STTR: An Assessment of the Small Business Technology Transfer Program (2016) / Chapter Skim
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Appendix F: Annex to Chapter 3: Agency-level Data
Appendix F: Annex to Chapter 3: Agency-level Data
Pages 243-270
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DEPARTMENT OF DEFENSE Phase I STTR The overall numbers of DoD Phase I STTR applications grew steadily from 2003 to 2006 but have declined since 2008 (see Figure F-1)
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In comparison, the average success rate for DoD's SBIR program was somewhat lower, at 14.2 percent. 2 Phase II STTR DoD was particularly affected by the changes mandated under STTR program reauthorization.
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STTR Awards by Component Tables F-1 and F-2 show trends in STTR Phase I and Phase II awards by DoD component, respectively. The substantial decline in STTR Phase I awards at DoD after 2010 is driven largely by the sharp declines at Navy and Air Force and to a lesser extent at Army as well.
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FIGURE F-5 Phase II STTR awards at DoD, FY2003-2012. SOURCE: Data provided by DoD.
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SOURCE: Data provided by DoD. TABLE F-1 Number of STTR Phase I Awards Fiscal Year Component 2005 2006 2007 2008 2009 2010 2011 2012 2013 2014 Total Navy 96 116 95 93 120 151 117 62 39 59 948 Air Force 106 87 107 31 145 125 87 100 45 53 886 Army 48 79 41 63 6 64 63 42 35 36 477 MDA 30 28 24 25 25 19 12 29 24 216 DARPA 24 17 16 19 41 9 22 24 10 182 OSD 20 13 37 4 8 9 23 16 19 149 Component not recorded 34 34 Total 324 340 320 210 345 383 309 254 225 182 2,892 NOTE: The very small number of awards at several components in 2013 is not explained in the DoD annual STTR report, although it seems likely that it reflects tracking issues, as the number of award not assigned to any component was much higher in that year than in any other.
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. 4 Phase II STTR Phase II applications at NIH are largely but not entirely driven by the number of Phase I awards made in the previous year.
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. Phase II STTR success rates were more volatile than those for Phase I, FIGURE F-7 STTR Phase I STTR applications at NIH, FY2005-2014.
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FIGURE F-10 Phase II STTR applications at NIH, FY2005-2014. SOURCE: NIH RePorter database, Table 216.
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FIGURE F-12 Phase II STTR success rates at NIH, FY2005-2014. SOURCE: NIH RePorter database, Table 216.
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Although the number of Fast Track applications remained largely steady across the study period except for FY2012 and FY2014, the number of awards varied substantially in percentage terms, largely because of the small absolute numbers of awards. The difference between 4 awards (the minimum)
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SOURCE: NIH RePorter database, Table 216.
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. Phase II STTR As with other agencies, Phase II applications at NASA are largely driven by the number of previous Phase I awards.
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FIGURE F-18 Phase I STTR success rates at NASA, FY2004-2014. NOTE: The absence of data for 2013 reflects the absence of applications data for that year.
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SOURCE: Data provided by NASA. FIGURE F-20 Phase II STTR awards at NASA, FY2005-2013.
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. TABLE F-3 STTR Awards at NASA by Company, FY2005-2012 Top 20 Phase I Number Top 20 Phase II Number Company of Awards Company of Awards CFD Research 14 CFD Research 7 Nanosonic 8 Qualtech Systems 4 Luna Innovations 7 Intelligent Fiber Optic Systems 4 Aurora Flight Sciences 6 Rolling Hills Research 4 Rolling Hills Research 6 Aurora Flight Sciences 3 Applied Sensor Research & Streamline Numerics 6 Development 3 Intelligent Fiber Optic Systems 6 Streamline Numerics 3 Applied Sensor Research & Development 5 Tetra Research 3 Tao of Systems Integration 5 TRACLabs 3 Combustion Research and Flow TRACLabs 5 Technology 3 Tetra Research 4 Luna Innovations 3 Intelligent Automation 4 Mnemonics 2 Qualtech Systems 4 Space Micro 2 Innosense 4 Sigma Space 2 American GNC 4 Balcones Technologies 2 TDA Research 4 Sustainable Innovations 2 Balcones Technologies 4 Creare 2 Plasma Processes 4 Advanced Powder Solutions 2 ZONA Technology 4 HyPerComp Engineering 2 Combustion Research and Flow Sikorsky Aircraft (formerly Impact Technology 3 Technologies)
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Total Phase II Awards (160) by state for the 9-year period FY2004-2012 are shown in Table F-5.
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APPENDIX F 259 TABLE F-4 Phase I STTR Awards at NASA by State, FY2005-2012 State Number of Awards AL 27 AZ 9 CA 66 CO 12 CT 10 DE 2 FL 15 GA 2 ID 1 IL 10 IN 1 KS 3 KY 2 MA 29 MD 21 MI 3 MN 3 MO 1 MS 5 MT 3 NC 1 NH 3 NJ 7 NV 2 NY 8 OH 8 OK 1 OR 1 PA 13 TN 1 TX 29 UT 4 VA 42 VT 1 WA 4 WI 4 Total 354 SOURCE: Data provided by NASA.
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260 APPENDIX F TABLE F-5 Phase II STTR Awards at NASA by State, FY2004-2012 State Number of Awards AL 11 AZ 5 CA 27 CO 4 CT 8 DE 1 FL 10 GA 1 ID 1 IL 5 KS 2 MA 10 MD 12 MI 3 MN 1 MS 2 MT 2 NH 2 NJ 3 NV 1 NY 4 OH 3 OK 1 PA 7 TX 16 UT 3 VA 12 VT 1 WA 2 Total 160 SOURCE: Data provided by NASA.
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SOURCE: Data provided by NSF. FIGURE F-23 Phase I STTR awards at NSF, FY2004-2014.
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Phase II STTR As with other agencies, Phase II applications are largely driven by the number of Phase I awards made during the previous cycle. Figure F-25 shows a ramp up of Phase II STTR applications from FY2005 to FY2009, following the ramp up of Phase I awards from FY2005 to FY2007.
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SOURCE: Data provided by NSF. FIGURE F-26 Phase II STTR awards at NSF, FY 2005-2014.
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FIGURE F-27 Phase II STTR success rates at NSF, FY2005-2014. SOURCE: Data provided by NSF.
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Many of those were subsequently assigned to SBIR. Phase II STTR The steady number of Phase I STTR awards made by DoE underpins the steady flow of Phase II applications across the study period.
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FIGURE F-31 Phase II STTR applications at DoE, FY2005-2015. SOURCE: Data provided by DoE.
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FIGURE F-32 Phase II STTR awards at DoE, FY2005-2015. SOURCE: Data provided by DoE.
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TABLE F-6 Phase I STTR: Numbers, Amounts, and Shares of Awards by State for All Five Study Agencies, FY2005-2014 State Number of Awards Amount (Millions of Dollars) Share of Awards (Percent)
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APPENDIX F 269 State Number of Awards Amount (Millions of Dollars) Share of Awards (Percent)
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270 APPENDIX F TABLE F-7 Numbers, Amounts, and Shares of Awards by State for All Study Agencies, FY2005-2014 Amount Share of Amount Share of Number Number State (Millions Awards State (Millions Awards of Awards of Awards of Dollars (Percent) of Dollars (Percent)
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