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3 SBIR Awards at the National Science Foundation
Pages 54-85

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From page 54... ... This chapter undertakes an evaluation of Phase I and Phase II SBIR awards1 in turn, and considers awards from a range of perspectives, including yearly trends, distribution by state, the impact of multiple awards to individual companies, applications and success rates, and awards to businesses owned by women and members of socially and economically disadvantaged groups, as defined by the Small Business Administration (SBA) Read the entire page →
From page 55... ... It illustrates the close linkage between the number of Phase I awards and total Phase I funding. Regarding overall award distributions, NSF must keep a pipeline to new ideas open in the form of Phase I awards, while reserving enough funds to make Phase II awards and then Phase IIB awards. Read the entire page →
From page 56... ... SOURCE: Small Business Administration. Figure 3-2 vector editable 70 60 Percentage of Total Funding 50 40 30 20 10 0 2003 2004 2005 2006 2007 2008 2009 2010 2011 2012 Fiscal Year FIGURE 3-3 NSF Phase I SBIR funding as a percentage of total NSF SBIR funding, 2003-2012. Read the entire page →
From page 57... ... Figure 3-5 shows the percentage of successful applications during the study period. In general, success rates ranged from 14 to 21 percent, with the exception of 2009, when a low number of applications was received and the success rate spiked. Read the entire page →
From page 58... ... 20 15 10 5 0 2003 2004 2005 2006 2007 2008 2009 2010 2011 2012 Fiscal Year FIGURE 3-5 Success rates for NSF Phase I SBIR applications, 2003-2012. SOURCE: National Science Foundation. Read the entire page →
From page 59... ... 17. 5 National Science Board, Science and Engineering Indicators 2014, (Arlington, VA: National Science Foundation, 2014) Read the entire page →
From page 60... ... would have introduced bias, because the data set of previous winners continues to increase, which reduces the likelihood that more recent winners would be "new." 9 This is not to say that having a company receive more than a single Phase I or Phase II SBIR award is necessarily a negative outcome. Some companies are highly inventive and pursue promising opportunities. Read the entire page →
From page 61... ... Figure 3-6 vector editable Interviews with NSF program managers further supported the view that NSF makes a concerted effort to distribute funds widely. For example, one program manager noted that he makes an effort to limit the number of awards to an indi vidual company because success is difficult to predict and therefore developing a portfolio of supported companies is an appropriate approach. Read the entire page →
From page 62... ... MOSB Phase I Success Rates Figure 3-8 shows the comparative success rates of MOSB and non-MOSB applicants, over the study period. The question is whether MOSBs are less or more successful than non-MOSBs in getting awards. Read the entire page →
From page 63... ... SOURCE: National Science Foundation. Figure 3-8 vector editable Read the entire page →
From page 64... ... 20 18 16 14 Figure 3-9 vector editable Percent Share 12 10 8 6 4 2 0 2003 2004 2005 2006 2007 2008 2009 2010 2011 2012 Fiscal Year FIGURE 3-10 MOSB share of NSF Phase I SBIR awards, 2003-2012. SOURCE: National Science Foundation. Read the entire page →
From page 65... ... 400 350 300 Number of ApplicaƟons 250 200 150 100 50 0 2003 2004 2005 2006 2007 2008 2009 2010 2011 2012 Fiscal Year FIGURE 3-11 NSF Phase I SBIR applications from WOSBs, 2003-2012. SOURCE: National Science Foundation. Read the entire page →
From page 66... ... SOURCE: National Science Foundation. Read the entire page →
From page 67... ... 20 18 16 14 12 Percent Share 10 Figure 3-14 8 vector editable 6 4 2 0 2003 2004 2005 2006 2007 2008 2009 2010 2011 2012 Fiscal Year FIGURE 3-15 WOSB share of NSF Phase I SBIR awards, 2003-2012. SOURCE: National Science Foundation. Read the entire page →
From page 68... ... SOURCE: National Science Foundation. Read the entire page →
From page 69... ... 500 450 Figure 3-17 400 vector editable 350 300 Number 250 200 150 100 50 0 2004 2005 2006 2007 2008 2009 2010 2011 2012 Fiscal Year Previous Year Phase I Awards Phase II ApplicaƟons FIGURE 3-18 NSF Phase I SBIR awards made the previous year and Phase II applica tions, 2003-2012. SOURCE: National Science Foundation. Read the entire page →
From page 70... ... 30 20 10 0 2003 2004 2005 2006 2007 2008 2009 2010 2011 2012 Fiscal Year FIGURE 3-19 NSF Phase II SBIR application success rates, 2003-2012. SOURCE: National Science Foundation. Read the entire page →
From page 71... ... NSF provided 981 Phase II awards during the study period. Only five companies received five or more awards, claiming 2.8 percent of the total. Read the entire page →
From page 72... ... In the present Chapter 3, we review agency data only, which covers applications and awards to woman-owned firms and firms owned by "socially and economically disadvantaged groups," (as defined in the SBA policy directive) Read the entire page →
From page 73... ... 60 50 40 Number 30 20 10 0 2004 2005 2006 2007 2008 2009 2010 2011 2012 Fiscal Year Phase II Awards Previous Year Phase I Awards FIGURE 3-21 Comparison of previous year's number of MOSB NSF Phase I awards and MOSB Phase II awards, 2004-2012. SOURCE: National Science Foundation. Read the entire page →
From page 74... ... SOURCE: National Science Foundation. It is also interesting to note that when MOSB applications are low, such as in 2006, 2007, and 2010, the MOSB Figure 3-22 is highest and exceeds the non success rate vector editable MOSB rate. Read the entire page →
From page 75... ... 30.0 25.0 Figure 3-23 vector editable 20.0 Percent Share 15.0 10.0 5.0 0.0 2003 2004 2005 2006 2007 2008 2009 2010 2011 2012 Fiscal Year FIGURE 3-24 MOSB share of NSF Phase II SBIR awards and trend line, 2003-2012. SOURCE: National Science Foundation. Read the entire page →
From page 76... ... 45 40 35 Number of ApplicaƟons 30 25 20 15 10 5 0 2003 2004 2005 2006 2007 2008 2009 2010 2011 2012 Fiscal Year FIGURE 3-25 Number of NSF Phase II SBIR applications from WOSBs, 2003-2012. SOURCE: National Science Foundation. Read the entire page →
From page 77... ... SOURCE: National Science Foundation. 140 120 Figure 3-26 vector editable 100 Number of Awards 80 60 40 20 0 2003 2004 2005 2006 2007 2008 2009 2010 2011 2012 Fiscal Year Non-WOSB WOSB FIGURE 3-27 Comparison of NSF Phase II SBIR awards to WOSB and non-WOSB applicants, 2003-2012. Read the entire page →
From page 78... ... Figure 3-28 vector editable Read the entire page →
From page 79... ... SBIR AWARDS AT THE NATIONAL SCIENCE FOUNDATION 79 ANNEX DATA TABLES ANNEX TABLE 3-1 NSF Phase I SBIR Applications, Awards, and Success Rate by State, 2003-2012 State Number of Awards Number of Applications Success Rate (Percent) CA 545 2,963 18.4 MA 301 1,569 19.2 NY 150 789 19.0 CO 127 731 17.4 PA 122 526 23.2 TX 117 939 12.5 OH 100 646 15.5 MD 91 651 14.0 IL 89 453 19.6 MI 88 523 16.8 NJ 85 632 13.4 NC 69 300 23.0 FL 62 494 12.6 VA 62 727 8.5 GA 61 292 20.9 WI 54 174 31.0 MN 52 341 15.2 AZ 47 434 10.8 CT 41 253 16.2 WA 40 282 14.2 AR 38 168 22.6 NM 37 229 16.2 SC 37 138 26.8 MO 35 188 18.6 UT 35 219 16.0 IN 34 193 17.6 OR 32 196 16.3 MT 31 149 20.8 KY 22 110 20.0 IA 21 73 28.8 ME 20 64 31.3 TN 19 132 14.4 AL 17 152 11.2 KS 14 95 14.7 NE 14 40 35.0 NH 14 84 16.7 OK 13 107 12.1 WY 13 47 27.7 DE 12 125 9.6 continued Read the entire page →
From page 80... ... ANNEX TABLE 3-2 State Rankings: Phase I Awards, Science and Engineering PhDs per 1,000 Populations and R&D as Percentage of State GDP Rank S&E S&E PhDs/ Rank PhDs/ Number R&D/ per R&D/ per of GDP 1,000 Rank GDP 1,000 Pop. State Awards (Percent) Read the entire page →
From page 81... ... Pop Population Awards (Percent) Pop Rank WA 40 4.87 0.60 6,724,540 22 4 9 13 AR 38 0.57 0.23 2,915,918 23 49 51 32 NM 37 8.01 0.93 2,059,179 20 1 4 36 SC 37 1.47 0.33 4,625,364 27 34 39 24 MO 35 3.79 0.39 5,988,927 29 7 30 18 UT 35 2.70 0.47 2,763,885 25 17 21 34 IN 34 2.34 0.38 6,483,802 26 22 31 15 OR 32 2.89 0.52 3,831,074 24 15 17 27 MT 31 1.07 0.52 989,415 21 38 16 44 KY 22 0.93 0.28 4,339,367 31 42 45 26 IA 21 2.00 0.36 3,046,355 34 28 36 30 ME 20 0.95 0.37 1,328,361 33 41 34 41 TN 19 1.56 0.41 6,346,105 30 32 28 17 AL 17 2.16 0.34 4,779,736 28 26 37 23 KS 14 1.58 0.29 2,853,118 37 31 44 33 NE 14 1.03 0.33 1,826,341 47 39 38 38 NH 14 3.53 0.43 1,316,470 38 10 24 42 OK 13 0.70 0.30 3,751,351 32 48 42 28 WY 13 0.29 0.28 563,626 35 51 48 51 DE 12 3.70 0.75 897,934 36 9 5 45 ID 12 3.20 0.40 1,567,582 45 13 29 39 HI 10 1.02 0.50 1,360,301 39 40 18 40 LA 10 0.53 0.28 4,533,372 40 50 46 25 MS 9 0.89 0.28 2,967,297 43 44 47 31 ND 8 1.32 0.42 672,591 41 36 26 48 SD 8 0.71 0.31 814,180 44 47 41 46 VT 8 1.75 0.53 625,741 42 29 15 49 AK 6 0.72 0.42 710,231 49 46 25 47 WV 6 0.93 0.30 1,852,994 48 43 43 37 RI 4 2.96 0.59 1,052,567 50 14 10 43 NV 3 0.75 0.25 2,700,551 46 45 50 35 DC 2 3.44 4.79 601,723 51 11 1 50 SOURCES: SBA SBIR awards database (awards data) Read the entire page →
From page 82... ... 82 SBIR AT THE NATIONAL SCIENCE FOUNDATION ANNEX TABLE 3-3 NSF Phase II SBIR Awards, Proposals, and Success Rates by State, 2003-2012 State Number of Awards Number of Proposals Success Rate (Percent) Read the entire page →
From page 83... ... ANNEX TABLE 3-4 NSF Phase II SBIR Awards and Conversion Rates by State, 2003-2012 State Number of Awards Phase I-Phase II Conversion Rate (Percent) CA 215 39.4 MA 119 39.5 NY 60 40.0 TX 49 41.9 CO 47 37.0 OH 33 33.0 MD 30 33.0 PA 30 24.6 MI 27 30.7 IL 26 29.2 FL 25 40.3 NC 22 31.9 GA 21 34.4 NJ 19 22.4 WI 19 35.2 VA 16 25.8 AZ 15 31.9 SC 15 40.5 CT 14 34.1 MN 14 26.9 OR 14 43.8 WA 14 35.0 AR 12 31.6 IN 12 35.3 MT 11 35.5 UT 11 31.4 KY 10 45.5 NM 9 24.3 IA 8 38.1 continued Read the entire page →
From page 84... ... ANNEX TABLE 3-5 Explaining Differences in Observed Award Distributions by State, 2003-2012 Variable 1 Variable 2 Pearson r score Awards R&D as Percent of GDP 0.373 Awards S&E PhDs employed per 1,000 pop 0.441 Awards Population 0.789 Awards-rank R&D%GDP-rank 0.473 Awards-rank S&E PhDs-rank 0.449 Awards-rank Pop-rank 0.818 NOTE: The Pearson r test for awards/employed scientists and engineers excludes the District of Columbia, which is an outlier in opposite directions on both arrays. SOURCES: Small Business Association SBIR awards database (awards data) Read the entire page →
From page 85... ... ANNEX TABLE 3-7 Companies Receiving Five or More NSF Phase II SBIR Awards, 2003-2012 Number of Percent of all Company Name Phase II SBIR Awards Phase II SBIR Awards Lynntech 7 0.7 Faraday Technology 5 0.5 TDA Research 5 0.5 Tetramer Technologies 5 0.5 WTE 5 0.5 Total 27 2.7 SOURCE: Small Business Administration. Read the entire page →

From page 54...

... This chapter undertakes an evaluation of Phase I and Phase II SBIR awards1 in turn, and considers awards from a range of perspectives, including yearly trends, distribution by state, the impact of multiple awards to individual companies, applications and success rates, and awards to businesses owned by women and members of socially and economically disadvantaged groups, as defined by the Small Business Administration (SBA)

3 SBIR Awards at the National Science Foundation Pages 54-85

3 SBIR Awards at the National Science Foundation
Pages 54-85