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Pages 83-119

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From page 84...
... The bottom 20 states, each of UNEDITED PROOFS
From page 85...
... in Descending Order of Grants Received, 1992-2004 < State Grants % of all State Grants % of all CA 228 27.8 NH 10 <0.05 <0.05 MA 139 16.9 MT 12 <0.05 CO 57 6.9 VT 8 <0.05 NY 56 6.8 DE 8 <0.05 VA 39 4.8 WI 8 <0.05 CT 38 4.6 HI 6 <0.05 MD 36 4.4 ND 7 <0.05 TX 35 4.3 OK 6 <0.05 OH 32 3.9 SD 5 <0.05 NJ 29 3.5 WY 6 <0.05 MI 24 2.9 AK 4 <0.05 NM 24 2.9 IN 4 <0.05 MN 21 2.6 KS 5 <0.05 PA 21 2.6 ME 4 <0.05 IL 20 2.4 SC 6 <0.05 WA 20 2.4 AR 6 <0.05 AZ 17 2.1 KY 3 <0.05 FL 17 2.1 MO 5 <0.05 TN 15 1.8 ID 2 <0.05 GA 15 1.8 LA 3 <0.05 OR 14 1.7 MS 1 <0.05 UT 13 1.6 NE 1 <0.05 NC 12 1.5 NV 1 <0.05 AL 11 1.3 RI 1 <0.05 DC 1 <0.05 IA 1 The states that had the most Phase I grants did not necessarily have the highest success rates in terms of percentage of proposals funded. Similarly, the states with fewer Phase I grants did not necessarily have the lowest success rates.
From page 86...
... However, as may be seen in Table 4.2 4, the largest winners in Phase II are not always the largest winners in Phase IIB. Thus, splitting off part of the funding that could have been awarded in lump sums to Phase II grantees and instead awarding it in Phase IIB grants based on the ability of the grantees to obtain third-party support changes the geographical distribution of SBIR funding.70 Table 4.2-4 Distribution of NSF SBIR Phase IIB Grants by State in Descending Order of Grants Received, 1998-2005 State Grants % of all State Grants % of all CA 36 22.4 CT 2 1.2 MA 21 13.0 DE 2 1.2 NY 11 6.8 KS 2 1.2 NC 7 4.3 NH 2 1.2 OH 7 4.3 NM 2 1.2 MN 6 3.7 TN 2 1.2 FL 5 3.1 UT 2 1.2 MD 5 3.1 VT 2 1.2 VA 5 3.1 WI 2 1.2 AL 4 2.5 AK 1 0.6 IL 4 2.5 AZ 1 0.6 MI 4 2.5 HI 1 0.6 PA 4 2.5 MT 1 0.6 GA 3 1.9 ND 1 0.6 TX 3 1.9 OK 1 0.6 WA 3 1.9 OR 1 0.6 WY 3 1.9 RI 1 0.6 CO 2 1.2 SC 1 0.6 CT 2 1.2 SD 1 0.6 70 At this point, the geographical effort is based on small numbers of Phase IIB grants.
From page 87...
... Figure 4.2-10 shows the number of Phase IIB grants received by woman-owned businesses annually from 1998 through 2005. In this case, there is no separate proposal data series because proposals that do not meet the third-party funding requirement are withdrawn.
From page 91...
... , and received 9.5% of all Phase I grants. In half the years, the success rate of woman-owned businesses was 70% or less the rate for all applicants.71 Statistical tests of significance showed the differences in success rates between woman-owned and all firms at 35.0% 30.0% 25.0% 20.0% 15.0% 10.0% 5.0% 0.0% 94 96 98 00 02 04 19 19 19 20 20 20 % of Phase I Grants % of Phase II Grants % of Phase IIB Grants Figure 4.2-11 Shares of Phase I, Phase II, and Phase IIB NSF SBIR Grants to Woman-owned Businesses, 1994-2004 Source: Developed from data provided by the NSF SBIR program.
From page 93...
... The null hypothesis -- that there is no statistical difference in success rates at Phase II- could not be rejected.73 Percent 70 60 50 40 30 20 10 0 1995 1996 1997 1998 1999 2000 2001 2002 2003 2004 2005 Woman-owned All Applicants Figure 4.2-13 Comparative Success Rates for Woman-owned versus All Applicants in having their Phase II Proposals Approved, 1994-2005 Source: Developed from data provided by the NSF SBIR program. Table 4.2-5 summarizes applications by and grants to woman-owned businesses from 1995 through 2005.
From page 94...
... All Businesses 16,897 2,299 161 19,357 2,833 1,059 161 4,053 Percent (A/B) 12.2% 8.8% 9.3% 11.7% 9.5% 7.5% 9.3% 8.9% Source: Developed from data provided by the NSF SBIR program.
From page 97...
... This UNEDITED PROOFS
From page 99...
... From its initial work in ultra hard coatings, this minority owned company moved on to developing ultra-capacitors with the aid of additional SBIR grants. These grants, in turn, allowed T/J Technologies to develop advanced materials and devices for electrochemical energy storage and conversion.
From page 100...
... Source: Developed from data provided by the NSF SBIR program.
From page 101...
... It has received multiple Phase I, Phase II, and Phase IIB grants from the NSF SBIR program. The company has used SBIR grants to help move innovative ideas along a pipeline from which Luna has launched products and businesses.
From page 102...
... in June 2006 Market Capitalization of $35 million Employee growth from 5 to 185 Spun off 6 additional companies Diverse technologies in optical devices, advanced materials, and life sciences Now, let us consider NSF's multiple grant winners from a statistical perspective. Limitations are that at the time of this study records had been digitized only back to the early 1990s; furthermore, the classifications did not take into account grants companies may have received from the SBIR programs of other agencies.
From page 105...
... For example, the maximum number of Phase II grants given to a single company, over the period 1996-2003, was 12, which went to the company that received 40 Phase I grants. As Figure 4.2-21 shows, 87% percent of Phase IIB grantees received only one Phase IIB grant from the time the program started in 1998 through 2005.
From page 106...
... New Grant Winners: In recent years, 42% to 63% of grant recipients had never received a SBIR grant before.78 As may be seen in Table 4.2-8, in most years, more than half the grant recipients were new to the program. % with 3 grants 4% % with 2 grants 9% 1 2 3 % with 1 grant 87% Figure 4.2-21 Distribution of Grantees by Number of Phase IIB Grants, 1998-2005 Source: Developed from data provided by the NSF SBIR program.
From page 107...
... The SBIR program is housed within the Directorate for Engineering, one of seven directorates and three offices comprising NSF. The SBIR program is grouped with the Small Business Technology Transfer Program (STTR)
From page 109...
... In addition to the director and senior advisor, there were a total of seven program managers at that time. When program managers and assigned technical areas were examined initially in 2003, several additional program managers were listed,81 and 79 NSF SBIR Response to NRC Questions, January 2004.
From page 110...
... More recently, the program managers are posted on the NSF SBIR website as a group without technical area affiliation. Posted topic solicitation areas do identify program managers as points of contacts.82 Table 4.3-1 NSF SBIR/STTR Team as of September 2005 Director, OII Kesh Narayanan Senior Advisor Joseph Hennessey Rosemarie Wesson Errol Arkilic Program Managers Juan Figueroa Muralidharan Nair Sally Nerlove James Rudd Om Shai BT Expert George Vermont Administrative Officer Sandra Loving Caroline Hayer Program Assistants Jacqueline Moore Contract Program Manager Sonya Lucas Contract Records Manager Carla Lucas Source: NSF's website as of September 2005.
From page 111...
... NSF's new strategic plan acknowledges that to date "very few efforts have been made to "foster and encourage participation by minorities and disadvantaged persons in technological innovation" and expresses the need to take action towards this objective.85 4.4.2 Program Phases The NSF SBIR program has the following phases: Phase I, Phase II, Phase IIB, and Phase III. Participation in Phase I is prerequisite to participation in Phase II, and participation in Phase II is prerequisite to obtaining a Phase IIB grant.
From page 112...
... Phase II incorporates a reassessment of scientific, technical, and commercial merit and feasibility and provides funding up to $500,000. Phase IIB provides supplementary funding ranging from $50,000 to $250,000 for an extra year of research added to the existing Phase II period.
From page 113...
... not included in the above list. This additional topic had a focus on near-term 86 NSF SBIR Program Manger Errol Arkilic discussed NSF's use of the Emerging Opportunities topic, reportedly with the use of a higher percentage of reviewers with strong commercial credentials in an interview with Robert Jaffe, "Words from a Winner," SBTDC/SBIR Newsletter, October 2005.
From page 114...
... The distribution by topic area of Phase IIB grants from 1998 to 2005 is shown in Figure 4.4-1. It shows that these supplemental grants funded projects in just four topic areas: Advanced Materials, Information Technology, and, to a lesser extent, Electronics and Biotechnology.
From page 115...
... In 2003, Nanosys applied for and received a grant from the NSF SBIR program to further their efforts to develop and commercialize a "novel nanocomposite solar cell technology that combines self-assembled inorganic semiconductor nanocrystals into a plastic composite to product lightweight, flexible solar cells of almost any size and shape." As the Nanosys leadership recognizes, the SBIR award confers the "stamp of approval" of the nation's leading science agency that acknowledges both the commercial value as well as scientific importance of the work. This validation is helping Nanosys develop additional funding from private venture capital, further accelerating the development and commercialization of this technology.
From page 117...
... Phase IIB proposals are due in 2007. All proposals must be submitted via FastLane, an interactive real-time system used to conduct NSF business over the Internet.89 The program reportedly adheres to a six-month processing time for all proposals.90 (For more on the timing of solicitations, proposal submissions, and grant awards, see Section 8.6.)
From page 118...
... 4.5 NSF SBIR "SUCCESS STORIES" Like many Federal agencies, NSF regularly publishes "success studies" (also called "nuggets" by NSF)
From page 119...
... "Our Web site shows our business customers whether Web, government, corporate, or publishing – what they can expect by installing our software products for their uses." UNEDITED PROOFS


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