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SBIR at NASA (2016) / Chapter Skim
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4 SBIR Awards
Pages 70-90

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From page 70...
... 2005-2014. It addresses Phase I and Phase II awards and breaks out patterns by state and by company.
From page 71...
... generated 35 or more awards per 1 million people during FY2005-2014, while 33 states generated fewer than 10 awards per 1 million people during the same time period. Of these, Arkansas, Nebraska, North Dakota, and the District of Columbia generated none.
From page 72...
... References in this report to the National Research Council or NRC are used in an historic context identifying programs prior to July 1. 4 "SBIR mill" is a pejorative term that refers to a company that lives off SBIR awards and does not have a separate business function or true commercial objectives.
From page 73...
... Because NASA Phase II data were not available for FY2014 as of March 2015, when the analysis was performed, and because there were no awards in FY2013 6, the most recent Phase II data shown are for FY2012. During FY2005-2011, the number of Phase II awards declined somewhat on average, but finished in 2012 at about the same level as in 2005.
From page 74...
... NOTE: Phase II success rate reflects the share of Phase II applications that resulted in Phase II awards. SOURCE: NASA awards and applications database.
From page 75...
... It reviews Phase I and Phase II awards and discusses each in terms of the distribution of awards by component, state, and company. (Data on the participation of women and minorities is presented in Chapter 6.)
From page 76...
... 9 Funding for NASA SBIR Phase I awards grew steadily from the base year FY2005 to peak at about $45 million in FY2010, drop back to about $30 million in FY2011, and then increase again to $43 million in FY2014. The FY2011 amount reflects ARRA funding, while the FY2014 amount reflects the increase in the size of awards and overall SBIR funding after reauthorization (see Figure 4-5)
From page 77...
... FIGURE 4-6 Phase I SBIR applications at NASA, FY2005-2014. SOURCE: NASA award and applications database.
From page 78...
... If NASA finds a decrease in quality of awarded Phase I projects, it does have internal flexibility to shift money to Phase II awards. One likely factor contributing to the precipitous decline between 2005 and 2008 in the number of Phase I applications is the limit of 10 applications per company imposed by NASA in FY2007-2008.
From page 79...
... This variability is rooted in the complex differences in state industry focus and the locations of key firms, as well as other potential variables, including the large variability often associated with small numbers where one application and one award means a 100 percent success rate and one application and no award means a 0 percent success rate. Phase I SBIR Awards by Company The number of NASA SBIR Phase I awards was not highly concentrated by company.
From page 80...
... The top awardee, Creare, received an average of four Phase I awards per year, a number very similar to that of other top winners, CFD Research, Aurora Flight Sciences, and Intelligent Automation. Phase II SBIR Awards To a considerable extent, the pattern of NASA SBIR Phase II awards closely follows that for Phase I
From page 81...
... SBIR AWARDS 81 TABLE 4-1 NASA SBIR Phase I Awards and Applications, FY2005-2014 Number Percentage Percentage Number of Phase I of Phase I of all Phase I of all Phase I State Awards Applications Awards Applications AK 1 0.0 0.0 AL 132 450 3.1 2.7 AR 18 77 0.4 0.5 AZ 119 492 2.8 3.0 CA 898 3,460 20.8 20.8 CO 282 1,063 6.5 6.4 CT 99 301 2.3 1.8 DC 1 12 0.0 0.1 DE 20 129 0.5 0.8 FL 107 597 2.5 3.6 GA 27 140 0.6 0.8 HI 2 30 0.0 0.2 IA 8 26 0.2 0.2 ID 10 60 0.2 0.4 IL 74 363 1.7 2.2 IN 29 102 0.7 0.6 KS 7 29 0.2 0.2 KY 11 71 0.3 0.4 LA 8 20 0.2 0.1 MA 483 1,572 11.2 9.4 MD 207 826 4.8 5.0 ME 8 39 0.2 0.2 MI 88 349 2.0 2.1 MN 49 195 1.1 1.2 MO 14 63 0.3 0.4 MS 8 47 0.2 0.3 MT 41 110 1.0 0.7 NC 18 95 0.4 0.6 ND 4 0.0 0.0 NE 9 0.0 0.1 NH 72 179 1.7 1.1 NJ 124 446 2.9 2.7 NM 91 340 2.1 2.0 NV 5 66 0.1 0.4 NY 134 518 3.1 3.1 OH 165 736 3.8 4.4 OK 1 38 0.0 0.2 OR 72 268 1.7 1.6 PA 135 607 3.1 3.6 PR 3 0.0 0.0
From page 82...
... 82 SBIR AT NASA Number Percentage Percentage Number of Phase I of Phase I of all Phase I of all Phase I State Awards Applications Awards Applications RI 9 36 0.2 0.2 SC 4 23 0.1 0.1 SD 1 6 0.0 0.0 TN 27 108 0.6 0.6 TX 188 813 4.4 4.9 UT 24 102 0.6 0.6 VA 337 1,052 7.8 6.3 VT 5 18 0.1 0.1 WA 82 341 1.9 2.0 WI 50 175 1.2 1.0 WV 8 32 0.2 0.2 WY 10 31 0.2 0.2 Total 4,312 16,670 100.0 100.0 SOURCE: NASA awards and applications database. TABLE 4-2 NASA SBIR Phase I Awards by State, Normalized for State Population, FY2005-2014 Number of Number of Number of Phase I Awards Phase I Awards Phase I Awards State per 1 Million People State per 1 Million People State per 1 Million People AK 0 MA 73.8 PA 10.6 AL 27.6 MD 35.9 RI 8.6 AR 6.2 ME 6.0 SC 0.9 AZ 18.6 MI 8.9 SD 1.2 CA 24.1 MN 9.2 TN 4.3 CO 56.1 MO 2.3 TX 7.5 CT 27.7 MS 2.7 UT 8.7 DC 0.0 MT 41.4 VA 42.1 DE 22.3 NC 1.9 VT 8.0 FL 5.7 ND 0.0 WA 12.2 GA 2.8 NE 0.0 WI 8.8 HI 1.5 NH 54.7 WV 4.3 IA 2.6 NJ 14.1 WY 17.7 ID 6.4 NM 44.2 IL 5.8 NV 1.9 IN 4.5 NY 6.9 KS 2.5 OH 14.3 KY 2.5 OK 0.3 LA 1.8 OR 18.8 SOURCE: NASA awards and applications database.
From page 83...
... SOURCE: NASA awards and applications database. TABLE 4-4 Top 20 NASA Phase I SBIR/STTR Award Recipients, FY2005-2014 Company Name Number of Phase I Awards Creare 42 CFD Research 40 Aurora Flight Sciences 38 Intelligent Automation 37 Honeybee Robotics 33 NanoSonic 28 Lynntech 27 Orbital Technologies 26 Physical Sciences 25 Physical Optics 24 Busek Company 22 UMPQUA Research Company 22
From page 84...
... FIGURE 4-8 Number of NASA SBIR Phase II awards, FY2005-2012. NOTE: Data on NASA Phase II awards for 2014 were not available as of March 16, 2015, and because of a change in the solicitation date, no awards were made in 2013.
From page 85...
... FIGURE 4-10 NASA SBIR Phase II applications, FY2005-2012. SOURCE: NASA awards and applications database.
From page 86...
... SOURCE: NASA awards and applications database. Phase II SBIR Awards by State As with Phase I awards, companies in some states had a consistently stronger record in receiving Phase II awards.
From page 87...
... SBIR AWARDS 87 TABLE 4-5 NASA Phase II SBIR Applications and Awards, FY2006-2012 Number of Percent of Phase II Number of all Phase II Percent of all State Applications Phase II Awards Applications Phase II Awards AK 0 0 0.0 0.0 AL 67 23 2.5 1.9 AR 17 6 0.6 0.5 AZ 77 41 2.9 3.4 CA 525 261 20.0 21.6 CO 178 75 6.8 6.2 CT 65 26 2.5 2.2 DC 0 0 0.0 0.0 DE 14 6 0.5 0.5 FL 63 29 2.4 2.4 GA 16 4 0.6 0.3 HI 1 0 0.0 0.0 IA 6 4 0.2 0.3 ID 7 3 0.3 0.2 IL 56 25 2.1 2.1 IN 17 8 0.6 0.7 KS 5 2 0.2 0.2 KY 8 3 0.3 0.2 LA 4 0 0.2 0.0 MA 281 135 10.7 11.2 MD 127 50 4.8 4.1 ME 8 3 0.3 0.2 MI 61 24 2.3 2.0 MN 33 10 1.3 0.8 MO 7 2 0.3 0.2 MS 4 1 0.2 0.1 MT 30 19 1.1 1.6 NC 11 5 0.4 0.4 ND 0 0 0.0 0.0 NE 0 0 0.0 0.0 NH 44 28 1.7 2.3 NJ 80 37 3.0 3.1 NM 53 22 2.0 1.8 NV 2 1 0.1 0.1 NY 89 41 3.4 3.4 OH 97 37 3.7 3.1
From page 88...
... It may also suggest that the NASA SBIR program is exhausting the supply of potential new program applicants. 15 The conversion rate is the number of Phase II awards received by a company expressed as a percentage of the number of Phase I awards received by that company.
From page 89...
... Creare 42 27 64.3 Intelligent Automation 37 21 56.8 Busek Company 22 20 90.9 Orbital Technologies 26 18 69.2 Aurora Flight Sciences 38 17 44.7 Los Gatos Research 21 16 76.2 CFD Research 40 15 37.5 Honeybee Robotics 33 15 45.5 TRACLabs 21 13 61.9 ADVR 19 12 63.2 Fibertek 18 12 66.7 Lynntech 27 11 40.7 Advanced Cooling Technologies 20 11 55.0 Optimal Synthesis 18 11 61.1 Deployable Space Systems 17 11 64.7 Barron Associates 15 11 73.3 Physical Sciences 25 10 40.0 Physical Optics 24 10 41.7 Luna Innovations 20 10 50.0 ZONA Technology 20 10 50.0 Plasma Processes 19 10 52.6 Combustion Research and Flow Technology 18 10 55.6 Giner 18 10 55.6 Paragon Space Development 11 10 90.9 Total 569 321 56.4 NOTE: The conversion rate is the number of Phase II awards received by a company expressed as a percentage of the number of Phase I awards received by that company. SOURCE: NASA awards and applications database.
From page 90...
... 90 SBIR AT NASA FIGURE 4-12 NASA application and award rates for new participants in the SBIR Phase I program. SOURCE: NASA awards and applications database.


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