR Program at the National Institutes of Health. Washington, DC: The National Academies Press. doi: 10.17226/11964.

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TABLE App-A-26 Phase II, Year One Grants, 1992-2003

All Phase II, year one grants
Fiscal Year	1992	1993	1994	1995	1996	1997
Number of Grants	137	215	131	210	173	280
Average ($)	249,361	244,363	269,611	345,070	349,374	375,304
Amended Phase II, year one grants
Fiscal Year	1992	1993	1994	1995	1996	1997
Number of Grants	29	55	22	48	51	89
Percent of all	21.2	25.6	16.8	22.9	29.5	31.8
Average ($)	238,893	247,948	255,816	354,890	336,933	358,916
Percent all av.	95.8	101.5	94.9	102.8	96.4	95.6
Maximum ($)	286,292	500,000	326,203	647,634	495,215	611,874
Minimum ($)	129,427	112,898	2,000	93,848	3,646	7,666
Sum ($)	6,927,902	13,637,125	5,627,959	17,034,712	17,183,579	31,943,518
SOURCE: National Institutes of Health.

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Suggested Citation:"Appendix A: NIH SBIR Program Data." National Research Council. 2009. An Assessment of the SBIR Program at the National Institutes of Health. Washington, DC: The National Academies Press. doi: 10.17226/11964.

×

1998	1999	2000	2001	2002	2003
237	289	267	381	358	349
379,972	410,335	448,377	437,573	461,216	495,834
1998	1999	2000	2001	2002	2003
45	60	62	100	88	82
19.0	20.8	23.2	26.2	24.6	23.5
377,707	385,556	391,078	402,757	462,258	461,427
99.4	94.0	87.2	92.0	100.2	93.1
514,581	864,785	591,768	822,158	1,152,230	1,230,000
48,387	12,869	9,782	31,418	23,719	204,950
16,996,826	23,133,378	24,246,844	40,275,684	40,678,701	37,837,035

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Suggested Citation:"Appendix A: NIH SBIR Program Data." National Research Council. 2009. An Assessment of the SBIR Program at the National Institutes of Health. Washington, DC: The National Academies Press. doi: 10.17226/11964.

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TABLE A pp-A-27 Phase II Contracts, 1992-2000

Fiscal Year	1992	1993	1994	1995	1996	1997	1998	1999	2000
Number of Awards	27	34	21	26	23	24	28	21	28
Average ($)	205,473	222,926	210,814	337,065	304,616	377,640	359,969	414,538	324,965
Maximum ($)	477,019	499,085	500,000	739,693	750,000	1,184,286	750,000	798,773	749,868
Minimum ($)	14,834	9,660	13,915	10,000	7,050	9,793	7,253	4,245	87,992
Total ($)	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
SOURCE: National Institutes of Health.

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Suggested Citation:"Appendix A: NIH SBIR Program Data." National Research Council. 2009. An Assessment of the SBIR Program at the National Institutes of Health. Washington, DC: The National Academies Press. doi: 10.17226/11964.

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TABLE App-A-28 Phase II Awards by IC, 1992-2003

IC	Number of Awards													Percent of Total	Number of Applications	Success Rate (%)
IC	1992	1993	1994	1995	1996	1997	1998	1999	2000	2001	2002	2003	Awards	Percent of Total	Number of Applications	Success Rate (%)
AA	3	3	1	1	2	5	2	4	5	4	4	2	36	1.2	92	39.1
AG	8	10	4	14	9	10	12	11	10	15	19	14	136	4.5	300	45.3
AI	16	23	17	18	20	28	27	30	23	30	26	22	280	9.3	667	42.0
AR	4	4	2	3	1	7	3	6	6	7	10	8	61	2.0	251	24.3
AT									2		3	1	6	0.2	10	60.0
CA	15	40	16	45	31	53	45	46	49	56	54	51	501	16.6	1,378	36.4
DA	5	13	3	7	6	11	9	5	9	14	14	15	111	3.7	232	47.8
DC	2	4	4	4	4	4	6	4	4	9	5	6	56	1.9	151	37.1
DE	3	6	2	3	4	4	3	4	1	4	9	8	51	1.7	175	29.1
DK	9	13	8	12	13	18	14	20	16	23	26	24	196	6.5	450	43.6
EB											6	6	12	0.4	25	48.0
ES	1	4	2	3	3	3	6	4	4	6	8	11	55	1.8	135	40.7
EY	5	6	1	5	4	9	9	9	11	13	6	12	90	3.0	242	37.2
GM	16	13	17	19	16	25	17	26	23	37	20	26	255	8.4	567	45.0
HD	6	11	10	12	9	15	15	14	21	26	25	21	185	6.1	464	39.9
HG	2	4	1	4	1	4	4	6	6	5	3	7	47	1.6	76	61.8
HL	23	35	18	27	21	42	28	45	31	59	47	53	429	14.2	1,018	42.1
LM										2		2	4	0.1	20	20.0
MD															1	0.0
MH	8	9	10	11	11	16	14	20	18	23	13	18	171	5.6	330	51.8
NR		1			2	1	1	2	2	3	3	3	18	0.6	51	35.3
NS	7	12	7	10	9	15	12	17	18	20	31	17	175	5.8	384	45.6
RR	4	4	6	9	7	10	7	11	7	22	19	22	128	4.2	326	39.3
Shared			2	3			3	5	1	3	7		24	0.8
Total	137	215	131	210	173	280	237	289	267	381	358	349	3,027	100
SOURCE: National Institutes of Health.

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Suggested Citation:"Appendix A: NIH SBIR Program Data." National Research Council. 2009. An Assessment of the SBIR Program at the National Institutes of Health. Washington, DC: The National Academies Press. doi: 10.17226/11964.

×

TABLE App-A-29 Conversion Fates of Top 20 Phase II Winners, 1992-2003

Organization	Number of Phase II Awards	Number of Phase I Awards	Conversion Rate (%)
NEW ENGLAND RESEARCH INSTITUTES, INC.	34	42	81.0
INFLEXXION, INC.	32	44	72.7
RADIATION MONITORING DEVICES, INC.	30	56	53.6
OREGON CENTER FOR APPLIED SCIENCE	27	44	61.4
INSIGHTFUL CORPORATION	22	40	55.0
LYNNTECH, INC.	17	51	33.3
PANORAMA RESEARCH, INC.	15	69	21.7
INOTEK PHARMACEUTICALS CORPORATION	14	63	22.2
SOCIOMETRICS CORPORATION	13	16	81.3
ABIOMED, INC.	13	13	100.0
PERSONAL IMPROVEMENT COMPUTER SYSTEMS	13	25	52.0
CREARE, INC.	13	40	32.5
CLEVELAND MEDICAL DEVICES, INC.	13	23	56.5
INDIVIDUAL MONITORING SYS, INC. (IM SYS)	12	14	85.7
BIOTEK, INC.	12	29	41.4
SURMODICS, INC.	11	30	36.7
ADVANCED MEDICAL ELECTRONICS CORPORATION	11	18	61.1
ELECTRICAL GEODESICS, INC.	11	19	57.9
WESTERN RESEARCH COMPANY, INC.	11	20	55.0
PHYSICAL SCIENCES, INC.	11	25	44.0
Total (top 20 award winners)	335	681	49.2
All Awards	3,027
Top 20 as percent of all Phase II awards	11.1
SOURCE: National Institutes of Health.

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Suggested Citation:"Appendix A: NIH SBIR Program Data." National Research Council. 2009. An Assessment of the SBIR Program at the National Institutes of Health. Washington, DC: The National Academies Press. doi: 10.17226/11964.

×

TABLE App-A-30 Phase II Awards by State, 1992-2005

State	Number of Awards by Fiscal Year														Grand Total	Percent of Total
State	1992	1993	1994	1995	1996	1997	1998	1999	2000	2001	2002	2003	2004	2005	Grand Total	Percent of Total
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	1,377	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	1,229	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

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Suggested Citation:"Appendix A: NIH SBIR Program Data." National Research Council. 2009. An Assessment of the SBIR Program at the National Institutes of Health. Washington, DC: The National Academies Press. doi: 10.17226/11964.

×

State	Number of Awards by Fiscal Year														Grand Total	Percent of Total
State	1992	1993	1994	1995	1996	1997	1998	1999	2000	2001	2002	2003	2004	2005	Grand Total	Percent of Total
NEVADA	1	1	2	2	1	1			1	3	4	2	2		20	0.3
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	7,718	100.0
SOURCE: National Institutes of Health.

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Suggested Citation:"Appendix A: NIH SBIR Program Data." National Research Council. 2009. An Assessment of the SBIR Program at the National Institutes of Health. Washington, DC: The National Academies Press. doi: 10.17226/11964.

×

TABLE App-A-31 NIH—Target Groups

Size of Affected Populations	In Commercialization		In Use		Total
Size of Affected Populations	Number	Percent	Number	Percent	Number	Percent
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
	184	100.0	158	100.0	342	100.0
SOURCE: National Institutes of Health, National Survey to Evaluate the NIH SBIR Program: Final Report, July 2003.

TABLE App-A-32 High-impact Projects—By Target Sector

Population	Number of High-impact Respondents	All Respondents (#)	Percent of High-impact	Percent of All
Outpatients	4	28	9.1	11.2
Inpatients	1	22	2.3	8.8
Hospital personnel	4	10	9.1	4.0
Research labs	2	67	4.5	26.9
Diagnostic labs	4	15	9.1	6.0
Medical practitioners	7	24	15.9	9.6
Homecare providers	1	1	2.3	0.4
Other	2	3	4.5	1.2
Other health services	4	12	9.1	4.8
General public	8	26	18.2	10.4
Educators	2	7	4.5	2.8
Worksites	0	1	0.0	0.4
Schools, universities	1	11	2.3	4.4
Other companies, other technologies	2	7	4.5	2.8
Health researchers	1	5	2.3	2.0
MISSING	1	10	2.3	4.0
Total	44	249	100.0	100.0
NOTE: High-impact respondents are those with products in use, who expect to affect more than 500,000 people. SOURCE: National Institutes of Health, National Survey to Evaluate the NIH SBIR Program: Final Report, July 2003.

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Suggested Citation:"Appendix A: NIH SBIR Program Data." National Research Council. 2009. An Assessment of the SBIR Program at the National Institutes of Health. Washington, DC: The National Academies Press. doi: 10.17226/11964.

×

TABLE App-A-33 NIH—Field of Business

Q2. Field of Business			Q2. Text:
	Number of Companies	Percent	Which of the following best describes this company’s major field of business?
Biotechnology	175	22.8
Chemical technology	12	1.6
Computer hardware, software	88	11.5
Diagnostics	43	5.6
Engineering, fabrication	13	1.7
Environment, ergonomics	20	2.6
Health care	21	2.7
Information & research	85	11.1
Instrumentation	17	2.2
Medical devices	145	18.9
Medical education, health promotion	65	8.5
Other	25	3.3
Pharmaceuticals	58	7.6
Total companies responding	767	100
SOURCE: National Institutes of Health, National Survey to Evaluate the NIH SBIR Program: Final Report, July 2003.

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Suggested Citation:"Appendix A: NIH SBIR Program Data." National Research Council. 2009. An Assessment of the SBIR Program at the National Institutes of Health. Washington, DC: The National Academies Press. doi: 10.17226/11964.

×

TABLE App-A-34 NIH—Other SBIR Awards

How Many Related Phase II Awards?						NIH Survey Breakout—Phase I and Phase II
Number of Awards	NIH Survey		NRC Survey		Number of Awards	Related Phase I Awards		Related Phase II Awards
Number of Awards	Number of Companies	Percent	Number of Companies	Percent	Number of Awards	Number of Companies	Percent	Number of Companies	Percent
					0	2	0.5	143	35.8
1	152	59.4

An Assessment of the SBIR Program at the National Institutes of Health (2009)

Chapter: Appendix A: NIH SBIR Program Data

Appendixes

Appendix A
NIH SBIR Program Data

An Assessment of the SBIR Program at the National Institutes of Health (2009)

Chapter: Appendix A: NIH SBIR Program Data

Appendixes

Appendix A NIH SBIR Program Data

Appendix A
NIH SBIR Program Data