ANIH 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.

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)

TABLE App-A-1Applications: 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.

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

IC Number of Applications
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
IC Percentage of All Applications
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.

TABLE App-A-3Applications 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
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.

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

Fiscal Year Woman-owned Firms Fiscal Year Minority-owned Firms
Phase I (%) Phase II (%) All (%) 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-5Woman- 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 (%)
Phase I Phase II Total 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.

TABLE App-A-6Woman- 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 (%)
Phase I Phase II All Phase I Phase II All 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

TABLE App-A-7Phase 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
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.

TABLE App-A-8Phase 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.

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

State Number of Phase I State Awards by Fiscal Year Grand Total Percent of Total
1992 1993 1994 1995 1996 1997 1998 1999 2000 2001 2002 2003 2004 2005
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
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.

TABLE App-A-10Resubmission 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
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.

TABLE App-A-11Phase 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.

FIGURE App-A-1

Phase I median award size, 1992-2003.

SOURCE: National Institutes of Health, NRC calculation.

TABLE App-A-12Oversized 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.

TABLE App-A-13Phase 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
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-14Top 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.

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

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.

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

Funding IC Number of Awards
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
Funding IC Percentage of Awards
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
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

TABLE App-A-16New 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.

TABLE App-A-17New 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.

TABLE App-A-18Phase 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-19Phase 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.

TABLE App-A-20Phase 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.

TABLE App-A-21Phase 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-22Phase 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.

TABLE App-A-23Phase 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.

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

Fiscal Year NIH Phase II SBIR Awards Over 375K
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
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%
Fiscal Year NIH Phase II SBIR Awards Over 750K
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.

TABLE App-A-25Phase 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.

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

All Phase II, year one grants
Fiscal Year 1992 1993 1994 1995 1996 1997 1998 1999 2000 2001 2002 2003
Number of Grants 137 215 131 210 173 280 237 289 267 381 358 349
Average ($) 249,361 244,363 269,611 345,070 349,374 375,304 379,972 410,335 448,377 437,573 461,216 495,834
Amended Phase II, year one grants
Fiscal Year 1992 1993 1994 1995 1996 1997 1998 1999 2000 2001 2002 2003
Number of Grants 29 55 22 48 51 89 45 60 62 100 88 82
Percent of all 21.2 25.6 16.8 22.9 29.5 31.8 19.0 20.8 23.2 26.2 24.6 23.5
Average ($) 238,893 247,948 255,816 354,890 336,933 358,916 377,707 385,556 391,078 402,757 462,258 461,427
Percent all av. 95.8 101.5 94.9 102.8 96.4 95.6 99.4 94.0 87.2 92.0 100.2 93.1
Maximum ($) 286,292 500,000 326,203 647,634 495,215 611,874 514,581 864,785 591,768 822,158 1,152,230 1,230,000
Minimum ($) 129,427 112,898 2,000 93,848 3,646 7,666 48,387 12,869 9,782 31,418 23,719 204,950
Sum ($) 6,927,902 13,637,125 5,627,959 17,034,712 17,183,579 31,943,518 16,996,826 23,133,378 24,246,844 40,275,684 40,678,701 37,837,035

SOURCE: National Institutes of Health.

TABLE App-A-27Phase 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.

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

IC Number of Awards Percent of Total Number of Applications Success Rate (%)
1992 1993 1994 1995 1996 1997 1998 1999 2000 2001 2002 2003 Awards
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